diff --git a/marked/Y/T-REC-F.747.1-201206-I_PDF-E/raw.md b/marked/Y/T-REC-F.747.1-201206-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..97ca7d150094f3bff29ca0cf9ecd815ba35f95d2 --- /dev/null +++ b/marked/Y/T-REC-F.747.1-201206-I_PDF-E/raw.md @@ -0,0 +1,703 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## F.747.1 + +(06/2012) + +SERIES F: NON-TELEPHONE TELECOMMUNICATION +SERVICES + +Audiovisual services + +# --- **Capabilities of ubiquitous sensor networks for supporting the requirements of smart metering services** + +Recommendation ITU-T F.747.1 + +![ITU logo: a blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text "ITU" is written in a large, bold, blue font, and below it, the words "International Telecommunication Union" are written in a smaller, blue font. + +ITU logo: a blue globe with red lightning bolts and the text 'ITU International Telecommunication Union' + +## ITU-T F-SERIES RECOMMENDATIONS **NON-TELEPHONE TELECOMMUNICATION SERVICES** + +| | | +|-----------------------------------------------------------------|--------------------| +| TELEGRAPH SERVICE | | +| Operating methods for the international public telegram service | F.1–F.19 | +| The gentex network | F.20–F.29 | +| Message switching | F.30–F.39 | +| The international telemessage service | F.40–F.58 | +| The international telex service | F.59–F.89 | +| Statistics and publications on international telegraph services | F.90–F.99 | +| Scheduled and leased communication services | F.100–F.104 | +| Phototelegraph service | F.105–F.109 | +| MOBILE SERVICE | | +| Mobile services and multideestination satellite services | F.110–F.159 | +| TELEMATIC SERVICES | | +| Public facsimile service | F.160–F.199 | +| Teletex service | F.200–F.299 | +| Videotex service | F.300–F.349 | +| General provisions for telematic services | F.350–F.399 | +| MESSAGE HANDLING SERVICES | F.400–F.499 | +| DIRECTORY SERVICES | F.500–F.549 | +| DOCUMENT COMMUNICATION | | +| Document communication | F.550–F.579 | +| Programming communication interfaces | F.580–F.599 | +| DATA TRANSMISSION SERVICES | F.600–F.699 | +| AUDIOVISUAL SERVICES | F.700–F.799 | +| ISDN SERVICES | F.800–F.849 | +| UNIVERSAL PERSONAL TELECOMMUNICATION | F.850–F.899 | +| HUMAN FACTORS | F.900–F.999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **Recommendation ITU-T F.747.1** + +# **Capabilities of ubiquitous sensor networks for supporting the requirements of smart metering services** + +## **Summary** + +Recommendation ITU-T F.747.1 identifies the capabilities of ubiquitous sensor networks (USNs) for supporting the requirements of smart metering services. To this end, an overview of smart metering is described, with a clarification between smart grids and smart metering provided. This Recommendation takes into account a few typical use case scenarios of smart metering and identifies the general requirements and USN-based smart metering services to support these use cases. Finally this Recommendation defines USN capabilities based on identified requirements for providing smart metering services. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T F.747.1 | 2012-06-29 | 16 | + +## **Keywords** + +Smart grid, smart metering, USN. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2013 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview of smart metering ..... | 2 | +| 6.1 Smart grids and smart metering..... | 3 | +| 6.2 Technical overview of smart metering..... | 5 | +| 6.3 USN-based smart metering services..... | 5 | +| 7 Smart metering service scenarios ..... | 7 | +| 7.1 Scenario I: Regularly scheduled remote meter reading..... | 7 | +| 7.2 Scenario II: On-demand remote meter reading ..... | 8 | +| 7.3 Scenario III: Demand response ..... | 9 | +| 7.4 Scenario IV: Tariff configuration..... | 10 | +| 7.5 Scenario V: Meter reading data aggregation..... | 11 | +| 8 Network and USN requirements for smart metering services..... | 12 | +| 8.1 Time synchronization ..... | 12 | +| 8.2 Reliable information delivery..... | 12 | +| 8.3 Minimal time delay..... | 12 | +| 8.4 Real-time delivery of meter reading data ..... | 12 | +| 8.5 Bidirectional communication between meters and operators..... | 13 | +| 8.6 Security support including the authorization of operator and data confidentiality..... | 13 | +| 8.7 Authentication of smart meters ..... | 13 | +| 8.8 Meter reading data processing..... | 13 | +| 8.9 Monitoring and management of smart meters..... | 13 | +| 9 USN capabilities for smart metering services ..... | 13 | +| 9.1 Time synchronization ..... | 13 | +| 9.2 Reliable transmission..... | 13 | +| 9.3 Scalability ..... | 14 | +| 9.4 Mobility support..... | 14 | +| 9.5 Delivery latency..... | 14 | +| 9.6 Fault detection and recovery ..... | 14 | +| 9.7 Security supporting confidentiality, integrity check, authorization and authentication ..... | 14 | +| 9.8 Connectivity ..... | 14 | + +| | Page | +|---------------------------------------------------------|-------------| +| 9.9      Unicasting and multicasting ..... | 14 | +| 9.10     Data aggregation..... | 14 | +| 9.11     Distributed processing ..... | 15 | +| 9.12     Monitoring and management of sensor nodes..... | 15 | +| Bibliography..... | 16 | + +# Recommendation ITU-T F.747.1 + +# Capabilities of ubiquitous sensor networks for supporting the requirements of smart metering services + +## 1 Scope + +The main purpose of this Recommendation is to identify the capabilities of ubiquitous sensor networks (USNs) which support the requirements of smart metering services. The scope of this Recommendation covers the following: + +- overview of smart metering +- smart metering use case scenarios +- requirements of smart metering services +- USN capabilities for supporting the requirements of smart metering services. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T F.744] Recommendation ITU-T F.744 (2009), *Service description and requirements for ubiquitous sensor network middleware*. +- [ITU-T Y.2221] Recommendation ITU-T Y.2221 (2010), *Requirements for support of ubiquitous sensor network (USN) applications and services in the NGN environment*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 sensor** [ITU-T Y.2221]: An electronic device that senses a physical condition or chemical compound and delivers an electronic signal proportional to the observed characteristic. + +**3.1.2 sensor network** [ITU-T Y.2221]: A network comprised of inter-connected sensor nodes exchanging sensed data by wired or wireless communication. + +**3.1.3 sensor node** [ITU-T Y.2221]: A device consisting of sensor(s) and optional actuator(s) with the capabilities of sensed data processing and networking. + +**3.1.4 ubiquitous sensor network (USN)** [ITU-T Y.2221]: A conceptual network built over existing physical networks which makes use of sensed data and provides knowledge services to anyone, anywhere and at any time, and where the information is generated by using context awareness. + +**3.1.5 USN gateway** [ITU-T Y.2221]: A node which interconnects sensor networks with other networks. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 demand response:** A smart metering feature that allows consumers to reduce or change their use patterns of electricity, gas and water during peak demand usually in exchange for a financial incentive. + +**3.2.2 sensor network gateway:** A sensor network element that connects a sensor network to another network with different architecture or protocols, permitting information exchange between them. See also USN gateway. + +NOTE – Sensor network gateway functionalities may include either address or protocol translation or both. + +**3.2.3 smart grid:** An electricity network that can intelligently integrate the actions of all users connected to it – generators, consumers and those that do both – in order to efficiently deliver sustainable, economic and secure electricity supplies. + +**3.2.4 smart meter:** A device in a user's premises for monitoring and controlling electrical power, gas and water usage of home appliances based on demand response information from home appliances. + +**3.2.5 smart metering:** An operation to provide information to consumers and smart metering operators about energy consumption. The information includes how much energy the consumers are using or generating and how much it costs. + +**3.2.6 smart metering gateway:** See USN gateway. + +**3.2.7 utility:** An entity providing services such electricity, gas, water and heating to the general public and/or to industrial and commercial entities. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +USN    Ubiquitous Sensor Network + +## 5 Conventions + +None. + +## 6 Overview of smart metering + +Smart meters are utility meters, for example electricity, gas, water and other meters, which may bring about the end of estimated bills and meter readings, and provide customers and energy distributors and suppliers with accurate information on the amount of a utility that is being used. + +Smart metering provides: + +- customers with the information they require to become energy savvy and make smarter decisions about their energy usage; +- energy suppliers with the means to better understand and service their customers; +- distributors with an effective tool to better monitor and manage their networks. + +In addition, smart metering enables those customers who choose to generate their own electricity (micro-generators) to be financially rewarded for their contribution to the national grid, and for distributors to better manage this contribution [b-ETSI TR 102 691]. + +Smart metering may be regarded as one of the key technologies for smart grid systems. + +### **6.1 Smart grids and smart metering** + +A smart grid is a type of electrical grid that attempts to predict and intelligently respond to the behaviour and actions of all electric power users connected to it – suppliers, consumers and those that do both – in order to efficiently deliver reliable, economic and sustainable electricity services including: + +- enhancement of reliability +- reducing peak demand +- shifting usage to off-peak hours +- lower total energy consumption +- actively managing electricity charging +- actively managing other usage to respond to other renewable resources. + +Smart grid technologies have already been used in other applications, such as manufacturing and telecommunications. In general, smart grid technology may be divided into seven areas: integrated communications, sensing and measurement, smart metering, advanced components, advanced control, improved interfaces and decision support, and smart power generation. In other words, smart meters are key components of smart grids and consequently, smart metering is one of the crucial features for smart grids. + +![Smart grid architecture diagram showing domains: Markets, Operations (RTO/ISO, Transmission, Distribution), Service providers (Utility, Third-party), Bulk generation, Transmission, Distribution, and Customer. It includes actors like Aggregators, SCADA systems, and various interfaces, connected by information networks and communication paths.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +The diagram illustrates the Smart grid architecture, organized into several domains and their interactions: + +- Markets:** Includes Retailer/wholesaler, Aggregator, Energy market clearing house, and ISO/RTO participant. These are connected to the Internet/e-Business information network. +- Operations:** + - RTO/ISO Ops:** Contains EMS, Enterprise bus, and RTO SCADA. + - Transmission Ops:** Contains EMS, WAMS, Enterprise bus, and Transmission SCADA. + - Distribution Ops:** Contains DMS, Asset Mgmt, Demand response, MDMS, Enterprise bus, Metering system, and Distribution SCADA. +- Service providers:** + - Utility provider:** Contains CIS, Billing, and Internet/e-Business. + - Third-party provider:** Contains Retail energy provider, CIS, Billing, Home/building manager, Aggregator, and Others. +- Bulk generation:** Includes Market services interface, Plant control system, and Generators. It connects to Wide area networks. +- Transmission:** Includes Wide area networks, Substation LANs, Substation controller, Substation device, Data collector, and Electric storage. +- Distribution:** Includes Field area networks, Field device, and Distributed generation. +- Customer:** Includes Premises networks, Energy services interface, Meter, Customer equipment, Customer EMS, Electric vehicle, Distributed generation, Electric storage, Appliances, and Thermostat. + +**Legend:** + +- Domain: Represented by a rounded rectangle. +- Actor: Represented by a rectangle. +- Information network: Represented by a cloud shape. +- Domain gateway actor: Represented by a rectangle with a thick border. +- Comms path: Represented by a dashed line. +- Comms path across owner/domain: Represented by a solid line. + +F.747.1(12)\_F01 + +Smart grid architecture diagram showing domains: Markets, Operations (RTO/ISO, Transmission, Distribution), Service providers (Utility, Third-party), Bulk generation, Transmission, Distribution, and Customer. It includes actors like Aggregators, SCADA systems, and various interfaces, connected by information networks and communication paths. + +**Figure 1 – Smart grid architecture [b-NIST]** + +### 6.2 Technical overview of smart metering + +It is not only governments and utility companies, such as electricity, gas and water suppliers, but also researchers, that have been interested in automatic meter reading based on communication systems. Examples of smart metering benefits to customers, governments and utility companies are: + +- lower metering cost +- energy savings for residential consumers +- reliability of supply +- various pricing schemes to attract new costumers +- easier detection of fraud and of outages +- automated billing. + +Smart metering comprises metering and exchange of meter information between smart meters and utility companies. Various technologies can be used for metering and exchanging meter information. For example, power-line communications have been used for delivering electricity power to consumers and for transmitting gas and water measurements to utility providers. Alternatively, mobile networks can be used for exchanging messages in an automatic meter reading system. + +Sensor network technologies may be used for metering and collecting information of utility usage, and communication networks can be used for exchanging the information. Figure 2 depicts an overall diagram of smart metering systems. The meter information, obtained from home appliances by sensor nodes is collected and delivered to operators of utility companies. + +The operators manage the collected information and inform consumers of variable pricing information or enforced load control messages. Such operators' actions may lead to consumers' reducing energy consumption. + +![Figure 2: Overview of smart metering. The diagram shows a 'Smart home' containing 'Appliances' (Gas, Electricity, Water) connected to 'Smart meters' (Gas, Electricity, Water). These meters are connected to a 'Communication interface' which links to 'Communication networks' and finally to a 'Smart metering operator'.](5e92d9e8e9ce204e405bff2367f88176_img.jpg) + +The diagram illustrates the architecture of a smart metering system. On the left, a house labeled 'Smart home' contains a section labeled 'Appliances' with icons for a gas cylinder, a television, and a water tap. Below these are three circular nodes labeled 'Gas smart meter', 'Electricity smart meter', and 'Water smart meter'. These meters are connected to a 'Communication interface' at the bottom of the house. A line connects this interface to a cloud labeled 'Communication networks'. From the cloud, a line connects to a server rack labeled 'Smart metering operator'. The label 'F.747.1(12)\_F02' is located at the bottom right of the diagram. + +Figure 2: Overview of smart metering. The diagram shows a 'Smart home' containing 'Appliances' (Gas, Electricity, Water) connected to 'Smart meters' (Gas, Electricity, Water). These meters are connected to a 'Communication interface' which links to 'Communication networks' and finally to a 'Smart metering operator'. + +**Figure 2 – Overview of smart metering** + +### 6.3 USN-based smart metering services + +The smart metering services shown in Figure 3 require technological facilities to support metering, and to exchange metering information between smart meters and metering operators in utility control centres. + +The basic characteristic of USN applications and services are gathering data by sensor networks and data transmission to a remote server through communication networks. Also, control information is transmitted to sensor networks from the remote server. Furthermore, if USN middleware is deployed, the middleware can provide USN applications or sensor networks with various functions such as data query, data mining, event processing, sensor network metadata directory service, data filtering, context-aware rule processing and sensor network management. + +These USN features can be applied to smart metering services. Sensor nodes in sensor networks have the capabilities of metering and delivering metered information to a server at a utility control centre. USN middleware can provide functions which are required by an on-demand remote meter reading scenario and a demand response meter reading scenario. + +A smart metering system can be implemented by sensor nodes and USN middleware as follows: + +- Smart metering sensor nodes: Each sensor node may have smart metering capabilities, therefore, sensor nodes can act as smart meters supporting the processing of smart metering information for smart metering procedures, such as meter reading collection and tariff setting. +- Smart metering gateway: A sensor network gateway or a USN gateway is capable of connecting a sensor network to another network with different architecture or protocols, permitting information exchange between them. Therefore a sensor network gateway or a USN gateway can be used as a smart metering gateway. A smart metering gateway is only responsible for delivering information between the sensor nodes (smart meters) and metering operators. In cases where a gateway has smart metering capabilities, it collects meter reading data and then delivers it to the metering operator(s). +- USN middleware [ITU-T F.744]: USN middleware provides data filtering, data query, data mining and context-aware rule processing, etc. These features of USN middleware satisfy meter reading data processing requirements and can be applied to an on-demand remote meter reading scenario and a demand response meter reading scenario. + +![Figure 3: Smart metering services based on USN. The diagram illustrates a three-tier architecture. At the top, the 'Smart metering operator' is enclosed in a dashed box and contains several server icons and a cloud, with the label 'Servers a)'. This operator is connected to a central 'Transport network' cloud containing a mesh of nodes. Below the transport network, the 'Sensor networks' section is enclosed in a dashed box and includes two types of networks: a 'Smart home' and a 'Smart building'. Each network contains multiple 'Sensor node a) (smart metering)' icons. These sensor networks are connected to 'USN gateway a)' devices, which in turn connect to the transport network. A footnote at the bottom left states 'a) USN middleware is optionally included'. The bottom right corner is labeled 'F.747.1(12)_F03'.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Figure 3: Smart metering services based on USN. The diagram illustrates a three-tier architecture. At the top, the 'Smart metering operator' is enclosed in a dashed box and contains several server icons and a cloud, with the label 'Servers a)'. This operator is connected to a central 'Transport network' cloud containing a mesh of nodes. Below the transport network, the 'Sensor networks' section is enclosed in a dashed box and includes two types of networks: a 'Smart home' and a 'Smart building'. Each network contains multiple 'Sensor node a) (smart metering)' icons. These sensor networks are connected to 'USN gateway a)' devices, which in turn connect to the transport network. A footnote at the bottom left states 'a) USN middleware is optionally included'. The bottom right corner is labeled 'F.747.1(12)\_F03'. + +**Figure 3 – Smart metering services based on USN** + +## 7 Smart metering service scenarios + +The following scenarios illustrate the use of smart metering services. + +### 7.1 Scenario I: Regularly scheduled remote meter reading + +Scenario I in Figure 4 describes procedures where meter reading data are delivered to smart metering operators at regularly scheduled intervals. + +- 1) A smart metering operator sends a message including schedule information to smart meters. +- 2) Smart meters are configured with the schedule for measurement and data transfer. +- 3) According to the schedule, smart meters measure energy consumption from home appliances and obtain measurement data. +- 4) The smart meters deliver the data to the smart metering operator. + +![Sequence diagram for Scenario I: Regularly scheduled remote metering. The diagram shows interactions between Smart meter 1, Appliance 1, Smart meter 2, Appliance 2, and Smart metering operator. The process involves the operator sending schedule information to both smart meters, which then set their own measurement schedules. Subsequently, each smart meter performs a meter reading and sends metering information to its respective appliance. Finally, each smart meter sends metering information to the smart metering operator.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +``` + +sequenceDiagram + participant S1 as Smart meter 1 + participant A1 as Appliance 1 + participant S2 as Smart meter 2 + participant A2 as Appliance 2 + participant SMO as Smart metering operator + + SMO->>S1: Schedule information + SMO->>S2: Schedule information + S1->>S1: Setting schedule for measurement + S2->>S2: Setting schedule for measurement + S1->>S1: Meter reading + S1->>A1: Metering information + S2->>S2: Meter reading + S2->>SMO: Metering information + S1->>S1: Meter reading + S1->>A1: Metering information + S2->>S2: Meter reading + S2->>SMO: Metering information + S1->>S1: Meter reading + S1->>A1: Metering information + S2->>S2: Meter reading + S2->>SMO: Metering information + +``` + +Sequence diagram for Scenario I: Regularly scheduled remote metering. The diagram shows interactions between Smart meter 1, Appliance 1, Smart meter 2, Appliance 2, and Smart metering operator. The process involves the operator sending schedule information to both smart meters, which then set their own measurement schedules. Subsequently, each smart meter performs a meter reading and sends metering information to its respective appliance. Finally, each smart meter sends metering information to the smart metering operator. + +F.747.1(12)\_F04 + +**Figure 4 – Scenario I: Regularly scheduled remote metering** + +### 7.2 Scenario II: On-demand remote meter reading + +Scenario II in Figure 5 describes the procedures for when smart meters measure energy consumption and deliver the results to a smart metering operator on demand. + +- 1) When a smart metering operator collects measurement data from the smart meters, the operator sends a task message for smart meters to collect measurement data. +- 2) Smart meters verify the operator's message and, if the message is validated, they measure energy consumption. +- 3) The resulting data are delivered to the smart metering operator. + +NOTE – Figure 5 does not include the flow for the message verification, as this can be performed in a number of ways. + +![Sequence diagram for Scenario II: On-demand remote meter reading. The diagram shows interactions between Smart meter 1, Appliance 1, Smart meter 2, Appliance 2, and Smart metering operator. The operator sends control messages to both smart meters. Each smart meter performs a self-read (Meter reading) and then sends Metering information to the operator.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +``` + +sequenceDiagram + participant S1 as Smart meter 1 + participant A1 as Appliance 1 + participant S2 as Smart meter 2 + participant A2 as Appliance 2 + participant SO as Smart metering operator + + SO->>S1: Control message with a task + S1->>S1: Meter reading + S1->>SO: Metering information + SO->>S2: Control message with a task + S2->>S2: Meter reading + S2->>SO: Metering information + SO->>S1: Control message with a task + S1->>S1: Meter reading + S1->>SO: Metering information + +``` + +Sequence diagram for Scenario II: On-demand remote meter reading. The diagram shows interactions between Smart meter 1, Appliance 1, Smart meter 2, Appliance 2, and Smart metering operator. The operator sends control messages to both smart meters. Each smart meter performs a self-read (Meter reading) and then sends Metering information to the operator. + +F.747.1(12)\_F05 + +**Figure 5 – Scenario II: On-demand remote meter reading +(excluding the verification step)** + +### 7.3 Scenario III: Demand response + +Scenario III illustrated in Figure 6 describes customers responding to the metering operator's demands. + +- 1) A smart metering operator sends a message including schedule information to smart meters. +- 2) Smart meters are configured with the schedule for measurement and data transfer. +- 3) When the number of home appliances turned on simultaneously is on the increase, the total amount of energy consumption also steeply increases. +- 4) Information about the increasing amount of energy consumption is being reported to the smart metering operator at scheduled intervals, and the price of energy may also change according to the tariff policies (e.g., depending on supply and demand). +- 5) + - (a) The smart metering operator sends a message to inform consumers of the price change. + - (b) The smart metering operator sends load control messages to enforce the reduction of energy consumption or to force shut off due to a management policy. +- 6) + - (a) Smart meters display the message to the consumers, and the consumers may decide to reduce energy consumption, or the home appliances may be switched off by the consumer. + - (b) When receiving the load control messages, the smart meter displays the message and proceeds to shutting off the connected home appliance. + +![Sequence diagram for Scenario III: Demand response. The diagram shows interactions between Smart meter 1, Appliance 1, Smart metering operator, Smart meter 2, and Appliance 2. Key events include: 1. Smart metering operator sends 'Schedule information' to both smart meters. 2. Both smart meters perform a self-action 'Setting schedule for measurement'. 3. Smart meter 1 sends 'Meter reading' to Appliance 1. 4. Smart meter 2 sends 'Meter reading' to Appliance 2, which then performs a self-action 'Switched on'. 5. Both smart meters send 'Metering information' to the Smart metering operator. 6. The Smart metering operator sends 'Price of electricity changes' to both smart meters. 7. The Smart metering operator sends a 'Control message with the changed price information' to Smart meter 1 and a 'Control message to shut off electricity' to Smart meter 2. 8. Smart meter 1 performs a self-action 'Display the price changes of electricity', which then triggers Appliance 1 to perform a self-action 'Display the price changes of electricity' and a note 'Electricity consumption reduced by a consumer (or switched off)'. 9. Smart meter 2 performs a self-action 'Display message for shut-off', which then triggers Appliance 2 to perform a self-action 'Shut off electricity' and a note 'Automatically switched off'. 10. Both smart meters send 'Meter reading' to their respective appliances. 11. Both smart meters send 'Metering information' to the Smart metering operator.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +``` + +sequenceDiagram + participant SMO as Smart metering operator + participant SM1 as Smart meter 1 + participant A1 as Appliance 1 + participant SM2 as Smart meter 2 + participant A2 as Appliance 2 + + SMO->>SM1: Schedule information + SMO->>SM2: Schedule information + SM1->>SM1: Setting schedule for measurement + SM2->>SM2: Setting schedule for measurement + SM1->>A1: Meter reading + SM2->>A2: Meter reading + A2->>A2: Switched on + SM1->>SMO: Metering information + SM2->>SMO: Metering information + SMO->>SM1: Control message with the changed price information + SMO->>SM2: Control message to shut off electricity + SM1->>SM1: Display the price changes of electricity + A1->>A1: Display the price changes of electricity + Note over A1: Electricity consumption reduced by a consumer (or switched off) + SM2->>SM2: Display message for shut-off + A2->>A2: Shut off electricity + Note over A2: Automatically switched off + SM1->>A1: Meter reading + SM2->>A2: Meter reading + SM1->>SMO: Metering information + SM2->>SMO: Metering information + +``` + +Sequence diagram for Scenario III: Demand response. The diagram shows interactions between Smart meter 1, Appliance 1, Smart metering operator, Smart meter 2, and Appliance 2. Key events include: 1. Smart metering operator sends 'Schedule information' to both smart meters. 2. Both smart meters perform a self-action 'Setting schedule for measurement'. 3. Smart meter 1 sends 'Meter reading' to Appliance 1. 4. Smart meter 2 sends 'Meter reading' to Appliance 2, which then performs a self-action 'Switched on'. 5. Both smart meters send 'Metering information' to the Smart metering operator. 6. The Smart metering operator sends 'Price of electricity changes' to both smart meters. 7. The Smart metering operator sends a 'Control message with the changed price information' to Smart meter 1 and a 'Control message to shut off electricity' to Smart meter 2. 8. Smart meter 1 performs a self-action 'Display the price changes of electricity', which then triggers Appliance 1 to perform a self-action 'Display the price changes of electricity' and a note 'Electricity consumption reduced by a consumer (or switched off)'. 9. Smart meter 2 performs a self-action 'Display message for shut-off', which then triggers Appliance 2 to perform a self-action 'Shut off electricity' and a note 'Automatically switched off'. 10. Both smart meters send 'Meter reading' to their respective appliances. 11. Both smart meters send 'Metering information' to the Smart metering operator. + +F747.1(12)\_F06 + +**Figure 6 – Scenario III: Demand response** + +### 7.4 Scenario IV: Tariff configuration + +Scenario IV, illustrated in Figure 7 describes how the price of energy consumption is decided and configured within the meters. + +- 1) A smart metering operator sends a message including schedule information to smart meters. +- 2) Smart meters are set up with the schedule for measurement and data transfer. +- 3) The smart meters regularly deliver meter reading data to the metering operator according to regularly scheduled intervals. +- 4) The price of electricity may be dynamically changed by pricing policies (e.g., depending on supply and demand). +- 5) When the price changes, a message including changed price information is delivered to all the smart meters concerned. +- 6) The changed cost information may be shown on their displays, and the new cost is applied. + +![Sequence diagram for Scenario IV: Tariff configuration. The diagram shows interactions between Smart meter 1, Appliance 1, Smart metering operator, Smart meter 2, and Appliance 2. The process starts with the Smart metering operator sending 'Schedule information' to both Smart meter 1 and Smart meter 2. Each smart meter then performs a self-action 'Setting schedule for measurement'. Smart meter 1 sends 'Metering information' to the Smart metering operator, while Appliance 1 performs a self-action 'Meter reading'. Similarly, Smart meter 2 sends 'Metering information' to the Smart metering operator, while Appliance 2 performs a self-action 'Meter reading'. The Smart metering operator then sends 'Price of electricity changes' to both smart meters. Each smart meter performs a self-action 'Price of electricity changes' and then sends a 'Control message with the changed price information' to the Smart metering operator. The Smart metering operator then sends 'Control message with the changed price information' to both smart meters. Each smart meter performs a self-action 'Display the cost of electricity changes and new price applied'. Finally, each smart meter sends 'Metering information' to the Smart metering operator, while each appliance performs a self-action 'Meter reading'.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +``` + +sequenceDiagram + participant SMO as Smart metering operator + participant SM1 as Smart meter 1 + participant A1 as Appliance 1 + participant SM2 as Smart meter 2 + participant A2 as Appliance 2 + + SMO->>SM1: Schedule information + SMO->>SM2: Schedule information + SM1->>SM1: Setting schedule for measurement + SM2->>SM2: Setting schedule for measurement + SM1->>SMO: Metering information + A1->>A1: Meter reading + SM2->>SMO: Metering information + A2->>A2: Meter reading + SMO->>SM1: Price of electricity changes + SMO->>SM2: Price of electricity changes + SM1->>SM1: Price of electricity changes + SM2->>SM2: Price of electricity changes + SM1->>SMO: Control message with the changed price information + SM2->>SMO: Control message with the changed price information + SMO->>SM1: Control message with the changed price information + SMO->>SM2: Control message with the changed price information + SM1->>SM1: Display the cost of electricity changes and new price applied + SM2->>SM2: Display the cost of electricity changes and new price applied + SM1->>SMO: Metering information + A1->>A1: Meter reading + SM2->>SMO: Metering information + A2->>A2: Meter reading + +``` + +Sequence diagram for Scenario IV: Tariff configuration. The diagram shows interactions between Smart meter 1, Appliance 1, Smart metering operator, Smart meter 2, and Appliance 2. The process starts with the Smart metering operator sending 'Schedule information' to both Smart meter 1 and Smart meter 2. Each smart meter then performs a self-action 'Setting schedule for measurement'. Smart meter 1 sends 'Metering information' to the Smart metering operator, while Appliance 1 performs a self-action 'Meter reading'. Similarly, Smart meter 2 sends 'Metering information' to the Smart metering operator, while Appliance 2 performs a self-action 'Meter reading'. The Smart metering operator then sends 'Price of electricity changes' to both smart meters. Each smart meter performs a self-action 'Price of electricity changes' and then sends a 'Control message with the changed price information' to the Smart metering operator. The Smart metering operator then sends 'Control message with the changed price information' to both smart meters. Each smart meter performs a self-action 'Display the cost of electricity changes and new price applied'. Finally, each smart meter sends 'Metering information' to the Smart metering operator, while each appliance performs a self-action 'Meter reading'. + +F.747.1(12)\_F07 + +**Figure 7 – Scenario IV: Tariff configuration** + +### 7.5 Scenario V: Meter reading data aggregation + +This scenario describes the procedures of how meter reading data, obtained at scheduled intervals by smart meters, are collected at an aggregating smart meter (or at an aggregating smart metering gateway) and then delivered to metering operators. + +- 1) A smart metering operator sends the smart meters a message to request aggregated metering data. +- 2) Smart meters are configured to obtain meter reading data. +- 3) According to the schedule, smart meters measure energy consumption and obtain meter reading data from home appliances. +- 4) The obtained meter reading data are collected in an aggregating smart meter (or aggregating smart metering gateway). This is represented by Smart meter 2 in Figure 8. +- 5) Finally, meter reading data are transferred to a smart metering operator. + +![Sequence diagram for Scenario V: Meter reading aggregation. The diagram shows interactions between Smart meter 1, Appliance 1, Smart meter 2, Appliance 2, and Smart metering operator. The process starts with the Smart metering operator sending 'Schedule and task information' to both Smart meter 1 and Smart meter 2. Each smart meter then performs a self-action 'Setting schedule for measurement'. Smart meter 1 sends 'Meter reading' to Appliance 1, which then sends 'Metering information' to Smart meter 1. Smart meter 2 sends 'Meter reading' to Appliance 2, which then sends 'Metering information' to Smart meter 2. Smart meter 2 performs a self-action 'Data aggregation' and sends 'Aggregated metering information' to the Smart metering operator. Smart meter 1 sends 'Meter reading' to Appliance 1, which then sends 'Metering information' to Smart meter 1. Smart meter 1 performs a self-action 'Data aggregation' and sends 'Aggregated metering information' to the Smart metering operator. The diagram is labeled F.747.1(12)_F08.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +``` + +sequenceDiagram + participant S1 as Smart meter 1 + participant A1 as Appliance 1 + participant S2 as Smart meter 2 + participant A2 as Appliance 2 + participant SMO as Smart metering operator + + SMO->>S1: Schedule and task information + SMO->>S2: Schedule and task information + S1->>S1: Setting schedule for measurement + S2->>S2: Setting schedule for measurement + S1->>A1: Meter reading + A1->>S1: Metering information + S2->>A2: Meter reading + A2->>S2: Metering information + S2->>S2: Data aggregation + S2->>SMO: Aggregated metering information + S1->>A1: Meter reading + A1->>S1: Metering information + S1->>S1: Data aggregation + S1->>SMO: Aggregated metering information + +``` + +Sequence diagram for Scenario V: Meter reading aggregation. The diagram shows interactions between Smart meter 1, Appliance 1, Smart meter 2, Appliance 2, and Smart metering operator. The process starts with the Smart metering operator sending 'Schedule and task information' to both Smart meter 1 and Smart meter 2. Each smart meter then performs a self-action 'Setting schedule for measurement'. Smart meter 1 sends 'Meter reading' to Appliance 1, which then sends 'Metering information' to Smart meter 1. Smart meter 2 sends 'Meter reading' to Appliance 2, which then sends 'Metering information' to Smart meter 2. Smart meter 2 performs a self-action 'Data aggregation' and sends 'Aggregated metering information' to the Smart metering operator. Smart meter 1 sends 'Meter reading' to Appliance 1, which then sends 'Metering information' to Smart meter 1. Smart meter 1 performs a self-action 'Data aggregation' and sends 'Aggregated metering information' to the Smart metering operator. The diagram is labeled F.747.1(12)\_F08. + +**Figure 8 – Scenario V: Meter reading aggregation** + +## 8 Network and USN requirements for smart metering services + +This clause specifies the sub-set of smart metering service requirements that relate to sensor networks and USNs. + +### 8.1 Time synchronization + +In smart metering services, exchanged data uses time stamps between smart meters and the systems of smart metering operators. Therefore, accurate and secure time synchronization should be supported in smart metering systems. + +### 8.2 Reliable information delivery + +In smart metering services, meter reading data can be frequently transferred from distributed meters, and also operators can send many control messages to smart meters. If delivery has failed, the operators cannot collect all of the meter reading data from smart meters. Therefore, smart metering services are required to provide reliable information delivery, such as meter reading data and control messages described in the scenarios of clause 7. + +### 8.3 Minimal time delay + +In the case of on-demand remote meter reading, a meter reading request and response should be delivered to the requesting entity with a minimal time delay. + +### 8.4 Real-time delivery of meter reading data + +The demands of smart metering operators require real-time responses of interconnected consumer premises equipment. Additionally, meter reading data are required to arrive at the metering operators in real-time (e.g., step 3 of scenarios I and II). Smart metering services are required to guarantee real-time data exchange. + +### **8.5 Bidirectional communication between meters and operators** + +Meter reading data are delivered from smart meters to smart metering operators as shown in step 3 of scenarios I and II, and step 2 of Scenario III. Control messages are also sent to and from the operators and the smart meters (e.g., in step 5 of Scenario III and step 3 of Scenario IV). In order to achieve this, smart metering services are required to support bidirectional communication between meters and operators. + +### **8.6 Security support including the authorization of operator and data confidentiality** + +Operators need to control meters so that the meters take action in accordance with their instructions. In this case, the operators should be authorized by smart meters to take actions to secure against unauthorized access (step 2 of Scenario II). + +As metering information may include personal information, it should not be revealed to unauthenticated third parties. Therefore, it is required to secure metering information from access by unauthenticated third parties as well as to support the integrity check of the data exchanged. + +### **8.7 Authentication of smart meters** + +Smart meters should be authenticated by smart metering applications. Authentication of smart metering devices can be achieved directly by smart metering applications, or by the authenticated smart metering gateways. + +### **8.8 Meter reading data processing** + +Both operators and smart meters should be able to perform data processing on meter reading, such as filtering, validation and aggregation. In some cases, data mining processing is necessary, for example, analysing patterns and predicting some events. + +### **8.9 Monitoring and management of smart meters** + +Smart meters or smart metering gateways should be monitored proactively in order to attempt to prevent and to correct errors. In addition, the following management capabilities should be supported from the network side: + +- secure software and firmware provisioning +- configuration management +- auto-configuration functions for smart meter area networks + +During the operation of smart metering services, smart metering applications should be able to specify a regular reporting schedule (Scenario I) for specific parameters and specific metering devices. Also, smart metering applications should be able to modify the value of the requested time period. Smart metering applications should be able to change the tariff configuration of smart meters when needed. + +## **9 USN capabilities for smart metering services** + +### **9.1 Time synchronization** + +USN is required to support accurate and secure time synchronization among sensor nodes, sensor network gateways and smart metering applications. + +### **9.2 Reliable transmission** + +Smart metering requires reliability of metering information delivery to ensure correct results. Therefore, a USN is recommended to guarantee the reliable transmission of measurement data and message delivery. + +### **9.3 Scalability** + +New smart meters (sensor nodes) can be added to, or one of the existing meters (sensor nodes) can be removed from an existing smart metering group (sensor networks). Such a change should not degrade the performance of the smart metering service. Therefore, sensor networks in USNs are required to support scalability. + +### **9.4 Mobility support** + +In some cases, a consumer can change the location of home appliances. This change may require changes in a meters' position in the intra-sensor network or inter-sensor networks. Therefore, sensor networks in USNs are recommended to support the mobility of smart meters (sensor nodes). + +### **9.5 Delivery latency** + +Meter reading data should be delivered with a minimal time delay or within a pre-set time. Therefore, a USN is recommended to guarantee data delivery with a minimal time delay or within a pre-set time. + +### **9.6 Fault detection and recovery** + +Link failure between wireless nodes is possible due to the characteristics of wireless transmission. Such failure can present negative effects on the reliability and delivery latency of smart metering services. A USN is recommended to detect link failures and recover from such failures. + +### **9.7 Security supporting confidentiality, integrity check, authorization and authentication** + +Meter reading data and messages may be transferred to/from operators and meters by hop-by-hop transmission amongst sensor nodes. Therefore, hop-by-hop security among sensor nodes is recommended to be implemented and a USN is recommended to provide an integrity check of the data exchanged. In addition, the USN is recommended to provide smart meters with authorization capabilities for access to smart meters of smart metering operators. + +Smart meters should be authenticated by smart metering applications directly, or through a smart metering gateway. Therefore, a USN is recommended to provide an authentication capability to smart metering applications for the authentication of smart meters (sensor nodes). + +### **9.8 Connectivity** + +Meter reading data, obtained from each sensor node, are collected by a gateway, and then the collected meter reading data are delivered to smart metering operators through transport networks. In addition, control messages of the operators are also delivered to each sensor node. In order to achieve this, it is recommended that connectivity be guaranteed amongst sensor nodes, between sensor nodes and the gateway, and between the gateway and outer networks. + +### **9.9 Unicasting and multicasting** + +A unicast networking service is required to be supported amongst sensor nodes so that meter reading data are delivered to smart metering operators. Furthermore, control messages of the metering operators should be delivered to all sensor nodes. Therefore, multicast networking support is also required. + +### **9.10 Data aggregation** + +Meter reading data from smart meters is collected and aggregated at a smart meter (sensor node) or at smart metering gateways, prior to data transfer to smart metering operators. Therefore, USN sensor nodes and gateways are required to support data aggregation. + +### **9.11 Distributed processing** + +If there are a number of smart meters (sensor nodes) in a smart home or building, a large number of meter reading data sets may be sent at the same time to a smart metering operator. To prevent node and service failure because of burst data centralization, distributed processing is required. + +### **9.12 Monitoring and management of sensor nodes** + +Smart meters (sensor nodes) or smart metering gateways (sensor network gateways) are recommended to be monitored and managed proactively in order to attempt to prevent and correct errors including secure software and firmware provisioning and configuration management, as well as, auto-configuration functions for sensor networks. + +Smart metering applications may also require a change of parameters in the smart meter for regularly scheduled reporting, as well as for changing tariff configuration. For satisfying this requirement, a USN is recommended to support the remote configuration setting and re-setting of sensor nodes acting as smart meters. + +## Bibliography + +- [b-ETSI TR 102 691] ETSI TR 102 691 v1.1.1 (2010), *Machine-to-Machine communications (M2M); Smart Metering Use Cases*. +- [b-Khalifa] T. Khalifa, Naik, K. and Nayak, A. (2011), *A Survey of Communication Protocols for Automatic Meter Reading Applications*, Communications Surveys and Tutorials, Vol. 13, No. 2; pp.168-182, IEEE. +- [b-NIST] NIST SP-1108 (2010), *Framework and Roadmap for Smart Grid Interoperability Standards*, Release 1.0, NIST. +<[http://www.nist.gov/public\\_affairs/releases/upload/smartgrid\\_interoperability\\_final.pdf](http://www.nist.gov/public_affairs/releases/upload/smartgrid_interoperability_final.pdf)> + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|---------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | 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+1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:d3374dec186041233f6648bfe3b2fca4cd7a82aefdb4c4d3e4aefdbea934765a +size 40482 diff --git a/marked/Y/T-REC-Y.1231-200011-I_PDF-E/raw.md b/marked/Y/T-REC-Y.1231-200011-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..bdc0d4e695d3a9c51d99c8b8ed0a6ab7f3468070 --- /dev/null +++ b/marked/Y/T-REC-Y.1231-200011-I_PDF-E/raw.md @@ -0,0 +1,606 @@ + + +![ITU logo: a globe with the letters ITU inside, and a lightning bolt striking the globe.](2dfa6ac3edfe874f68aa0cbccaa42322_img.jpg) + +ITU logo: a globe with the letters ITU inside, and a lightning bolt striking the globe. + +INTERNATIONAL TELECOMMUNICATION UNION + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.1231 + +(11/2000) + +SERIES Y: GLOBAL INFORMATION INFRASTRUCTURE +AND INTERNET PROTOCOL ASPECTS + +Internet protocol aspects – Architecture, access, network +capabilities and resource management + +# --- **IP access network architecture** + +ITU-T Recommendation Y.1231 + +(Formerly CCITT Recommendation) + +--- + +## ITU-T Y-SERIES RECOMMENDATIONS GLOBAL INFORMATION INFRASTRUCTURE AND INTERNET PROTOCOL ASPECTS + +| | | +|---------------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **IP access network architecture** + +## **Summary** + +This Recommendation provides the definitions of terminology regarding IP access, and the high-level IP network architecture and models for the IP services. It describes the access types and interfaces to be supported by the IP access network, the IP access network capabilities and requirements, and the IP access network functional models and possible arrangements. + +###### **Source** + +ITU-T Recommendation Y.1231 was prepared by ITU-T Study Group 13 (2001-2004) and approved under the WTSA Resolution 1 procedure on 24 November 2000. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications. The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementors are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database. + +© ITU 2001 + +All rights reserved. No part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from ITU. + +## CONTENTS + +| | Page | +|---------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 2.1 Normative references ..... | 1 | +| 2.2 Informative references ..... | 2 | +| 3 Definitions and abbreviations ..... | 2 | +| 3.1 Definitions ..... | 2 | +| 3.2 Abbreviations..... | 2 | +| 4 Architectural model of IP access networks..... | 4 | +| 4.1 General network architecture of IP network..... | 4 | +| 4.2 IP access network reference model..... | 5 | +| 5 Examples of functional models of IP Access Network..... | 6 | +| 5.1 Use of PPP ..... | 6 | +| 5.1.1 PPP tunnelling aggregation..... | 7 | +| 5.1.2 PPP terminated aggregation..... | 8 | +| 5.2 Use of Ethernet ..... | 9 | +| 6 Examples of access types and interfaces in IP access network..... | 10 | +| 7 Examples of functional requirements for IP Access..... | 10 | +| Appendix I – Examples of IP mapping mechanisms ..... | 10 | +| I.1 IP over PPP over ATM ..... | 10 | +| I.2 IP over ATM..... | 11 | +| I.3 IP over Frame Relay..... | 11 | +| I.4 IP over PPP over PHY ..... | 11 | +| I.5 IP over Ethernet ..... | 12 | +| I.6 IP over PPP over Ethernet..... | 12 | +| Appendix II – An example of functional model of CATV access..... | 13 | + +# **1 Scope** + +This Recommendation defines the functional IP Access Network architecture and the functions and requirements above the transport access functions defined in ITU-T Y.1001. The functional requirements for the Access Network Transport are defined for the handling and transport of digital bearer signals defined in ITU-T G.902. + +This Recommendation describes: + +- the definitions of terminology regarding IP access; +- the high-level IP network architecture and models for the IP services; +- the access types and interfaces to be supported by the IP access network; +- the IP access network capabilities and requirements; and +- the IP access network functional models and possible arrangements. + +The functional view of IP access network is independent of the access network transport functions described in ITU-T Y.1001. + +# **2 References** + +The following ITU-T Recommendations and other references contain provisions which, through references in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; all users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. + +NOTE – A reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +## **2.1 Normative references** + +- [1] ITU-T Q.922 (1992), *ISDN data link layer specification for frame mode bearer services*. +- [2] ITU-T I.363.5 (1996), *B-ISDN ATM Adaptation Layer specification: Type 5 AAL*. +- [3] ITU-T I.414 (1997), *Overview of Recommendations on Layer 1 for ISDN and B-ISDN customer accesses*. +- [4] ITU-T G.902 (1995), *Framework Recommendation on functional Access Networks (AN) – Architecture and functions, access types, management and service node aspects*. +- [5] ITU-T Y.1001 (2000), *IP framework – A framework of convergence of telecommunications network and IP network technologies*. +- [6] ITU-T Y.1401 (2000), *General requirements for interworking with Internet Protocol (IP)-based networks*. +- [7] ISO/IEC 8802-2:1998, *Information technology – Telecommunications and information exchange between systems – Local and metropolitan area networks – Specific requirements – Part 2: Logical link control*. + +## 2.2 Informative references + +- [8] IEEE Std 802.2 (1998), *Logical link control (802.2)*. +- [9] IEEE Std 802.3 (1998), *CSMA/CD access method (802.3)*. +- [10] Data-Over-Cable Service Interface Specifications, Cable Modem to Customer Premise Equipment Interface Specification, SP-CMCI-I03-991115, Cable Television Laboratories, Inc. +- [11] IETF RFC 894 (1984), *A Standard for the Transmission of IP Datagrams over Ethernet Networks*. +- [12] IETF RFC 1042 (1988), *A Standard for the Transmission of IP Datagrams over IEEE 802 Networks*. +- [13] IETF RFC 1334 (1992), *Password Authentication Protocols*. +- [14] IETF RFC 2684 (1999), *Multiprotocol Encapsulation over ATM Adaptation Layer 5*. +- [15] IETF RFC 1661 (1994), *The Point-to-Point Protocol (PPP)*. +- [16] IETF RFC 1662 (1994), *PPP in HDLC-like Framing*. +- [17] IETF RFC 1994 (1996), *PPP Challenge Handshake Authentication Protocol (CHAP)*. +- [18] IETF RFC 2138 (1997), *Remote Authentication Dial In User Services (RADIUS)*. +- [19] IETF RFC 2225 (1998), *Classical IP and ARP over ATM*. +- [20] IETF RFC 2364 (1998), *PPP over AAL5*. +- [21] IETF RFC 2427 (1998), *Multiprotocol Interconnect over Frame Relay*. +- [22] IETF RFC 2661 (1999), *Layer Two Tunnelling Protocol (L2TP)*. +- [23] IETF RFC 2516 (1999), *A Method for Transmitting PPP Over Ethernet (PPPoE)*. + +# 3 Definitions and abbreviations + +## 3.1 Definitions + +This Recommendation defines the following terms: + +**3.1.1 IP access network:** An implementation comprising network entities to provide the required access capabilities between an "IP user" and an "IP service provider" for the provision of IP services. "IP user" and "IP service provider" are logical entities which terminate the IP layer and/or IP related functions, and may also include lower layer functions, and may also include lower layer functions. + +**3.1.2 IP core network:** IP service provider's network, including one or more IP service providers. + +## 3.2 Abbreviations + +This Recommendation uses the following abbreviations: + +| | | +|------|----------------------------------------------| +| AAA | Authentication, Authorization and Accounting | +| AF | Access Function | +| ARP | Address Resolution Protocol | +| ATM | Asynchronous Transfer Mode | +| CHAP | Challenge Handshake Authentication Protocol | +| CMCI | Cable Modem to CPE Interface | + +| | | +|--------|--------------------------------------------------| +| CMTS | Cable Modem Termination System | +| CPE | Customer Premises Equipment | +| CPN | Customer Premises Network | +| DHCP | Dynamic Host Configuration Protocol | +| DIX | Digital Intel Xerox | +| DOCSIS | Data-Over-Cable Service Interface Specifications | +| EF | Edge Function | +| FR | Frame Relay | +| HFC | Hybrid Fibre and Coax | +| IP | Internet Protocol | +| IPSEC | Internet Protocol Security | +| ISDN | Integrated Services Digital Network | +| IWF | InterWorking Function | +| LAN | Local Area Network | +| LLC | Logical Link Control | +| L2TP | Layer 2 Tunnelling Protocol | +| MAC | Medium Access Control | +| MPLS | Multiprotocol Label Switching | +| NAT | Network Address Translation | +| NSI | Network Side Interface | +| NT | Network Termination | +| PAP | Password Authentication Protocol | +| PC | Personal Computer | +| PCI | Peripheral Component Interface | +| PHY | Physical Layer | +| PON | Passive Optical Network | +| PPP | Point-to-Point Protocol | +| PSTN | Public Switched Telephone Network | +| RADIUS | Remote Access Dial In User Services | +| RFI | Radio Frequency Interface | +| RP | Reference Point | +| SNMP | Simple Network Management Protocol | +| TE | Terminal Equipment | +| TEL | Telephone | +| TFTP | Trivial File Transfer Protocol | +| UDP | User Datagram Protocol | +| VCI | Virtual Channel Identifier | + +VPI        Virtual Path Identifier +WAN       Wide Area Network + +# 4 Architectural model of IP access networks + +## 4.1 General network architecture of IP network + +Figure 1a shows a general network architecture of IP network. In Figure 1a, the lines between various rectangles and ellipses represent connections that are bidirectional, that may be asymmetrical in bit rate, and that may be of differing media in the two directions. The reference points (RP) illustrated are logical separation between the functions and may not correspond to physical interfaces in certain network implementations. In certain network implementations, access and core networks may not be separable. + +![Figure 1a: General network architecture of IP network. The diagram shows a symmetrical architecture. On the left, a group of three rectangles labeled 'TE', 'PC', and 'TEL' is connected to a large oval. Below this oval is a bracket labeled 'CPN'. This oval is connected to an oval labeled 'IP Access Network'. A dashed line labeled 'RP' separates the 'IP Access Network' from an oval labeled 'IP Core Network'. Another dashed line labeled 'RP' separates the 'IP Core Network' from a second oval labeled 'IP Access Network'. This second 'IP Access Network' is connected to another large oval, which is in turn connected to a group of three rectangles labeled 'TE', 'PC', and 'TEL'. Below this oval is a bracket labeled 'CPN'. The entire structure is symmetrical around the central 'IP Core Network'.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +T1317460-00 + +Figure 1a: General network architecture of IP network. The diagram shows a symmetrical architecture. On the left, a group of three rectangles labeled 'TE', 'PC', and 'TEL' is connected to a large oval. Below this oval is a bracket labeled 'CPN'. This oval is connected to an oval labeled 'IP Access Network'. A dashed line labeled 'RP' separates the 'IP Access Network' from an oval labeled 'IP Core Network'. Another dashed line labeled 'RP' separates the 'IP Core Network' from a second oval labeled 'IP Access Network'. This second 'IP Access Network' is connected to another large oval, which is in turn connected to a group of three rectangles labeled 'TE', 'PC', and 'TEL'. Below this oval is a bracket labeled 'CPN'. The entire structure is symmetrical around the central 'IP Core Network'. + +**Figure 1a/Y.1231 – General network architecture of IP network** + +Figure 1b shows an example of relationship between IP network and PSTN/ISDN. In Figure 1b, some connections and InterWorking Function (IWF) between IP Access/Core network and PSTN/ISDN are shown as an example, but not all PSTN/ISDN connections may be necessary. A definition of IWF is described in ITU-T Y.1401 [6]. + +![Figure 1b/Y.1231: An example of relationship between IP network and PSTN/ISDN. The diagram shows a central PSTN/ISDN oval at the top. Below it are three IWF (Interworking Function) boxes, each connected to the PSTN/ISDN. These IWFs connect to three IP Access Network ovals, which are connected to an IP Core Network oval. The IP Access Networks are connected to three CPN (Customer Premises Network) ovals. Each CPN contains a TEL (Telephone) box, a PC (Personal Computer) box, and a TE (Terminal Equipment) box. The connections between the IP Access Networks and the IP Core Network are labeled RP (Residual Port).](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +T1317470-00 + +Figure 1b/Y.1231: An example of relationship between IP network and PSTN/ISDN. The diagram shows a central PSTN/ISDN oval at the top. Below it are three IWF (Interworking Function) boxes, each connected to the PSTN/ISDN. These IWFs connect to three IP Access Network ovals, which are connected to an IP Core Network oval. The IP Access Networks are connected to three CPN (Customer Premises Network) ovals. Each CPN contains a TEL (Telephone) box, a PC (Personal Computer) box, and a TE (Terminal Equipment) box. The connections between the IP Access Networks and the IP Core Network are labeled RP (Residual Port). + +**Figure 1b/Y.1231 – An example of relationship between IP network and PSTN/ISDN** + +## 4.2 IP access network reference model + +Figure 2 shows an example of IP access network reference model. In some cases, the IP access Function (IP-AF) can be distributed within the IP Access Network. Examples of the IP-AF are described in clause 7. + +The functional requirements for the Access Network Transport are defined for the handling and transport of digital bearer signals defined in ITU-T G.902 [4]. + +The functional view of IP access network is independent of the access network transport functions described in ITU-T Y.1001 [5]. + +![Figure 2/Y.1231: IP Access Network architecture example. The diagram shows a central IP Access Network box. Inside this box are three stacked components: IP Access Network System Management (top), IP Access Function (middle), and Access Network Transport Function (bottom). A dashed line labeled 'RP' for management interface connects the top of the IP Access Network box to a management interface. The IP Access Network box is connected to a CPN (Customer Premises Network) oval on the left and an IP Core Network oval on the right. The connections are labeled RP. The IP Core Network contains three stacked ovals: IP Service Provider 1, IP Service Provider 2, and IP Service Provider 3. A double-headed arrow at the bottom indicates the IP Access Network span.](053f1077d592e6622cd21dc4bb4cb366_img.jpg) + +T1317480-00 + +Figure 2/Y.1231: IP Access Network architecture example. The diagram shows a central IP Access Network box. Inside this box are three stacked components: IP Access Network System Management (top), IP Access Function (middle), and Access Network Transport Function (bottom). A dashed line labeled 'RP' for management interface connects the top of the IP Access Network box to a management interface. The IP Access Network box is connected to a CPN (Customer Premises Network) oval on the left and an IP Core Network oval on the right. The connections are labeled RP. The IP Core Network contains three stacked ovals: IP Service Provider 1, IP Service Provider 2, and IP Service Provider 3. A double-headed arrow at the bottom indicates the IP Access Network span. + +**Figure 2/Y.1231 – IP Access Network architecture example** + +# 5 Examples of functional models of IP Access Network + +## 5.1 Use of PPP + +In this clause, PPP is shown as an example for protocol used to carry IP over access network. PPP is a widely used protocol for dial-up IP access and ADSL access. PPP termination point in the network side interacts with AAA (Authentication, Authorization and Accounting) server (e.g. RADIUS server) and provides AAA functions. + +Figures 3a and 3b provide the following two options regarding PPP termination point in the network side: + +- 1) PPP tunnelling aggregation (PPP is terminated by IP service provider); and +- 2) PPP terminated aggregation (PPP is terminated by the IP access function). + +![Figure 3a: PPP tunnelling aggregation architecture diagram.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +The diagram illustrates the PPP tunnelling aggregation architecture. It consists of three main components: IP User, IP Access Function, and IP Service Provider. The IP User contains a PPP Termination Function. The IP Access Function is a central box. The IP Service Provider contains a PPP Termination Function, an AAA Client Function, and an AAA Server Function. A horizontal line connects the PPP Termination Function in the IP User to the PPP Termination Function in the IP Service Provider. The IP Access Function is positioned between them, with a vertical line connecting the PPP Termination Function in the IP Service Provider to the AAA Client Function, which in turn connects to the AAA Server Function. + +T1317490-00 + +Figure 3a: PPP tunnelling aggregation architecture diagram. + +**Figure 3a/Y.1231 – PPP tunnelling aggregation** + +![Figure 3b: PPP terminated aggregation architecture diagram.](8e14350b4b669119a3bdfca7869110ca_img.jpg) + +The diagram illustrates the PPP terminated aggregation architecture. It consists of three main components: IP User, IP Access Function, and IP Service Provider. The IP User contains a PPP box. The IP Access Function contains a PPP box and an AAA Client box. The IP Service Provider is an empty box. A horizontal line connects the PPP box in the IP User to the PPP box in the IP Access Function. Another horizontal line connects the PPP box in the IP Access Function to the IP Service Provider. A vertical line connects the AAA Client box in the IP Access Function to an AAA Server box below it. + +T1317500-00 + +Figure 3b: PPP terminated aggregation architecture diagram. + +**Figure 3b/Y.1231 – PPP terminated aggregation** + +### 5.1.1 PPP tunnelling aggregation + +This clause gives some examples of protocol stacks for the PPP tunnelling aggregation. In this case, "IP user" directly accesses the "IP service provider". Several transport systems can be cascaded without IP and PPP processing in the access network. + +#### Case 1) Layer 2 multiplexing in IP access network (e.g. direct IP access) + +This is a case that only Layer 2 multiplexing transport function such as ATM or FR are supported in IP access network. This functional model is shown in Figure 4. + +![Figure 4: Functional model of Layer 2 multiplexing. The diagram shows three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has IP, PPP, and PHY layers. The IP Access Function stack has a PHY layer and a diagonal section labeled 'ATM, FR etc.'. The IP Service Provider stack has IP, PPP, ATM, FR etc., and PHY layers. Arrows indicate connections: IP to IP, PPP to PPP, and PHY to PHY. The IP Access Function's PHY layer connects to the IP User's PHY layer and the IP Service Provider's PHY layer.](1439cb942d9e363bbb3161b5540dd8c6_img.jpg) + +Figure 4: Functional model of Layer 2 multiplexing. The diagram shows three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has IP, PPP, and PHY layers. The IP Access Function stack has a PHY layer and a diagonal section labeled 'ATM, FR etc.'. The IP Service Provider stack has IP, PPP, ATM, FR etc., and PHY layers. Arrows indicate connections: IP to IP, PPP to PPP, and PHY to PHY. The IP Access Function's PHY layer connects to the IP User's PHY layer and the IP Service Provider's PHY layer. + +T1317510-00 + +**Figure 4/Y.1231 – Functional model of Layer 2 multiplexing** + +#### Case 2) PPP tunnelling (e.g. L2TP [22]) + +This is a case that L2TP function is used in IP access network. This functional model is shown in Figure 5. + +![Figure 5: Functional model of PPP tunnelling. The diagram shows three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has IP, PPP, and PHY layers. The IP Access Function stack has a PHY layer, a diagonal section labeled 'L2TP', and an IP (Note) layer. The IP Service Provider stack has IP, PPP, L2TP, IP (Note), ATM, FR etc., and PHY layers. Arrows indicate connections: IP to IP, PPP to PPP, L2TP to L2TP, IP (Note) to IP (Note), and PHY to PHY. The IP Access Function's PHY layer connects to the IP User's PHY layer and the IP Service Provider's PHY layer.](fbfa653853daf5541118a9ddecb92284_img.jpg) + +Figure 5: Functional model of PPP tunnelling. The diagram shows three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has IP, PPP, and PHY layers. The IP Access Function stack has a PHY layer, a diagonal section labeled 'L2TP', and an IP (Note) layer. The IP Service Provider stack has IP, PPP, L2TP, IP (Note), ATM, FR etc., and PHY layers. Arrows indicate connections: IP to IP, PPP to PPP, L2TP to L2TP, IP (Note) to IP (Note), and PHY to PHY. The IP Access Function's PHY layer connects to the IP User's PHY layer and the IP Service Provider's PHY layer. + +T1317520-00 + +NOTE – This IP layer provides a transport function between IP access function and IP service provider. + +**Figure 5/Y.1231 – Functional model of PPP tunnelling** + +### 5.1.2 PPP terminated aggregation + +This clause gives some examples of protocol stacks for the PPP terminated aggregation. In this case, PPP is terminated in IP access network. + +#### Case 1) IP tunnelling (e.g. IPSEC) + +This is a case that IP tunnelling is used in IP access network. This functional model is shown in Figure 6. + +![Figure 6: Functional model of IP tunnelling. The diagram shows three protocol stacks: IP User, IP Access Function, and IP Service Provider. The IP User stack has IP, PPP, and PHY layers. The IP Access Function stack is split into two paths: one with PPP and PHY layers, and another with IPSEC, IP (Note), ATM, FR etc., and PHY layers. The IP Service Provider stack has IP, IPSEC, IP (Note), ATM, FR etc., and PHY layers. Arrows indicate bidirectional communication between corresponding layers across the stacks. A reference code T1317530-00 is at the bottom right.](cab0834804fb031b43865554cc8d06ab_img.jpg) + +T1317530-00 + +Figure 6: Functional model of IP tunnelling. The diagram shows three protocol stacks: IP User, IP Access Function, and IP Service Provider. The IP User stack has IP, PPP, and PHY layers. The IP Access Function stack is split into two paths: one with PPP and PHY layers, and another with IPSEC, IP (Note), ATM, FR etc., and PHY layers. The IP Service Provider stack has IP, IPSEC, IP (Note), ATM, FR etc., and PHY layers. Arrows indicate bidirectional communication between corresponding layers across the stacks. A reference code T1317530-00 is at the bottom right. + +NOTE – This IP layer provides a transport function between IP access function and IP service provider. + +**Figure 6/Y.1231 – Functional model of IP tunnelling** + +#### Case 2-1) Layer 3 routing (e.g. IP router) + +This is a case that IP handling function such as IP router exists in IP access network. This functional model is shown in Figure 7. + +![Figure 7: Functional model of L3 routing. The diagram shows three protocol stacks: IP User, IP Access Function, and IP Service Provider. The IP User stack has IP, PPP, and PHY layers. The IP Access Function stack is split into two paths: one with IP and PHY layers, and another with PPP, ATM, FR etc., and PHY layers. The IP Service Provider stack has IP, ATM, FR etc., and PHY layers. Arrows indicate bidirectional communication between corresponding layers across the stacks. A reference code T1317540-00 is at the bottom right.](e9d825d87c5f85c8dba0664eace96ef4_img.jpg) + +T1317540-00 + +Figure 7: Functional model of L3 routing. The diagram shows three protocol stacks: IP User, IP Access Function, and IP Service Provider. The IP User stack has IP, PPP, and PHY layers. The IP Access Function stack is split into two paths: one with IP and PHY layers, and another with PPP, ATM, FR etc., and PHY layers. The IP Service Provider stack has IP, ATM, FR etc., and PHY layers. Arrows indicate bidirectional communication between corresponding layers across the stacks. A reference code T1317540-00 is at the bottom right. + +**Figure 7/Y.1231 – Functional model of L3 routing** + +#### Case 2-2) Virtual router + +This is also a case that IP handling function exists in IP access network. This functional model is shown in Figure 8. + +![Figure 8/Y.1231 – Functional model of virtual router. This diagram shows the functional model of a virtual router. It consists of three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has three layers: IP, PPP, and PHY. The IP Access Function stack is divided into two parts: a left part with IP, PPP, and PHY layers, and a right part with IP, ATM, FR etc., and PHY layers. The IP Service Provider stack has three layers: IP, ATM, FR etc., and PHY. Bidirectional arrows connect the IP layers of all three components. Bidirectional arrows connect the PPP layer of the IP User to the PPP layer of the IP Access Function. Bidirectional arrows connect the PHY layer of the IP User to the PHY layer of the IP Access Function. Bidirectional arrows connect the ATM, FR etc. layer of the IP Access Function to the ATM, FR etc. layer of the IP Service Provider. Bidirectional arrows connect the PHY layer of the IP Access Function to the PHY layer of the IP Service Provider. A label 'Multiple instances of IP routing tables for each virtual router' points to the IP layer of the IP Access Function.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +T1317550-00 + +Figure 8/Y.1231 – Functional model of virtual router. This diagram shows the functional model of a virtual router. It consists of three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has three layers: IP, PPP, and PHY. The IP Access Function stack is divided into two parts: a left part with IP, PPP, and PHY layers, and a right part with IP, ATM, FR etc., and PHY layers. The IP Service Provider stack has three layers: IP, ATM, FR etc., and PHY. Bidirectional arrows connect the IP layers of all three components. Bidirectional arrows connect the PPP layer of the IP User to the PPP layer of the IP Access Function. Bidirectional arrows connect the PHY layer of the IP User to the PHY layer of the IP Access Function. Bidirectional arrows connect the ATM, FR etc. layer of the IP Access Function to the ATM, FR etc. layer of the IP Service Provider. Bidirectional arrows connect the PHY layer of the IP Access Function to the PHY layer of the IP Service Provider. A label 'Multiple instances of IP routing tables for each virtual router' points to the IP layer of the IP Access Function. + +**Figure 8/Y.1231 – Functional model of virtual router** + +#### Case 3) MPLS (multiprotocol label switching) + +This is a case that IP transport function is translated by the lower layer such as ATM in IP access network. This functional model is shown in Figure 9. There is a case that "Label" stack is null in the user-plane, when the ATM VPI/VCIs are used as MPLS labels. + +![Figure 9/Y.1231 – Functional model of MPLS. This diagram shows the functional model of MPLS. It consists of three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has three layers: IP, PPP, and PHY. The IP Access Function stack is divided into two parts: a left part with PPP and PHY layers, and a right part with Label, ATM, SDH etc., and PHY layers. The IP Service Provider stack has four layers: IP, Label, ATM, SDH etc., and PHY. Bidirectional arrows connect the IP layers of all three components. Bidirectional arrows connect the PPP layer of the IP User to the PPP layer of the IP Access Function. Bidirectional arrows connect the PHY layer of the IP User to the PHY layer of the IP Access Function. Bidirectional arrows connect the Label layer of the IP Access Function to the Label layer of the IP Service Provider. Bidirectional arrows connect the ATM, SDH etc. layer of the IP Access Function to the ATM, SDH etc. layer of the IP Service Provider. Bidirectional arrows connect the PHY layer of the IP Access Function to the PHY layer of the IP Service Provider.](bd671b21db63e6fdb2196e9b18502aac_img.jpg) + +T1317560-00 + +Figure 9/Y.1231 – Functional model of MPLS. This diagram shows the functional model of MPLS. It consists of three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has three layers: IP, PPP, and PHY. The IP Access Function stack is divided into two parts: a left part with PPP and PHY layers, and a right part with Label, ATM, SDH etc., and PHY layers. The IP Service Provider stack has four layers: IP, Label, ATM, SDH etc., and PHY. Bidirectional arrows connect the IP layers of all three components. Bidirectional arrows connect the PPP layer of the IP User to the PPP layer of the IP Access Function. Bidirectional arrows connect the PHY layer of the IP User to the PHY layer of the IP Access Function. Bidirectional arrows connect the Label layer of the IP Access Function to the Label layer of the IP Service Provider. Bidirectional arrows connect the ATM, SDH etc. layer of the IP Access Function to the ATM, SDH etc. layer of the IP Service Provider. Bidirectional arrows connect the PHY layer of the IP Access Function to the PHY layer of the IP Service Provider. + +**Figure 9/Y.1231 – Functional model of MPLS** + +## 5.2 Use of Ethernet + +In this clause, Ethernet is an example of protocol used to carry IP over access network. Figure 10 shows examples of protocol stacks of Ethernet access. + +![Figure 10/Y.1231 – Functional model of Ethernet use. This diagram shows the functional model of Ethernet use. It consists of three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has three layers: IP, Ethernet, and PHY. The IP Access Function stack is divided into two parts: a left part with IP, Ethernet, and PHY layers, and a right part with IP, ATM, FR etc., and PHY layers. The IP Service Provider stack has three layers: IP, ATM, FR etc., and PHY. Bidirectional arrows connect the IP layers of all three components. Bidirectional arrows connect the Ethernet layer of the IP User to the Ethernet layer of the IP Access Function. Bidirectional arrows connect the PHY layer of the IP User to the PHY layer of the IP Access Function. Bidirectional arrows connect the ATM, FR etc. layer of the IP Access Function to the ATM, FR etc. layer of the IP Service Provider. Bidirectional arrows connect the PHY layer of the IP Access Function to the PHY layer of the IP Service Provider.](f6e8acf9f931452d01688d311b5c0364_img.jpg) + +T1317570-00 + +Figure 10/Y.1231 – Functional model of Ethernet use. This diagram shows the functional model of Ethernet use. It consists of three main components: IP User, IP Access Function, and IP Service Provider. The IP User stack has three layers: IP, Ethernet, and PHY. The IP Access Function stack is divided into two parts: a left part with IP, Ethernet, and PHY layers, and a right part with IP, ATM, FR etc., and PHY layers. The IP Service Provider stack has three layers: IP, ATM, FR etc., and PHY. Bidirectional arrows connect the IP layers of all three components. Bidirectional arrows connect the Ethernet layer of the IP User to the Ethernet layer of the IP Access Function. Bidirectional arrows connect the PHY layer of the IP User to the PHY layer of the IP Access Function. Bidirectional arrows connect the ATM, FR etc. layer of the IP Access Function to the ATM, FR etc. layer of the IP Service Provider. Bidirectional arrows connect the PHY layer of the IP Access Function to the PHY layer of the IP Service Provider. + +**Figure 10/Y.1231 – Functional model of Ethernet use** + +# 6 Examples of access types and interfaces in IP access network + +Possible transmission mechanisms for user access are shown as follows: + +- ISDN: + - Basic rate access (B/2B/D channel); + - Primary rate (1544 kbit/s, 2048 kbit/s). +- B-ISDN access (1544 kbit/s-622 080 kbit/s). +- xDSL. +- Wireless and Satellite. +- PON, SDV, HFC and other optical systems. +- CATV access. +- LAN/WAN. + +Examples of IP mapping mechanisms on each transmission system are shown in Appendix I. + +An example of functional architecture of CATV access is shown in Appendix II. + +Further examples and overview are described in ITU-T I.414 [3]. + +# 7 Examples of functional requirements for IP Access + +Possible IP access functions are as follows: + +- Dynamic selection of multiple IP service providers. +- Dynamic allocation of IP address using PPP. +- NAT. +- Authentication (PAP [13], CHAP [17]). +- Encryption. +- Billing usage metering and interaction with RADIUS [18] server. + +# APPENDIX I + +## Examples of IP mapping mechanisms + +The following diagrams show protocol stacks for IP on various transmission systems. The detailed mapping mechanisms are described in the referenced documents. + +### I.1 IP over PPP over ATM + +Figure I.1 shows IP over PPP over ATM mapping mechanism which is defined in IETF RFC 2364, "PPP over AAL5" [20]. + +| | | +|----------------------|-------------------------------| +| IP | | +| PPP | (IETF RFC 1661/IETF RFC 2364) | +| Encapsulation Header | (IETF RFC 2684) | +| AAL5 | (ITU-T I.363.5) | +| ATM | | +| PHY | | + +**Figure I.1/Y.1231 – Mapping mechanism for IP over PPP over ATM** + +### I.2 IP over ATM + +Figure I.2 shows IP over ATM mapping mechanism which is defined in IETF RFC 2225, "Classical IP and ARP over ATM" [19]. + +| | | +|----------------------|-----------------| +| IP | (IETF RFC 2225) | +| Encapsulation Header | (IETF RFC 2684) | +| AAL5 | (ITU-T I.363.5) | +| ATM | | +| PHY | | + +**Figure I.2/Y.1231 – Mapping mechanism +for IP over ATM** + +### I.3 IP over Frame Relay + +Figure I.3 shows IP over FR mapping mechanism which is defined in IETF RFC 2427, "Multiprotocol Interconnect over Frame Relay" [21]. + +| | | +|----------------------|-----------------| +| IP | | +| Encapsulation Header | (IETF RFC 2427) | +| LAPF | (ITU-T Q.922) | +| PHY | | + +**Figure I.3/Y.1231 – Mapping mechanism +for IP over FR** + +### I.4 IP over PPP over PHY + +Figure I.4 shows PPP directly mapping to physical layer (e.g. ISDN, SDH). + +| | | +|-----|-------------------------------| +| IP | | +| PPP | (IETF RFC 1661/IETF RFC 1662) | +| PHY | | + +**Figure I.4/Y.1231 – Mapping mechanism +for IP over PPP** + +NOTE – Other mapping mechanisms may be used, for example to support the requirements of radio systems such as satellite systems. + +### I.5 IP over Ethernet + +Two types of Ethernet are commonly used. Two types of IP over Ethernet mapping mechanism are defined in separate IETF documents (IETF RFC 894 [11] and IETF RFC 1042 [12]). + +Figure I.5 shows IP mapping mechanism using Ethernet (IEEE 802.3 [9]/ISO/IEC 8802-2 [7]) and Figure I.6 shows IP mapping mechanism using Ethernet (IEEE 802.3 [9]/ISO/IEC 8802-2 [7]) with LLC. + +| | | +|-----|-----------------------------| +| IP | (IETF RFC 894) | +| MAC | (IEEE 802.3/ISO/IEC 8802-2) | +| PHY | | + +**Figure I.5/Y.1231 – Mapping mechanism for IP over Ethernet (IEEE 802.3/ISO/IEC 8802-2)** + +| | | +|-----|-----------------------------| +| IP | (IETF RFC 1042) | +| LLC | (IEEE 802.2) | +| MAC | (IEEE 802.3/ISO/IEC 8802-2) | +| PHY | | + +**Figure I.6/Y.1231 – Mapping mechanism for IP over Ethernet (IEEE 802.3/ISO/IEC 8802-2) with LLC** + +### I.6 IP over PPP over Ethernet + +Figure I.7 shows IP over PPP over Ethernet mapping mechanism which is defined in IETF document (IETF RFC 2516 [23]). + +| | | +|--------------------|-------------------------------| +| IP | | +| PPP | (IETF RFC 1661/IETF RFC 1662) | +| Encapsulation Head | (IETF RFC 2516) | +| MAC | (IEEE 802.3/ISO/IEC 8802-2) | +| PHY | | + +**Figure I.7/Y.1231 – Mapping mechanism for IP over PPP over Ethernet** + +# APPENDIX II + +## An example of functional model of CATV access + +See Figure II.1. + +![Functional model of CATV access diagram showing CMTS, PCI Cable Modem, and Host CPE components and their interconnections.](4356776ca004ecba5d599667a155d7d4_img.jpg) + +The diagram illustrates the functional model of CATV access, showing the interaction between three main components: CMTS, PCI Cable Modem, and Host CPE. + +**CMTS (Cable Modem Termination System):** + +- Layers: DHCP, TFTP, SNMP, Security Magmt, UDP, IP, ARP, Optional Router, Forwarder, DIX/802.2 LLC, DIX/802.3 MAC, DOCSIS Security, DOCSIS MAC, DOCSIS con-vergence, DOCSIS PHY. +- Connections: Internet (via NSI Data Link and NSI PHY), RFI (via DOCSIS PHY). + +**PCI Cable Modem:** + +- Layers: DHCP, TFTP, SNMP, Security Magmt, UDP, IP, ARP, DIX/802.2 LLC, DIX/802.3 MAC, DIX/802.3 MAC filter, DOCSIS Security, DOCSIS MAC, DOCSIS con-vergence, DOCSIS PHY. +- Connections: PCI PHY, PCI CMCI (to Host CPE). + +**Host CPE (Customer Premises Equipment):** + +- Layers: Internet Applications, services, and agents, UDP, IP, ARP, DIX/802.2 LLC, DIX/802.3 MAC, PCI PHY. +- Connections: PCI CMCI (from PCI Cable Modem). + +**Interconnections:** + +- The CMTS connects to the Internet via NSI Data Link and NSI PHY. +- The CMTS connects to the PCI Cable Modem via RFI (Radio Frequency Interface) through the DOCSIS PHY layer. +- The PCI Cable Modem connects to the Host CPE via PCI CMCI (Cable Modem Control Interface). +- The Host CPE connects to the PCI Cable Modem via PCI PHY (Physical Layer). + +Functional model of CATV access diagram showing CMTS, PCI Cable Modem, and Host CPE components and their interconnections. + +T1318100-01 + +NOTE – This figure is extracted from Cable Television Laboratories, Inc.'s specification – Data-Over-Cable Service Interface Specifications (SP-CMCI-I03-991115 [10]) in order to give an example of Ethernet use to carry IP over the access network. + +**Figure II.1/Y.1231 – Functional model of CATV access** + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series B | Means of expression: definitions, symbols, classification | +| Series C | General telecommunication statistics | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | TMN and network maintenance: international transmission systems, telephone circuits, telegraphy, facsimile and leased circuits | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks and open system communications | +| Series Y | Global information infrastructure and Internet protocol aspects | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.1241-200103-I_PDF-E/raw.md b/marked/Y/T-REC-Y.1241-200103-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..1baaf92ef4785c3baff357daf51c0312929bf6ef --- /dev/null +++ b/marked/Y/T-REC-Y.1241-200103-I_PDF-E/raw.md @@ -0,0 +1,640 @@ + + +![ITU logo: a globe with the letters ITU inside, and a lightning bolt striking the globe.](2dfa6ac3edfe874f68aa0cbccaa42322_img.jpg) + +ITU logo: a globe with the letters ITU inside, and a lightning bolt striking the globe. + +INTERNATIONAL TELECOMMUNICATION UNION + +**ITU-T** + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +**Y.1241** + +(03/2001) + +SERIES Y: GLOBAL INFORMATION INFRASTRUCTURE +AND INTERNET PROTOCOL ASPECTS + +Internet protocol aspects – Architecture, access, network +capabilities and resource management + +# --- **Support of IP-based services using IP transfer capabilities** + +ITU-T Recommendation Y.1241 + +(Formerly CCITT Recommendation) + +--- + +## ITU-T Y-SERIES RECOMMENDATIONS GLOBAL INFORMATION INFRASTRUCTURE AND INTERNET PROTOCOL ASPECTS + +| | | +|---------------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **Support of IP-based services using IP transfer capabilities** + +## **Summary** + +This Recommendation classifies IP-based services, introduces the concept of the IP service plane and presents resulting IP transfer capability attributes. This Recommendation describes the service level agreement and identifies the range of SLA attributes to be considered. + +## **Source** + +ITU-T Recommendation Y.1241 was prepared by ITU-T Study Group 13 (2001-2004) and approved under the WTSA Resolution 1 procedure on 1 March 2001. + +## **Keywords** + +ATM, B-ISDN, Interworking, IP, Network, PSTN, Service Plane, Service Level Agreement (SLA), Transfer Capability. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications. The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementors are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database. + +© ITU 2001 + +All rights reserved. No part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from ITU. + +## CONTENTS + +| | Page | +|---------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions..... | 2 | +| 4 Abbreviations ..... | 3 | +| 5 IP-based service..... | 3 | +| 5.1 General..... | 3 | +| 5.2 IP-based service classes and categories..... | 4 | +| 5.3 Communication configurations..... | 5 | +| 5.3.1 Point-to-point communication configuration..... | 5 | +| 5.3.2 Unidirectional point-to-multipoint communication configuration..... | 5 | +| 5.3.3 Unidirectional multipoint-to-point communication configuration..... | 5 | +| 5.3.4 Multipoint-to-multipoint communication configuration ..... | 5 | +| 5.3.5 Bidirectional point-to-multipoint communication configuration..... | 6 | +| 5.4 IP service plane ..... | 6 | +| 5.5 End-system model ..... | 8 | +| 6 IP transfer capability attributes ..... | 8 | +| 6.1 General..... | 8 | +| 6.2 Attributes for IP transfer capability..... | 9 | +| 7 Service level agreement..... | 9 | +| 7.1 General..... | 9 | +| 7.2 SLA components ..... | 9 | +| 7.3 SLA attributes ..... | 10 | +| 7.3.1 Service level objectives..... | 10 | +| 7.3.2 Service monitoring ..... | 10 | +| 7.3.3 Financial issues..... | 10 | +| 7.4 Procedure for service level agreements ..... | 10 | +| 8 Protocol reference model..... | 11 | +| 9 Functional architecture ..... | 12 | +| 9.1 Applications of functional groups ..... | 12 | +| 9.1.1 IP interface functional group..... | 13 | +| 9.1.2 IP routing and forwarding functional group..... | 13 | +| 9.1.3 IP server functional group..... | 13 | +| 9.1.4 IP client functional group..... | 13 | +| 9.1.5 IP conversion functional group ..... | 13 | + +| | Page | +|--------------------------------------------------------|-------------| +| 10 Support of IP-based services by ATM ..... | 14 | +| 10.1 Relationship with ATM transfer capabilities ..... | 14 | + +# Support of IP-based services using IP transfer capabilities + +# 1 Scope + +This Recommendation specifies: + +- service plane concept for IP-based services; +- support of IP-based services by ATM; +- attributes for IP transfer capabilities to support IP-based services; +- service level agreement for IP-based services. + +By introducing the concept of the service plane, the possible sets of attributes for IP transfer capabilities to support the IP-based services are given. + +Figure 1 shows the relationship of this Recommendation with related IP Recommendations. + +IP-based services may be supported on IP above any layer 1 and layer 2 transport capable of supporting IP. While Figure 1 shows ATM as the transport mechanism, other underlying transfer mechanisms can be used to provide the same IP-based services. The use of IP over these other transfer mechanisms is described in other Recommendations. + +![Figure 1/Y.1241 – Relationship of IP-based services transport and interworking Recommendations. The diagram illustrates the relationship between different service planes and transport mechanisms. On the left, a stack of three layers is shown: 'IP-based service plane' at the top, 'IP transfer capabilities' in the middle, and 'IP Layer' at the bottom. Below this, another stack shows 'ATM transfer capabilities' and 'ATM Layer'. A bracket on the left groups the top two layers under 'Scope of Y.1241' and the bottom two layers under 'Scope of Y.1310'. On the right, a similar stack is shown: 'Telecoms' service plane' at the top, 'Non-IP transfer capabilities' in the middle, and 'PSTN, N-ISDN or ATM Protocol stack' at the bottom. A bracket at the top groups both stacks under 'Scope of Y.1401'. Dotted lines connect the service planes to their respective transfer capabilities and then to the underlying protocol stacks. The reference 'T1317840-01' is at the bottom right.](9791722d75115ddcc599b07d7bc35d73_img.jpg) + +Figure 1/Y.1241 – Relationship of IP-based services transport and interworking Recommendations. The diagram illustrates the relationship between different service planes and transport mechanisms. On the left, a stack of three layers is shown: 'IP-based service plane' at the top, 'IP transfer capabilities' in the middle, and 'IP Layer' at the bottom. Below this, another stack shows 'ATM transfer capabilities' and 'ATM Layer'. A bracket on the left groups the top two layers under 'Scope of Y.1241' and the bottom two layers under 'Scope of Y.1310'. On the right, a similar stack is shown: 'Telecoms' service plane' at the top, 'Non-IP transfer capabilities' in the middle, and 'PSTN, N-ISDN or ATM Protocol stack' at the bottom. A bracket at the top groups both stacks under 'Scope of Y.1401'. Dotted lines connect the service planes to their respective transfer capabilities and then to the underlying protocol stacks. The reference 'T1317840-01' is at the bottom right. + +**Figure 1/Y.1241 – Relationship of IP-based services transport and interworking Recommendations** + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. + +- [1] ITU-T I.211 (1993), *B-ISDN service aspects*. +- [2] ITU-T I.313 (1997), *B-ISDN network requirements*. +- [3] ITU-T I.321 (1991), *B-ISDN protocol reference model and its application*. +- [4] ITU-T I.327 (1993), *B-ISDN functional architecture*. +- [5] ITU-T I.371 (2000), *Traffic control and congestion control in B-ISDN*. +- [6] ITU-T I.414 (1997), *Overview of Recommendations on layer 1 for ISDN and B-ISDN customer access*. +- [7] ITU-T Y.1310 (2000), *Transport of IP over ATM in Public Networks*. +- [8] ITU-T Y.1001 (2000), *IP Framework – A framework for convergence of telecommunications network and IP network technologies*. +- [9] ITU-T Y.1401 (2000), *General requirements for interworking with Internet protocol (IP) based networks*. +- [10] ITU-T Y.1231 (2000), *IP access network architecture*. +- [11] ITU-T G.707/Y.1322 (2000), *Network node interface for the synchronous digital hierarchy (SDH)*. +- [12] ITU-T I.371.1 (2000), *Guaranteed frame rate ATM transfer capability*. + +# 3 Definitions + +This Recommendation defines the following terms: + +**3.1 service plane:** The service plane comprises: + +- a) service presentation functionality being presented to the end user; +- b) service implementation aspects with which the end user interacts. For example, service invocation, control service level agreement function, etc. + +Note that a) and b) use the totality of the transfer capabilities including control and management functionalities. + +**3.2 IP-based service:** An IP-based service is defined as a service provided by the service plane to an end user (e.g. a host (end system) or a network element) and which utilizes the IP transfer capabilities and associated control and management functions, for delivery of the user information specified by the service level agreements. + +**3.3 IP network service:** An IP Network Service is defined as a data transmission service in which the data passed across the interface between the user and provider is transferred in the form of IP (Internet Protocol) packets (sometimes called datagrams). IP Network Service includes the service provided by using the IP Transfer Capabilities. + +**3.4 IP transfer capability:** IP Transfer Capability is defined as the set of network capabilities provided by the IP layer. It may be characterized by the traffic contract as well as performance attributes supported by control and management functions of the underlying protocol layers. + +**3.5 service level agreement:** Service Level Agreement (SLA) is a negotiated agreement between a customer and the service provider on levels of service characteristics and the associated set of metrics. The content of SLA varies depending on the service offering and includes the attributes required for the negotiated agreement. + +# **4 Abbreviations** + +This Recommendation uses the following abbreviations: + +| | | +|--------|-----------------------------------------------| +| ABR | Available Bit Rate | +| ABT | ATM Block Transfer | +| ATM | Asynchronous Transfer Mode | +| B-ISDN | Broadband Integrated Services Digital Network | +| CoS | Class of Service | +| CPN | Customer Premises Network | +| DBR | Deterministic Bit Rate | +| FTP | File Transfer Protocol | +| GFR | Guaranteed Frame Rate | +| IP | Internet Protocol | +| IP-NE | IP Network Element | +| IP-TE | IP Terminal Equipment | +| IPTC | IP Transfer Capability | +| LAN | Local Area Network | +| MPLS | Multi-Protocol Label Switch | +| OAM | Operation, Administration and Maintenance | +| QoS | Quality of Service | +| SAP | Service Access Point | +| SBR | Statistical Bit Rate | +| SDH | Synchronous Digital Hierarchy | +| SLA | Service Level Agreement | +| SLO | Service Level Objective | +| SVC | Switched Virtual Circuit | +| TCP | Transmission Control Protocol | +| UDP | User Data Protocol | +| UNI | User Network Interface | +| VoD | Video-on-Demand | +| WWW | World Wide Web | + +# **5 IP-based service** + +## **5.1 General** + +An IP-based service is defined in clause 3. + +An IP-based service is specified according to the Service Level Agreement (SLA) attributes assigned (see clause 7). While an IP-based service usually has an end-to-end context it may be provided in situations in which part of the connection is IP-based network while another part of the connection is + +not IP-based. One typical example is a voice service, with voice over IP in an IP-based network interworking with the existing circuit switched voice network. Other examples of non IP-based network interworking with IP-based network to support an IP-based service end to end exist. Further information on IP interworking is given in ITU-T Y.1401 [9]. In the case of interworking, the SLA attributes will be specified only for the IP-based network portion of the connection. + +Figure 2 presents a reference framework illustrating applications of IP transfer capability and IP-based services. This figure is based on the figures introduced in ITU-T I.414 [6], ITU-T Y.1001 [8] and Y.1231 [10]. The following subclauses provide information regarding, IP-based services, service plane concept, IP-based service classes and categories and IP transfer capability attributes. + +![Figure 2/Y.1241 – IP-based network reference framework](4e0ade2f41b66d5602160da5cc978274_img.jpg) + +``` + + graph LR + subgraph CPN1 [Customer Premises Network] + ES1[End System] --> IPNT1[IP-NT] + end + IPNT1 -- RP --- AF1[AF] + AF1 -- RP --- IPEF1[IP-EF] + subgraph ICN [IP Core Network] + IPEF1 --- IPEF2[IP-EF] + end + IPEF2 -- RP --- AF2[AF] + AF2 -- RP --- IPNT2[IP-NT] + subgraph CPN2 [Customer Premises Network] + IPNT2 --> ES2[End System] + end + CPN1 -- IP Transfer Capability --- CPN2 + +``` + +Detailed Description: The diagram illustrates the IP-based network reference framework. It shows two 'Customer Premises Networks' on the left and right, each containing an 'End System' connected to an 'IP-NT' (IP Network Termination). These connect via 'RP' (Reference Points) to 'AF' (Access Function) within an 'Access Network'. The Access Networks then connect via 'RP' to 'IP-EF' (IP Edge Function) which reside at the edges of the 'IP Core Network'. A double-headed arrow labeled 'IP Transfer Capability' spans across the entire architecture from one End System to the other. Clouds represent the service areas for 'IP-Based Service' at each end and the 'IP Core Network' in the center. + +AF Access Function + IP-EF IP Edge Function + IP-NT IP Network Termination + RP Reference Point + +NOTE – The box between RPs is covered in ITU-T Y.1231 and I.414. This arrangement is also aligned with ITU-T Y.1001. + +### Figure 2/Y.1241 – IP-based network reference framework + +Figure 2/Y.1241 – IP-based network reference framework + +#### 5.2 IP-based service classes and categories + +IP-based service classes are closely related to QoS classes which provide assurances to users on the service performance to be achieved in any given service contract. The IP-based services are specified and characterized by the SLA attributes assigned in the service contract. + +However, using similar concepts as in ITU-T I.211 [1], IP-based services can be categorized as "Interactive" and "Distributive". + +The interactive category is subdivided into three classes: + +- conversational services: such as internet telephony, remote login, electronic data exchange, videoconferencing, video telephony, home banking, tele-education and interactive games; +- messaging services: such as electronic mail (e-mail), voice e-mail, video e-mail, and internet fax; + +4 ITU-T Y.1241 (03/2001) + +- retrieval services: such as web browsing (www, gopher), file downloading (ftp), internet VoD (Video-on-demand) and news retrieval. + +The distributive category is subdivided into two classes: + +- distribution services without user individual presentation control: such as broadcasting, multicasting and electronic newspaper; +- distribution services with user individual presentation control: such as video-on-demand and news-on-demand. + +## **5.3 Communication configurations** + +Communication in IP-based networks can be divided in several configurations similar to B-ISDN as defined in ITU-T I.313 [2]. In this Recommendation configurations are classified as point-to-point, unidirectional point-to-multipoint, unidirectional multipoint-to-point, multipoint-to-multipoint and bidirectional point-to-multipoint. + +### **5.3.1 Point-to-point communication configuration** + +A point-to-point connection configuration may provide unidirectional or bidirectional symmetric or asymmetric communication between two parties. Examples of services applicable to point-to-point communication configuration are: + +- conversational services; +- messaging services; +- retrieval services; +- distribution services with user individual presentation control. + +### **5.3.2 Unidirectional point-to-multipoint communication configuration** + +A unidirectional point-to-multipoint connection configuration may provide unidirectional communication between one-to-many parties. Examples of services applicable to unidirectional point-to-multipoint communication configuration are: + +- messaging services; +- distribution services without user individual presentation control. + +### **5.3.3 Unidirectional multipoint-to-point communication configuration** + +A unidirectional multipoint-to-point connection configuration may provide unidirectional communication between many-to-one parties. Examples of services applicable to unidirectional multipoint-to-point communication configuration are: + +- messaging services; +- distribution services without user individual presentation control. + +### **5.3.4 Multipoint-to-multipoint communication configuration** + +A multipoint-to-multipoint connection configuration may provide communication between many-to-many parties. Examples of services applicable to multipoint-to-multipoint communication configuration are: + +- conversational services; +- messaging; +- distribution services with or without user individual presentation control. + +### 5.3.5 Bidirectional point-to-multipoint communication configuration + +A bidirectional point-to-multipoint connection configuration may provide communication between one-to-many parties. Examples of services applicable to bidirectional point-to-multipoint communication configuration are: + +- conversational services; +- messaging services with return path; +- retrieval services; +- distribution services with and without user individual presentation control. + +Table 1 provides examples of performance attributes for some IP-based services. + +**Table 1/Y.1241 – Examples of guaranteed performance attributes for IP-based services** + +| IP-based service class | IP-based service | Guaranteed performance attribute(s) for IP-based service | +|--------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------| +| Conversational | | Loss, delay and delay variation | +| | | Loss | +| | | None | +| Messaging | | None | +| Retrieval | | None | +| | | Loss and delay variation | +| Distribution Service without Individual presentation control | | None | +| | | Loss | +| Distribution Service with Individual presentation control | | Loss and delay variation | + +## 5.4 IP service plane + +The service plane concept is introduced as a model to relate use of the following in the construction of IP-based services: + +- IP transfer capabilities; +- control capabilities; and +- management related capabilities. + +IP-based services, may be specified within a Service Level Agreement (SLA) between service provider and the customer. This concept is illustrated in Figure 3, which shows that the service plane utilizes the capabilities provided by the underlying transfer functions, as well as the control and management plane functions. Consequently the IP service plane incorporates more than a layer service as defined in a SAP (service access point) in the protocol stack. In specifying an IP-based service for use by a customer the terms and features of clauses 6 and 7 are used. + +![Figure 3: Service plane concept for IP-based services. The diagram shows a stack of four planes. The top plane is the 'IP Service plane' containing 'Distribution Services (e.g. news-on-demand)', 'Retrieval Services (e.g. web browsing)', and 'Conversational Services (e.g. IP telephony)'. The second plane is 'IP transfer capabilities' containing 'Best effort', 'IPTC y', and 'IPTC x'. The third plane is the 'IP management plane' divided into 'IP user plane' and 'IP control plane'. The bottom plane is the 'Management plane' divided into 'User plane' and 'Control plane'. The 'ATM transfer capabilities' plane is shown below the IP management plane, containing 'ABR', 'DBR', 'SBR', and 'ABT'. The diagram is labeled T1317860-01.](4e4be0bd8b235167902f2c03e41da651_img.jpg) + +The diagram illustrates the service plane concept for IP-based services, structured into four main layers: + +- IP Service plane:** Contains three service categories: + - Distribution Services (e.g. news-on-demand) + - Retrieval Services (e.g. web browsing) + - Conversational Services (e.g. IP telephony) +- IP transfer capabilities:** Contains three transfer capabilities: + - Best effort + - IPTC y + - IPTC x +- IP management plane:** Divided into two sub-planes: + - IP user plane + - IP control plane +- Management plane:** Divided into two sub-planes: + - User plane + - Control plane + +Below the IP management plane, the **ATM transfer capabilities** are shown, including ABR, DBR, SBR, and ABT. The diagram is labeled T1317860-01. + +Figure 3: Service plane concept for IP-based services. The diagram shows a stack of four planes. The top plane is the 'IP Service plane' containing 'Distribution Services (e.g. news-on-demand)', 'Retrieval Services (e.g. web browsing)', and 'Conversational Services (e.g. IP telephony)'. The second plane is 'IP transfer capabilities' containing 'Best effort', 'IPTC y', and 'IPTC x'. The third plane is the 'IP management plane' divided into 'IP user plane' and 'IP control plane'. The bottom plane is the 'Management plane' divided into 'User plane' and 'Control plane'. The 'ATM transfer capabilities' plane is shown below the IP management plane, containing 'ABR', 'DBR', 'SBR', and 'ABT'. The diagram is labeled T1317860-01. + +NOTE – This figure shows ATM being used for transport. Other transport technologies (e.g. Frame relay, SDH, etc.) may also be applied using the same principle. + +**Figure 3 /Y.1241 – Service plane concept for IP-based services** + +## 5.5 End-system model + +Figure 4 shows an end-system model. In this model, the IP end-system has two types of interface points; one is the socket API (Application Programming Interface) and the other is the interface to the IP transfer capability. The socket API allows IP applications to use capability provided by TCP layer (e.g. TCP or UDP). The interface to the IP transfer capability provides access to desired IP transfer capabilities for a given IP-based service. + +![Diagram of the IP end-system model showing the flow from IP Application through TCP/UDP and IP protocol stack to IP-NT.](4ee27dbf5ef12e7b58b0ef0937bc5a5e_img.jpg) + +The diagram illustrates the IP end-system model. At the top, an 'IP-based Service' is indicated by an upward arrow. Below it, an 'IP Application' (represented by a grey oval) interacts with a 'Stream' (represented by a circle) within a 'TCP/UDP' layer (represented by a 3D box). A 'Datagram' (represented by a circle) is also shown within the 'TCP/UDP' layer. A 'Socket API' (represented by a rectangle) is positioned between the 'IP Application' and the 'TCP/UDP' layer. Below the 'TCP/UDP' layer is the 'IP protocol stack' (represented by a 3D box), which contains 'BE' (Best Effort), 'IPTC y', and 'IPTC x' (all represented by circles). A horizontal line connects the 'IP protocol stack' to an 'IP-NT' (IP Network Termination) block (represented by a grey 3D box). A dashed line encloses the 'IP Application', 'TCP/UDP', and 'IP protocol stack' components, with the label 'IP end-system' at the bottom. A horizontal line also connects the 'IP-NT' block to a reference number 'T1317870-01'. + +Diagram of the IP end-system model showing the flow from IP Application through TCP/UDP and IP protocol stack to IP-NT. + +BE Best Effort +CPE Customer Premises Equipment +IP-NT IP Network Termination + +NOTE – IP transfer capabilities include user, control and management plane functions. + +**Figure 4/Y.1241 – IP end-system model** + +# 6 IP transfer capability attributes + +## 6.1 General + +The IP transfer capabilities, as defined in another ITU-T Recommendation, can be used to characterize capabilities provided by the IP layer. The transport of data packets may be provided by an IP transfer capability (including a set of parameters) and a QoS class. + +Figure 2 depicts how the concept of IP transfer capability and IP QoS class can be applied. In this application, the IP Transfer Capability is specified at the RP (reference point) interface, e.g. the boundary between customer side and provider side. The IP QoS class characterizes the properties of the transport between two RPs, e.g. the ingress and the egress boundaries between customers and the network. Network operators could use these concepts to offer an IP-based service to their customers. + +The IP transfer capability, including all relevant parameter values, and the QoS class may be used in preparation of a SLA (see clause 7). + +## **6.2 Attributes for IP transfer capability** + +An IP transfer capability with an associated IP QoS class is intended to support an IP-based service with the desired performance attributes. In order to reach that objective, this Recommendation lists a number of properties which IP transfer capabilities (to be specified in other Recommendations) should have: + +- IP transfer capabilities should support IP-based Services as specified in this Recommendation; +- IP transfer capabilities should be implicitly or explicitly declared at the moment the service is requested; +- an IP transfer capability is not required to have a one-to-one correspondence with a given IP-based service. That is, there may be more than one IPTC which is able to support the requested IP-based service. + +# **7 Service level agreement** + +## **7.1 General** + +To support a given IP-based service a Service Level Agreement (SLA) is negotiated between a customer and a service provider. The SLA is a formal contract between the service provider and the customer that defines the terms of the service provider's responsibility to the customer, the type and extent of penalty if those responsibilities are not met and the price of the service provided. A service level agreement is a document, which may be written by the customer, service provider, or both, to define specific levels of service and the associated financial aspects. + +A complete SLA document may include the names of the parties involved, the terms of the agreement, the application and support services to be provided, the service level objectives, and the attribute values. The SLA may also include reporting requirements (including both the frequency of report generation and the level of reporting detail), penalties for non-compliance with the agreement, arbitration policies, modification terms, and responsibilities of both parties. + +## **7.2 SLA components** + +The SLA should be composed of three building blocks: + +- service level objectives; +- service monitoring components; +- financial compensation components. + +Service level objectives (SLOs) are specific service metrics, including service performance. Service monitoring involves either the customer or the service provider use of monitoring devices to ensure compliance to the terms of the contract. The financial component may include service price information as well as the penalties for the service provider's failure to meet the requirements of the SLA. + +## **7.3 SLA attributes** + +The following SLA attributes may be considered as appropriate in the development of a Service Level Agreement. + +### **7.3.1 Service level objectives** + +- IP transfer capability; +- QoS Parameters or CoS provided; +- availability – access blocking probability; +- reliability – active system time, network failure rate; +- interoperability; +- delivery confirmation; +- mobility and Portability support; +- security – encryption, etc.; +- bandwidth – constant, variable, etc.; +- priority; +- authentication – User ID for admission control; +- signalling protocols – CR-LDP, etc.; +- flexibility – scaling and global connectivity; +- life of the SLA. + +### **7.3.2 Service monitoring** + +- QoS monitoring – comparison against objectives; +- flow tracking – comparison against IPTC objectives; +- tracking – time stamping at the beginning and end of session; +- reports on service level objectives as necessary. + +### **7.3.3 Financial issues** + +- billing option – flat rate, timed, per transaction, per packet, etc.; +- penalties for failing to deliver service level objectives by the service provider; +- pricing; +- early termination charges; +- shortfall charges – early withdrawal from service by the customer. + +SLAs may be between the customer and the service provider or between the service provider and the provider of the network. + +## **7.4 Procedure for service level agreements** + +The following steps may be taken when developing and implementing a service level agreement. + +The procedure in the development of the SLA includes identification of: + +- the customer and associated service level; +- network performance objectives; +- ways to revise the network configuration and resource management; +- ways to revise the service level agreement. + +The implementation of the SLA in the network occurs in the following steps: + +- design and provisioning of the network to satisfy the SLA; +- configuration of ingress device as per information in the policy server to satisfy the SLA; +- classification of the packets into different classes and collection of statistics regarding their performance at ingress device; +- verification of the SLA based on the collected data from the ingress device. + +# **8 Protocol reference model** + +The protocol reference model for IP transport network is composed of a user-plane (U-plane), a control-plane (C-plane) and a management-plane (M-plane) similar to that of ITU-T I.321 [3]. Figure 5 shows the model for the IP-based network. + +The user-plane provides user information flow transfer on the IP-based network. In the layer architecture model, it consists of TCP/UDP layer, IP layer and lower transport layers. To meet the IP-based service features; the user-plane network capabilities include among others, connection types and IP transfer capabilities and ATM transfer capabilities in the case of ATM. + +The control-plane performs the call and connection control functions to support connection-oriented (e.g. MPLS) as well as connectionless services. It provides necessary signalling between the user and the network. To provide the IP-based services, the control-plane network capabilities include on-demand control capabilities of user-plane transfer functions, call/connection signalling, traffic negotiation, addressing, routing functions and user, terminal, and/or service identification. + +The management-plane has two types of management functions namely layer management and plane management. The layer management performs management functions on resources and parameters of lower layer transport protocol entities. It handles the general operation and maintenance of each protocol layer to meet the QoS requirements on user information flows. The plane management performs system management functions with coordination with the U-plane and the C-plane capabilities. With the help of plane management capabilities, the IP network provides the high-level client/server applications and user, terminal and/or service interaction. It also provides network-related and service-oriented high layer capabilities such as naming, information searching, data storing, information transaction, etc. + +![Figure 5/Y.1241 – Protocol reference model for IP-based networks. The diagram shows a Network Management block on the left connected to an Element Management block on the right. The Element Management block is divided into three planes: M-plane (Plane Management), C-plane (Call & Connection Control), and U-plane (User Applications). Below these planes are three layers: TCP/UDP Layer, IP Layer, and Lower Transport Layers. A Layer Management block is also shown, connected to the M-plane and the TCP/UDP Layer. Arrows indicate bidirectional communication between the Network Management and Element Management, and between the various components within the Element Management block.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +The diagram illustrates the protocol reference model for IP-based networks. It is divided into two main sections: Network Management and Element Management. The Network Management block is on the left, connected to the Element Management block on the right. The Element Management block is further divided into three planes: M-plane (Plane Management), C-plane (Call & Connection Control), and U-plane (User Applications). Below these planes are three layers: TCP/UDP Layer, IP Layer, and Lower Transport Layers. A Layer Management block is also shown, connected to the M-plane and the TCP/UDP Layer. Arrows indicate bidirectional communication between the Network Management and Element Management, and between the various components within the Element Management block. + +Figure 5/Y.1241 – Protocol reference model for IP-based networks. The diagram shows a Network Management block on the left connected to an Element Management block on the right. The Element Management block is divided into three planes: M-plane (Plane Management), C-plane (Call & Connection Control), and U-plane (User Applications). Below these planes are three layers: TCP/UDP Layer, IP Layer, and Lower Transport Layers. A Layer Management block is also shown, connected to the M-plane and the TCP/UDP Layer. Arrows indicate bidirectional communication between the Network Management and Element Management, and between the various components within the Element Management block. + +**Figure 5/Y.1241 – Protocol reference model for IP-based networks** + +# 9 Functional architecture + +In this Recommendation the functional architecture of IP-based networks is explained in a similar manner as in ITU-T I.327 [4]. + +## 9.1 Applications of functional groups + +IP-based networks are comprised of two functional groups: the IP-network element (IP-NE) and the IP terminal equipment (IP-TE). The IP-NE functional group has the network intelligence to configure, register, control and manage the IP-based services. It may be interfaced to the Internet Service Provider's network. The functional groups can be categorized in three groups where each can be sub-categorized again. The following provides a list of these categories with a brief explanation for each one: + +- IP-Terminal Equipment (IP-TE): IP Interface Functional Group and IP Client Functional Group; +- IP-Router: IP Interface Functional Group and IP Routing and Forwarding Functional Group (and IP Server Functional group optionally); +- IP-Interworking Unit (IP-IWU): IP Interface Functional Group and IP Conversion Functional Group (and IP Server Functional group optionally). + +The list of functions for each functional group is not exhaustive. Also, not all specific functions in a functional group need to be present in all implementations. + +### **9.1.1 IP interface functional group** + +This functional group includes interface functions to generate and receive IP messages for the specific Internet applications. Examples of IP interface functions are: + +- generation and extraction of IP messages specific to end user applications; +- buffering and resource allocation; +- multiplexing and de-multiplexing; +- provisioning of virtual circuits with or without signalling protocol handling; +- traffic flow handling including usage parameter control; +- physical transmission interface and adaptation functions; +- transmission control including OAM functions. + +Additional functions specific to the transmission system or high-level services and applications may be required. + +### **9.1.2 IP routing and forwarding functional group** + +This functional group includes forwarding and routing functions to transfer IP messages to the destinations. Examples of IP routing and forwarding functions are: + +- storing and forwarding of IP messages; +- routing information handling for static or dynamic routing; +- topology information handling; +- provisioning of QoS assured path. + +### **9.1.3 IP server functional group** + +This functional group includes the server-side functions for configuration and registration procedure of IP network. Examples of IP server functions are: + +- server-side functions for registration procedure of IP address and name; +- server-side functions for registration procedure of IP multicast and broadcast group; +- directory service with efficient and distributed storage; +- response to the query of IP address and name; +- maintenance of mapping between IP address and IP domain name. + +### **9.1.4 IP client functional group** + +This functional group includes the client-side functions for configuration and registration procedure in IP networks. Examples of IP client functions are: + +- client-side functions for registration procedure of IP address and name; +- client-side functions for registration procedure of IP multicast and broadcast group; +- query of IP address and name. + +### **9.1.5 IP conversion functional group** + +This functional group includes the functions for protocol conversion and format translation in IP network for the specific Internet applications. Examples of IP conversion functions are: + +- translation of IP protocol functionality, for example, to convert the UDP messages to the TCP messages or vice versa (e.g. transport gateway, signalling); +- mapping of IP versions (e.g. IPv4, and IPv6, etc.); + +- conversion of connection types, for example, to translate one point-to-multipoint connection to multiple point-to-point connections; +- change of transfer mode, for example, to translate the connectionless transfer mode to the connection-oriented transfer mode; +- conversion of QoS provisioning, for example, to deliver the best effort service to the guaranteed service with high priority; +- IP traffic control and management handling. + +# 10 Support of IP-based services by ATM + +ITU-T Y.1310 [7] specifies transport of IP over ATM in public networks and ITU-T Y.1401 [9] provides general requirements for Interworking with IP-based networks. For a detailed discussion regarding these subjects, the aforementioned and other relevant Recommendations should be consulted. This clause provides examples of IP performance attributes mapped to ATM QoSs to support IP-based services. + +## 10.1 Relationship with ATM transfer capabilities + +ITU-T I.371 [5] provides ATM transfer capability. Transfer capabilities carry varying QoS objectives. QoS objectives for IP-based services, like in ATM, are dependent on the sensitivity of transferred data to loss and delay. Hence, in this clause, loss, delay variation and delay attributes are chosen as a means to relate performance attributes for IP-based services to the ATM QoS classes as specified in ITU-T I.356. + +Clause 5.2 identifies IP-based services as to belong to two categories and five classes based on their performance attributes. Table 2 provides examples of how performance attributes of IP-based services can be related to ATM QoS classes. + +**Table 2/Y.1241 – Examples of relationship between performance attributes for IP-based services and ATM QoS classes** + +| Guaranteed performance attribute(s) for IP-based service | Possible mapping (s) to ATM QoS | +|-----------------------------------------------------------------|-------------------------------------------------------------------------------------------------| +| Loss, delay and delay variation | QoS class 1 (stringent class)
or
QoS class 5 (stringent bi-level class) for CLP = 0 cells | +| Loss | QoS class 2 (tolerant class)
or
QoS class 3 (bi-level class) for CLP = 0 cells | +| None | QoS class 4 (U class)
or
QoS class 3 (bi-level class) for CLP = 1 cells | + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series B | Means of expression: definitions, symbols, classification | +| Series C | General telecommunication statistics | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | TMN and network maintenance: international transmission systems, telephone circuits, telegraphy, facsimile and leased circuits | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks and open system communications | +| Series Y | Global information infrastructure and Internet protocol aspects | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git 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capabilities related to the customization of IP service networks by customers** + +Recommendation ITU-T Y.1292 + +## ITU-T Y-SERIES RECOMMENDATIONS GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|---------------------------------------------------------------------------|----------------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +###### **Recommendation ITU-T Y.1292** + +# **Customizable IP networks (CIP): Framework for the requirements and capabilities related to the customization of IP service networks by customers** + +## **Summary** + +Recommendation ITU-T Y.1292 describes the framework for requirements and capabilities to enable the customization of IP networks and related IP service and IP transfer capability to meet the customer's needs. Such a framework includes the service requirements and functional requirements and capabilities as well as the architectural considerations. + +In addition, this Recommendation identifies the application scenarios and service procedures applicable to the context of customization using the capabilities made available to and/or performed by the customer of IP services. + +## **Source** + +Recommendation ITU-T Y.1292 was approved on 12 September 2008 by ITU-T Study Group 13 (2005-2008) under Recommendation ITU-T A.8 procedures. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2010 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|-------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Terms and Definitions ..... | 2 | +| 3.1 Terms defined elsewhere..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Conventions..... | 4 | +| 6 Overview ..... | 4 | +| 6.1 Service aspects..... | 4 | +| 6.2 General customization model..... | 4 | +| 6.3 Service level agreements (SLAs) ..... | 5 | +| 6.4 Menu-based network customization capabilities..... | 6 | +| 6.5 Customer expectations..... | 7 | +| 6.6 Network capability requirements ..... | 7 | +| 7 Functional capabilities ..... | 8 | +| 7.1 Overview ..... | 8 | +| 7.2 Naming, addressing and identification capabilities..... | 8 | +| 7.3 End-user grouping capability ..... | 9 | +| 7.4 Application clustering capability..... | 9 | +| 7.5 Information navigation and query capabilities ..... | 9 | +| 7.6 Auto-discovery and auto-configuration capabilities ..... | 9 | +| 7.7 Information access control and security capabilities..... | 10 | +| 7.8 End-to-end transparency capability ..... | 10 | +| 7.9 Connection configuration capability ..... | 11 | +| 7.10 Routing and forwarding control capabilities ..... | 11 | +| 7.11 Alternative path selection and multi-homing capabilities ..... | 12 | +| 7.12 Mobility control and management capabilities ..... | 12 | +| 7.13 Traffic measurement and usage parameter control capabilities ..... | 13 | +| 7.14 SLA negotiation capabilities ..... | 13 | +| 7.15 End-to-end QoS provision and priority assignment capabilities..... | 13 | +| 7.16 Information storage and directory processing capabilities..... | 13 | +| 7.17 Segment OAM and end-to-end OAM capabilities ..... | 14 | +| 7.18 Virtual private network configuration capability ..... | 14 | +| 7.19 Billing and charging capabilities ..... | 14 | +| 7.20 Client/server management and agent management capabilities..... | 15 | +| 8 Security considerations..... | 15 | + +| | Page | +|----------------------------------------------------------------------------------------------------------------------------|-------------| +| Appendix I – Service procedures and applications scenarios ..... | 17 | +| I.1    Customizable personal directory services ..... | 17 | +| I.2    Customizable access control services..... | 20 | +| I.3    Customizable end-to-end QoS services..... | 23 | +| I.4    End-user customizable location monitoring services ..... | 26 | +| I.5    Customizable home networking services ..... | 29 | +| I.6    Client networking services with QoS and security..... | 31 | +| Appendix II – Example of functional architecture and service creation scenario for end-user customizable VPN services..... | 34 | +| Bibliography..... | 36 | + +# **Introduction** + +Recommendation ITU-T Y.1292 describes the framework for requirements and capabilities to enable the customization of IP networks and related IP service and IP transfer capability to meet the customer's needs (see Recommendations ITU-T Y.1001 and ITU-T Y.1241). + +The framework provided in this Recommendation includes an architectural model, high-level service requirements and functional capabilities. In addition, this Recommendation identifies the application scenarios and service procedures applicable to the context of customization using the capabilities made available to and/or performed by the customer of IP services. + +In general, customization refers to the degree of manageability or controllability as exercised by the customer via a suitable agent. Such agent-based architecture is based on principles similar to those described in Recommendations ITU-T X.160 and ITU-T Y.130. + + + +## Recommendation ITU-T Y.1292 + +# Customizable IP networks (CIP): Framework for the requirements and capabilities related to the customization of IP service networks by customers + +# 1 Scope + +This Recommendation covers the following: + +- General overview and description of concepts related to the customization of IP services and related IP network aspects. +- General model of a customizable IP network from the end user's perspective. +- Definition of and requirements for the service capabilities offered to an end user for customization purposes. +- Functional capabilities that can be controlled by the end user of a customizable IP network. + +In addition, Appendix I provides a description of application scenarios and service procedures used by the end user of a customizable IP network. + +Note that the scope is restricted to IP networks when IP layer networks as defined in [ITU-T G.809] and operation within the NGN transport stratum as defined in [ITU-T Y.2011] are considered. + +The detailed mechanisms for supporting the capabilities of a customizable IP network are not covered by the scope of this Recommendation. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T G.809] Recommendation ITU-T G.809 (2003), *Functional architecture of connectionless layer networks*. +<> +- [ITU-T M.60] Recommendation ITU-T M.60 (1993), *Maintenance terminology and definitions*. +<> +- [ITU-T M.3050.x] Recommendations ITU-T M.3050.x-series (2007), *Enhanced Telecom Operations Map (eTOM)*. +<> +- [ITU-T M.3060] Recommendation ITU-T M.3060/Y.2401 (2006), *Principles for the Management of Next Generation Networks*. +<> +- [ITU-T Y.1001] Recommendation ITU-T Y.1001 (2000), *IP framework – A framework for convergence of telecommunications network and IP network technologies*. +<> + +- [ITU-T Y.1241] Recommendation ITU-T Y.1241 (2001), *Support of IP-based services using IP transfer capabilities*. +<> +- [ITU-T Y.1311] Recommendation ITU-T Y.1311 (2002), *Network-based VPNs – Generic architecture and service requirements*. +<> +- [ITU-T Y.1711] Recommendation ITU-T Y.1711 (2004), *Operation & Maintenance mechanism for MPLS networks*. +<> +- [ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +<> + +# 3 Terms and definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 customer** [ITU-T M.3050.x]: The customer buys products and services from the enterprise or receives free offers or services. A customer may be a person or a business. + +**3.1.2 IP service** [ITU-T Y.1001]: A data transmission service in which the data that is transferred across the interface between the user and provider is in the form of IP (Internet protocol) packets (sometimes called datagrams). + +NOTE – The IP (network) service includes the service provided using the IP transfer capability. + +**3.1.3 IP transfer capability** [ITU-T Y.1241]: IP transfer capability is defined as the set of network capabilities provided by the IP layer. It may be characterized by the traffic contract as well as the performance attributes supported by the control and management functions of the underlying protocol layers. + +**3.1.4 service level agreement** [ITU-T Y.1241]: Service level agreement (SLA) is a negotiated agreement between a customer and the service provider regarding the levels of service characteristics and associated set of metrics. The content of an SLA varies depending on the service offering and includes the attributes required for the negotiated agreement. + +**3.1.5 end user (user)** [ITU-T M.3050.x]: The end user is the actual user of the products or services offered by the enterprise. The end user consumes the product or service. + +NOTE – Typically, the (end) user is a person or a machine delegated by a customer to use the services and/or facilities of a telecommunication network. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 customize:** This involves ensuring the suitability to the individual requirements of a customer. + +**3.2.2 customizable:** This refers to the capability of being customized. + +**3.2.3 customizable IP network (CIP):** This is an IP network that is capable of being customized in accordance with and by the capabilities specified within this Recommendation. + +**3.2.4 customization:** This refers to the result of being customized. + +**3.2.5 manageable:** This refers to the capability of being managed. + +**3.2.6 manageability:** This pertains to the characteristic of being manageable. + +**3.2.7 CIP provider:** The provider using a customizable IP network. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|---------|----------------------------------------------| +| AAA | Authentication, Authorization and Accounting | +| CBR | Constant Bit Rate | +| CDR | Charging Data Record | +| CIP | Customizable Internet Protocol network | +| CIPA | Customizable Internet Protocol network Agent | +| CoS | Class of Service | +| CPE | Customer Premises Equipment | +| C-Plane | Control Plane | +| DIB | Directory Information Base | +| DNS | Domain Name Service | +| eTOM | Enhanced Telecom Operations Map | +| FTP | File Transfer Protocol | +| HTTP | HyperText Transfer Protocol | +| IP | Internet Protocol | +| M-Plane | Management Plane | +| MPLS | Multi-Protocol Label Switching | +| P2P | Point-to-Point | +| P2MP | Point-to-Multipoint | +| PABX | Private Automatic Branch Exchange | +| PDA | Personal Digital Assistant | +| PKI | Public Key Infrastructure | +| QoS | Quality of Service | +| QUA | Quality of Service User Agent | +| RFID | Radio Frequency Identifier | +| RGW | Residential Gateway | +| SIP | Session Initiation Protocol | +| SLA | Service Level Agreement | +| SLS | Service Level Specification | +| SOAP | Simple Object Access Protocol | +| UNI | User-to-Network Interface | +| U-Plane | User Plane | +| UPC | Usage Parameter Control | + +| | | +|-----|-----------------------------| +| URI | Uniform Resource Identifier | +| URL | Uniform Resource Locator | +| VBR | Variable Bit Rate | +| VNF | Virtual Networking Function | +| VPN | Virtual Private Network | +| VTR | Video Tape Recorder | +| XML | eXtensible Markup Language | + +# 5 Conventions + +In this Recommendation, words such as manage and control (and derivatives thereof) are used in the general English dictionary sense rather than in the specific sense of the M-series or Q-series Recommendations. When specific usage in the sense of the M-series or Q-series Recommendations is required, specific indications are made. + +# 6 Overview + +## 6.1 Service aspects + +The main objective of a CIP network is to provide customers with the ability to manage and control certain aspects of the IP service they have subscribed to and the related IP network technology facilitating the IP service. + +A certain degree of autonomy on the part of the customer and/or individual end user (within the customer organization) is desirable. For example, a customer will find it advantageous to be able to: + +- Select the set of end users, which may be human, terminal equipment or applications permitted to use the IP service within the given customer organization. +- Create and customize services and network configurations (e.g., virtual private networks (VPNs)) with the relevant network resources provided by the customizable IP (CIP) provider to the customer. +- Select, control and/or manage various features of the services. For example, the customer can negotiate the service level agreements (SLAs) offered by the CIP provider related to QoS and network performance objectives, as well as the security requirements and capabilities. + +In general, various degrees or levels of customization capabilities can be offered to the customer depending on the level of sophistication of the available customization capabilities. + +NOTE 1 – When the customer is an organization, several end users of this organization can be connected to the CIP network. In particular, several end users can be connected to the CIP network using the same UNI (user-to-network interface) as defined and provided by the CIP provider, i.e., at the interface deemed to demarcate the end of the CIP provider's jurisdiction and the beginning of the end user's jurisdiction, and within the scope of the customer in question. + +NOTE 2 – This Recommendation follows the general principles established in [ITU-T Y.1311], as applicable, although the scope is not restricted to VPN situations. + +### 6.2 General customization model + +Figure 1 illustrates the customization model applicable to a CIP network. + +Acting on behalf of its own organization and/or on behalf of the end users within the customer organization, the customer interacts with the CIP provider to achieve the desired customizations. The customer interacts with the CIP provider through the CIP agent. + +The customer may also delegate some customization responsibilities to its end users within the bounds of the privilege allocated to such end users. This is indicated by the broken arrows. + +![Figure 1 – General customization model diagram. The diagram shows a 'Customer' and 'Customer's Users' interacting with a 'CIP Agent (CIPA) Customization Portal & Menu'. The CIP Agent is connected to 'Control & Management Functions' and the 'CIP Provider Network'. A 'Customized Network Services and capabilities' oval is also shown. Dashed red lines indicate areas within scope.](4e4be0bd8b235167902f2c03e41da651_img.jpg) + +The diagram illustrates the general customization model. It features a central 'CIP Agent (CIPA) Customization Portal & Menu' box. To its left are 'Customer's Users' and 'Customer' boxes, connected by solid and dashed arrows. To its right is a 'Control & Management Functions' box, connected by solid and dashed arrows. Below the CIP Agent is the 'CIP Provider Network' oval. Above the CIP Agent is a 'Customized Network Services and capabilities' oval. A 'CIPA Reference Point' label is positioned between the Customer/Customer's Users and the CIP Agent. A 'Local Matter' label is positioned between the CIP Agent and the Control & Management Functions. Dashed red lines form a boundary around the CIP Agent, Control & Management Functions, and CIP Provider Network, with a legend below stating '----- Areas within scope'. + +Figure 1 – General customization model diagram. The diagram shows a 'Customer' and 'Customer's Users' interacting with a 'CIP Agent (CIPA) Customization Portal & Menu'. The CIP Agent is connected to 'Control & Management Functions' and the 'CIP Provider Network'. A 'Customized Network Services and capabilities' oval is also shown. Dashed red lines indicate areas within scope. + +**Figure 1 – General customization model** + +The agent concept shown in Figure 1 is similar to the principles described in [b-ITU-T X.160] and [b-ITU-T Y.130]. + +The control and management functions used by the CIP agent may consist of a number of appropriate systems, such as the following: + +- Systems based on the NGN management principles specified in [ITU-T M.3060]. +- Systems based on the eTOM business framework specified in [ITU-T M.3050.x]. + +The linkage between the CIP agent and such systems is out of scope of this Recommendation and may be subject to local considerations as described in [b-ITU-T X.160]. + +### 6.3 Service level agreements (SLAs) + +The CIP provider supplies its customers (and related end users) with IP network connectivity services based on the negotiated SLAs [ITU-T Y.1241]. An SLA specifies the customer/end user requirements that the CIP provider is committed to. + +An SLA defines the level of the quality of services to be provided, setting performance objectives to be achieved by the CIP provider. It also defines the procedures and reports that must be provided to track and ensure compliance with the negotiated SLA. + +For given types of applications requiring more than best-effort types of SLA, the customer (and related end users) can optionally negotiate SLAs with performance requirements such as bandwidth, delay and loss performance. + +An SLA can ensure the performance and availability of the CIP network to the customer and its end users. Reliability and availability are the key objectives that the CIP provider may have to fulfil in order to support a negotiated SLA. The capabilities defined in a given negotiated SLA may be activated on demand (as a result of an end user's request) or provided at the subscription time. Depending on the SLA negotiated with the customer, the CIP provider may have to control and manage the corresponding resources in the underlying CIP network. + +### 6.4 Menu-based network customization capabilities + +#### 6.4.1 Introduction + +The capabilities provided by the CIP provider allow the customers (and even end users within the customer organization) to have different levels of control and management over the relevant network resources of the customizable network. Customer and end-user access to network capabilities are provided by a set of menus (e.g., available via a web portal). Depending on the service contract, such menus can allow the further specification of SLA parameters. + +Network capabilities can be negotiated through a menu system that can exhibit individual CIP features related to the network itself and/or services, as well as their combinations. Network features can include storage resources, bandwidth and processing time. Service resources include relevant resources required for the support of distance learning, telecommuting, electronic commerce, telemedicine and online entertainment. Other features, such as controlling/managing a group of end users forming a VPN, are accessible. In addition, some features can relate to associated supported technologies and service architectures such as resources related to databases, secure networks, the Internet or Java. + +The detailed mechanisms for the support of customization and related management and/or control mechanisms are out of the scope of this Recommendation. + +#### 6.4.2 Levels of resource manageability + +One feature of customization is the ability to select the degree of resource manageability required. Table 1 introduces the concept of resource manageability levels. Note that the levels described in Table 1 are only examples of resource manageability levels that can be offered by a CIP provider. + +**Table 1 – Levels of resource manageability** + +| Level | Description | Features | Remarks | +|-------|----------------------------------------|--------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| 0 | No manageability | No monitoring, no resource control |
  • • No mechanism to detect network faults and congestion
  • • No mechanism to control network resources
| +| 1 | Overall network resource manageability | Overall monitoring, no resource control |
  • • Notify the overall network fault and resource status by CIP provider
  • • No resource control by the customer
| +| 2 | Group-level resource manageability | Group-level resource monitoring and control |
  • • Notify the group-level network fault and resource status by CIP provider
  • • Customer managing the group-level resources
| +| 3 | Individual resource manageability | Individual-level resource monitoring and control |
  • • Notify the individual network fault and resource status for end-to-end connectivity
  • • End user managing the end-to-end resources
| + +Manageability level 2 ("group-level resource manageability") corresponds to the case where network resources are to be manageable on the basis of end-user groups. A typical case is VPN where the corresponding network resources are shared between end users. + +A given network resource is considered as a single entity of manageability which can be dedicated to an individual end user (level 3) or shared between a group of end users (level 2). + +NOTE – The resource parameters and their corresponding granularity are implementation-specific and are therefore out of the scope of this Recommendation. + +## **6.5 Customer expectations** + +Customization capabilities are provided by the CIP provider to assist the customer in fulfilling its service expectations. + +The customer may wish to negotiate performance parameters to ensure corresponding performance objectives such as the following: + +- Availability (e.g., 99.999%). +- Response time (e.g., less than 5 ms to download a 1 Megabyte file). +- Service-blocking probability, including network access blocking. +- Service priority and QoS/CoS parameters. + +### **6.6 Network capability requirements** + +The degree of customization and manageability offered to the customer depends on capabilities, called network capabilities, supported and provided by the CIP provider. This clause identifies network capabilities that can be used in the context of this Recommendation. + +#### **6.6.1 General network capabilities** + +The capabilities to be provided by the CIP network provider include support for the following: + +- Creating/updating/deleting end-user profiles, including the end-user name, number, services subscribed to, etc. +- Advertisement/solicitation of name, address and number. +- Allocation of network addresses and address filtering. +- Authorization/authentication to identify the end user (e.g., query for end-user identifier, password, certification). +- Troubleshooting of network access problems. +- End-to-end transparency between end users. +- Name/number/service portability, navigation, name notification and name database management. +- Accounting of the end user's service utilizations for billing. + +#### **6.6.2 Network capabilities related to performance parameters** + +Network capabilities can optionally include support for the customer to dimension, manage, control and monitor network performance parameters. The following are examples of parameters that can be considered relevant in this context: + +- Packet error rate, packet loss rate. +- Round trip delay, one-way delay and delay variance. +- Availability (e.g., system uptime, mean time to failure, mean time to repair). +- Peak bandwidth, available bandwidth and minimum bandwidth. +- Round trip delay of location identification for mobility. +- Access blocking probability and service completion probability. +- Traffic-related statistics (e.g., number of packets to be received or transmitted, number of packets discarded or received in error). + +#### 6.6.3 VPN-related network capabilities + +CIP provider capabilities include support for the capabilities outlined in [ITU-T Y.1311], such as the following: + +- Means to enable the customer to define VPN membership. +- Accommodation of customer-defined VPN address schemes. +- Means for a single customer site to belong concurrently to more than one VPN. +- Means for the customer to define VPN topologies (ranging from hub-and-spoke, partial mesh to full mesh, for example). +- Support for fixed and mobile end users. +- Support for a wide range of routing protocols between the customer's premises routers and CIP provider's edge routers. +- Means for supporting a variety of an end user's traffic (QoS) requirements as defined by the end user. +- Means for supporting different modes of communication such as any-to-any (1:1), multicast (1:N, M:N) and broadcast (1:All). +- Means to enable the customer to easily add, remove or change devices, sites, routes, traffic, etc. +- Means to enable the customer to define SLAs per VPN and/or per VPN site and/or per VPN route. + +## 7 Functional capabilities + +## 7.1 Overview + +This clause provides a description of functional capabilities that can be considered to support the network capability requirements identified in clause 6.6. The functional capabilities are described according to end user perspectives and CIP provider perspectives. The functional capabilities provided by the CIP provider allow the customer (and end users within the customer organization) to customize its own IP network. + +### 7.2 Naming, addressing and identification capabilities + +An end user can be identified by his/her name, address and/or number. The physical attachment point, such as corresponding to a MAC address, can also be used to identify the end user. Binding mechanisms among the name, address, number and physical attachment point are required to identify the end user. If an end user moves, connectivity should be maintained. This implies handling the binding between the end-user permanent IP address (as home address) and end-user temporary IP address (as care-of-address). The temporary care-of-address identifies the IP address of the visited location while the permanent IP address identifies the end user. + +If end users announce their names to the CIP provider, the CIP provider identifies their names with address and location information allowing them to be reachable via their names. The domain name service (DNS) functions should allow some form of end user-identification. Real-time address translation and dynamic mapping between address and domain name server are required to support mobility. The following requirements for naming and addressing are necessary to support customizable IP services: + +- End user is identified by name, address and/or number. +- Dynamic update and automatic configuration of the name service database are executed at the request of the customer. + +- Translations between private naming/addressing and global naming/addressing for end-to-end connectivity may be required while end users use their own private naming/addressing dedicated at a specific region or group. When the end user moves to another location, the corresponding registration servers are notified of the new end user's location. + +### **7.3 End-user grouping capability** + +End-user grouping is mainly used for multicast and VPN services. The CIP provider is required to support proper registration and membership distribution mechanisms in order to provide end-user grouping capability. The grouping capability is recommended to allow for the identification of end-user groups. End users may actively select, join or leave a given end-user group. + +### **7.4 Application clustering capability** + +Clustering is a common term for providing a service over multiple servers to increase fault tolerance and/or to support load sharing. Clustering can be used for large-scale and mission-critical applications that do not allow any downtime. Each server within the cluster aims at maintaining the same information and performs administrative tasks such as load-balancing, server failure determination and failover duty assignment. The end user can trigger application clustering by allocating multiple servers (e.g., computers) into a corresponding dedicated cluster. + +### **7.5 Information navigation and query capabilities** + +In the customizable IP network, various types of multimedia information may be associated with information content to allow fast and efficient navigation for end users. Multimedia information and applications available in the network are recommended to be accessed at a minimum by username and password. + +The database containing the multimedia information may be searched and sorted with the relevant directory structure. + +For information navigation and query capabilities, a set of descriptors describing various types of multimedia information and identifying its contents is used. The description of "information data" provides the means to deliver audiovisual data as objects with certain relations in time and space. + +To aid in information acquisition, short descriptions for raw information contents are essential. In principle, any type of information data may be retrieved by means of any type of data query. A search engine may be necessary to match the data query and information description. To help information acquisition, information processing and a storage platform may also be required (e.g., servers for messaging, retrieval and distribution). + +End users can activate the information navigation and query capabilities under the following cases: + +- Changing information contents and types of data. +- Searching recursively to get detailed information. +- Maintaining the history of information navigation and queries, etc. + +### **7.6 Auto-discovery and auto-configuration capabilities** + +Auto-discovery and auto-configuration capabilities are technologies that enable the CIP network to be customized quickly to the environments that they should manage. Deploying new services at a rapid pace necessitates implementing the discovery methodologies in an extensible manner such that newly discovered capabilities can be added step-by-step to the IP network. End users are able to configure their own network environments (e.g., VPN) by utilizing auto-discovery and auto-configuration. + +The CIP network is recommended to support the auto-discovery capability that, in particular, dynamically conveys the location information of the end user, consistent with and respecting privacy requirements. Auto-discovery capability can be useful for achieving service scalability. The following are its advantages: + +- Reduces downtime by eliminating the process of identifying the IP address and manually adding it in the backup unit. +- Enhances safety by removing erroneous IP configurations. +- Increases security by monitoring devices on the network. +- Diminishes the complexity when modifying firmware and/or hardware equipment configuration. + +### **7.7 Information access control and security capabilities** + +End users may sometimes require the use of network paths with an appropriate level of security. Securing data traffic requires constructing a secure channel to end user's home (residential) networks. Access control and cryptographic functions are to be supported during registration and activation. IP-based VPN services can be used for providing security with an appropriate policy. The set of administrative policies determines both connectivity and QoS for VPN customers. End users can activate and deactivate access control with security associations. + +The packet filtering capability can provide reasonable protection and access control at the user-to-network interface; it can be applied to various gateway routers or intermediate network equipment between end users and the network. The packet filtering and security functions can be combined with specific protocols such as SIP, ITU-T H.323, FTP, etc. + +### **7.8 End-to-end transparency capability** + +One of the critical requirements is the support for seamless handover. End-to-end transparency is recommended to be maintained during handover since applications should run independently of the supporting infrastructure. The CIP provider's network is recommended to support the following three types of end-to-end transparency: + +- Location transparency +With distributed computing technology, end users can gain access from anywhere regardless of the actual physical location of such servers. +- Network transparency +The application server executes the corresponding control process independently of specific network types and end-user terminals. +- Protocol transparency +Protocol transparency is achieved by providing a standardized user-to-network interface, realizing independent service control processes, shielding complex network technical details from the service provision platform, and developing open communication network interfaces. + +The three types of transparency may be chosen by the end user. If the end user requires end-to-end transparency, the CIP provider is recommended to check whether such end-to-end transparency can be supported. The CIP provider may have to restrict other functions, such as NAT or disguised traffic, that can disrupt the transparencies. In this case, there is a need to verify which functions disrupt location, network and protocol transparencies. + +### 7.9 Connection configuration capability + +The connection configuration capability allows the specification as to who is allowed to communicate with whom (e.g., end user, information service broker, information broker). There are three basic connection configurations: point-to-point, multicast and broadcast. + +Point-to-point connections may provide unidirectional and bidirectional, as well as symmetric and asymmetric, paths. For point-to-point connections, the CIP network can support the following features: + +- Establishment, modification or release at the request of two participating end users +- Establishment with unicast addressing/naming capability. + +A broadcast connection may provide unidirectional communication between one end user and other end users. This connection is one-to-many (all) during a particular initiated session. A multicast connection is the one-to-many relationship continued for the duration of a given initiated session. In this connection, one end user is the root, and the other end users are leaves. The root can send one copy of each packet and address it to the group of leaves wishing to receive it. End users can establish their own network configuration depending on their private resources and service/applications. End users may try to optimize their private communication configuration considering the communication cost and performance. + +### 7.10 Routing and forwarding control capabilities + +Proper routing paths between the source and the destination are decided according to the traffic contract and overall network traffic condition. The routing paths between the source and the destination are selected by end users, e.g., best effort, VPNs, managed IP facilities. Based on the end users identified routing selection, future routings can occur based on a definite routing policy. For connectionless transfer, the router forwards the IP packets with their respective QoS information and end user requirements along a selected routing link. + +The routing algorithm can be classified according to routing decision processes that are generally applied to end-to-end or hop-by-hop connections. For network scalability and robustness, some combinations of routing decision processes may be used for specific connections or flows. The following are the routing requirements in customizable networks: + +- Capability to support QoS-enabled paths +QoS-enabled paths are needed to support the end user's specific requirements (mobility, VPN, security, policy, QoS level, etc.). +- Capability to provide alternative paths +To cope with failure of a routing path, alternative routing paths should be provided. +- Capability to exchange routing information for interconnecting situations +Negotiate and select the QoS parameters to support end-to-end QoS requirements. +- Capability to support scalable routing +A trade-off between the amounts of routing database information required in the CIP network elements and the size of the CIP network. +- Capability to support broadcast routing +The CIP network is able to copy packets, thereby allowing sources to send packets to all receivers. +- Capability to support multicast routing +The CIP network is able to build packet distribution trees that allow sources to send packets to all receivers bound to the multicast spanning tree. The multicast tree is built according to network policies. + +### **7.11 Alternative path selection and multi-homing capabilities** + +To deliver reliable service, the end user may require a set of procedures to provide protection for the traffic carried on different paths and to support the selection of his/her physical/logical interface. To support such requirements, alternative path selection and multi-homing capabilities are essential. + +The alternative path selection capability guarantees seamless service by avoiding service deterioration in case of network faults. For the selection of the backup path, the CIP network maintains route information along the same original path and proceeds to set up the alternative path. The following are requirements for supporting alternative path selection capability (end users can select alternative path and multi-homing capabilities based on their preferences): + +- Alternative path discovery +Depending upon the prior agreements made between the end user and the carrier, when a network fault occurs, end-user traffic may be automatically routed to an alternative path. +- Multi-homing +Providing multi-homing capability has some advantages, one of which is redundancy. This is similar to the alternative path effect. Entities such as end users, hosts, routers and subnets should be able to be insulated from certain failure modes within one or more network providers. A network with this capability is recommended to accommodate continuities in connectivity during failures. Another advantage is better performance. Through multi-homing, a network entity should be able to protect itself from performance deterioration. Multi-homing provides multiple interfaces on the end-to-end path. + +### **7.12 Mobility control and management capabilities** + +While most end users are moving, their connectivity should be controllable at any time. Efficient mobility control and management procedures are recommended to be developed in combination with security procedures. Mobile end users and terminals should be able to update their location database dynamically. This way, a mobile host is able to maintain and use the same IP address as it changes its point of attachment to the CIP network. The relevant registration protocol is used to authenticate the mobile IP end users. The location resolution and seamless handover procedures are enforced while IP end users or terminals are in motion. Supporting mobility control and management requires the following capabilities (end users can choose some capabilities during handover): + +- Capability to allow a mobile node to be reachable by having a permanent address: + - Address management function. + - Registration function. +- Capability to know where a mobile node is: + - Network information advertising/detecting function. + - Registration function. + - Paging function. +- Seamless handover capability. +- Capability to allocate proper resources during handover. +- Capability to support inter-domain mobility. +- Capability to find the optimal routing path. +- Capability to support AAA and security. + +### **7.13 Traffic measurement and usage parameter control capabilities** + +Usage parameter control (UPC) refers to the set of actions taken by the CIP network to monitor and control traffic. The operation of UPC involves checking whether or not input traffic conforms to the QoS objectives of a compliant connection. Note, however, that excessive policing actions on a connection may have side effects on the overall network performance deterioration. Therefore, safety margins should be engineered to limit the effect of UPC. Conforming traffic refers to the contracted performance guarantee. Traffic exceeding the conformance limit will receive appropriate treatment. The forwarding process can further be associated with service priority and service reliability parameters. + +The flow control of UPC guarantees that sources act as agreed upon during the call setup phase, after a call is accepted and a decision is made to penalize or not to penalize the traffic or connection when such arrival triggers a traffic overflow or violation. Actions (e.g., tagging or discarding) are taken if a source does not conform to its contract. Violation of the contract may occur in case of malfunctioning equipment, malicious end users or traffic delay. + +The customizable network should directly support traffic measurement and usage parameter control functions. End users may request permission to observe the results of traffic measurements and UPC functions when they experience performance deterioration. Likewise, end users can negotiate the UPC parameters with the CIP provider. The end user can control the QoS level based on these UPC parameters. + +### **7.14 SLA negotiation capabilities** + +The customizable network should be reliable and seamless to satisfy the negotiated SLAs. End users may also choose their service profiles and performance characteristics. The CIP provider is required to negotiate and agree with the end user on the technical details of specific instances of the service products being offered. The QoS parameters may be the same as those offered or customized to a specific service instance. There are always two SLAs, one for each direction. The SLA specification requires extensive monitoring of the available infrastructure. + +The end user can dynamically negotiate SLAs with the CIP provider and change the SLAs to the maximum extent supported by the CIP provider. + +### **7.15 End-to-end QoS provision and priority assignment capabilities** + +To enable the applications to work to the satisfaction of end users, performance guarantees are required for the resources they use. In particular, end-to-end QoS provision is necessary for many applications, e.g., upper bound for packet loss and maximum transmission delay in real-time audio streaming applications. + +The end user can optionally select end-to-end QoS. In this case, the CIP provider is recommended to guarantee end-to-end QoS as a contract with an end user. + +### **7.16 Information storage and directory processing capabilities** + +Directories play an important role in providing information access across networks. Directories are involved in many operations requiring access to information such as end user preferences, patient information, student records and public records. + +From the CIP provider's perspective, the capability to manage both end-user profiles (e.g., phone number, address and subscribed service lists) and network/service profiles (e.g., network configuration, topology and server lists) is required. If the CIP provider grants an end user the capability to manage his/her profile, the end user can manage personal information such as password, friends' address lists, etc. + +The CIP provider may provide information storage services for clients. Grid networks are an application environment that can provide these services in a secure, flexible and dynamic manner [b-Foster]. + +End users may enlist the help of the CIP provider to configure their own storage and directory environments. + +### **7.17 Segment OAM and end-to-end OAM capabilities** + +The network requirements for both segment and end-to-end OAM capability have increasingly become pivotal in maintaining SLA contracts. To construct segment and end-to-end OAM flows from the perspective of an end system, MPLS OAM and MPLS ping/trace may be applicable [ITU-T Y.1711]. + +The end user can activate the OAM flows regardless of whether or not the SLA contracts are satisfied. + +### **7.18 Virtual private network configuration capability** + +For customizable IP networks, policy-based control functions for providing VPN configuration individually and dynamically are necessary. VPN can be decomposed in multiple sub-VPNs, e.g., dedicated for voice, for on-demand streaming data, secure information, etc. + +To provide service-dependent routing/forwarding features for VPNs, the CIP network supports virtual networking. + +End users can configure their own virtual private network. Providing intelligent and dynamic VPN configurations require the following functions in the customizable network: + +- For dynamic reconfiguration in a VPN node, intelligent features will be required to select tunnel(s) for each end-system that should be connected to VPN. +- Firewall policies can be chosen to ensure a high degree of security that controls incoming/outgoing unauthorized packets. +- For QoS-capable VPNs, providing tailored communication services that can be differentiated in terms of performance, monitoring, accounting, security and privacy is important. For example, the ingress node in the CIP network can perform aggregate flow scheduling based on multiple individual flows within VPN. +- Hierarchical mobility management (e.g., micro/macro mobility) may be necessary for mobility provision among VPN groups. +- The ingress nodes of a VPN provide dynamic configuration filtering rules, with levels of granularity ranging from a single node to an entire VPN. + +### **7.19 Billing and charging capabilities** + +The billing and charging capabilities are based on the collecting of charging parameters. The charging parameters can be agreed by customers/end users during the SLA negotiation. The following parameters may be considered: + +- Connection mode. +- Connection establishment and release time. +- QoS class and priority. +- Traffic parameters including constant bit rate (CBR) and variable bit rate (VBR). +- Charging data records (CDRs) which include the number of packets to be delivered, tagged and discarded. + +### **7.20 Client/server management and agent management capabilities** + +Client/server management is required to support the scalable and efficient deployment of services. The following features can be supported in the customizable network: + +- Service portal acting as a broker for services with the ability to manage complex service relationships. +- Separation of service control from service transport, thereby allowing the control of multiple and heterogeneous networks using a common control plane and providing a path to simpler network devices. +- Support for multiple network technologies achieved by abstracting the service QoS requirements from the underlying technology. +- Scalable and flexible architecture enabling plug and play (e.g., dynamic registration of new services through agent collaboration). +- End user mobility enhancement, i.e., end users can access the system from multiple customer premises equipment (CPEs) as CPE agents collaborate with the service portal agent to provide the location information of the end user. +- Distributed software entities (agents) that can cooperate in support of the trading model for the service supply chain. + +The CIP network allows end users to get client/agent/server management upon the demand of the end user. The following end users of the CIP network can be considered: service providers and service clients (clients of the service providers). If a service provider requires agent management for its clients, the CIP network supports the agents of the service provider. These agents are located at appropriate places over the CIP network, acting as service providers to clients. If the service client requires agent management, the CIP network provides a client to perform tasks as an agent. This agent plays two roles: as a server of a service end user and a client of a service provider. Once their specific tasks are executed, clients will release the agent resources of the CIP network. + +## **8 Security considerations** + +To ensure the secure use of a customizable IP network, the following items need to be considered: + +- Authentication: This is required to verify the claimed identity. +- Authorization: This enables certain actions after the authentication. In particular, authorization ensures that only authorized persons or devices are allowed to access the CIP network elements, services and applications. +- Confidentiality: Data should not be made available to unauthorized entities. +- Integrity: This ensures that data is not modified in transition. +- Non-repudiation: Non-repudiation requirements provide undeniable proof of shipment and/or receipt of data to prevent the sender from disavowing a legitimate message or the recipient from denying receipt. +- Communication security: This function ensures that information flows only between authorized end points. +- Availability: This function ensures that there is no denial of authorized access to the CIP network elements, services, applications, etc. +- Privacy: This function ensures the right of individuals to control or influence what information related to them may be collected and stored, and by whom, and to whom that information may be disclosed. + +In terms of mobility, there are inherent security risks. To be able to use the customizable IP network while avoiding the security risks associated with mobility requires identifying specific threats. The following lists the weak points and potential solutions related to mobility: + +- Using binding updates: The binding update in mobile IP solutions may be used to redirect routing of information from legitimate sources to destinations without the permission and knowledge of the sender. If not used carefully, it can cause some detrimental results in the case of mobile communications. + - Stealing data: If a rogue end user knows a mobile node's permanent address, he/she can send a binding update to a correspondent node or a database maintaining the binding update to change the route for the original mobile node's data into his/hers. + - Reflection and flooding attacks: When a sender and a destination are communicating that the sender sends a packet to the destination is perfectly acceptable; this usually results in the destination replying back to the sender. If the sender sends to the destination a packet that causes the destination to reply to another person, however, a reflection attack is said to occur. The attacker can flood another person's link using the reflection attack. + - Man-in-the-middle attacks are attacks on the binding update: This attack can be used on the communication path between two nodes by an attacker. An obvious method is to change the contents of a packet to cause some results that were not intended by the original sender of the packet. When the attacker is located on the path between a mobile node and a correspondent node, he/she can modify the content of the binding update, thereby possibly bringing about a reflection attack or hijacking an ongoing connection between mobile and correspondent nodes. +- Attacks using packet header information: The packet includes destination information. Therefore, if an attacker is communicating with a mobile node, he/she may put another address in the header information field, thus causing the mobile node to forward the packets to another node and possibly causing reflection or flooding attack. + +As additional requirements on security, the following points for enhancing security are introduced as follows: + +- Securing communication between the mobile node and the correspondent node: Messages between a mobile node and a correspondent node are required for binding cache and binding update list management, especially in mobility management. The binding update acts as a redirection request. Therefore, a correspondent node should trust the mobile node to be able to accept this request. + - Message integrity: An attacker should not be able to modify the contents of the binding update message as well as the binding acknowledgment message. + - Avoiding the denial of service attack: To avoid this attack, correspondent nodes must ensure that they do not maintain the active attachment state per mobile node until the binding update is accepted. +- Securing messages in the database for the binding update: The same attacks on the binding update to correspondent nodes are relevant when a mobile node is communicating with its binding update database. Database impersonation could be detrimental to the mobile and correspondent nodes. As such, the mobile node's communication should be secured using authentication. + +# Appendix I + +## Service procedures and applications scenarios + +(This appendix does not form an integral part of this Recommendation) + +This appendix describes some of the service procedures for customizable IP services and applications. The application scenarios for the described customizable IP services are as follows: + +- Customizable personal directory services. +- Customizable access control services. +- Customizable end-to-end QoS services. +- End-user customizable location monitoring services. +- Customizable home networking services. +- Client networking services with QoS and security. + +### I.1 Customizable personal directory services + +A customizable personal directory service is a service intended to provide end users with access to various personal directory-related information. Directory databases are repositories for information on network-based entities, e.g., applications, files, printers and people. In customer-managed IP network environments, the end user has his/her customized directory database in the network; even if the end user moves to a different location, he/she can access the directory anytime. Using query procedures with the directory service, the end user can also get some directory information of other end users such as an end user's telephone number as well as some location information. + +#### I.1.1 Objectives of customizable personal directory services + +One of the main objectives of supporting personal directory services in customizable networks is to have a customized personal directory for the management of end-user data. For each end user, a personal set of data is stored in the CIP network. Such end-user profiles should be accessible from every location in the network around which the end user can move. Another objective is to enable CIP providers to build specialized directory services into their applications. + +#### I.1.2 Functional model for customizable personal directory services + +Figure I.1 shows the functional model for the customizable personal directory services. This model includes agents and managers as well as a logical database to support directory services as follows: + +- Directory user agent (DUA) and directory service agent (DSA) +The directory service is described as a distributed client server system. This is characterized by a number of hosts (servers, DSA) providing directory services to other hosts (end users, DUA). +- Directory information base (DIB) +As a single, logical, global directory database, DIB stores information on directory objects such as end-user profile, location data, etc. +- Query manager and response manager +The query manager and response manager are responsible for processing the query and response messages between DUA and DSA. + +The end user can directly access his/her own directory service to update and manage directory information for customized directory services. + +![Functional model for customizable personal directory services diagram](cbdfdade780e677eb1c1aef3081ce9ef_img.jpg) + +The diagram illustrates the functional model for customizable personal directory services, showing the interaction between three main components: User, Gateway, and Manageable IP network. + +- User:** A yellow box containing the **DUA** (Directory User Agent). +- Gateway:** A pink box containing the **Query Manager** and **Response Manager**, which are connected by a bidirectional arrow. +- Manageable IP network:** A light blue box containing the **Directory Service**, which includes the **DSA** (Directory System Agent) and the **DIB** (Directory Information Base). The DSA and DIB are connected by a bidirectional arrow. + +Arrows indicate the flow of information: + + +- A bidirectional arrow connects the DUA in the User box to the Gateway box. +- A bidirectional arrow connects the Gateway box to the Directory Service in the Manageable IP network box. +- A bidirectional arrow connects the DUA in the User box directly to the DSA in the Directory Service. + +Functional model for customizable personal directory services diagram + +Note) DUA: Directory User Agent, DSA: Directory System Agent + DIB: Directory Information Base - user profile, location data etc + +**Figure I.1 – Functional model for customizable personal directory services** + +Personal directory services offer the following functionalities: + +- Creation and deletion of end-user information in a distributed database maintained in the network. +- Downloading and removal of information. +- Modifications of information in the end-user management database. +- Retrieval of information contents from any location. +- Retrieval of object identifiers for end users. +- Reconfiguration of end-user information when the end user changes the home site (e.g., virtual home environment). + +#### **I.1.3 Service scenarios and procedures for customizable personal directory services** + +In general, a directory service should provide the following four types of service: + +- Mapping name → number or address + For example, the name of an object may be mapped onto its network address. Note that this is exactly the service provided by a phone book or through telephone inquiries. +- Mapping number or address → set of names + This service is equivalent to a "yellow pages" function. +- Mapping object → set of names + A set of objects is identified by one single name. +- Secure communication + Authentication as well as mechanisms for electronic signatures are provided. + +In customizable personal directory services, the following scenarios are considered: + +- End user's access to his/her own directory. +- Retrieval of information from a directory. + +The service procedures for accessing the end user's own directory are shown in Figure I.2. The end users directly communicate with their own directory in a customizable IP network. Once the authentication procedure is completed, the end users can modify and get their own end-user information from the directory. The directory also contains the end user's location information; such information is updated as the end user moves on to another location. + +![Sequence diagram showing message flow for accessing the end user's own directory between User (DUA), Manageable IP network (DSA), and Management System.](043e64d41a3368d138ace3816fd26469_img.jpg) + +``` + +sequenceDiagram + participant User as User (DUA) + participant DSA as Manageable IP network (DSA) + participant MS as Management System + + User->>DSA: Login at user's directory service + DSA-->>MS: Authentication, Authorization (M1, M2) + MS-->>DSA: + DSA-->>User: Confirm + User->>DSA: Access of user's data + DSA-->>MS: Retrieval user's DIB (add, read, modify, delete etc) (M1, M3, M4) + MS-->>DSA: + DSA-->>User: Result + User->>DSA: Logout + DSA-->>User: + +``` + +The diagram illustrates the message flow for accessing the end user's own directory. It involves three main entities: User (DUA), Manageable IP network (DSA), and Management System. The process begins with the User (DUA) sending a 'Login at user's directory service' message to the Manageable IP network (DSA). The DSA then sends an 'Authentication, Authorization' message to the Management System, which is associated with events M1 and M2. The Management System responds to the DSA. The DSA then sends a 'Confirm' message back to the User (DUA). Next, the User (DUA) sends an 'Access of user's data' message to the DSA. The DSA sends a 'Retrieval user's DIB (add, read, modify, delete etc)' message to the Management System, associated with events M1, M3, and M4. The Management System responds to the DSA. The DSA then sends a 'Result' message back to the User (DUA). Finally, the User (DUA) sends a 'Logout' message to the DSA, and the DSA responds back to the User (DUA). + +Sequence diagram showing message flow for accessing the end user's own directory between User (DUA), Manageable IP network (DSA), and Management System. + +**Figure I.2 – Message flow for accessing the end user's own directory** + +The following are some of the possible fault management events that may be sent to the management system: + +- M1 Directory service unavailable due to a communication or database problem. +- M2 Authentication failure; this event may be reported when fraud is suspected, e.g., based on a repeated pattern of failed login attempts within a relatively short period of time. +- M3 Unauthorized end user; the following are two common cases: + - End-user information in the message does not match the end-user information for the existing authorization. This event is also important in fraud detection. + - The end user does not have sufficient authority to retrieve, modify or delete requested information. +- M4 Unable to update the database in case of modify and delete operations. + +The service procedures for the retrieval of directory information are shown in Figure I.3. The end user sends a search query to the gateway with information to be searched (e.g., name). The query manager within the gateway selects the appropriate directory service system in the CIP network and sends the information request to the designated directory service system. After the retrieval of DIB information, the response manager in the gateway returns a response with the corresponding information (address, number, etc.) to the end user. + +![Sequence diagram showing message flow for directory information retrieval between User (DUA), Gateway, and Manageable IP network (DSA).](8c348bf9c2c81b018017ae1d19506a9a_img.jpg) + +``` + +sequenceDiagram + participant DUA as User (DUA) + participant Gateway + participant DSA as Manageable IP network (DSA) + + DUA->>Gateway: Query (name etc) + Note over DUA, Gateway: Search directory service system by Query Manager + Gateway->>DSA: Request Information + Note over DSA: Retrieval DIB of directory service (add, read, modify, delete etc) + DSA-->>Gateway: Return Information + Note over Gateway, DUA: Mapping name on information by Response Manager + Gateway-->>DUA: Response (address, number etc) + +``` + +Sequence diagram showing message flow for directory information retrieval between User (DUA), Gateway, and Manageable IP network (DSA). + +**Figure I.3 – Message flow for the retrieval of information in a directory** + +### **I.2 Customizable access control services** + +Customizable access control provides the end user with some controllability while accessing his/her own service profiles and transport capabilities (e.g., VPN). + +#### **I.2.1 Objectives of customizable access control services** + +Allowing for a profile-driven access control mechanism for traffic aggregates is one of the key features of customizable IP networks. This is because end-user applications involve data with different content and bandwidth/QoS requirements. + +#### **I.2.2 Functional model for customizable access control services** + +![Functional model diagram showing End User, Access Gateway (with SLA, Transport, and User Access Blocks), and NGN Core Network connected by Binding Stacks and Information Flow.](805c475f0859e607af0530ba43194bf1_img.jpg) + +``` + +graph LR + subgraph Access_Gateway [Access Gateway] + SLA[SLA Negotiation Block] + TH[Transport Handling Block] + UAB[User Access Block] + SLA <--> TH + TH <--> UAB + end + EndUser[End User] + NGN[NGN Core Network] + + EndUser --- BS1[Binding Stacks] + BS1 --- Access_Gateway + Access_Gateway --- BS2[Binding Stacks] + BS2 --- NGN + BS1 -.-> BS2 + BS2 -.-> BS1 + +``` + +Legend: + — : Binding Stacks + - - - : Information Flow + +Functional model diagram showing End User, Access Gateway (with SLA, Transport, and User Access Blocks), and NGN Core Network connected by Binding Stacks and Information Flow. + +**Figure I.4 – Functional model for customizable access control services** + +Figure I.4 shows the functional model for customizable access control services. In particular, access gateway functions that enable provisioned access control to end users are identified. Access gateway functions consist of three major functional blocks described as follows: + +- **User access block** +The user access block is where the end user's information request is logged first. Information deemed critical in managing the network is translated into a standard object format and forwarded to the transport handling block. +- **Transport handling block** +The transport handling block provides communications paths between the end-user access block and the SLA negotiation block. All information forwarded from the end-user access block is utilized by the transport handling block, which provides common data storage such that new access control information can be easily inserted into the access handling environment. Note that this is one of the key concepts in customizable access from the end users' viewpoint, i.e., the enforcement of service level agreements must be robust and reliable. +- **SLA negotiation block** +The SLA negotiation block supports the functionalities for handling SLA negotiation requests between the end user and the CIP provider based on the end user's profile for access control. Charging and billing procedures also form an important part of the functionality of the SLA negotiation block, which acts as the "front-end" for user-network communication and completes the binding for direct communication with the end user. Once this is done, the established session is updated, and a tag for billing and accounting processes is kept. + +The SLA negotiation block needs only to update its internal records and communicate the change in request to the CIP provider; an entirely new session establishment is unnecessary. Billing information is passed on to the end user once its session is completed. + +#### **I.2.3 Service procedures for customizable access control services** + +- **Negotiation of service profile information** +Dynamic negotiation on service profile information occurs in the SLA negotiation block to which end users are linked. Therefore, access to the CIP network can be partitioned dynamically using the functional blocks of the access gateway for customizable access control. +- **Service procedures for customizable access by the end user** +Figure I.5 shows an example of the flow diagram for the end user-driven access control. The end user sends a request to the access gateway using service provision requests, with the end-user access block looking up the CIP network conditioning database and passing the request on to the transport handling block and finally to the SLA negotiation block. The SLA negotiation block must provide application multiplexing. There should also be a provision to accommodate changes in the end users' service level agreements dynamically in an ongoing established session as well as to admit the end-user profile during roaming. Session requirements are negotiated with the CIP provider while a set of default requested objects is maintained in the internal database. Based on the end user's requests, the access gateway opens a session with the CIP provider and negotiates with the CIP provider on the directory, access control and security. + +![Sequence diagram showing the flow between User, Access Gateway, Network Element, and Management System. The process starts with an 'Access request' from User to Access Gateway. The Access Gateway sends 'Open session control' to the Network Element, which triggers event M1. Then, 'Request service' is sent to the Network Element, triggering event M2. This is followed by 'SLA negotiation for service provisioning' (indicated by a bracket and vertical dots), which triggers event M3. The Network Element sends 'Accept and confirm' to the Access Gateway, triggering event M4, which then sends 'Accept service request' to the User. Finally, 'Access granted' is sent to the User, and 'Connection established' is sent to the Network Element, triggering event M5.](11edb7fcedf09ac6a817f8d7b8c61eec_img.jpg) + +``` + +sequenceDiagram + participant User + participant AG as Access Gateway + participant NE as Network Element + participant MS as Management System + + User->>AG: Access request + AG->>NE: Open session control + NE-->>MS: M1 + AG->>NE: Request service + NE-->>MS: M2 + AG->>NE: SLA negotiation for service provisioning + NE-->>MS: M3 + NE-->>AG: Accept and confirm + AG-->>MS: M4 + AG->>User: Accept service request + AG->>User: Access granted + AG->>NE: Connection established + NE-->>MS: M5 + +``` + +Sequence diagram showing the flow between User, Access Gateway, Network Element, and Management System. The process starts with an 'Access request' from User to Access Gateway. The Access Gateway sends 'Open session control' to the Network Element, which triggers event M1. Then, 'Request service' is sent to the Network Element, triggering event M2. This is followed by 'SLA negotiation for service provisioning' (indicated by a bracket and vertical dots), which triggers event M3. The Network Element sends 'Accept and confirm' to the Access Gateway, triggering event M4, which then sends 'Accept service request' to the User. Finally, 'Access granted' is sent to the User, and 'Connection established' is sent to the Network Element, triggering event M5. + +**Figure I.5 – Example flow diagram for customizable access control services** + +For example, during session initiation, SLA negotiation and connection establishment, fault management events may be sent to the management system. The potential fault scenarios are as follows: + +- M1 Session initiation failure. +- M2 Service request processing failure. +- M3 SLA negotiation failure: SLA negotiation failure may occur as a result of fault in the service layer or transport layer in a rather complex message flow between a number of CIP network elements such as access gateway, bandwidth managers and policy managers. Therefore, further investigation is required regarding the breakdown of this event. +- M4 SLA provision failure on the access gateway +- M5 Connection establishment failure: The significance of this event is the determination of the management requirement for the connection (or connections) associated with a session. + +##### - Billing and accounting procedures + +The SLA negotiation block updates its reference database after the session is initiated and starts the system log module once the session is initiated. This is required for billing and accounting purposes. In particular, the logs are important for the collection and distribution of the end user's preferences, application requirements, CIP network device capabilities on the CIP provider side, and availing of the accounting policy information from the network operator. Once successful connection with the CIP provider is realized upon the authentication and verification of the end-user profile, the end-user access block is notified; the end user then starts receiving his/her service requests. + +##### - Support for mobility and seamless connectivity based on customizable access control + +Since the customizable access control scheme provides gateway access using IP addresses, supporting the cross network policy management for mobile end users during roaming is equally important. Such functional components provide the required policies governing end + +users accessing third-party networks and crossing geographical boundaries. It keeps in constant contact with other cross-network location registers of the geographically dispersed but interconnected networks, exchanging accounting, service feature profiles and control data for local and roaming subscribers. Within an established session, the SLA negotiation block updates its internal database and starts negotiating with the CIP provider in case of a change in the end user's service requests or profile without creating a new session or disrupting the flow in the established one. If the CIP provider does not entertain this new request, the SLA negotiation block notifies the end user of the unavailability of resources while continuing to service the earlier request. The end user has the choice to either go along with or terminate the ongoing session. After the end user has terminated the session, the SLA negotiation block makes a final write to its internal database regarding the session statistics and makes note of the accounting tag before releasing the session and passing on the information to the end-user access block and finally to the end user. + +### **I.3 Customizable end-to-end QoS services** + +#### **I.3.1 Objectives of customizable end-to-end QoS service** + +Customizable end-to-end QoS service intends to provide end users with QoS access and control to satisfy the support for multiple-type services. The end user negotiates with the CIP provider on how to get network resources for end-to-end QoS and handle faults and bottlenecks that may hinder end-to-end QoS. Specifically, the end user is able to negotiate with the CIP provider on service level provision. + +Target objectives of the customizable, end-to-end QoS service include: + +- Provide the end user with control of QoS parameters. +- Provide the end user with the status of end-to-end QoS. +- Allow the CIP provider to support various end-to-end QoS requests. +- Allow the CIP provider to manage QoS in a non-homogeneous QoS network. + +Customizable, end-to-end QoS services offer the following requirements: + +- Creation, modification and removal of customizable, end-to-end QoS service profiles. +- Notifying the end user of the negotiation on customizable, end-to-end QoS services dynamically. +- Monitoring the network and ascertaining whether end-to-end QoS can be satisfied. +- Provision of a network to satisfy end-to-end QoS based on the service profile. + +#### **I.3.2 Functional model and procedure for customizable end-to-end QoS service** + +This clause describes the functional model for accessing and managing end-to-end QoS service. Figure I.6 shows the functional model for the customizable end-to-end QoS service. This model includes a service managing block that is responsible for handling end-user requests and data, and an agent that negotiates on the provision with the CIP provider to satisfy end-to-end QoS. + +- Customizable end-to-end QoS end-user agent (QUA) +QUA consists of the request functional block and negotiation functional block. The request manager receives the end user's request and verifies whether the request is valid within the network resources across the CIP network. The negotiation manager receives notifications from the customizable end-to-end QoS network manager (QNM), determines whether the end user's end-to-end QoS request is guaranteed, and re-negotiates with the end user regarding the handling of end-to-end QoS exceptions, if any. + +- Customizable end-to-end QoS network manager (QNM) +QNM receives instructions from QUA. Bandwidth, delay, jitter, packet loss and other QoS guarantee mechanisms are then notified. QoS request mismatches are resolved during negotiations with the CIP network according to the nominal values of end-user requests pertaining to the allocation and increment of bandwidth, change of QoS mechanisms, tuning of QoS parameters to network-supported provision, rerouting and protection, etc. + +![Figure I.6 – Functional model for the customizable end-to-end QoS service. The diagram shows a User on the left connected via a dashed line labeled 'UNI' to a 'Customer manageable IP network' box. Inside this box is a 'Manageable end-to-end QoS service' box, which contains an 'e2e QoS user agent' and an 'e2e QoS network manager'. Below this is a 'Network' box. A horizontal dashed line separates the 'Control plane' (top) from the 'User plane' (bottom). Arrows indicate communication: a dashed arrow from User to e2e QoS user agent, a solid arrow from e2e QoS user agent to e2e QoS network manager, a solid arrow from e2e QoS network manager to Network, and a solid arrow from Network back to e2e QoS network manager.](d9843ac5dfc4bbe9e4d21b8898723b5e_img.jpg) + +Y.1292(08)\_F1.6 + +Figure I.6 – Functional model for the customizable end-to-end QoS service. The diagram shows a User on the left connected via a dashed line labeled 'UNI' to a 'Customer manageable IP network' box. Inside this box is a 'Manageable end-to-end QoS service' box, which contains an 'e2e QoS user agent' and an 'e2e QoS network manager'. Below this is a 'Network' box. A horizontal dashed line separates the 'Control plane' (top) from the 'User plane' (bottom). Arrows indicate communication: a dashed arrow from User to e2e QoS user agent, a solid arrow from e2e QoS user agent to e2e QoS network manager, a solid arrow from e2e QoS network manager to Network, and a solid arrow from Network back to e2e QoS network manager. + +**Figure I.6 – Functional model for the customizable end-to-end QoS service** + +In the procedures for the customizable end-to-end QoS service, the end user creates and registers customizable end-to-end QoS service with his/her initial requirements for end-to-end QoS. The end-to-end QoS end-user agent (QUA) can poll or obtain notification regarding QoS performance from an access node and an edge router of the CIP network. Bandwidth, delay, jitter and packet loss are the basic parameters for the customizable QoS performance. When the end-to-end QoS performance falls below the threshold level requested by the end user, QUA takes appropriate actions based on its stored default values to recover from such service level deterioration. If QUA is unable to negotiate with the CIP provider, the end user can re-negotiate the required QoS to request the guarantee of appropriate QoS levels. + +The interface between the end user and the customizable end-to-end QoS function provides messages to: + +- Create and delete the QoS profile in the customizable end-to-end QoS function. +- Notify the end user of the deterioration in the QoS level. +- Make a compromise between the end user and QoS function when the end user's requests cannot be satisfied. + +The interface between the customizable end-to-end QoS function and CIP network provides messages to: + +- Notify QoS performance change for the customizable end-to-end QoS function. +- Take QoS action on the CIP network. + +![Sequence diagram showing message flows for the customizable end-to-end QoS service scenario between User, Manageable end-to-end service, and Manageable IP network.](08dce7ad4c512fdf0c0cde60415fade6_img.jpg) + +``` + +sequenceDiagram + participant User + participant MESS as Manageable end-to-end service + participant MIPN as Manageable IP network + + User->>MESS: create QoS profile + User->>MIPN: create end-to-end connection + Note over MIPN: {events occur} + MIPN->>MESS: notify QoS performance changing + MESS->>MIPN: default or negotiated QoS action + Note over MESS: {QoS level degrades} + Note over MESS: {if QoS action fails to recover} + MESS->>User: notify QoS level degrading + Note over User: {if user wants other QoS action} + User->>MESS: take negotiation procedure + MESS->>MIPN: new negotiated QoS action + +``` + +The diagram illustrates the message flows for a customizable end-to-end QoS service scenario. It involves three main entities: User, Manageable end-to-end service, and Manageable IP network. The process begins with the User creating a QoS profile and establishing an end-to-end connection with the Manageable IP network. Subsequently, the Manageable IP network notifies the Manageable end-to-end service of changing QoS performance. The service then initiates a default or negotiated QoS action. If the QoS level degrades and the action fails to recover, the service notifies the User of the degrading QoS level. If the User desires a different QoS action, a negotiation procedure is initiated between the User and the Manageable end-to-end service, resulting in a new negotiated QoS action being implemented by the Manageable IP network. + +Sequence diagram showing message flows for the customizable end-to-end QoS service scenario between User, Manageable end-to-end service, and Manageable IP network. + +**Figure I.7 – Message flows for the customizable end-to-end QoS service scenario** + +#### I.3.3 Service scenario of customizable end-to-end QoS service + +An end user requests the CIP provider for an end-to-end connection with his/her QoS requirements. If QoS deteriorates, the customizable end-to-end QoS service will consider the following actions: + +- Provide more network resources or reroute for end-to-end connection. +- Re-negotiate QoS parameters for end-to-end connection with the end user. + +When the CIP network does not consist of homogeneous equipment to satisfy the same QoS level, the customizable end-to-end QoS service should know the different capabilities and select the appropriate QoS mechanism. + +The following three scenarios are considered: + +- **Scenario 1 (selection of TE capability)** +Suppose an end user wants a specific bandwidth guaranteed for peer-to-peer connection, such as the VoIP network. First, the end user sends his/her connection request to the CIP network. The CIP network then receives this request and checks the status of available resources. Afterward, the CIP network responds to the end user with two options: best-effort delivery with admission control and guaranteed delivery available end-to-end communication path. +- **Scenario 2 (priority assignment with cost option)** +In this scenario, the end-to-end QoS service offers priority scheduling. In case of congestion on the end-to-end path, higher priority may be selected. When the status of the path becomes normal, the priority provision returns to the normal condition to save cost. +- **Scenario 3 (re-negotiation of TE capability)** +When QoS deteriorates, and all options are not applicable, end users are notified accordingly, and re-negotiation is held with the end user on how to satisfy end-to-end QoS. + +### I.4 End-user customizable location monitoring services + +The end-user customizable location monitoring service is a service that enables the management and monitoring of end users' location information anytime, anywhere and regardless of the access technology they are using (fixed, wireless). + +#### I.4.1 Objectives of the end-user customizable location monitoring service + +The main objective of the end-user customizable location monitoring service is that an end user retrieves other end users' location information from a location information functional database. In many cases, end users are interested in communicating with a given set of their interested peers. Another objective is to provide basic information support to other services, such as emergency services. + +#### I.4.2 Functional model for the end-user customizable location monitoring services + +![Functional model for the end-user customizable location monitoring service diagram](a4b963a07cc368283154762c4b156fe7_img.jpg) + +The diagram illustrates the functional model for the end-user customizable location monitoring service. A central 'Manageable IP Network' (shaded pink) contains three databases: a green 'Customer-based Location Information Database' and two yellow 'Provider-owned Location Information Database A' and 'Provider-owned Location Information Database B'. A 'Customer' (blue box) is connected to the Customer-based database. Arrows show data flow from the Customer-based database to both Provider-owned databases. From Provider-owned Database A, arrows point to 'Unmonitored Customer A', 'Monitored Customer B', and 'Monitored Customer C'. From Provider-owned Database B, arrows point to 'Unmonitored Customer D' and 'Unmonitored Customer E'. + +Functional model for the end-user customizable location monitoring service diagram + +**Figure I.8 – Functional model for the end-user customizable location monitoring service** + +The following functions are required to support the end-user customizable location monitoring service: + +- Functions required on the end-user side + - Requests regarding other end users' locations as sent to the customizable IP network. + - Managing monitored end users' location information. +- Functions required on the CIP network side + - Managing their respective end users' location information. + - Responding to end-user location requests + +As depicted in Figure I.8, two types of functional databases are required to support the end-user customizable location monitoring service: one is a CIP provider-owned location information database with the location information of CIP network end users. This database is an origin network location information database such as home location register/visitor location register, domain name system and home agent/foreign agent binding cache. Another is a customer-based location information database containing processed location information of customer end users. This database consists of various location information such as GPS location information and location information combined with other end-user information such as availability and connectivity. + +- CIP provider-owned location information database +This functional block is used to maintain and manage the location information of all CIP network end users. +- Customer-based location information database +This functional block is used to request for, update, add and delete end-user location information to/from the CIP provider-owned location information database of the other end user. + +#### **I.4.3 Service scenarios of end-user customizable location monitoring services** + +An end user is interested in knowing the location information of its peers. In this scenario, security issues such as authentication, authorization and accounting are not covered by the scope of this Recommendation. + +The following two scenarios are identified: + +- End-user-to-end-user-based location information database to the CIP provider-owned location information database +This scenario is a single-mode operation. An end user requests the other end user's location information once. If the end user-based location information database does not have the other location information, a request is issued to the CIP provider-owned location information database. +- End-user-to-end user-based location information database to monitored end user +This scenario is a continuous-mode operation. An end user requests for the other end user's location information periodically. After the single-mode operation, the end user-based location information database contains the monitored end user's location information. Therefore, the end user-based location information database issues a request to the monitored end user directly. + +In these two scenarios, the end-user-based location information database may not need to share its network resources directly with an end user. This is because the CIP provider-owned location information may be owned by the CIP provider. The CIP provider-owned location information database should manage all their respective end users' location information. + +The first scenario is a single-mode operation scenario whose service procedure is shown in Figure I.9. In this scenario, an end user requests for the other end user's location information from the end-user-based location information database with a single-mode start message. In the case where the end-user-based location information database does not have the corresponding requested end user's information, a request is issued to the CIP provider-owned location information database to such effect. After receiving the request message, the provider-owned location information database responds by sending location information to the end-user-based location information database. This information is processed by the end-user-based location information database; such processed information is then provided to the requesting end user. + +![Sequence diagram for single-mode operation service scenario showing interactions between Customer, Customer-based Location Information Database, and Provider-owned Location Information Database.](e451401f8fa77b466f401d5fce15b26c_img.jpg) + +``` + +sequenceDiagram + participant Customer + participant CBLIDB as Customer-based Location Information Database + participant POLIDB as Provider-owned Location Information Database + + Customer->>CBLIDB: Single-mode Start + CBLIDB->>POLIDB: Request information + POLIDB-->>CBLIDB: Response raw information + Note over POLIDB, CBLIDB: Finding procedure + CBLIDB-->>Customer: Response Information + Note over CBLIDB: Processing procedure + +``` + +The diagram illustrates the single-mode operation service scenario. It involves three entities: Customer, Customer-based Location Information Database (CBLIDB), and Provider-owned Location Information Database (POLIDB). The process begins with the Customer sending a 'Single-mode Start' message to the CBLIDB. The CBLIDB then sends a 'Request information' message to the POLIDB. The POLIDB responds with 'Response raw information' to the CBLIDB. This exchange is grouped under the 'Finding procedure'. Finally, the CBLIDB sends 'Response Information' back to the Customer, with the internal step of 'Processing procedure' indicated between the database and the customer. + +Sequence diagram for single-mode operation service scenario showing interactions between Customer, Customer-based Location Information Database, and Provider-owned Location Information Database. + +**Figure I.9 – Service procedure for the single-mode operation service scenario** + +The second scenario is a continuous-mode operation scenario whose service procedure is shown in Figure I.10. In this scenario, an end user requests for monitored end user's location information from the information database with a continuous-mode start message. The first operation is almost the same as the single-mode operation service scenario. Note, however, that the end user-based location information database continuously adds other monitored end users to the end-user list. The end-user-based location information database periodically provides the processed information to the end user. If the end-user-based location information database receives a stop message, however, this process stops; the end-user-based location database then deletes the monitored end user's information from its list. + +![Sequence diagram for continuous-mode operation service scenario showing repeated interactions between Customer, Customer-based Location Information Database, and Monitored Customer.](2837ffdadcdb1e5bababa56b564e56ed_img.jpg) + +``` + +sequenceDiagram + participant Customer + participant CBLIDB as Customer-based Location Information Database + participant MonitoredCustomer as Monitored Customer + + Customer->>CBLIDB: Continuous-mode Start + CBLIDB->>MonitoredCustomer: Request information + MonitoredCustomer-->>CBLIDB: Response raw information + Note over MonitoredCustomer, CBLIDB: Finding procedure + CBLIDB-->>Customer: Response Information + Note over CBLIDB: Processing and Add procedure + + CBLIDB->>MonitoredCustomer: Request information + MonitoredCustomer-->>CBLIDB: Response raw information + Note over MonitoredCustomer, CBLIDB: Finding procedure + CBLIDB-->>Customer: Response Information + Note over CBLIDB: Processing procedure + + CBLIDB->>MonitoredCustomer: Request information + MonitoredCustomer-->>CBLIDB: Response raw information + Note over MonitoredCustomer, CBLIDB: Finding procedure + CBLIDB-->>Customer: Response Information + Note over CBLIDB: Processing procedure + + Customer->>CBLIDB: Stop + Note over CBLIDB: Delete procedure + +``` + +The diagram illustrates the continuous-mode operation service scenario. It involves three entities: Customer, Customer-based Location Information Database (CBLIDB), and Monitored Customer. The process starts with the Customer sending a 'Continuous-mode Start' message to the CBLIDB. The CBLIDB then enters a loop where it repeatedly sends 'Request information' to the Monitored Customer, receives 'Response raw information' back, and then sends 'Response Information' to the Customer. Each of these three cycles is grouped under a 'Finding procedure' bracket. The internal processing within the CBLIDB is labeled as 'Processing and Add procedure' for the first cycle and 'Processing procedure' for the subsequent two. Finally, the Customer sends a 'Stop' message to the CBLIDB, which triggers a 'Delete procedure' within the database. + +Sequence diagram for continuous-mode operation service scenario showing repeated interactions between Customer, Customer-based Location Information Database, and Monitored Customer. + +**Figure I.10 – Service procedure of continuous-mode operation service scenario** + +### **I.5 Customizable home networking services** + +#### **I.5.1 Objectives of the customizable home networking service** + +Home networking services can be defined as those providing home automation services, home entertainment services, security services and Internet service to the home. Home automation services are used to control lighting, appliances and climate control at home. Home entertainment services enable the end user to access audio, video and television services at home. Home networking services may also be extended to support the interconnection among various devices with radio frequency identifier (RFID) tags and increase the scale of network connections in comparison with the home networking services. + +#### **I.5.2 Functional model for the customizable home networking service** + +There are two modes of operation for home networking services: one is the local service access inside the home or within the home area network, which starts service invocation from inside the home and remote service access from external networks. + +![Architecture diagram for the home networking service in the customizable IP network.](b2f5606b9c7184c1c6070a290080a3e3_img.jpg) + +The diagram illustrates the architecture for home networking services, divided into 'Outside Home' and 'Inside Home' sections by a vertical line. On the 'Outside Home' side, there is a cloud labeled 'Manageable IP Network' containing a 'Service Gateway'. To the left of the cloud, 'Customers' are shown with a person at a computer, a mobile phone, and a radio tower. On the 'Inside Home' side, a pink house outline contains a 'Home Network' with various devices. A 'RGW' (Residential Gateway) is positioned at the boundary between the 'Manageable IP Network' and the 'Home Network'. + +Architecture diagram for the home networking service in the customizable IP network. + +**Figure I.11 – Architecture for the home networking service in the customizable IP network** + +As shown in Figure I.11, service gateway functions within the customizable IP network act as the portal to allow remote access and control from the external network to the home network. The service gateway enables the remote end user to manage home networking services and devices via the residential gateway. The following functions and capabilities are provided by the service gateway to support home networking services: + +- End-user authentication and authorization. +- Service management. +- Service usage measurement. +- Secure connection/session establishment. +- Firewall function to protect against possible threats. +- Home directory service function that collects and presents instances of home equipment, equipment services and contents to the end user. +- Remote control function. +- Remote configuration, management function. +- Web service-based interface to have access and control. +- Policy decision function to manage QoS. + +A residential gateway is a device that interconnects various home networking devices and acts as a mediator between the end user and service gateway. The residential gateway allows intelligent end user services to be created and managed within the home network as well. The details of the residential gateway functions are not addressed in this Recommendation, however. + +#### 1.5.3 Service scenario and procedures for customizable home networking services + +Figure I.12 shows an example of information flows of the home networking service to enable an end user to "turn on the lights" from a remote site. SIP, HTTP and SOAP are assumed to be available for use in delivering control messages to communicate between gateways and home devices. The following procedures show the information flows required for a "turn on the lights" home networking service: + +- 1) A remote end user is trying to log on to the service gateway to have access to home networking services. +- 2) If the end user is successfully authenticated and authorized, then the service gateway returns an OK message to the end user. +- 3) The end user sends a control message such as "turn on the light on the following device in the living room" to the service gateway. +- 4) The service gateway then requests for a session establishment between the service gateway and residential gateway and home device to forward the control message. +- 5) Once the session is successfully established, the service gateway sends to the home device the control message "turn on the light on the following device in the living room" via the residential gateway. +- 6) The response from the home device is acknowledged. +- 7) The OK control message is delivered back to the end user. +- 8) The end user logs off to quit the home networking service. +- 9) The session is terminated between the service gateway and residential gateway and home device. +- 10) The session between the end user and service gateway is ended. + +![Sequence diagram showing the information flows for a home networking service. The participants are Remote Customer, Service GW, and Residential GW. The process involves login, session establishment, control message delivery, and session termination.](04cfca33e3fc26513abe649d7474f733_img.jpg) + +``` + +sequenceDiagram + participant RC as Remote Customer + participant SG as Service GW + participant RG as Residential GW + + RC->>SG: 1. Login (ID, PASSWD) + activate SG + SG-->>RC: 2. OK + deactivate SG + + RC->>SG: 3. http://www.example.com/light?op=on + activate SG + SG->>RG: 4. Session Establishment + activate RG + RG-->>SG: 5. Turn on the lights + deactivate RG + SG-->>RC: 6. OK + deactivate SG + + RC->>SG: 7. OK + activate SG + SG->>RC: 8. Logoff + deactivate SG + + RC->>SG: 9. OK + activate SG + SG->>RG: 9. Session Termination + activate RG + RG-->>SG: + deactivate RG + deactivate SG + +``` + +The diagram illustrates the sequence of operations for a home networking service. It involves three main entities: a Remote Customer, a Service Gateway (GW), and a Residential Gateway (GW). The process begins with the Remote Customer sending a login request (ID and password) to the Service GW. The Service GW authenticates and authorizes the user, returning an OK message. Next, the Remote Customer sends a control message (a URL to turn on a light) to the Service GW. The Service GW then initiates a session establishment with the Residential GW. The Residential GW sends a response (turn on the lights) back to the Service GW, which then forwards an OK message to the Remote Customer. The Remote Customer sends an OK message to the Service GW, which then sends a logoff message back to the Remote Customer. Finally, the Remote Customer sends an OK message to the Service GW, which then sends a session termination message to the Residential GW, and the session is terminated. + +Sequence diagram showing the information flows for a home networking service. The participants are Remote Customer, Service GW, and Residential GW. The process involves login, session establishment, control message delivery, and session termination. + +Figure I.12 – Example of information flows of the home networking service + +### I.6 Client networking services with QoS and security + +#### I.6.1 Objectives of the client networking service with QoS and security + +The customizable IP network supports functions to control QoS and security capabilities simultaneously or partly as requested by end users. The CIP network expects a secured path to be associated strictly with QoS provision for different types of services; hence the need to classify networking service features in QoS and security. + +An example of a client networking service with QoS and security is to provide authentication mechanisms at the level of aggregates of packets such as channels or flows such that these checks need not be done on individual packets. This suggests an architecture wherein authentication and other resource management decisions are initially processed to minimize the cost of subsequent decisions. Consequently, multilayered architecture to provide QoS and security procedures may be needed as shown in Figure I.13. + +![Figure I.13: Example architecture for the client networking service with QoS and security. The diagram shows a three-layer architecture. The top layer is a green oval containing four green circles, labeled 'Client network A'. The middle layer is a light blue oval labeled 'Server layer network of NGN' and 'Manageable IP network/NGN', containing four blue circles and two vertical blue ovals. The bottom layer is a red oval containing four red circles, labeled 'Client network B'. Dotted green arrows point from the top green circles to the top blue circles, labeled 'Service QoS and security requirements with green'. Dotted red arrows point from the bottom red circles to the bottom blue circles, labeled 'Service QoS and security requirements with red'. Horizontal solid arrows connect the top green circles, and horizontal solid arrows connect the bottom red circles. Horizontal solid arrows connect the top blue circles, and horizontal solid arrows connect the bottom blue circles. Vertical dotted arrows connect the top green circles to the top blue circles, and the bottom red circles to the bottom blue circles, labeled 'Inter-layer interaction'. Red dotted arrows connect the top blue circles to the top vertical ovals, and the bottom blue circles to the bottom vertical ovals, labeled 'Intra-layer interaction'. A horizontal solid arrow connects the two vertical ovals. A label 'Y.1292(08)_FI.13' is in the bottom right corner.](b58cedaf15ad4f0edee5621820865ccc_img.jpg) + +Figure I.13: Example architecture for the client networking service with QoS and security. The diagram shows a three-layer architecture. The top layer is a green oval containing four green circles, labeled 'Client network A'. The middle layer is a light blue oval labeled 'Server layer network of NGN' and 'Manageable IP network/NGN', containing four blue circles and two vertical blue ovals. The bottom layer is a red oval containing four red circles, labeled 'Client network B'. Dotted green arrows point from the top green circles to the top blue circles, labeled 'Service QoS and security requirements with green'. Dotted red arrows point from the bottom red circles to the bottom blue circles, labeled 'Service QoS and security requirements with red'. Horizontal solid arrows connect the top green circles, and horizontal solid arrows connect the bottom red circles. Horizontal solid arrows connect the top blue circles, and horizontal solid arrows connect the bottom blue circles. Vertical dotted arrows connect the top green circles to the top blue circles, and the bottom red circles to the bottom blue circles, labeled 'Inter-layer interaction'. Red dotted arrows connect the top blue circles to the top vertical ovals, and the bottom blue circles to the bottom vertical ovals, labeled 'Intra-layer interaction'. A horizontal solid arrow connects the two vertical ovals. A label 'Y.1292(08)\_FI.13' is in the bottom right corner. + +**Figure I.13 – Example architecture for the client networking service with QoS and security** + +#### I.6.2 Overlay model for client networking services with QoS and security + +Figure I.14 shows the overlay model for client networking services with QoS and security. In particular, an example of overlay virtual networking is presented. Virtual networking is applied to the model based on independently multi-layered architecture wherein incoming packets are classified at the edge and packets for the secured QoS service are forwarded to policy-based overlay networks; thus providing secured networking and QoS managed functions through admission control and other control mechanisms. Based on the functional architecture, a networking feature is necessary to adopt QoS and security features efficiently. + +![Figure I.14: Overlay model for client networking services with QoS and security. The diagram shows a multi-layered network architecture. At the top is a 'Client Network' (green oval) connected to a 'Control Server' (blue server icon). Below the Client Network is the 'Overlay Server Layer Network' (blue oval), which contains virtual nodes VN-1 through VN-8. These virtual nodes are mapped to physical nodes in the 'Server Layer Network' (blue oval), which includes Edge Nodes (EN1-EN5) and Server Layer Core Nodes (P1-P4). The 'Server Layer Network' is connected to a 'Manageable IP Network/NGN' (blue oval). A legend defines the components: EN: Edge Node, VER: Virtual client Edge Node, VCR: Virtual client Core Node, P: Server layer core Node, and a dashed red line for 'Overlay Path for Classified Packet'.](5eb69662cc4fa7d0d49b4eb22951c204_img.jpg) + +Figure I.14: Overlay model for client networking services with QoS and security. The diagram shows a multi-layered network architecture. At the top is a 'Client Network' (green oval) connected to a 'Control Server' (blue server icon). Below the Client Network is the 'Overlay Server Layer Network' (blue oval), which contains virtual nodes VN-1 through VN-8. These virtual nodes are mapped to physical nodes in the 'Server Layer Network' (blue oval), which includes Edge Nodes (EN1-EN5) and Server Layer Core Nodes (P1-P4). The 'Server Layer Network' is connected to a 'Manageable IP Network/NGN' (blue oval). A legend defines the components: EN: Edge Node, VER: Virtual client Edge Node, VCR: Virtual client Core Node, P: Server layer core Node, and a dashed red line for 'Overlay Path for Classified Packet'. + +Figure I.14 – Overlay model for client networking services with QoS and security + +An example of the routing management algorithms of the overlay model is presented in Figure I.15. This figure shows the procedure for virtual networking function (VNF) table construction. Control information is classified according to the incoming end-user information, with the control server making its own networking table in procedures c, d and e. The multiple virtual networking tables according to security level and required QoS level are applied to perform the routing functions over the overlay network. The primary goal of VNF provision on the overlay network is to provide multiple secured QoS paths at each level. The VNF routing function is performed independently of other VNF domains in the network. + +![Figure I.15: Examples of table construction of virtual networking function in the overlay model. This flowchart illustrates the process of VNF table construction. It starts with 'Classification of Service Type and Level for Incoming Packet', which branches into (a) 'Classification of Source & Destination Address' and (b) 'Classification of Required Service (QoS, Security)'. Both (a) and (b) lead to (c) 'Construction of Virtual Forwarding Information Base'. Additionally, 'Policy Control Information Base (Network Resource, Security)' leads to (e) 'Construction of Virtual Forwarding Information Base'. The final step (f) is 'Construction of Multiple VNF (Virtual Networking Function) Tables for QoS and Security', which is highlighted with a red border.](329c96049bb432e9c2cbda4e224a0c9c_img.jpg) + +``` + +graph TD + A[Classification of Service Type and Level for Incoming Packet] -- (a) --> B[Classification of Source & Destination Address] + A -- (b) --> C[Classification of Required Service QoS, Security] + B -- (c) --> D[Construction of Virtual Forwarding Information Base] + C -- (d) --> D + E[Policy Control Information Base Network Resource, Security] -- (e) --> D + D -- (f) --> F[Construction of Multiple VNF Virtual Networking Function Tables for QoS and Security] + style F stroke:#f00,stroke-width:2px + +``` + +Figure I.15: Examples of table construction of virtual networking function in the overlay model. This flowchart illustrates the process of VNF table construction. It starts with 'Classification of Service Type and Level for Incoming Packet', which branches into (a) 'Classification of Source & Destination Address' and (b) 'Classification of Required Service (QoS, Security)'. Both (a) and (b) lead to (c) 'Construction of Virtual Forwarding Information Base'. Additionally, 'Policy Control Information Base (Network Resource, Security)' leads to (e) 'Construction of Virtual Forwarding Information Base'. The final step (f) is 'Construction of Multiple VNF (Virtual Networking Function) Tables for QoS and Security', which is highlighted with a red border. + +Figure I.15 – Examples of table construction of virtual networking function in the overlay model + +To make a forwarding information base from information on routing and policies, advanced control mechanisms are required to supply multilayered virtual client networking associated with end-user customizable networking features. + +# Appendix II + +## Example of functional architecture and service creation scenario for end-user customizable VPN services + +(This appendix does not form an integral part of this Recommendation) + +VPN will be one of the most promising services in NGN according to the rapid increase in VPN service demands. The framework for the dynamic creation of VPN service based on intelligent/active networking will promote a variety of VPN application services. In a network based on service negotiation, a node with intelligent/active features is able to represent a solution to manage the entire volume of different requests coming from consumers. + +![Figure II.1: Example of the functional architecture for end-user customizable VPN services. The diagram illustrates the interaction between VPN Users, a Manageable NGN Network, and Various Server Networks. VPN Users (VPN A and VPN B) connect via UNIy to a VPN Service Provision module (Security, Mobility, QoS, Resource Mediation, Subscriber Control). This module connects to the Access Gateway (UNIx) of the Manageable NGN Network. The network is divided into C/M-Plane (Control and Management) and U-Plane (User Plane). The C/M-Plane includes Soft Switch Functions (AAA, Service Control, Addressing, Naming, Signaling, OAM) and Service Management/Call Center, User Profile Management, Charging/Billing, QoS/SLA Management, and Routing, Signaling, OAM. The U-Plane includes Edge BE Router, Core BE Router, Edge BE Router, Ingress LER, Core LSR, Egress LER/GW, Edge MCU, Core Multicast Node, Edge MCU or GW, L1/L2 Node, and L1/L2 Node/GW. The network is connected to Various Server Networks (Existing Wireline/Wireless Network, PSTN/Cable/TV Network) via NNix, NNiy, and NNiz interfaces. Control and Management Flows are shown as red arrows between the VPN Service Provision module and the C/M-Plane.](838c31609fac483fa2c01c7896a2fd6d_img.jpg) + +Figure II.1: Example of the functional architecture for end-user customizable VPN services. The diagram illustrates the interaction between VPN Users, a Manageable NGN Network, and Various Server Networks. VPN Users (VPN A and VPN B) connect via UNIy to a VPN Service Provision module (Security, Mobility, QoS, Resource Mediation, Subscriber Control). This module connects to the Access Gateway (UNIx) of the Manageable NGN Network. The network is divided into C/M-Plane (Control and Management) and U-Plane (User Plane). The C/M-Plane includes Soft Switch Functions (AAA, Service Control, Addressing, Naming, Signaling, OAM) and Service Management/Call Center, User Profile Management, Charging/Billing, QoS/SLA Management, and Routing, Signaling, OAM. The U-Plane includes Edge BE Router, Core BE Router, Edge BE Router, Ingress LER, Core LSR, Egress LER/GW, Edge MCU, Core Multicast Node, Edge MCU or GW, L1/L2 Node, and L1/L2 Node/GW. The network is connected to Various Server Networks (Existing Wireline/Wireless Network, PSTN/Cable/TV Network) via NNix, NNiy, and NNiz interfaces. Control and Management Flows are shown as red arrows between the VPN Service Provision module and the C/M-Plane. + +**Figure II.1 – Example of the functional architecture for end-user customizable VPN services** + +Security is definitely one of the key issues in VPN scenarios. An intelligent and active feature in VPN networking will assume an important role to provide flexible means for customizing services appropriately. The intelligent/active features for security in VPNs are exploited for adaptive secure routing and service capability. In particular, the security capability of VPN is negotiated with the C/M-plane of the IP network; its service level will be assigned to VPN end users. + +As shown in Figure II.1, the control and management functions of the customizable IP network represented in a control flow between a service provision module of VPNs and the C/M-plane module of the customizable IP network are established to deliver networking service capabilities from/to VPNs. The C/M-plane of the CIP network will need to be characterized to provide the above-mentioned networking capabilities to VPNs. + +In addition to the above-mentioned features, the following capabilities are characterized to provide intelligent/active VPN services in the CIP network: + +- Mobility. +- Static/dynamic QoS provision. +- Resource mediation for VPN services. +- Subscriber control on VPNs' service capabilities. + +- Security negotiation/provision. + +From a functional standpoint in the intelligent VPN of the IP network, VPN is an active flow activated by appropriately customizing additional intelligent/active features in a VPN access node. This is achieved via one underlying program and their injected programs, each associated with one of the intelligent/active VPN functions. The activation process is appropriately invoked vis-a-vis external topology, internal topology and the routing table of VPNs (with multiple virtual routing tables). By applying these parameters, a number of different VPNs are characterized by their own topology and management strategy. + +Figure II.2 shows an example of the functional architecture for implementing a customizable VPN. If VPNs are considered to be interconnected at different operators, implementation architecture for a customizable VPN may be as illustrated in Figure II.2. For example, the customizable VPN service requires the following three functions: service mediator, SLA mediator and access mediator. + +- Service mediator function + - AAA. + - Presentation. + - Subscription. +- SLA mediator function + - Dynamic negotiation and re-negotiation of SLA. + - Synchronization with other SLA mediator. + - Communication with resource manager in the customizable IP network. +- Access mediator function + - AAA. + - Directory transactions. + - Preference list handling. + - Service menu. + - End-user profile processing. + - Terminal types and mapping. + +![Figure II.2: Example of the implementation scenario for end-user customizable VPN. The diagram illustrates a functional architecture where two VPNs, VPN A and VPN B, are connected to a central Manageable NGN. Each VPN contains various devices like a laptop, a mobile phone, and a router. A Service Mediator is connected to both VPNs. An SLA Mediator is connected to the Service Mediator and the Access Mediator. The Access Mediator is connected to both VPNs. The Manageable NGN is at the bottom, connected to the Access Mediator and both VPNs.](ddee3e67e0dfc22e25188fa635a19558_img.jpg) + +``` + +graph TD + VPN_A[VPN A] <--> SM[Service Mediator] + VPN_B[VPN B] <--> SM + SM <--> SLAM[SLA Mediator] + SLAM <--> AM[Access Mediator] + AM <--> VPN_A + AM <--> VPN_B + AM <--> NGN([Manageable NGN]) + VPN_A <--> NGN + VPN_B <--> NGN + +``` + +Figure II.2: Example of the implementation scenario for end-user customizable VPN. The diagram illustrates a functional architecture where two VPNs, VPN A and VPN B, are connected to a central Manageable NGN. Each VPN contains various devices like a laptop, a mobile phone, and a router. A Service Mediator is connected to both VPNs. An SLA Mediator is connected to the Service Mediator and the Access Mediator. The Access Mediator is connected to both VPNs. The Manageable NGN is at the bottom, connected to the Access Mediator and both VPNs. + +**Figure II.2 – Example of the implementation scenario for end-user customizable VPN** + +# Bibliography + +- [b-ITU-T H.323] Recommendation ITU-T H.323 (in force), *Packet-based multimedia communications systems*. +<> +- [b-ITU-T X.160] Recommendation ITU-T X.160 (1996), *Architecture for customer network management service for public data networks*. +<> +- [b-ITU-T Y.130] Recommendation ITU-T Y.130 (2000), *Information communication architecture*. +<> +- [b-IETF RFC 959] IETF RFC 959 (1985), *File Transfer Protocol (FTP)*. +<> +- [b-IETF RFC 3261] IETF RFC 3261 (2002), *SIP: Session Initiation Protocol*. +<> +- [b-Foster] Foster I. (2003), *The Grid: Computing Without Bounds*, Scientific American Magazine, April, pp. 60-67. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.130-200003-I_PDF-E/0882d90c2036d3612040d0989282678a_img.jpg 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+Internet protocol aspects – Transport + +# --- **Transport of IP over ATM in public networks** + +ITU-T Recommendation Y.1310 + +--- + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **ITU-T Recommendation Y.1310** + +# **Transport of IP over ATM in public networks** + +## **Summary** + +With the rapid growth of IP-based networks and applications in both private and public networks, it is necessary to consider arrangements to transport IP services over ATM in the public network environment. + +For the private network environment, the ATM Forum has specified Multi-Protocol Over ATM (MPOA) [ATM\_MPOA]. The Internet Engineering Task Force (IETF) has specified Classical IP Over ATM (C-IPOA) [CIP\_ATM] and Next Hop Resolution Protocol (NHRP) [NHRP] and Multi-Protocol Label Switching (MPLS) [MPLS\_ARCH]. To ensure that public networks will interwork with each other supporting a set of services defined in this Recommendation, and to ensure the interworking of public and private networks, it is necessary to recommend the preferred approach for transporting IP over ATM in public networks. + +The approach adopted in this Recommendation is to identify generic requirements, key IP services and determine which IP over ATM approach is preferred for each service. It is preferable that the same approach is used for all services considered. This approach is recommended for all identified services using IP over ATM transport in public networks. + +## **Source** + +ITU-T Recommendation Y.1310 was approved on 15 March 2004 by ITU-T Study Group 13 (2001-2004) under the ITU-T Recommendation A.8 procedure. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications. The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementors are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database. + +© ITU 2004 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +# CONTENTS + +| | Page | +|------------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 2.1 Normative references..... | 1 | +| 2.2 Informative references..... | 2 | +| 3 Terms and definitions ..... | 3 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Generic requirements..... | 5 | +| 6 Framework architecture..... | 5 | +| 6.1 Network architecture ..... | 6 | +| 6.2 Protocol architecture..... | 8 | +| 7 IP services..... | 10 | +| 7.1 Mapping of IP QoS with ATM..... | 10 | +| 7.2 IP Virtual Private Networks (IP-VPNs) ..... | 15 | +| 8 Preferred network solution ..... | 17 | +| 8.1 Recommended approach ..... | 17 | +| 8.2 Framework for MPLS over ATM in public networks..... | 18 | +| Appendix I – Approaches for IP over ATM ..... | 20 | +| I.1 Classical IP over ATM ..... | 20 | +| I.2 Multi-Protocol Over ATM (MPOA) ..... | 23 | +| I.3 Multi-Protocol Label Switching (MPLS)..... | 25 | +| Appendix II – Guidelines for mapping services to ATM connections ..... | 28 | +| II.1 Mapping Intserv services to ATM connections..... | 28 | +| II.2 Mapping Diffserv services over ATM ..... | 32 | +| II.3 Intserv in MPLS over ATM ..... | 33 | +| II.4 Diffserv in MPLS over ATM ..... | 33 | +| Appendix III – Possible evolution scenarios to MPLS for IP over ATM in public
networks..... | 36 | +| III.1 Introduction ..... | 36 | +| III.2 Proposed scenarios ..... | 36 | +| III.3 Hybrid ATM network..... | 37 | +| Appendix IV – Example methods for IP-VPN support in MPLS/ATM public network..... | 46 | +| IV.1 Introduction ..... | 46 | +| IV.2 Scenario 1 ..... | 47 | +| IV.3 Scenario 2 ..... | 49 | +| BIBLIOGRAPHY ..... | 52 | + + + +# ITU-T Recommendation Y.1310 + +# Transport of IP over ATM in public networks + +# 1 Scope + +This Recommendation addresses the transport of IP services over ATM. IP services in this Recommendation are defined as services provided at the IP layer. IP services in this Recommendation do not include those at the application layer (e.g., network banking). + +This Recommendation identifies the IP over ATM approach for public networks adopting ATM technology, including service provider networks and carrier networks, but does not preclude the same approach where applicable in access networks, private networks and end systems. Approaches taken into account include classical IPOA, MPOA, and MPLS. These approaches are described briefly in Appendix I. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +## 2.1 Normative references + +### 2.1.1 ITU-T + +- [I.321] ITU-T Recommendation I.321 (1991), *B-ISDN protocol reference model and its application*. +- [I.326] ITU-T Recommendation I.326 (2003), *Functional architecture of transport networks based on ATM*. +- [I.356] ITU-T Recommendation I.356 (2000), *B-ISDN ATM layer cell transfer performance*. +- [I.361] ITU-T Recommendation I.361 (1999), *B-ISDN ATM layer specification*. +- [I.364] ITU-T Recommendation I.364 (1999), *Support of the broadband connectionless data bearer service by the B-ISDN*. +- [I.371] ITU-T Recommendation I.371 (2004), *Traffic control and congestion control in B-ISDN*. +- [I.432] ITU-T Recommendations I.432.1 (1999), I.432.2 (1999), I.432.3 (1999) and I.432.4 (1999), *B-ISDN user-network interface – Physical layer specification*. +- [Q.2931] ITU-T Recommendation Q.2931 (1995), *Digital Subscriber Signalling System No. 2 – User-Network Interface (UNI) layer 3 specification for basic call/connection control*. +- [Q.2941] ITU-T Recommendation Q.2941.2 (1999), *Digital Subscriber Signalling System No. 2 – Generic identifier transport extensions*. +- [Y.1311.1] ITU-T Recommendation Y.1311.1 (2001), *Network-based IP-VPN over MPLS architecture*. + +### 2.1.2 ISOC/IETF + +- [ATM\_MULTI] IETF RFC 2684 (1999), *Multiprotocol Encapsulation over ATM Adaptation Layer 5*. +- [ATM\_VCID] IETF RFC 3038 (2001), *VCID Notification over ATM Link for LDP*. +- [CIP\_ATM] IETF RFC 2225 (1998), *Classical IP and ARP over ATM*. +- [CONTROL\_SER] IETF RFC 2211 (1997), *Specification of the Controlled-Load Network Element Service*. +- [CR\_LDP] IETF RFC 3212 (2002), *Constraint-Based LSP Setup using LDP*. +- [DIFF\_AF] IETF RFC 2597 (1999), *Assured Forwarding PHB Group*. +- [DIFF\_ARCH] IETF RFC 2475 (1998), *An Architecture for Differentiated Services*. +- [DIFF\_HEADER] IETF RFC 2474 (1998), *Definition of the Differentiated Services Field (DS Field) in the IPv4 and IPv6 Headers*. +- [DIFF\_EF] IETF RFC 2598 (1999), *An Expedited Forwarding PHB*. +- [GUAR\_SER] IETF RFC 2212 (1997), *Specification of Guaranteed Quality of Service*. +- [IP\_V4] IETF RFC 791 (1981), *Internet Protocol*. +- [IP\_V6] IETF RFC 2460 (1998), *Internet Protocol, Version 6 (IPv6) Specification*. +- [LDP] IETF RFC 3036 (2001), *LDP Specification*. +- [MPLS\_ARCH] IETF RFC 3031 (2001), *Multiprotocol Label Switching Architecture*. +- [MPLS\_ATM] IETF RFC 3035 (2001), *MPLS using LDP and ATM VC Switching*. +- [MPLS\_DIFF] IETF RFC 3270 (2002), *Multi-Protocol Label Switching (MPLS) Support of Differentiated Services*. +- [MPLS\_ENCAPS] IETF RFC 3032 (2001), *MPLS Label Stack Encoding*. +- [NHRP] IETF RFC 2332 (1998), *NBMA Next Hop Resolution Protocol (NHRP)*. +- [RSVP\_AGG] IETF RFC 3175 (2001), *Aggregation of RSVP for IPv4 and IPv6 Reservations*. +- [RSVP\_FUN] IETF RFC 2205 (1997), *Resource Reservation Protocol (RSVP) – Version 1 Functional Specification*. +- [RSVP\_REFR] IETF RFC 2961 (2001), *RSVP Refresh Overhead Reduction Extensions*. +- [RSVP\_TE] IETF RFC 3209 (2001), *RSVP-TE: Extensions to RSVP for LSP Tunnels*. +- [TCP] IETF RFC 793 (1981), *Transmission Control Protocol*. +- [UDP] IETF RFC 768 (1980), *User Datagram Protocol*. + +### 2.1.3 ATM Forum + +- [ATM\_MPOA] ATM Forum AF-MPOA-0087.000 (1997), *Multi-Protocol Over ATM Specification v1.0*. + +## 2.2 Informative references + +### 2.2.1 ISOC/IETF + +- [BGP\_VPN] IETF RFC 2547 (1999), *BGP/MPLS VPNs*. + +# 3 Terms and definitions + +This clause lists alphabetically the acronyms of the key terms used in this Recommendation and the references to their sources of definitions. Refer to clause 4 for the acronyms and to clause 2 for the references: + +| | | +|---------|-------------| +| CR-LDP | [CR_LDP] | +| DS | [DIFF_ARCH] | +| DSCP | [DIFF_ARCH] | +| FEC | [MPLS_ARCH] | +| LIB | [MPLS_ARCH] | +| LSR | [MPLS_ARCH] | +| MPLS | [MPLS_ARCH] | +| PHB | [DIFF_ARCH] | +| RSVP | [RSVP_FUN] | +| RSVP-TE | [RSVP_TE] | +| VPN | [BGP_VPN] | + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations: + +| | | +|--------|-----------------------------------| +| AAL | ATM Adaptation Layer | +| ABR | Available Bit Rate | +| ABT | ATM Block Transfer | +| AESA | ATM End System Address | +| ARP | Address Resolution Protocol | +| ATC | ATM Transfer Capability | +| ATM | Asynchronous Transfer Mode | +| ATMARP | ATM Address Resolution Protocol | +| BGP | Border Gateway Protocol | +| BUS | Broadcast and Unknown Server | +| CE | Customer Edge | +| CE | Customer Equipment | +| C-IPOA | Classical IP over ATM | +| CLP | Cell Loss Priority | +| CLS | Controlled Load Service | +| CoF | Coordination Function | +| CR-LDP | Constraint-based Routing LDP | +| DBR | Deterministic Bit Rate | +| DS | Differentiated Services | +| DSCP | Differentiated Service Code Point | +| ER | Explicit Routing | +| ES | End System | +| FEC | Forwarding Equivalence Class | +| FIB | Forwarding Information Base | + +| | | +|---------|---------------------------------------------------| +| GFR | Guaranteed Frame Rate | +| GS | Guaranteed Service | +| ILMI | Integrated Local Management Interface | +| IP | Internet Protocol | +| IPOA | IP Over ATM | +| IPSF | IP Service Functions | +| IP-SSCS | IP-Service Specific Convergence Service | +| IS | Integrated Service | +| ISP | IP Service Provider | +| LANE | Local Area Network Emulation | +| LDP | Label Distribution Protocol | +| LEC | LANE Client | +| LECS | LANE Configuration Server | +| LER | Label Edge Router | +| LES | LANE Server | +| LIB | Label Information Base | +| LIS | Logical Internet Subnet | +| LLC | Logical Link Control | +| LSP | Label Switched Path | +| LSR | Label Switching Router | +| MAC | Medium Access Control | +| MBS | Maximum Burst Size | +| MCR | Minimum Cell Rate | +| MPC | MPOA Client | +| MPLS | Multi-Protocol Label Switch | +| MPOA | Multi-Protocol Over ATM | +| MPS | MPOA Server | +| NAT | Network Address Translation | +| NHC | NHRP Client | +| NHRP | Next Hop Resolution Protocol | +| NHS | NHRP Server | +| NNI | Network to Network Interface | +| OSPF | Open Shortest Path First | +| PCI | Protocol Control Information | +| PCR | Peak Cell Rate | +| PDR | Peak Data Rate | +| PE | Provider Edge | +| PHB | Per Hop Behaviour | +| PIM | Protocol Independent Multicasting | +| PPP | Point-to-Point Protocol | +| PSC | Per Hop Scheduling | +| QoS | Quality of Service | +| RSVP | Resource Reservation Protocol | +| RSVP-TE | Resource Reservation Protocol-Traffic Engineering | +| SBR | Statistical Bit Rate | +| SLA | Service Level Agreement | + +| | | +|--------|---------------------------------------| +| SNAP | Subnet Attachment Point | +| SSCS | Service Specific Control Service | +| TCP | Transmission Control Protocol | +| TMN | Telecommunications Management Network | +| UDP | User Data Protocol | +| UNI | User Network Interface | +| VPN | Virtual Private Network | +| VPN-ID | VPN Identifier | +| xDSL | x-Digital Subscriber Loop | + +# 5 Generic requirements + +This Recommendation places a number of generic requirements on IP over ATM approaches. Such requirements are applicable to all identified IP services. The mandatory generic requirements are as follows: + +- The recommended approach must be independent of the IP version supported. +- The recommended approach must have sufficient scalability to support large networks. Items to be taken into account regarding scalability include: + - use of VCI and VPI values; + - complexity of routing calculation at Layer 2 and Layer 3; + - complexity of address resolution mechanism; + - control messaging load (e.g., frequency of setup and teardown of ATM connections, frequency of IP-related signalling messages); + - complexity of the packet classification mechanism needed to support QoS. The less granularity in the QoS (e.g., from per IP flow, to per IP flow aggregation, to per service, as in Diffserv) the simpler the packet classification mechanism. +- The recommended approach must include the capability for efficient and scalable solutions to support IP multicasting over ATM networks. +- The recommended approach must have sufficient robustness to support large networks. Items to be taken into account include: + - capability to support restoration systems. + +# 6 Framework architecture + +The framework architecture to support IP layer services over ATM is defined as comprising the network architecture and the protocol architecture to support the IP services required. + +## 6.1 Network architecture + +![Figure 6-1/Y.1310: Reference network architecture for IP over ATM. The diagram shows a central 'Public Network' enclosed in a dashed rectangle. Inside, an 'ATM CORE' is connected to an 'IP over ATM' block. Four 'Edge Router' (R) boxes are positioned at the corners of the core. Outside the dashed rectangle, four subscriber networks are shown: 'Access Network', 'Service Provider', 'Private Network', and 'Public Network'. 'Reference Point Type 1' is indicated at the boundary between the subscriber networks and the public network. 'Reference Point Type 2' is indicated at the interface between the subscriber networks and the edge routers. A legend shows 'R' in a box representing an 'Edge Router'. The reference number 'T1315670-99' is in the bottom right corner.](007b053fe94a8348f75128a584503fd0_img.jpg) + +Reference Point Type 1      Reference Point Type 2 + +R Edge Router + +T1315670-99 + +Figure 6-1/Y.1310: Reference network architecture for IP over ATM. The diagram shows a central 'Public Network' enclosed in a dashed rectangle. Inside, an 'ATM CORE' is connected to an 'IP over ATM' block. Four 'Edge Router' (R) boxes are positioned at the corners of the core. Outside the dashed rectangle, four subscriber networks are shown: 'Access Network', 'Service Provider', 'Private Network', and 'Public Network'. 'Reference Point Type 1' is indicated at the boundary between the subscriber networks and the public network. 'Reference Point Type 2' is indicated at the interface between the subscriber networks and the edge routers. A legend shows 'R' in a box representing an 'Edge Router'. The reference number 'T1315670-99' is in the bottom right corner. + +NOTE 1 – Internet service providers may also provide the ATM core. + +NOTE 2 – Reference point types 1 and 2 can be a standardized reference point such as an ISDN S, T interface or a non-standardized interface. + +**Figure 6-1/Y.1310 – Reference network architecture for IP over ATM** + +The reference network architecture for IP over ATM is shown in Figure 6-1. This configuration illustrates possible scenarios to support IP services over ATM identified in this Recommendation. The dotted rectangle indicates a public network on which we focus. Note that the public network in this Recommendation is restricted to one which has an ATM core. The boxes inside the dotted rectangle describe the generic arrangement inside the public network. It includes an ATM core, IP over ATM capabilities, and edge routers. A number of different kinds of networks are described outside the dotted rectangle, with each identifying a scenario in which the public network provides a certain identified IP service to a certain type of a network. From the viewpoint of the public network, these networks are regarded as subscriber networks. + +In this figure, two types of distinct reference points are described. The reference point type 1 is the boundary between the public network and subscriber networks, and the reference point type 2 is the interface to the IP over ATM network inside the public network. The arrangement of the reference point type 1 may depend on the facilities of subscriber networks, and the definition of IP services provided. Interworking functions and/or adaptation functions may be required in edge routers. This Recommendation primarily focuses on the reference point type 2, and on the approach adopted inside the public network. + +![Figure 6-2/Y.1310 – Reference configuration for IP services over ATM. The diagram shows two central ATM networks: 'Private IPOA' and 'Public IPOA'. Each IPOA contains an 'ATM switched capabilities' block and an 'IPSF(a)' block connected by a reference point 'P(b)'. The 'Private IPOA' is connected to two 'ISP' nodes (each with 'IPSF(a)') via 'Private UNI' interfaces (labeled 'M(b)') and to an 'ES(c)' node via a 'Private UNI' interface. The 'Public IPOA' is connected to two 'ISP' nodes (each with 'IPSF(a)') via 'Public UNI' interfaces (labeled 'M(b)') and to an 'ES(c)' node via a 'Public UNI' interface. The two IPOA networks are interconnected via a 'Public UNI' interface. A reference point 'P(b)' is also shown between the two IPOA networks. A small identifier 'T1315680-99' is located at the bottom right of the diagram area.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Figure 6-2/Y.1310 – Reference configuration for IP services over ATM. The diagram shows two central ATM networks: 'Private IPOA' and 'Public IPOA'. Each IPOA contains an 'ATM switched capabilities' block and an 'IPSF(a)' block connected by a reference point 'P(b)'. The 'Private IPOA' is connected to two 'ISP' nodes (each with 'IPSF(a)') via 'Private UNI' interfaces (labeled 'M(b)') and to an 'ES(c)' node via a 'Private UNI' interface. The 'Public IPOA' is connected to two 'ISP' nodes (each with 'IPSF(a)') via 'Public UNI' interfaces (labeled 'M(b)') and to an 'ES(c)' node via a 'Public UNI' interface. The two IPOA networks are interconnected via a 'Public UNI' interface. A reference point 'P(b)' is also shown between the two IPOA networks. A small identifier 'T1315680-99' is located at the bottom right of the diagram area. + +- a) IPSF: IP Service Functions. +- b) P or M: on the basis of ITU-T Recommendation I.364. +- c) ES: End System has a full IPOA protocol stack. + +**Figure 6-2/Y.1310 – Reference configuration for IP services over ATM** + +Figure 6-2 illustrates the reference configuration for IP services over public and private ATM networks. In the private and public IPOA networks, the provision of IP services is realized by means of ATM switched capabilities and IP Service Functions (IPSF). In this case, interfaces between ATM switched capability and IPSF shall be defined at the P or M reference points [I.364]. The IP Service Functions (IPSF) are those functions necessary to enable IP over ATM. A typical example of IPSF is address resolution service. As an end system, the IPSF is essentially a router with an ATM interface. + +The IPSF function can be implemented in the same equipment together with the ATM switched capabilities. In this case, there is no need to define the interface at the P reference point. The IPSF function and ATM switched capabilities can be also implemented in separate equipment. In this case, interfaces shall be defined at the M or P reference points depending whether the IPSF is located outside or inside the core ATM network. + +ISPs and End Systems (ES) outside the ATM networks may be connected to the private or public ATM networks. Each ES has a full IPOA protocol stack and is connected by way of private UNI for the private IPOA, or public UNI for the public IPOA. + +### 6.1.1 Network and service interworking + +In network interworking scenario the IP Protocol Control Information (PCI) and payload data are transferred transparently across the ATM network to another IP-based network by means of an interworking function (IWF) between the two networks. Typically the IWF simply encapsulates the IP packet by means of an adaptation function and transfers it transparently to the remote IWF. For current IP and ATM interworking, network interworking is the typical case, with ATM providing a backbone or core network for transport of Internet protocol. In this scenario, the ATM network may be viewed as an underlay transport for the Layer 3 (and above) protocols. + +For the case of service interworking, the IWF terminates the IP protocol and translates the PCI to the ATM network PCI for transfer, control and management functions. Since in general not all functions may be supported in one or other of the networks, the service interworking scenario may only be able to provide a "best fit" conversion between the two different technologies. However, this should not result in any loss of user data since this is not affected by the PCI conversion at the service interworking IWF. + +Figures 6-1 and 6-2 illustrate network interworking associated with IP over ATM. + +## 6.2 Protocol architecture + +### 6.2.1 General description of IPOA protocol reference model + +![Figure 6-3/Y.1310 – Protocol reference model for IP over ATM. The diagram shows a symmetrical protocol stack for two communicating entities. At the top, a 'Network Management Functions' block spans both sides. Below it, the 'Application Layer' connects the two stacks. Each stack consists of: 'Layer Management Functions' (a vertical bar), 'TCP/UDP', 'IP', 'IP-SSCS', 'AAL5', 'ATM', and 'Physical' blocks. A central box labeled 'Signalling and Routing control functions IP and/or ATM control' is connected to the 'IP' and 'IP-SSCS' blocks of both stacks. At the bottom, an oval labeled 'CORE NETWORK IP over ATM' is connected to the 'Physical' blocks of both stacks. Bidirectional arrows indicate communication between adjacent blocks and between the central control functions and the IP/IP-SSCS blocks.](bd671b21db63e6fdb2196e9b18502aac_img.jpg) + +Figure 6-3/Y.1310 – Protocol reference model for IP over ATM. The diagram shows a symmetrical protocol stack for two communicating entities. At the top, a 'Network Management Functions' block spans both sides. Below it, the 'Application Layer' connects the two stacks. Each stack consists of: 'Layer Management Functions' (a vertical bar), 'TCP/UDP', 'IP', 'IP-SSCS', 'AAL5', 'ATM', and 'Physical' blocks. A central box labeled 'Signalling and Routing control functions IP and/or ATM control' is connected to the 'IP' and 'IP-SSCS' blocks of both stacks. At the bottom, an oval labeled 'CORE NETWORK IP over ATM' is connected to the 'Physical' blocks of both stacks. Bidirectional arrows indicate communication between adjacent blocks and between the central control functions and the IP/IP-SSCS blocks. + +**Figure 6-3/Y.1310 – Protocol reference model for IP over ATM** + +Figure 6-3 generalizes the protocol reference model for IP transport over ATM in public networks. It may be noted that the underlying protocol reference model concepts of layer management, network management and signalling and routing control are extended to include the Layer 3 and above functional blocks. It should be noted that the blocks shown in Figure 6-3 correspond to logical representations of the functions and therefore do not signify or constrain any particular network implementation. + +The interfaces between the functional blocks may either be internal, non-standardized communication between the sub-layers, or external, standardized protocols. Each layer in the general model has its associated layer management functional block. The layer management blocks are responsible for processing of management and Protocol Control Information (PCI) for that layer only. Communication of information between the layers may only occur through the network management function. This is performed via the Coordination Function (CoF) of the network management. + +All functional blocks do not need to be present in all network applications of IPOA. Thus, the blocks may be viewed as basic "building blocks" to enable any given network application of IPOA. However, the basic relationships and ordering between the different blocks must be maintained to ensure consistent interoperability. + +### **6.2.2 Functional description of IPOA protocol reference model** + +This clause describes only the IPOA-related functional blocks, since detailed descriptions of the physical, ATM and ATM control layer functions are dealt with in other Recommendations [I.321], [I.326], [I.361], [I.432] and [Q.2931]. The application layer block is outside the scope of this Recommendation. + +#### **6.2.2.1 IP-SSCS/AAL5 functions** + +The IP-SSCS/AAL5 incorporates transfer functions required to map the IP packet onto the AAL5. The IP-SSCS/AAL5 functional block provides the encapsulation and multi-protocol multiplexing functions defined by the IEEE 802.2-based Link Layer Control/Subnetwork Attachment Point (LLC/SNAP) protocol as adopted by the IETF in [ATM\_MULTI]. + +#### **6.2.2.2 IP layer functions** + +IP layer functions provide IP forwarding (IP datagram delivery) from a source to a destination over an interconnected system. IP forwarding is the process of receiving a packet and using a very low overhead decision process determining how to handle the packet. The packet may be delivered locally or forwarded externally. For traffic that is forwarded externally, the IP forwarding process also determines which interface the packet should be sent out on, and if necessary, either removes one media layer encapsulation and replaces it with another, or modifies certain fields in the media layer encapsulation. + +IPOA protocol architecture must be independent of IP version. Currently, there are two versions: IPv4 (IP version 4) and IPv6 (IP version 6). IP layer functions are equal to those defined by IETF in [IP\_V4] and [IP\_V6] according to IPv4 and IPv6, respectively. + +The IP layer function does not provide a reliable communication facility. There are no acknowledgements either end-to-end or hop-by-hop. + +Note that IP layer functions should not be changed to use IP-SSCS/AAL5 functions over ATM. + +#### **6.2.2.3 IP layer management functions** + +IP layer management function has two basic functions: addressing and fragmentation. IP layer functions use the addresses carried in the IP header to transmit IP datagrams toward their destinations. The selection of a path for transmission is resolved as using signalling and routing functions block. IP layer functions use fields in the IP header to fragment and reassemble IP datagrams when necessary for transmission. + +IPv4 protocol uses four basic key mechanisms in providing its service: type of service, time to live, options, and header checksum. IPv6 is a new version of the Internet protocol, designed as the successor to IPv4. The changes from IPv4 to IPv6 fall primarily into the following categories: expanded addressing capabilities, header format simplification, improved support for extensions and options, flow labelling capability and authentication and privacy capabilities. The IP layer management function does not provide error control for data, only a header checksum. There are no retransmissions. There is no flow control. + +#### **6.2.2.4 Transport layer functions** + +Transport layer includes connection-oriented type TCP functions and connectionless type UDP functions respectively. These depend on application programme type. + +TCP functions provide reliable connection service between pairs of processes. TCP functions are equal to those defined by IETF in [TCP]. TCP functions include the following facilities: basic data transfer, reliability, flow control, multiplexing, connections and precedence and security. + +UDP functions provide datagram transfer. UDP functions are equal to those defined by IETF in [UDP]. The UDP is transaction oriented, and delivery and duplicate protection are not guaranteed. + +Note that transport layer functions should not be changed to use IP layer functions over ATM. + +#### **6.2.2.5 Application layer functions** + +The application layer and its associated layer management functional blocks include user or network-specific applications such as HTTP, FTP, TELNET, etc. The description of application layer functions is outside the scope of this Recommendation. + +Note that in the TCP/IP protocol architecture, the application layer function is generally taken to include the session and presentation layer functions. + +#### **6.2.2.6 Network management functions** + +The network management functions depend on the specific network application for IPOA. In general, they include the TMN (Telecommunications Management Network) functions associated with: fault management, performance management, configuration management, security management, etc. + +#### **6.2.2.7 Signalling and routing control functions** + +This includes the signalling and routing functional blocks in IP and/or ATM control. IP control and signalling encompasses various aspects of IP control including routing. ATM control includes ATM signalling and routing. + +# **7 IP services** + +A range of IP services is included in this Recommendation as a means to determine the preferred IP over ATM approach in public networks. Initially, mapping of IP QoS with ATM and VPN services are addressed. Additional services are for further study. + +## **7.1 Mapping of IP QoS with ATM** + +### **7.1.1 Introduction** + +Two major approaches for the support of QoS differentiation at the IP level are documented in the IETF: the Intserv paradigm, aimed at supporting per IP flow QoS differentiation, and the Diffserv paradigm, aimed at supporting "coarse" QoS differentiation for aggregations of IP flows. + +#### **7.1.1.1 The IP Intserv paradigm** + +The Intserv paradigm relies on explicit per IP flow QoS requests carried by the RSVP protocol and on flow admittance control at the RSVP capable routers along the path of the flow. In the Intserv paradigm, two services are defined: the Guaranteed Service – GS [GUAR\_SER] and the Controlled Load Service – CLS [CONTROL\_SER]. In GS the maximum queuing delay for the flow is controlled. To compute the maximum delay a datagram will experience, the latency of the path must be determined and added to the maximum queuing delay [GUAR\_SER]. CLS does not provide firm delay guarantees, but the service provided to the flow should be comparable to what the flow would experience in a lightly loaded network, even when it is not the case [CONTROL\_SER]. In practice, CLS requires long-term available bandwidth. + +Both services require that the characteristics of the flow be specified by means of a token bucket specification [RSVP\_FUN] and that excess traffic be treated as best effort. + +#### 7.1.1.2 The IP Diffserv paradigm + +The IETF Diffserv model is based on the concept of Per Hop Behaviours (PHB) [DIFF\_HEADER] and [DIFF\_ARCH]. The Diffserv PHBs are defined by a set of forwarding behaviours that each local router along the path adheres to. IETF has identified two main PHBs so far: + +- Expedited Forwarding (EF) PHB [DIFF\_EF]: +The EF-PHB is characterized by a configurable amount of bandwidth that is not impacted by the other traffic sharing the link. The EF-PHB can be used to build an end-to-end service that requires low loss, low delay and low delay variation through Diffserv domains. +- Assured Forwarding (AF) PHB group [DIFF\_AF]: +The AF-PHB group is characterized by four AF classes, and each AF class is allocated a certain amount of forwarding resources such as buffer and bandwidth in a Diffserv node. Within each AF class, IP packets are marked with one of three possible drop precedence values. In case of congestion, the drop precedence of a packet determines the relative importance of the packet within the AF class. However, there is no standardized relationship between the relative performance of the four AF classes. The AF-PHB group can be used to ensure that the subscribed information rate of a service is guaranteed with high probability. + +### 7.1.2 Network model to support QoS-aware IP services + +This clause describes a network model to support QoS-aware IP services in IPOA networks. In the IETF framework, the end-to-end QoS is provided by coupling Intserv regions at the edge of the network with Diffserv regions in the core of the network. The network model proposed here, however, considers additional possibilities. Moreover, the link layer in this case is always assumed to be ATM. + +#### 7.1.2.1 Model description + +The possible network models to support QoS-aware IP services are illustrated in Figures 7-1, 7-2 and 7-3. In each case, the shaded area indicates the active function used. + +##### Case 1 – Intserv over ATM networks + +In this model, communication between two Intserv stub networks is supported over IPOA core networks. The IPOA devices in the core networks may provide both Intserv and Diffserv capabilities. However, only Intserv functionality of the IPOA devices will be activated to support end-to-end integrated services. Both service level agreements (SLA 1 and SLA 2) require that the requirements for Intserv service are satisfied. + +![Figure 7-1/Y.1310 – Network model to support Intserv over ATM. The diagram shows a network topology with two Intserv Stub networks connected via two Core Networks (Core Network 1 and Core Network 2). Each stub network contains a computer icon and is connected to an ATM node. The ATM nodes are connected to IP/ATM Networks, which are represented by boxes containing 'IS' and 'DS' labels. The connections between the stubs and the core networks are labeled SLA 1, SLA 2, and SLA 3. Data flow is indicated by dashed arrows between the IP/ATM Networks. A legend at the bottom left shows a solid line with dots for SLA and a dashed arrow for Data Flow.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +T1315700-99 + +IP/ATM Networks                      IP/ATM Networks + +●—● SLA + <--> Data Flow + +Figure 7-1/Y.1310 – Network model to support Intserv over ATM. The diagram shows a network topology with two Intserv Stub networks connected via two Core Networks (Core Network 1 and Core Network 2). Each stub network contains a computer icon and is connected to an ATM node. The ATM nodes are connected to IP/ATM Networks, which are represented by boxes containing 'IS' and 'DS' labels. The connections between the stubs and the core networks are labeled SLA 1, SLA 2, and SLA 3. Data flow is indicated by dashed arrows between the IP/ATM Networks. A legend at the bottom left shows a solid line with dots for SLA and a dashed arrow for Data Flow. + +**Figure 7-1/Y.1310 – Network model to support Intserv over ATM** + +##### Case 2 – Diffserv over ATM networks + +In this model, communication between two Diffserv stub networks is supported over IPOA core networks. The IPOA devices in the core networks may provide both Intserv and Diffserv capabilities. However, only Diffserv functionality of the IPOA devices will be activated to support end-to-end differentiated services. Both service level agreements (SLA 1 and SLA 2) require that the requirements for Diffserv service are satisfied. + +![Figure 7-2/Y.1310 – Network model to support Diffserv over ATM. The diagram shows a network topology with two Diffserv Stub networks connected via two Core Networks (Core Networks 1 and Core Networks 2). Each stub network contains a computer icon and is connected to an ATM node. The ATM nodes are connected to IP/ATM Networks, which are represented by boxes containing 'IS' and 'DS' labels. The connections between the stubs and the core networks are labeled SLA 1, SLA 2, and SLA 3. Data flow is indicated by dashed arrows between the IP/ATM Networks. A legend at the bottom left shows a solid line with dots for SLA and a dashed arrow for Data Flow.](9b9d2abd741ed4bafe7f78f89961c663_img.jpg) + +T1315710-99 + +IP/ATM Networks (ISP1)                      IP/ATM Networks (ISP2) + +●—● SLA + <--> Data Flow + +Figure 7-2/Y.1310 – Network model to support Diffserv over ATM. The diagram shows a network topology with two Diffserv Stub networks connected via two Core Networks (Core Networks 1 and Core Networks 2). Each stub network contains a computer icon and is connected to an ATM node. The ATM nodes are connected to IP/ATM Networks, which are represented by boxes containing 'IS' and 'DS' labels. The connections between the stubs and the core networks are labeled SLA 1, SLA 2, and SLA 3. Data flow is indicated by dashed arrows between the IP/ATM Networks. A legend at the bottom left shows a solid line with dots for SLA and a dashed arrow for Data Flow. + +**Figure 7-2/Y.1310 – Network model to support Diffserv over ATM** + +##### Case 3 – Intserv through Diffserv domains over ATM networks + +In this model, communication between two Intserv stub networks is supported over IPOA core networks. In the IPOA core networks, some domains may provide only Diffserv, and the others may provide both Intserv and Diffserv capabilities. In this case, the Intserv may be transparently transported over Diffserv only domains. In this case there are two types of service level agreement. + +![Figure 7-3/Y.1310: Network model to support Intserv through Diffserv domains over ATM. The diagram shows two Intserv Stubs connected via three Core Networks (ISP1, ISP2, ISP3). Core Network 1 and 3 support both Intserv (IS) and Diffserv (DS) over ATM. Core Network 2 supports only Diffserv (DS) over ATM. The connection is segmented by four SLAs (SLA 1 to SLA 4). Data flow is indicated by dashed arrows, and a transparent link is shown between Core Networks 2 and 3. A legend defines the symbols: a solid line with dots for SLA, a dashed arrow for Data Flow, and a double line for Transparent Link.](2b3a967f6ce4f23649be995a353e39f8_img.jpg) + +T1315720-99 + +Figure 7-3/Y.1310: Network model to support Intserv through Diffserv domains over ATM. The diagram shows two Intserv Stubs connected via three Core Networks (ISP1, ISP2, ISP3). Core Network 1 and 3 support both Intserv (IS) and Diffserv (DS) over ATM. Core Network 2 supports only Diffserv (DS) over ATM. The connection is segmented by four SLAs (SLA 1 to SLA 4). Data flow is indicated by dashed arrows, and a transparent link is shown between Core Networks 2 and 3. A legend defines the symbols: a solid line with dots for SLA, a dashed arrow for Data Flow, and a double line for Transparent Link. + +**Figure 7-3/Y.1310 – Network model to support Intserv through Diffserv domains over ATM** + +### 7.1.3 List of service mapping functions + +The service mapping functions do not depend on the architecture of the surrounding network but only on the way IP and ATM QoS is supported on both sides of the interface where the mapping is needed. Figure 7-4 thus displays the necessary set of possible IP services to ATM services mappings of the considered framework architecture (refer to clause 6). + +![Figure 7-4/Y.1310: List of service mapping functions. This diagram shows mappings between Intserv (RFC 2211, 2212) and Diffserv (RFC 2475) domains and their respective ATM parameters and classes. On the left, Intserv maps to Extended ATM Parameters & QoS classes (UNI 4.0-PNNI) via functions 1 and 2. On the right, Diffserv maps to ATCs (I.371) & ATM QoS Classes (I.356) via functions 5 and 6. Cross-domain mappings are shown: Intserv to Diffserv via 3 and 4; Diffserv to Intserv via 10 and 11; Intserv to ATCs via 9 and 12; and ATCs to Intserv via 7 and 8.](a734898ce18e972938949637c32a34f4_img.jpg) + +T1315730-99 + +Figure 7-4/Y.1310: List of service mapping functions. This diagram shows mappings between Intserv (RFC 2211, 2212) and Diffserv (RFC 2475) domains and their respective ATM parameters and classes. On the left, Intserv maps to Extended ATM Parameters & QoS classes (UNI 4.0-PNNI) via functions 1 and 2. On the right, Diffserv maps to ATCs (I.371) & ATM QoS Classes (I.356) via functions 5 and 6. Cross-domain mappings are shown: Intserv to Diffserv via 3 and 4; Diffserv to Intserv via 10 and 11; Intserv to ATCs via 9 and 12; and ATCs to Intserv via 7 and 8. + +**Figure 7-4/Y.1310 – List of service mapping functions** + +Among all these mappings, only mappings 6 and 12 are addressed in this Recommendation. Note that in this case at the egress of this ATM portion, there is no need of a mapping function of type 5 or 10, as in the destination IP network the support of QoS is totally based on the IP level information which is transparently carried by the ATM portion. Mappings 5 and 10 might be + +required in the case of native ATM traffic having to cross or reach a pure IP network, and are for further study. + +Mappings 3 and 4 pertain to the IP domain only and are part of activity within the IETF, whereas all the mapping originating/terminating into the extended ATM parameters and QoS classes (supported in private ATM networks) is part of ATM Forum's work. + +### **7.1.4 Mapping of IP integrated services to ATM services** + +The issue of Intserv to ATM mapping arises whenever an IP flow requesting Guaranteed Services (GS) [GUAR\_SER] or Controlled Load Services (CLS) [CONTROL\_SER] must be supported by an ATM connection linking two Intserv capable routers, and it is independent from the specific approach to support IP over ATM. + +Two different kinds of mapping are foreseen: one to one mapping and many to one mapping. + +#### **7.1.4.1 One to one mapping** + +One to one mapping occurs when a single ATM connection is entirely devoted to the support of a single IP flow. Specifically, the mapping process consists of the choice of an ATM service (i.e., ATC and associated QoS class) that can satisfy the QoS commitments of the IP service (GS or CLS), and in that view, several mappings are possible. More generally, however, the mapping process can be additionally thought as a way to communicate to the ATM level additional information regarding the characteristics of the carried flow, so that the downstream ATM network can make use of this information to efficiently carry the connection (e.g., multiplex it with others). In that view, one can rank all the possible mappings, and some mappings are better than others. + +#### **7.1.4.2 Many to one mapping** + +Many to one mapping occurs when a single ATM connection can carry more than one IP flow. In that case the mapping process consists in the choice of an ATM service that can satisfy the QoS commitments of a set of IP flows. As IP flows normally start and end asynchronously, this mapping can be viewed as an aggregation process which on the basis of the flow's IP level characteristics (e.g., token bucket and requested QoS), decides on the possibility of carrying the flow together with others on an already existing ATM connection (while still meeting the QoS constraints of the IP flow), or on the need of re-negotiating the connection's parameters. + +Rules on how to take such a decision are outside the scope of this Recommendation. + +#### **7.1.4.3 Mapping of Guaranteed Service (GS) to ATM** + +ATM does not require any extensions to perform these mappings. However, the mapping scheme chosen should satisfy the following requirements: + +- The chosen ATC must be one able to support delay requirements. +- The chosen ATC must be one able to reserve some bandwidth for the flow. + +Appendix II provides suggestions on guidelines for implementation of the mappings. + +#### **7.1.4.4 Mapping of Controlled Load Service (CLS) to ATM** + +ATM does not require any extensions to perform these mappings. Appendix II provides suggestions on guidelines for implementation of the mappings. However, the mapping scheme chosen should satisfy the following requirement: + +- The chosen ATC must be one able to reserve some bandwidth for the flow. + +#### **7.1.4.5 Impact on ATM traffic management** + +For further study. + +#### **7.1.4.6 Impact on ATM signalling** + +For further study. + +#### **7.1.4.7 Impact on ATM routing** + +For further study. + +### **7.1.5 Mapping IP differentiated services to ATM services** + +The IP Differentiated Services (Diffserv) model uses the concept of Per Hop Behaviour (PHB) [DIFF\_HEADER] and [DIFF\_ARCH] to enable QoS-based IP services. + +The PHBs may be used as an important factor to define an IP service in the Diffserv domain. However, PHB itself is not related to end-to-end IP QoS services. So, the mapping between Diffserv and ATM should be based on IP services and ATM services. Specifically, IP services can be defined by a combination of PHB implementations with traffic characteristics at the edges of Diffserv domains, and ATM services can be defined by a combination of ATM transfer capabilities [I.371] with QoS classes [I.356]. + +#### **7.1.5.1 Service mapping** + +To provide services to the customers, Diffserv providers must combine PHB implementations with traffic conditioners and service provisioning strategies. The PHB concept is not addressed in ATM. Thus, the PHBs to ATM Transfer Capability mapping does not seem to be suitable. So, a service mapping may be considered from a particular differentiated service to an ATM service instead. The service mapping from Diffserv to ATM is clearly provided by the negotiation between two network providers, based on the definition of the IP services considered. + +Therefore, the service mapping depends on the policy of service providers, and may vary among different service providers. Some examples of possible service mapping are given in Appendix II. + +The following requirement applies to service mapping: + +- No per connection minimum cell rate need be associated with the support of some Diffserv PHBs over ATM. + +There is also a need to consider qualitative or relative service. The solutions are for further study. + +#### **7.1.5.2 Impact on ATM traffic management** + +For further study. + +#### **7.1.5.3 Impact on ATM signalling** + +For further study. + +#### **7.1.5.4 Impact on ATM routing** + +For further study. + +## **7.2 IP Virtual Private Networks (IP-VPNs)** + +### **7.2.1 Scope of IP-VPN** + +The IP-VPN in this Recommendation is defined as the emulation of IP-based private wide area network facilities provided over a carrier-scale ATM transport network. Figure 7-5 shows the arrangements of the IP-VPN in this Recommendation. An example method to demonstrate IP-VPN support in an MPLS/ATM public network is provided in Appendix IV. + +![Figure 7-5/Y.1310 – Network model for IP-VPN. The diagram shows a network architecture with two Customer Equipment (CE) blocks on the left and right, and two Provider Edge Router (PE) blocks in the center. Each CE block contains three sub-blocks: IP (dashed border), DL, and phy. Each PE block contains three sub-blocks: IP, DL, and phy. The IP sub-blocks of the PE blocks are connected to the IP sub-blocks of the CE blocks. The DL sub-blocks of the PE blocks are connected to a central 'Logical NW' block. The phy sub-blocks of the PE blocks are connected to a central 'ATM NW' block. Dashed lines represent the 'Service provider/Customer interface'. A legend at the bottom left identifies CE as Customer Equipment and PE as Provider Edge Router. The reference T1315740-99 is at the bottom right.](e69b9188aa2c14ec6b21c83f711fef65_img.jpg) + +----- Service provider/Customer interface + +CE Customer Equipment +PE Provider Edge Router + +T1315740-99 + +Figure 7-5/Y.1310 – Network model for IP-VPN. The diagram shows a network architecture with two Customer Equipment (CE) blocks on the left and right, and two Provider Edge Router (PE) blocks in the center. Each CE block contains three sub-blocks: IP (dashed border), DL, and phy. Each PE block contains three sub-blocks: IP, DL, and phy. The IP sub-blocks of the PE blocks are connected to the IP sub-blocks of the CE blocks. The DL sub-blocks of the PE blocks are connected to a central 'Logical NW' block. The phy sub-blocks of the PE blocks are connected to a central 'ATM NW' block. Dashed lines represent the 'Service provider/Customer interface'. A legend at the bottom left identifies CE as Customer Equipment and PE as Provider Edge Router. The reference T1315740-99 is at the bottom right. + +**Figure 7-5/Y.1310 – Network model for IP-VPN** + +A customer site is connected to the service provider's network through a customer equipment device (CE). This can be a single host, a switch, or an IP router. On the other hand, the service provider's network connects the customer site with provider edge router (PE). When the CE is a router, we can configure in such way that it is a routing peer of the attached PE, but is not a routing peer of the CE at the other site. Routers at different sites do not directly exchange routing information with each other. This arrangement allows supporting very large VPNs easily, while the routing strategy for each individual site is greatly simplified. This capability is considered to be important for carrier-scale service providers who provide outsourced IP-VPN service. + +### 7.2.2 Definition of IP-VPN service + +The IP-VPN service enables customer sites to form groups: to and from which IP access is restricted. This group is called IP-VPN. A specific site may be a member of one or more IP-VPNs. Member sites of a specific IP-VPN can communicate among themselves using IP protocol. Specific sites can have additional capabilities that allow them to access to the sites outside the group, and/or to be accessed from the sites outside the group. + +### 7.2.3 Requirements for IP-VPN service + +#### 7.2.3.1 Requirements for user-plane + +##### 7.2.3.1.1 Support for opaque packet transport + +Opaque packet transport allows IP-VPN customers to use independent IP address inside their network. Service provider's network requires having the capability to route IP packets depending on VPN membership, even though they use overlapping address spaces. The functions to identify a VPN, (e.g., the use of VPN-ID) and/or the function to differentiate per-VPN packet forwarding may be required. + +##### 7.2.3.1.2 Support for data security + +Data security provides IP-VPN customers with a certain level of secured communication among the member sites of an IP-VPN. Service provider's network requires ensuring that the snooping of data, misdirection or misinsertion of unrelated packets is avoided. Filtering functions, encryption functions and functions for authorization may be required. + +##### 7.2.3.1.3 Support for QoS + +QoS allows IP-VPN customers to subscribe a certain level of assurances in the quality of communications among the member sites of an IP-VPN. Service provider's network requires having + +the capabilities to support arbitrary categories of QoS services as it does to provide general IP services. Clause 7.1 describes the capabilities in detail. + +#### **7.2.3.2 Requirements for control-plane** + +##### **7.2.3.2.1 Support for signalling logical network resources** + +Service provider should have the capability to signal its network resources to support the transport of IP packets for IP-VPN customers. + +##### **7.2.3.2.2 Support for transporting VPN-IDs** + +For further study. + +##### **7.2.3.2.3 Support for per-VPN routing** + +For further study. + +#### **7.2.3.3 Requirements for management-plane** + +##### **7.2.3.3.1 Interoperable VPN-ID** + +If an IP-VPN spans over several service providers, each provider's network may require to distinguish the traffic of the IP-VPN correctly. In this case, the generally accepted VPN-ID definition is necessary to reduce the processing of edge routers. + +##### **7.2.3.3.2 Support for IP-VPN membership management** + +Service provider should have the capability to manage the VPN membership information, such as which customer site belongs to which IP-VPN. This capability should have sufficient interoperability to be used in different service providers in order to support IP-VPN spans over several service providers. + +##### **7.2.3.3.3 Support for configuration of logical network resource** + +Services provider's network should have the capability to configure its network resources to support the transport of IP packets for IP-VPN customers. This capability should have sufficient interoperability to be used in different service providers in order to support IP-VPN spanning several networks. + +# **8 Preferred network solution** + +## **8.1 Recommended approach** + +Considering the generic requirements described in clause 5 as well as the services described in clause 7, it is recommended that MPLS [MPLS\_ARCH] be adopted as the single preferred approach for public networks. MPLS supports all the services identified. It is recognized that MPLS does not provide significant benefits over properly engineered classical IP over ATM (as described in I.1.2) for the support of the Intserv service. However, MPLS does not offer less than classical IPOA for the support of Intserv while also providing support for all other services. + +Additional motivations for the selection of MPLS as the single preferred approach include: + +### **8.1.1 Small networks versus large networks** + +It is very well known that MPOA is very well suited for small networks but has limitations when applied to large networks. This Recommendation is dedicated to service providers and is therefore targeting large networks. MPLS has been designed to accommodate the requirements of large networks in terms of flexibility, scalability and manageability. + +### **8.1.2 ATM versus non-ATM bearer** + +While the focus of this Recommendation is the transport of IP over ATM, it is useful to understand that large networks can use several distinct bearer technologies including ATM. In a wider scope, it is useful to choose a technology that is optimal for IP transport over ATM but at the same time optimal for IP transport over other link layer technologies. MPLS is probably the only possible strategy, which covers this wider scope. + +### **8.1.3 Static versus dynamic control** + +From a routing perspective, the MPLS architecture gives the opportunity to have, and at the same time, the possibility to choose between provisioned routing and dynamic routing. It is the network operator's choice on what approach to select. + +### **8.1.4 ATM versus non-ATM control in IPOA** + +It is preferable to have a generic control which is link layer independent. Also, ATM control can still be used on the same switches. + +### **8.1.5 Traffic engineering of IP services** + +ATM has the most complete set of functionality for traffic engineering known to date. However, overlay IP over ATM models may not efficiently use all ATM capabilities and may tend to be limited in scalability due to the well-known "n-squared" problem when a full mesh of PVCs is provisioned. MPLS borrows some of ATM technology's capabilities in terms of QoS, routing, resource management and other aspects, adding the notion of explicit routing to help map traffic demand onto network topologies. Thus, use of MPLS offers new and more traffic management features than before. + +### **8.1.6 Build on existing investments** + +Given the existing investment in ATM and other technologies, there is a clear need to carry IP traffic over ATM and other link layer protocols and therefore, a unifying switching technology is necessary. In today's carrier networks, ATM hardware is used in a provisioned mode to carry IP traffic, MPLS is seen as a logical evolution of C-IPOA in the near future, since explicit routing can build on the basis of existing provisioned PVCs and the architecture is flexible enough to accommodate potential network evolution. + +### **8.1.7 VPN services support** + +The main advantage of MPLS is the ability to provide connection-oriented services over connectionless or explicit routing, which makes it ideal for dynamic tunnelling. There is no unique way to provide MPLS-based VPNs, which makes comparison more difficult with other IPOA technologies. + +### **8.1.8 QoS aspects** + +There is a clear synergy between IP differentiated services and MPLS, since both evolved with service provider's requirements inherent in their design. The label, with its extended semantics can carry Diffserv related information, and end-to-end LSPs can guarantee consistency of QoS mechanisms within a specific MPLS domain through appropriate resource reservation mechanisms. + +## **8.2 Framework for MPLS over ATM in public networks** + +### **8.2.1 Architectural model** + +Figure 8-1 illustrates the general network model of MPLS/ATM core network. The public network is implemented as MPLS with ATM networks that are composed of Label Edge Routers (LERs) and Label Switching Routers (LSRs). The LER is located at the edge of the MPLS network as a MPLS aware ingress/egress router. The edge of the MPLS network may or may not coincide with + + + +#### - *Label Switching Path (LSP) control mode* + +The labels for an LSP are controlled in the following two ways: + +- Ordered LSP control, where an LSR only binds a label to a particular FEC if it is the egress LSR for that FEC, or if it has already received a label binding for that FEC from its next hop for that FEC. +- Independent LSP control mode, where each LSR, upon noting that it recognizes a particular FEC, makes an independent decision to bind a label to that FEC and to distribute that binding to its label distribution peers. + +In this Recommendation, the ordered control mode is recommended for the following reasons: + +- In the independent control mode, since each LSR independently assigns labels to IP forwarding equivalence classes, it is possible that different LSRs may make inconsistent decisions. For the ordered control mode, this is not the case. +- Compared to the independent control mode, in the ordered control mode, resources such as VCI/VPI can be utilized more efficiently. + +To satisfy the service provider's traffic engineering requirements, two signalling approaches are possible: + +- 1) MPLS/LDP with CR-LDP [CR\_LDP]. +- 2) MPLS/LDP with RSVP-TE extensions [RSVP\_TE, RSVP\_REFR, RSVP\_AGG]. + +Service providers may choose which approach to use based on their own specific requirements, service needs, and deployment experience. + +Criteria for this choice might include functional capabilities, interoperability issues, operational and management complexity level. + +Note that setup protocols for complete support of provisioning end-to-end quality of service are not yet available. + +# **Appendix I** + +## **Approaches for IP over ATM** + +## **I.1 Classical IP over ATM** + +Classical IP and ARP Over ATM (C-IPOA) is defined in [CIP\_ATM]. Figure I.1 provides a functional description of classical IP over ATM. + +C-IPOA defines a mechanism for ATM networks to carry multiple types of protocols including IP over an ATM transport using AAL5 adaptation. In this approach, one of the two types of encapsulations can be chosen when an ATM VC (PVC or SVC) is established. They are IEEE 802.2 Link Layer Control/Subnet Attachment Point Encapsulation (LLC/SNAP Encapsulation) or VC-based multiplexing. LLC/SNAP encapsulation is the default packet format for IP datagrams. In LLC/SNAP multiplexing, protocol distinctions are made through the use of an LLC/SNAP protocol ID in every Layer 3 message, IP in this case. To reduce the encapsulation overhead, the VC-based multiplexing mechanism can be used. The protocol to be used on a VC is defined during VC setup time and is maintained throughout the VC connection time. This mechanism, however, does not provide the multi-protocol encapsulation capability available with LLC/SNAP encapsulation. + +Multi-protocol encapsulation alone, although necessary, is not sufficient to provide routing and forwarding of IP datagrams over ATM transports. Resolution of IP addresses to ATM native + +addresses is required. [CIP\_ATM] defines a classical IP over ATM model. Figure I.1 shows the functional blocks for building the signalling, management and user planes and the message flows between an IP host and an ATMARP server. An ATM network is partitioned into discrete administrative and functional domains called Logical IP Subnets (LISs). Each LIS functions independently of other LISs. All members (hosts and routers) within an LIS have the same IP network/subnet address prefix and address masks. In this model, the deployment of ATM is used as a direct replacement of wide area networks supporting IP. Thus, an Address Resolution Protocol (ARP) type of server, called ATMARP is needed for the resolution of target IP addresses to target ATM addresses within a single LIS. The ATM addresses can either be E.164 addresses or ATM End System Addresses (AESAs). The ATMARP functions stay within a single LIS. + +In the classical model, hosts communicate among themselves directly via ATM within the same LIS using the ATMARP service for target address resolution. Communication outside the local LIS is provided via an IP router. The use of Next Hop Resolution Protocol (NHRP) to communicate among LISs is an extension to the classical model (reference Figure I.1 and I.1.1). ATMARP is a query-response client-server protocol. ATMARP clients (ATM hosts) must be configured with or learned through ILMI of the ATM address of the ATMARP server before the query-response operation is possible. Prior to an ATMARP query-response operation, an ATMARP client needs the establishment of an SVC or uses a pre-configured PVC to register itself with the ATMARP server (Step 1 in Figure I.1). During an ATMARP operation, the client sends an ATMARP-Request message to the server over this VCC. The source IP and ATM addresses are included in the request message along with the target IP address. The server is expected to respond with the appropriate target ATM address in an ATMARP-Reply message if the IP address can be resolved. If otherwise, an ATMARP-NAK message will be returned (Steps 2 to 6 in Figure I.1). Once the target ATM address is resolved, communication between two hosts can commence by establishing an ATM VCC and performing data transfer (Steps 7 and 8 in Figure I.1). Each ATMARP client maintains a table keeping records of all the resolved address entries. A client must refresh this table with its server within the Aging period using the registration procedures. An inverse address resolution process (In ATMARP) is also provided by the classical model and is used to resolve the target IP address given the target ATM address of an LIS member. + +### **I.1.1 Next Hop Resolution Protocol (NHRP)** + +NHRP, specified in [NHRP], extends the classical model by providing communication between multiple LISs. In NHRP, a source station (host or router), known as a source Next Hop Client (NHC), intending to communicate with a destination station known as the destination NHC (host or router), uses the NHRP request and response protocol to obtain the ATM address of the destination station. An NHRP request transverses through a series of NHRP servers (NHSs) following the path as defined by the routing protocol in use until it reaches the NHS serving the destination station, whereby an NHRP response is returned to the source station. A "shortcut" path is then established between the source and destination stations via a direct ATM virtual circuit. If the destination station is within the ATM network served by an NHS, it will be directly reached via this shortcut. If it is outside the network or for any policy constraint, an egress router "closest" to the destination will be connected via the NHS. If the destination host is not served by any NHSs, a negative NHRP response will be returned and routing to the destination will follow the normal routing protocol. + +### **I.1.2 Use of local ATM shortcut** + +NHRP turns particularly useful when QoS demanding IP flows (e.g., GS or CLS Intserv flows) have to be supported, as it eliminates IP hopping at each LIS boundary. However, it requires the introduction in the network of dedicated servers and adds the complexity of another query-response protocol. Moreover, the setup delay of the shortcut connection supporting the flow may be significant. + +Another way to avoid multiple IP hopping without requiring any additions to the classical model is to perform local ATM shortcuts at each LIS boundary [51]. This requires the LIS border routers to be hybrid IP/ATM devices, i.e., not only routers with ATM interfaces, but integrated IP/ATM switches capable of sharing some information between the two layers. + +Specifically, the basic functions that these hybrid devices should perform are: + +- the building and maintenance of an association map between IP flows and the ATM connections supporting them, both for the incoming and outgoing direction; +- the local ATM shortcut on the basis of this association map. + +The effort of building such an association map, however, is only worthwhile for long lasting, QoS-demanding IP flows. GS or CLS Intserv flows requiring some QoS through RSVP signalling are the most straightforward example. + +Note that if the hybrid device is in charge of setting up ATM connections in response to the reception of RSVP signalling messages, then the building of the association map for the outgoing side is straightforward and does not require the usage of any particular standard mechanism: all that is needed is an internal communication between the IP and ATM components of the device. For the incoming side, on the contrary, the hybrid device needs to exploit some information that can be carried in the ATM signalling messages. Specifically, ITU-T Rec. Q.2941.2 [Q.2941] defines DSS2 signalling capability to carry, among others, Internet-related identifiers (i.e., an IPv4 or IPv6 session identifier, which identifies an IP flow). This information of course is available if an upstream analogous hybrid device takes care of filling the above-mentioned fields in ATM signalling messages. + +The table below lists if and how a hybrid device can exploit the association map and perform a local ATM shortcut, depending on the type of association between IP flows and ATM connections (one IP flow per ATM connection or many IP flows on a single ATM connection). + +In case 1, the maximum advantages are obtained: the IP flow is supported across several LIS by a concatenation of ATM connections, but, thanks to the possibility of on-the-fly forwarding, the resulting QoS is identical to the one that would be obtained on a direct ATM connection. + +In case 3 (VC merging case), there is only the advantage of avoiding IP level processing, but on-the-fly forwarding is unachievable. In the other two cases, IP processing is still needed and no performance gain is achievable on that hop. + +| | Incoming association | Outgoing association | IP processing required | On-the-fly forwarding allowed | +|---|-----------------------------|-----------------------------|-------------------------------|--------------------------------------| +| 1 | One to one | One to one | No | Yes | +| 2 | Many to one | One to one | Yes | No | +| 3 | One to one | Many to one | No | No | +| 4 | Many to one | Many to one | Yes | No | + +In such a scenario, each hybrid device is responsible for the type of association for the outgoing side, according to a given policy. For example, it may decide to always set up a separate ATM connection for each GS IP flow, and thus have a one to one association, and to always merge CLS flows on a single ATM connection to save VCIs. A coordinated choice for the policies of the hybrid devices of a single administrative domain is of course highly desirable. + +![Functional description of classical IP and ARP over ATM architecture. The diagram shows three main components: an IP Router on the left, an ATMARP Server in the center, and a Host on the right. The IP Router connects to an NHRP block and an IWF (IP over ATM) block. The IWF connects to the ATMARP Server. The Host connects to the ATMARP Server. All three components have a 'Management Function' block at the top. Below this, there are 'Management layers' and 'Data layers'. The Management layers include SIG, SSCOP/SSCF, and AAL5. The Data layers include ATM and PHY. The IP Router's data path is IP-SSCS, AAL5, ATM, and PHY. The Host's data path is APPL, TCP/UDP, IP, IP-SSCS, AAL5, ATM, and PHY. The ATMARP Server's data path is SIG, SSCOP/SSCF, AAL5, ATM, and PHY. Arrows indicate the flow of data and management messages between these components.](69b7bd65e85cdef6fdd7fb0a8194257c_img.jpg) + +ATMARP Server      Host + +Management Function + +Management layers + +To ATM Network + +UNI/NNI + +T1315760-99 + +Functional description of classical IP and ARP over ATM architecture. The diagram shows three main components: an IP Router on the left, an ATMARP Server in the center, and a Host on the right. The IP Router connects to an NHRP block and an IWF (IP over ATM) block. The IWF connects to the ATMARP Server. The Host connects to the ATMARP Server. All three components have a 'Management Function' block at the top. Below this, there are 'Management layers' and 'Data layers'. The Management layers include SIG, SSCOP/SSCF, and AAL5. The Data layers include ATM and PHY. The IP Router's data path is IP-SSCS, AAL5, ATM, and PHY. The Host's data path is APPL, TCP/UDP, IP, IP-SSCS, AAL5, ATM, and PHY. The ATMARP Server's data path is SIG, SSCOP/SSCF, AAL5, ATM, and PHY. Arrows indicate the flow of data and management messages between these components. + +MESSAGES BETWEEN SERVER AND HOST + +- 1) SETUP/CONNECT for VCC between host and ATMARP SERVER +- 2) In ATMARP\_REQUEST +- 3) In ATMARP\_REPLY +- 4) ATMARP\_REQUEST +- 5) ATMARP\_REPLY +- 6) ATMARP\_NAK +- 7) SETUP/CONNECT host/host +- 8) Data Transfer + +**Figure I.1/Y.1310 – Functional description of classical IP and ARP over ATM** + +## I.2 Multi-Protocol Over ATM (MPOA) + +[ATM\_MPOA] specifies a generic bridging and routing environment to transport multi-protocols (e.g., IP packets) over direct ATM VCCs. The technology combines the Local Area Network Emulation (LANE) technology with the Next Hop Resolution Protocol (NHRP) technology to provide an ATM shortcut paradigm. Figure I.2 illustrates the functional blocks of MPOA, showing the relationship between the control, management and data planes. The MPOA components in this figure are: NHS, NHC, MPC, MPS and LANE. Their functions are explained below. + +![Functional description of MPOA architecture showing the interaction between Multi-Protocol Server (MPS) and Multi-Protocol Client (MPC) across various protocol layers.](11edb7fcedf09ac6a817f8d7b8c61eec_img.jpg) + +The diagram illustrates the functional architecture of MPOA, divided into two main sections: Multi-Protocol Server (MPS) on the left and Multi-Protocol Client (MPC) on the right, separated by a vertical dashed line representing Control Functions. + +**Multi-Protocol Server (MPS) Side:** + +- Management Functions:** Includes IP Routing, IP-SSCS, LANE (LEC), AAL5, and ATM. +- Control Functions:** Includes SIG, SSCOP/CF, AAL5, and ATM. +- Physical Layer (PHY):** Connects to the IP Network (via NHS and PPP DLL/MAC) and the UNI/NNI To ATM Network. + +**Multi-Protocol Client (MPC) Side:** + +- Management Functions:** Includes APPL, TCP/UDP, IP Forward, MPC, IP-SSCS, LANE (LEC), AAL5, and ATM. +- Control Functions:** Includes SIG, SSCOP/CF, AAL5, and ATM. +- Physical Layer (PHY):** Connects to the UNI/NNI To ATM Network and the UNI/NNI To IP Network (Default Path) via a Shortcut Path. + +**Interactions and Paths:** + +- MPOA ARP:** Indicated by a double-headed arrow between the MPS and MPC sides, associated with: + - 1) MPOA Resolution Request/Response + - 2) MPOA Cache Imposition Request/Response +- NHRP Resolution/Request:** Indicated by a long double-headed arrow spanning the entire width of the diagram. + +Functional description of MPOA architecture showing the interaction between Multi-Protocol Server (MPS) and Multi-Protocol Client (MPC) across various protocol layers. + +T1315770-99 + +**Figure I.2/Y.1310 – Functional description of MPOA** + +LANE forms an integral part of the MPOA protocol. LANE segregates a large ATM network into multiple domains, each of which can be emulated as a LAN segment. LANE specifies a set of protocols for LAN users to communicate among themselves within an ATM environment. These LANE users can be ATM-attached end systems or LAN-attached users. IP services are supported within this LAN environment. The LANE protocol operates between the ATM AAL5 and the network and LLC layers. LANE has four main LANE components: LANE Client (LEC), LANE Server (LES), Broadcast and Unknown Server (BUS) and LANE Configuration Server (LECS). A LEC (e.g., a LAN station) obtains configuration information from and registers with a LECS. A LES resolves MAC addresses of the LANE clients to their corresponding ATM addresses. The address resolution protocol (LE\_ARP) functions similarly to that used by IP ARP. At the stable stage, direct data ATM VCs are used to connect these clients for data transfer. BUS distributes client data before address resolution is complete and data paths are established or when a client does + +not know which direct data VC to use. IP packets are carried via LLC/SNAP encapsulation or via VC multiplexing as described earlier. + +The other integral component of MPOA is NHRP, which is described in I.1. The classical IP over ATM model has a constraint of serving a single LIS. NHRP extends this capability by allowing "shortcuts" across multiple LISs within an ATM network. + +## **I.3 Multi-Protocol Label Switching (MPLS)** + +MPLS was developed to achieve fast and efficient data forwarding for Internet routers [MPLS\_ARCH]. Although architecturally targeted for multiple protocol applications, so far MPLS is primarily used for the IP protocol. In the connectionless IP environment, IP routers conventionally perform IP data forwarding on each datagram along a routed path to the destination based on a hop-by-hop routing decision. This next hop decision involves the examination of the IP packet header by the router to assign the packet to a Forwarding Equivalence Class (FEC) and the mapping of the FEC to a next hop thus determining the direction of the routing path. This process can be simplified and made more efficient by an MPLS process. With MPLS, the assignment of an IP packet to a FEC is done once by the Ingress Label Switching Router (LSR) and the FEC is represented and encoded by a fixed length label. The label is attached to the IP packet header. The header is no longer used by subsequent routers for forwarding the packet. LSRs, along the label switching path (LSP), use the label to index a table that specifies the next hop and a new label. Old labels are replaced with new ones as the packet transverses the LSRs along the LSP towards the destination. Labels are locally significant and their coding is specified in [MPLS\_ENCAPS]. Labels represent the complete forwarding behaviour of a packet. It follows a hop-by-hop behaviour that includes choosing the next hop for the packet and the operation to be performed on the label, such as removal or replacement. Under normal situations, an LSP follows the same path as determined by normal IP routing protocols such as OSPF. MPLS can run over any link layer transport such as ATM, frame relay or Point-to-Point Protocol (PPP). Figure I.3 depicts the protocol structure of MPLS running over ATM. The main MPLS protocol elements in this figure are LDP, LIB and FIB. LDP is described in the next paragraph. Label Information Base (LIB) and Forwarding Information Base (FIB) are information databases that contain label binding information and forwarding information on the labels [MPLS\_ARCH], [MPLS\_ENCAPS] and [LDP]. + +![Figure I.3/Y.1310 – Functional description of MPLS. The diagram shows four protocol stacks connected to a central Management Functions block. The stacks are: 1. To ATM Network: PHY, ATM, AAL5, IP-SSCS, IP, TCP, LDP. 2. To IP Network: PHY, DLL or MAC/LLC, IP Routing, LIB, LDP. 3. To ATM Signalling Network: PHY, ATM, AAL5, SSCOP/CF, Signalling, FIB. 4. To ATM Network: UNI/NNI, PHY, ATM, AAL5, IP-SSCS (LLC/SNAP), IP Forwarding, TCP/UDP, APPL. The Management Functions block is at the top, with arrows indicating control and transfer functions between the stacks and the block.](692541e65db4dc852988ce77ebb60ce5_img.jpg) + +The diagram illustrates the functional architecture of MPLS, showing four protocol stacks and their interaction with Management Functions. + +- Control Functions:** LDP, LIB, FIB. +- Transfer Functions:** APPL, TCP/UDP, IP Forwarding, IP-SSCS (LLC/SNAP), AAL5, ATM, PHY. +- Management Functions:** A central block at the top, connected to all stacks via bidirectional arrows. + +**Stack 1: To ATM Network** + +- PHY (Physical Layer) +- ATM (ATM Layer) +- AAL5 (ATM Adaptation Layer 5) +- IP-SSCS (IP-SSCS Layer) +- IP (IP Layer) +- TCP (TCP Layer) +- LDP (Label Distribution Protocol) + +**Stack 2: To IP Network** + +- PHY (Physical Layer) +- DLL or MAC/LLC (Data Link Layer) +- IP Routing (IP Routing Layer) +- LIB (Label Information Base) +- LDP (Label Distribution Protocol) + +**Stack 3: To ATM Signalling Network** + +- PHY (Physical Layer) +- ATM (ATM Layer) +- AAL5 (ATM Adaptation Layer 5) +- SSCOP/CF (Signalling System Control over ATM/CF) +- Signalling (Signalling Layer) +- FIB (Forwarding Information Base) + +**Stack 4: To ATM Network** + +- UNI/NNI (User Network Interface/Network-to-Network Interface) +- PHY (Physical Layer) +- ATM (ATM Layer) +- AAL5 (ATM Adaptation Layer 5) +- IP-SSCS (LLC/SNAP) (IP-SSCS (LLC/SNAP) Layer) +- IP Forwarding (IP Forwarding Layer) +- TCP/UDP (TCP/UDP Layer) +- APPL (Application Layer) + +Figure I.3/Y.1310 – Functional description of MPLS. The diagram shows four protocol stacks connected to a central Management Functions block. The stacks are: 1. To ATM Network: PHY, ATM, AAL5, IP-SSCS, IP, TCP, LDP. 2. To IP Network: PHY, DLL or MAC/LLC, IP Routing, LIB, LDP. 3. To ATM Signalling Network: PHY, ATM, AAL5, SSCOP/CF, Signalling, FIB. 4. To ATM Network: UNI/NNI, PHY, ATM, AAL5, IP-SSCS (LLC/SNAP), IP Forwarding, TCP/UDP, APPL. The Management Functions block is at the top, with arrows indicating control and transfer functions between the stacks and the block. + +T1315780-99 + +**Figure I.3/Y.1310 – Functional description of MPLS** + +NOTE – The use of ATM signalling is only required for MPLS to B-ISDN interworking. + +In order to provide a meaningful definition and common understanding of MPLS labels within an MPLS domain, an MPLS signalling protocol is required. This can be achieved by the use of the Label Distribution Protocol (LDP) [LDP], which provides a standardized MPLS signalling mechanism for allocating and distributing labels. As depicted in Figure I.3, MPLS can use LDP to build an LIB information base derived from the routing protocol in use and also sets up LSP connections between the corresponding ingress and egress LSR endpoints. LDP runs primarily over reliable TCP connections (except for the discovery process stated below which uses UDP). LDP has four phases of operation: + +- **Discovery:** To announce and maintain the presence of LSRs in the network. +- **Session:** To establish and maintain sessions between LDP peers. +- **Advertisement:** To perform label allocation and distribution. +- **Notification:** For error reporting. + +When labels are distributed, certain mechanisms or modes can be chosen. For example, a mechanism is the downstream-on-demand label distribution, where labels are distributed by a downstream LSR in response to an explicit request from its upstream LSR. Other distribution mechanisms and modes are detailed in [LDP]. Other than LDP, pre-configuration or existing IP protocols such as RSVP and BGP can be extended to handle label distribution [MPLS\_ARCH]. + +Constraint-based Routing (CR) is a mechanism used to deliver Traffic Engineering (TE) capability and QoS performance characteristics within a network. These requirements can be met by extending the "conventional" LDP [LDP] or Resource Reservation Protocol (RSVP) [RSVP\_FUN] for the support of Constraint-based Routed Label Switched Paths (CR-LSPs). Both extended protocols CR-LDP [CR\_LDP], RSVP-TE [RSVP\_TE] provide the following CR capabilities: + +- *Explicit Routing (ER)*: An explicit route can be defined as a list of nodes and established via signalling. This can divert from the conventional LSPs that are based on IP routing. Both strict and loose ERs are supported. +- *Traffic Characterizations*: the traffic characteristics of a CR-LSP can be defined using traffic parameters [CR\_LDP, RSVP\_TE]. +- *Path Pre-emption*: During a path establishment, signalling provides this new path with the ability to pre-empt existing CR-LSPs, should such a need arise. Whether a new path can pre-empt an existing path depends on the setup priority of the new path and the holding priority of the existing path. This ability allows a network operator to satisfy network policy and engineering requirements within the available resources. +- *Route Pinning*: This option allows a segment of a loose ER to be fixed. +- *Resource Classes*: Network resources can be categorized by a network operator into "resource classes". + +ATM switches can be used as label switching nodes. When an ATM switch is used as a label switching node or router (called ATM-LSR), the label on which forwarding decisions are made is carried in the VCI/VPI field of the ATM cell header. To support label switching, an ATM-LSR must support the control and signalling protocol for label switching such as LDP and participate in a network layer routing protocol such as OSPF. ATM-specific routing and addressing are not needed. Between peer ATM-LSRs, a dedicated ATM virtual connection (dedicated VPI/VCI) must be established for LDP control signalling. As in conventional LSRs, other methods such as OSPF, RSVP, PIM can be used for label distributions. An ATM-LSR can perform label switching on a VPI, VCI or VPI/VCI field, depending if VC or VP merging is used for flow aggregation. Peer ATM-LSRs can be connected directly over an ATM link or remotely through an ATM cloud over an ATM virtual connection. In the latter case, ATM signalling will have to carry the binding information. + +Figure I.4 shows a protocol structure of ATM-based MPLS architecture. The MPLS/ATM architecture has two parts: one is MPLS routing module and the other is ATM forwarding module. The MPLS routing module includes IP routing protocol functional block supporting OSPF and BGP, TCP/IP protocol stack, and LDP and its running result, LIB used for label distribution and assignment. The ATM forwarding module is the ATM fabric. + +![Figure I.4/Y.1310: An example of MPLS implementation. The diagram shows a network architecture where a Routing Protocol (OSPF, BGP) interacts with a Routing Table and LDP. LDP interacts with a LIB (Label Information Base) and the ATM Fabric. TCP/IP interacts with the ATM Fabric and the Routing Table. A Label Path is shown originating from the ATM Fabric and passing through TCP/IP and the Routing Table. The reference T1315790-99 is noted.](7ae836e598020d937ed1478c2ef13025_img.jpg) + +``` + + +-------------------------------------------------+ + | Routing Protocol +-------+ | + | (OSPF, BGP) <----------> |Routing| <------- LDP | + | ^ | Table | | | + | | +-------+ | | + | v ^ v | + | +--------+ | +-----+| + | | TCP/IP | <----------------+ | LIB || + | +--------+ +-----+| + | ^ | | + +------|--------------------------------------|---+ + | v ATM Fabric v | + +-------------------------------------------------+ + ^ | +Label Path -------------------------------------+ + +``` + +LDP Label Distribution Protocol +LIB Label Information Base + +T1315790-99 + +Figure I.4/Y.1310: An example of MPLS implementation. The diagram shows a network architecture where a Routing Protocol (OSPF, BGP) interacts with a Routing Table and LDP. LDP interacts with a LIB (Label Information Base) and the ATM Fabric. TCP/IP interacts with the ATM Fabric and the Routing Table. A Label Path is shown originating from the ATM Fabric and passing through TCP/IP and the Routing Table. The reference T1315790-99 is noted. + +**Figure I.4/Y.1310 – An example of MPLS implementation** + +# Appendix II + +## Guidelines for mapping services to ATM connections + +## II.1 Mapping Intserv services to ATM connections + +### II.1.1 Mapping of Guaranteed Service (GS) to ATM + +#### II.1.1.1 Network model for GS + +The network model assumed by [GUAR\_SER] is reported in Figure II.1. + +![Figure II.1/Y.1310: Network model for GS. The diagram shows a sequence of components: IP Source (r, p, b, m, M) connected to a Rate R Reshaping buffer, which is connected to a Wire of Rate R. This wire connects to Router Ci, Di, which is connected to another Wire of Rate R, then to Router Cj, Dj, and finally to a Destination. The reference T1315800-99 is noted.](836b0790cef5469a167fa8931df4e408_img.jpg) + +``` + +[IP Source] -- [Reshaping buffer] -- (Wire) -- (Router Ci, Di) -- (Wire) -- (Router Cj, Dj) -- (Wire) -- [Destination] + r,p,b,m,M Rate R Rate R Rate R Rate R + +``` + +IP Source, $r, p, b, m, M$ +Rate R Reshaping buffer +Wire of Rate R +Router $C_i, D_i$ +Wire of Rate R +Router $C_j, D_j$ +Wire of Rate R +Destination + +T1315800-99 + +Figure II.1/Y.1310: Network model for GS. The diagram shows a sequence of components: IP Source (r, p, b, m, M) connected to a Rate R Reshaping buffer, which is connected to a Wire of Rate R. This wire connects to Router Ci, Di, which is connected to another Wire of Rate R, then to Router Cj, Dj, and finally to a Destination. The reference T1315800-99 is noted. + +**Figure II.1/Y.1310 – Network model for GS** + +The source of the IP flow requesting GS emits traffic according to its token bucket specification $(r, p, b, m, M)$ . After a transient phase, during which traffic may be carried as best effort, resources are allocated so that the network can be modelled as a sequence of "wires" of rate $R$ . Just before the first wire, all traffic instantaneously exceeding rate $R$ (even if conforming to the token bucket specification) is buffered and reshaped at the rate $R$ . By assuming this ingress reshaping at the allocated rate $R$ , the network model is considering the worst case-situation for what concerns delay variation. Wires are linked by devices (routers) that introduce a "distortion" from the ideal fluid model (a single wire of rate $R$ ). The distortion introduced by each router is taken into account by two terms called $C$ (rate dependent) and $D$ (rate independent) respectively. RSVP messages carry to the receiver the sum of all $C_i$ and $D_i$ values, so that it can compute an upper bound for the variable part of the delay. If the rate of the wires is $R$ this upper bound is: + +$$\frac{b-M}{R} \cdot \frac{p-R}{p-r} + \frac{M+C_{tot}}{R} + D_{tot} \quad \text{for } r \leq R < p^1 \quad (\text{II-1})$$ + +$$\frac{M+C_{tot}}{R} + D_{tot} \quad \text{for } r \leq p \leq R \quad (\text{II-2})$$ + +So, the receiver requests that the bandwidth reserved on wires be $R$ (by sending upstream an RSVP RESV message) in order to keep Equation II-1 or II-2 below a target value. Note that the delay in the reshaping buffer (see Figure II.1) is taken into account by the first term of Equation II-1, but if $R > p$ (as in Equation II-2) traffic will never be delayed in the reshaping buffer. + +#### II.1.1.2 Choice of the ATM service + +The problem of mapping arises when wires have to be replaced by ATM connections. Strictly speaking, if the wire model has to be respected, no choice would be possible as ATM connections always introduce a CDV that reflects on a delay variation for packets, whereas wires do not. In practice, the choice should be limited to those ATCs that can be associated to a QoS class that ensures limited CDV (i.e., QoS Class 1 [I.356] or QoS Class 5 [I.356]). This CDV can then be taken into account on the $D$ term of Equation II-1 or II-2. + +The ATCs DBR [I.371] and SBR1 [I.371] may be associated with QoS Class 1 [I.356]. The ATCs SBR2 [I.371] and SBR3 [I.371] may be associated with QoS Class 5 [I.356]. So, what criteria can be used to choose the ATM service? A first one may be to consider whether the IP flow, before being sent to the ATM level, is really reshaped at the IP level at a rate $R$ , as supposed by the model. If so, the most natural choice is to adopt a QoS class 1 DBR ATM connection with $\text{PCR} = (\text{ATM equivalent of } R)^2$ . Choosing an SBR connection with $\text{SCR} = (\text{ATM equivalent of } R)$ would require uselessly more resources than the DBR one, except in the case $\text{PCR} = \text{SCR} = (\text{ATM equivalent of } R)$ and $\text{MBS} = 0$ , that means falling in the DBR case again. + +On the contrary, if the ATM connection starting point is unaware of any IP level packet reshaping, the best mapping would be with a SBR connection with $\text{SCR} = (\text{ATM equivalent of } R)$ , $\text{PCR} = (\text{ATM equivalent of } p)$ , $\text{MBS} = [\text{ATM equivalent of } bp/(p-r)]$ . DBR would require more resources to accommodate conforming bursts of traffic up to the rate $p$ , and therefore it needs a $\text{PCR} = (\text{ATM equivalent of } p)$ or $\text{MCR} = (\text{ATM equivalent of } p)$ . + +Of the three SBR versions, the one that best matches the service model of GS is SBR3, which allows the tagging of non-conforming traffic. This allows to leave up to the ATM level all the complexity of treating the excess traffic as best effort, as requested by [GUAR\_SER]. Associated QoS class is QoS class 5 [I.356]. + +--- + +1 This formula remains the same even if the reshaping does not occur at the ingress but at one or more than one of the crossed routers. + +2 See II.1.1.3. + +**Table II.1/Y.1310 – Preferred GS to ATM mapping** + +| | | | +|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------| +| | ATM level is aware of an IP level packet reshaping at rate $R$ immediately before connection's starting point | ATM level is unaware of any IP level packet reshaping at rate $R$ immediately before connection's starting point | +| Preferred ATC and QoS class | DBR class 1 | SBR3 class 4 | +| Mapping between ATM traffic descriptors and token bucket's parameters | PCR = (ATM equiv. of $R$ ) | Note 1
Note 2
PCR = (ATM equiv. of $p$ )
SCR = (ATM equiv. of $R$ )
MBS = (ATM equiv. of $bp/(p - r)$ ) | +|

NOTE 1 – The parameter mapping to SBR is always valid when R \leq p. However, in the GS the R parameter can be set greater than p (see Equation II-2). As PCR cannot be set below R, it will result PCR = SCR = R > p and there would be no reason to have an MBS > 0. So, in the case R > p, the preferred mapping is the DBR with QoS class 1, with PCR = (ATM equivalent of R).

NOTE 2 – When SBR is used, there is an intrinsic inefficiency in the mapping scheme, due to the fact that the network model of GS considers "wires" of rate R while SBR connections are much "better" than wires with rate R, in the sense that they can absorb instantaneous bursts of traffic up to the rate p, without relying on buffering the traffic exceeding R. This inefficiency is reflected into an over-allocation for R, due to the first term of Equation II-1 which is assumed by the GS model but in the real network could be non-existent or much smaller.

| | | + +#### II.1.1.3 ATM equivalents of token bucket parameters + +When translating token bucket's parameters into ATM traffic descriptors, one should recall that the former are expressed in bytes or in bytes/s, while the latter are in cells or cells/s. Furthermore, ATM and AAL overheads must be taken into account. + +An upper bound for the number of cells needed to carry an IP packet of $B$ bytes is: + +$$C(B) = (H + B + T + 47)/48 \quad (\text{II-3})$$ + +where $H$ and $T$ are the AAL PDU header and trailer lengths and "47" accounts for the last cell which may be only partially filled. + +The ATM equivalents for the terms appearing in Table II.1 are listed in Table II.2. The assumption is that the token bucket specification is $(r, b, p, m, M)$ . + +**Table II.2/Y.1310 – ATM equivalents for GS to ATM mapping** + +| Mapping to DBR class 1 | Mapping to SBR3 class 4 | +|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| $PCR = \left\lfloor \frac{R}{m} \right\rfloor C(m)$ | $PCR = \left\lfloor \frac{p}{m} \right\rfloor C(m)$ $SCR = \left\lfloor \frac{R}{m} \right\rfloor C(m)$

Note

$MBS = \left\lfloor \frac{bp}{m(p-r)} \right\rfloor C(m)$ | +|

NOTE – For how much time can a source conforming to the token bucket specification send "bytes" at the peak rate p[bytes/s]? For T = b/(p - r) seconds. How many bytes can it send, at the peak rate p, before becoming "non-conforming"? bp/(p - r). How many packets at most? bp/[m(p - r)]. An SBR ATM connection carrying this traffic should therefore transmit this amount of packets "transparently" (i.e., at their peak rate), and therefore it should have the indicated MBS (in cells).

| | + +These equivalencies are worst case, i.e., are calculated assuming all the packets having the minimum declared length, thus considering the maximum possible overhead impact. A more realistic estimate can be done replacing $m$ in the above formulas with a value in the range $[m, M]$ , but this requires a detailed knowledge of the generating application's distribution of packet sizes. + +#### II.1.1.4 Accounting for CDVT + +After the packet segmentation is performed, cells belonging to a packet are simultaneously ready for transmission and may be sent at the line rate if no cell level reshaping is done. When no cell level shaping function to absorb the burst due to the packet segmentation is assumed to exist, it is necessary to account for this bursty behaviour by adding a proper value to the CDVT on the PCR parameter of the DBR or of the SBR connection. This value can be evaluated as: + +$$(C(M)-1) \left( \frac{1}{PCR} - \frac{1}{LCR} \right) \quad (\text{II-4})$$ + +### II.1.2 Mapping of Controlled Load Service (CLS) to ATM + +Also for CLS the network model considered by [CONTROL\_SER] consists of a source whose traffic is described by a token bucket specification ( $r, p, b, m, \bar{M}$ ) and a sequence of routers linked by "wires" (see Figure II.1), but as there is no explicit guarantee on the delays there is not any specific formulae as Equation II-1 or II-2. When wires have to be replaced by ATM connections, the choice is no more limited to ATCs that can have limited CDV. As the requirement of CLS is simply to have a "long term"3 available bandwidth, and low losses, suitable ATM services may be: + +- DBR with class 2; +- ABT with class 2; +- ABR with class 3; +- SBR1 with class 2; +- SBR2 with class 3; +- SBR3 with class 3; + +3 "Long term" means on timescales significantly larger than $b/r$ , where $b$ and $r$ are part of the token bucket's parameter of the source. + +- GFR1; +- GFR2. + +Mapping with DBR with class 2 would require setting the PCR somewhere between (the ATM equivalent of $r$ and $p$ )4, i.e., finding an equivalent bandwidth for the single flow, but besides being an implementation specific issue, this also risks to be inefficient. Moreover, class 2 does not allow the ATM layer to take care about the best effort treatment of the traffic exceeding the token bucket's specification, as requested by [CONTROL\_SER]. + +Mapping with ABT/dt with class 2, even if potentially attractive, has the drawback of the re-negotiation overhead at the burst level, probably unbearable. With longer term re-negotiations, the same drawback outlined for DBR applies. + +Mapping with ABR with class 3 could be performed by setting MCR = (ATM equivalent of $r$ ), but has the drawback that all the traffic instantaneously exceeding $r$ is treated as best effort. Setting MCR somewhere between (the ATM equivalent of $r$ and $p$ ) has the same drawback outlined for DBR without guaranteeing, anyway, that the ATM layer can make an exact discrimination between traffic conforming and non-conforming to the token bucket specification. + +Mapping with SBR1 with class 2 or SBR2 with class 3 allows the ATM level to know the maximum amount of information to perform an efficient statistical multiplexing, but as regards the treatment of the non-conforming part of the traffic it does not meet the expectation that it is treated as best effort. + +The remaining three mappings all meet both the goal of reflecting at the ATM level as closely as possible the traffic characteristics as specified by the token bucket specification and of providing a best effort treatment for exactly the portion of traffic exceeding it. The detailed ATM equivalents are reported in Table II.3. + +**Table II.3/Y.1310 – ATM equivalents for CLS to ATM mapping** + +| Mapping to SBR3 | Mapping to GFR1 or GFR2 | +|-----------------------------------------------------------|------------------------------------------------------------------------------------| +| $PCR = \left\lfloor \frac{p}{m} \right\rfloor C(m)$ | $PCR = \left\lfloor \frac{p}{m} \right\rfloor C(m)$ | +| $SCR = \left\lfloor \frac{r}{m} \right\rfloor C(m)$ | $MCR = \left\lfloor \frac{r}{m} \right\rfloor C(m)$ | +| $MBS = \left\lfloor \frac{bp}{m(p-r)} \right\rfloor C(m)$ | $MFS = C(m)$ | +| | $MBS = \max \left( \left\lfloor \frac{bp}{m(p-r)} \right\rfloor C(m), MFS \right)$ | + +The same considerations about the need of replacing $m$ with a value between $[m, M]$ and about the value to add to CDVT expressed at the bottom of II.1.1.4 apply. + +## II.2 Mapping Diffserv services over ATM + +This clause describes some possible examples of the differentiated service mapping to ATM services for information. IETF has just described application services that can be supported by each PHB or PHB group [DIFF\_AF] and [DIFF\_EF]. + +4 See also II.1.1.3. + +### - *Leased line emulation service* + +It is also called the "premium service". This service can be implemented using the EF-PHB. This kind of service usually requires stringent low loss and delay guarantees. This service is also characterized by its peak rate. Accordingly, this service could easily be mapped to the DBR ATC using QoS class 1 in order to meet such loss and delay requirements. The peak rate can be mapped to the PCR parameter PCR of DBR ATC in a straightforward fashion. + +### - *Quantitative assured service* + +It is also called the "assured rate service". This service can be implemented using one of four AF-PHB classes. This service is characterized by a minimum rate guaranteed on a statistical basis. This service offers looser assurances than the leased line emulation service, but is still considered a quantitative service. In particular, it promises to deliver traffic with a high degree of reliability and with bounded latency, up to a negotiated rate. Accordingly, it seems to be a perfect fit to map this service to ABR ATC using QoS class 3. In this case, the MCR can be set equal to the service minimum rate. + +## **II.3 Intserv in MPLS over ATM** + +The traffic parameters of Intserv including $p$ , $r$ , $b$ and $R$ are defined in the RSVP objects such as *Tspec* and *Rspec*. If CR-LDP is used to support Intserv in MPLS over ATM networks, instead of RSVP, the following requirements must be considered: + +- When the RSVP/Intserv flow, including guaranteed service and controlled-load service, enters an ingress LSR in MPLS networks, the RSVP *Tspec* parameters such as $p$ , $r$ and $b$ must be reflected on the traffic parameters in the label request message of CR-LDP. +- To support the guaranteed service, the RSVP *Rspec* parameters such as $R$ and $S$ must be reflected on the traffic parameters in the label mapping message of CR-LDP. + +The traffic parameter mapping from Intserv to CR-LDP depends on the traffic conditioning policy at the Ingress LSR. + +## **II.4 Diffserv in MPLS over ATM** + +This clause depicts an approach of supporting Diffserv in a MPLS ATM network. A Diffserv capable ATM-LSR should have the logical structure as specified in Figure II.2. It is worth noting that a transit ATM-LSR will usually not need the traffic conditioning element, but edge ATM-LSR must have this element to perform the packet classifying, marking, metering and shaping/dropping functions required by the Diffserv Architecture [DIFF\_ARCH]. + +Either CR-LDP or RSVP-TE may be used as the signalling system. + +For details about the Traffic Conditioner, refer to the reference [DIFF\_ARCH]. + +![Figure II.2/Y.1310 – Logical architecture of a Diffserv capable ATM-LSR. The diagram shows a logical architecture divided into two main sections: the Control Component and the Forwarding Component. The Control Component includes the Routing Protocol, TCP/IP, and LDP+CR-LDP/RSVP-TE (DSExtension). The Forwarding Component includes the Traffic Conditioner (Edge Only) and the ATM Mechanism. The Traffic Conditioner contains a classifier, meter, marker, and shaper/dropper. The ATM Mechanism is connected to the Forwarding Component. The diagram also shows the LIB (Label Information Base) and the LSP (Label Switched Path) connections.](5eb69662cc4fa7d0d49b4eb22951c204_img.jpg) + +The diagram illustrates the logical architecture of a Diffserv capable ATM-LSR. It is divided into two main sections: the Control Component and the Forwarding Component. The Control Component includes the Routing Protocol, TCP/IP, and LDP+CR-LDP/RSVP-TE (DSExtension). The Forwarding Component includes the Traffic Conditioner (Edge Only) and the ATM Mechanism. The Traffic Conditioner contains a classifier, meter, marker, and shaper/dropper. The ATM Mechanism is connected to the Forwarding Component. The diagram also shows the LIB (Label Information Base) and the LSP (Label Switched Path) connections. + +LIB Label Information Base + +T1317730-01 + +Figure II.2/Y.1310 – Logical architecture of a Diffserv capable ATM-LSR. The diagram shows a logical architecture divided into two main sections: the Control Component and the Forwarding Component. The Control Component includes the Routing Protocol, TCP/IP, and LDP+CR-LDP/RSVP-TE (DSExtension). The Forwarding Component includes the Traffic Conditioner (Edge Only) and the ATM Mechanism. The Traffic Conditioner contains a classifier, meter, marker, and shaper/dropper. The ATM Mechanism is connected to the Forwarding Component. The diagram also shows the LIB (Label Information Base) and the LSP (Label Switched Path) connections. + +**Figure II.2/Y.1310 – Logical architecture of a Diffserv capable ATM-LSR** + +### II.4.1 LSP setup procedures + +The basic ATM MPLS Diffserv LSP setup procedure will include following actions: + +- On the edge of the ATM MPLS Diffserv Domain, the ATM LERs will deal with the service requests and perform the service classification action. Then the LERs will determine the PHB (per hop behaviour) that will be used by the service. Then, the ATM LER should map the PHB into (per hop scheduling, cell loss priority) pairs. The mapping relationships are specified in Table II.4. +- According to the Diffserv requirements, using the MPLS signalling system (for instances, we can use the CR-LDP with Diffserv support [MPLS\_DIFF] as the signalling system) to perform the service provisioning process [DIFF\_ARCH] and set up a QoS aware LSP for the service. At this point, the forwarding tables on the LSRs along the LSP will have a new column for incoming PSCs. + +### II.4.2 Label forwarding procedure + +The basic label forwarding operation of ATM MPLS Diffserv scheme will include the following actions: + +- On the ingress of the ATM MPLS Diffserv domain, through the checking of the IP address and DSCP (differentiated service code point) value carried by the IP packet, the LERs determine the packet's FEC and PHB class. +- The ingress ATM-LSR then performs the traffic conditioning, determine the outgoing CLP for the packet. When an ATM L-LSP has been set up, only the CLP field can be rewritten. + +- The ingress ATM-LSR then determines the outgoing VCI and interface number, performs the outgoing PSC for the packet, encapsulates the IP packet into an ATM packet and send it onto the outgoing interface. +- In the MPLS Diffserv domain, the transit LSR checks the VCI and CLP field in the header of the ATM packet. By using the forwarding table, it determines the PSC required by the packet. +- By using the mapping table shown in Table II.4, the transit LSR then determines the PHB required by the packet. Usually, the transit LSR will not perform the traffic conditioning actions, it just realizes the PHB for the packet and uses the forwarding table to forward the packet to the downstream LSR. If the transit LSR does need to perform the traffic conditioning actions, it uses the results of the traffic conditioning procedures to change the outgoing CLP for an ATM packet. +- On the egress of the ATM MPLS Diffserv domain, the egress ATM LSR checks the VCI and CLP field in the header of the ATM packet. By using the forwarding table, it determines the PSC required by the packet. By using the mapping table shown in Table II.4, the transit LSR then determines the PHB required by the packet. Then it performs the traffic conditioning procedures and uses the results combined with the incoming PHB to determine the outgoing PHB and the outgoing DSCP value for the packet. +- Then, the ATM egress will convert the ATM packet back to IP packet, which carries the IP address and DSCP field. (This field must be replaced by the DSCP got from the action above.) + +**Table II.4/Y.1310 – Mapping between the Diffserv PHBs and ATM pairs** + +| Diffserv PHBs | PSC | ATM CLP | +|---------------------------|--------------------------|---------| +| DF | DF | 0 | +| CS n | CS n (Note 1) | 0 | +| AF i1 (Note 2) | AFC i | 0 | +| AF i2 | AFC i | 1 | +| AF i3 | AFC i | 1 | +| EF | EF | 0 | + +NOTE 1 – "n" ( $1 \leq n \leq 8$ ) refers to the number of IP precedence. + +NOTE 2 – "i" ( $1 \leq i \leq 4$ ) refers to the AF PHB class, for instance, when $i = 1$ , AFi1 will represent AF11 which belongs to the AF PHB class 1 and have the drop precedence 1. + +### II.4.3 The mappings between and PHB + +The following PHBs have been defined: + +**II.4.3.1 DF (Default PHB):** This PHB is used for the best effort packets or packets with unknown DSCP values. + +**II.4.3.2 CS (Class Selector PHB):** This PHB is used for backward compatibility with the existing 8-level IP precedence system. + +**II.4.3.3 EF (Expedite Forwarding PHB):** This PHB is used for the services that require low packet loss rate, low latency, low jitter and bandwidth guarantee. A packet with this PHB will get the highest service priority and premium service in the domain. + +**II.4.3.4 AF (Assured Forwarding PHB):** This PHB is used to classify the packets in the same connection with different drop precedence. IETF defined four AF classes, and within each class + +there are three PHBs with different drop precedence. Thus there are 12 AF PHBs in total. An application example of this PHB is when traffic exceeds a certain transmission rate; the excess packet will be assigned a PHB with a higher drop precedence. Another important requirement of this PHB is that the packets belonging to a single connection and the same PHB class cannot be reordered. + +Table II.4 shows the mapping between the PHBs and pairs. These mappings must be consistent on each LSR in an ATM Diffserv domain, and these mappings must be configurable. + +### **II.4.4 Implementation Considerations** + +The ATM MPLS LSRs should support the PHBs and the traffic conditioning rules of IP services. However, the detail packet treatment and traffic conditioning rules on the ATM MPLS LSRs are implementation issues. + +# **Appendix III** + +## **Possible evolution scenarios to MPLS for IP over ATM in public networks** + +## **III.1 Introduction** + +What are the potential routes to MPLS from current network infrastructure? This will be a function of the actual state as well as the services to be delivered by a specific carrier. + +In this Recommendation, we assume that MPLS will be deployed into existing ATM backbones. For the purposes of examining the MPLS evolution solutions, carriers will be classified by whether they are New versus Established, and whether they are full-service (data, voice, video, leased line) versus IP-centric. This is not a universal classification; it is rather a convenient way to categorize service providers based on the actual state of their network and its anticipated service offering. + +This appendix considers several types of existing infrastructure, and broad strategies for introducing MPLS into those network types. It then examines various technologies for operating MPLS over non-MPLS-capable ATM equipment, and makes recommendations about the use of those technologies. + +## **III.2 Proposed scenarios** + +Different scenarios are presented and discussed as follows: + +### **III.2.1 Established full-service carrier** + +We assume that an established carrier has a legacy of voice network and either transports the Data traffic over the TDM network or on a separate network. We also assume that such carrier is in the process of merging its data network and voice network over the same infrastructure. + +The existing carrier likely has a legacy ATM infrastructure that is being used for data traffic (IP or Frame Relay) and may be used for voice and video traffic or any other native ATM services. In this case, ATM is used as a multi-service switching technology. + +The existing carriage of IP in the carrier network is likely to be based on one of three cases: + +- using point-to-point ATM PVCs with RFC 2684 encapsulation [ATM\_MULTI]; +- using Classical IP over ATM; +- using MPOA. + +In any case, it will be necessary to introduce MPLS into a network which currently uses only PVCs, SPVCs, SVCs, PVP, and SPVPs, and does not currently use VCs with MPLS control. The MPLS VCs may be termed "Label VCs (LVCs)" to distinguish them from SVCs with PNNI or similar control. + +### **III.2.2 Established voice service carrier** + +We assume that the carrier has a voice network only, traditional SS7/TDM without any substantial ATM investment and wants to carry both voice and data in the future using a cell-based MPLS infrastructure. What is the best evolution path? + +The voice carrier would probably in a first phase decide to keep the SS7 control and transfer the voice traffic from a TDM network onto a packet network. Assuming the likelihood of choosing a cell-based MPLS, data as well as voice traffic will be transported onto this MPLS-based network. The service provider has either the choice to keep both networks separated or work towards their progressive integration. + +### **III.2.3 IP-centric new carrier** + +The question here is whether or not it makes sense to do any ATM deployment. If the carrier chooses to deploy a cell-based MPLS, then there is little push towards having ATM control in the network. The main point would be to reuse ATM switching capabilities only. + +### **III.2.4 Full-service new carrier** + +The full-service new carrier will be offering voice, video, and leased lines services along with IP-centric services. Due to the varying traffic types, we assume that the carrier might choose to deploy an ATM infrastructure to integrate their service offering onto one network. + +Routers may be deployed at the edges of the network to support IP services, but the switched core will be ATM. Cell-based MPLS will be deployed in the core. Ships in the Night operation with ATM may be required to integrate MPLS and ATM based services. Explicitly routed MPLS will be required for traffic engineering, hop-by-hop MPLS would be required to handle traffic not carried within explicitly routed LSPs. + +## **III.3 Hybrid ATM network** + +This clause discusses three possible ways for integrating MPLS equipment with non-MPLS equipment in an ATM network. This clause assumes support of ATM switching in a current network. Support for MPOA and C-IPOA is not addressed in this clause; however, the techniques discussed here may apply. + +### **III.3.1 Technologies for hybrid ATM networks** + +During the introduction of ATM MPLS into an existing ATM network, it will sometimes be necessary to connect LSRs over traditional ATM equipment, forming a "hybrid" network. In hybrid networks, some switches and/or routers have MPLS capability and some do not. This clause discusses possible ways of implementing hybrid ATM networks: MPLS-over-PVCs, Virtual Trunks, and Virtual Connection Identifier Notification for LDP (VCID). These are illustrated in Figure III.1. + +![Figure III.1/Y.1310 – Technologies for hybrid networks. The figure consists of three diagrams: a) MPLS-over-PVCs, b) Virtual Trunks, and c) Virtual Connection Identifier Notification. Each diagram shows a traditional ATM network (shaded cloud) with LERs and LSRs. Diagram a) shows LERs connected to ATM switches via PVCs or SPVCs. Diagram b) shows LSRs connected via ATM links supporting full MPLS, with PVPs or SPVPs used as virtual trunks. Diagram c) shows LSRs connected via ATM links supporting full MPLS, with multiple (S)PVCs or SVCs using VCID.](cbb2d311b20781a595488445ded48d0a_img.jpg) + +ATM Switches without MPLS support + +Traditional ATM Network + +LER ATM + +ATM Edge LSR + +PVC or SPVC supporting MPLS traffic + +LER ATM + +ATM Edge LSR + +a) MPLS-over-PVCs + +ATM link supporting full MPLS + +ATM Label Switch Routers + +PVPs or SPVPs each used as a Virtual Trunk + +LER ATM + +ATM Edge LSR + +Traditional ATM Network + +b) Virtual Trunks + +ATM link supporting full MPLS + +ATM Label Switch Routers + +Multiple (S)PVCs or SVC using VCID + +LER ATM + +ATM Edge LSR + +Traditional ATM Network + +VC at each hop for signalling + +c) Virtual Connection Identifier Notification + +T1317740-01 + +Figure III.1/Y.1310 – Technologies for hybrid networks. The figure consists of three diagrams: a) MPLS-over-PVCs, b) Virtual Trunks, and c) Virtual Connection Identifier Notification. Each diagram shows a traditional ATM network (shaded cloud) with LERs and LSRs. Diagram a) shows LERs connected to ATM switches via PVCs or SPVCs. Diagram b) shows LSRs connected via ATM links supporting full MPLS, with PVPs or SPVPs used as virtual trunks. Diagram c) shows LSRs connected via ATM links supporting full MPLS, with multiple (S)PVCs or SVCs using VCID. + +**Figure III.1/Y.1310 – Technologies for hybrid networks** + +#### III.3.1.1 MPLS-over-PVCs + +MPLS-over-PVCs is shown in Figure III.1 a). It can be used only to connect packet-based LSRs. It may not be used to connect ATM Label Switch Routers (ATM-LSRs) to each other. MPLS-over-PVCs connect packet-based Label Switch Routers (LSRs) by way of Permanent Virtual Circuit Connections (PVCs) over a traditional ATM network. Soft Permanent Virtual Circuit Connections (SPVCs) may also be used. (Any mention of a "PVC" with respect to MPLS-over-PVCs in this appendix equally applies to an SPVC.) The routers send MPLS packets to each other, with labels explicitly encapsulated along with the IP packet. This is called "packet-based labelling", as the MPLS label is applied to a whole packet, as opposed to individual cells. When packet-based labelling is used over PVCs, packets with many different labels are sent in the same PVC. This + +differs from ATM MPLS, where each different label is represented by a different VC, known as a "Label VC" (LVC). Packet-based labelling over PVCs is virtually identical to the case where MPLS Label Switch Routers (LSRs) are connected by links such as Packet-over-SONET, Packet-over-SDH, or any other point-to-point links. Note that MPLS-over-PVC does not use ATM MPLS on the ATM switches supporting the PVCs. This means that service providers must continue to provision and manage PVCs on a scale equal to the traditional IP over ATM approach. + +MPLS-over-PVCs uses the generic encapsulation that is described in the MPLS Label Stack Encodings specification [MPLS\_ENCAPS]. Possible link-layer encapsulations for the PVC include Null encapsulation and LLC/SNAP encapsulation. If the PVCs are carrying only MPLS packets, then Null encapsulation is recommended. Otherwise LLC/SNAP should be used, with a SNAP header containing the ethertypes specified for MPLS over LAN media [MPLS\_ENCAPS]. + +#### **III.3.1.2 Virtual trunks** + +A different method of implementing hybrid ATM networks is the use of Virtual Trunks. Virtual trunks are based on Virtual Path (VP) connections. ATM MPLS normally involves labelling IP packets by putting them in different VCs in the same ATM trunk. Each different VC on the trunk represents a different label value. ATM LSRs treat virtual trunks almost identically to a physical trunk: each different VC within the VP represents a different label value. The difference is that the virtual trunk is not a physical trunk linking two adjacent LSRs. The virtual trunk is a Permanent Virtual Path Connection (PVP) or Soft Permanent Virtual Path Connection (SPVP) which connects ATM-LSRs by way of traditional ATM switches. Virtual trunks may also connect ATM edge LSRs to ATM-LSRs, or connect ATM edge LSRs to each other. Use of virtual trunks is illustrated in Figure III.1 b). Use of ATM MPLS with virtual trunks and VCI-based labels is described in the "MPLS using LDP and ATM VC Switching" document [MPLS\_ATM], and is in most respects identical to use of MPLS over physical trunks with VPI/VCI-based labels. A VC must be assigned to carry the LDP control traffic and this VC must use the LLC/SNAP encapsulation. + +#### **III.3.1.3 Virtual Connection Identifier Notification for LDP (VCID)** + +VCID allows PVCs, SPVCs, and Switched Virtual Circuit Connections (SVCs) to be used in ATM MPLS [ATM\_VCID]. (Here, "SVC" refers specifically to a dynamically-established VC in a traditional ATM network. VCs used directly by ATM MPLS are referred to here as "Label VCs", or "LVCs".) By contrast, MPLS-over-PVCs uses packet-based MPLS and not ATM MPLS, and Virtual Trunks uses PVP or SPVP connections and not PVCs, SPVCs or SVCs. VCID supports the use of PVCs, SPVCs and SVCs in similar network configurations to Virtual Trunks, as shown in Figure III.1 c). When VCID is used, a number of PVCs, SPVCs or SVCs are used to carry labelled packets between the ATM MPLS devices, with one VC per label. Because there is a distinct VC for each label, ATM MPLS packet forwarding can be used at the ATM MPLS devices using VCID. + +There must be a default VC pre-established on each LSR-to-LSR "hop", in order to carry IP routing and LDP. This VC is in addition to the VCs used by VCID to correspond to labels. + +### **III.3.2 Networks using MPLS-over-PVCs** + +#### **III.3.2.1 Use of MPLS-over-PVC technology** + +The simplest network structure using MPLS-over-PVCs is the full mesh shown in Figure III.2 a). Operation of IP routing protocols in an MPLS network of this structure leads to the same scalability issues as for traditional IP-over-ATM networks of similar structure. One solution to this is to use a partial mesh between the routers, but this would lead to the use of inefficient, multi-hop routes. Another alternative is to add extra ATM edge LSRs, as shown in Figure III.2 b), or possibly a redundant pair of them. The extra ATM edge LSRs reduce the size of the meshes. Note that the performance requirements on the extra LSRs will be quite high, as they will carry a large part of the network traffic. There is no direct way of using ATM-LSRs in a network using MPLS-over-PVCs. + +![Figure III.2/Y.1310 – ATM MPLS networks using MPLS-over-PVCs. The figure consists of four diagrams (a, b, c, d) showing the evolution of an ATM MPLS network. Diagram (a) shows a hybrid network with LERs and LSRs connected via MPLS-over-PVCs (dashed red lines) within a non-MPLS ATM network (cloud). Diagram (b) shows an extra LSR added. Diagram (c) shows migration towards a MPLS network with some MPLS links (solid red lines) and some still using the ATM network. Diagram (d) shows the final stage as a MPLS network with all MPLS links. A legend at the bottom indicates that a cloud represents a 'Non-MPLS ATM network' and a solid red line represents a 'MPLS link'.](0a42e05c07941450f34e4f7117725834_img.jpg) + +a) Hybrid network using only MPLS-over-PVCs + +b) Adding an extra LSR + +c) Migration towards a MPLS network + +d) Possible final stage: a MPLS network + +Non-MPLS ATM network + +MPLS link + +T1317750-01 + +Figure III.2/Y.1310 – ATM MPLS networks using MPLS-over-PVCs. The figure consists of four diagrams (a, b, c, d) showing the evolution of an ATM MPLS network. Diagram (a) shows a hybrid network with LERs and LSRs connected via MPLS-over-PVCs (dashed red lines) within a non-MPLS ATM network (cloud). Diagram (b) shows an extra LSR added. Diagram (c) shows migration towards a MPLS network with some MPLS links (solid red lines) and some still using the ATM network. Diagram (d) shows the final stage as a MPLS network with all MPLS links. A legend at the bottom indicates that a cloud represents a 'Non-MPLS ATM network' and a solid red line represents a 'MPLS link'. + +**Figure III.2/Y.1310 – ATM MPLS networks using MPLS-over-PVCs** + +Some carriers might prefer to build an infrastructure for their MPLS traffic which is separate from their traditional ATM network. This MPLS network might use ATM MPLS. Alternatively, it might use packet-based MPLS, with packet-based LSRs and links such as PPP-over-SDH. Such a packet-based MPLS network might use MPLS-over-PVCs as a transitional stage, allowing a traditional ATM network to be used to carry MPLS traffic in the early stages of introduction of the packet-based MPLS network. In the course of growing this network, the MPLS-over-PVC links might be replaced with physical links. This possible future migration is shown in Figures III.2 c) and d). + +#### III.3.2.2 Equipment for MPLS-over-PVCs + +The core of an MPLS-over-PVCs network is a traditional ATM network which need only support PVCs or SPVCs. Virtually any ATM network can be used. The ATM edge LSRs should support the following: + +- one or more ATM network interface cards; +- packet-based MPLS encapsulation over PVCs or SPVCs; +- traffic shaping to the PVC or SPVC parameters. + +### III.3.3 Networks using virtual trunks + +#### - *Use of virtual trunks* + +A simple way of using virtual trunks is to use them to connect ATM edge LSRs without using any ATM-LSRs at all in the network, as illustrated in Figure III.3 a). This means that all MPLS packets are carried over virtual trunks, and no label switching actually occurs in the network. The ATM part of the network consists entirely of traditional ATM switches. More commonly, some switches in the ATM network will support the MPLS protocol stack, and some will not. Virtual trunks may be used to connect ATM-LSRs to ATM-LSRs, or to connect ATM edge LSRs to ATM-LSRs, as well as connecting ATM edge LSRs to each other. This is shown in Figure III.3 b). + +#### - *Migration to full MPLS* + +Figures III.3 a), b) and c) show a possible migration process for introducing MPLS to a traditional ATM network: + +ATM edge LSRs are added around the edge of a traditional ATM network; alternatively, MPLS function may be added to existing routers. This enables MPLS VPNs as well as leading to the next steps. + +Next, MPLS function is added to some ATM switches, or extra ATM-LSRs are added to the network. This reduces the number of virtual trunks required, and starts to reduce some of the scalability problems of hybrid networks. + +More ATM-LSRs are added, which further reduces the number of virtual trunks, and starts to introduce native ATM MPLS links as shown in Figure III.3 c). This step naturally leads to the final one. + +Ultimately, all ATM switches are ATM-LSRs, and no virtual trunks are used at all. The full network runs ATM MPLS, and has none of the disadvantages of hybrid networks. This is illustrated in Figure III.3 d). + +#### - *Other variations* + +LSRs and traditional ATM switches can be combined in many different ways. Figure III.4 shows some other hybrid network structures which may occur. Many other hybrid network structures are possible. An ATM MPLS network must include edge LSRs, but may use any nearly combination of zero or more ATM-LSRs and zero or more traditional ATM switches with virtual trunks. + +#### - *Requirements to support virtual trunks* + +Virtual trunks are implemented using Permanent Virtual Paths (PVPs) or Soft Permanent Virtual Paths (SPVPs). + +![Four diagrams (a, b, c, d) illustrating the evolution of ATM MPLS networks using virtual trunks. Diagram (a) shows a hybrid network with LERs connected to a central cloud. Diagram (b) adds an LSR to the cloud. Diagram (c) adds more LSRs and uses solid red lines for some connections. Diagram (d) shows a full ATM MPLS network with all connections as solid red lines. A legend at the bottom explains the symbols: a cloud for 'Traditional ATM network and a virtual trunk' and a solid red line for 'ATM MPLS link'. Cloud icon Solid red line icon](38cbce07f83fba6d5a7c46605bd5743f_img.jpg) + +a) Hybrid network using only virtual trunks + +b) Adding an extra ATM-LSR + +c) Further simplification by adding more ATM-LSRs + +d) Full ATM MPLS + +Traditional ATM network and a virtual trunk      ATM MPLS link + +T1317760-01 + +Four diagrams (a, b, c, d) illustrating the evolution of ATM MPLS networks using virtual trunks. Diagram (a) shows a hybrid network with LERs connected to a central cloud. Diagram (b) adds an LSR to the cloud. Diagram (c) adds more LSRs and uses solid red lines for some connections. Diagram (d) shows a full ATM MPLS network with all connections as solid red lines. A legend at the bottom explains the symbols: a cloud for 'Traditional ATM network and a virtual trunk' and a solid red line for 'ATM MPLS link'. Cloud icon Solid red line icon + +**Figure III.3/Y.1310 – ATM MPLS networks using virtual trunks** + +![Figure III.4/Y.1310 – Other hybrid network examples using virtual trunks on ATM-LSRs. The figure contains two diagrams, (a) and (b), and a legend. Diagram (a) shows a central cloud representing an MPLS core with three LSRs (LSR ATM) connected by red lines. Six LERs (LER ATM) are connected to the LSRs: two to each LSR. Diagram (b) shows a central cloud representing a traditional ATM core with two LSRs (LSR ATM) connected by red lines. Four LERs (LER ATM) are connected to the LSRs: two to each LSR. The legend indicates that a red line represents an 'ATM MPLS link' and a cloud with a red line represents a 'Traditional ATM network and a virtual trunk'.](12c19090355e19922e23044633b9d1ea_img.jpg) + +a) MPLS core, with virtual trunks to edge LSRs + +b) MPLS switching near edge, with traditional ATM core + +— ATM MPLS link + +Traditional ATM network and a virtual trunk + +T1317770-01 + +Figure III.4/Y.1310 – Other hybrid network examples using virtual trunks on ATM-LSRs. The figure contains two diagrams, (a) and (b), and a legend. Diagram (a) shows a central cloud representing an MPLS core with three LSRs (LSR ATM) connected by red lines. Six LERs (LER ATM) are connected to the LSRs: two to each LSR. Diagram (b) shows a central cloud representing a traditional ATM core with two LSRs (LSR ATM) connected by red lines. Four LERs (LER ATM) are connected to the LSRs: two to each LSR. The legend indicates that a red line represents an 'ATM MPLS link' and a cloud with a red line represents a 'Traditional ATM network and a virtual trunk'. + +**Figure III.4/Y.1310 – Other hybrid network examples using virtual trunks on ATM-LSRs** + +#### III.3.3.1 Supporting virtual trunks on traditional ATM switches + +The switches in the traditional ATM networks must support PVP or SPVP connections with ATM Forum or ITU-T traffic management types which match those used on the edge LSRs. The switches are not required to support MPLS. + +#### III.3.3.2 Supporting virtual trunks on edge LSRs + +ATM edge LSRs must meet the following requirements in order to support virtual trunks: + +- They must support one or more ATM network interface cards. +- If a particular virtual trunk uses a VPI $x$ at the edge LSR, then the LDP signalling VC for the virtual trunk must be within $x$ . It may have VPI = $x$ , VCI = 32, instead of the normal default VPI = 0, VCI = 32 for LDP signalling [MPLS\_ATM]. However, other VCI values can be configured through mutual bilateral agreements. + +In order to support virtual trunks, ATM-LSRs must meet the same requirements as ATM edge LSRs: + +- If a particular virtual trunk uses a VPI $x$ at the ATM-LSR, then the LDP signalling VC for the virtual trunk must be within $x$ . It may have VPI = $x$ , VCI = 32, instead of the normal default VPI = 0, VCI = 32. However, other VCI values can be configured through mutual bilateral agreements. + +### III.3.4 Networks using VCID + +#### III.3.4.1 The concept of a "Logical Link" + +VCID uses multiple PVCs, SPVCs or SVCs to connect each pair of ATM MPLS devices across a traditional network [ATM\_VCID]. Despite the differences between VCID and virtual trunks, VCID can be used in similar network configurations to virtual trunks. Figure III.1 illustrated this. In Figure III.5, a concept is introduced which allows VCID to be directly compared to virtual trunks. + +![Figure III.5/Y.1310 – Representing VCID connections as 'logical links'](3442f31a562d1ef45bfa18b18a6a1ddc_img.jpg) + +The diagram illustrates two ways to represent VCID connections between ATM MPLS devices. Part (a) shows a detailed view of the connections, while part (b) shows a simplified representation. + +**a) Connections for VCID** + +This diagram shows three circular nodes representing ATM MPLS devices, each divided into 'LER' (Label Edge Router) and 'ATM' sections. The nodes are arranged in a line, with a central node and two outer nodes. A cloud-like shape represents the underlying network. Multiple red dotted lines connect the LER sections of the outer nodes to the ATM section of the central node. Labels with arrows point to these lines: 'VC at each hop for signalling purposes (See text)' points to the leftmost dotted line, and 'Multiple (S)PVCs or SVCs using VCID, for data forwarding purposes' points to the middle dotted line. + +**b) Simplified representation as a VCID "logical link"** + +This diagram shows the same three nodes and cloud, but the connections are simplified into a single red dashed line between the LER sections of the outer nodes and the ATM section of the central node. The identifier 'T1317780-01' is located at the bottom right of this diagram. + +Figure III.5/Y.1310 – Representing VCID connections as 'logical links' + +**Figure III.5/Y.1310 – Representing VCID connections as "logical links"** + +When connecting two ATM MPLS devices (ATM LSRs or ATM edge LSRs) with VCID, many PVCs, SPVCs or SVCs are required: one for signalling, and many for the MPLS labels. However, the group of PVCs, SPVCs or SVCs used by VCID between two ATM MPLS devices acts in place of a single ATM link in an ATM MPLS network. Consequently, it is useful to consider this group of PVCs, SPVCs or SVCs to be a single "logical link". + +Figure III.3 showed how virtual trunks could be used when introducing MPLS to a traditional ATM network. VCID "logical links" can be used in an exactly analogous way, as shown in Figure III.6. The variant network structures shown in Figure III.4 also apply equally well with VCID. + +![Figure III.6/Y.1310 – ATM MPLS networks using VCID 'logical links'. The figure consists of four sub-diagrams (a, b, c, d) showing the evolution of an ATM MPLS network. Sub-diagram (a) shows a hybrid network with five LERs (LER ATM) connected to a central cloud representing a traditional ATM network. Sub-diagram (b) shows the addition of an LSR (LSR ATM) to the network. Sub-diagram (c) shows further simplification by adding more LSRs (LSR ATM) to the network. Sub-diagram (d) shows the final state as a full ATM MPLS network with three LSRs (LSR ATM) connected in a chain. A legend at the bottom indicates that a dashed red line represents a 'Traditional ATM network and a virtual trunk' and a solid red line represents an 'ATM MPLS link'.](dbd074feb5cce1300f42f91da8f673d1_img.jpg) + +a) Hybrid network using only VCID Logical Links + +b) Adding an ATM-LSR + +c) Further simplification by adding more ATM-LSRs + +d) Full ATM MPLS + +Traditional ATM network and a virtual trunk + +ATM MPLS link + +T1317790-01 + +Figure III.6/Y.1310 – ATM MPLS networks using VCID 'logical links'. The figure consists of four sub-diagrams (a, b, c, d) showing the evolution of an ATM MPLS network. Sub-diagram (a) shows a hybrid network with five LERs (LER ATM) connected to a central cloud representing a traditional ATM network. Sub-diagram (b) shows the addition of an LSR (LSR ATM) to the network. Sub-diagram (c) shows further simplification by adding more LSRs (LSR ATM) to the network. Sub-diagram (d) shows the final state as a full ATM MPLS network with three LSRs (LSR ATM) connected in a chain. A legend at the bottom indicates that a dashed red line represents a 'Traditional ATM network and a virtual trunk' and a solid red line represents an 'ATM MPLS link'. + +**Figure III.6/Y.1310 – ATM MPLS networks using VCID "logical links"** + +#### III.3.4.2 Supporting VCID on traditional ATM switches + +The switches in the traditional ATM networks must support PVC, SPVC or SVCs connections with ATM Forum or ITU-T traffic management types which match those used on the edge LSRs. They are not required to support VCID signalling or any MPLS functions. + +#### III.3.4.3 Supporting VCID on ATM edge LSRs + +The ATM edge LSRs must meet the following requirements: + +- They must support one or more ATM network interface cards. +- They must support VCID in addition to the ATM MPLS protocols. + +# Appendix IV + +## Example methods for IP-VPN support in MPLS/ATM public network + +## IV.1 Introduction + +This appendix describes example methods for using MPLS to provide IP Virtual Private Network services in a public network. MPLS provides a flexible and scalable basis for building IP-VPN services. Clause 7.2 defines the IP-VPN service and some requirements for the service. + +[Y.1311.1] also provides requirements and architectural approach description for MPLS-based IP-VPN. + +It is understood that Service Providers will make design decisions to support IP-VPNs based on their internal network and customer requirements. This appendix describes example methods and is not intended to constrain the deployment of VPNs inside a carrier's network. + +Although the IP-VPN concept framed in the language of supporting enterprise customers by carriers, the same methods can be used by Service Providers to support other Service Providers (e.g., a carriers' carrier). + +Figure IV.1 illustrates a generic scenario for IP-VPNs: + +![Figure IV.1: Generic scenario for IP-VPNs using MPLS. The diagram shows a central 'Core Network (MPLS/ATM Network)' containing several routers. On the left, a 'VPN Customer Site' is connected to a 'CE' (Customer Edge) router, which is connected to a 'LER ATM' (Label Edge Router) router. This LER is part of an 'LSP Tunnel' that passes through two 'LSR ATM' (Label Switch Router) routers and ends at a 'LER ATM' router on the right, which is labeled 'PE' (Provider Edge). The right side is connected to another 'VPN Customer Site' via a 'CE' router. A box on the left lists 'VPN management functions' including VPN-ID processing, Virtual routing, Security, Traffic engineering, and QoS, etc., with an arrow pointing to the left LER. A legend at the bottom left defines the abbreviations: CE - Customer Edge, LER - Label Edge Router, LSR - Label Switch Router, PE - Provider Edge. The reference T1317800-01 is at the bottom right.](58bbc570572758132ea39938e4f03b5b_img.jpg) + +VPN management functions + +- VPN-ID processing +- Virtual routing +- Security +- Traffic engineering +- QoS, etc. + +Core Network (MPLS/ATM Network) + +CE - Customer Edge +LER - Label Edge Router +LSR - Label Switch Router +PE - Provider Edge + +T1317800-01 + +Figure IV.1: Generic scenario for IP-VPNs using MPLS. The diagram shows a central 'Core Network (MPLS/ATM Network)' containing several routers. On the left, a 'VPN Customer Site' is connected to a 'CE' (Customer Edge) router, which is connected to a 'LER ATM' (Label Edge Router) router. This LER is part of an 'LSP Tunnel' that passes through two 'LSR ATM' (Label Switch Router) routers and ends at a 'LER ATM' router on the right, which is labeled 'PE' (Provider Edge). The right side is connected to another 'VPN Customer Site' via a 'CE' router. A box on the left lists 'VPN management functions' including VPN-ID processing, Virtual routing, Security, Traffic engineering, and QoS, etc., with an arrow pointing to the left LER. A legend at the bottom left defines the abbreviations: CE - Customer Edge, LER - Label Edge Router, LSR - Label Switch Router, PE - Provider Edge. The reference T1317800-01 is at the bottom right. + +**Figure IV.1/Y.1310 – Generic scenario for IP-VPNs using MPLS** + +The CE router is the customer edge router that interfaces a customer site with the service provider's network. The PE router is the service provider edge router that interfaces to customers' CEs. + +A site is a set of (sub)networks that are part of the customer's network and is connected to the VPN through one or more PE/CE links. A VPN is a collection of sites sharing common routing information. A site can be part of different VPNs. + +Figure IV.2 illustrates the case in which a Service Provider supports multiple VPNs. As shown, one site can belong to multiple VPNs. A site belonging to multiple VPNs may or may not provide transit between the two VPNs according to policy (how this is done is outside the scope of this Recommendation). If a site belongs to multiple VPNs, it must have an address space that is unique among the VPNs. + +![Venn diagram showing three overlapping VPNs (VPN-A, VPN-B, VPN-C) and four sites (Site-1, Site-2, Site-3, Site-4). Site-1 is in VPN-A only. Site-2 is in both VPN-A and VPN-B. Site-3 is in both VPN-B and VPN-C. Site-4 is in VPN-C only.](fc02903382cebe6fc11e4c0d74b5313f_img.jpg) + +The diagram illustrates three overlapping Virtual Private Networks (VPNs) represented by large ovals: VPN-A on the left, VPN-B at the bottom, and VPN-C on the right. Four sites are represented by smaller circles: Site-1 is located within VPN-A only; Site-2 is located within the intersection of VPN-A and VPN-B; Site-3 is located within the intersection of VPN-B and VPN-C; and Site-4 is located within VPN-C only. The intersection of all three VPNs (VPN-A, VPN-B, and VPN-C) is empty. + +T1317810-01 + +Venn diagram showing three overlapping VPNs (VPN-A, VPN-B, VPN-C) and four sites (Site-1, Site-2, Site-3, Site-4). Site-1 is in VPN-A only. Site-2 is in both VPN-A and VPN-B. Site-3 is in both VPN-B and VPN-C. Site-4 is in VPN-C only. + +**Figure IV.2/Y.1310 – Illustration of multiple VPNs** + +## **IV.2 Scenario 1** + +This clause describes an example method of using MPLS to provide IP-VPN services in a public network. The MPLS and its LDP provide a very flexible and powerful basis for building IP-VPN services. As a normal LDP operation, basic LSP setup is according to a topology-driven method. This is a base LSP setup using base label. In this case, two levels of LSP tunnelling (label stacking) for intra-VPN routing are used. + +### IV.2.1 Simple network configuration + +#### IV.2.1.1 Architectural overview + +Figure IV.3 illustrates an example of configuration composed of LER and LSR for IP-VPN services in MPLS/ATM core network. + +![Figure IV.3: Network model for IP-VPN support in MPLS/ATM public network. The diagram shows a central 'Core Network (MPLS/ATM Network)' containing three LSRs (Label Switched Routers) and two LERs (Label Edge Routers). The LERs are connected to 'VPN Customer Site's. A box on the left lists 'VPN management functions' including VPN-ID processing, Virtual routing, Security, Traffic engineering, and QoS, etc. Arrows indicate 'LSP Tunnel' connections between LERs and LSRs, and 'LPD' (Label Distribution Protocol) connections between LSRs and LERs. A legend at the bottom identifies LER as Label Edge Router and LSR as Label Switch Router.](0a73b03fba21af142d619a9a662e6490_img.jpg) + +VPN management functions + +- VPN-ID processing +- Virtual routing +- Security +- Traffic engineering +- QoS, etc. + +Core Network (MPLS/ATM Network) + +VPN Customer Site + +VPN Customer Site + +LER Label Edge Router + +LSR Label Switch Router + +T1317820-01 + +Figure IV.3: Network model for IP-VPN support in MPLS/ATM public network. The diagram shows a central 'Core Network (MPLS/ATM Network)' containing three LSRs (Label Switched Routers) and two LERs (Label Edge Routers). The LERs are connected to 'VPN Customer Site's. A box on the left lists 'VPN management functions' including VPN-ID processing, Virtual routing, Security, Traffic engineering, and QoS, etc. Arrows indicate 'LSP Tunnel' connections between LERs and LSRs, and 'LPD' (Label Distribution Protocol) connections between LSRs and LERs. A legend at the bottom identifies LER as Label Edge Router and LSR as Label Switch Router. + +**Figure IV.3/Y.1310 – Network model for IP-VPN support in MPLS/ATM public network** + +### IV.2.2 Network components + +#### IV.2.2.1 LER (Label Edge Router) + +LER is a MPLS border router that is located at the edge of MPLS/ATM provider network. They serve as LSP tunnel ingress and egress points for IP traffic of VPN customers. If a LER is shared over many customers, it should perform virtual routing, which means a LER maintains separate forwarding tables for each VPN it serves, since their IP address spaces may not be distinct. + +#### IV.2.2.2 LSR (Label Switched Router) + +The MPLS/ATM core network is the provider's underlying network that is shared among customer IP-VPN services. + +#### IV.2.2.3 Operations for establishing IP-VPN areas + +The network provider wishing to offer IP-VPN service has first to configure the MPLS domain. An MPLS domain here means an IP-VPN area. An IP-VPN area consists of LERs and LSRs. As a normal LDP operation, basic LSP setup is according to a topology-driven method, which is defined as a base or level 1 LSP setup using base label. For intra-VPN routing, two levels of LSP tunneling (label stacking) are used. + +#### IV.2.2.4 VPN membership discovery + +Each LER discovers all other LERs in the VPN area that is serving the same IP-VPN. The LDP session initiation process is used as the method of LERs discovering their peers, since the ultimate intent of the scheme is to establish a second level of MPLS tunnels. Every LER sends an LDP hello message down every base network LSP that exits its LER. Hello messages are encapsulated with + +the base MPLS label so that they are carried all the way to the destination LER. The LDP hello message is a form of query to determine if a LER for the same VPN (a peer) resides at the destination LER. When a hello adjacency is registered, the relevant LER proceeds to initiate an LDP session with its peer. One of the two LERs will initiate a TCP connection to the other. After the TCP connection is in place, and the necessary initiation messages have been exchanged, then an LDP session between the peer LERs exists. Immediately after the LDP session is established, each of the two LERs offers the other a label for a LSP tunnel to itself. If the LSP tunnel is a nested tunnel, its label is pushed onto a packets label stack before the base network LSP label. + +#### **IV.2.2.5 VPN membership and reachability information dissemination** + +The LER learns the IP address prefixes of the customer sites it is directly connected to as exchanging routing information. The LER needs to find its peer LERs. It has to discover which other LERs in the VPN area serve its VPN. The LER offers to establish a direct LDP session with every other LER in the VPN area. But only LERs serving the same VPN will discover each other, and go on to establish LDP sessions with each other. LDP sessions will only be successfully established between LERs that are supporting the same VPN. + +#### **IV.2.2.6 Intra VPN reachability** + +The first traffic that will flow over the nested tunnels is the exchange of routing information between LERs. It is assumed that when a LER is first configured for an IP-VPN, part of the configuration information is the routing protocol that it should use "intra VPN". It would also be given any security credentials that it needs in order to participate as a neighbour router to the other LERs. After any discovery phase of the "intra VPN" routing scheme, each LER will be advertising the VPN customer specific address prefixes reachable through it. + +#### **IV.2.2.7 IP packet forwarding** + +As a result of routing exchanges between LERs, each LER will build a forwarding table that relates VPN customer specific address prefixes (FEC: Forward Equivalency Classes) to the next hop. When IP packets arrive whose next hop is a LER, the forwarding process pushes first the label for the peer LER (the nested tunnel label). Then the base label, for the first hop of the base network LSP that leads to the LER, is pushed onto the packet. The doubly labelled packet is then forwarded to the next LSR in the base network LSP. When the packet arrives at the destination LER, the outermost label may have changed several times but the nested label has not changed. As the label stack is popped, the nested label is used to direct the packet to the correct LER. At a LER, the nested label space used by each VPN has to be disjoint from all other VPNs supported by the same LER. + +## **IV.3 Scenario 2** + +This clause describes an example method of using MPLS and the Multiprotocol Border Gateway Protocol to provide IP-VPN services in a public network as defined in [BGP\_VPN]. This clause provides an overview. Details can be found in [BGP\_VPN]. + +### **IV.3.1 Architectural overview** + +Figure IV.1 illustrates an example of a configuration composed of LER and LSR for IP-VPN services in a MPLS/ATM core network. + +Figure IV.4 illustrates the network model using [BGP\_VPN]. + +### **IV.3.2 Network components** + +This clause introduces the network components for support of the IP-VPN and the terminology used. + +#### IV.3.2.1 Provider Edge (PE) Router + +The PE router is the service provider edge router that interfaces to customers' edge (CE) routers. For the purposes of this Recommendation, this router is an edge LSR (i.e., the interface between the customer and provider does not use MPLS). + +#### IV.3.2.2 Customer Edge (CE) Router + +The CE router is the customer edge router that interfaces to the service provider's edge (PE) routers. For the purposes of this scenario, the CE router does not implement MPLS and is an IP router. The CE does not have to support any VPN-specific routing protocols or signalling. + +#### IV.3.2.3 Provider (P) Router + +The P routers are the core Label Switch Routers. + +#### IV.3.2.4 Site + +A site is a set of (sub)networks that are part of the customer's network and is connected to the VPN through one or more PE/CE links. A site can be part of different VPNs. + +#### IV.3.2.5 Route distinguisher + +The provider assigns each VPN a unique identifier called a Route Distinguisher (RD) that is different for each Intranet or Extranet within the provider network. Forwarding tables in PE routers contain unique addresses, called VPN-IP addresses, constructed by concatenating the RD with the customer's IP addresses. VPN-IP addresses are unique for each endpoint in the service provider network, and entries are stored in forwarding tables for each node in the VPN (i.e., each PE router in the VPN). + +#### IV.3.2.6 Connection model + +Figure IV.4 below illustrates the connection model for the MPLS/BGP VPN. + +![Diagram illustrating the connection model for IP/VPNs using MPLS/BGP. The diagram shows a central 'Provider Network' containing 'PE' (Provider Edge) and 'P' (Provider) routers. The PE routers are connected to 'CE' (Customer Edge) routers, which are associated with specific VPNs (VPN_A and VPN_B) and their IP addresses. The PE routers are also connected to the P routers, forming a meshed structure. The diagram is labeled 'iBGP sessions' and 'Provider Network'. A reference code 'T1317830-01' is visible at the bottom right.](3252037b597c9317aced0feed4cb5af0_img.jpg) + +The diagram illustrates the connection model for IP/VPNs using MPLS/BGP. It shows a central 'Provider Network' containing 'PE' (Provider Edge) and 'P' (Provider) routers. The PE routers are connected to 'CE' (Customer Edge) routers, which are associated with specific VPNs (VPN\_A and VPN\_B) and their IP addresses. The PE routers are also connected to the P routers, forming a meshed structure. The diagram is labeled 'iBGP sessions' and 'Provider Network'. A reference code 'T1317830-01' is visible at the bottom right. + +Diagram illustrating the connection model for IP/VPNs using MPLS/BGP. The diagram shows a central 'Provider Network' containing 'PE' (Provider Edge) and 'P' (Provider) routers. The PE routers are connected to 'CE' (Customer Edge) routers, which are associated with specific VPNs (VPN\_A and VPN\_B) and their IP addresses. The PE routers are also connected to the P routers, forming a meshed structure. The diagram is labeled 'iBGP sessions' and 'Provider Network'. A reference code 'T1317830-01' is visible at the bottom right. + +**Figure IV.4/Y.1310 – Connection model for IP/VPNs using MPLS/BGP** + +P routers are in the core of the MPLS network. PE routers use MPLS to communicate with the core MPLS network and IP routing to communicate with the CE router. P and PE routers use an IP routing protocol (interior gateway protocol) for establishing IP routes through the MPLS core and LDP for label distribution between routers. + +PE routers use multiprotocol BGP-4 to communicate with each other to exchange labels and policy for each VPN. The PEs are BGP fully meshed (unless a route reflector is used). Specifically, since the PEs are in the same Autonomous System, they use internal BGP (iBGP). + +P routers do not run BGP and do not have any knowledge of the VPN. They use normal MPLS protocols and procedures. + +PE routers may exchange IP routes with CE routers via an IP routing protocol. Static routes can also be used. Normal routing procedures are used between the CE and PE routers. The CE router does not have to implement MPLS or have any special knowledge of the VPN. + +The PE routers distribute the customer routes to the other PE routers via iBGP. The VPN-IP address (constructed from the route distinguisher and IPv4 address) is used in BGP for distributing routes. Thus, different VPNs can use overlapping IPv4 address space without duplicate VPN-IP addresses. + +The PE routers map the routes learned from BGP into their routing tables for forwarding packets received from the CE routers into the correct LSP. + +Two levels of labels are used. The inside label is used to identify the correct VPN to the PE router. The outside label is used by the LSRs in the MPLS network to route the packets to the correct PE. + +#### **IV.3.2.7 Operations for establishing IP-VPN areas** + +The network provider wishing to offer IP-VPN service must design and provision the network according to the connectivity requirements. + +Each PE must be configured for the VPNs which they must support and the VPNs to which each attached CE belongs. An iBGP peering relationship must be configured between PE routers in the MPLS network or a route reflector. Normal iBGP scaling capabilities can be used. + +Normal routing protocol configuration must be done to communicate with the CE. + +Normal MPLS configuration (LDP, IGP, etc.) must be performed to communicate with the MPLS core network. + +The P routers should not have to be configured to support the VPN (beyond normal MPLS support). + +#### **IV.3.2.8 VPN membership and reachability information dissemination** + +The PE learns the IP address prefixes of the customer sites it is directly connected to by exchanging routing information via an IP routing protocol or via configuration (static routes). + +The PE exchanges VPN-IP address prefixes with its BGP peers to learn routes to destination VPN sites. The PE also exchanges labels via BGP with its PE router peers in order to identify the LSP to use for connectivity between PE routers. These labels are used as second level labels and are not seen by the P routers. + +PE routers maintain separate routing and forwarding tables for each VPN it supports. Each CE router attached to a PE router will use the appropriate routing table based on the interface to which it attaches. + +#### **IV.3.2.9 IP packet forwarding** + +As a result of routing exchanges between PEs, each PE will build a per-VPN forwarding table that relates VPN customer specific address prefixes to next hop PE routers. + +When IP packets arrive from a CE router, the PE router will check the forwarding table for the VPN identified with that interface. If a match is found, the router will proceed as follows: + +- If the next hop is a PE router, the forwarding process pushes first the label for the peer PE router (the nested tunnel label) identified by the routing table. +- The PE router then pushes the base label on to the packet, for the first hop of the base network LSP that leads to the destination PE router. The doubly labelled packet is then forwarded to the next LSR in the base network LSP. +- The P routers (LSRs) use the top-level labels and their routing tables to route the packet to the destination PE. + +- When the packet arrives at the destination PE router the outermost label may have changed several times but the nested label has not changed. +- When the PE router receives a packet, it uses the embedded label to identify the VPN. At a PE router, the nested label space used by each VPN has to be disjoint from all other VPNs supported by the same PE router. The PE router checks the routing table associated with that VPN to determine over which interface to transmit the packet. + +If a match is not found in the VPN routing table, the PE router checks the Internet routing table (if this capability is available from the provider) for routability. If no route is found, the packet is dropped. + +VPN-IP forwarding tables contain labels that correspond to VPN-IP addresses. These labels route traffic to each site in a VPN. Because labels are used instead of IP addresses, customers can keep their private addressing schemes, within the corporate Internet, without requiring Network Address Translation (NAT) to pass traffic through the provider network. Traffic is separated between VPNs using a logically distinct forwarding table for each VPN. Based on the incoming interface, the switch selects a specific forwarding table, which lists only valid destinations in the VPN, thanks to BGP. To create Extranets, a provider explicitly configures reachability between VPNs. (NAT configurations may be required.). + +#### **IV.3.2.10 Security** + +Within the provider network, route distinguishers are associated with every packet by the PE router, so a user cannot "spoof" a flow or packet into another customer's VPN. Note that route distinguishers are not carried in user data packets. Users can participate in an Intranet or Extranet, only if they reside on the correct physical port and have the proper route distinguishers configured into the PE router. This setup makes virtually impossible to enter, and provides the same security levels users are accustomed to in a frame relay, leased-line, or ATM service. + +# **BIBLIOGRAPHY** + +This bibliography includes explicit references embedded in the RFCs listed in 2.1.2. Embedded references which are already included as primary references are not repeated in this appendix. + +- [1] POSTEL (J.): DoD Standard – Internet Protocol, *RFC 760, USC/Information Sciences Institute*, January 1980. +- [2] POSTEL (J.): DoD Standard – Transmission Control Protocol, *RFC 761, USC/Information Sciences Institute*, January 1980. +- [3] POSTEL (J.): Internet Control Message Protocol – DARPA Internet Program Protocol Specification, *RFC 792, USC/Information Sciences Institute*, September 1981. +- [4] POSTEL (J.): Service Mappings, *RFC 795, USC/Information Sciences Institute*, September 1981. +- [5] POSTEL (J.): Address Mappings, *RFC 796, USC/Information Sciences Institute*, September 1981. +- [6] BRADEN (R.): Requirements for Internet Hosts – Communication Layers, *STD 3, RFC 1122*, October 1989. +- [7] RIVEST (R.): The MD5 Message-Digest Algorithm, *RFC 1321*, April 1992. +- [8] ALMQUIST (P.): Type of Service in the Internet Protocol Suite, *RFC 1349*, July 1992. + +- [9] BRADLEY (T.), BROWN (C.), MALIS (A.): Multiprotocol Interconnect over Frame Relay, *RFC 1490*, July 1993. +- [10] MOY (J.): OSPF Version 2, *RFC 1583*, *Proteon Inc*, March 1994. +- [11] SIMPSON (W.): The Point-to-Point Protocol (PPP), *STD 51*, *RFC 1661*, July 1994. +- [12] REYNOLDS (J.), POSTEL (J.): Assigned Numbers, *RFC 1700*, October 1994. +- [13] REKHTER (Y.), LI (T.): A Border Gateway Protocol 4 (BGP-4), *RFC 1771*, March 1995. +- [14] BAKER (F.), Editor: Requirements for IP Version 4 Routers, *RFC 1812*, June 1995. +- [15] SCHULZRINNE (H.), CASNER (S.), FREDERICK (R.), JACOBSON (V.): RTP: A Transport Protocol for Real-Time Applications, *RFC 1889*, January 1996. +- [16] McCANN (J.), MOGUL (J.), DEERING (S.): Path MTU Discovery for IP version 6, *RFC 1981*, August 1996. +- [17] BRADNER (S.): Key words for use in RFCs to Indicate Requirement Levels, *BCP 14*, *RFC 2119*, March 1997. +- [18] BRADEN (R.) et al.: Resource ReSerVation Protocol (RSVP) – Version 1 Functional Specification, *RFC 2205*, September 1997. +- [19] WROCLAWSKI (J.): The use of RSVP with IETF Integrated Services, *RFC 2210*, September 1997. +- [20] WROCLAWSKI (J.): Specification of the Controlled-Load Network Element Service, *RFC 2211*, September 1997. +- [21] SHENKER (S.), WROCLAWSKI (J.): General Characterization Parameters for Integrated Service Network Elements, *RFC 2215*, September 1997. +- [22] SHENKER (S.), WROCLAWSKI (J.): Network Element Service Specification Template, *RFC 2216*, September 1997. +- [23] HINDEN (R.), DEERING (S.): IP Version 6 Addressing Architecture, *RFC 2373*, July 1998. +- [24] HEFFERNAN (A.): Protection of BGP Sessions via the TCP MD5 Signature Option, *RFC 2385*, August 1998. +- [25] KENT (S.), ATKINSON (R.): Security Architecture for the Internet Protocol, *RFC 2401*, November 1998. +- [26] KENT (S.), ATKINSON (R.): IP Authentication Header, *RFC 2402*, November 1998. +- [27] KENT (S.), ATKINSON (R.): IP Encapsulating Security Protocol (ESP), *RFC 2406*, November 1998. +- [28] NARTEN (T.), ALVESTRAND (H.): Guidelines for Writing an IANA Considerations Section in RFCs, *RFC 2434*, October 1998. +- [29] DEERING (S.), HINDEN (R.): Internet Protocol, Version 6 (IPv6) Specification, *RFC 2460*, December 1998. +- [30] CONTA (A.), DEERING (S.): Internet Control Message Protocol (ICMPv6) for the Internet Protocol Version 6 (IPv6) Specification, *RFC 2463*, December 1998. +- [31] AWDUCHE (D.) et al.: Requirements for Traffic Engineering Over MPLS, *RFC 2702*, September 1999. +- [32] POSTEL (J.): Internet Name Server, *USC/Information Sciences Institute*, *IEN 116*, August 1979. + +- [33] SOLLINS (K.): The TFTP Protocol, *Massachusetts Institute of Technology, IEN 133*, January 1980. +- [34] CERF (V.): The Catenet Model for Internetworking, *Information Processing Techniques Office, Defense Advanced Research Projects Agency, IEN 48*, July 1978. +- [35] BBN Technical Report 1822, *Specification for the Interconnection of a Host and an IMP*, Bolt, Beranek, and Newman, Revised May 1978. +- [36] SHOCH (J.): Inter-Network Naming, Addressing, and Routing, *COMPCON, IEEE Computer Society*, Fall 1978. +- [37] SHOCH (J.): Packet Fragmentation in Inter-Network Protocols, *Computer Networks, Vol. 3, No. 1*, February 1979. +- [38] STRAZISAR (V.): How to Build a Gateway, *IEEN 109, Bolt, Beranek and Newman*, August 1979. +- [39] CERF (V.), KAHN (R.): A Protocol for Packet Network Intercommunication, *IEEE Transactions on Communications*, Vol. COM-22, No. 5, pp. 637-648, May 1974. +- [40] DALAL (Y.), SUNSHINE (C.): Connection Management in Transport Protocols, *Computer Networks*, Vol. 2, No. 6, pp. 454-473, December 1978. +- [41] DEMERS (A.), KESHAV (S.), SHENKER (S.): Analysis and Simulation of a Fair Queueing Algorithm, in *Internetworking: Research and Experience*, Vol. 1, No. 1, pp. 3-26. +- [42] ZHANG (L.): Virtual Clock: A New Traffic Control Algorithm for Packet Switching Networks, in *Proc. ACM SIGCOMM '90*, pp. 19-29. +- [43] VERMA (D.), ZHANG (H.), FERRARI (D.): Guaranteeing Delay Jitter Bounds in Packet Switching Networks, in *Proc. Tricomm '91*. +- [44] GEORGIADIS (L.), GUERIN (R.), PERIS (V.), SIVARAJAN (K.N.): Efficient Network QoS Provisioning Based on per Node Traffic Shaping, *IBM Research Report No. RC-20064*. +- [45] GOYAL (P.), LAM (S.S.), VIN (H.M.): Determining End-to-End Delay Bounds in Heterogeneous Networks, *Proc. 5th Intl. Workshop on Network and Operating System Support for Digital Audio and Video*, April 1995. +- [46] FLOYD (S.), JACOBSON (V.): Link-sharing and Resource Management Models for Packet Networks, *IEEE/ACM Transactions on Networking*, Vol. 3, No. 4, pp. 365-386, August 1995. +- [47] SHREEDHAR (M.), VARGHESE (G.): Efficient Fair Queueing using Deficit Round Robin, *Proc. ACM SIGCOMM 95*, 1995. +- [48] BENNETT (J.), ZHANG (Hui): Hierarchical Packet Fair. Queueing Algorithms, *Proc. ACM SIGCOMM 96*, August 1996. +- [49] STILIADIS (D.), VARMA (A.): Rate-Proportional Servers: A Design Methodology for Fair Queueing Algorithms, *IEEE/ACM Trans. on Networking*, April 1998. +- [50] CONTA (A.), DOOLAN (P.), MALIS (A.): Use of Label Switching on Frame Relay Networks, *RFC 3034*, January 2001. +- [51] NIKOLAOU (N.), RIGOLIO (G.), CASACA (A.), CIULLI (N.), STASSINOPOULOS (G.): Integration of IP and ATM for QoS and Multimedia Support, *4th International Distributed Conference (ICD 1999)*, 22-23 September 1999, Madrid, Spain. + +- [52] IETF RFC 2208 (1997), *Resource ReSerVation Protocol (RSVP) – Version 1 Applicability Statement – Some Guidelines on Deployment*. +- [53] IETF RFC 3260 (2002), *New Terminology and Clarifications for Diffserv*. +- [54] IETF RFC 3496 (2003), *Protocol Extension for Support of Asynchronous Transfer Mode (ATM) Service Class-aware Multiprotocol Label Switching (MPLS) Traffic Engineering*. +- [55] IETF RFC 2382 (1998), *A Framework for Integrated Services and RSVP over ATM*. +- [56] IETF RFC 3215 (2002), *LDP State Machine*. + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series B | Means of expression: definitions, symbols, classification | +| Series C | General telecommunication statistics | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | TMN and network maintenance: international transmission systems, telephone circuits, telegraphy, facsimile and leased circuits | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks and open system communications | +| Series Y | Global information infrastructure, Internet protocol aspects and Next Generation Networks | +| Series Z | Languages and general software aspects for 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Recommendation Y.1311.1 + +(Formerly CCITT Recommendation) + +--- + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE AND INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **Network-based IP VPN over MPLS architecture** + +## **Summary** + +This Recommendation specifies service requirements and a number of architectural approaches that are applicable to the provision of network-based virtual private networks by Service Providers using IP technology over an underlying MPLS-based infrastructure. + +## **Source** + +ITU-T Recommendation Y.1311.1 was prepared by ITU-T Study Group 13 (2001-2004) and approved under the WTSA Resolution 1 procedure on 13 July 2001. + +## **Keywords** + +Internetwork Protocol (IP), IP VPN, Multiprotocol Label Switching (MPLS), Virtual Private Network (VPN). + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications. The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementors are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database. + +© ITU 2001 + +All rights reserved. No part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from ITU. + +# CONTENTS + +| | Page | +|-------------------------------------------------------------------------------------------|-------------| +| 1 Introduction..... | 1 | +| 2 Scope..... | 1 | +| 3 References..... | 1 | +| 3.1 Normative references ..... | 1 | +| 3.2 Informative references ..... | 1 | +| 4 Abbreviations..... | 2 | +| 5 Network-based IP VPN over MPLS reference model..... | 4 | +| 6 Service definition..... | 4 | +| 6.1 Functional definition of a "network-based IP VPN (over MPLS)" ..... | 4 | +| 6.2 Quantitative definition of a "network-based IP VPN (over MPLS)" ..... | 5 | +| 7 Service requirements..... | 5 | +| 7.1 Multi-vendor interoperability ..... | 5 | +| 7.2 Service management capabilities..... | 6 | +| 7.2.1 Network connectivity ..... | 6 | +| 7.2.2 Service monitoring ..... | 7 | +| 7.2.3 Security management features..... | 8 | +| 7.2.4 SLA and QoS management features..... | 9 | +| 7.3 Security functions ..... | 10 | +| 7.3.1 Introduction ..... | 10 | +| 7.3.2 VPN isolation ..... | 12 | +| 7.3.3 VPN user identification ..... | 12 | +| 7.3.4 VPN user authentication..... | 13 | +| 7.3.5 Securing the flows ..... | 13 | +| 7.3.6 Peer identification..... | 13 | +| 7.3.7 Peer authentication ..... | 14 | +| 7.3.8 Site protection..... | 14 | +| 7.4 Support of various Quality of Service requirements ..... | 14 | +| 7.5 Support of various routing protocols (at edge and core levels of the SP network) .... | 15 | +| 7.6 Scalable routing capabilities ..... | 16 | +| 7.7 Auto-discovery..... | 16 | +| 7.8 Support of various types of customer IP traffic ..... | 16 | +| 7.9 Support of various VPN topologies ..... | 16 | +| 7.10 Support of various customer access scenarios..... | 16 | +| 7.11 CE access to PE ..... | 16 | +| 7.12 Addressing requirements and support of various IP numbering schemes ..... | 16 | + +| | Page | +|-------------------------------------------------------------------------------------------------------------------------------------------------------|-------------| +| 7.13 Support of various service deployment scenarios..... | 17 | +| 7.14 Support of alliances of VPNs..... | 17 | +| 7.15 The solution should allow outsourcing of IP services (e.g. DNS, DHCP)..... | 18 | +| 7.16 Reliability and fault tolerance..... | 18 | +| 7.17 Efficiency (customer and network resource utilization)..... | 18 | +| 7.18 No dependency on the physical or link layer of the Service Provider backbone ..... | 18 | +| 7.19 (Economically and technically) smooth migration of customers from pre-existing VPN service offerings..... | 19 | +| 7.20 Support of interworking functions between MPLS-based VPN technology and other VPN technologies ..... | 19 | +| 7.21 Some numerical assumptions for a network-based IP VPN Service Provider offering..... | 19 | +| 7.22 A VPN solution may support the following service requirements ..... | 19 | +| 8 Framework architecture ..... | 20 | +| 8.1 Learning customer-site reachability information..... | 20 | +| 8.2 Distributing VPN reachability information ..... | 20 | +| 8.3 Constrained distribution of routing information..... | 20 | +| 8.4 LSP tunnelling establishment and usage ..... | 21 | +| 9 Approaches for support of network-based IP VPN services ..... | 21 | +| 9.1 BGP/MPLS VPN approach ..... | 21 | +| 9.2 Virtual Router approach..... | 22 | +| 9.2.1 Virtual Router ..... | 22 | +| 9.2.2 VR-based VPN architecture building blocks..... | 23 | +| 9.2.3 VR-based VPNs deployment scenarios..... | 23 | +| 9.2.4 VPN reachability determination ..... | 25 | +| 9.2.5 VPN membership and topology determination ..... | 26 | +| 9.2.6 Operations and management ..... | 26 | +| 9.2.7 Security considerations..... | 27 | +| 9.2.8 VPN Quality of Service..... | 27 | +| 9.2.9 Scalability ..... | 27 | +| 9.2.10 Hierarchical relationship between VR-based VPNs..... | 27 | +| 10 QoS approaches ..... | 31 | +| 10.1 "Point-to-Cloud" SLS ..... | 31 | +| 10.2 "Point-to-Point" SLS..... | 31 | +| 10.2.1 "Point-to-Point" SLS via resource allocation policies..... | 32 | +| 10.2.2 "Point-to-Point" SLS via resource allocation policies and additional mechanisms (explicit in-band admission control, constraint-based routing) | 32 | +| 10.3 "CoS transparency" ..... | 33 | + +| | Page | +|----------------------------------------------------------------------------------|-------------| +| 11 Inter-Autonomous System (Inter-Service Provider) VPN ..... | 34 | +| 12 Interworking..... | 34 | +| 12.1 Interworking between different solutions ..... | 34 | +| 12.1.1 Motivation for interworking among MPLS VPNs ..... | 34 | +| 12.1.2 Assumptions ..... | 35 | +| 12.1.3 Functional capabilities for interworking among MPLS VPNs..... | 36 | +| 12.2 Service interworking with other VPN architectures ..... | 38 | +| Annex A – MPLS VPNs over non-MPLS core network infrastructures ..... | 38 | +| Appendix I – Examples of service interworking with other VPN architectures ..... | 39 | +| Appendix II – Bibliography ..... | 41 | + +# ITU-T Recommendation Y.1311.1 + +# Network-based IP VPN over MPLS architecture + +# 1 Introduction + +A crucial need exists to specify mechanisms to support IP virtual private networks over MPLS networks. Furthermore, it is clear that Recommendations must describe and specify ways of developing interoperable implementations in order to allow end-to-end service delivery across multi-vendor service provider infrastructures. + +Service providers have urgent needs to deploy IP VPN services over MPLS infrastructure and they require carrier-class and fully interoperable implementations. + +# 2 Scope + +This Recommendation provides a general description of network-based IP VPN services and requirements including network architectures and interworking aspects between a set of possible approaches. + +The IP VPN service requirements and supporting network architectures are intended to provide input and guidelines for the definition of protocol enhancements which may be developed by the IETF and other standardization entities for the support of IP VPNs. + +Although this description primarily addresses MPLS-based networks, it is envisaged that some of these requirements may also apply to other IP-based network architectures using other technologies for the creation of network-based IP VPNs. Examples of these include GRE, IP within IP, IPSEC. + +Another Recommendation, ITU-T Y.1311, currently under development, will provide a generic architecture and service requirements for IP VPNs. + +# 3 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated are valid. All Recommendations and other references are subject to revision; all users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. + +## 3.1 Normative references + +- [1] ITU-T Y.1241 (2001), *Support of IP based services using IP transfer capabilities*. +- [2] ITU-T Y.1310 (2000), *Transport of IP over ATM in public networks*. + +## 3.2 Informative references + +- [3] IETF RFC 2764 (2000), *A Framework for IP Based Virtual Private Networks*. +- [4] IETF RFC 3031 (2001), *Multiprotocol Label Switching Architecture*. +- [5] IETF RFC 2547 (1999), *BGP/MPLS VPNs*. +- [6] IETF RFC 2917 (2000), *A Core MPLS IP VPN Architecture*. + +- [7] IETF RFC 2998 (2000), *A Framework for Integrated Services Operation over Diffserv Networks*. +- [8] IETF RFC 2475 (1998), *An Architecture for Differentiated Services*. +- [9] IEEE802.1Q (1998), *IEEE Standard for local and metropolitan area networks: virtual bridged local area network*. +- [10] ITU-T Y.1311 (Draft), *IP VPNs – Generic architecture and service requirements*. +- [11] ITU-T Y.iptc (Draft), *Traffic control and congestion control in IP networks*. +- [12] ITU-T Y.1720 (Draft), *Protection switching for MPLS networks*. + +# **4 Abbreviations** + +This Recommendation uses the following abbreviations: + +| | | +|--------|------------------------------------------------------| +| AAA | Authentication, Authorization and Accounting | +| ATM | Asynchronous Transfer Mode | +| BAS | Broadband Access Server | +| BGP | Border Gateway Protocol | +| CE | Customer Edge (device) | +| CHAP | Challenge Handshake Authentication Protocol | +| CoS | Class of Service | +| CR-LDP | Constraint-based Routing Label Distribution Protocol | +| DHCP | Dynamic Host Configuration Protocol | +| DLCI | Data Link Circuit Identifier | +| DNS | Domain Name Server | +| DS | Differentiated Services | +| DSCP | Differentiated Service Code Point | +| DSL | Digital Subscriber Line | +| DVMRP | Distance Vector Multicast Routing Protocol | +| EXP | MPLS Experimental Field | +| FR | Frame Relay | +| FTP | File Transfer Protocol | +| GRE | Generic Routing Encapsulation | +| HTTP | Hypertext Transfer Protocol | +| IETF | Internet Engineering Task Force | +| IGP | Interior Gateway Protocol | +| IP VPN | IP Virtual Private Network | +| IP | Internet Protocol | +| IPSEC | IP Security | +| ISDN | Integrated Services Digital Network | +| IS-IS | Intermediate System to Intermediate System | + +| | | +|--------|--------------------------------------------------| +| L2TP | Layer 2 Tunnelling Protocol | +| LDAP | Lightweight Directory Access Protocol | +| LSP | Label Switched Path | +| LSR | Label Switching Router | +| MD5 | Message Digest 5 | +| MIB | Management Information Base | +| MPLS | Multiprotocol Label Switching | +| NAS | Network Access Server | +| NAT | Network Address Translation | +| NNTP | Network News Transfer Protocol | +| OAM | Operations, Administration and Maintenance | +| OSPF | Open Shortest Path First | +| P | Provider (Core router) | +| PAP | Password Authentication Protocol | +| PE | Provider Edge (router) | +| PHB | Per Hop Behaviour | +| PHP | Penultimate Hop Popping | +| PIM | Protocol Independent Multicasting | +| POS | Packet Over Sonet/SDH | +| PPP | Point-to-Point Protocol | +| PSTN | Public Switched Telephone Network | +| QoS | Quality of Service | +| RADIUS | Remote Authentication Dial In User Service | +| RIP | Routing Information Protocol | +| RSVP | Resource Reservation Protocol | +| SLA | Service Level Agreement | +| SLS | Service Level Specification | +| SMTP | Simple Mail Transfer Protocol | +| SNMP | Simple Network Management Protocol | +| SP | Service Provider | +| TACACS | Terminal Access Controller Access Control System | +| TCI | Tag Control Information | +| TE | Traffic Engineering | +| TMN | Telecommunications Management Network | +| TOS | Type of Service | +| VCC | Virtual Channel Connection | +| VCI | Virtual Circuit Identifier | + +| | | +|--------|----------------------------| +| VLAN | Virtual Local Area Network | +| VoIP | Voice over IP | +| VPI | Virtual Path Identifier | +| VPN | Virtual Private Network | +| VPN-ID | VPN Identifier | +| VR | Virtual Router | + +# 5 Network-based IP VPN over MPLS reference model + +![Figure 1/Y.1311.1 – Network-based IP VPN over MPLS reference model. The diagram illustrates a network architecture where multiple customer sites (VPNs) are connected to a central Service Provider network. The central network consists of a Core layer with three providers (P1, P2, P3) and an Edge layer with three Provider Edge (PE) routers (PE1, PE2, PE3). The Core is labeled 'MPLS' and the Edge is labeled 'Edge layer'. The entire central network is labeled 'IP or MPLS'. Customer sites are represented by clouds with IP address ranges: VPN A/Site 1 (10.1.0.0/16), VPN A/Site 2 (10.2.0.0/16), VPN A/Site 3 (10.3.0.0/16), VPN B/Site 1 (10.1.0.0/16), VPN B/Site 2 (10.2.0.0/16), and VPN B/Site 3 (10.4.0.0/16). Each site is connected to the central network via a Customer Edge (CE) router (CEA1, CEA2, CEA3, CEB1, CEB2, CEB3). The connections between the CE routers and the PE routers are labeled 'IP or MPLS'. The connections between the PE routers and the Core are labeled 'MPLS'. The connections between the CE routers and the Core are labeled 'CPE layer'.](e9314c83043183351ed74908e9bf2f90_img.jpg) + +Figure 1/Y.1311.1 – Network-based IP VPN over MPLS reference model. The diagram illustrates a network architecture where multiple customer sites (VPNs) are connected to a central Service Provider network. The central network consists of a Core layer with three providers (P1, P2, P3) and an Edge layer with three Provider Edge (PE) routers (PE1, PE2, PE3). The Core is labeled 'MPLS' and the Edge is labeled 'Edge layer'. The entire central network is labeled 'IP or MPLS'. Customer sites are represented by clouds with IP address ranges: VPN A/Site 1 (10.1.0.0/16), VPN A/Site 2 (10.2.0.0/16), VPN A/Site 3 (10.3.0.0/16), VPN B/Site 1 (10.1.0.0/16), VPN B/Site 2 (10.2.0.0/16), and VPN B/Site 3 (10.4.0.0/16). Each site is connected to the central network via a Customer Edge (CE) router (CEA1, CEA2, CEA3, CEB1, CEB2, CEB3). The connections between the CE routers and the PE routers are labeled 'IP or MPLS'. The connections between the PE routers and the Core are labeled 'MPLS'. The connections between the CE routers and the Core are labeled 'CPE layer'. + +**Figure 1/Y.1311.1 – Network-based IP VPN over MPLS reference model** + +NOTE – Figure 1 uses IPv4 address network prefix notation. + +# 6 Service definition + +## 6.1 Functional definition of a "network-based IP VPN (over MPLS)" + +A network-based IP VPN provides a layer 3 service to customers. + +A customer site is connected to the Service Provider network-based IP VPN, and the IP VPN takes care of routing packets to the correct customer destination. With a network-based IP VPN, the + +provider edge routers are responsible for learning and distributing among themselves the customer layer 3 reachability information. + +Consider a set of "sites" which are attached to a common network which may be called the "backbone". If some policy is applied to create a number of subsets of that set with the following rule: two sites may have IP interconnectivity over that backbone only if at least one of these subsets contains them both. The resulting subsets are "Virtual Private Networks" (VPNs). Two sites have IP connectivity over the common backbone only if there is some VPN which contains them both. Two sites which have no VPN in common have no connectivity over that backbone. + +If all the sites in a VPN are owned by the same enterprise, the VPN is a corporate "intranet". If the various sites in a VPN are owned by different enterprises, the VPN is an "extranet". A site can be in more than one VPN, e.g. in an intranet and in several extranets. In general, the use of the term VPN does not distinguish between intranets and extranets. + +Consider the case in which the backbone is owned and operated by one or more Service Providers (SPs). The owners of the sites are the "customers" of the SPs. The policies that determine whether a particular collection of sites is a VPN are the policies of the customers. Some customers will want the implementation of these policies to be entirely the responsibility of the SP. Other customers may want to implement these policies themselves, or to share with the SP the responsibility for implementing these policies. + +The mechanisms that may be used to implement these policies are a primary focus of this Recommendation. The described mechanisms are general enough to allow these policies to be implemented either by the SP alone, or by a VPN customer together with the SP. Most of the discussion is focused on the former case, however. + +The case of interest here is where the common backbone offers an IP service. The focus is not on the case where the common backbone is part of the public Internet, but rather on the case where it is the backbone network of an SP or set of SPs with which the customer maintains contractual relationships. That is, the customer is explicitly purchasing VPN service from the SP, rather than purchasing Internet access from it. (The customer may or may not be purchasing Internet access from the same SP as well.) + +The customer itself may be a single enterprise, a set of enterprises needing an extranet, an Internet SP, an application SP, or even another SP which offers the same kind of VPN service to its own customers. + +## **6.2 Quantitative definition of a "network-based IP VPN (over MPLS)"** + +The dimensioning parameters characterizing a network-based IP VPN service offer can be expressed as the number of expected customers, the number of expected users/sites (permanent and temporary access) per customer, the total number of expected IP VPNs to be deployed (a site may have more than one VPN). + +# **7 Service requirements** + +A VPN solution should support the following service requirements: + +## **7.1 Multi-vendor interoperability** + +- Multi-vendor interoperability at network element, network and service levels. +- Support of Internet standards (including compatibility, modularity, backward compatibility, protocol extensions, etc.). + +- The solution should be multi-vendor interoperable within the SP network infrastructure and with the customer network equipment and services making usage of the VPN service offered by the SP. + +## 7.2 Service management capabilities + +Management functions are usually distributed according to the TMN model which identifies four macroscopic management layers (business, service, network and elements management). + +In case of VPN management, which evolves in this model, setting up the VPN and managing the deployed devices requires taking care of three main aspects: + +- connectivity: configuring, provisioning and managing the devices, especially when topology can change; +- network monitoring (particularly performance and capacity monitoring) in order to meter resources usage and to anticipate scalability problems; +- security: authentication, authorization and overall policies (including security risks introduced by policy inconsistency). + +Some examples of service management capabilities: + +- per VPN and per device MIB availability; +- per VPN fault management (e.g. core network failures); +- per VPN SLA management; +- per VPN policy profiles management; +- per VPN security profiles management; +- management of various customer site connectivity scenarios; +- management of various topologies; +- management of various service deployment scenarios; +- management of various types of customer IP traffic (IPv4, IPv6, unicast, multicast, etc.); +- per VPN configuration should not impact other sites/VPNs; + - addition/Deletion of a site should not involve changing configuration on PEs other than the PE the site is connected to; + - addition/Deletion of a site of a given VPN should have no negative impact on other VPNs, including VPNs whose site(s) are connected to the same PE as the site that has been added/deleted. + +Automated operations and interoperability with standard management platforms should be pursued. + +NOTE – The specification of a management information base (MIB) describing the detailed configuration of network elements involved in the provisioning of VPN services is a key requirement in network provisioning, but will not be handled within the scope of this Recommendation. + +In order to facilitate the service management, a logical view of the network indicating VPN topology above the backbone topology is useful. It can be used for provisioning and verification of connectivity, verification of configuration/privacy, fault management and performance management. + +### 7.2.1 Network connectivity + +Following the VPN growth, new devices must be configured according to service templates defined by the provider and such a task is quite repetitive. The management system could centralize such a process to guarantee coherence of parameters and accelerate deployment by automating configuration. + +As VPN configuration and topology is highly dependent on the customer's organization, provisioning templates have to apply to the customer's specific requirements (remote accesses, security policy, QoS). The management system could rely on centralized information to get all needed parameters for optimal adaptation of templates to specific needs. It could even assure some path optimization in routing tables. + +Such a system may increase the network reactivity in case of failure or policy violation. It can reduce provisioning delay in case of current VPN configuration requested by the customer (add, modify, delete), which can be a very heavy task in terms of routing tables update. + +In a multi-domain environment, the end-to-end QoS depends on the QoS provided by each domain. In case of a VPN spanning across two domains, QoS provisioning may reach its limit and such a problem seems difficult to solve. + +#### **7.2.1.1 Verification of the connectivity** + +It is desirable that a capability to verify the connectivity between user sites within a VPN is provided. If a logical view of a VPN is provided and the result of this verification is shown in this view, the operator can understand the result easily. + +#### **7.2.1.2 Verification of configuration and privacy** + +It is desirable that a capability to verify the configuration and privacy of a VPN is provided. Privacy here means that the VPN cannot be accessed from outside of this VPN. If a logical view of a VPN is provided, and the result of this verification is shown in this view, the operator can understand the result easily. + +### **7.2.2 Service monitoring** + +Network monitoring in the VPN perspective includes the classical items such as fault management, service level management and accounting. + +#### **7.2.2.1 Fault management** + +As VPNs rely on a common network infrastructure, the network management system should provide means to inform the provider on the consequences of a device failure for the VPNs it supported. The NM should provide a logical view of the network indicating VPN topology above the backbone topology. It should provide pointers to the related configuration and customer's requirement information so as to ease fault isolation and take corrective action as impact on traffic engineering and security considerations may be important. + +To summarize, fault management includes: + +- customers information of failures; +- faults detection (incidents reports, alarms, failures visualization, SLA violation); +- faults localization (analysis of alarms reports, diagnosis); +- incidents recording, logs (creation and following of the trouble ticket); +- corrective actions (traffic, routing, resources, etc.). + +#### **7.2.2.2 Performance management** + +The performance management system should be able to monitor network behaviour in order to evaluate performance metrics that form part of the service level agreements. Multiple different VPN services are subscribed by the customers and the system should be able to deploy specific measurement techniques depending on the activated service components (security, multicast, remote access). These techniques may be either intrusive or non-intrusive depending on the parameters or service being considered. + +QoS deployment and SLA monitoring may be coupled by monitoring policies that: + +- describe QoS mechanisms and the associated metrics that should be activated; +- control monitoring resources such as probes and remote agents. + +Remote agents may be a key to the network monitoring as it allows the collection of statistics directly at the network access points used by customers and mobile users. A logical view of the network indicating the VPN topology helps operators to understand the result of the performance management activities. + +To summarize, performance management includes: + +- real time performance measurements (indicators and thresholds initialization and modification, data collection); +- real time monitoring (resources utilization), VPN status (up/down); +- analysis (bandwidth, response time, availability, packet loss); +- statistics and trends based on collected metrics. + +Additionally, the performance management system should have a "Dynamic bandwidth management" capability: + +- Dynamic bandwidth management should allow real time response to customer requests for changes of allocated bandwidth (control plane should be flexible to accommodate real time changes). + +Performances (e.g. bandwidth allocation) should be traceable. + +NOTE – Dynamic bandwidth allocation would normally occur within the ranges and bounds specified in the Service Level Agreement (SLA), possibly using internal SP mechanisms to check appropriate allocation. + +#### **7.2.2.3 Accounting** + +Being able to associate service profiles to customers, and to the resources providing these services may facilitate accounting which can be a key feature of subscribed services. The accounting system has to be able to sort among the huge amount of usage information and correlate this information to performance and fault management information to produce billing according to the real provided service. It should be noted that accounting requirements may conflict with security requirements. + +To summarize, accounting process includes: + +- measurements of resources utilization; +- production of accounting information; +- measurement storage (files creation and administration); +- quotas control per customer (current consumption update, consumption authorizations checking). + +### **7.2.3 Security management features** + +The security management system of a VPN solution must include features to guarantee the security of network connections, the privacy and integrity of data. + +#### **7.2.3.1 Access control** + +Access control dictates the amount of freedom a VPN user has, and controls the access of other users to applications and different parts of the network. + +A VPN without access control only protects the security of the transported data but not the network. Access control capabilities protect the entire network to ensure that VPN users have complete access to the applications, but only to these resources. + +In case of negotiated customer bandwidth, the access control at network level should ensure that each customer doesn't violate his contract. + +#### **7.2.3.2 Authentication** + +Authentication is the process of verifying that the sender is actually who he says he is. The security management system should enforce authentication. + +Support for strong authentication schemes is particularly important to ensure the privacy of both VPN access point-to-VPN access point (PE-to-PE) and client-to-VPN Access point (CPE-to-PE) communications. This is particularly important to prevent VPN access point spoofing (e.g. PE fake to enter a specific, or a set of, VPN(s)) in the presence of auto-discovery mechanisms. + +Nomadic access implying dynamic evolution of PEs serving a specific VPN is another situation which requires such authentication schemes in the presence of autodiscovery mechanisms. A variety of authentication methods are available to meet the needs of particular VPN deployments, including username/password authentication, RADIUS or TACACS servers, LDAP directory servers, X.509 digital certificates, smart cards, etc. + +Scalability is critical when the number of nomadic/mobile clients is increasing. The authentication scheme implemented for such deployments must be both manageable and easily deployed for large numbers of users and VPN access points. + +#### **7.2.3.3 Data privacy** + +A VPN solution should protect the privacy of the data being transmitted. The security management system could participate in the enforcement of the data privacy. + +Data privacy could be provided by encryption or by other mechanisms, e.g. data separation. + +The solution may support multiple encryption algorithms and encryption schemes, including DES, 3DES, and the IPSec standards. Encryption, decryption, and key management could be included in profiles that may be enforced by a policy-based management system. It should be possible to activate encryption on specific services. + +#### **7.2.3.4 Dynamic advertisement of security information** + +The capability to dynamically advertise the security mechanisms to be applied to some specified user data traffic (per VPN, per route, etc.) would be a helpful management feature. This functionality should be provided in a scalable manner. + +The automatic communication of security information related to a certain part of the data traffic would be an added value to the VPN deployment model. This would mean that a PE device that peers with a certain customer site, would announce to its peer PE devices the security information (e.g. tunnel type) related to the traffic to be sent to the considered site. + +This announced security information could be associated to all the VPN traffic sent to the announcing PE, to the traffic sent to a specific VPN, or to the traffic sent to a specific VPN route. + +### **7.2.4 SLA and QoS management features** + +Service Level Agreements, per VPN and/or per VPN site, and/or per VPN route should include [1]: + +- Service Level Objectives comprising some or all of: + - IP Transfer Capability; + - QoS parameters; + - Availability; + - Reliability; + - Delivery confirmation; + +- Mobility and Portability support; +- Security; +- Bandwidth; +- Priority; +- Authentication; +- Protocols supported; +- Flexibility – scaling and connectivity; +- Life of the SLA. +- Service monitoring objectives: + - QoS monitoring – comparison against objectives; + - Flow tracking; + - Reports as necessary. +- Financial compensation objectives: + - Billing option; + - Penalties; + - Pricing; + - Early termination charges. + +NOTE – General SLA requirements are more fully described in ITU-T Y.1241 [1]. + +The Service Level Specification is a part of the more general Service Level Agreement. A Service Level Specification captures the transport properties required by the customer for a correlated set of packets between specified ingress and egress interface(s) to the VPN. + +A VPN customer should be able to negotiate the performance characteristics of one or more flows between its VPN sites with the VPN Service Provider. + +The following lists a number of conditions which should be met by a SLS negotiation procedure. + +The SLS negotiation procedure must allow for: + +- Original service requests, according to the components of the specified SLS. +- Service acknowledgement, indicating agreement with the requested service level. +- Service rejection but indicating the possibility of offering a closely related service (or indication of alternative DSCP to use for a particular service). The reply message may indicate the related offering by overwriting the proposed SLS attributes (hints). +- Service rejection indicating the incapability of providing the service. +- Service modification from both user and SP. +- The negotiation procedure should be able to interact with feedback of events related to the service. For example performance degradation may result in renegotiation of the SLS. + +More details regarding possible parameters that constitute the SLS are given in 7.4. + +## **7.3 Security functions** + +### **7.3.1 Introduction** + +Security mechanisms deployed to support the IP VPN service offer should be as transparent as possible for the end-user except maybe for remote end-users accessing the IP VPN through ISDN, PSTN, xDSL or Internet for which AAA services may have to be deployed. + +Users of an IP VPN should be able, and allowed to, deploy their own internal security mechanisms, in addition to those deployed by the Service Provider, in order to secure specific applications or internal IP VPN traffic. Those internal security services should ideally have to conform to operator requirements, especially when Quality of Service SLA has been contracted between the customer and the SP. In such a case, the security solution deployed by the customer should not hide information used by the SP to set up Quality of Service features. Generally, the constraint for the SP, in accordance with the privacy feature of the IP VPN, is to ensure, as far as possible, that internal security mechanisms which could be deployed within an IP VPN have a good chance to be transparently supported by the IP VPN service offer. + +The IP VPN will generally be secured according to the customer's requirements in order to enforce the privacy characteristic of his IP VPN. This implies that the SP shall, in particular, ensure that: + +- Every equipment (e.g. router) involved in the set up of an IP VPN shall be able to identify and authenticate each other so that the traffic exchanged within the scope of an IP VPN can be routed. Depending on the nature of this traffic, and the nature of the equipment involved to process it, this identification and authentication would have to be achieved between CEs, and/or between CEs and PE/P routers, and/or between PE/P routers. +- Privacy services shall be provided and integrated as a service element by the operator. Confidentiality and integrity services shall apply to: + - either, all IP VPN traffic exchanged above the IP backbone between the different sites; + - or, some limited IP VPN traffic identified by a combination of source and/or destination IP addresses and/ or protocols and/or applications (e.g. PE-PE security, per-route security, etc.); + - administration traffic since this latter can contain sensitive information related to IP VPN configuration, users, security, accounting. +- Isolation of each IP VPN shall be strictly ensured and the operator shall at least have some visibility on intrusion attempts in order to stop those intrusions. +- In the same way, access to the various equipment deployed to support the IP VPN service shall be strongly secured in order to prevent unauthorized users to access the IP VPN resources. In particular, the access to the (switching) resources which are managed by the SP will have to be secured to prevent any kind of malicious attack, that may well come from any kind of hacker (Internet users or others). +- The security service elements offered should be flexible in order to accommodate the fact that some data may require stronger protection than other data. + +The following security functions should be considered in an IP VPN service offering: + +- isolation; +- user identification; +- user authentication; +- security of the flow; +- peer identification; +- peer authentication; +- site protection. + +These functions are described hereafter. + +### 7.3.2 VPN isolation + +From the service provider perspective, and at a high level of description, the VPN isolation function consists in ensuring that all traffic exchanged within the scope of an IP VPN remains unknown and protected from other users of the backbone, and insensitive with regard to traffic transported over the supporting IP backbone. + +From this perspective, the service provider shall ensure, when deploying the service, that it conforms to the following characteristics: + +- Only a set of predefined users can access the IP VPN. +- QoS SLA shall be guaranteed whatever the state of the traffic experienced in the supporting IP backbone and especially when this traffic is generated by other customers within or outside the scope of the IP VPN service. +- IP connectivity shall be deployed in such a way that only recorded IP VPN sites, and registered remote users, can exchange traffic within the IP VPN. This may lead peer equipment to identify/authenticate each other at different level of the IP VPN service. +- Traffic exchanged might be secured thanks to encryption and/or authentication functions. +- IP VPN management functions shall not impact other IP VPN or services. + +This isolation function is achieved by application of a combination of functions related to architecture, Quality of Service, security and administration functional domains. This set of functions, correctly deployed, constitutes a generic function called "VPN isolation". This function is nevertheless classified within the security domain due to the strong implication of security features in the realization of such a global isolation function. + +### 7.3.3 VPN user identification + +Among users of IP VPN can be found travelling people who are not permanently attached to one of the sites of the IP VPN. In order to control the access of those users to the IP VPN, it is necessary to identify them. This identification shall apply within the various deployment contexts which have been identified (intranet, extranet, etc.), keeping in mind that some of these users can have an access to several distinct IP VPNs. This identification function can be used to automate or trigger all technical actions which are necessary to establish the communication with the IP VPN the user wishes to connect to. + +Two main identification contexts have to be considered: + +- Identification in case of "mobility", whether it is an intra-site or inter-site mobility. +- Identification when the user tries to reach his IP VPN from a public or private access point through a NAS/BAS server, or even from a network having an Internet access to which he has a temporary access. + +This function can be implemented by the IP VPN service provider either in totality, or partially. Roaming capabilities would probably have to be set up between the provider and the customer, who might well decide to perform the IP VPN user identification in the case where he does not accept to outsource the identification/authentication service. In fact, this identification will be used by the access service provider who needs to identify the user to provide the IP connectivity, and by the IP VPN user identification service in order to accept the IP VPN connection. The two mechanisms can be linked. + +In this case, the access provider and the IP VPN service provider resources have to cooperate and an agreement has to be reached on common identification specification. + +All information necessary to identify the users will have to be stored and should ideally be maintained by the customer. This information should be made available to the access provider for controlling the IP access. + +### 7.3.4 VPN user authentication + +The scope of this authentication function is the same as that above and concerns users in a remote access situation. This authentication function will consist in ensuring, with a good level of confidence, that the declared user is the one he/she is claiming to be. + +Various authentication protocols might be used for that purpose depending on the level of security wished by the customer, but at least PAP, CHAP and challenged mechanisms should be supported since they are currently widely used in a large range of equipment and services. + +This authentication function may be executed completely or partially by the IP VPN service provider. In the latter case, the authentication phase can be relayed to the customer access point according to the terms of the contract. + +### 7.3.5 Securing the flows + +Within the present context, which consists in deploying a VPN over a public IP backbone (which is part of the Internet), the sole routing functions are not sufficient to secure the flows of a given customer. As a matter of fact, even if the flows are correctly routed between the sites (including remote users), the corresponding traffic might be intercepted and consequently read or altered. + +Securing the flows should be enforced at the network layer to ensure the two main characteristics: + +- Privacy of the traffic, so that only authorized equipment can decrypt it. +- Integrity, to protect recipients from alteration which could have been introduced during the transport. + +These two functions shall apply to, what is called here, the "data traffic" of the customer which includes the traffic exchanged between sites, between remote users and sites and even between remote users. But it shall also apply to "control traffic", which is not necessarily perceived by the customer but which is, nevertheless, essential to maintain his IP VPN. + +Even if it is strongly recommended to deploy those functions in an operational context, these functions shall not be considered as mandatory and should be activated only if requested by the customer. Also, those functions should be as flexible as possible so that they can be deployed independently from each other and applied to some part of the traffic (security level may differ depending the traffic which is considered, performance considerations may also lead to secure a subset of the traffic). + +### 7.3.6 Peer identification + +Traffic exchanged within the scope of IP VPN may involve several categories of equipment that need to cooperate together to provide the service. These network elements can be CE, firewalls, backbone routers, servers, management stations, etc. + +Each time two network elements need to cooperate, it is necessary for the peer to proceed to an identification (enforced by an authentication if needed, see below) before accepting to process the received traffic, or to provide the requested service. This identification can be used as a trigger to adapt the way the service will be provided but, in most cases, to control the access to the network resources. + +This peer identification function is intended here to apply only to network elements participating in the IP VPN setup. All identification needs related to users' applications, are not included here. + +Examples of such peer identification could apply to: + +- traffic between a CE and a service provider access point (P/PE access point); +- traffic between CEs belonging to the same IP VPN; +- routers dealing with route announcement (these routers could be a CE and P/PE router or two CEs exchanging routing information); + +- policy server and a network element; +- management station and an SNMP agent. + +This identification function shall not be considered as an atomic function since, generally, it is distributed and probably implemented differently depending on network elements which are considered. But globally, the IP VPN service shall provide a peer identification function in defining, where it is necessary, how it shall be implemented, how secure it shall be, and the way to deploy and maintain identification information necessary to operate the service. + +### **7.3.7 Peer authentication** + +This function is the prolongation, in security terms, of the above function. It aims at authenticating the peer, following the same philosophy adopted for user identification and authentication. + +### **7.3.8 Site protection** + +As we saw before, a site might be involved in various ways within the scope of IP VPN. It can be part of an IP VPN deployed to support an Intranet (in that case he is interconnected with sites belonging to the same company), part of an IP VPN deployed between different companies to support an extranet, or both. + +Within this context, a site might be subject to various attacks coming from different sources. These potential sources are: + +- users connected to the supporting public IP backbone, since by definition an IP VPN is built over a public and shared IP infrastructure; +- users from the Internet, if the IP backbone offers an Internet access; +- users from remote sites belonging to the same IP VPN. + +Risks that a site may encounter are the following: + +- service denial (when a hacker acts in such a way that a service cannot be used: mail spamming and access line overloading for instance.); +- viruses. + +#### **Intrusions** + +In order to prevent these risks, the IP VPN service provider shall deploy functions that control access to the site, thanks to the deployment of filtering functions provided by firewall for instance, but also in monitoring, alerting and eventually logging all suspicious activities in order to detect all possible attacks. + +## **7.4 Support of various Quality of Service requirements** + +The technical specification of the corresponding traffic parameters and QoS commitments are referred to as the "Service Level Specification" (SLS). + +- SLS for Best-effort. +- SLS for DiffServ models: + - Point-to-Cloud SLS (Hose model) + +The solution should support a "point-to-cloud" SLS. This means that the traffic parameters as well as the QoS commitment are specified on the basis of traffic exchanged between a VPN Site and the MPLS VPN Backbone (as opposed to on the basis of traffic exchanged between two VPN Sites). This is also referred to as the "Hose" model. An MPLS VPN SLS which defines compliance to the traffic contract by measurement of all the packets transmitted from a given VPN Site towards the MPLS VPN backbone on an aggregate basis (i.e. regardless of the destination MPLS VPN Site of each packet) is an example of "point-to-cloud" SLS. + +### - Point-to-Point SLS (Pipe model) + +The solution should support a "point-to-point" SLS. This means that the traffic parameters as well as the QoS commitment are specified on the basis of traffic exchanged between two VPN Sites. This is also referred to as the "Pipe" model. "Point-to-point" SLSs are analogous to the SLS typically supported over layer 2 technologies such as Frame Relay and ATM. An MPLS VPN SLS which defines compliance to the traffic contract by separate measurement of the packets transmitted from a given VPN Site towards each remote destination VPN Site is an example of "point-to-point" SLS. + +### - Point-to-Multisite SLS and Multisite-to-Point SLS + +The solution should support a "point-to-multisite" SLS and a "multisite-to-point" SLS. This means that the traffic parameters as well as the QoS commitment are specified on the basis of traffic exchanged between a VPN Site and a subset of the other VPN sites. + +### - CoS transparency + +The solution should support "CoS transparency". This means that the public MPLS VPN service should be able to set the IP DS field at the egress of the MPLS VPN to the same value as it was on the ingress of the MPLS VPN service. Rationale for such requirement is provided in 10.3. + +- SLS for IntServ model. +- Per VPN (measurable) SLAs. + +General SLA requirements for IP-based networks are described in ITU-T Y.1241 [1]. Some of these SLA components may be applicable for IP VPNs. + +- Strict QoS (guaranteed bandwidth VPN). +- QoS support in more complex scenarios: + - Mapping of QoS Class between VPNs in case of VPN interworking. + - Mapping of QoS Class in case of Inter-Provider VPNs. + +The following describes which SLS parameters should be specified to enable the SP to support the defined VPN SLS types. The correlated set of packets is denoted as flow. The means by which packets are correlated to be part of a flow are described in the "Flow Descriptor". + +The service to be guaranteed to the flow over the VPN is bound by the scope of the service, indicating the set of ingress and egress interfaces between which the transport properties are to be guaranteed. + +In order to achieve the guaranteed transport properties, the flow should adhere to the traffic conformance parameters. Conforming traffic will receive performance guarantees as contracted. Traffic exceeding the traffic conformance test will receive an excess treatment. + +The transport service can further be associated with service schedule, and service reliability parameters. + +More detailed information can be found via references in Appendix II. + +## **7.5 Support of various routing protocols (at edge and core levels of the SP network)** + +- There should be no restriction on the routing protocols used between CE and PE routers. +- The choice of Service Provider's IGP must not depend on the routing protocol(s) used between PE and CE routers. Furthermore, that choice should be flexible, not limited to a single routing protocol. + +## **7.6 Scalable routing capabilities** + +- The amount of routing and/or scheduling state in a P router must be independent of the total number of VPNs supported by a Service Provider, and of the number of VPN sites. In some specific scenarios, a trade-off introducing a limited amount of routing and/or scheduling state in a P router could be considered in order to provide additional capabilities, or value-add for the SP (e.g. multicast inside a VPN). +- The amount of routing (and/or configuration) information on PE may depend only on the VPNs whose site(s) are connected to that PE. +- The solution should support filtering of VPN routing information in the PE-to-PE and CE-to-PE configurations. + +## **7.7 Auto-discovery** + +The solution should support an auto-discovery mechanism that dynamically conveys VPN information between PEs. This mechanism can be used for different purposes, primarily for service scalability purposes (one example based on BGP is provided via references in Appendix II). + +## **7.8 Support of various types of customer IP traffic** + +- Unicast; +- Multicast; +- The solution should be able (easily extendable) to enable a service provider, having an IPv4 or an IPv6 backbone, to provide both IPv4 and IPv6 VPNs to its customers. + +## **7.9 Support of various VPN topologies** + +- The solution should support a wide range of inter-site connectivity ranging from hub-and-spoke to partial mesh and full mesh. + +## **7.10 Support of various customer access scenarios** + +- Permanent and temporary access: + - multi-homing; + - backdoor links; + - dial-in. +- Support of customer access right outsourcing feature (the management system could rely on centralized information to get all needed parameters for optimal adaptation of templates to specific needs. This could reduce provisioning delay in case of current VPN configuration requested by the customer (add, modify, delete), which can be a very heavy task in terms of access tables update). + +## **7.11 CE access to PE** + +The solution should support various access technologies: PSTN, ISDN, xDSL, cable modem, Leased Lines, ATM, Frame Relay, Wireless local loop, mobile radio access, etc. (a wide range of bandwidth should be supported, according to the specific technology in use). + +## **7.12 Addressing requirements and support of various IP numbering schemes** + +- The solution must allow VPN address overlapping: IP addresses have to be unique only within a given VPN, but not across VPNs. +- The solution should minimize the usage of IP addresses. + +- The solution should not preclude NAT. +- Support of customer IP numbering schemes (private, globally unique, no scheme), (on-demand) support of a dynamic IP address allocation mechanism, support of an IP numbering outsourcing feature. (Support of customer IP numbering outsourcing feature: the management system could rely on centralized information to get all needed parameters for optimal IP numbering allocation. Such a system could increase the network flexibility in case of growth. This could reduce provisioning delay in case of current VPN configuration requested by the customer (add, modify, delete), which can be a very heavy task in terms of routing tables update. It could even allow cost-effective IP numbering resource optimization.) +- A unique identifier for the VPN (as well as further identifiers, such as for VPN tunnels) might be appropriate in specific scenarios. + +## **7.13 Support of various service deployment scenarios** + +- Multiple VPNs per customer site. +- VPN service coupled with Internet access per customer site. +- The solution must support connectivity among sites belonging to the same or different organizations (Intranet/Extranet). +- Inter-AS VPN. +- Inter-Provider VPN (the solution must allow VPN to span multiple Service Providers). +- Carrier or carriers (one scenario being hierarchical VPNs). + +## **7.14 Support of alliances of VPNs** + +NOTE – The "VPN alliance" terminology may be reviewed further. + +Network management, signalling and routing protocols shall support/enable: + +- the (easy) initial formation of a VPN alliance; +- the (easy) joining of a new alliance member VPN; +- the (easy) quitting of an alliance member VPN; +- the (easy) termination of the entire VPN alliance. + +Any VPN may become member of a VPN alliance. + +While the alliance exists, there may eventually be different degrees of confidentiality with respect to intra-alliance and inter-alliance member communication. + +Solutions shall take into account items such as: + +- failing connectivity that causes partitions of the VPN alliance; +- use of different VPN approaches internally by the alliance member VPNs; +- use of different approaches for interconnecting the alliance member VPNs; +- use of different routing and signalling protocols internally by the alliance member VPNs; +- using private addressing within alliance member VPNs. + +It is expected that the possible usage of a VPN unique identifier for one particular alliance member VPN might play a role for identifying routes/tunnels, at least between different VPNs (that member may be called the VPN alliance leader). + +## **7.15 The solution should allow outsourcing of IP services (e.g. DNS, DHCP)** + +- The solution should allow the packaging of additional IP services provided by the VPN Service Provider itself, or by a third party service provider, for services such as DNS, FTP, HTTP, NNTP, SMTP, LDAP, VoIP, Videoconferencing, Application sharing, Streaming, E-commerce, and other services like backup. +- The solution should allow the outsourcing of IP services. (The management system could rely on centralized information to get all needed parameters for optimal adaptation of IP services to specific needs. This could reduce provisioning delay in case of new version or VPN configuration requested by the customer (add, modify, delete). It could even allow cost-effective resource optimization by offering services to a large range of customers.) + +## **7.16 Reliability and fault tolerance** + +It is required to provide high reliability on the network to construct a VPN on the public network which satisfies the same quality as on leased lines. + +Survivability techniques, such as protection switching or restoration, are necessary for fast recovery from failure to enhance the reliability of the VPN. + +Requirements for protection switching are as follows: + +- Fault management, such as fault detection (see 7.2.2.1). +- Both routing and resources are pre-calculated and allocated to a dedicated protection entity prior to failure to offer a strong guaranty of being able to re-build the required network resources post-failure. +- Fast recovery time. +- More general framework for protection switching for MPLS networks is provided in [12]. + +## **7.17 Efficiency (customer and network resource utilization)** + +- Service Provider network Traffic Engineering. +- Per VPN Traffic Engineering. + +Traffic Engineering is a key technology for carrier IP networks to control and optimize the networks in general. Traffic Engineering provides optimization of network resources in order to satisfy performance objectives of application services, these are performed taking into account the specific network characteristics which may impact service level objectives. + +Particularly, this applies to the provider provisioned IP VPN application service. Indeed, Traffic Engineering could contribute to provide resource and admission control for VPNs. In case of such usage, Traffic Engineering might check whether the requested service for new VPNs can be provided without deteriorating the previously installed VPNs with respect to QoS performance. + +Traffic Engineering also plays an important role in modifying and adjusting resources for existing and new VPNs, according to the demands of customers and the needs of the service providers. + +## **7.18 No dependency on the physical or link layer of the Service Provider backbone** + +MPLS is a technology which can be applicable to various physical layers or data link layers, such as SDH (Packet over SONET using PPP-framing), ATM, Frame Relay, Ethernet, etc. It is desirable that the functions provided on MPLS-based VPNs, such as QoS Control, OAM functionality are available irrespective of any physical layer or data link layer. + +## **7.19 (Economically and technically) smooth migration of customers from pre-existing VPN service offerings** + +- The solution should allow migration of customers without heavy disruption of service. +- The solution should enable various customer migration scenarios e.g. "Partial migration" scenario: migration of some sites of a given VPN to a network-based IP VPN ensuring service continuity with the other legacy-VPN sites of this VPN. + +## **7.20 Support of interworking functions between MPLS-based VPN technology and other VPN technologies** + +The requirement of the data plane for the interworking nodes is: + +- Mapping of all the relevant information from one underlying VPN transport technology to the other underlying VPN transport technology. + +(A way for the information mapping is using encapsulation: there are various network-based VPN technologies and, in each technology, packets are encapsulated by the header which is specific to the technology. An identifier in the encapsulation header is used to separate the connection of the VPN user from connections of other VPN users in the network, and thus the end-to-end data integrity is maintained. The encapsulation header also has a field which presents the QoS class, and each node on the connection carries out the QoS control by seeing this field.) + +Other requirements for the data plane are for further study. + +In some cases (e.g. VPNs based on different technologies), requirements shown below may be taken into account: + +- Interworking of signalling protocol which is used by each VPN technology between MPLS-based VPN and other VPN technologies (this requirement may be also applied to interworking between one MPLS-based VPN and another MPLS-based VPN in which different signalling protocols are used). +- Exchanging the routing information between MPLS-based VPN and other VPN technologies. + +## **7.21 Some numerical assumptions for a network-based IP VPN Service Provider offering** + +- Very large number (e.g. up to 10 000 000) of VPNs per Service Provider. +- Wide range of number of sites per customer (depending on size or structure of the customer organization): ranging from few sites to 10 000 sites per VPN per customer. +- Wide range of number of routes per VPN: ranging from few to 100 000 routes per VPN (this number may be limited by the choice of the routing protocol between CE and PE). +- More than one VPN per site should be possible. +- High values (to be estimated) of the frequency of configuration set-up and change should be supported (ex. real time provisioning of an on-demand videoconferencing VPN). + +## **7.22 A VPN solution may support the following service requirements** + +- Support of other service deployment scenarios: + - VPN over CE-to-CE MPLS. + +# **8 Framework architecture** + +The basic VPN network model is that the Customer Edge (CE) devices are connected to the Provider Edge (PE) routers. The connection must provide direct IP connectivity (one IP hop) between the CE devices and the PE routers. A CE device may be connected to a PE router via any type of data link (e.g. an ATM VCC, Frame Relay circuit, Ethernet, POS, L2TP session, GRE or IPSEC tunnel etc.). + +If a particular site has a single host, that host may be the CE device. If a particular site has a single IP subnet, the CE device may be a switch. In general, the CE device can be expected to be a router, which we call the CE router. The PE routers learn the IP addresses reachable at each customer site and distribute this information amongst themselves. The PE routers also establish and maintain tunnels of some sort between themselves that are used for forwarding VPN data traffic across the SP backbone. For the purpose of this Recommendation the tunnels are LSPs. Routers in the SP backbone that do not maintain any VPN state are termed P routers. + +The following distinct areas can be identified, and these are discussed below: + +- learning customer-site reachability information; +- distributing VPN reachability information; +- constrained distribution of routing information; +- LSP tunnel establishment and usage. + +## **8.1 Learning customer-site reachability information** + +Mechanisms are needed to allow a PE router to discover the set of IP addresses reachable via a link to a directly connected CE device, and to allow a CE router to discover the set of IP addresses in other sites of the VPN to which the CE device is attached. These mechanisms include: + +- running a routing protocol (e.g. RIP, OSPF or BGP); +- use of static configuration; +- tracking dynamic address assignments if DHCP or PPP is used. + +There is a wide range of options with respect to the amount of routing information that a CE router receives from its directly connected PE router. At one end of the spectrum the PE router may just advertise a single route, default, to the CE router. At the other end of the spectrum the PE router may advertise all the routes it received from other sites. + +## **8.2 Distributing VPN reachability information** + +When a PE router has determined the set of destinations reachable via its directly connected CE device for a VPN, it must then distribute this information towards other PE routers that have customer sites attached for that VPN. + +The mechanisms available to do this are: + +- run an instance of a routing protocol for that VPN – the virtual router (VR) approach. The VR approach is discussed in more detail in 9.2. +- piggyback the VPN reachability information on a backbone BGP. An approach using BGP is described in 9.1. + +NOTE – In theory one could piggyback this information on an IGP, however, the scalability considerations make this option non-viable. + +## **8.3 Constrained distribution of routing information** + +To meet the specified scalability goals, a PE router should be able to maintain just the routes for the VPNs whose sites are directly connected to that PE router. That, in turn, requires the ability to constrain the distribution of VPN routing information. + +When a PE router learns reachability information for a locally attached VPN customer site, this information must be distributed (subject to route filtering and/or route aggregation) to other PE routers that also have customer sites attached to the VPN. One element of a VPN solution is how, on a per VPN basis, each PE router determines a set of other routers to which it must distribute this reachability information. + +The mechanism used by BGP/MPLS VPN (see 9.1) is route filtering based on the BGP community attribute. More details can be obtained from [5]. + +Possible mechanisms used by the Virtual Router approach to determine the set of other routers that are treated as routing peers are: + +- use of a directory which PE routers query; +- explicit configuration via configuration management; +- multicast approach; +- piggybacking the information in a routing protocol used by the provider backbone (e.g. BGP). + +Another consideration is inter-site connectivity. It could range from a full mesh to a hub-and-spoke, or anything in between (e.g. partial mesh). + +Yet another consideration is that a link between a PE router and a CE device could be either established "on-demand", or could be relatively permanent. An example of an "on-demand" link would be a PPP session, where RADIUS could be used to associate the CE device with a particular VPN. + +In the Virtual Router approach, for a given VPN, determining the set of PE routers that have CE devices in that VPN is known as determining VPN membership. Also in this approach, one needs to construct a per VPN topology. The mechanism for constructing such a topology may be distinct from the mechanism used to actually distribute the reachability information between PE routers. For example, any of the mechanisms listed above can be used for this purpose. + +## **8.4 LSP tunnelling establishment and usage** + +An important aspect of the LSP tunnelling is whether an LSP is used to provide transport for a single VPN, or whether it is used to carry traffic for multiple VPNs. This is usually a trade-off between the extra resources needed to establish and maintain VPN-specific tunnels, against the fine-grained QoS control and any other advantages which may be obtained with dedicated LSPs. + +Another aspect of the LSP tunnelling is that the LSP tunnels form a network by themselves, i.e. LSP tunnels may be built to offer various topologies (from hub and spoke, to partial mesh and full mesh). Topology choices may depend on the different customer and SP requirements, such as supporting alternative ingress to egress paths, minimizing the number of tunnels to be managed and maintained. Different algorithms are available for determining tunnel topologies. Additional references can be found in Appendix II. + +# **9 Approaches for support of network-based IP VPN services** + +## **9.1 BGP/MPLS VPN approach** + +The approach described in this clause is described in [5]. + +This approach includes: + +- Non-disruptive service configuration in the event of addition/deletion of new sites or extranet partners. +- Optimal use of LDP for setting up label switched paths with minimal configuration. + +- Providing Internet access to customers when they have a single data link layer between them and the PE router, and the data link layer cannot support multiple logical IP addresses. +- Support for backdoor links between sites in specific configurations. +- Use of hub and spoke topology to build a management network. +- The interaction in the PE between the Service Provider BGP and the instances of IGP (used to exchange routing information between the CE and the PE). + +## 9.2 Virtual Router approach + +This clause describes a network-based VPN solution based on the Virtual Router concept, which offers separate routing, forwarding, and Quality of Service on a per VPN basis. + +Several solutions have been put forward to achieve different levels of network privacy when building VPNs across a shared public backbone. Most of these solutions require separate per VPN or per VPN site forwarding capabilities and make use of IP or LSP tunnels across the backbone. This clause describes a network-based VPN architecture based on the virtual router concept, which offers separate routing, forwarding, and Quality of Service on a per VPN basis. This architecture complies with the IP VPN framework described in [3]. + +Virtual Routers use the same mechanisms from a routing and data forwarding standpoint as physical routers and are easy to deploy, operate, and troubleshoot. VPN membership discovery is aided by the use of one of a number of mechanisms suggested in this clause. This approach attempts to draw the line between the SP and the VPN customer: the SP owns and manages layer 1 and layer 2 services while layer 3 services belong to the VPN and can be, at the discretion of the SP, manageable by the VPN customer. Data security issues are addressed by the use of either private LSPs, or the use of label stacks over shared LSPs, to keep the data belonging to specific VPNs confined to their domains. + +Any routing protocol can be used in the Virtual Router. This flexibility applies to the CE, to PE segments as well as in the PE to PE segments. Private data and routing information is exchanged between VPN sites through IP-based or MPLS-based tunnels across the backbone. + +### 9.2.1 Virtual Router + +A Virtual Router (VR) is an emulation of a physical router at the software and hardware levels. Virtual Routers have independent IP routing and forwarding tables and they are isolated from each other. This means that a VPN's IP addressing space can overlap with another VPN's address space. The IP addresses need only be unique within a VPN domain. + +A Virtual Router has two main functions: + +- Constructing routing tables describing the paths between VPN sites using any routing protocols (e.g. OSPF, RIP, or BGP). +- Forwarding or switching packets to the next hops within the VPN domain. + +From the user point of view, a Virtual Router provides the same functionality as a physical router. Many virtual routers can coexist on the same PE router. From the CEs' point of view, the PE router performs the functions of many routers, forwarding packets to the correct destination, while isolating each VPN traffic in the same manner that individual routers do. Separate router capabilities provide each VPN CE link with the appearance of a dedicated router that guarantees isolation from other VPN traffic while running on shared switching and transmission resources. + +Virtual private networks are created by interconnecting VRs across the backbone and customer edge devices. The network administrator assigns a Virtual Router at every PE where the sites attach to the CE-based network. Virtual Routers belonging to the same IP VPN domain must have the same Virtual Private Network identifier (VPN-ID). The VPN-IDs provide VPN membership between VRs. To the CE access device, the Virtual Router appears as a neighbour router in the CE-based + +network, to which it sends all traffic for non-local VPN destinations. Each CE access device must learn the set of destinations reachable through its connection to the virtual router on the PE router; this may be as simple as a default route. Virtual Routers participating in a single VPN domain are responsible for learning and disseminating reachability information among themselves. + +### 9.2.2 VR-based VPN architecture building blocks + +Each Virtual Router is configured to support one VPN at a given time (although the VR might be configured to support many). + +It is recognized that any network-based VPN (using piggybacking reachability on the routing protocol or not) requires some form of tunnelling (e.g. MPLS). + +VPN sites are tunnelled through the use of MPLS tunnels. In this architecture, MPLS is used as a transport mechanism, even if other types of tunnelling are not excluded with this architecture. Furthermore, depending on the VPN deployment scenario, label stacking mechanism can be used. The tunnels can be statically configured or dynamically established (using existing mechanisms). Traffic sent through the tunnel is opaque to the underlying backbone technology used. + +A network-based IP VPN (over MPLS or not) consists of providing site-to-site private connectivity across a SP core-networking infrastructure. A virtual private network is composed of multiple VPN sites attached to private CE-based network. The CE device (e.g. a router) is connected to a PE. + +The PE provides to the CE-based network routing and forwarding capabilities across the backbone. The underlying backbone data link technology can be ATM, FR virtual circuits, or PPP. + +The private CE-based network, where the VPN sites are attached to access the PE router by connecting to a Virtual Router over an access link, can be ATM, FR virtual circuits, or a PPP connection. Routing tables associated with each Virtual Router define the site-to-site connectivity for that VPN. + +### 9.2.3 VR-based VPNs deployment scenarios + +Virtual Routers can be deployed in different configuration schemes. The following are three basic examples of deploying VR-based VPNs. + +**Example 1:** Direct VR connectivity using layer 2 connections, see Figure 2. + +Virtual Routers can be deployed directly over layer 2 connections (e.g. ATM). + +![Diagram illustrating Direct VR connectivity using layer 2 connections. A large rectangle labeled 'PE' contains two ovals labeled 'VR1' and 'VR2'. Two horizontal lines connect the right side of each oval to a set of four horizontal lines on the right, which are collectively labeled 'Backbone'. The lines for VR1 are the top two, and the lines for VR2 are the bottom two.](cad89c017c9e7c1785bcd104fde4e737_img.jpg) + +T1318140-01 + +Diagram illustrating Direct VR connectivity using layer 2 connections. A large rectangle labeled 'PE' contains two ovals labeled 'VR1' and 'VR2'. Two horizontal lines connect the right side of each oval to a set of four horizontal lines on the right, which are collectively labeled 'Backbone'. The lines for VR1 are the top two, and the lines for VR2 are the bottom two. + +**Figure 2/Y.1311.1 – Example 1: Direct VR connectivity using layer 2 connections** + +**Example 2:** Using one Virtual Router on the backbone, see Figure 3. +A Virtual Router can be used to connect each PE to a shared backbone. + +![Diagram illustrating a Virtual Router (VRn) connecting multiple Virtual Routers (VR1, VR2, VR3) within a VPN space to a shared Backbone.](5d3455c6c2a37cb3aff761fedeb8644e_img.jpg) + +The diagram shows a rectangular box representing a network environment. Inside the box, on the left, are three ovals labeled VR1, VR2, and VR3, stacked vertically. A vertical dashed line is positioned to the right of these three ovals. To the right of the dashed line is an oval labeled VRn. Solid lines connect VR1, VR2, and VR3 to VRn. Above the box, a horizontal arrow points to the left, labeled "VPN space". Below the box, a horizontal arrow points to the right, labeled "Backbone". The label "PE" is centered below the box. The identifier "T1318150-01" is located at the bottom right corner of the box. + +Diagram illustrating a Virtual Router (VRn) connecting multiple Virtual Routers (VR1, VR2, VR3) within a VPN space to a shared Backbone. + +**Figure 3/Y.1311.1 – Example 2: Using one Virtual Router on the backbone** + +**Example 3:** Using multiple Virtual Routers on the backbone, see Figure 4. + +![Diagram illustrating the use of multiple Virtual Routers (VRs) on the backbone. The diagram is divided into two sections by a dashed line, both labeled 'Backbone'. The top section shows three VRs (VR1, VR2, VR3) connected to a central VRi. The bottom section shows three VRs (VR4, VR5, VR6) connected to a central VRj. Both VRi and VRj have bidirectional arrows pointing outwards from the backbone. The entire diagram is labeled 'PE' at the bottom center and 'T1318160-01' at the bottom right.](d9843ac5dfc4bbe9e4d21b8898723b5e_img.jpg) + +The diagram illustrates a network architecture where multiple Virtual Routers (VRs) are connected to a central backbone. The backbone is represented by a large rectangle divided into two sections by a dashed line. The top section is labeled 'Backbone' and contains three VRs (VR1, VR2, VR3) connected to a central VRi. The bottom section is also labeled 'Backbone' and contains three VRs (VR4, VR5, VR6) connected to a central VRj. Both VRi and VRj have bidirectional arrows pointing outwards from the backbone. The entire diagram is labeled 'PE' at the bottom center and 'T1318160-01' at the bottom right. + +Diagram illustrating the use of multiple Virtual Routers (VRs) on the backbone. The diagram is divided into two sections by a dashed line, both labeled 'Backbone'. The top section shows three VRs (VR1, VR2, VR3) connected to a central VRi. The bottom section shows three VRs (VR4, VR5, VR6) connected to a central VRj. Both VRi and VRj have bidirectional arrows pointing outwards from the backbone. The entire diagram is labeled 'PE' at the bottom center and 'T1318160-01' at the bottom right. + +**Figure 4/Y.1311.1 – Example 3: Using multiple Virtual Routers on the backbone** + +### 9.2.4 VPN reachability determination + +By definition, virtual routers run different instances of routing protocols on a per VPN basis. Using tunnels (e.g. MPLS LSPs) reachability information is carried across the tunnels. The Virtual Router holds the routes only for the specific VPNs configured for that VR. This architecture does not use piggybacking VPN reachability information in the routing protocol running on the backbone (e.g. BGP). + +Clause 9.2.4.1 below describes one method to distribute reachability information among VRs. + +#### 9.2.4.1 Inter VR broadcast Link + +Virtual Routers need to send messages to all other VRs in other PEs in a particular VPN (for example, VRs need to send broadcast datagrams as mandated in routing protocols (OSPF broadcast mode, RIP V2 etc.)). + +In the traditional routed networks, when broadcast media such as Ethernet is available, and when routing protocols such as OSPF broadcast mode or RIP V2 are configured over these media, link resources are efficiently used and convergence times are minimized. + +In the case of VR based VPNs, a broadcast facility for a VR to send messages efficiently to all other VRs in the VPN could then be useful, particularly in case of large networks (e.g. high number of VPNs and PEs per VPN). + +One way to provide this broadcast facility is by the use of Multicast. More detailed information can be found via [6]. + +### **9.2.5 VPN membership and topology determination** + +VR-based VPNs can be deployed in different configurations. The Virtual Router approach explicitly separates the mechanisms used for distributing reachability information from mechanisms used for achieving membership and topology determination. The VR-based architecture doesn't exclude the possibility that, on a single PE, multiple types of VR-based VPNs can coexist using different membership and topology discovery mechanisms. + +Among these mechanisms we can list: + +- Directory server approach which PEs query to determine their neighbours. +- Explicit configuration via a management platform. +- Multicast approach (more detailed information can be obtained via [6]). +- Piggybacking VPN membership and topology using available routing protocols [3] (e.g. BGP). + +### **9.2.6 Operations and management** + +The key element in this clause is the fact that all existing operational and management tools and mechanisms can be used in the context of a VR-based solution. In general, the SP owns and manages layer 1 and layer 2 entities. To be specific, the SP controls physical switches or routers, physical links, logical layer 2 connections (such as DLCI in Frame Relay, VPI/VCI in ATM) and LSPs (and their assignment to specific VPNs). In the context of VPNs, it is the SP's responsibility to contract and assign layer 2 entities to specific VPNs. VPN Layer 3 entities can be managed either directly by the SP or, at the discretion of the SP, by the VPN customer. Examples of these entities include IP interfaces, choice of dynamic routing protocols or static routes, and routing interfaces. Note that although layer 3 configuration logically falls under the VPN user's area of responsibility, it is not necessary for the VPN user to execute it. It is quite viable for the VPN user to outsource the IP administration of the Virtual Routers to the SP. + +#### **9.2.6.1 VPN monitoring using VR-based solution** + +When a VPN user logs into a PE (directly or indirectly) to configure or monitor the VPN, the VR-based architecture allows the VPN user to log into the VR related to his specific VPN. The VPN user has only layer 3 configuration and monitoring privileges for the VR. Specifically, the VPN user has no configuration privileges for the physical network. This provides the guarantee to the SP that a VPN administrator will not be able to inadvertently, or otherwise, adversely affect the SP network. + +#### **9.2.6.2 VPN service availability with VR-based solution** + +In the VR-based architecture, it is possible for the SP to control and decide what VPN services get re-established first in case of PE service disruption (e.g. migration, upgrades, failures, etc.). The ability to not rely on piggybacking VPN reachability on the backbone routing protocol allows the VR-based solution to address per VPN availability requirements for applications running on top of the VPN network. This particular point is important when a large number of VPNs is supported on the PE. + +#### **9.2.6.3 VPN troubleshooting** + +In the VR context, SP (or the VPN customer) can use all existing troubleshooting tools with no modifications on a per VPN basis (e.g. ping). + +### **9.2.7 Security considerations** + +Different levels of data, routing and configuration security may be implemented using VR-based architecture. + +#### **9.2.7.1 Routing and data security** + +The use of existing routing protocols such as OSPF and BGP means that all the encryption and security methods (such as MD5 authentication of neighbours) are fully available in VRs. Furthermore, any private routing, forwarding and addressing manipulation are done within the virtual router context. Direct layer 2 connections (ATM, FR), or tunnelling mechanisms used (e.g. MPLS LSPs) provide different levels of data security. + +#### **9.2.7.2 Configuration security** + +Virtual Routers appear as physical routers to the VPN user. Existing security mechanisms as password, RADIUS, etc. can be available to the VPN user. + +### **9.2.8 VPN Quality of Service** + +The architecture adapts to different Quality of Service mechanisms to ensure site-to-site Quality of Service preservation on a per VPN basis. Packets received from a VPN site can receive Quality of Service treatment at the Virtual Router level, which directly impacts what egress backbone link to use. In this case, the Virtual Router may classify and police the packets on a per VPN basis. + +This model allows separate Quality of Service engineering of the VPNs and the backbone. + +### **9.2.9 Scalability** + +In this architecture, only the PEs are handling VPN type information. + +The internal backbone nodes (e.g. routers) are not VPN aware. + +Furthermore, for a network-based VPN solution, it is desirable to simplify the deployment and configuration of different VPNs with several sites sharing the same geographical location. Virtual Routers allow multiple private CE-based networks to connect to a single SP device. + +One advantage of the ability to contain the VPN address space, and the VPN routing and forwarding capabilities within the Virtual Router entity, is the possibility to distribute PE system resources on a per VPN basis. An example of such distribution is to apply different scheduling mechanisms for processing each VPN activity within the PE router. This distribution contributes in establishing a wide range of priority schemes among VPNs. + +### **9.2.10 Hierarchical relationship between VR-based VPNs** + +This clause describes one technique for building a hierarchical relationship between VR VPNs. An application of this technique enables the aggregation of many regional or local Service Provider VPN networks across a Hierarchical VPN tunnelling architecture. The approach presented here does not require any modifications of any existing routing protocols. + +A simplified example that shows a hierarchical relationship between Virtual Routed VPNs is shown in Figure 5. + +NOTE – Hierarchies can be extended to more than two levels. + +Hierarchical levels are designated numerically with the highest level designated as 0. Lower hierarchical levels are designated as Level 1, 2, etc. Higher level VPNs transport lower level VPNs. So: + +- Level 0 represents the highest hierarchical level. A Level 0 VPN transports lower level VPNs but is not itself transported by any other VPN; + +- Level 1 represents a VPN that is transported by a Level 0 VPN but is not itself transported across any lower or equal level VPN. + +![Diagram illustrating Hierarchical VPN Levels. It shows a central 'Level 0 VPN' box labeled 'VPN A' flanked by two 'Level 1 VPNs' boxes. Each 'Level 1 VPNs' box contains three sub-boxes labeled 'VPN X', 'VPN Y', and 'VPN Z'. The diagram is labeled T1318060-01.](85e2327652d513a7fee8fdbf97ad06f1_img.jpg) + +Level 1 VPNs + +--- + +VPN X + +--- + +VPN Y + +--- + +VPN Z + +--- + +Level 0 VPN + + + + +VPN A + +--- + + + +--- + +Level 1 VPNs + +--- + +VPN X + +--- + +VPN Y + +--- + +VPN Z + +--- + +T1318060-01 + +Diagram illustrating Hierarchical VPN Levels. It shows a central 'Level 0 VPN' box labeled 'VPN A' flanked by two 'Level 1 VPNs' boxes. Each 'Level 1 VPNs' box contains three sub-boxes labeled 'VPN X', 'VPN Y', and 'VPN Z'. The diagram is labeled T1318060-01. + +**Figure 5/Y.1311.1 – Hierarchical VPN Levels** + +By assigning the VPNs depicted in Figure 5 to different hierarchical levels, a hierarchical relationship between the VPNs is created. For example, the highest hierarchical level is designated as "Level 0". In this example, VPN A is a level 0 VPN. Similarly, VPNs' X, Y and Z are part of the next lowest hierarchical level, designated "Level 1". Data within a Level 1 VPN is transported transparently across the Level 0 VPN. + +A possible realization of a Hierarchical VPN (similar to that depicted in Figure 5) can now be described using the VR model. This realization does not assume a single Service Provider only is involved. Specifically, in the examples which follow, SP1 and SP2 do not have to be the same Service Provider. MPLS Label stacking techniques are used to create the hierarchical levels and explain how the data is transported. + +Figure 6 shows an example of a Hierarchical VPN involving two Service Providers. This example assumes that SP1 provides an international backbone network that is utilized by SP2 to connect its geographically isolated regional (or local) networks. In this example, SP2 is providing two customer VPNs, X and Y. A two-level Hierarchical VPN is created to allow VPN X and VPN Y (i.e. level 1 VPNs in this hierarchy) to be transported (at level 0) across VPN A. + +![Diagram illustrating a Hierarchical VPN involving two Service Providers. A central oval labeled 'SP1' is connected to two 'VPN X' and 'VPN Y' boxes on the left and two 'VPN X' and 'VPN Y' boxes on the right. The connections are labeled 'A' and '(SP2) (B)' or '(SP2) (G)' and '(SP2) (F)'. The diagram is labeled T1318070-01.](a5b9392ecb96e6b5e0b4ee0664210f72_img.jpg) + +VPN X + +VPN Y + +( ) +(SP2) +(B) + +A + +SP1 + +A + +A + +( ) +(SP2) +(G) + +( ) +(SP2) +(F) + +VPN X + +VPN Y + +VPN Y + +VPN X + +T1318070-01 + +Diagram illustrating a Hierarchical VPN involving two Service Providers. A central oval labeled 'SP1' is connected to two 'VPN X' and 'VPN Y' boxes on the left and two 'VPN X' and 'VPN Y' boxes on the right. The connections are labeled 'A' and '(SP2) (B)' or '(SP2) (G)' and '(SP2) (F)'. The diagram is labeled T1318070-01. + +**Figure 6/Y.1311.1 – Hierarchical VPN** + +Figure 7 expands the diagram to show the relationship between SP2 and SP1. From this figure we can see that SP2 provides both the two end customer VPNs, and SP2 must also know about the backbone (VPN A) that it uses for transporting the hierarchy. On the other hand, SP1 needs to be concerned with just the Level 0 VPN A. + +![Diagram illustrating the hierarchical relationship of Virtual Router Links (VRL). A central router (represented by a square) is connected to two customer VPNs, VPN X and VPN Y, on the left. Each connection is labeled 'VRL (VPN X => VPN A)' and 'VRL (VPN Y => VPN A)' respectively. The central router is also connected to SP1 PE (B) on the right, with the connection labeled 'VPN A'. The diagram shows that the central router acts as a hub, connecting customer VPNs to the backbone VPN A, which is then transported to SP1 PE (B).](339be989b91d5b1e73e5ecdc8401ca75_img.jpg) + +T1318080-01 + +Diagram illustrating the hierarchical relationship of Virtual Router Links (VRL). A central router (represented by a square) is connected to two customer VPNs, VPN X and VPN Y, on the left. Each connection is labeled 'VRL (VPN X => VPN A)' and 'VRL (VPN Y => VPN A)' respectively. The central router is also connected to SP1 PE (B) on the right, with the connection labeled 'VPN A'. The diagram shows that the central router acts as a hub, connecting customer VPNs to the backbone VPN A, which is then transported to SP1 PE (B). + +**Figure 7/Y.1311.1 – Hierarchical relationship of Virtual Router Links** + +Figure 7 also shows a relationship between a level 1 VPN (e.g. VPN X) and a level 0 VPN (e.g. VPN A). A Virtual Router Link (VRL) is used between the Level 1 and Level 0 VPNs. The VRL is explained in more detail in the next clause. + +In Figure 7, the hierarchical relationship is shown by the directional arrow indication (i.e. VPN X => VPN A). The lower level VPN X has an arrow pointing to the higher level VPN A, as indicated by VPN X => VPN A. + +#### 9.2.10.1 Virtual Router Link + +A VR can be connected to other VRs by a Virtual Router Link (VRL). + +Each end of VRL is logically bound to a VR. From the perspective of the VR, the VRL looks like one of its many links, some of which could be physical links. + +The user can define a set of rules on this VRL to control the relationship between two VPNs. This relationship could be hierarchical or peering. + +In the case of hierarchical VPNs, VRLs are configured between VRs with one end as the upper end of the hierarchy, and the other as the lower end. + +NOTE – Investigation into whether VRLs can be extended to cover point-to-point connections between VRs for control information exchange is for further study. + +#### 9.2.10.2 Label distribution + +VPNs can use any label distribution protocol. The only restriction is, within a specific VPN, the same protocol should be used in all its PE devices, so that they can interwork. This is restricted by the nature of the distribution protocol, not by the VPNs. + +Referring to Figure 6, SP1 provides the Level 0 VPN service (called VPN A) to SP2(B/G/F). + +The label distribution operates independently in each level of the VPN Hierarchy. Labels are distributed for the Level 0 VPN separately from the labels that are distributed for the Level 1 VPN. The following text describes the label distribution for each level of the hierarchical VPN. + +##### Level 0 (VPN A) label distribution + +The PEs of SP1 share the VPN A routing information between each other. In other words, the reachability information of SP2 edge routers is exchanged. LSP tunnels are set up in VPN A between the edge routers of SP2. For example, an LSP tunnel from SP2 (edge router B) is created to SP2 (edge router G). + +##### Level 1 (VPN X) label distribution + +The PEs of SP2 share the VPN X routing information with each other. In other words, the reachability information of the CE routers of VPN X is exchanged. LSP tunnels are set up in VPN X between the CE routers in SP2. + +Usage of Penultimate Hop Popping (PHP) requires penultimate and top-most labels to be allocated from the same label space (e.g. in this case, the allocation is from VPN A's label space). This implies in the case of Hierarchical VPNs, that an additional label (i.e. the penultimate label) will be necessary between the IGP label (i.e. top-most label) for the PE and VPN destination label. This is shown in 9.2.10.3 on Forwarding. + +In this example, it is indicated that A2 is the label for SP2-CE(G) in SP2-CE(B) and it is shown in 9.2.10.3 how A2 is used. (see Figure 8). This label is chosen from the VPN A Label space. + +Architecturally, Level 1 VPN X and Y are connected to Level 0 VPN A by a Virtual Router Link. Note that the edge routers of SP2 must have knowledge of all three VPNs (i.e. VPN X, VPN Y, and VPN A). When the VRL is configured for a hierarchical relationship, then the top level VPN will allocate a label for each VRL, i.e. to each VPNs, from its label space. + +#### 9.2.10.3 Forwarding + +User data from the lower level VPNs (e.g. Level 1 in Figure 8) are forwarded by the LSP tunnels of the upper level VPN (e.g. Level 0 in Figure 8). The label encoding shown in Figure 8 is explained below. + +![Diagram illustrating label encoding for hierarchical VPN forwarding. It shows Level 1 VPNs (X, Y, Z) connected to Level 0 VPN (A). Below, it shows the data flow and label stack for VPN X/Y/Z Data, including labels Ax2, Lx2, and A2.](9ff1b32449ea068bba9647d71904bd59_img.jpg) + +The diagram illustrates the label encoding for hierarchical VPN forwarding. It is divided into two main parts: a structural overview and a detailed data flow example. + +**Structural Overview:** + +- Level 1 VPNs:** On the left and right, there are columns representing Level 1 VPNs. Each column contains three entries: VPN X, VPN Y, and VPN Z, separated by horizontal lines. +- Level 0 VPN:** In the center, there is a box representing Level 0 VPN, which contains the entry VPN A, separated by a double horizontal line. + +**Data Flow Example:** + +Below the structural overview, the data flow for "VPN X/Y/Z Data" is shown as a sequence of boxes: + +- The first row consists of three boxes: "Data", "Lx2", and "Data". +- The second row consists of three boxes: "Ax2", "Lx2", and "Data". +- The third row consists of four boxes: "A2", "Ax2", "Lx2", and "Data". + +The identifier "T1318090-01" is located at the bottom right of the diagram area. + +Diagram illustrating label encoding for hierarchical VPN forwarding. It shows Level 1 VPNs (X, Y, Z) connected to Level 0 VPN (A). Below, it shows the data flow and label stack for VPN X/Y/Z Data, including labels Ax2, Lx2, and A2. + +**Figure 8/Y.1311.1 – Label encoding** + +- 1) Customer data arrives at the VPN X CE router in SP2 (B) and is encapsulated in a MPLS frame. +- 2) Label Lx2 is pushed on to the Label Stack. Lx2 is the peer VPN X CE label used to forward VPN X data to VPN X CE router in SP2 (G). +- 3) Next, Label Ax2 is pushed on to the Label Stack. Ax2 is the peer VPN X attachment label with VPN A taken from VPN A's label space. This label is used by VPN A to forward data on the SP2 (G) VRL between VPN A and VPN X. +- 4) Finally, Label A2 is pushed on to the Label Stack. This is the peer VPN A label used to forward data from the VPN A SP2 (B) PE router to the VPN A SP2 (G) PE router. + +In summary, the complete LSP path therefore to move customer data on VPN X from the SP2 (B) CE to the SP2 (G) CE is as follows: + +- a) Transport data across Level 0 (VPN A) using label A2. +- b) Transport data across the VRL from Level 0 to Level 1 in SP2 (G) using label Ax2. +- c) Transport data across Level 1 (VPN X) from SP2 (B) to SP2 (G) using label Lx2. + +# **10 QoS approaches** + +The following proposed approaches have been identified. + +## **10.1 "Point-to-Cloud" SLS** + +The IETF Differentiated Services architecture defines mechanisms which are DiffServ Traffic Conditioning and DiffServ PHBs. It also defines that various end-to-end Differentiated Services can be constructed by combining in specific ways some subset of these mechanisms along with specific resource allocation policies. + +It is expected that resource allocation policies (on a per DiffServ service basis) can be developed by network administrators which would allow, in combination with DiffServ Traffic Conditioning and PHB, support of "point-to-cloud" SLS. + +As an example, a network administrator may support a "point-to-cloud" SLS by: + +- activating Traffic Conditioning at each service boundary based on the traffic parameters of the corresponding individual SLS; +- activating PHBs and allocating resources on each access link (for each PHB) based on the traffic parameters of the corresponding individual SLS; +- activating PHBs in the network core and allocating resources for each PHB on an aggregate basis (i.e. independently of individual SLSs) for each PHB based on ongoing monitoring and provisioning cycles for each PHB on every link. + +DiffServ Traffic Conditioning, as well as DiffServ PHBs, can be supported on MPLS devices. Consequently, with an MPLS VPN infrastructure, Traffic Conditioning functions and PHBs can be activated at any point of the network (e.g. CE, PE, P devices) in a consistent manner regardless of whether this device is running MPLS or regular IP. In turn, this means that end-to-end DiffServ services can be built over a DiffServ-capable MPLS VPN backbone in the same way as they can be built over a non-MPLS DiffServ network. In turn, this means that "point-to-cloud" SLS can be supported over a DiffServ capable MPLS VPN backbone exactly in the same way as they can be offered over (non-MPLS) IP backbones. + +## **10.2 "Point-to-Point" SLS** + +Some applications expected to be transported over a public MPLS VPN service are anticipated to require "point-to-point" SLS. + +### 10.2.1 "Point-to-Point" SLS via resource allocation policies + +Although the end-to-end DiffServ services are still to be defined in detail in the IETF, it is expected that, in some environments, resource allocation policies (on a per-DiffServ service basis) can be developed by network administrators which would allow, in combination with DiffServ Traffic Conditioning and PHB, support of "point-to-point" SLS. As an example, a network administrator may support a "point-to-point" SLS by: + +- activating Traffic Conditioning at each service boundary based on the traffic parameters of the corresponding individual SLS; +- activating PHBs and allocating resources on each access link (for each PHB) based on the traffic parameters of the corresponding individual SLS; +- activating PHBs in the network core and allocating resources for each PHB on an aggregate basis (i.e. independently of individual SLSs) for each PHB based on significant over-provisioning combined with ongoing monitoring and provisioning cycles for each PHB on every link. + +Again, because the DiffServ mechanisms can be supported over MPLS in a transparent manner, in environments where resource allocation policies can be developed in order to offer "point-to-point" SLS, those can be applied to DiffServ-capable MPLS VPN backbones in exactly the same manner. + +### 10.2.2 "Point-to-Point" SLS via resource allocation policies and additional mechanisms (explicit in-band admission control, constraint-based routing) + +It is expected that, in some environments, "point-to-point" SLSs cannot be efficiently supported by relying solely on the DiffServ mechanisms combined with resource allocation policies. For instance, where Integrated Services (IntServ) services are to be supported from a given VPN Site to another given VPN Site with individual "point-to-point" commitments, and where backbone resources are scarce so that overprovisioning cannot be assumed, additional mechanisms, such as explicit in-band admission control as well as constraint based routing, would be required. + +Reference [7] provides a framework for supporting end-to-end IntServ services when a DiffServ cloud is used in the core. One approach discussed is to perform admission control on an aggregate basis in the core over the DiffServ resources. + +DiffServ mechanisms can be supported on an MPLS backbone in a manner which is compatible with MPLS Traffic Engineering (TE) signalling protocols. In particular, the MPLS Label Switched Paths (LSPs) can be established using MPLS Traffic Engineering (TE) signalling protocols. In this case, bandwidth requirements can be signalled by MPLS Traffic Engineering (TE) signalling protocols so that bandwidth reservation, as well as admission control, can be performed at LSP set-up. Also, those DiffServ LSPs can be constraint-based routed. + +MPLS Traffic Engineering can be made aware of DiffServ so that constraint-based routing can be performed separately for different classes requiring that different constraints be met. + +Thus, by combining DiffServ support over MPLS with the existing MPLS constraint-based routing mechanisms in accordance with the approach defined in [7], or DiffServ-aware TE approaches, end-to-end IntServ "point-to-point" SLS can be supported over a DiffServ/TE-capable MPLS VPN backbone. This proposed approach can be used even in environments where overprovisioning cannot be assumed. + +In case of heterogeneous backbones as in Annex A (not fully-MPLS backbones), additional mechanisms such as aggregation of RSVP for reservations across the non-MPLS backbone can be used to provide end-to-end SLS guarantees. + +## 10.3 "CoS transparency" + +Reference [8] states that the codepoints of the DS field may be changed within a DS domain by DS interior or DS boundary nodes. It is assumed that the same principle applies for the fields used in the context of the DiffServ over MPLS approach (e.g. the EXP field within the MPLS Shim Header). + +The modification of these fields is not sufficient in conjunction with the provisioning of IP VPNs, since the specific requirements of IP VPNs have not been taken into account. These specific requirements are: + +- VPN customers using applications with internal CoS solutions should have the possibility to utilize the solutions independent of the CoS solution supported by the SP infrastructure. +- VPN customers supporting more CoS than the SP should have the possibility to use these classes within their physical private network sites. +- A carrier's carrier service provided by a Network Provider may enable a SP (client of the mentioned network provider) to offer the IP VPN service to its customers. The unchanged transport of the indicated CoS is an essential requirement for the Network and Service Providers. By means of the CoS transparency feature, the SP can offer his own CoS solution to his customers regardless of the CoS solution supported by the Network Provider. + +Although an IP VPN can be considered as a kind of emulation of a physical private network, it is not feasible for the Network Provider to support all the various customers' or Service Providers' CoS solutions. Thus, the support of CoS Transparency ensures that the unchanged transmission of the CoS indicated by a customer or a SP is guaranteed across the Network Provider's MPLS network. + +DiffServ Tunnelling Models over MPLS include: + +- Uniform Tunnelling Model; +- Pipe Tunnelling Model. + +The Pipe Model is such that the DiffServ information of packets transported over the Tunnel is not affected by the DiffServ information used over the Tunnel span. + +Operations of the Pipe Model without PHP (Penultimate Hop Popping) are illustrated in Figure 9. + +![Diagram of the Pipe model without PHP. It shows a packet's path through an MPLS network. The packet enters from the left, passes through a node where '(m) - Push' occurs, then through a series of nodes labeled '- Swap- (M) -'. The packet's header is shown as '(outer header) (P)' and '(inner header) (m)'. The packet exits the tunnel at a node labeled 'Pop - (m)-'. The diagram is labeled T1318170-01.](ccfd5ed8d9795009e923e2a0cacbcd6e_img.jpg) + +(M) represents the "LSP DiffServ information" +(m) represents the "Tunnelled DiffServ information" + +Diagram of the Pipe model without PHP. It shows a packet's path through an MPLS network. The packet enters from the left, passes through a node where '(m) - Push' occurs, then through a series of nodes labeled '- Swap- (M) -'. The packet's header is shown as '(outer header) (P)' and '(inner header) (m)'. The packet exits the tunnel at a node labeled 'Pop - (m)-'. The diagram is labeled T1318170-01. + +**Figure 9/Y.1311.1 – Pipe model without PHP** + +One application of the "Pipe Tunnelling Model" is support of CoS Transparency over an MPLS VPN backbone. + +# 11 Inter-Autonomous System (Inter-Service Provider) VPN + +Network-based IP VPNs can span several ASs or SPs. The most common example is that of an international corporation which has offices in several countries around the globe and would like to outsource its IP services to an SP. Reality is such that it would be very rarely that such a corporation would be able to buy services from one SP who has points of presence near every site that the corporation has. Typically, some SPs span regions/countries and some have international presence. This means that the corporation needs to buy VPN services from different SPs depending on the local or branch office needs. This in turn means that interconnecting these geographically disparate VPN islands is of high value to the Provider with global presence. Of course, global presence may mean international presence to an SP aiming to provide connectivity to national Providers in various parts of the world; it could also mean national presence to a SP aiming to provide connectivity to regional Providers in a given country. The need for interworking is then a requirement. + +One way to provide VPN services to a corporation via several ASs (SPs) is by using the hierarchical VPN mechanism described in 9.2.10. + +However, no constraints are currently anticipated that will prevent this method from being extended to cover Inter-AS (SP) interconnection scenarios based on other VPN approaches. + +It should also be noted that capabilities for Inter-AS (SP) VPN scenarios based on the BGP/MPLS VPN approach are available in [5]. + +# 12 Interworking + +## 12.1 Interworking between different solutions + +This clause outlines one possible solution of interworking between approaches described in this Recommendation. + +The following issues are taken into account: + +- Motivation for interworking among VPNs (see 12.1.1). +- Assumptions of MPLS VPNs as elements for interworking (see 12.1.2). +- Functional capabilities for interworking such as realization of security, mapping of the QoS class, dynamic routing information distribution (see 12.1.3). + +Scalability limitations of this solution may limit its applicability and therefore further work is needed. + +### 12.1.1 Motivation for interworking among MPLS VPNs + +Two cases are identified: + +**Case 1:** VPNs spread over multiple differently implemented MPLS networks owned by different VPN SPs. This follows the normal requirement and expectation that each VPN SP chooses its best VPN implementation out of multiple implementations. + +**Case 2:** VPNs spread over multiple differently implemented MPLS networks owned by a VPN SP. A VPN SP may deploy multiple MPLS networks (e.g. an old MPLS network and a new MPLS network). The VPN interworking removes the requirement that all user sites of one VPN need to be connected to the same MPLS network. + +In both cases, the interworking enables VPN SPs to provision VPN services flexibly. It is of benefit to VPN users as well. + +### 12.1.2 Assumptions + +The following MPLS network structure in Figure 10 is assumed to be present as a base to provide VPN services. + +![Figure 10/Y.1311.1 – Structure of MPLS network](1ab49904e6a60be337d5b75cb7cc8ab7_img.jpg) + +The diagram illustrates the structure of an MPLS network. It shows a central box labeled "Backbone Network Implementing MPLS". To the left of this box is a box labeled "LSR" (Label Switched Router), and to the right is another box labeled "LSR". Lines connect the "User Sites" to the left "LSR" and the right "LSR" to the "User Sites". The entire diagram is labeled with the reference "T1318180-01" at the bottom right. + +Figure 10/Y.1311.1 – Structure of MPLS network + +**Figure 10/Y.1311.1 – Structure of MPLS network** + +Figure 11 depicts the interworking model. + +![Figure 11/Y.1311.1 – Interworking model](e05122559f56af5699789b7118d8fe87_img.jpg) + +The diagram illustrates the interworking model for two MPLS networks. It is divided into two main sections: "VPN A" at the top and "VPN B" at the bottom. Each section contains two "User Site" boxes connected to "LSR" (Label Switched Router) boxes. The "LSR" boxes are connected to "MPLS Network 1" and "MPLS Network 2". "MPLS Network 1" contains "Element W" and "Element Y", while "MPLS Network 2" contains "Element X" and "Element Z". The "MPLS LSP for VPN A" and "MPLS LSP for VPN B" are shown as horizontal lines connecting the "LSR" boxes across the "Interworking Interface". The diagram also shows "Data & Routing Information" being exchanged between the "LSR" boxes and the "MPLS Networks". The diagram is labeled with the reference "T1318190-01" at the bottom right. + +Figure 11/Y.1311.1 – Interworking model + +**Figure 11/Y.1311.1 – Interworking model** + +An "element" is each part of a VPN that is separated by an MPLS network. When a VPN spans multiple MPLS networks (domains), the part of the VPN belonging to a single MPLS network is called an "element". + +### **12.1.3 Functional capabilities for interworking among MPLS VPNs** + +#### **12.1.3.1 Functional capabilities for interworking** + +There are the following two types of VPN interworking: + +- Type (1): Interworking where each MPLS network is terminated and IP header look-up is executed at an egress/ingress LSR. +- Type (2): Interworking without terminating MPLS and without IP header look-up at any egress/ingress LSR. + +As each existing MPLS VPN is implemented in a unique manner, it is difficult to realize type (2). + +Type (1) is easy to provision since it utilizes the LSR's function of IP header look-up. Therefore, we focus on type (1). + +The assumptions are that the connections at the interworking interface are provided by IP or MPLS. + +The following three functional capabilities are required to support VPN interworking: + +- Realization of security; +- Mapping of the QoS class; +- Dynamic routing information distribution in clauses 12.1.3.2, 12.1.3.3 and 12.1.3.4 respectively. + +#### **12.1.3.2 Realization of security** + +When MPLS VPNs span multiple MPLS networks, every VPN has a designated "connection" (e.g. ATM VC, MPLS LSP, etc.) at the interconnection boundaries of the MPLS networks. It is not permitted to transmit packets between any given connection and any other MPLS VPN (except where specific inter-VPN agreements have been made). This mechanism results in realization of security. The procedures by which such an assignment is established are specific to the solution used by the MPLS network implementation associated with the connection. + +The identity of VPN at each end is meaningful only in the context of the specific MPLS network associated with the connection. It is assumed that multiple VPNs do not share one connection. + +See Figure 11 above: there is a logical connection between the MPLS network 1 and MPLS network 2 used for constructing a VPN over both MPLS network 1 and MPLS network 2. The connection for the VPN is assigned to element "W", and "W" is meaningful only in the context of MPLS network 1. The other side of the connection is assigned to element "X", and "X" is meaningful only in the context of MPLS network 2. + +NOTE – It is recommended that bandwidth of a connection does not interfere with bandwidth of any other connections. Detailed QoS specifications of the connection are for further study. + +#### **12.1.3.3 Mapping of the QoS class** + +Attributes of a QoS class may be assigned to each connection. This enables provisioning of multiple QoS classes within each VPN. Class Identification in the IP Layer is needed only once. + +![Diagram showing two MPLS networks connected by multiple connections for different QoS classes. MPLS Network 1 contains LSRs and Element W. MPLS Network 2 contains LSRs and Element X. The connection between them is labeled 'Connections For different QoS Classes'. Reference T1318200-01 is noted.](cbb2d311b20781a595488445ded48d0a_img.jpg) + +The diagram illustrates two MPLS networks, MPLS Network 1 and MPLS Network 2, connected by a link. MPLS Network 1 consists of a central box labeled 'Element W' flanked by two boxes labeled 'LSR'. MPLS Network 2 consists of a central box labeled 'Element X' flanked by two boxes labeled 'LSR'. A thick horizontal line connects the two networks, with the text 'Connections For different QoS Classes' centered below it. A reference code 'T1318200-01' is located at the bottom right of the diagram. + +Diagram showing two MPLS networks connected by multiple connections for different QoS classes. MPLS Network 1 contains LSRs and Element W. MPLS Network 2 contains LSRs and Element X. The connection between them is labeled 'Connections For different QoS Classes'. Reference T1318200-01 is noted. + +**Figure 12/Y.1311.1 – Using multiple connections for multiple QoS classes for each VPN** + +An alternate method is to use the CoS field, a bit-pattern in a field such as EXP of the Shim header or DSCP (TOS) of the IP header, to identify a QoS class during packet transmission on the connection. The connection is shared by multiple QoS classes. A typical example of this mapping method is DiffServ. This method can reduce the number of connections, while QoS control on the connection is difficult. + +![Diagram showing two MPLS networks connected by a single connection supporting CoS. MPLS Network 1 contains LSRs and Element W. MPLS Network 2 contains LSRs and Element X. The connection between them is labeled 'Connections supporting CoS'. Reference T1318210-01 is noted.](32ff77da4286b58c4778033acaa10836_img.jpg) + +The diagram illustrates two MPLS networks, MPLS Network 1 and MPLS Network 2, connected by a link. MPLS Network 1 consists of a central box labeled 'Element W' flanked by two boxes labeled 'LSR'. MPLS Network 2 consists of a central box labeled 'Element X' flanked by two boxes labeled 'LSR'. A thick horizontal line connects the two networks, with the text 'Connections supporting CoS' centered below it. A reference code 'T1318210-01' is located at the bottom right of the diagram. + +Diagram showing two MPLS networks connected by a single connection supporting CoS. MPLS Network 1 contains LSRs and Element W. MPLS Network 2 contains LSRs and Element X. The connection between them is labeled 'Connections supporting CoS'. Reference T1318210-01 is noted. + +**Figure 13/Y.1311.1 – Using CoS on a single connection for supporting multiple QoS classes for each VPN** + +#### 12.1.3.4 Dynamic routing information distribution + +Some mechanisms for routing control per VPN are required in each egress/ingress LSR. The connection between MPLS network 1 and MPLS network 2 of Figure 11 just transmit packets of standard IP routing. Routing information is then forwarded by the functional capability described in 12.1.3.2, as well as data. This enables dynamic routing information distribution within each VPN. Standard routing protocols such as BGP, OSPF, RIP, DVMRP, PIM can be used on the connections for every VPN. + +#### 12.1.3.5 Considerations about the scalability of the proposed interworking solution + +Figure 14 summarizes the functional capabilities for MPLS VPN interworking via IP over ATM. Note that this solution does not require any new protocols or modification of existing protocols. + +![Figure 14/Y.1311.1 – Proposed VPN interworking by using IP over ATM. The diagram illustrates a network architecture for interworking between two VPNs (VPN A and VPN B) using MPLS Networks and an Interworking Interface. VPN A (top) contains User Sites connected to LSRs (Label Switched Routers) in MPLS Network 1 and MPLS Network 2. These LSRs are connected to an Interworking Interface. VPN B (bottom) contains User Sites connected to LSRs in the same MPLS Networks and Interworking Interface. The Interworking Interface consists of two VC (Virtual Circuit) blocks for Qos class 1 and Qos class 2. Data and Routing Information flows between the LSRs and the VC blocks. Element W and Element X are shown in the top LSRs, while Element Y and Element Z are shown in the bottom LSRs. Arrows indicate the flow of data and routing information, and a 'Prohibited to Transmit' message is shown between the LSRs and the VC blocks.](e8e818455bb0d1a6153299a388b94868_img.jpg) + +T1318220-01 + +Figure 14/Y.1311.1 – Proposed VPN interworking by using IP over ATM. The diagram illustrates a network architecture for interworking between two VPNs (VPN A and VPN B) using MPLS Networks and an Interworking Interface. VPN A (top) contains User Sites connected to LSRs (Label Switched Routers) in MPLS Network 1 and MPLS Network 2. These LSRs are connected to an Interworking Interface. VPN B (bottom) contains User Sites connected to LSRs in the same MPLS Networks and Interworking Interface. The Interworking Interface consists of two VC (Virtual Circuit) blocks for Qos class 1 and Qos class 2. Data and Routing Information flows between the LSRs and the VC blocks. Element W and Element X are shown in the top LSRs, while Element Y and Element Z are shown in the bottom LSRs. Arrows indicate the flow of data and routing information, and a 'Prohibited to Transmit' message is shown between the LSRs and the VC blocks. + +**Figure 14/Y.1311.1 – Proposed VPN interworking by using IP over ATM** + +The solution in clause 12 focuses on static interworking (i.e. user-plane interworking) to deploy quickly. Dynamic interworking (i.e. control-plane or management-plane interworking) should be discussed to reduce manual configuration in the near future, thereby improving scalability. + +## 12.2 Service interworking with other VPN architectures + +Service interworking should take the following aspects into consideration: + +- data plane interworking; +- control plane interworking; +- management plane interworking. + +Appendix I provides informative material on this topic. + +# ANNEX A + +## MPLS VPNs over non-MPLS core network infrastructures + +This Recommendation addresses the support of IP VPN services over an MPLS architecture which does not require a fully-MPLS network infrastructure. + +A generic deployment scenario of not fully-MPLS network infrastructure is presented in Figure A.1. + +![Diagram of Not fully-MPLS network infrastructure showing a hybrid IP/MPLS edge layer connected to a core network with both MPLS and non-MPLS sections.](0a42e05c07941450f34e4f7117725834_img.jpg) + +The diagram illustrates a network architecture where the edge layer is a mix of IP and MPLS, while the core network is split into MPLS and non-MPLS sections. The 'IP or MPLS Edge layer' is represented by a large light-gray oval containing several Provider Edge (PE) routers. These PE routers are connected to various Customer Edge (CE) routers, which are grouped into clouds representing different VPN sites: VPN A/Site 1, VPN A/Site 2, VPN A/Site 3, VPN A/Site 4, VPN B/Site 1, VPN B/Site 2, and VPN B/Site 3. The core network is shown as a central area with two distinct parts: a 'NON MPLS Core Network' (shaded gray) and an 'MPLS Core Network' (unshaded). The non-MPLS core contains two PE routers and two P (Provider) routers. The MPLS core contains four P routers. Connections show that some PE routers in the edge layer are linked to the non-MPLS core, while others are linked to the MPLS core, demonstrating the interworking between the two core types. + +T1318230-01 + +Diagram of Not fully-MPLS network infrastructure showing a hybrid IP/MPLS edge layer connected to a core network with both MPLS and non-MPLS sections. + +**Figure A.1/Y.1311.1 – Not fully-MPLS network infrastructure** + +An example of a specific deployment scenario in which the non-MPLS portion of the network infrastructure is pure IP, is to use mechanisms such as MPLS-over-GRE or MPLS-over-IP. + +NOTE – In the case of not fully-MPLS network infrastructure, specific impacts on ability to meet all the requirements described in this Recommendation will be further studied. + +# APPENDIX I + +## Examples of service interworking with other VPN architectures + +Interworking should take the following aspects into consideration: + +- data plane interworking; +- control plane interworking; +- management plane interworking. + +### Data plane interworking + +In data plane interworking, information in the encapsulation header specific to the VPN architecture of the received packet is mapped to that of transmitted packet to satisfy the service requirement described in clause 7. + +Figure I.1 below shows the example of the encapsulation header used by several VPN architectures to identify the VPN users. + +| VPN architecture | Header | Identifier | +|----------------------|-------------|----------------------| +| MPLS | shim header | Label | +| VLAN
(IEEE802.1Q) | TCI | VLAN ID | +| IP over ATM | cell header | VPI/VCI | +| IP over FR | FR header | DLCI | +| L2TP | L2TP header | Tunnel ID/Session ID | + +**Figure I.1/Y.1311.1 – Example of the headers used by VPNs** + +Note that the length of the identifier fields for different VPN architectures are not the same, therefore an accurate mapping should be defined. + +The information in the encapsulation header and the information in the Layer 3 header (i.e. IP header) have to be mapped to preserve VPN user identification. + +For example, mapping the combination of the Identifier in the encapsulation header and the destination IP address in the IP header of the received packet to the Identifier of the transmitted packet may be performed. + +Also the QoS class information of a packet can be handed over from end to end. As an example, in case of interworking between MPLS VPN and VLAN (explained later in this appendix), the node may map the user priority in the tag control information to the EXP field in the MPLS shim header (or the appropriate field in a non-shim MPLS header). + +### **Control plane interworking** + +Routing information specific to each VPN architecture needs to be exchanged between different VPN architectures to realize the mapping of the header information. + +### **Management plane interworking** + +To enhance interworking, it is desirable that management systems of different VPN architectures are interoperable. + +### **Example of interworking between MPLS VPN architectures and VLAN** + +The text below in this clause describes the interworking between MPLS VPN and VLAN specified by IEEE802.1Q [9] as an example of the interworking between different VPN architectures. + +Figure I.2 shows a network model of the interworking between MPLS VPN and VLAN. VLAN #As are located in physically separated places and mutually connected by the MPLS VPN, and VLAN #Bs are also located in physically separated places and mutually connected by the MPLS VPN in this model. + +#### **1) *From VLAN to MPLS*** + +The node at the ingress of the MPLS VPN maps the VLAN ID assigned to each VLAN to the MPLS Label to separate the VPN users in the MPLS VPN, and maps the destination IP address prefix to the MPLS Label to route the packet to the appropriate destination. + +#### **2) *From MPLS to VLAN*** + +The node at the egress of the MPLS VPN maps the MPLS Label to the VLAN ID assigned to each VLAN, and routes the packet to the appropriate destination by seeing the destination IP address. + +![Figure I.2/Y.1311.1 – Network model of interworking between MPLS VPN and VLAN. The diagram shows an Ingress side and an Egress side connected via an MPLS-VPN core. On the Ingress side, two dashed boxes represent VLAN #A and VLAN #B. Arrows show traffic from these VLANs entering the Ingress Edge Router. The router uses 'Different labels (Identifying the Edge Router)' to route traffic into the MPLS-VPN core. The core uses 'Different labels (Identifying the VLAN)' to route traffic to the Egress Edge Router. On the Egress side, traffic is then mapped back to VLAN #A and VLAN #B. Below the diagram, two boxes define the label mapping. The Ingress Edge Router maps {VLAN ID, Destination IP Address, User Priority} to {Label (Identifying VLAN), Label (Identifying the Edge Router), Exp}. The Egress Edge Router maps {Label (identifying VLAN), Exp} to {VLAN ID, User Priority}.](38cbce07f83fba6d5a7c46605bd5743f_img.jpg) + +T1318240-01 + +Figure I.2/Y.1311.1 – Network model of interworking between MPLS VPN and VLAN. The diagram shows an Ingress side and an Egress side connected via an MPLS-VPN core. On the Ingress side, two dashed boxes represent VLAN #A and VLAN #B. Arrows show traffic from these VLANs entering the Ingress Edge Router. The router uses 'Different labels (Identifying the Edge Router)' to route traffic into the MPLS-VPN core. The core uses 'Different labels (Identifying the VLAN)' to route traffic to the Egress Edge Router. On the Egress side, traffic is then mapped back to VLAN #A and VLAN #B. Below the diagram, two boxes define the label mapping. The Ingress Edge Router maps {VLAN ID, Destination IP Address, User Priority} to {Label (Identifying VLAN), Label (Identifying the Edge Router), Exp}. The Egress Edge Router maps {Label (identifying VLAN), Exp} to {VLAN ID, User Priority}. + +**Figure I.2/Y.1311.1 – Network model of interworking between MPLS VPN and VLAN** + +# APPENDIX II + +## Bibliography + +- [1] CARUGI (M.) *et al.*, *Service requirements for Provider Provisioned Virtual Private Networks*, work in progress in IETF. +- [2] CALLON (R.) *et al.*, *A Framework for Provider Provisioned Virtual Private Networks*, work in progress in IETF. +- [3] JACQUENET (C.), *Functional needs for the deployment of an IP VPN service offering: a service provider perspective*, work in progress in IETF. +- [4] ROSEN (E.) *et al.*, *BGP/MPLS VPNs* (draft-rosen-rfc2547bis-03.txt), work in progress in IETF. +- [5] OULD-BRAHIM (H.) *et al.*, *Network based IP VPN Architecture using Virtual Routers*, work in progress in IETF. +- [6] OULD-BRAHIM (H.) *et al.*, *BGP/VPN: VPN Information Discovery for network based VPNs*, work in progress in IETF. +- [7] MUTHUKRISHNAN (K.) *et al.*, *A Core MPLS IP VPN architecture*, (draft-muthukrishnan-rfc2917bis-00.txt), work in progress in IETF. +- [8] KATHIRVELU (C.) *et al.*, *Hierarchical VPN over MPLS Transport*, work in progress in IETF. +- [9] LE FAUCHEUR (F.) *et al.*, *MPLS Support of Differentiated Services*, work in progress in IETF. + +- [10] SUMIMOTO (J.), SUZUKI (M.), TABATA (O.), ESAKI (Y.), DOUKAI (M.), *MPLS VPN Interworking*, work in progress in IETF. +- [11] WORSTER (T.) *et al.*, *MPLS Label Stack Encapsulation in IP*, work in progress in IETF. +- [12] GODERIS (D.) *et al.*, *Service Level Specification Semantics and Parameters*, work in progress in IETF. +- [13] REKHTER (Y.), TAPPAN (D.), ROSEN (E.), *MPLS Label Stack Encapsulation in GRE*, work in progress in IETF. +- [14] LE FAUCHEUR (F.) *et al.*, *Requirements for support of DiffServ-Aware MPLS Traffic Engineering*, work in progress in IETF. +- [15] LE FAUCHEUR (F.) *et al.*, *Extensions to IS-IS, OSPF, RSVP and CR-LDP for support of DiffServ-Aware MPLS Traffic engineering*, work in progress in IETF. +- [16] BAKER (F.), ITURRALDE (C.), LE FAUCHEUR (F.), DAVIE (B.), *Aggregation of RSVP for IPv4 and IPv6 Reservations*, work in progress in IETF. +- [17] AWDUCHE (D.), BERGER (L.), GAN (D.), LI (T.), SWALLOW (G.), SRINIVASAN (V.), *RSVP-TE: Extensions to RSVP for LSP Tunnels*, work in progress in IETF. +- [18] JAMOUCSI (B.) *et al.*, *Constraint-Based LSP Setup using LDP*, work in progress in IETF. +- [19] HUMMEL (H.), *Tree/Ring/Meshy VPN tunnel systems*, work in progress in IETF. + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series B | Means of expression: definitions, symbols, classification | +| Series C | General telecommunication statistics | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | TMN and network maintenance: international transmission systems, telephone circuits, telegraphy, facsimile and leased circuits | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks and open system communications | +| Series Y | Global information infrastructure and Internet protocol aspects | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.1312-200309-I_PDF-E/raw.md b/marked/Y/T-REC-Y.1312-200309-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..8fb10a8113c3ad9db96ab9d850122e51e5003f73 --- /dev/null +++ b/marked/Y/T-REC-Y.1312-200309-I_PDF-E/raw.md @@ -0,0 +1,760 @@ + + +![ITU logo: a globe with the letters ITU inside, and a lightning bolt striking the globe.](2dfa6ac3edfe874f68aa0cbccaa42322_img.jpg) + +ITU logo: a globe with the letters ITU inside, and a lightning bolt striking the globe. + +INTERNATIONAL TELECOMMUNICATION UNION + +**ITU-T** + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +**Y.1312** + +(09/2003) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT GENERATION NETWORKS + +Internet protocol aspects – Transport + +# --- **Layer 1 Virtual Private Network generic requirements and architecture elements** + +ITU-T Recommendation Y.1312 + +--- + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **ITU-T Recommendation Y.1312** + +# **Layer 1 Virtual Private Network generic requirements and architecture elements** + +# **Summary** + +This Recommendation specifies service definition, service scenarios, service requirements and service architecture elements on Layer 1 Virtual Private Network (L1 VPN). + +## **Source** + +ITU-T Recommendation Y.1312 was approved on 13 September 2003 by ITU-T Study Group 13 (2001-2004) under the ITU-T Recommendation A.8 procedure. + +## **Keywords** + +Architecture, Layer 1, Layer 1 VPN, Requirement, Virtual Private Network, VPN. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications. The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementors are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database. + +© ITU 2004 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +# CONTENTS + +| | Page | +|---------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 4 Abbreviations..... | 2 | +| 5 Service definition and service reference model..... | 3 | +| 5.1 Basic L1 service reference model and features ..... | 3 | +| 5.2 L1 service categories, L1 VPN reference model and definition ..... | 3 | +| 6 Service scenarios ..... | 5 | +| 6.1 Multi-service backbone ..... | 5 | +| 6.2 Carrier's carrier ..... | 6 | +| 6.3 L1 resource trading..... | 6 | +| 6.4 Inter-SP L1 VPN ..... | 7 | +| 7 Service requirements ..... | 8 | +| 8 Service architecture elements ..... | 10 | +| 8.1 C-plane and U-plane combinations ..... | 10 | +| 8.2 Description of service examples based on C-plane and U-plane
combination ..... | 11 | +| 8.3 L1 VPN functional model ..... | 12 | +| 9 Security aspects ..... | 16 | +| Annex A – Functions performed by the CE in a L1 VPN ..... | 17 | +| Appendix I – Relationship with L2/L3 VPNs..... | 18 | +| I.1 Multipoint connectivity for L3/L2 VPN and layer 1 VPN..... | 18 | +| I.2 C/U-planes for L3/L2 VPN and layer 1 VPN ..... | 18 | + + + +# ITU-T Recommendation Y.1312 + +# Layer 1 Virtual Private Network generic requirements and architecture elements + +# 1 Scope + +This Recommendation specifies service definition, service scenarios, service requirements and service architecture elements on Layer 1 Virtual Private Network (L1 VPN). + +L1 VPN has specific features compared to generic VPN described in ITU-T Rec. Y.1311, such as connections between CEs rather than tunnels between PEs, and C-plane/U-plane separation. In addition, L1 VPN has features such as connectivity restriction within limited CEs and per-VPN C-plane functionalities, which are achieved by additional functionalities to the basic L1 network. To this end, L1 VPN provides customers with large capacity U-plane resources with a different set of C-plane functionalities. Thus, new kinds of services are expected to emerge, including multi-service backbone, carrier's carrier and L1 resource trading. + +This Recommendation addresses service features of L1 VPN including those mentioned above, and also describes service requirements and service architecture elements. In addition, this Recommendation describes several scenarios where the merits of L1 VPN are well expected. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions, which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [1] ITU-T Recommendation G.805 (2000), *Generic functional architecture of transport networks*. +- [2] ITU-T Recommendation G.8080/Y.1304 (2001), *Architecture for the automatic switched optical network (ASON)*. +- [3] ITU-T Recommendation Y.1311 (2002), *Network Based VPNs – Generic architecture and service requirements*. + +# 3 Definitions + +This Recommendation defines the following terms: + +**3.1 L1 VPN:** A network formed by a set of CEs and network resources between CEs. A set of CEs is managed by the same authority. Network resources between CEs are provided by the service provider, and may include links, connections and C-plane functionalities. Refer to ITU-T Rec. Y.1311. + +**3.2 NB L1VPN:** Refer to ITU-T Rec. Y.1311. + +**3.3 CE:** The entity receiving U-plane and C-plane service provided by the network to which it is attached. Refer to ITU-T Rec. Y.1311. + +**3.4 PE:** The entity within the Network connected to CE, that provides service to customers. Refer to ITU-T Rec. Y.1311. + +- 3.5 P:** The entity within the network, and connected to P or PE devices. Refer to ITU-T Rec. Y.1311. +- 3.6 link:** U-Plane resource connecting adjacent network devices in the same layer (in the OSI sense) and within the same layer network (in the G.805 sense), e.g. connecting CE and PE, PE and P. +- 3.7 connection:** For L1 VPN, a connection is established between a pair of CEs. See Annex A for a more detailed description. +- 3.8 customer:** The entity that has authority over a set of CEs within the same VPN (e.g. the owner of the CEs). The customer is the billable entity to which L1 VPN service is provided. The customer of a Layer 1 VPN has typically at least 3 CEs, while the customer of a private line service has exactly two CEs. +- 3.9 shared U-plane:** U-plane in which link resources can be multiplexed (over time) between different VPNs. At any instant in time the resources are either dedicated to one VPN or are unallocated. +- 3.10 dedicated U-plane:** U-plane in which link resources are allocated exclusively to a specific VPN. +- 3.11 shared C-plane:** C-plane in which the same control resources are used by multiple VPNs. +- 3.12 dedicated C-plane:** C-plane in which control resources are allocated exclusively to a specific VPN. +- 3.13 Shared U-Plane Private Network (SUPN):** L1VPN with shared U-plane. +- 3.14 Dedicated U-Plane Private Network (DUPN):** L1VPN with dedicated U-plane. +- 3.15 Shared C-Plane Private Network (SCPn):** L1VPN with shared C-plane. +- 3.16 Dedicated C-Plane Private Network (DCPN):** L1VPN with dedicated C-plane. +- 3.17 site:** The network behind a CE, that is managed by the same authority as the CE. + +# 4 Abbreviations + +This Recommendation uses the following abbreviations: + +| | | +|-----|----------------------------------------------| +| AAA | Authentication, Authorization and Accounting | +| CE | Customer Edge | +| CNM | Customer Network Management | +| CSM | Customer Service Management | +| DCN | Data Communication Network | +| P | Provider | +| PE | Provider Edge | +| PM | Performance Measurement | +| VPN | Virtual Private Network | + +# 5 Service definition and service reference model + +## 5.1 Basic L1 service reference model and features + +### 5.1.1 Basic L1 service reference model + +Figure 5-1 shows the reference network model where a customer edge (CE) is using a L1 service. Separation between the service provider and the customer is provided by L1 service interface. Basic L1 service provides U-plane resources between CEs in a point-to-point manner, i.e. connection oriented. + +![Figure 5-1/Y.1312 – Basic L1 service reference model diagram](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +The diagram illustrates the Basic L1 service reference model. It shows two Customer Edge (CE) nodes, represented as rectangles, connected to a central Service provider network, represented as an oval. Each connection is marked with a double vertical line, indicating a service interface. Below the diagram, the text 'L1 service interfaces' is written, with arrows pointing to the double vertical lines. The label 'Y1312\_F5.1' is located at the bottom right of the diagram. + +Figure 5-1/Y.1312 – Basic L1 service reference model diagram + +**Figure 5-1/Y.1312 – Basic L1 service reference model** + +### 5.1.2 Basic L1 services features + +Basic layer 1 service is characterized in terms that include: + +- Connectivity: between a pair of CEs; +- Capacity: for example, bit rate for a TDM service; +- Transparency: for example, for a SDH network, overhead transparency etc.; +- Availability: the percentage of time that the quality service meets the agreed criteria. To achieve the required level of availability for the customer connections, the service provider's network may use restoration or protected resources; +- Performance: e.g., number of error seconds per month. + +## 5.2 L1 service categories, L1 VPN reference model and definition + +### 5.2.1 L1 service categories + +Layer 1 services can be categorized based on the combination of connectivity features (U-plane) and service control capability (C-plane) available to the customer. A CE is associated with the service interface between a customer site and the network. Type 1 enables one connection between a pair of CEs. Type 2 enables multiple connections among a set of CEs. Type 2 may involve a variety of C-plane types depending on the customer. Table 5-1 shows the classification of the services. Layer 1 VPN can be defined as a subset of the Type 2 service category. Compared to Type 1 services, the Layer 1 VPN service has features such as separate policy per VPN and distribution of membership information. For either Type 1 or Type 2 services, connections are point-to-point and can be permanent, soft-permanent, or switched. For a static service, the network is responsible for the management of both the network infrastructure and the end user connections. For dynamic service, the network is only responsible for the configuration of the infrastructure; end user connections are established dynamically by the network. + +**Table 5-1/Y.1312 – Types of layer 1 services including layer 1 VPN** + +| Types of Layer 1 services | | | +|------------------------------------------------------------------------------------------------------|-------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Type 1
Single connection service (one customer between two CEs) | Static service |
  • Permanent connection service (classic private line service)
| +| | Dynamic service |
  • Switched connection service
  • Customer-controlled soft permanent connection service
| +| Type 2
Multiple connection service (one customer; three or more CEs) | Static service |
  • Private network service
| +| | Dynamic service

Layer 1 VPN |
  • Customer-controlled soft permanent connection service
  • Switched connection service
  • Separate policy per VPN, and distribution of membership information within the group of CEs
| +| NOTE – Single connection service may be supported by multiple connections (e.g. protection purpose). | | | + +### 5.2.2 L1 VPN reference model + +Figure 5-2 shows a reference model for L1 VPN. + +![Figure 5-2/Y.1312 – L1 VPN reference model diagram. The diagram illustrates a central 'Service provider network' containing a core 'P' (Provider) and several 'PE' (Provider Edge) routers. Two groups of 'CE' (Customer Edge) routers are shown, representing 'VPN#1' and 'VPN#2'. Arrows indicate connections from each CE router to a corresponding PE router. Labels 'L1 VPN service interfaces for Customer#1' and 'L1 VPN service interfaces for Customer#2' point to the interfaces between the CE and PE routers. The diagram is labeled 'Y.1312_F5.2' in the bottom right corner.](daa4a6fa7e2ba1954258f86b4928eb32_img.jpg) + +Figure 5-2/Y.1312 – L1 VPN reference model diagram. The diagram illustrates a central 'Service provider network' containing a core 'P' (Provider) and several 'PE' (Provider Edge) routers. Two groups of 'CE' (Customer Edge) routers are shown, representing 'VPN#1' and 'VPN#2'. Arrows indicate connections from each CE router to a corresponding PE router. Labels 'L1 VPN service interfaces for Customer#1' and 'L1 VPN service interfaces for Customer#2' point to the interfaces between the CE and PE routers. The diagram is labeled 'Y.1312\_F5.2' in the bottom right corner. + +**Figure 5-2/Y.1312 – L1 VPN reference model** + +NOTE 1 – Customer may outsource management of VPN to a different organization. In this case, this organization has an authority to manage the VPN. + +NOTE 2 – The CE and PE are logical entities; the implementation is dependent on the network application. For example: + +- The CE and PE may be implemented in the same building, or even in the same equipment. In this case, the CE and PE are still regarded as logically separated entities. +- There could be a network on the user side of CE, i.e. site. +- The link between the CE and PE may be provided by the (static) network of another network operator. + +### 5.2.3 L1 VPN service definition and features + +A Layer 1 VPN is a VPN whose U-plane operates at layer 1. Thus, the L1 VPN service provides optical or TDM connections between CEs. In addition to the service features of basic L1 service described above, the Layer 1 VPN service has the following features: + +- U-plane: Layer 1 connectivity is provided to a limited set of CEs (This set of CEs forms the Layer 1 VPN membership.); +- C-plane: Some level of control and management capability is provided to the customer. + +# 6 Service scenarios + +## 6.1 Multi-service backbone + +![Diagram of a Multi-service backbone architecture showing a central Service provider network connected to multiple VPNs (VPN#1, VPN#2, VPN#3) and their respective CEs, with various services (Service A, Service B, Service C) and higher layer services.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +The diagram illustrates a multi-service backbone architecture. At the center is the 'Service provider network', represented by a large oval. To its left and right are three dashed-line boxes representing 'VPN#1', 'VPN#2', and 'VPN#3'. Each VPN box contains a 'CE' (Customer Edge) node. On the far left, 'Service A', 'Service B', and 'Service C' are shown as inputs to the CEs of VPN#1, VPN#2, and VPN#3 respectively. On the far right, 'Service A e.g. ATM', 'Service B e.g. IP', and 'Service C e.g. TDM' are shown as outputs from the CEs of VPN#1, VPN#2, and VPN#3 respectively. A dashed line encircles the three VPN boxes, labeled 'Boundary of L1 VPN service' and 'L1 VPN service demarcation'. Below this boundary, the text 'Higher layer services' is present. Arrows indicate connections from the CEs to the central Service provider network and from the network to the CEs. A reference code 'Y.1312\_F6.1' is located in the bottom right corner of the diagram area. + +Diagram of a Multi-service backbone architecture showing a central Service provider network connected to multiple VPNs (VPN#1, VPN#2, VPN#3) and their respective CEs, with various services (Service A, Service B, Service C) and higher layer services. + +**Figure 6-1/Y.1312 – Multi-service backbone** + +Multi-service backbone is characterized in terms such that one service department of a carrier receiving the carrier's L1 VPN service provides different kinds of higher-layer service. + +The customer receiving L1 VPN service can offer its own services whose payloads can be any layer (e.g. ATM, IP, TDM). From the L1 VPN service provider point of view, these services are not visible and are not part of the L1 VPN service. That is, the type of service being carried within the L1 payload is not known by the service provider. + +The benefit is that the same L1 core network resources are shared by multiple services. A large capacity backbone network (U-plane) can be built economically by having the resources shared by multiple services, usually with flexibility to modify topologies, while separating the control functions. Thus, each customer can select a specific set of features that are needed to provide their own service. + +## 6.2 Carrier's carrier + +![Diagram of Carrier's carrier architecture showing nested service provider networks and VPN interfaces.](007b053fe94a8348f75128a584503fd0_img.jpg) + +The diagram illustrates the 'Carrier's carrier' architecture. A large rectangle represents the 'Service demarcation' boundary. Inside this boundary, there are two nested ovals. The outer oval is labeled 'Service provider 1 network' and contains a central box labeled 'P' (Provider) and four boxes labeled 'PE' (Provider Edge). The inner oval is labeled 'Service provider 2 network' and contains four boxes labeled 'PE'. Arrows point from the 'PE' boxes in the inner oval to the 'PE' boxes in the outer oval, indicating connectivity. Outside the 'Service demarcation' boundary, there are four boxes labeled 'CE' (Customer Edge). Two 'CE' boxes are connected to the 'PE' boxes of the 'Service provider 2 network' via dashed lines, which are labeled 'L1 VPN service interfaces for Customer#1'. Another two 'CE' boxes are connected to the 'PE' boxes of the 'Service provider 1 network' via solid lines, which are labeled 'VPN#1'. A label 'Y.1312\_F6.2' is located at the bottom right of the diagram. + +Diagram of Carrier's carrier architecture showing nested service provider networks and VPN interfaces. + +**Figure 6-2/Y.1312 – Carrier's carrier** + +Carrier's carrier is characterized in terms such that one carrier receiving another carrier's L1 VPN service provides its own service. In this service scenario, provider 1 and provider 2 in Figure 6-2 are in different organizations. Therefore, it is expected that more limited information is provided at the service demarcation point, and more strict control is carried out than in the case of multi-service backbone. For example, customers of L1 VPN service receive: + +- limited view of L1 VPN service provider network; +- limited control over L1 VPN service provider network. + +One of the merits is that each provider can concentrate on a specific service. For example, provider 1 more focuses on L3 service, e.g. providing secure access to the Internet, while provider 2 more focuses on L1 service, i.e. providing a long haul bandwidth between cities. Provider 1 can construct its own network using L1 resources provided by the provider 2, usually with flexibility to modify topologies, and dedicated C-plane functionalities. + +## 6.3 L1 resource trading + +In addition to the scenarios where the second tier service provider is using a single core service provider as is mentioned above, it is possible for the second tier provider to have service from more than one service provider, as shown in Figure 6-3. In this service scenario, there are some benefits for the second tier service provider such as dynamic carrier selection based on the price and route redundancy. + +![Diagram illustrating L1 resource trading architecture. An 'Intermediate network (Service provider 1)' is shown as a large oval containing two smaller ovals: 'Service provider 2 network' and 'Service provider 3 network'. Two 'CE' (Customer Edge) boxes are connected to the intermediate network. The connection from the left CE passes through 'Service provider 2 network' and then 'Service provider 3 network' before exiting the intermediate network. The connection from the right CE passes through 'Service provider 3 network' and then 'Service provider 2 network' before exiting. A dashed box labeled 'L1 VPN service demarcation' encloses the two service provider networks. A label 'VPN#1' is placed near the right CE. A label 'Service demarcation' is at the bottom of the intermediate network oval. The diagram is labeled 'Y.1312_F6.3' in the bottom right corner.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Diagram illustrating L1 resource trading architecture. An 'Intermediate network (Service provider 1)' is shown as a large oval containing two smaller ovals: 'Service provider 2 network' and 'Service provider 3 network'. Two 'CE' (Customer Edge) boxes are connected to the intermediate network. The connection from the left CE passes through 'Service provider 2 network' and then 'Service provider 3 network' before exiting the intermediate network. The connection from the right CE passes through 'Service provider 3 network' and then 'Service provider 2 network' before exiting. A dashed box labeled 'L1 VPN service demarcation' encloses the two service provider networks. A label 'VPN#1' is placed near the right CE. A label 'Service demarcation' is at the bottom of the intermediate network oval. The diagram is labeled 'Y.1312\_F6.3' in the bottom right corner. + +**Figure 6-3/Y.1312 – L1 resource trading** + +The following additional features are required to realize L1 resource trading. + +**Extended service provider resource notification:** Primary tier service providers that the second tier provider is able to obtain L1 service from have a capability to publish resource information to the second tier provider. This information can be used by the second tier provider to make decisions about which service provider to obtain L1 service from. An example of such information is pricing. + +**Service provider dual homing:** The second tier provider is aware that it can use different service providers as opposed to having two demarcation points to the same provider. This is needed for making decisions based on provider characteristics like price. It is also needed for making two requests that are to be obtained in separate service providers. + +With these additional capabilities, the second tier provider can support a function that enables an L1 resource trading service. Using resource information published by its service providers, a second tier provider can decide how best to use those providers. For example, if one service provider is no longer able to satisfy requests for service, the alternate service provider can be used. The second tier provider can choose to respond to price changes over time. Another example of second tier provider use is to reduce exposure to failures in each provider (improve availability). + +NOTE – There could be several service requirements derived from this service scenario. The detailed service requirements for L1 resource trading are for further study. + +## 6.4 Inter-SP L1 VPN + +In addition to the scenarios where a single connection between two CEs is routed over a single service provider, it is possible that a connection is routed over multiple service providers. This service scenario is called Inter-SP L1 VPN. For example, this scenario is beneficial in the case where an L1 VPN is constructed by receiving service from multiple regional providers. There could be variety of business relationships among providers and customers. In this case, the detailed business relationship among providers and customers is for further study. Also, there could be several service requirements derived from this service scenario. The detailed service requirements for inter-SP L1 VPN are for further study. + +# 7 Service requirements + +Table 7-1 shows the list of requirements for L1 VPN with categorization as mandatory or optional. + +**Table 7-1/Y.1312 – Service requirements for L1 VPN** + +| Item number | Service requirement | Mandatory | Optional | +|-------------|-------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------| +| 1 | Basic layer 1 service features | Connectivity, Capacity, Transparency, Availability, Performance. | | +| 2 | Dynamic control of layer 1 connection | Soft-permanent, or switched. | | +| 3 | Notification of connection rejection | Network notifying the originating CE giving a reason for the failure, in the case where the network can not complete a service request. | | +| 4 | Subscription of multiple VPNs at the service interface | | Enabling CE to simultaneously make connections within different VPNs. | +| 5 | Parallel connection with public network | | A CE or an entity in site is connected to the public network, as well as the L1 VPN service provider. | +| 6 | Authentication | Validation of CE identity prior to allowing access to service. | | +| 7 | Authorization | Preventing CE from performing unauthorized control of the network in the L1 VPN. | | +| 8 | Accounting | | Recording the quantitative information on the usage. | +| 9 | Connectivity restrictions | Restricting connectivity based on source and destination VPN membership. | | +| 10 | Explicit link selection (NOTE – Typically only for DUPN) | | Customer specifying an explicit link or series of links (e.g. route). | +| 11 | Distribution of membership information | | Network distributing list of current members. | +| 12 | Distribution of member availability information | | Network distributing ability or willingness of current members to participate in the VPN. | +| 13 | Transfer of resource information (NOTE – Typically only for DUPN) | | Network providing network topology view, performance, utilization, resource status. | +| 14 | Transfer of connectivity information | | Network providing list of current active connections within the VPN. | + +**Table 7-1/Y.1312 – Service requirements for L1 VPN** + +| Item number | Service requirement | Mandatory | Optional | +|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| 15 | Transparent transfer of control information between customer entities | | For example, topologies of isolated sites are shared when connected over a common provider. | +| 16 | Network participation in customer domain routing | | For example, a common provider may use topology and status information of isolated sites to optimize routing. | +| 17 | Per-VPN policy | Ability to enforce policy to each VPN instance | Example: link selection policy. Network enforcing some policy on link selection for a connection. When there are multiple policies available, a customer may be able to select which policy to be applied in connection request. | +| 18 | Selection of L1 class of service (e.g. availability level) | | Customer requesting a class of service per connection basis, by which the network is mandated to select the survivability mechanisms corresponding to it. | +| 19 | CNM | | The customer's ability to view and control the service across an interface to the management system. | +| 20 | Per-CE policy and its management | | The customer's ability to modify per-CE policy. | +| 21 | Transfer of performance information | | The network providing the performance information of a L1 connection provided by the service provider. (NOTE – may include C-plane status). | +| 22 | Transfer of fault information | | The customer can receive fault information for the U-plane and C-plane resources. | +| NOTE – Requirement #15 means control information transfer over control plane. When control information is transferred over a connection between CEs, transparent transfer of control information between CEs is realized without any service-related functions in the provider network. | | | | + +## **Naming:** + +A unique address within the context of the VPN must be assigned to each CE. This address is used by the CE when making connection requests. This address may be either: + +- i) A public address assigned by the network operator: + +In this case the CE may translate connection request for the local client address to the assigned public address. The network may use this public address directly for connection routing. + +- ii) Or A private address assigned by the Customer: + +In this case the network may translate the private address into a network address to support connection routing. + +By using AAA, each customer can receive a different set of features and functionalities mentioned herein. For example, customer A and customer B receive different membership information and resource information. Another example is that customer A receives resource information, but customer B does not, based on the contract. This forms the per-VPN C-Plane functionality feature. + +# **8 Service architecture elements** + +## **8.1 C-plane and U-plane combinations** + +The elements that constitute a VPN are the U-plane resources and C-plane resources defined below. The services realized vary greatly depending on whether these resources are shared by multiple VPNs, or dedicated to an individual VPN. It is thus necessary to clarify which type is assumed in referring to L1 VPN services. + +### **8.1.1 U-plane resources** + +U-plane resources are the network facilities used for the transport of user information and, include ports, physical interfaces, TDM channels or wavelengths (e.g. links). + +- a) "Shared U-plane resources" means that the resources are used by multiple VPNs in a time-sharing manner. In other words, a specific L1 resource is used for one VPN for a certain time, and is used for another VPN after the first VPN releases the link. A layer 1 VPN with shared U-plane resources is called a Shared U-Plane Private Network (SUPN). +- b) "Dedicated U-plane resources" means that resources are VPN allocated exclusively to a VPN for its lifetime. A layer 1 VPN with dedicated U-plane is called a Dedicated U-Plane Private Network (DUPN). + +Note that connection management method in the U-plane is independent of whether the U-plane is shared or dedicated. + +### **8.1.2 C-plane resources** + +C-plane resources are connection control facilities including routing software processes and routing tables. These resources are used to realize specific algorithm and policy involved in the connection control of the U-plane resources. The function performed by these C-plane resources can be grouped into three broad categories: + +- i) Common support functions, for example: +- Physical communications channel for signalling. +- In General these functions are shared across multiple VPNs. +- ii) Functions that do not require explicit knowledge of the L1 resources for example: +- VPN membership; + - VPN policy; + - Transparent transfer of user control information. +- These functions are always dedicated to a single VPN. +- iii) Functions that require explicit knowledge of the L1 resources for example: +- Link resource management; + - Routing topology. + +These functions may be either shared or dedicated. + +The classification of shared C-plane and dedicated C-plane are applied in the context of the functions described in iii) above. The classification of dedicated C-plane is only used in the case where none of the functions described in iii) are shared. + +- a) "Shared C-plane resources" means that the same C-plane resources (to support the functions identified in iii)) may be used for the control of multiple VPNs. A layer 1 VPN with shared C-plane resources is called a Shared C-Plane Private Network (SCPN). +- b) "Dedicated C-plane resources" means that different C-plane resources are assigned to different VPNs (to support the function identified in iii)). A layer 1 VPN with dedicated C-plane resources is called a Dedicated C-Plane Private Network (DCPN). + +When the network provides service in a SUPN way, it would be enough to use SCPN. In this way, the customer can expect to receive L1 VPN service in an economical way. + +When the U-plane resources are shared, it is invalid to have the functions that manage U-plane resources dedicated per VPN (i.e. a dedicated C-plane). + +The customer of a DUPN may wish to take greater control over the management of his VPN. In such a case, resource availability information may be exchanged between CEs and the network, allowing CEs to make their own selection among the dedicated U-plane resources. In order to achieve this level of service, it may be necessary to dedicate C-plane resources to individual VPNs. + +On the other hand, it is possible to have dedicated U-plane resources while sharing C-plane resources. The customer relies on the network to control connections in a common way. A lightweight solution would be to make the network maintain the mapping between the U-plane and the VPN. An example would be a link colouring technique by which the network would keep track of link ownership through a unified mechanism. + +The C-plane uses the Data Communications Network (DCN), which is logically independent from the layer 1 U-plane. Items to be investigated both for C-plane and U-plane in order to address the above-mentioned features include: + +- Reliability: The availability of the U-plane must be monitored by the C-plane, which is built on a network that may be independent of the U-plane. A failure in the C-plane must not directly affect the availability of any already established U-plane connections. When the C-plane is restored, it must be able to resynchronize with the U-plane. +- Routing: The route information relative to the U-plane must be held in the C-plane, which is built on a network that may be independent of the U-plane. + +| | | C-plane | | +|---------|---------------------------|-------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------| +| | | Shared
(Single instance) | Dedicated
(Multiple instance) | +| U-plane | Shared
(Time division) | Pink oval with diagonal lines SUPN/SCPN | Not valid | +| | Dedicated | Green oval with diagonal lines DUPN/SCPN | Blue oval with grid pattern DUPN/DCPN | + +Y.1312\_F8.1 + +**Figure 8-1/Y.1312 – U-plane – C-plane PN combinations** + +## 8.2 Description of service examples based on C-plane and U-plane combination + +### 8.2.1 DUPN + +DUPN is supported by a set of permanently allocated (or dedicated) resources. Details of the resources allocated to the partition can be made visible to the customer. Note that, in general, links + +presented to the VPN will transit other flexibility points in the network that are not visible in the abstraction provided to the VPN. + +**Topology** – If required, the geographic location of link ends and details of the route taken by the server layer (down to the duct level) can be provided as part of the service contract in the same way that the routing of dedicated private lines is provided today. + +**Link status** – Can be provided for links within the network and links between CE and PE via a CNM interface. + +**Routing policy** – The customer can provide routing constraints via the CNM interface. + +**Connection status and Performance Measurements (PMs)** – The PMs can be provided on a per-connection basis via a CNM interface. Note that in some cases, this interface is referred to as a *Customer Service Management (CSM)* interface. + +### 8.2.2 SUPN + +SUPN is supported by a set of resources that are allocated, on demand, from a common pool with a guarantee of the minimum available and maximum allowed capacity between customer sites defined in the service contract. The resources in the carriers network are not visible to the customer. The VPN partition is presented as a set of links connecting each customer site to a subnetwork that represents the partition within the carrier's network as shown in Figure 8-2. + +![Diagram of Shared U-plane Private Network (SUPN) showing customer sites connected to a central carrier network partition.](77464a47f104d0d647b2414591137b64_img.jpg) + +The diagram illustrates a Shared U-plane Private Network (SUPN). On the left, three customer sites (Customer site 1, Customer site 2, and Customer site 3) are represented by cloud icons. On the right, three customer sites (Customer site 4, Customer site 5, and Customer site 6) are also represented by cloud icons. In the center, a large oval represents the 'Partition in the carriers network abstracted as a complex subnetwork'. Two vertical dashed lines, each labeled 'UNI' (User Network Interface), separate the customer sites from the central network partition. Lines connect each customer site to the central network partition, passing through the UNI lines. The label 'Y.1312\_F8.2' is located at the bottom right of the diagram. + +Diagram of Shared U-plane Private Network (SUPN) showing customer sites connected to a central carrier network partition. + +Topology - No details are provided. + +Link Status - Can be provided for links between CE and PE via a CNM interface. + +Connection status and PMs - The PMs can be provided on a per-connection basis via a CNM interface. + +Note that in some cases this interface is referred to as a CSM (Customer Service Management) interface. + +**Figure 8-2/Y.1312 – Shared U-plane Private Network (SUPN)** + +## 8.3 L1 VPN functional model + +Figure 8-3 shows the L1 VPN reference model including functional entities. Note that Figure 8-3 is a high level description of a functional model. Functional entities may be implemented by extended basic network control functional entities, such as signalling and routing, or may be implemented as separate functional entities. The functional entities in the network may be implemented in PE, P, or in the centralized fashion. Also, functional entities in the customer may be implemented in CE or in the centralized fashion. Details of functional entities are as follows. + +![Figure 8-3/Y.1312 – L1 VPN reference model with functional entities. The diagram shows a network topology with CE, PE, P, and PE nodes. It includes two boxes for functional entities in the customer and network, and a third box for functional entities in the network (not directly communicating to customers). Arrows indicate information flow between the customer and network entities.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +**Functional entities in the customer** + +- Explicit link selection +- Selection of L1 class of service +- Per-CE policy and its management +- Transfer of fault information +- Transfer of performance information +- Notification of connection rejection +- Authentication +- Dynamic control of layer 1 connection +- Transfer of connectivity information +- Transfer of resource information +- Transparent transfer of control information between customer entities +- Network participation in customer domain routing +- Distribution of membership availability information +- Distribution of membership information +- Basic L1 service features + +**Functional entities in the network** + +- Per-VPN policy +- Authorization +- Accounting +- Connectivity restrictions +- Per-CE policy and its management +- Transfer of fault information +- Transfer of performance information +- Notification of connection rejection +- Authentication +- Dynamic control of Layer 1 connection +- Transfer of connectivity information +- Transfer of resource information +- Transparent transfer of control information between customer entities +- Network participation in customer domain routing +- Distribution of membership availability information +- Distribution of membership information +- Basic L1 service features + +**Information flow** + +**Functional entities in the network (not directly communicating to customers)** + +- Membership maintenance +- Customer domain routing information maintenance +- Network topology information maintenance +- Connectivity information maintenance +- Mapping of class of service to survivability mechanisms +- Link selection +- Connection handling +- Performance monitoring +- Fault management +- CE to VPN mapping + +Y.1312\_F8.3 + +Figure 8-3/Y.1312 – L1 VPN reference model with functional entities. The diagram shows a network topology with CE, PE, P, and PE nodes. It includes two boxes for functional entities in the customer and network, and a third box for functional entities in the network (not directly communicating to customers). Arrows indicate information flow between the customer and network entities. + +**Figure 8-3/Y.1312 – L1 VPN reference model with functional entities** + +- 1) *Functional entities with information exchange between customer and network as indicated in the figure* + +The following service requirements are realized by functional entities which are accompanied with information exchange between customer and network. + +NOTE 1 – An actual information termination point may not reside in CE or PE. For example, proxies may be used. Thus, functional entities may not reside in CE or PE. + +- Basic L1 service features: This service feature is realized by CE sending information to network, and network sending information to CE. +- Distribution of membership information: This service feature is realized by network detecting the addition/deletion (in terms of physical connectivity availability) of CE, and distributing information of this addition/deletion to the customer for that VPN. + +- Distribution of membership availability information: This service feature is realized by CE informing the network about the ability or willingness, and the network informing the customer of that VPN about this information. +- Network participation in customer domain routing: This service feature is realized by customer informing the network about its domain's routing information (i.e. network topology information within site), and the network informing the customer of that VPN about this information. The network uses customer domain routing information in order to optimize routing. +- Authentication: This service feature is realized by the customer requesting the network to validate their access to network service, and the network responding to the customer about its validity. +- Transparent transfer of control information between customer entities: This service feature is realized by the customer transferring the control information to the network, and the network transparently transferring this control information to the customer. + +### 2) *Functional entities with information flow from network to customer as indicated in the figure* + +The following service features are realized by functional entities which are accompanied with information flow from network to customer. + +- Transfer of resource information: This service feature is realized by the network informing the customer about topology view, performance, utilization and resource status. +- Transfer of connectivity information: This service feature is realized by the network informing the customer list of current active connections within the VPN. The network obtains information about the list of current active connections via functional entities for Dynamic control of Layer 1 connection. +- Notification of connection rejection: This service feature is realized by the network informing the customer about a reason for failure, when the network can not complete a service request. +- Transfer of performance information: This service feature is realized by the network informing the customer about performance information of a connection. +- Transfer of fault information: This service feature is realized by the network informing the customer about fault information (working or failure). Here, fault information includes about a connection, and may include U-plane and/or C-plane resources dedicated for a specific VPN. + +### 3) *Functional entities with information flow from customer to network as indicated in the figure* + +The following service features are realized by functional entities which are accompanied with information flow from customer to network. + +- Dynamic control of layer 1 connection: This service feature is realized by the customer requesting the network to create, delete and modify connections. Note that when layer 1 connection control is realized by signalling type of mechanism, the information exchange becomes both ways, thus categorized as 1, since the remote CE receives the connection request that the local CE has sent. + +NOTE 2 – At the request of a customer to network for dynamic control of layer 1 connection, information such as customer's explicit request on link selection (e.g. explicit route), or class of survivability, may be included. This is one of the possible forms that realize service features of explicit link selection and selection of L1 class of service. + +- Per-CE policy and its management: This service feature is realized by the customer requesting the network to modify the per-CE policy. + +### 4) *Functional entities in the network* + +The following service features are realized by functional entities residing in the network. + +- Connectivity restrictions: This service feature is realized by network accepting or rejecting the request from the dynamic control of layer 1 connection. +- Authorization: This service feature is realized by network preventing the user from performing unauthorized control of the network in the L1 VPN. +- Accounting: This service feature is realized by network recording quantitative information on usage. +- Per-VPN policy: This service feature is realized by network enforcing policy per VPN basis. The trigger to enforce policy may include request from a customer (e.g. via dynamic control of layer 1 connection) or failure. + +In addition to functional entities directly communicating to customers, there are several additional functional entities within the provider network that support the L1 VPN service. Those functional entities include: + +- Membership maintenance: The functional entity to maintain membership information, so that the provider can provide membership information to customers. +- Customer domain routing information maintenance: The functional entity to maintain customer domain routing information, so that the provider can participate in customer domain routing. +- Network topology information maintenance: The functional entity to maintain network topology information within the provider network, so that provider can route connections as well as provide topology information to customers. +- Connectivity information maintenance: The functional entity to maintain connectivity information within the provider network, so that provider can provide connectivity information to customers. +- Mapping of class of service to survivability mechanisms: The functional entity to map a requested class of service for a customer connection to the corresponding survivability mechanisms. +- Link selection: The functional entity to manage resources within the provider network, including route selection algorithm and connection admission control mechanisms. +- Connection handling: The functional entity to set up/delete/modify connections between CEs. +- Performance monitoring: The functional entity to monitor the performance of U-plane connections (link and connection), e.g., by power monitoring, BER monitoring and overhead byte monitoring. +- Fault management: The functional entity to handle faults within the network, including fault localization, recovery and notification. +- CE to VPN mapping: The functional entity that maps CE and VPN. + +### 5) *Functional entities in the customer* + +The following service feature is realized by the functional entity residing in the customer. + +- Explicit link selection: This service feature is realized by the customer explicitly selecting a link or series of links to use for a connection that the customer likes to request, by using the resource information provided from the network. +- Selection of L1 class of service: This service feature is realized by the customer requesting a class of service on a per-connection basis. + +Table 8-1 categorizes how each functional entity exchanges information, namely in U-plane, C-plane or M-plane. Note that U-plane, C-plane and M-plane in Table 6-1 means the plane over which the information can be transferred, rather than the plane to which the information belongs. + +**Table 8-1/Y.1312 – Mapping of functional entities with U/C/M plane** + +| Functional entity | U-plane | C-plane | M-plane | +|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|---------|---------| +| Basic layer 1 service features | X | | | +| Distribution of membership information | | X | X | +| Distribution of membership availability information | | X | X | +| Network participation in customer domain routing | | X | X | +| Transparent transfer of control information between customer entities | | X | X | +| Transfer of resource information | | X | X | +| Transfer of connectivity information | | X | X | +| Dynamic control of layer 1 connection | | X | X | +| Authentication (see NOTE 1) | | X | X | +| Notification of connection rejection | | X | X | +| Transfer of fault information | | X | X | +| Transfer of performance information | | | X | +| Per-CE policy and its management | | | X | +| NOTE 1 – When PE terminates information from CE for authentication, PE may communicate with the functional entity that actually performs the authentication (e.g., authentication server) in M-plane. | | | | +| NOTE 2 – There is a variety of ways to realize the functional entities mentioned herein. Functional entities may be realized by a distributed system, or by a centralized system. | | | | + +# 9 Security aspects + +The information exchange between customer and network must be guaranteed in its integrity and confidentiality. + +In addition, the network must provide services only to valid customers, by means of authentication and authorization, as mentioned in clause 7. + +# Annex A + +## Functions performed by the CE in a L1 VPN + +This annex provides a more detailed description of the CE in the context of a L1 VPN. + +The CE is a container that is visible at the service interface between a customer site and the network. The CE is a logical construct that hides the implementation and topology of the customer site. Therefore, the network has no visibility of the location of the functions contained within the CE. + +The functions contained by the CE are: + +**Connection User (CU):** This entity is the (client) application that uses a trail and interacts directly with G.805 access points by presenting and receiving adapted information. This is the point at which the payload is assembled (and disassembled). + +**Customer Call Agent (CCA):** This is the entity that requests the network to establish or release connections for a CU or that accepts a connection establishment or release request from the network. It is also responsible for the transfer of the customer site topology between CEs or between the CE and the network. + +The CE is attached to the PE within the network by a link. When viewed from the network, the CE represents the logical termination of the bearer connections in the link and the control plane messages as shown in Figure A.1. + +![Diagram showing the relationship between the CE and the network. The CE is a container with CCA and CU functions. The CCA connects to the Network via the Control (C-plane). The CU connects to the Network via the Transmission (U-plane). The Service interface separates the CE from the Network.](6f31cdb576d2f15c35c3f266e5f59211_img.jpg) + +The diagram illustrates the relationship between a Customer Equipment (CE) and a Network. On the left, a rectangular box labeled 'CE' contains two smaller rounded rectangles: 'CCA' (Customer Call Agent) at the top and 'CU' (Connection User) at the bottom. A vertical line, labeled 'Service interface' at the bottom, separates the CE from the Network on the right. The Network is represented by a large, curved, double-lined shape. Two horizontal lines connect the CE to the Network: a dashed line from CCA to the Network labeled 'Control (C-plane)', and a solid line from CU to the Network labeled 'Transmission (U-plane)'. The identifier 'Y.1312\_FA.1' is located at the bottom right of the Network shape. + +Diagram showing the relationship between the CE and the network. The CE is a container with CCA and CU functions. The CCA connects to the Network via the Control (C-plane). The CU connects to the Network via the Transmission (U-plane). The Service interface separates the CE from the Network. + +**Figure A.1/Y.1312 – Relationship between the CE and the network** + +A CE may participate in more than one VPN, it may also access the public network, in this case the link may also be shared. + +In the case of a nested L1 VPN shown in Figure A.2, the CU function is physically located in the end-CE. The CCA function associated with each CE is implemented within the customer site. The CCA makes a call request to the network in the context of the other CEs belonging to the same VPN that are also attached to that network. In this case, the CCA is also responsible for conveying the context of the original call request to the intermediated CCA. In the example network below, the CCA in CEp11 must convey the destination address (CEc2) provided by the originating CCA (in CEc1) to CEp12. + +In this case, provider 1 may share the VPN service from provider 2 among several customer VPNs. Provider 2 need not be aware of this sharing. Also the customer VPNs of provider 1 need not be aware that provider 1 is using a VPN from provider 2. + +![Diagram of a nested VPN application showing three nested ovals: Enterprise (outer), Provider 1 (middle), and Provider 2 (inner). End-CEc1 connects to CEc1 in the Enterprise. CEc1 connects to CEp11 in Provider 1. CEp11 connects to CEp12 in Provider 2. CEp12 connects to CEc2 in Provider 1. CEc2 connects to End-CEc2 in the Enterprise. Red arrows indicate call request contexts: from End-CEc1 to End-CEc2 (Enterprise context), from CEc1 to CEp12 (Provider 2 context), and from CEp11 to CEc2 (Provider 1 context). A legend shows a double line for 'Layer 1 VPN service interface'.](c5452f95f3b28f1bfe29e84fbc2e1267_img.jpg) + +Call request is in the context of the VPN service of provider 2 i.e. the (sub) call destination is CEp12 + +Call request is in the context of the VPN service of provider 1 i.e. the (sub) call destination is CEc2 + +Call request is in the context of the enterprise i.e. the destination is end-CEc2 + +═ Layer 1 VPN service interface + +Y.1312\_FA.2 + +Diagram of a nested VPN application showing three nested ovals: Enterprise (outer), Provider 1 (middle), and Provider 2 (inner). End-CEc1 connects to CEc1 in the Enterprise. CEc1 connects to CEp11 in Provider 1. CEp11 connects to CEp12 in Provider 2. CEp12 connects to CEc2 in Provider 1. CEc2 connects to End-CEc2 in the Enterprise. Red arrows indicate call request contexts: from End-CEc1 to End-CEc2 (Enterprise context), from CEc1 to CEp12 (Provider 2 context), and from CEp11 to CEc2 (Provider 1 context). A legend shows a double line for 'Layer 1 VPN service interface'. + +**Figure A.2/Y.1312 – Example of a nested VPN application** + +# Appendix I + +## Relationship with L2/L3 VPNs + +## I.1 Multipoint connectivity for L3/L2 VPN and layer 1 VPN + +A layer 2 or 3 application may be associated with multiple Connection Users (CUs) (see Annex A). Each CU can support a point-to-point connection. Each connection exists between a pair of CUs (and not between more than two CUs). The basic requirement for layer 1 VPN is to support any-to-any point-to-point communication within the context of the VPN. Point-to-multipoint connectivity between the layer 2 or layer 3 applications using the CU is achieved by the use of multiple (layer 1) point-to-point connections. + +![Two diagrams illustrating multipoint connectivity. Diagram (a) shows an L3/L2 VPN with a central node connected to multiple nodes, each with its own triangle representing a connection user. Diagram (b) shows an L1 VPN with a central node connected to multiple nodes, each with its own triangle representing a connection user. Both diagrams show a central node connected to multiple nodes, each with its own triangle representing a connection user.](171115f072e42b379238ed0dd438e9d7_img.jpg) + +a) L3/L2 VPN + +b) L1 VPN + +Y.1312\_FI-1 + +Two diagrams illustrating multipoint connectivity. Diagram (a) shows an L3/L2 VPN with a central node connected to multiple nodes, each with its own triangle representing a connection user. Diagram (b) shows an L1 VPN with a central node connected to multiple nodes, each with its own triangle representing a connection user. Both diagrams show a central node connected to multiple nodes, each with its own triangle representing a connection user. + +**Figure I.1/Y.1312 – Multipoint connectivity for L3/L2 VPN and layer 1 VPN** + +## I.2 C/U-planes for L3/L2 VPN and layer 1 VPN + +The layer 1 U-plane transports the information of higher layers transparently. Therefore, unlike L3/L2 VPNs, it is not possible to decode control messages carried on the layer 1 U-plane. A physically separated C-plane network must be constructed in order to exchange control messages. + +![Figure I.2/Y.1312 – C/U-Planes for L3/L2 VPN and Layer 1 VPN. The diagram shows two scenarios: a) L3/L2 VPN and b) L1 VPN. In both, a Customer Equipment (CE) and a Provider Equipment (PE) are connected. In a) L3/L2 VPN, C-plane data and U-plane data are shown as separate flows between CE and PE. In b) L1 VPN, C-plane data and U-plane data are shown as separate flows, but the U-plane data flow is labeled 'Y.1312_FI-2'.](7133ccf78043568ca62ecbcd43628a4a_img.jpg) + +a) L3/L2 VPN + +b) L1 VPN + +Figure I.2/Y.1312 – C/U-Planes for L3/L2 VPN and Layer 1 VPN. The diagram shows two scenarios: a) L3/L2 VPN and b) L1 VPN. In both, a Customer Equipment (CE) and a Provider Equipment (PE) are connected. In a) L3/L2 VPN, C-plane data and U-plane data are shown as separate flows between CE and PE. In b) L1 VPN, C-plane data and U-plane data are shown as separate flows, but the U-plane data flow is labeled 'Y.1312\_FI-2'. + +**Figure I.2/Y.1312 – C/U-Planes for L3/L2 VPN and Layer 1 VPN** + +NOTE – In L2/L3 VPN, it would be possible to have a physically separated C-plane network, but that is not usual. + +The service demarcation is between the CE and the network. If there are nested service interfaces, as in the case of nested VPNs, then Customer Call Agents (CCAs) (see Annex A), will be nested also as described in Annex A. No assumption of an implementation on the service provider side is made. + +With layer 1 VPNs, in addition to the user plane and the control plane separation, the service is always connection-oriented. The CU is associated with the user plane. For any connection, there are exactly two CUs, one at each end. This is where the data from higher layers gets put into the layer 1 payload. The CCA is associated with the control plane. There is a CCA wherever there is an optical service interface across which a connection request can be made. + +Figure I.3 shows further differences between network-based L3/L2 VPNs and network-based layer 1 VPN with respect to the role of customer equipment. + +![Figure I.3/Y.1312 – Network and customer equipment functional differences. The diagram compares the roles of network-based L3/L2 VPN and network-based L1VPN. On the left, 'Possible network's service' lists: Provision connectivity, Provide packet/frame routing, Provide security, Provide intra-VPN reachability info, Provide fault management, Provide performance management, etc. On the right, 'Customer equipment's role' lists: Connectivity request, Decide which connection to use to reach a particular site. Below this, 'Network's functions' lists: Provision connectivity, Provide security, Provide intra-VPN reachability info, Provide fault management, Provide performance management, etc. Arrows indicate that the network's functions are a subset of the possible network's services, and the customer equipment's role is a subset of the network's functions.](2734e7f9be3e1dc046f14be2e6c9a085_img.jpg) + +a) Network-based L3/L2 VPN + +b) Network-based L1VPN + +Figure I.3/Y.1312 – Network and customer equipment functional differences. The diagram compares the roles of network-based L3/L2 VPN and network-based L1VPN. On the left, 'Possible network's service' lists: Provision connectivity, Provide packet/frame routing, Provide security, Provide intra-VPN reachability info, Provide fault management, Provide performance management, etc. On the right, 'Customer equipment's role' lists: Connectivity request, Decide which connection to use to reach a particular site. Below this, 'Network's functions' lists: Provision connectivity, Provide security, Provide intra-VPN reachability info, Provide fault management, Provide performance management, etc. Arrows indicate that the network's functions are a subset of the possible network's services, and the customer equipment's role is a subset of the network's functions. + +**Figure I.3/Y.1312 – Network and customer equipment functional differences** + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series B | Means of expression: definitions, symbols, classification | +| Series C | General telecommunication statistics | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | TMN and network maintenance: international transmission systems, telephone circuits, telegraphy, facsimile and leased circuits | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks and open system communications | +| Series Y | Global information infrastructure, Internet protocol aspects and Next Generation Networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.1414-200407-I_PDF-E/1eadbbe42cfcac5c0023577110aec5e3_img.jpg b/marked/Y/T-REC-Y.1414-200407-I_PDF-E/1eadbbe42cfcac5c0023577110aec5e3_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..1f7c1fd71fddcca5d25091dd8c8d8df53bd05c6f --- /dev/null +++ b/marked/Y/T-REC-Y.1414-200407-I_PDF-E/1eadbbe42cfcac5c0023577110aec5e3_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:2d092a5d5f836312a9f8797c6acae4d94eb6b1323a730a10484bbc854e2cfda7 +size 52933 diff --git 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b/marked/Y/T-REC-Y.1414-200407-I_PDF-E/raw.md @@ -0,0 +1,679 @@ + + +![ITU logo: a blue globe with a red lightning bolt and the letters ITU in blue.](2dfa6ac3edfe874f68aa0cbccaa42322_img.jpg) + +ITU logo: a blue globe with a red lightning bolt and the letters ITU in blue. + +INTERNATIONAL TELECOMMUNICATION UNION + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.1414 + +(07/2004) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT GENERATION NETWORKS + +Internet protocol aspects – Interworking + +# --- **Voice services – MPLS network interworking** + +ITU-T Recommendation Y.1414 + +--- + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **ITU-T Recommendation Y.1414** + +# **Voice services – MPLS network interworking** + +## **Summary** + +This Recommendation focuses on the required functions and procedures necessary for support of narrow-band voice services by MPLS networks. Details of the encapsulation of encoded audio streams in MPLS packets are specified. + +## **Source** + +ITU-T Recommendation Y.1414 was approved on 29 July 2004 by ITU-T Study Group 13 (2001-2004) under the ITU-T Recommendation A.8 procedure. + +## **Keywords** + +AAL type 2, Interworking, MPLS, Network, VoIP, Voice services, User Plane. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications. The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementors are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database. + +© ITU 2004 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +# CONTENTS + +| | | Page | +|----|------------------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 3 | +| 4 | Abbreviations..... | 3 | +| 5 | Conventions ..... | 4 | +| 6 | Voice services – MPLS network interworking..... | 4 | +| 7 | General requirements..... | 5 | +| | 7.1 User plane requirements ..... | 6 | +| | 7.2 Control plane aspects..... | 6 | +| | 7.3 Management plane aspects ..... | 6 | +| | 7.4 Traffic management aspects ..... | 7 | +| 8 | Functional group considerations for voice services – MPLS network interworking ... | 7 | +| | 8.1 MPLS transport label..... | 7 | +| | 8.2 Interworking label ..... | 7 | +| | 8.3 Common interworking indicators..... | 7 | +| 9 | Voice over IP over MPLS..... | 9 | +| 10 | Voice over MPLS using AAL type 2 SSCS for narrowband services ..... | 9 | +| | 10.1 Transport label..... | 10 | +| | 10.2 Interworking label ..... | 10 | +| | 10.3 Common interworking indicators..... | 10 | +| | 10.4 Payload ..... | 10 | +| 11 | Voice over MPLS using MPLS Forum IA 1.0 ..... | 10 | +| | 11.1 Transport label..... | 10 | +| | 11.2 Interworking label ..... | 10 | +| | 11.3 Common interworking indicators..... | 10 | +| | 11.4 Payload ..... | 11 | +| | Appendix I – Primary and control sub-frames used in MPLS Forum 1.0 ..... | 11 | +| | I.1 Sub-frames..... | 11 | +| | I.2 Primary Sub-frame ..... | 12 | +| | I.3 Control sub-frame..... | 12 | +| | I.4 Format of the primary sub-frame ..... | 13 | + +# **Introduction** + +This Recommendation focuses on the required functions and procedures necessary for support of narrow-band voice services by MPLS networks. Details of the encapsulation of encoded audio streams in MPLS packets are specified. + +## ITU-T Recommendation Y.1414 + +# Voice services – MPLS network interworking + +# 1 Scope + +This Recommendation focuses on the required functions and procedures necessary for support of narrow-band voice services by MPLS networks. ITU-T Rec. Y.1261 [1] describes the service requirements and architecture for transport of voice services over MPLS networks. + +Narrow-band voice services include encoded audio streams, telephony call progress tones, fax, and optionally circuit mode data. + +This Recommendation specifies encapsulation of encoded audio in MPLS packets. Algorithms for encoding audio streams are beyond the scope of this Recommendation. + +This Recommendation includes three modes: + +- voice over IP over MPLS; +- voice over MPLS using AAL type 2 SSCS [2] and [3] for narrow-band services; and +- voice over MPLS using MPLS Forum IA 1.0 [4]. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [1] ITU-T Recommendation Y.1261 (2002), *Service requirements and architecture for voice services over Multi-Protocol Label Switching*. +- [2] ITU-T Recommendation I.366.2 (2000), *AAL type 2 service specific convergence sublayer for narrow-band services*, plus Corrigendum 1 (2002). +- [3] ITU-T Recommendation I.363.2 (2000), *B-ISDN ATM Adaptation Layer specification: Type 2 AAL*. +- [4] MPLS Forum Implementation Agreement MPLS Forum 1.0 (2001), *Voice Over MPLS – Bearer Transport*. +- [5] ITU-T Recommendation Y.1411 (2003), *ATM-MPLS network interworking – Cell mode user plane interworking*. +- [6] ITU-T Recommendation G.805 (2000), *Generic functional architecture of transport networks*. +- [7] ITU-T Recommendation G.711 (1988), *Pulse code modulation (PCM) of voice frequencies*. +- [8] ITU-T Recommendation G.723.1 (1996), *Speech coders: Dual rate speech coder for multimedia communications transmitting at 5.3 and 6.3 kbit/s*. +- [9] ITU-T Recommendation G.726 (1990), *40, 32, 24, 16 kbit/s Adaptive Differential Pulse Code Modulation (ADPCM)*. +- [10] ITU-T Recommendation G.727 (1990), *5-, 4-, 3- and 2-bit/sample embedded adaptive differential pulse code modulation (ADPCM)*. + +- [11] ITU-T Recommendation G.729 (1996), *Coding of speech at 8 kbit/s using conjugate-structure algebraic-code-excited linear-prediction (CS-ACELP)*. +- [12] ETSI EN 301 703 V7.0.2 (1999), *Digital Cellular Telecommunications System (Phase 2+) (GSM) Adaptive Multi-Rate (AMR); Speech processing functions; General description (GSM 06.71 version 7.0.2 Release 1998)*. +- [13] ITU-T Recommendation G.722 (1988), *7 kHz audio-coding within 64 kbit/s*. +- [14] ITU-T Recommendation G.722.1 (2000), *Coding at 24 and 32 kbit/s for hands-free operation in systems with low frame loss*. +- [15] ITU-T Recommendation G.722.2 (2003), *Wideband coding of speech at around 16 kbit/s using Adaptive Multi-Rate Wideband (AMR-WB)*. +- [16] ITU-T Recommendation G.711 Appendix I (1999), *A high quality low-complexity algorithm for packet loss concealment with G.711*. +- [17] ITU-T Recommendation Q.23 (1988), *Technical features of push-button telephone sets*. +- [18] ITU-T Recommendation Q.24 (1988), *Multifrequency push-button signal reception*. +- [19] ITU-T Recommendation E.180/Q.35 (1998), *Technical characteristics of tones for the telephone service*. +- [20] ITU-T Recommendation I.251.3 (1992), *Number identification supplementary services: Calling Line Identification Presentation*. +- [21] ITU-T Recommendation Q.310-Q.332 (1988), *Specifications of Signalling System R1*. +- [22] ITU-T Recommendation Q.400-Q.490 (1988), *Specifications of Signalling System R2*. +- [23] ITU-T Recommendation Q.724 (1988), *Telephone user part signalling procedures, plus Amendment 1 (1993)*. +- [24] ITU-T Recommendation T.4 (2003), *Standardization of Group 3 facsimile terminals for document transmission*. +- [25] ITU-T Recommendation T.30 (2003), *Procedures for document facsimile transmission in the general switched telephone network*. +- [26] ITU-T Recommendation V.17 (1991), *A 2-wire modem for facsimile applications with rates up to 14 400 bit/s*. +- [27] ITU-T Recommendation V.29 (1988), *9600 bits per second modem standardized for use on point-to-point 4-wire leased telephone-type circuits*. +- [28] ITU-T Recommendation V.18 (2000), *Operational and interworking requirements for DCEs operating in the text telephone mode*. +- [29] IETF RFC 3032 (2001), *MPLS Label Stack Encoding*. +- [30] IETF RFC 3031 (2001), *Multiprotocol Label Switching Architecture*. +- [31] IETF RFC 768 (1980), *User Datagram Protocol*. +- [32] IETF RFC 3550 (2003), *RTP: A Transport Protocol for Real-Time Applications*. +- [33] ATM Forum specification af-vmoa-0145.001 (2003), *Loop Emulation Service Using AAL2 Rev 1*. +- [34] MPLS and Frame Relay Alliance 5.0.0 (2003), *I.366.2 Voice Trunking Format over MPLS, Implementation Agreement*. + +# 3 Definitions + +This Recommendation defines or uses the following terms: + +**3.1 interworking:** See ITU-T Rec. Y.1411 [5]. + +**3.2 interworking function (IWF):** See ITU-T Rec. Y.1411 [5]. + +**3.3 ingress IWF:** The point where the voice services are encapsulated into an MPLS packet (Voice-to-MPLS direction). + +**3.4 egress IWF:** The point where the voice services are de-encapsulated from an MPLS packet (MPLS-to-voice direction). + +# 4 Abbreviations + +This Recommendation uses the following abbreviations: + +| | | +|------|------------------------------------------------| +| AAL2 | ATM Adaptation Layer 2 | +| CAS | Channel Associated Signalling | +| CCS | Common Channel Signalling | +| CID | Channel Identifier | +| CLI | Calling Line Identification | +| CPS | Common Part Sublayer | +| CPT | Call Progress Tone | +| CRC | Cyclic Redundancy Check | +| CU | Combined Use | +| DTMF | Dual Tone Multi Frequency | +| HEC | Header Error Control | +| IP | Internet Protocol | +| IWF | InterWorking Function | +| LSP | Label Switched Path | +| LSR | Label Switching Router | +| MPLS | Multi-Protocol Label Switching | +| MTU | Maximum Transport Unit | +| OAM | Operation And Maintenance | +| PDU | Protocol Data Unit | +| QoS | Quality of Service | +| RFC | Request for Comments | +| RTP | Real Time Protocol | +| SSCS | Service Specific Convergence Sublayer (of AAL) | +| STF | Start Field | +| TDM | Time Division Multiplexing | +| TTL | Time To Live | +| UDP | User Datagram Protocol | + +| | | +|------|-------------------------| +| UUI | User-to-User Indication | +| VoIP | Voice over IP | +| VS | Voice Services | + +# 5 Conventions + +In this Recommendation the term voice services is synonymous with narrow-band services, and includes 8 kHz digitized audio (carrying voice, telephony tones, fax and modem transmissions, etc). It optionally may include 16 kHz digitized audio ("wideband speech"), and 64 kbit/s data. + +In this Recommendation voice services are considered without regard to the physical interface over which they are provided. In particular, while this physical interface may be a TDM link carrying multiple voice-grade channels, other cases are frequently encountered. + +# 6 Voice services – MPLS network interworking + +Figure 6-1 provides a general network architecture for support of narrow-band voice services by MPLS networks. For the voice services-to-MPLS direction, the continuous voice services data (stream or frame) is encapsulated into an MPLS packet by the interworking function (IWF). For the MPLS-to-voice services direction, the voice services data is extracted from the MPLS packets. + +The MPLS network contains a number of Label Switching Routers (LSR), and Label Switched Paths (LSP). An example LSP is shown as a solid line in Figure 6-1. + +Figure 6-2 depicts the network functional architecture of voice services-MPLS network interworking using the diagrammatic techniques of ITU-T Rec. G.805 [6]. + +Figure 6-3 shows the network reference model and protocol layers for user plane aspects of voice services-MPLS interworking. + +![Figure 6-1/Y.1414 – Reference architecture for voice services-MPLS network interworking. The diagram shows two 'End System' blocks (End System 1 and End System 2) connected to 'Voice services' clouds. These clouds connect to 'IWF' (Interworking Function) blocks, which are split into 'VS' (Voice Services) and 'MPLS' sections. The 'MPLS' sections connect to an 'MPLS' network cloud containing several 'LSR' (Label Switching Router) nodes. A solid line represents an 'LSP' (Label Switched Path) through the network. Below the diagram, a legend defines the symbols: a circle for LSR, a solid line for LSP, and 'VS' for Voice Services. A horizontal arrow at the bottom indicates the flow from 'Voice services' to 'MPLS network' and back. The identifier 'Y.1414_F6-1' is in the bottom right corner.](1eadbbe42cfcac5c0023577110aec5e3_img.jpg) + +Y.1414\_F6-1 + +○ LSR Label Switching Router +— LSP Label Switched Path +VS Voice Services + +Figure 6-1/Y.1414 – Reference architecture for voice services-MPLS network interworking. The diagram shows two 'End System' blocks (End System 1 and End System 2) connected to 'Voice services' clouds. These clouds connect to 'IWF' (Interworking Function) blocks, which are split into 'VS' (Voice Services) and 'MPLS' sections. The 'MPLS' sections connect to an 'MPLS' network cloud containing several 'LSR' (Label Switching Router) nodes. A solid line represents an 'LSP' (Label Switched Path) through the network. Below the diagram, a legend defines the symbols: a circle for LSR, a solid line for LSP, and 'VS' for Voice Services. A horizontal arrow at the bottom indicates the flow from 'Voice services' to 'MPLS network' and back. The identifier 'Y.1414\_F6-1' is in the bottom right corner. + +**Figure 6-1/Y.1414 – Reference architecture for voice services-MPLS network interworking** + +![Figure 6-2/Y.1414 – Functional architecture of voice services-MPLS network interworking depicted according to the diagrammatic conventions of G.805. The diagram shows a sequence of components: VS CP, VS, MPLS /VS, AP, MPLS TCP, MPLS, MPLS TCP, AP, MPLS /VS, VS CP, VS. These are grouped into three sections: Voice services network (VS CP, VS), MPLS network (MPLS /VS, AP, MPLS TCP, MPLS, MPLS TCP, AP, MPLS /VS), and Voice services network (VS CP, VS). A legend defines: AP Access Point, CP Connection point, TCP Termination Connection Point, VS Voice Services. Reference: Y.1414_F6-2.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +AP Access Point +CP Connection point +TCP Termination Connection Point +VS Voice Services + +Y.1414\_F6-2 + +Figure 6-2/Y.1414 – Functional architecture of voice services-MPLS network interworking depicted according to the diagrammatic conventions of G.805. The diagram shows a sequence of components: VS CP, VS, MPLS /VS, AP, MPLS TCP, MPLS, MPLS TCP, AP, MPLS /VS, VS CP, VS. These are grouped into three sections: Voice services network (VS CP, VS), MPLS network (MPLS /VS, AP, MPLS TCP, MPLS, MPLS TCP, AP, MPLS /VS), and Voice services network (VS CP, VS). A legend defines: AP Access Point, CP Connection point, TCP Termination Connection Point, VS Voice Services. Reference: Y.1414\_F6-2. + +**Figure 6-2/Y.1414 – Functional architecture of voice services-MPLS network interworking depicted according to the diagrammatic conventions of G.805** + +![Figure 6-3/Y.1414 – Network reference model and protocol layers for voice services-MPLS user plane interworking. The top part shows a high-level view: Voice services cloud, IWF, MPLS cloud, IWF, Voice services cloud. Below this, a horizontal line is divided into three sections: circuit bundle, MPLS LSP, and circuit bundle. The bottom part shows a detailed protocol stack diagram with six blocks. The first and last blocks are labeled 'VS' and have a 'Physical' layer. The second and fifth blocks are labeled 'IWF' and have 'VS' and 'MPLS LSP stacks' layers, with a 'Link layer' and 'Physical' layer below. The third and fourth blocks are labeled 'MPLS LSP stacks' and have a 'Link layer' and 'Physical' layer. The diagram illustrates the interworking between voice services and MPLS LSP stacks through IWFs.](e9314c83043183351ed74908e9bf2f90_img.jpg) + +Y.1414\_F6-3 + +Figure 6-3/Y.1414 – Network reference model and protocol layers for voice services-MPLS user plane interworking. The top part shows a high-level view: Voice services cloud, IWF, MPLS cloud, IWF, Voice services cloud. Below this, a horizontal line is divided into three sections: circuit bundle, MPLS LSP, and circuit bundle. The bottom part shows a detailed protocol stack diagram with six blocks. The first and last blocks are labeled 'VS' and have a 'Physical' layer. The second and fifth blocks are labeled 'IWF' and have 'VS' and 'MPLS LSP stacks' layers, with a 'Link layer' and 'Physical' layer below. The third and fourth blocks are labeled 'MPLS LSP stacks' and have a 'Link layer' and 'Physical' layer. The diagram illustrates the interworking between voice services and MPLS LSP stacks through IWFs. + +**Figure 6-3/Y.1414 – Network reference model and protocol layers for voice services-MPLS user plane interworking** + +This Recommendation specifies voice services-MPLS network interworking for three of the possible solutions identified in Appendix II/Y.1261 [1]. The three solutions specified in this Recommendation are: + +- voice over IP over MPLS; +- voice over MPLS using AAL type 2 SSCS for narrow-band services; and +- voice over MPLS using MPLS Forum IA 1.0. + +# 7 General requirements + +A set of service requirements for Voice Services over MPLS have been identified in ITU-T Rec. Y.1261 [1]. This clause identifies specific requirements for the support of narrow-band voice services by MPLS networks. + +## 7.1 User plane requirements + +For transparent transfer of voice services in the user plane, the following capabilities are required: + +- The ability to encapsulate data from a telephony grade channel in an MPLS packet. +- The ability to transport telephony grade audio according to ITU-T Recs G.711 [7], G.723.1 [8], G.726 [9], G.727 [10], G.729 [11] and Adaptive Multi-Rate (AMR) [12] coders. +- Optional ability to encapsulate wideband speech. +- Optional ability to transport wideband speech according to ITU-T Recs G.722 [13], G.722.1 [14] and G.722.2 [15] coders. +- The ability to reliably detect packet loss, in order to support the concealment of packet loss events by suitable PLC algorithms, such as G.711 Appendix I [16]. +- The ability to transfer subscriber signalling, such as DTMF according to ITU-T Recs Q.23 [17] and Q.24 [18], call progress tones (CPT) according to ITU-T Rec. E.180/Q.35 [19], and calling line identification (CLI) [20] received either in the audio stream, or by suitable relay. +- The ability to transfer inter-office signalling systems R1 according to ITU-T Rec. Q.310-332 [21], R2 according to ITU-T Rec. Q.400-490 [22], and continuity message COT as defined in ITU-T Rec. Q.724 [23], received either in the audio stream, or by suitable relay. +- The ability to acquire, encapsulate and transfer CAS bits. +- Optional support for transport of 64 kbit/s clear-channel data, in particular for CCS. +- The ability to transfer standards-based fax (ITU-T Recs T.4 [24], T.30 [25], V.17 [26], and V.29 [27]), telephone mode text (ITU-T Rec. V.18 [28]), and voice-grade modem signals (V series modems), either in the audio stream (when remote timing allows), or by suitable relay. +- Optional support for interworking with ATM-based AAL type 2 services, in particular IMT-2000 cellular systems, Loop Emulation Service and VoDSL. +- The ability to exploit the entire MTU. + +## 7.2 Control plane aspects + +For transparent transfer of voice services, the following are to be signalled or provisioned: + +- Voice channel parameters (e.g., bandwidth, QoS, etc.). +- Interworking LSP label(s) between IWFs. +- Correlation of interworking labels for one or more bidirectional connections per interworking LSP. Mechanisms are to be defined. +- Indication of encapsulation modes as either "Voice over IP over MPLS", "Voice over MPLS using AAL type 2 SSCS for narrow-band services" or "Voice over MPLS using MPLS Forum IA 1.0". +- Association of each Interworking LSP label with a transport LSP label. + +## 7.3 Management plane aspects + +Interworking of defects between voice services and MPLS is out of scope of this Recommendation. + +## 7.4 Traffic management aspects + +The transport LSP shall be capable of providing the required QoS and aggregate bandwidth requirements for all voice services channels being transported. Each voice services channel may have different bandwidth requirements because of the choice of codec, and optional speech activity detection. + +# 8 Functional group considerations for voice services-MPLS network interworking + +The functional grouping is shown in Figure 8-1 and is specified in the following clauses. + +| | +|------------------------------------------------| +| MPLS transport label (4 octets) | +| Interworking label (4 octets) Note | +| Common Interworking Indicators (4 octets) Note | +| Payload | + +NOTE – These fields are not present in Voice over IP over MPLS mode. + +**Figure 8-1/Y.1414 – Voice services over MPLS interworking functional groups** + +## 8.1 MPLS transport label + +Since LSPs are unidirectional while voice services (e.g., TDM) are inherently bidirectional, two transport LSPs in opposite directions are required. + +The 4-octet transport label identifies an LSP used to transport traffic between two IWFs. The transport label is a standard MPLS shim header, as specified in IETF RFC 3032 [29], that is processed at each LSR. When the Interworking label is present, the S bit is set to "0" for the MPLS transport label, indicating that this is not the bottom of the label stack. The setting of the EXP and TTL fields of the transport label is outside the scope of this Recommendation. + +## 8.2 Interworking label + +This clause only applies in the case where there is an Interworking label. Since LSPs are unidirectional while voice services (e.g., TDM) are inherently bidirectional, the association of two interworking LSPs in opposite directions will be required. The LSPs may have different label values. + +The Interworking function maintains context information that associates voice service channels with the Interworking LSP. + +The 4-octet Interworking label uniquely identifies one interworking LSP carried inside a transport LSP. More than one interworking LSP may be supported by one Transport LSP. + +The Interworking label is a standard MPLS shim header, as specified in IETF RFC 3032 [29], with its S bit set to 1, to indicate the bottom of the label stack. Since voice services-MPLS network interworking is a strict point-to-point application, the TTL value should be set to 2. The setting of the EXP field of the interworking label is for further study. + +## 8.3 Common interworking indicators + +The Common interworking indicators field is always present, except for the Voice over IP over MPLS mode. This 4-octet field consists of a one-octet control field, a one-octet length field and a two-octet sequence number field. + +### 8.3.1 Control field + +The first four bits of the control field shall be set to zero in order to facilitate correct operation with deployed MPLS switches that differentiate between IP and interworking LSP packets based on these four bits. The remaining bits of the control field are reserved, and shall be set to zero at ingress and ignored at egress. + +### 8.3.2 Length field + +The one-octet length field is comprised of a two bits reserved field and six bits called length indicator which indicates the length of the payload. When the LSP path includes an Ethernet link, a minimum packet size of 64 octets is required. This may require padding to be applied to the interworking packet payload in order to reach this minimum packet size. The padding size can be determined from the length indicator so that the padding can be removed at the egress. + +The length field is used as follows: If the packet's length (defined as the length of the voice payload plus the length of the common interworking indicators field) is less than 64 octets, the length indicator is set to the packet's length in octets. Otherwise the length field is set to zero. + +### 8.3.3 Sequence number field + +The Sequence number field is a two-octet field that is used to detect lost or misordered MPLS packets. This field is always present when the Common interworking indicators are used, and its use is mandatory. The combination of the sequence number field and the UUI (User-to-User Indication) or counter fields uniquely identifies the audio payload. + +The sequence number space is a 16-bit, unsigned circular space, set and processed as defined below. + +#### 8.3.3.1 Setting the sequence numbers + +The following procedures apply at the ingress IWF (voice services to MPLS direction): + +- The sequence number should be set to a random value for the first MPLS packet transmitted on the interworking LSP. +- For each subsequent MPLS packet, the sequence number shall be incremented by 1, modulo $2^{16}$ . + +#### 8.3.3.2 Processing the sequence numbers + +The purpose of the sequence number processing is to detect lost or misordered MPLS packets. Misordered packets should be re-ordered if possible, and otherwise treated as lost. Packet loss shall trigger the packet loss concealment mechanism of the audio encoding (e.g., G.711 Appendix I). + +If an egress IWF detects excessive packet loss, it should inform the management plane, enabling it to take the appropriate actions. The threshold for informing the management plane is preconfigured. + +The following procedures apply at the egress IWF (MPLS to voice services direction): + +- The egress IWF maintains an expected sequence number. +- The first packet received from the MPLS network is always considered to be the expected packet, and the expected sequence number is equated to its sequence number. +- If the sequence number equals or is greater (in the cyclic sense) than the expected number, then the expected sequence number is set to the received number incremented by 1 modulo $2^{16}$ , otherwise the expected number is unchanged. + +# 9 Voice over IP over MPLS + +The intent of Voice over IP over MPLS is to take standard VoIP, and encapsulate it in MPLS packets, using standard procedures for the transport of IP over MPLS. The encoding of the VoIP packet is not defined in this Recommendation. The VoIP over MPLS packet is constructed by prepending an MPLS label stack to a VoIP packet. Standard procedures for transport of IP over MPLS must be used. + +The functional grouping for VoIP over MPLS is shown in Figure 9-1. + +![](7efae06af3af43ffe5d4b956a679cf54_img.jpg) + +| | +|--------------------------------------| +| MPLS transport label (RFC 3031) [30] | +| IP | +| UDP (RFC 768) [31] | +| RTP (RFC 3550) [32] | +| Audio payload | + +**Figure 9-1/Y.1414 – Functional grouping for VoIP over MPLS** + +# 10 Voice over MPLS using AAL type 2 SSCS for narrow-band services + +This clause defines mechanisms for conveying voice services as described in ITU-T Rec. I.366.2 [2], using AAL type 2 Common Part Sublayer Packets (CPS-Packets) [3] directly over MPLS. CPS-Packets are encapsulated in the MPLS PDUs using the frame formats and procedures described in this clause. + +The payload for this mode consists of one or more variable-length AAL type 2 PDUs. A similar mechanism is described in [34]. Each AAL type 2 PDU contains 3 bytes of overhead and between 1 and 64 bytes of payload. If interworking with ATM-based AAL type 2 systems is required, the payload size may be restricted to be smaller than 64 octets (typically 45 or 44 octets). A packet may be constructed by inserting PDUs corresponding to all active channels, by appending PDUs ready at a certain time, or by any other means. + +![Diagram showing the packing of SSCS-PDUs into an MPLS packet. Four SSCS PDUs (SSCS PDU 1 to 4) are shown, each containing a CPS Hdr (with CID values 10, 20, 31, 20) and a payload. These are mapped to four CPS-Packets. These CPS-Packets are then mapped to a single MPLS packet structure consisting of: MPLS transport label(s), Interworking label, Common interworking indicators, and a Variable length payload.](c67d21fb3d9042e88cdc669f071b4e7c_img.jpg) + +| | | | | +|-------------------------|--------------------|--------------------------------|-------------------------| +| MPLS transport label(s) | Interworking label | Common interworking indicators | Variable length payload | +|-------------------------|--------------------|--------------------------------|-------------------------| + +Diagram showing the packing of SSCS-PDUs into an MPLS packet. Four SSCS PDUs (SSCS PDU 1 to 4) are shown, each containing a CPS Hdr (with CID values 10, 20, 31, 20) and a payload. These are mapped to four CPS-Packets. These CPS-Packets are then mapped to a single MPLS packet structure consisting of: MPLS transport label(s), Interworking label, Common interworking indicators, and a Variable length payload. + +Y.1414\_F10-1 + +**Figure 10-1/Y.1414 – Packing of SSCS-PDUs into MPLS with variable length PDU** + +Each MPLS packet will consist of an interworking label, Common interworking indicators, and one or more complete CPS packets, as shown in Figure 10-1. The maximum number of CPS packets per MPLS packet is determined by MPLS network limitations. A single MPLS Packet may contain any combination of Type 1 and Type 3 CPS packets. + +The CPS-PDU Header Start Field (STF) is not used because there are no partial CPS packets. + +The CID field of a CPS packet is 8 bits long. To ensure consistency with Table 4/I.363.2, CID value 0 is not used, and values 1-7 are reserved, thus limiting the number of AAL type 2 connections to 248. If interworking with VoDSL is required, then CID = 8 through CID = 15 are used for special purposes as specified in af-vmoa-0145.001 [33]. The same CID value may appear multiple times in a single MPLS packet. When this occurs, order shall be maintained. + +NOTE – MPLS and Frame Relay Implementation Agreement IA 5.0.0 [34] defines a mechanism that is similar to that described in this clause. + +## **10.1 Transport label** + +See 8.1. + +## **10.2 Interworking label** + +See 8.2. + +## **10.3 Common interworking indicators** + +See 8.3. + +## **10.4 Payload** + +The payload consists of one or more CPS packets, as defined in ITU-T Rec. I.363.2 [3]. + +All mechanisms described in ITU-T Recs I.363.2 [3] and I.366.2 [2], may be used. In particular, CID encoding according to ITU-T Rec. I.363.2, encoding formats defined in ITU-T Rec. I.366.2, and transport of CAS and CCS signalling as described in ATM forum af-vmoa-0145.001 [33] may all be used. However, the overlap functionality defined in ITU-T Rec. I.363.2 is not required, the STF field is NOT used, and the AAL type 2 Timer\_CU and related functionalities are by default not required, but may be used. + +Computation of error detection codes, namely the HEC in the AAL2 PDU header and the CRC in the CAS packet, may be omitted, if an appropriate error detection mechanism is provided by MPLS. In such cases these fields shall be set to zero. + +# **11 Voice over MPLS using MPLS Forum IA 1.0** + +This mode is based on MPLS Forum Implementation Agreement 1.0 [4] and its subsequent revisions. Appendix I summarizes the frame structure for this mode. + +MPLS Forum IA 1.0 includes the definition of a header format, and supports various payload types including Audio, Dialed digits, Channel Associated Signalling and Silence Insertion Descriptor. + +The format and procedures are based on ITU-T Rec. I.366.2 AAL type 2 SSCS for narrow-band services. However, some of the sub-frame header fields are larger than the corresponding fields in AAL type 2, larger payloads are allowed and profiles are not employed. + +## **11.1 Transport label** + +See 8.1. + +## **11.2 Interworking label** + +See 8.2. + +## **11.3 Common interworking indicators** + +See 8.3. + +## 11.4 Payload + +The payload format is defined in MPLS Forum IA 1.0. The payload is encapsulated as described in clause 8. + +### 11.4.1 Format of the primary sub-frame + +The format is as specified in 5.2 of MPLS Forum IA 1.0 with the following modifications: + +#### *Channel Identifier (CID)* + +The CID value identifies the user of the channel. The voice services over MPLS channel is a bidirectional channel. The same value of channel identification shall be used for both directions. + +The value "0" is not used for channel identification. The values "1" through "7" are reserved. + +The values "8" through "255" are used to identify the users of the voice over MPLS. + +**Table 11-1/Y.1414 – Coding of the CID field** + +| CID value | Use | +|---------------|-------------------------------------------------------| +| 0 | Not used | +| 1 | Reserved for Layer Management peer-to-peer procedures | +| 2 | Reserved for Signalling | +| 3 through 7 | Reserved | +| 8 through 255 | Identification of voice over MPLS user entity. | + +NOTE – Future revisions of the MPLS Forum IA are expected to align with usage of CID in this clause. + +### 11.4.2 Procedures + +Procedures for processing voice over MPLS sub-frames are specified in MPLS Forum IA 1.0 and its annexes. + +# Appendix I + +## Primary and control sub-frames used in MPLS Forum 1.0 + +This appendix provides an informative overview of the Sub-frame types that have been defined in MPLS Forum implementation agreement in order to transport multiplexed voice calls and control information in an MPLS LSP. Multiple voice calls may be transported over an Interworking LSP. Further details may be obtained from [4] and clause 11. + +## I.1 Sub-frames + +Two types of sub-frames are defined in [4], Primary and Control, and may be transmitted as required. Multiple primary sub-frames may be multiplexed within a single MPLS packet. The control sub-frames are not multiplexed and are sent separately; that is, only one control sub-frame at a time may be carried within an MPLS packet. Primary sub-frames and control sub-frames are not multiplexed together within a single MPLS packet. + +The maximum number of sub-frames per MPLS packet will be determined by the MPLS network limitations. When more than one sub-frame from a user connection is packed within an MPLS packet, their order should be maintained. + +A primary payload contains the traffic that is fundamental to the operation of a connection identified by a Channel Identifier (CID). It includes encoded voice and silence information descriptor(s). Primary payloads are variable length sub-frames. + +Control sub-frames may be sent to support the primary payload (e.g., dialled digits for a primary payload of encoded voice) and other control functions. These payloads are differentiated from the primary payload by a Payload Type value in the sub-frame header. A range of payload type values is assigned to primary payload and control payloads. Control sub-frames are fixed length and most of them are sent with a triple redundant transmission with a fixed interval between them. The CID and payload type fields are common to both primary and control payload formats. + +## I.2 Primary Sub-frame + +A primary payload contains the traffic that is fundamental to the operation of a connection identified by a Channel Identifier (CID). It includes encoded voice and silence information descriptor(s). Primary payloads are variable length sub-frames. The MPLS packet structure allowing the multiplexing of primary sub-frames is shown in Figure I.1. + +![Diagram of LSP structure for multiplexing primary sub-frames of voice calls. The diagram shows an MPLS packet containing a variable length payload. This payload is composed of multiple primary sub-frames. Each primary sub-frame consists of a 4-octet header and a primary payload. The header is further broken down into four fields: CID (NOTE), Payload type, Length, and Counter. Dashed lines indicate how the header and payload fields map into the sub-frame structure, and how multiple sub-frames are packed into the overall MPLS packet payload.](9b9d2abd741ed4bafe7f78f89961c663_img.jpg) + +| | | | | +|------------|--------------|--------|---------| +| CID (NOTE) | Payload type | Length | Counter | +|------------|--------------|--------|---------| + +| | | | | +|------------|--------------|--------|---------| +| CID (NOTE) | Payload type | Length | Counter | +|------------|--------------|--------|---------| + +| | | +|--------|-----------------| +| Header | Primary payload | +|--------|-----------------| + +• • • + +| | | +|--------|-----------------| +| Header | Primary payload | +|--------|-----------------| + +Primary sub-frame +Primary sub-frame + +| | | | | +|-------------------------|-------------------------|--------------------------------|----------------------------------------------------------------| +| MPLS transport label(s) | MPLS interworking label | Common interworking indicators | Variable length payload containing multiple primary sub-frames | +|-------------------------|-------------------------|--------------------------------|----------------------------------------------------------------| + +Diagram of LSP structure for multiplexing primary sub-frames of voice calls. The diagram shows an MPLS packet containing a variable length payload. This payload is composed of multiple primary sub-frames. Each primary sub-frame consists of a 4-octet header and a primary payload. The header is further broken down into four fields: CID (NOTE), Payload type, Length, and Counter. Dashed lines indicate how the header and payload fields map into the sub-frame structure, and how multiple sub-frames are packed into the overall MPLS packet payload. + +NOTE – CID = Channel ID (see 11.4.1 for specification). + +Y.1414\_FI-1 + +**Figure I.1/Y.1414 – LSP structure for multiplexing primary sub-frames of voice calls** + +The multiplexing structure in this mode consists of an MPLS Transport Label, an Interworking Label, Common Interworking Indicators, and a Payload. The Payload may contain one or more primary sub-frames [4] consisting of a 4-octet header and variable length primary payload. + +The Channel ID (CID) allows up to 248 voice over MPLS calls to be multiplexed within a single interworking LSP. + +NOTE – A unique CID identifies each sub-frame but the primary sub-frames may be transmitted in any order whenever information for a channel is available. The same CID value may appear multiple times in a single MPLS packet. + +## I.3 Control sub-frame + +Control sub-frames may be sent to support the primary payload (e.g., dialled digits for a primary payload of encoded voice) and other control functions. These payloads are differentiated from the primary payload by a Payload Type value in the sub-frame header. A range of payload type values is assigned to primary payload and control payloads. Control sub-frames are fixed length and most of them are sent with a triple redundant transmission with a fixed interval between them. The CID and payload type fields are common to both primary and control payload formats. + +The control sub-frames that are currently defined are: Dialed digits and Channel associated signalling. The MPLS packet structure for control sub-frames of Voice over MPLS calls is shown in Figure I.2. + +![Diagram of MPLS packet structure for control sub-frames. The main packet structure consists of four fields: MPLS transport label(s), MPLS interworking label, Common interworking indicators, and a large Payload containing single control sub-frames. A callout box labeled 'Control sub-frame' points to the payload field. This callout box is divided into a 'Header' and a 'Control payload'. The 'Header' is further detailed in another callout box containing four fields: CID (NOTE), Payload type, Timestamp, and Length.](7f25db95ce3916c0e09803b861a2f7bc_img.jpg) + +| | | | | +|------------|--------------|-----------|--------| +| CID (NOTE) | Payload type | Timestamp | Length | +|------------|--------------|-----------|--------| + + + +| | | +|--------|-----------------| +| Header | Control payload | +|--------|-----------------| + +Control sub-frame + +| | | | | +|-------------------------------|-------------------------------|--------------------------------------|----------------------------------------------| +| MPLS
transport
label(s) | MPLS
interworking
label | Common
interworking
indicators | Payload containing single control sub-frames | +|-------------------------------|-------------------------------|--------------------------------------|----------------------------------------------| + +Y.1414\_FI-2 + +Diagram of MPLS packet structure for control sub-frames. The main packet structure consists of four fields: MPLS transport label(s), MPLS interworking label, Common interworking indicators, and a large Payload containing single control sub-frames. A callout box labeled 'Control sub-frame' points to the payload field. This callout box is divided into a 'Header' and a 'Control payload'. The 'Header' is further detailed in another callout box containing four fields: CID (NOTE), Payload type, Timestamp, and Length. + +NOTE – CID = Channel ID (see 11.4.1 for specification). + +**Figure I.2/Y.1414 – LSP Structure for Control Sub-frame** + +## **I.4      Format of the primary sub-frame** + +To maintain word (32 bits) alignment, the payload information must be a multiple of 4 octets. If the payload is not a multiple of 4 octets, up to 3 PAD octets are included to make it word aligned. + +A primary payload is either a sequence of encoded voice sub-frames or a single Silence Insertion Descriptor sub-frame. + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series B | Means of expression: definitions, symbols, classification | +| Series C | General telecommunication statistics | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | TMN and network maintenance: international transmission systems, telephone circuits, telegraphy, facsimile and leased circuits | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks and open system communications | +| Series Y | Global 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of IP network services** + +Recommendation ITU-T Y.1545.1 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|----------------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3499 | +| Y.3500–Y.3999 | | + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.1545.1 + +# Framework for monitoring the quality of service of IP network services + +## Summary + +Recommendation ITU-T Y.1545.1 is a diagnostic reference for IP network quality of service (QoS) monitoring, and is primarily a guide used to assist regulators in monitoring the QoS of Internet provided by service providers (although subscribers and network service providers may also benefit). + +The Internet, known as the information superhighway, has established a worldwide borderless cyber society. Nowadays, the Internet is acknowledged worldwide as an essential component for electronic communication services. The rapid increase in the use of the Internet has changed the way people live, and has become an important factor in daily life. + +As reliance on Internet networks, in promoting socioeconomic development, increases the QoS of Internet networks also becomes very critical and important. However, occasionally the scenarios under which Internet is sold to customers is not fair and unfortunately Internet subscribers are not well informed on the Internet QoS provided to them by Internet service providers (ISPs). + +Therefore, this Recommendation highlights the necessity of testing the QoS of network services offered by ISPs, from a diagnostic and regulatory point of view. This Recommendation also addresses QoS evaluation scenarios, sampling methodology and testing tools for regulators. This Recommendation gives guidance to regulators about minimum QoS parameters for evaluating the quality of Internet services. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.1545.1 | 2017-03-01 | 12 | 11.1002/1000/13199 | + +## Keywords + +Data rate, IP network service, QoS. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +### INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2017 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|--------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 4 | +| 4 | Abbreviations and acronyms ..... | 4 | +| 5 | Conventions ..... | 5 | +| 6 | Different aspects of quality of service ..... | 5 | +| | 6.1 Four viewpoints of QoS..... | 5 | +| | 6.2 QoS offered and QoS delivered..... | 6 | +| 7 | Minimum set of parameters for evaluating the quality of IP network service ..... | 6 | +| | 7.1 IP network service activation time ..... | 6 | +| | 7.2 DNS response time ..... | 7 | +| | 7.3 Number of IP network interconnection points ..... | 7 | +| | 7.4 Round-trip delay (RTT to IP network interconnection points) ..... | 7 | +| | 7.5 IP delay variation (one-way delay variation to IP network interconnection points)..... | 7 | +| | 7.6 IP packet loss (one-way packet loss to IP network interconnection points) .. | 7 | +| | 7.7 Data rate (download and upload) ..... | 7 | +| | 7.8 Internet IP network service availability..... | 8 | +| | 7.9 Radio coverage availability ..... | 8 | +| 8 | Quality of service measurement methodologies..... | 8 | +| | 8.1 Testing tools ..... | 9 | +| | 8.2 Quality of service evaluation scenarios..... | 10 | +| 9 | Sampling methodology..... | 12 | +| | 9.1 Selecting access lines for each speed package ..... | 13 | +| | 9.2 Selecting the measurement moments ..... | 13 | +| | Appendix I – Evaluation scenario at international level ..... | 14 | +| | Bibliography..... | 15 | + + + +# Recommendation ITU-T Y.1545.1 + +# Framework for monitoring the quality of service of IP network services + +## 1 Scope + +This Recommendation highlights the need for testing the quality of service (QoS) of IP network service offered by Internet service providers (ISPs), from a regulatory and diagnostic point of view. This Recommendation describes QoS evaluation scenarios and sampling methodology for both measuring and monitoring QoS. This Recommendation also gives guidance to regulators about the minimum set of QoS parameters necessary for evaluating the quality of IP network services. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T E.802 Amd.1] Recommendation ITU-T E.802 (2007) Amd.1 (2017), *Framework and methodologies for the determination and application of QoS parameters*. +- [ITU-T E.804] Recommendation ITU-T E.804 (2014), *Quality of service aspects for popular services in mobile networks*. +- [ITU-T G.1000] Recommendation ITU-T G.1000 (2001), *Communications Quality of Service: A framework and definitions*. +- [ITU-T Y.1540] Recommendation ITU-T Y.1540 (2016), *Internet protocol data communication service – IP packet transfer and availability performance parameters*. +- [ITU-T Y.1546] Recommendation ITU-T Y.1546 (2014), *Hand-over performance among multiple access networks*. +- [ITU-T Y.1731] Recommendation ITU-T Y.1731 (2011), *OAM functions and mechanisms for Ethernet based networks*. +- [IETF RFC 2681] IETF RFC 2681 (1999), *A Round-trip Delay Metric for IPPM*. +- [IETF RFC 7398] IETF RFC 7398 (2015), *A Reference Path and Measurement Points for Large-Scale Measurement of Broadband Performance*. +- [IETF RFC 7799] IETF RFC 7799 (2016), *Active and Passive Metrics and Methods (with Hybrid Types In-Between)*. +- [ETSI EG 202 057] ETSI EG 202 057-04 V1.2.1 (2008), *Speech Processing, Transmission and Quality Aspects (STQ); User related QoS parameter definitions and measurements; Part 4: Internet access*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 active methods of measurement** [IETF RFC 7799]: Active methods of measurement have the following attributes: Active methods generate packet streams. Commonly, the packet stream of interest is generated as the basis of measurement. Sometimes, the adjective "synthetic" is used to categorize active measurement streams [ITU-T Y.1731]. An accompanying packet stream or streams may be generated to increase overall traffic load, though the loading stream(s) may not be measured. The packets in the stream of interest have fields or field values (or are augmented or modified to include fields or field values) that are dedicated to measurement. Since measurement usually requires determining the corresponding packets at multiple measurement points, a sequence number is the most common information dedicated to measurement, and it is often combined with a timestamp. The source and destination of the packet stream of interest are usually known a priori. The characteristics of the packet stream of interest are known at the source (at least), and may be communicated to the destination as part of the method. Note that some packet characteristics will normally change during packet forwarding. Other changes along the path are possible, see [STDFORM]. When adding traffic to the network for measurement, active methods influence the quantities measured to some degree, and those performing tests should take steps to quantify the effect(s) and/or minimize such effects. + +**3.1.2 dedicated component (links or nodes)** [IETF RFC 7398]: All resources of a dedicated component (typically a link or node on the reference path) are allocated to serving the traffic of an individual subscriber. Resources include transmission time-slots, queue space, processing for encapsulation and address/port translation, and others. A dedicated component can affect the performance of the reference path or the performance of any sub-path where the component is involved. + +**3.1.3 IP network service** [b-ITU-T Y.1241]: An IP network service is defined as a data transmission service in which the data passed across the interface between the user and provider is transferred in the form of Internet protocol (IP) packets (sometimes called datagrams). IP network service includes the service provided by using the IP transfer capabilities. + +**3.1.4 IP-based service** [b-ITU-T Y.1241]: An IP-based service is defined as a service provided by the service plane to an end user (e.g., a host (end system) or a network element) and which utilizes the IP transfer capabilities and associated control and management functions, for delivery of the user information specified by the service level agreements. + +**3.1.5 managed and unmanaged sub-paths** [IETF RFC 7398]: Service providers are responsible for the portion of the path they manage. However, most paths involve a sub-path that is beyond the management of the subscriber's service provider. This means that private networks, wireless networks using unlicensed frequencies, and the networks of other service providers are designated as unmanaged sub-paths. The service demarcation point always divides managed and unmanaged sub-paths. + +**3.1.6 measurement point** [ITU-T Y.1540]: The boundary between a host and an adjacent link at which performance reference events can be observed and measured. Consistent with [b-ITU-T I.353], the standard Internet protocols can be observed at IP measurement points (MPs). [b-ITU-T I.353] provides more information about MPs, for digital services. + +**3.1.7 parameter** [b-ITU-T Y.1545]: A quantifiable characteristic of a service with specified scope and boundaries. + +**3.1.8 passive methods of measurement** [IETF RFC 7799]: Passive methods of measurement are based solely on observations of an undisturbed and unmodified packet stream of interest (in other words, the method of measurement MUST NOT add, change, or remove packets or fields or change field values anywhere along the path). Dependent on the existence of one or more packet streams to + +supply the stream of interest. Dependent on the presence of the packet stream of interest at one or more designated observation points. Some passive methods simply observe and collect information on all packets that pass observation point(s), while others filter the packets as a first step and only collect information on packets that match the filter criteria, and thereby narrow the stream of interest. It is common that passive methods are conducted at one or more observation points. Passive methods to assess performance metrics often require multiple observation points, e.g., to assess the latency of packet transfer across a network path between two observation points. In this case, the observed packets must include enough information to determine the corresponding packets at different observation points. Communication of the observations (in some form) to a collector is an essential aspect of passive methods. In some configurations, the traffic load generated when communicating (or exporting) the passive method results to a collector may itself influence the measured network's performance. However, the collection of results is not unique to passive methods, and the load from management and operations of measurement systems must always be considered for potential effects on the measured values. + +**3.1.9 probing packet** [b-ITU-T Y.1545]: An individual IP packet associated with active performance testing, i.e., a test packet [b-ITU-T Y.1543]. + +**3.1.10 quality of service** [b-ITU-T E.800]: Totality of characteristics of a telecommunications service that bear on its ability to satisfy stated and implied needs of the user of the service. + +**3.1.11 reference path** [IETF RFC 7398]: A reference path is a serial combination of hosts, routers, switches, links, radios, and processing elements that comprise all the network elements traversed by each packet in a flow between the source and destination hosts. A reference path also indicates the various boundaries present, such as administrative boundaries. A reference path is intended to be equally applicable to all IP and link-layer networking technologies. Therefore, the components are generically defined, but their functions should have a clear counterpart or be obviously omitted in any network architecture + +**3.1.12 resource transition point** [IETF RFC 7398]: This is a point between dedicated and shared components on a reference path that may be a point of significance and is identified as a transition between two types of resources. + +**3.1.13 service demarcation point** [IETF RFC 7398]: This is the point where a service managed by the service provider begins (or ends) and varies by technology. For example, this point is usually defined as the Ethernet interface on a residential gateway or modem where the scope of a packet transfer service begins and ends. In the case of a WiFi service, this would be an air interface within the intended service boundary (e.g., walls of the coffee shop). The demarcation point may be within an integrated endpoint using an air interface (e.g., long-term evolution user equipment (LTE UE)). Ownership does not necessarily affect the demarcation point; a subscriber may own all equipment on their premises, but it is likely that the service provider will certify such equipment for connection to their network or that a third-party will certify standards compliance. + +**3.1.14 shared component (links or nodes)** [IETF RFC 7398]: A component on the reference path is designated a "shared component" when the traffic associated with multiple subscribers is served by common resources. + +**3.1.15 subscriber** [IETF RFC 7398]: A subscriber is an entity (associated with one or more users) that is engaged in a subscription with a service provider. The subscriber is allowed to subscribe and unsubscribe to services and to register a user or a list of users authorized to enjoy these services. Both the subscriber and service provider are allowed to set the limits relative to the use that associated users make of subscribed services. + +**3.1.16 sub-path** [b-IETF RFC 5835]: A sub-path is a portion of the complete path where at least the sub-path Source and Destination hosts are constituents of the complete path. We say that such a sub-path is "involved" in the complete path. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 commercial Internet connectivity provider (CICP):** A company supplying a subscriber with Internet connectivity if it is contracted to do so, where Internet connectivity is comprised of enabling the transfer of IP packets between subscribers' terminal equipment or a residential gateway and the Internet. + +**3.2.2 hotspot:** A selected stationary access site in a pre-defined city where there is mobile network coverage. E.g.: pre-selected hotspots must be discussed and agreed on before the start of hotspot drive assignment on data services key performance indicators (KPIs). + +**3.2.3 Internet application:** An application operating above the IP layer, choosing one of the appropriate transport layers. Examples are VoIP, (additional) AAA, cloud service, e-mail, web-service, IPTV, and streaming. Some of these applications may comprise components of the CICP's complete service offering, at the discretion of the CICP. + +**3.2.4 probe:** Is an end-point test tool which uses probing packets to collect measurements. + +**3.2.5 supporting service:** An essential service to assist configuration of the IP layer, or operating above the IP layer. Examples are DHCP, DNS, and AAA. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|-----------------------------------------------| +| 3G | Third Generation | +| 4G | Fourth Generation | +| AAA | Authentication, Authorization, and Accounting | +| API | Application Programming Interface | +| AS | Autonomous Systems | +| CICP | Commercial Internet Connectivity Provider | +| DHCP | Dynamic Host Configuration Protocol | +| DNS | Domain Name System | +| GRA GW | Globally Routable Address Gateway | +| ICT | Information and Communication Technology | +| IMS | Internet Multimedia Subsystem | +| IP | Internet Protocol | +| IPDV | Internet Protocol Packet Delay Variation | +| IPER | Internet Protocol Packet Error Ratio | +| IPLR | Internet Protocol Packet Loss Ratio | +| IPTD | Internet Protocol Packet Transfer Delay | +| IPTV | Internet Protocol Television | +| ISP | Internet Service Provider | +| IXP | Internet Exchange Point | +| KPI | Key Performance Indicator | +| LTE | Long-Term Evolution | + +| | | +|-------|--------------------------------------------| +| MP | Measurement Point | +| OAM | Operations, Administration and Maintenance | +| PIA | Percent IP service availability | +| QoS | Quality of Service | +| RSRP | Reference Signal Received Power | +| RSSI | Received Signal Strength Indicator | +| RTT | Round-trip Time | +| VoD | Video on Demand | +| VoIP | Voice over Internet Protocol | +| VoLTE | Voice over LTE | + +## 5 Conventions + +None. + +## 6 Different aspects of quality of service + +### 6.1 Four viewpoints of QoS + +This Recommendation outlines the four viewpoints of QoS specified in [ITU-T G.1000], shown in Figure 1, and maps them with QoS requirements of IP-based network services. The vertical division between customer and service provider (commercial Internet connectivity provider (CICP)) corresponds to the service demarcation point. + +![Diagram illustrating the four viewpoints of QoS according to ITU-T G.1000, divided into Customer and Service Provider sections.](5e92d9e8e9ce204e405bff2367f88176_img.jpg) + +The diagram is enclosed in a rectangular frame and is divided vertically by a dashed line. The left side is labeled 'CUSTOMER' and the right side is labeled 'SERVICE PROVIDER'. Inside the 'CUSTOMER' section, there are two boxes: 'Customer's QoS requirements' at the top and 'QoS perceived by customer' at the bottom. Inside the 'SERVICE PROVIDER' section, there are two boxes: 'QoS offered by provider' at the top and 'QoS achieved by provider' at the bottom. Four blue arrows indicate the relationships: a horizontal arrow points from 'Customer's QoS requirements' to 'QoS offered by provider'; a vertical arrow points from 'QoS offered by provider' down to 'QoS achieved by provider'; a horizontal arrow points from 'QoS achieved by provider' to 'QoS perceived by customer'; and a vertical arrow points from 'QoS perceived by customer' up to 'Customer's QoS requirements'. + +Y.1545.1(17)\_F01 + +Diagram illustrating the four viewpoints of QoS according to ITU-T G.1000, divided into Customer and Service Provider sections. + +**Figure 1 – Four viewpoints of QoS according to [ITU-T G.1000]** + +**Customer QoS requirements:** Each application/service available on the Internet requires a level of QoS for the Internet connection for it to operate satisfactorily. In turn, every subscriber has their preferred applications, and inherently a requirement of the level of QoS of their Internet service. + +**QoS offered or planned by service provider:** The QoS that the ISP pledges to offer to its subscribers. This should serve as a reference for both subscribers and the ISP when benchmarking the level of service provided. In most cases, at the point of sale, the service is primarily characterised in terms of upload/download speeds of the Internet connection and there are no QoS commitments included. + +**QoS achieved or delivered by service provider:** The actual level of the service delivered to the subscriber. A comparison between the QoS offered and the QoS delivered indicates the level of performance achieved by the ISP in terms of specific QoS parameters. By comparing the QoS delivered with the QoS advertised, the subscriber is better equipped to determine whether there is a significant mismatch between the promised and the delivered QoS for the subscribed services. + +**End-user perception:** End-users are generally not interested in technical aspects of their connection, but they are interested in what they can do with the connection, and the quality of their experience when accessing different applications/services over their Internet connection. + +### **6.2 QoS offered and QoS delivered** + +The QoS of the Internet offered (advertised) by ISPs is evaluated by: + +- ISPs for optimization purposes or; +- Regulators, because occasionally the QoS promised by ISPs (in advertisements) is totally different from the QoS delivered. + +In some countries, service characteristics used by ISPs may not be satisfactory to define the service for the following reasons: + +- Services may be sold without providing a guaranteed minimum QoS to subscribers; +- Subscribers are not given any guidelines on how service characteristics can be interpreted; +- QoS figures provided by different ISPs are not comparable; +- Subscribers are not well informed on the QoS that the Internet connection is able to provide. + +Therefore, to improve the situation, regulators are advised to: + +- Determine the set of QoS parameters required for monitoring the quality of Internet services; +- Determine thresholds for each required monitored parameter; +- Monitor the QoS delivered to the end users effectively by establishing a mechanism through which the parameters can be measured; +- In cases where there is no competition in service provision, establish a mechanism by which the ISP's conformance to the contractual obligations with their subscribers can be validated; +- Publish test results through detailed benchmarking reports; +- Provide end users with a trusted tool, used by themselves, to test the main key performance indicators (KPIs). + +## **7 Minimum set of parameters for evaluating the quality of IP network service** + +### **7.1 IP network service activation time** + +Clause 7 of [ITU-T Y.1546] defines: + +- Successful IP activate time, (multiple measurements may be summarized using statistics such as the minimum, maximum, median, mean, variance, percentiles); +- Incorrect IP activate ratio; +- Failed IP activate ratio. + +These parameters apply to a set of individual attempts to access and utilize IP network services, and are supplied by the dynamic host configuration protocol (DHCP) server of the service provider. See Figure A.2/Annex A of [ITU-T Y.1546] for an illustration of DHCP IP activation. In another typical case, the parameters apply to the user equipment (UE) activation on 3rd Generation Partnership Project (3GPP) long term evolution (LTE), and Figure B.1 of [ITU-T Y.1546] illustrates an LTE IP activation (host connect (HC) -> host activation (HA)). + +### **7.2 DNS response time** + +[IETF RFC 2681] defines a round-trip delay metric for IP networks, and the metric definition has been adapted using the details of the domain name system (DNS) query packet type, such that the measurement yields DNS response time. See section 6 in [b-IETF ippm]. + +Multiple per-subscriber measurements may be summarized using statistics such as the minimum, maximum, median, mean, variance, percentiles, etc. + +### **7.3 Number of IP network interconnection points** + +This metric is a count of the number of interconnection points to other autonomous systems (AS), based on creating a diagram of the network being measured according to the procedures specified in [IETF RFC 7398] where all interconnection points (designated globally routable address gateway (GRA GW)) are included, and counting the number of unique interconnection points in the diagram. + +Occasionally these interconnections occur at public Internet exchange points (IXPs). This diagram should be supplied by the IP network service provider, and is subject to verification using "traceroute" tests from representative subscriber locations. + +### **7.4 Round-trip delay (RTT to IP network interconnection points)** + +This metric measures the round-trip delay between subscribers' service demarcation points and the interconnection points to other autonomous systems. Occasionally these interconnections occur at public IXPs. [IETF RFC 2681] defines a round-trip delay metric for packet transfer between a known (host) source and remote destination. + +The target IXP IP addresses for measurement may be obtained using "traceroute" tests from representative subscriber locations, or the IP network service provider may provide the appropriate remote addresses. + +Multiple per-subscriber measurements may be summarized using statistics such as the minimum, maximum, median, mean, variance, percentiles, etc. + +The set of mean per-subscriber round-trip time (RTT) for each interconnection point (see clause 7.3) should be recorded as the range indicated by the minimum and maximum values. + +### **7.5 IP delay variation (one-way delay variation to IP network interconnection points)** + +The one-way delay variation performance parameter is defined in clause 6.2.2 of [ITU-T Y.1540]. See clause 7.4 for summarization on per-subscriber to interconnection point measurements, and across multiple interconnection points. + +### **7.6 IP packet loss (one-way packet loss to IP network interconnection points)** + +The one-way packet loss performance parameter is defined in clause 5.5.6 of [ITU-T Y.1540]. See clause 7.4 for summarization on per-subscriber to interconnection point measurements, and across multiple interconnection points. + +The IP service availability function defined in clause 7.1 of [ITU-T Y.1540], is also based on IP packet loss. See clause 7.2 of [ITU-T Y.1540] for summarization on per-subscriber to interconnection point measurements, and clause 7.4 above for summarization across multiple interconnection points. + +### **7.7 Data rate (download and upload)** + +**7.7.1 mean data rate achieved:** The average of the data transfer rate achieved for a given number of samples. + +Formula: + +$$\text{Mean Data Rate achieved} = \frac{\sum_{i=1}^N H_i}{N}$$ + +where: + +H1: data transfer rate (in kbits/s or Mbits/s) achieved when downloading or uploading a specified IP packet payload stream between two measurement points (e.g., server and probe) + +N: number of samples + +NOTE – Specification of the IP packet payload stream: The payload stream should consist of incompressible data. This is normally achieved by generating a sequence of random numbers. Another practical solution is to use a stored stream that is already compressed, e.g., from a zip or jpg file, or to use the digits of the number Pi. The payload stream should have at least twice the length (in kbit) of the theoretically maximum data transmission rate per second (in kbit/s) of the Internet access under consideration. Refer to the requirements in clause 6.12 of [ITU-T Y.1540], and the supporting material in Appendix IX of [ITU-T Y.1540]. + +**7.7.2 % of the mean data rate:** Denotes the deviation between the data rate contracted/advertised and the data rate achieved. + +Formula: + +$$\% \text{ of Mean Data Rate} = \frac{\text{Mean Data Rate achieved}}{\text{Data Rate contracted}} \times 100\%$$ + +NOTE – In this case, a given regulator can set a target of, for example 70%, 80%, of the maximum data rate contracted by the subscriber, depending on the country's information and communication technology (ICT) market. + +### 7.8 Internet IP network service availability + +**Definition:** Internet availability represents the fraction of time probability that an end user is able to access IP network packet transfer Internet services via access to their Internet connection. See clause 7 of [ITU-T Y.1540]. + +Formula: + +Percent IP service availability (PIA) + +The percent IP service availability (PIA) is the percentage of total scheduled IP service time (the percentage of Tav intervals) that is (are) categorized as available using the IP service availability function (refer to clause 7 of [ITU-T Y.1540]). + +### 7.9 Radio coverage availability + +NOTE – This parameter seeks further study. + +## 8 Quality of service measurement methodologies + +Methods of measuring the IP network services provided by ISPs are categorized as active and passive methods of measurement [IETF RFC 7799]. This Recommendation focuses on the active methods of measurement. + +--- + +1 It should be noted that H, the data transmission rate metric and method of measurement are still under discussion. + +### Active methods of measurement + +- Advantage: + - The data (probing packets) are originated from a controlled source with predefined settings and therefore types of services can be fully controlled; + - Easy benchmarking/comparison between measurements obtained from different Internet connections provided by different ISPs. +- Disadvantage: + - Requires that the line under test be fully available; + - Test design must ensure that the line is idle before testing; + - Requires both sending and receiving probes (monitoring tools). + +#### Passive methods of measurement: + +- Advantages: + - The probe needs only one connection point to the network which means less hardware; + - Does not 'take over' the line under test, so is never an inconvenience to end users. +- Disadvantages: + - Unknown traffic type makes it difficult to test maximum line capability; + - Difficult to average different tests as the data traffic is not consistent. + +### 8.1 Testing tools + +Testing tools adopted in the active testing method are hardware- and software-based tools (probes). + +**Hardware-based Tools:** in this case there are at least three options of implementation: + +- 1) First option: probes completely replace the end user's equipment and no other equipment can be connected to the Internet while the probe is performing measurements. This is applicable for both fixed and mobile Internet access. +- 2) Second option: probes share Internet access with ordinary traffic. E.g., probes can be connected to a customer's residential gateway. Appropriate probes can monitor the end user's traffic behaviour and perform tests only when there is no traffic being transferred. +- 3) Third option: a testing application programming interface (API) is embedded into the customer's residential gateway, through a firmware update, in order to act as a probe and test the fixed Internet connection. + +**Software-based tools:** in this case, there are at least three types of software-based tools: + +- 1) A web-based tool: download and execution of measurement software is initiated via the end user's web browser by accessing a specific webpage. +- 2) A dedicated software client: measurement software is permanently installed on the end user's terminal equipment. In this case, different versions of software are needed to support different operating systems and terminal equipment. +- 3) A testing API: an API can be included in the code of one popular website in order to perform test transparently every time the users access the website. + +Regardless of what type of test tool is chosen, the test tool specifications shall be sufficiently detailed so that two independent implementations of the test tools should measure statistically equivalent performance (with high confidence) when measuring the same network path under the same conditions. + +### 8.2 Quality of service evaluation scenarios + +Scenarios usually applied to evaluate the QoS of IP network service are: + +- Evaluation scenario at a national level (test server located at local Internet exchange point (IXP)); +- Evaluation scenario at the international level (test server located at an international IXP). + +Measurements are conducted on the selected QoS parameters that have impact on the user's experience when utilizing IP network services. + +This clause focuses on the evaluation scenario at a national level and the evaluation scenario at an international level is described in Appendix I. + +#### 8.2.1 Evaluation scenario at a national level + +In the evaluation scenario at a national level, the test server is located at the local IXP and probes are installed at the end user's point of view. Measurements can be carried on with or without involvement of ISPs by regulators and the measurement path includes a complete Internet connection from the customer to the test server located at the local IXP. ISPs or regulators can use standardized hardware- or software-based probes. + +The benchmarking/comparability of the ISPs can be best reached, in cases where all ISPs are connected in a similar way to the local IXP (or any central measuring point). This scenario allows regulators to conduct evaluation of the QoS experienced by subscribers provided by ISPs. In fact, tests initiated by probes are directed to the local IXP when testing local KPIs (such as download/upload mean data rate, latency). + +The measurement set-up that can be used to conduct measurement tests for QoS of Internet is given in Figure 2. + +![Diagram of measurement set-up at a national level showing a test probe connected to an ISP, which connects to a local IXP and a local test server.](6f341f415ee0f8c724e5d6daeb1e9b4a_img.jpg) + +The diagram illustrates the measurement setup at a national level. On the left, a 'Test probe' (represented by a computer icon) is connected to an 'ISP' (represented by a cloud icon). The connection is labeled 'Access and core networks'. The ISP is connected to a 'Local test server' (represented by a server rack icon) via an 'IXP' (represented by a square icon). The connection between the ISP and the IXP is also labeled 'Access and core networks'. The IXP is connected to the 'Internet' (represented by a cloud icon), which is then connected to another 'IXP' (represented by a square icon). The connection between the Internet and the second IXP is also labeled 'Access and core networks'. The second IXP is connected to a 'Local test server' (represented by a server rack icon). A double-headed arrow labeled 'Measurement tests' spans the path from the Test probe to the first IXP. The diagram is labeled 'Y.1545.1(17)\_F02' in the bottom right corner. + +Diagram of measurement set-up at a national level showing a test probe connected to an ISP, which connects to a local IXP and a local test server. + +**Figure 2 – Measurement set-up at a national level** + +[IETF RFC 7398] provides details of reference paths and measurement points. This path goes beyond the details of the reference path in clause 3.1/Figure 1 of [ITU-T Y.1540]. Figure 3 below, based partly on Figure 2 of [IETF RFC 7398], allows reference to measurement points by number. + +![Diagram a) Subscriber managed residential gateway (unmanaged from CICP point of view). The network path consists of five components in boxes: Terminal equipment mp000, Residential gateway mp100, Access node mp110, Interconnection GRA GW mp190, and Transit GRA GW mp200. Solid lines connect mp000 to mp100, mp100 to mp110, and mp190 to mp200. A dashed line connects mp110 to mp190. Below the boxes, three sub-path labels are shown in shaded boxes: 'Unmanaged Sub-path' under mp000, 'Managed Sub-path' spanning mp100, mp110, and mp190, and 'Unmanaged Sub-path' under mp200.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +Diagram a) Subscriber managed residential gateway (unmanaged from CICP point of view). The network path consists of five components in boxes: Terminal equipment mp000, Residential gateway mp100, Access node mp110, Interconnection GRA GW mp190, and Transit GRA GW mp200. Solid lines connect mp000 to mp100, mp100 to mp110, and mp190 to mp200. A dashed line connects mp110 to mp190. Below the boxes, three sub-path labels are shown in shaded boxes: 'Unmanaged Sub-path' under mp000, 'Managed Sub-path' spanning mp100, mp110, and mp190, and 'Unmanaged Sub-path' under mp200. + +a) Subscriber managed residential gateway (unmanaged from CICP point of view) + +![Diagram b) Residential gateway managed by CICP. The network path consists of five components in boxes: Terminal equipment mp000, Residential gateway mp100, Access node mp110, Interconnection GRA GW mp190, and Transit GRA GW mp200. Solid lines connect mp000 to mp100, mp100 to mp110, and mp190 to mp200. A dashed line connects mp110 to mp190. Below the boxes, three sub-path labels are shown in shaded boxes: 'Unmanaged Sub-path' under mp000, 'Managed Sub-path' spanning mp100, mp110, and mp190, and 'Unmanaged Sub-path' under mp200.](2cde062fd82833415971a8bd1a2cafab_img.jpg) + +Diagram b) Residential gateway managed by CICP. The network path consists of five components in boxes: Terminal equipment mp000, Residential gateway mp100, Access node mp110, Interconnection GRA GW mp190, and Transit GRA GW mp200. Solid lines connect mp000 to mp100, mp100 to mp110, and mp190 to mp200. A dashed line connects mp110 to mp190. Below the boxes, three sub-path labels are shown in shaded boxes: 'Unmanaged Sub-path' under mp000, 'Managed Sub-path' spanning mp100, mp110, and mp190, and 'Unmanaged Sub-path' under mp200. + +Y.1545.1(17)\_F03 + +b) Residential gateway managed by CICP + +**Figure 3 – Reference path of a CICP offering fixed Internet connectivity** + +Tests at the national level for a single IP network service provider should be conducted between mp100 and mp190 ideally. Tests which include the IXP would be conducted between mp100 and mp200, with the caveat that this testing scope includes components of two IP network service provider's domains, and possibly three domains if the IXP is operated by a third party. Both mp190 and mp200 are generally described as interconnection points in the metrics defined in clause 7. + +NOTE – National IXP locations may be in another country or on another continent, such that it may not be possible to test purely at the national level between some service providers (and it may be necessary to add a clause on regional level tests). + +Measurements from the subscriber's device (mp000) complicate the measurement of fixed IP network services. One or more private networks will influence the measurements, and more so if there are wireless networks involved. These private networks are referred to as the unmanaged sub-paths in [IETF RFC 7398]. + +Wireless access networks connecting subscribers usually don't consist of residential gateways managed by a subscriber. This is shown in Figure 4. + +![Diagram showing the reference path of a CICP offering wireless network Internet connectivity. The network path consists of four components in boxes: Terminal equipment mp000, Radio access node mp110, Interconnection GRA GW mp190, and Transit GRA GW mp200. A double-arc symbol (representing a radio link) connects mp000 to mp110. Solid lines connect mp110 to mp190 and mp190 to mp200. A dashed line extends from mp200. Below the boxes, three sub-path labels are shown in shaded boxes: 'Unmanaged Sub-path' under mp000, 'Managed Sub-path' spanning mp110 and mp190, and 'Unmanaged Sub-path' under mp200.](90ee16ccc0ad16aeca48087797d7b07f_img.jpg) + +Diagram showing the reference path of a CICP offering wireless network Internet connectivity. The network path consists of four components in boxes: Terminal equipment mp000, Radio access node mp110, Interconnection GRA GW mp190, and Transit GRA GW mp200. A double-arc symbol (representing a radio link) connects mp000 to mp110. Solid lines connect mp110 to mp190 and mp190 to mp200. A dashed line extends from mp200. Below the boxes, three sub-path labels are shown in shaded boxes: 'Unmanaged Sub-path' under mp000, 'Managed Sub-path' spanning mp110 and mp190, and 'Unmanaged Sub-path' under mp200. + +Y.1545.1(17)\_F04 + +**Figure 4 – Reference path of a CICP offering wireless network Internet connectivity** + +This figure may be generalized if "Radio" is omitted for the access node, such that it corresponds to Figure 3. + +The reference paths of CICPs to application servers do not depend on the access offered to a subscriber. For the sake of simplicity, only fixed access subscribers are used to illustrate the following reference paths. + +To be authorised for Internet connectivity operated by a CICP, a subscriber will have to authenticate. Thus, prior to communicating with the Internet, the subscriber requires access to an application service of the CICP. The generic reference path to a service offered by the CICP is shown in Figure 5 below: + +![Figure 5: Reference path to a CICP application service. The diagram shows a sequence of network elements: Terminal equipment mp000, Residential gateway mp100, Access node mp110, CICP internal GRA GW mp190, CICP application GRA GW mp195, and CICP application server mp199. Below these elements are two horizontal bars: 'Unmanaged Sub-path' (shaded grey) and 'Managed Sub-path' (white). The path starts at Terminal equipment mp000, goes through Residential gateway mp100 and Access node mp110 (under the Unmanaged Sub-path), then through CICP internal GRA GW mp190, CICP application GRA GW mp195, and finally to CICP application server mp199 (under the Managed Sub-path). A dashed line connects Access node mp110 and CICP internal GRA GW mp190.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +``` + +graph LR + TE[Terminal equipment mp000] --- RG[Residential gateway mp100] + RG --- AN[Access node mp110] + AN -.->|Managed Sub-path| ICICP[CICP internal GRA GW mp190] + ICICP --- CA[CICP application GRA GW mp195] + CA --- CAS[CICP application server mp199] + +``` + +Y.1545.1(17)\_F05 + +Figure 5: Reference path to a CICP application service. The diagram shows a sequence of network elements: Terminal equipment mp000, Residential gateway mp100, Access node mp110, CICP internal GRA GW mp190, CICP application GRA GW mp195, and CICP application server mp199. Below these elements are two horizontal bars: 'Unmanaged Sub-path' (shaded grey) and 'Managed Sub-path' (white). The path starts at Terminal equipment mp000, goes through Residential gateway mp100 and Access node mp110 (under the Unmanaged Sub-path), then through CICP internal GRA GW mp190, CICP application GRA GW mp195, and finally to CICP application server mp199 (under the Managed Sub-path). A dashed line connects Access node mp110 and CICP internal GRA GW mp190. + +**Figure 5 – Reference path to a CICP application service** + +Supporting services and applications (above the IP layer) offered by a CICP to a subscriber may include: + +- Authentication, authorization, and accounting (AAA) and IP address assignment (this service is not optional); +- DNS; +- Operations, administration and maintenance (OAM) service; +- E-mail; +- Voice over Internet protocol (VoIP) (like Internet multimedia subsystem (IMS) or voice over LTE (VoLTE)); +- Internet protocol television (IPTV) (multicast based, but also unicast based); +- Cloud services; +- An Internet portal (including web-based e-mail access); +- Streaming services like video on demand (VoD) (progressive download); +- Shopping (of e.g., equipment and services offered by the CICP); +- Ad-servers and subscriber monitoring. + +Some applications may consist of several services which may be implemented on independent application servers. In general, signalling and application IP flows of a single application may be operated on separated hardware. + +## 9 Sampling methodology + +The number of probes to be used in testing the QoS of Internet measurements should be enough to guarantee that the data collected are representative for that region and sufficient from a statistical perspective. Further, the data collection plan should be designed to ensure that the results sufficiently reflect the QoS as perceived by the user. + +It is recommended that the selection of panellists (end-user access points, where to install probes) should take into consideration various factors such as technologies (e.g., xDSL, fibre optic, wireless networks), Internet data rate packages (depending on popularity), locations, and should be based on a voluntary process to avoid ISP traffic prioritization for those users being tested. + +The choice of satisfactory measurement tests, i.e., geographical locations of origin and destination of tests as well as traffic variations, is a crucial point with respect to the comparability and validation of the statistics to be calculated for the measured parameters. + +Test connections and data transfer attempts should be carried out in such a way that they match the traffic variations in the network. The measurements obtained in each test should be weighted by a factor according to the level of the traffic operator's network (% of bandwidth used) corresponding to the location and time when the test was conducted. + +Guidance on how to calculate the number of samples needed to perform QoS measurements for Internet services is available in Annex C of [ETSI EG 202 057 04] and in Amendment I of + +[ITU-T E.802]. Furthermore, post processing and statistical methods can be found in clause 11 of [ITU-T E.804]. + +### **9.1 Selecting access lines for each speed package** + +In national QoS evaluation studies for Internet, the percentage of access lines (for each data rate package) of ISPs to be selected in rural, suburban and urban regions should be statistically representative. + +The sampling methodology should have a stable level for the confidence intervals obtained in various regions and for different ISPs. If the final results of the access lines per ISP correspond closely to the market share of the ISP, it is likely that the sampling criteria followed by the national measurement campaign are representative. In the case of under-representation of access lines offered by some ISPs, the best option will be to exclude those particular ISPs from the campaign. + +However, there is a difference between fixed and mobile access to Internet in selecting the access point. For mobile Internet, it is possible to measure QoS everywhere where coverage is ensured. In this case, a number of hotspots should be selected for the measurements across the country. This can be calculated depending on the size of the country, geographic coverage percentage and classification of rural, urban and suburban areas. + +On the side of fixed Internet, selection of access points for fixed ISPs is quite challenging, because in order to perform the measurements, in most cases, it is necessary to access the consumer premises. This problem is faced by both regulators and ISPs. However, this obstacle may be solved through development of cooperation between regulators, consumers and ISPs. + +Experience in this regard shows that to develop cooperation and attract sufficient numbers of volunteers, each attempt should be led by appropriate advertising campaigns and publication of information using various media channels. + +### **9.2 Selecting the measurement moments** + +The moments for the measurements should, in principle, cover high and low traffic, including peak hours. However, for simplicity, the measurements may cover only high-traffic hours, including peak hours. If the Internet access service (IAS) is working properly in peak hour (or at least in high traffic hours) the conclusion could be made that quality in low-traffic hours should be even more acceptable. + +The frequency of the measurements should be based on the number of users participating in the campaign, the option(s) taken for the overall set of measurements and the level of statistical error and confidence intervals acceptable for the project. Decisions in this regard should be taken after consulting all relevant options in order to best adapt the frequency [b-ECC Report 195]. + +## Appendix I + +### Evaluation scenario at international level + +(This appendix does not form an integral part of this Recommendation.) + +In this scenario, as shown in Figure I.1, test server is located at an international IXP (i.e., an IXP installed in another continent, or another country). Usually, the Internet connection that ISPs provide to customers is to the entire Internet. Therefore, the more bandwidth capacity in the ISPs' connections, the better the quality of the Internet connection provided by the ISPs will be. + +This scenario allows regulators to test the international data transmission KPIs (e.g., download/upload data rate, delay). This allows the comparison between the connectivity of IP-based services inside the country and outside (different countries/continents). + +![Diagram of the evaluation scenario at international level.](3da1a07cb87051bf616c9876db958cf0_img.jpg) + +The diagram illustrates the evaluation scenario at an international level. It shows a 'Test probe' (represented by a computer icon) connected to an 'ISP' cloud. The ISP is connected to an 'IXP' (Internet Exchange Point) box, which is labeled 'Local test server'. This IXP is connected to the 'Internet' cloud, which is connected to another 'IXP' box, labeled 'International test server'. A double-headed arrow labeled 'Measurement tests' spans the distance between the Test probe and the International test server. The text 'Access and core networks' is positioned above the ISP and Internet clouds. The identifier 'Y.1545.1(17)\_F06' is located at the bottom right of the diagram. + +Diagram of the evaluation scenario at international level. + +**Figure I.1 – Evaluation scenario at international level** + +## Bibliography + +- [b-ITU-T E.800] Recommendation ITU-T E.800 (2008), *Definitions of terms related to quality of service*. +- [b-ITU-T I.353] Recommendation ITU-T Y.353 (1996), *Reference events for defining ISDN and B-ISDN performance parameters*. +- [b-ITU-T Y.1241] Recommendation ITU-T Y.1241 (2001), *Support of IP-based services using IP transfer capabilities*. +- [b-ITU-T Y.1541] Recommendation ITU-T Y.1541 (2011), *Network performance objectives for IP-based services*. +- [b-ITU-T Y.1543] Recommendation ITU-T Y.1543 (2007), *Measurements in IP networks for inter-domain performance assessment*. +- [b-ITU-T Y.1545] Recommendation ITU-T Y.1545 (2013), *Roadmap for the quality of service of interconnected networks that use the Internet protocol*. +- [b-IETF RFC 5835] IETF RFC 5835 (2010), *Framework for Metric Composition*. +<> +- [b-IETF ippm] IETF draft-ietf-ippm-initial-registry (2017), Initial Performance Metric Registry Entries. +<> +- [b-ECC Report 195] ECC Report 195 (2013), *Minimum Set of Quality of Service Parameters and Measurement Methods for Retail Internet Access Services*. +<> + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data 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+Internet protocol aspects – Quality of service and network +performance + +# --- **Performance and availability parameters for MPLS networks** + +ITU-T Recommendation Y.1561 + +--- + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **ITU-T Recommendation Y.1561** + +# **Performance and availability parameters for MPLS networks** + +## **Summary** + +This Recommendation defines parameters that may be used in specifying and assessing the performance of speed, accuracy, dependability, and availability of packet transfer over a Label Switched Path on a Multi-Protocol Label Switching (MPLS) network. The defined parameters apply to end-to-end, point-to-point and multipoint-to-point LSP and to any MPLS domain that provides, or contributes to the provision of, packet transfer services. + +Two categories of MPLS networks are considered: + +- 1) TE-LSP: Traffic Engineering Label Switched Path, or configured LSP. These are point-point paths. +- 2) LDP-based LSP: This includes point-to-point and multipoint to point LSPs. + +## **Source** + +ITU-T Recommendation Y.1561 was approved on 7 May 2004 by ITU-T Study Group 13 (2001-2004) under the ITU-T Recommendation A.8 procedure. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications. The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementors are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database. + +© ITU 2004 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +# CONTENTS + +| | Page | +|-------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 2 | +| 3 Definitions ..... | 3 | +| 4 Abbreviations..... | 3 | +| 5 Layered protocol reference model and performance model for MPLS..... | 4 | +| 5.1 Network components..... | 5 | +| 5.2 Exchange links and network sections..... | 7 | +| 5.3 Measurement points and measurable sections..... | 7 | +| 5.4 Packet transfer reference events (PREs)..... | 8 | +| 5.5 Packet transfer outcomes ..... | 9 | +| 6 Packet transfer performance parameters..... | 13 | +| 6.1 Populations of interest ..... | 13 | +| 6.2 Packet Transfer Delay (PTD) ..... | 14 | +| 6.3 Packet Error Ratio (PER) ..... | 16 | +| 6.4 Packet Loss Ratio (PLR) ..... | 16 | +| 6.5 Spurious Packet Rate (SPR) ..... | 16 | +| 6.6 Packet Severe Loss Block Ratio (PSLBR)..... | 16 | +| 6.7 Recovery Time ..... | 17 | +| 7 Availability ..... | 17 | +| 7.1 Availability service function for connection-oriented services..... | 17 | +| 7.2 Availability parameters ..... | 17 | +| 8 Security ..... | 18 | +| BIBLIOGRAPHY ..... | 18 | + + + +# Performance and availability parameters for MPLS networks + +# 1 Scope + +This Recommendation defines parameters that may be used in specifying and assessing the performance of speed, accuracy, dependability, and availability of packet (labelled or not – in the latter case, Penultimate Hop Popping (PHP) may cause loss of Label Switched Paths (LSP) identity at the network edges) transfer over an LSP on a Multi-Protocol Label Switching (MPLS) network. The defined parameters apply to end-to-end, point-to-point and multipoint-to-point LSP and to any MPLS domain that provides, or contributes to the provision of, packet transfer services in accordance with the normative references specified in clause 2. + +![Figure 1/Y.1561 – Scope of this Recommendation. The diagram illustrates the scope of the recommendation, showing the flow of packets through an MPLS domain and an exchange link, and the resulting performance parameters and availability parameters.](49ee89a1d5852ab005dbbab6de09a8a6_img.jpg) + +The diagram illustrates the scope of the recommendation, showing the flow of packets through an MPLS domain and an exchange link, and the resulting performance parameters and availability parameters. + +**Network section:** Shows an MPLS domain with two LS routers. Packets enter from the left, pass through a Boundary, and then through the MPLS domain. Measurement Points (MP) are indicated at the boundaries. + +**Exchange link:** Shows two Edge nodes connected by a Link. Packets enter from the left, pass through a Boundary, and then through the exchange link. Measurement Points (MP) are indicated at the boundaries. + +**Y.1561 – IP Packet Transfer Reference Events:** A central box representing the reference events for packet transfer. + +**Y.1561 – IP Packet Performance Parameters:** A table defining the performance parameters based on the reference events. + +| Function | Criterion | Speed | Accuracy | Dependability | +|---------------------------|-----------|--------------------------------------------------|----------|---------------| +| Access | | | | | +| User information transfer | | Y.1561 – IP Packet Performance Parameters | | | +| Disengagement | | | | | + +**Y.1561 – Availability parameters:** A box representing the availability parameters, which are derived from the performance parameters. It is shown in a state of being "MPLS unavailable" or "MPLS available". + +MP Measurement Point + +(Clause 5/Y.1561) + +(Clause 6/Y.1561) + +(Clause 7/Y.1561) + +Y.1561\_F01 + +Figure 1/Y.1561 – Scope of this Recommendation. The diagram illustrates the scope of the recommendation, showing the flow of packets through an MPLS domain and an exchange link, and the resulting performance parameters and availability parameters. + +Figure 1/Y.1561 – Scope of this Recommendation + +The scope of this Recommendation is summarized in Figure 1. The MPLS network performance parameters are defined on the basis of packet transfer reference events that may be observed at measurement points (MPs) associated with specified functional and jurisdictional boundaries. The + +measurement points may be at the ends of LSPs. For comparability and completeness, MPLS network performance is considered in the context of the $3 \times 3$ performance matrix defined in ITU-T Rec. I.350. Three protocol-independent communication functions are identified in the matrix: access, user information transfer and disengagement. Each function is considered with respect to three general performance concerns (or "performance criteria"): speed, accuracy and dependability. An associated two-state model provides a basis for describing MPLS network availability. + +The performance of MPLS networks providing access and disengagement functions (e.g., Resource ReserVation Protocol – Traffic Engineering, RSVP-TE) and supporting capabilities (e.g., Label Distribution Protocol, LDP, as per RFC 3036) may be addressed in separate Recommendations. + +Two categories of MPLS networks will be considered here: + +- 1) TE-LSP: Traffic Engineering Label Switched Path, or configured LSP. These are point-point paths. The paths are connection-oriented, explicitly routed, and fixed. +- 2) LDP-based LSP: This includes point-to-point and multipoint to point LSPs. The paths behave more like IP, using the Interior Gateway Protocol (IGP), such as Open Shortest Path First (OSPF) or Intermediate System to Intermediate System (IS-IS) for routing. The LSPs are connectionless. + +The point-to-point and multipoint-to-point topologies are accommodated through the concept of *populations of interest*, defined in 6.1. The case of PHP causing loss of LSP identity is specifically addressed in 5.4, where there are three optional criteria for packet transfer reference events. Correspondence between ingress and egress reference events has been dealt with here to the same degree as in different Recommendations (e.g., ITU-T Rec. Y.1540), in 5.5.2. + +In this Recommendation, the general term *packet* refers to an IP packet with header and information field, or to other protocols with combinations of header and information fields, so long as there is a standard that describes the encapsulation as an MPLS packet. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- ITU-T Recommendation I.350 (1993), *General aspects of quality of service and network performance in digital networks, including ISDNs*. +- ITU-T Recommendation I.353 (1996), *Reference events for defining ISDN and B-ISDN performance parameters*. +- ITU-T Recommendation Y.1540 (2002), *Internet protocol data communication service – IP packet transfer and availability performance parameters*. +- ITU-T Recommendation Y.1711 (2004), *Operation and maintenance mechanism for MPLS networks*. +- IETF RFC 3031 (2001), *Multiprotocol Label Switching Architecture*. +- IETF RFC 3032 (2001), *MPLS Label Stack Encoding*. +- IETF RFC 3036 (2001), *LDP Specification*. +- IETF RFC 3107 (2001), *Carrying Label Information in BGP-4*. + +- IETF RFC 3429 (2002), *Assignment of the 'OAM Alert Label' for Multiprotocol Label Switching Architecture (MPLS) Operation and Maintenance (OAM) Functions*. + +# 3 Definitions + +This Recommendation defines the following terms: + +- 3.1 Forwarding Equivalence Class (FEC):** A category of IP packets that receive the same forwarding treatment. +- 3.2 Label Switched Path (LSP):** The path through one or more LSRs at one level of the hierarchy followed by a packet in a particular FEC. +- 3.3 Penultimate Hop Popping (PHP):** An optional feature in MPLS, where the label stack may be popped (removed) at the penultimate Label Switching Router of the LSP, rather than at the LSP Egress. + +# 4 Abbreviations + +This Recommendation uses the following abbreviations: + +| | | +|--------|--------------------------------------------------------| +| CE | Customer Edge Router | +| CR-LDP | Constraint-based Routing – Label Distribution Protocol | +| DSCP | Differentiated Services Code Point | +| DST | Destination | +| EL | Exchange Link | +| EXP | Experimental | +| FEC | Forwarding Equivalence Class | +| IGP | Interior Gateway Protocol | +| IP | Internet Protocol | +| IS-IS | Intermediate System to Intermediate System | +| LDP | Label Distribution Protocol | +| LSP | Label Switched Path | +| LSR | Label Switching Router | +| MP | Measurement Point | +| MPLS | Multi-Protocol Label Switching | +| NS | Network Section | +| NSE | Network Section Ensemble | +| OSPF | Open Shortest Path First | +| PDV | Packet Delay Variation | +| PE | Provider Edge Label Switching Router | +| PER | Packet Error Ratio | +| PHP | Penultimate Hop Popping | +| PIA | Percent service availability | +| PIU | Percent service unavailability | + +| | | +|---------|-----------------------------------------------------| +| PLR | Packet Loss Ratio | +| PRE | Packet Transfer Reference Event | +| PSLBR | Packet Severe Loss Block Ratio | +| PTD | Packet Transfer Delay | +| RSVP-TE | Resource ReserVation Protocol – Traffic Engineering | +| RTPTD | Round Trip Packet Transfer Delay | +| SLB | Severe Loss Block | +| SPR | Spurious Packet Rate | +| SRC | Source | +| TLV | Type-Length-Value-tuple | +| ToS | Type of Service | +| TTL | Time To Live | +| UDP | User Datagram Protocol | +| UNI | User Network Interface | + +# 5 Layered protocol reference model and performance model for MPLS + +Figure 2 illustrates the layered nature of MPLS transport service. The performance provided to layers above MPLS depends both on the MPLS layer performance and the layers below MPLS: + +- Lower layers that provide connection-oriented or connection transport supporting the MPLS layer. +- The MPLS layer that transports packets. This layer has significance across the MPLS Domain(s), and provides the Label Switched Path (LSP). In the case where Penultimate Hop Popping is employed, the label stack is returned to the depth on ingress in the penultimate node. +- Higher Layers, including the IP layer, that further enable end-to-end communication. + +This clause defines a generic MPLS transport network performance model, composed of network sections and exchange links that interconnect network sections. The performance parameters defined here may be applied to the unidirectional transfer of packets on a network section, or across a single MPLS Domain, as defined below (this is the scope of OA&M measurements, such as those defined in ITU-T Rec. Y.1711). The parameters may also be applied to combinations of network sections and exchange links, when the mapping between labels and routes has been distributed between AS according to standardized protocols, such as those defined in RFC 3107. The performance parameters are based on reference events and packet transfer outcomes, also defined below. + +In particular, Figure 2 illustrates one of the challenges of MPLS architectures, where the MPLS layer may not exist across the entire measurement path. + +![Figure 2/Y.1561 – Layered model of performance for MPLS. The diagram illustrates the layered model of performance for MPLS across different network components. It shows the flow from a Source (SRC) to a Destination (DST) through an Ingress edge node, one or more MPLS nodes, a Penultimate MPLS node, and an Egress edge node. Each node is represented by a stack of layers: IP layer, MPLS layer, and lower layers. At the Ingress edge node, MPLS labels are added, and at the Penultimate MPLS node, they are removed (Penultimate Hop Popping). The diagram also highlights 'Edge-to-edge measurement' between the Ingress and Egress edge nodes and the 'Loss of LSP identity (IP Layer present from edge-edge, but not Labels)' at the Penultimate node. A green curved arrow indicates the path of the packet through the layers. The diagram is labeled Y.1561_F02.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +The diagram illustrates the layered model of performance for MPLS across different network components. It shows the flow from a Source (SRC) to a Destination (DST) through an Ingress edge node, one or more MPLS nodes, a Penultimate MPLS node, and an Egress edge node. Each node is represented by a stack of layers: IP layer, MPLS layer, and lower layers. At the Ingress edge node, MPLS labels are added, and at the Penultimate MPLS node, they are removed (Penultimate Hop Popping). The diagram also highlights 'Edge-to-edge measurement' between the Ingress and Egress edge nodes and the 'Loss of LSP identity (IP Layer present from edge-edge, but not Labels)' at the Penultimate node. A green curved arrow indicates the path of the packet through the layers. The diagram is labeled Y.1561\_F02. + +Figure 2/Y.1561 – Layered model of performance for MPLS. The diagram illustrates the layered model of performance for MPLS across different network components. It shows the flow from a Source (SRC) to a Destination (DST) through an Ingress edge node, one or more MPLS nodes, a Penultimate MPLS node, and an Egress edge node. Each node is represented by a stack of layers: IP layer, MPLS layer, and lower layers. At the Ingress edge node, MPLS labels are added, and at the Penultimate MPLS node, they are removed (Penultimate Hop Popping). The diagram also highlights 'Edge-to-edge measurement' between the Ingress and Egress edge nodes and the 'Loss of LSP identity (IP Layer present from edge-edge, but not Labels)' at the Penultimate node. A green curved arrow indicates the path of the packet through the layers. The diagram is labeled Y.1561\_F02. + +**Figure 2/Y.1561 – Layered model of performance for MPLS** + +As noted earlier, packets using protocols other than IP may be encapsulated with MPLS labels and transported over MPLS networks, but the PHP option would not be used and labels will be present from network edge-to-edge. In some cases, MPLS networks may provide transport between User-Network Interfaces (UNI), and offer an end-to-end transport service to higher-layer protocols. + +## 5.1 Network components + +Fundamental components of IP networks are defined in ITU-T Rec. Y.1540. + +The following network components have been defined in RFC 3031: + +**5.1.1 LSR (label switching router):** An MPLS node which is capable of forwarding native L3 packets. + +*NOTE* – As used here and in the definitions that follow, L3 refers to the IP layer. + +**5.1.2 MPLS domain:** A contiguous set of nodes which operate MPLS routing and forwarding and which are also in one Routing or Administrative Domain. + +**5.1.3 MPLS edge node:** An MPLS node that connects an MPLS domain with a node which is outside of the domain, either because it does not run MPLS, and/or because it is in a different domain. Note that if an LSR has a neighbouring host which is not running MPLS, that LSR is an MPLS edge node. + +**5.1.4 MPLS egress node:** An MPLS edge node in its role in handling traffic as it leaves an MPLS domain. + +**5.1.5 MPLS ingress node:** An MPLS edge node in its role in handling traffic as it enters an MPLS domain. + +**5.1.6 MPLS node:** A node which is running MPLS. An MPLS node will be aware of MPLS control protocols, will operate one or more L3 routing protocols, and will be capable of forwarding packets based on labels. An MPLS node may optionally be also capable of forwarding native L3 packets. + +This Recommendation also defines: + +**5.1.7 MPLS network:** A network that consists of one or more MPLS domains, having one or more LSPs from network ingress node to network egress node. + +![Diagram illustrating MPLS network connectivity. It shows three 'Network section' ovals connected by 'Exchange link' lines. The first section contains 'MPLS nodes' and a 'Label Switched Path' (LSP) indicated by a dashed line. A legend identifies a circle as an 'MPLS node' and a dashed line as a 'Label Switched Path'. A note states: 'MPLS Edge Node, or MPLS Ingress Node, or LSR if both IP and MPLS are enabled'. Dimensions at the top indicate 'Scope of OA&M measurements: single network section or MPLS domain' and 'MPLS domain'. A 'Network Section Ensemble (NSE)' dimension spans the first two sections. A 'MPLS network' dimension spans all three. Below, a 'Service Provider' oval is shown with 'Access' nodes, and a note states: 'Network Section may include Nodes on Customer Site'.](042733dc5e8e7f5f30b60adba3266cde_img.jpg) + +Scope of OA&M measurements: single network section or MPLS domain + +MPLS domain + +MPLS domain + +Network section + +Exchange link + +Exchange link + +Exchange link + +Exchange link + +Network section + +Network section + +MPLS Edge Node, or MPLS Ingress Node, or LSR if both IP and MPLS are enabled + +MPLS node + +Label Switched Paths + +Network Section Ensemble (NSE) + +MPLS network + +Network Section may include Nodes on Customer Site + +Service Provider + +Access + +Access + +Y.1561\_F03 + +Diagram illustrating MPLS network connectivity. It shows three 'Network section' ovals connected by 'Exchange link' lines. The first section contains 'MPLS nodes' and a 'Label Switched Path' (LSP) indicated by a dashed line. A legend identifies a circle as an 'MPLS node' and a dashed line as a 'Label Switched Path'. A note states: 'MPLS Edge Node, or MPLS Ingress Node, or LSR if both IP and MPLS are enabled'. Dimensions at the top indicate 'Scope of OA&M measurements: single network section or MPLS domain' and 'MPLS domain'. A 'Network Section Ensemble (NSE)' dimension spans the first two sections. A 'MPLS network' dimension spans all three. Below, a 'Service Provider' oval is shown with 'Access' nodes, and a note states: 'Network Section may include Nodes on Customer Site'. + +Figure 3/Y.1561 – MPLS network connectivity + +Table 1 gives the hierarchical relationship of the terminology used here. + +Table 1/Y.1561 – Node terminology + +| MPLS node | | | | | | | | +|-----------|---------|---------|---------|---------------|--|--|--| +| Edge node | | | | Interior node | | | | +| Ingress | | Egress | | | | | | +| LSR(IP) | Non-LSR | LSR(IP) | Non-LSR | | | | | + +## **5.2 Exchange links and network sections** + +### **5.2.1 Exchange Link (EL)** + +The link connecting: + +- 1) a source or destination host (or router) to its adjacent router, possibly in another jurisdiction, sometimes referred to as an access link, ingress link or egress link; or +- 2) a router in one network section with a router in another network section. + +Note that the responsibility for an exchange link, its capacity, and its performance is typically shared between the connected parties. + +NOTE – "Exchange link" is equivalent to the term "label switched hop" as defined in RFC 3031. + +### **5.2.2 Network Section (NS)** + +A set of MPLS nodes together with all of their interconnecting links that together provide all or part of the MPLS network between an ingress node and an egress node, and are under a single (or collaborative) jurisdictional responsibility. Some network sections consist of a single host with no interconnecting links. Source NS and Destination NS are particular cases of network sections. Pairs of network sections are connected by exchange links. + +NOTE – "Network Section" is synonymous with the term "MPLS Domain" as defined in RFC 3031. + +## **5.3 Measurement points and measurable sections** + +### **5.3.1 Measurement Point (MP)** + +The boundary between a host or MPLS Edge Node and an adjacent link at which performance reference events can be observed and measured. Consistent with ITU-T Rec. I.353, any of the standard Internet protocols can be observed at measurement points. + +NOTE – The exact location of the MPLS MP within the protocol stack is for further study. + +A section or a combination of sections is measurable if it is bounded by a set of MPs. In this Recommendation, the following sections are measurable. + +### **5.3.2 Basic section** + +An EL, NS, a SRC, or a DST. Basic sections are delimited by MP. + +The performance of any EL or NS is measurable relative to any given unidirectional end-to-end MPLS network. The *ingress MPs* are the set of MPs crossed by packets from a FEC as they go into a basic section. The *egress MPs* are the set of MPs crossed by packets from that FEC as they leave that basic section. + +### **5.3.3 End-to-end MPLS transport on a label switched path** + +The set of EL and NS that provide the transport of packets transmitted from MPLS edge node to MPLS edge node on an MPLS network. The MPs that bind the end-to-end MPLS network are the MPs at the ingress node of the first MPLS domain and at the egress node of the last MPLS domain that form the label switched path (LSP). + +The end-to-end MPLS network performance is measurable relative to any given unidirectional label switched path. The *ingress MPs* are the MPs crossed by packets from a FEC as they enter the LSP. The *egress MPs* are the MPs crossed by packets from that FEC as they leave that LSP. + +### **5.3.4 Network section ensemble (NSE)** + +An NSE refers to any connected subset of NSs together with all of the ELs that interconnect them. The term NSE can be used to refer to a single NS, two NSs, or any number of NS and their + +connecting EL. Pairs of distinct NSEs are connected by exchange links. The term NSE can also be used to represent the entire end-to-end MPLS transport. NSEs are delimited by MP. + +The performance of any given NSE is measurable relative to any given unidirectional label switched path provided by the NSE. The *ingress MPs* are the set of MPs crossed by packets from a service as they go into an NSE. The *egress MPs* are the set of MPs crossed by packets from that service as they leave that NSE. + +## 5.4 Packet transfer reference events (PREs) + +In the context of this Recommendation, the following definitions apply on a specified end-to-end MPLS Network. The defined terms are illustrated in Figure 4. + +![Figure 4: Example packet transfer reference events. The diagram shows a sequence of four edge nodes connected by exchange links. Each edge node is represented as a box divided into an 'MPLS layer' (top) and a 'Lower layer' (bottom). Below each edge node is a measurement point (MP). The first edge node contains packet A in its lower layer. An exchange link connects it to the second edge node, which contains packet B in its lower layer. Another exchange link connects the second to the third edge node, which contains packet C in its lower layer. A final exchange link connects the third to the fourth edge node, which contains packet D in its lower layer. A large circle labeled 'Network section' encompasses the second and third edge nodes and their connecting link. Arrows indicate the flow from left to right between the exchange links. The label 'Y.1561_F04' is in the bottom right corner.](bd671b21db63e6fdb2196e9b18502aac_img.jpg) + +Figure 4: Example packet transfer reference events. The diagram shows a sequence of four edge nodes connected by exchange links. Each edge node is represented as a box divided into an 'MPLS layer' (top) and a 'Lower layer' (bottom). Below each edge node is a measurement point (MP). The first edge node contains packet A in its lower layer. An exchange link connects it to the second edge node, which contains packet B in its lower layer. Another exchange link connects the second to the third edge node, which contains packet C in its lower layer. A final exchange link connects the third to the fourth edge node, which contains packet D in its lower layer. A large circle labeled 'Network section' encompasses the second and third edge nodes and their connecting link. Arrows indicate the flow from left to right between the exchange links. The label 'Y.1561\_F04' is in the bottom right corner. + +NOTE 1 – Packet exit events for packets A and C. + +NOTE 2 – Packet entry events for packets B and D. + +**Figure 4/Y.1561 – Example packet transfer reference events** + +A packet transfer event occurs when: + +- a packet crosses a measurement point (MP); +- standard procedures confirm that the packet header is valid, e.g., MPLS procedures are applied to validate the label(s), or other header procedures as appropriate; +- the packet is a member of the FEC of interest, as determined by any of the following: + - the label value within the label contains the expected value and the TTL is non-zero; or (the cases below are applicable when PHP removes the label with LSP identity); + - in the Y.1711 OAM Connectivity Verification (CV) flow packet case, the packet payload contains the OAM function type codepoint, the OAM Payload consistent with the function type, and the Trail Termination Source Identifier field contains the expected LSP ID and the IP address of the expected SRC; or + - the source and destination address fields within the IP packet header represent the IP addresses of the expected SRC and DST (within the FEC). Information in the packet payload (e.g., inserted by a measurement system) may supplement the header information; or + - in the LSP-PING packet case, the MPLS echo request packet must be well-formed (valid) at all supporting layers, including the UDP layer and the request format in the UDP payload with the required FEC Stack Type-Length-Value-tuple (TLV). + +NOTE 1 – The applicability of Y.1711 OAM messages with PHP is given in RFC 3429. In summary, the ultimate node receiving the OAM packet must be an MPLS LSR to interpret the Y.1711 label and payload correctly. If the ultimate node has no MPLS label look-up or processing, then Y.1711 is not applicable. + +NOTE 2 – The MPLS label contains 3 EXP bits and the IP packet header contains information including Type of Service (ToS) or Differentiated Services Code Point (DSCP). This information may affect packet transfer performance, and must be specified if used (set to non-default value). + +Packet transfer reference events are defined without regard to packet fragmentation. They occur for every packet crossing any MP regardless of the value contained in the "more-fragments flag". If fragmentation is necessary, an LSR may silently discard the packet (as per RFC 3032). + +Four types of packet transfer events are defined: + +### **5.4.1 Packet entry event into a node** + +A packet transfer entry event into a node occurs when a packet crosses a MP entering a node (LSR or MPLS edge node) from the attached EL. + +### **5.4.2 Packet exit event from a node** + +A packet transfer exit event from a node occurs when a packet crosses a MP exiting a node (LSR or MPLS edge node) into the attached EL. + +### **5.4.3 Packet ingress event into a basic section or NSE** + +A packet transfer ingress into a basic section or NSE event occurs when a packet crosses an ingress MP into a basic section or a NSE. + +### **5.4.4 Packet egress event from a basic section or NSE** + +A packet transfer egress event from a basic section or NSE occurs when a packet crosses an egress MP out of a basic section or a NSE. + +NOTE 1 – Packet entry and exit events always represent, respectively, entry into and exit from a node. Packet ingress events and egress events always represent ingress into and egress from a section or an NSE. To illustrate this point, note that an ingress into an EL creates an exit event from the preceding node, while an ingress into an NS is an entry event because, by definition, NSs always have nodes at their edges. + +NOTE 2 – For practical measurement purposes, Packet transfer reference events need not be observed within the protocol stack of the node. Instead, the time of occurrence of these reference events can be approximated by observing the packets crossing an associated physical interface. This physical interface should, however, be as near as possible to the desired MP. In cases where reference events are monitored at a physical interface, the time of occurrence of an exit event from a host is approximated by the observation of the first bit of the packet coming from the host or test equipment. The time of occurrence of an entry event into a host is approximated by the observation of the last bit of the packet going to the host or test equipment. + +## **5.5 Packet transfer outcomes** + +By considering packet transfer reference events, a number of possible transfer outcomes may be defined for any packet attempting to cross a basic section or an NSE. A transmitted packet is either *successfully transferred*, *errored* or *lost*. A delivered packet for which no corresponding packet was offered is said to be *spurious*. Figure 5 illustrates the packet transfer outcomes. + +The definitions of packet transfer outcomes are based on the concepts of *permissible ingress MP*, *permissible egress MP* and *corresponding packets*. + +![Diagram illustrating packet transfer outcomes between an ingress MP and an egress MP. The diagram shows four scenarios: 1. Successful packet outcome: A packet with PRE1 at the ingress MP is transferred to the egress MP as PRE2 with a valid header and error-free payload, occurring within time t ≤ Tmax. 2. Errored packet outcome: A packet with PRE1 at the ingress MP is transferred to the egress MP as PRE2 with a corrupted header or errored payload, occurring within time t ≤ Tmax. 3. Spurious packet outcome: A packet with PRE1 at the ingress MP is transferred to the egress MP as PRE2 (Note), occurring within time t ≤ Tmax. 4. Lost packet outcome: A packet with PRE1 at the ingress MP is never delivered or delivered to an unpermitted egress MP, occurring within time t > Tmax. The diagram is labeled Y.1561_F05.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +``` + +graph TD + subgraph Ingress_MP [ingress MP] + I1[PRE1] + I2[PRE1] + I3[PRE1] + I4[PRE1] + end + subgraph Egress_MP [egress MP] + E1[PRE2 +Valid header and error-free payload] + E2[PRE2 +Corrupted header or errored payload] + E3[PRE2 +Note] + E4[PRE2 +Note] + end + I1 -- "t ≤ Tmax" --> E1 + I2 -- "t ≤ Tmax" --> E2 + I3 -- "t ≤ Tmax" --> E3 + I4 -- "Never delivered or delivered to an unpermitted egress MP" --> Lost1[Lost packet outcome] + I4 -- "t > Tmax" --> E4 + + E1 --- S1[Successful packet outcome] + E2 --- S2[Errored packet outcome] + E3 --- S3[Spurious packet outcome] + E4 --- S4[Lost packet outcome] + +``` + +ingress MP + +egress MP + +PRE1 + +$t \leq T_{\max}$ + +PRE2 +Valid header and error-free payload + +Successful packet outcome + +--- + +PRE1 + +$t \leq T_{\max}$ + +PRE2 +Corrupted header or errored payload + +Errored packet outcome + +--- + +PRE2 +(Note) + +Spurious packet outcome + +--- + +PRE1 + +Never delivered or delivered to an unpermitted egress MP + +Lost packet outcome + +PRE1 + +$t > T_{\max}$ + +PRE2 +(Note) + +Lost packet outcome + +Y.1561\_F05 + +Diagram illustrating packet transfer outcomes between an ingress MP and an egress MP. The diagram shows four scenarios: 1. Successful packet outcome: A packet with PRE1 at the ingress MP is transferred to the egress MP as PRE2 with a valid header and error-free payload, occurring within time t ≤ Tmax. 2. Errored packet outcome: A packet with PRE1 at the ingress MP is transferred to the egress MP as PRE2 with a corrupted header or errored payload, occurring within time t ≤ Tmax. 3. Spurious packet outcome: A packet with PRE1 at the ingress MP is transferred to the egress MP as PRE2 (Note), occurring within time t ≤ Tmax. 4. Lost packet outcome: A packet with PRE1 at the ingress MP is never delivered or delivered to an unpermitted egress MP, occurring within time t > Tmax. The diagram is labeled Y.1561\_F05. + +NOTE – Outcome occurs independent of packet contents. + +**Figure 5/Y.1561 – Packet transfer outcomes** + +### 5.5.1 Global routing information and permissible output links + +All packets (and fragments of packets) leaving a basic section should only be forwarded to other basic sections as *permitted* by the available global routing information. + +For performance purposes, the transport of an IP packet by an NSE will be considered successful only when that NSE forwards all of the packet contents to other basic sections as permitted by the currently available global routing information. If the destination address corresponds to a host attached directly to this NSE, the only permitted successful output is to forward the packet to the destination host. + +NOTE – Routing protocol procedures include updating of global routing information. A NS that was permissible may no longer be permissible following an update of the routing information shared between NSs. Alternatively, a NS that was not previously permissible may have become permissible after an update of the global routing information. + +At a given time, and relative to a given end-to-end MPLS network and a basic section or NSE: + +- an ingress MP is a *permissible ingress MP* if the crossing of this MP into this basic section or NSE is permitted by the global routing information; + +- an egress MP is a *permissible egress MP* if the crossing of this MP leads into another basic section that is permitted by the global routing information. + +### 5.5.2 Corresponding events + +Performance analysis makes it necessary to associate the packets crossing one MP with the packets that crossed a different MP. Connectionless routing means a packet may leave a basic section on any one of (possibly) several permissible egress MP. Packet fragmentation means that a packet going into a basic section may leave in fragments, possibly into several different other basic sections. Finally, connectionless routing may even send a packet or a fragment back into a basic section it has already traversed (possibly due to the updating of routing tables). + +An egress event is said to *correspond* to an earlier ingress event if they were created by the "same" packet. This concept applies whether the packet at the egress MP is the whole packet or just a fragment of the original. Figure 6 illustrates a case where a packet goes into NS C from NS B and is fragmented into two parts in NS C. One of the fragments is sent to NS D and the other to NS F. Both of these egress events *correspond* to the single ingress event. To avoid confusion resulting from packets re-entering the NSE, this concept of *correspondence* also requires that this be the first time (since its ingress) this particular content has departed from the NSE. + +The practical determination of whether reference events are corresponding is usually *ad hoc* and will often rely on consideration of the addresses, the global routing information, the packet identification field, other header information and the packet contents (e.g., the LSP-PING UDP layer and the request format in the UDP payload with the required FEC Stack TLV, or Y.1711 CV flow payload). + +![Diagram illustrating packet fragmentation and corresponding events. A packet from SRC enters Network Section C (NS C) at point a), creating an ingress event. Inside NS C, the packet is fragmented into two parts. One fragment exits NS C at point b) towards destination D, and the other fragment exits at point c) towards destination F. Both egress events (b) and c) correspond to the single ingress event (a).](33a8f3f01dfa8bce75d23017855a13c5_img.jpg) + +The diagram shows a network topology where a packet originates from a source (SRC) and enters a network section (NS C) at point 'a'. Inside NS C, the packet is fragmented into two parts. One fragment exits NS C at point 'b' towards destination 'D', and the other fragment exits at point 'c' towards destination 'F'. The diagram illustrates that both egress events (b) and (c) correspond to the single ingress event (a). The network section is labeled 'Network Section C' and includes nodes 'B', 'D', 'E', and 'F'. The source is labeled 'SRC' and the destination is labeled 'DST'. + +Diagram illustrating packet fragmentation and corresponding events. A packet from SRC enters Network Section C (NS C) at point a), creating an ingress event. Inside NS C, the packet is fragmented into two parts. One fragment exits NS C at point b) towards destination D, and the other fragment exits at point c) towards destination F. Both egress events (b) and c) correspond to the single ingress event (a). + +A packet from SRC to DST enters NS C, creates an ingress event, is fragmented, and creates two corresponding egress events, b) and c). + +**Figure 6/Y.1561 – Corresponding events when fragmentation occurs** + +### 5.5.3 Notes about the definitions of successful, errored, lost and spurious packet outcomes + +Each of the following definitions of individual packet outcomes is based on observing packet reference events at MPLS measurement points. By selecting the appropriate measurement points, each definition can be used to evaluate the performance of a particular EL, a particular NS, a particular NSE, and they can be applied to the performance of end-to-end networks. + +These outcomes are defined without restriction to a particular packet type (EXP, ToS, DSCP, protocol, etc.). MPLS network performance will differ by packet type. + +In each definition, the possibility of packet fragmentation is accounted for by including the possibility that a single packet reference event could result in several subsequent events. Note that if any fragment is lost, the whole original packet is considered lost. If no fragments are lost, but some are errored, the entire original packet is considered errored. For the delivery of the original packet to + +be considered successful, each fragment must be successfully delivered to one of the permissible output EL. + +### 5.5.4 Successful packet transfer outcome + +A successful packet transfer outcome occurs when a single packet reference event at a permissible ingress $MP_0$ results in one (or more) corresponding reference event(s) at one (or more) egress $MP_i$ , all within a specified time $T_{max}$ of the original ingress event and: + +- 1) all egress $MP_i$ where the corresponding reference events occur are permissible; and +- 2) the complete contents of the original packet observed at $MP_0$ are included in the delivered packet(s); and +- 3) the binary contents of the delivered packet information field(s) conform exactly with that of the original packet; and +- 4) the header field(s) of the delivered packet(s) is (are) valid. + +NOTE – The value of $T_{max}$ is provisionally set at 3 seconds. Some global end-end paths may require a larger value of $T_{max}$ . The value of 3 seconds has been used in practice. + +### 5.5.5 Errored packet outcome + +An errored packet outcome occurs when a single packet reference event at a permissible ingress $MP_0$ results in one (or more) corresponding reference event(s) at one (or more) egress $MP_i$ , all within $T_{max}$ time of the original reference event and: + +- 1) all egress $MP_i$ where the corresponding reference events occur are permissible; and +- 2) the complete contents of the original packet observed at $MP_0$ are included in the delivered packet(s); and +- 3) either: + - the binary contents of the delivered packet information field(s) do not conform exactly with that of the original packet; or + - one or more of the label or header field(s) of the delivered packet(s) is (are) corrupted. + +NOTE – Most packets with errored labels will be discarded or redirected by other MPLS layer procedures (e.g., based on corruption in the label value or other fields). Where relevant, packets with errored IP headers that are not detected by the header checksum at the IP layer will be discarded or redirected by other IP layer procedures. The result is that no reference event is created for the higher layer protocols expecting to receive this packet. Because there is no reference event, these packet transfer attempts will be classified as lost packet outcomes. Errored labels or headers that do not result in discarding or misdirecting will be classified as errored packet outcomes. + +### 5.5.6 Lost packet outcome + +The definition of a lost packet outcome is predicated on a definition for a *misdirected packet*. + +A misdirected packet occurs when a single packet reference event at a permissible ingress $MP_0$ results in one (or more) corresponding reference event(s) at one (or more) egress $MP_i$ , all within a specified $T_{max}$ time of the original reference event and: + +- 1) the complete contents of the original packet observed at $MP_0$ are included in the delivered packet(s); but +- 2) one or more of the egress $MP_i$ where the corresponding reference events occur are not permissible egress MP. + +A lost packet outcome occurs when a single packet reference event at a permissible ingress $MP_0$ results in a misdirected packet outcome or when some or all of the contents of that packet do not result in any packet reference event at any egress MP within the time $T_{max}$ . + +### 5.5.7 Spurious packet outcome + +A spurious packet outcome occurs for a basic section, an NSE, on end-to-end when a single packet creates an egress event for which there was no corresponding ingress event. + +### 5.5.8 Packet severe loss block outcome + +A severe loss block (SLB) outcome occurs for a block of packets observed during time interval $T_{lb}$ at ingress $MP_0$ when the ratio of lost packets at egress $MP_i$ to total packets in the block exceeds $s1$ . + +The value of time interval $T_{lb}$ is provisionally set at 1 second. The value of threshold $s1$ is provisionally set at 0.15. Evaluation of successive blocks (time intervals) should be non-overlapping. + +NOTE – The values may change following further study and experience. Current values of $T_{lb}$ and $s1$ capture network events that may affect the operation of connectivity-sensitive applications. For example, degradation to video and audio applications may be well correlated with the SLB outcome as defined here. + +The minimum number of packets that should be used in evaluating the severe loss block outcome is $M_{lb}$ , and these packets should be spread throughout a $T_{lb}$ interval. The value of $M_{lb}$ is for further study. + +### 5.5.9 Consecutive SLB + +When the conditions required for a severe loss block (SLB) outcome occur in successive (non-overlapping) time intervals $T_{lb}$ at ingress $MP_0$ , then a Consecutive SLB outcome occurs. + +# 6 Packet transfer performance parameters + +This clause defines a set of information transfer performance parameters using the packet transfer outcomes defined in 5.5. All of the parameters may be estimated on the basis of observations made at MP that bound the basic section or NSE under test. + +## 6.1 Populations of interest + +Most of the performance parameters are defined over sets of packets called *populations of interest*. For the *end-to-end case*, the population of interest is usually the total set of packets traversing the Label Switched Path. The measurement points in the end-to-end case are the MP at the MPLS ingress node(s) where packets enter the LSP and at the MPLS egress node where packets exit the LSP. + +For a basic section or NSE and relative to a particular LSP, the population of interest at a particular permissible ingress MP is that set of packets traversing the LSP that are routed into the basic section or NSE across that specific MP. This is called the *specific-ingress case*, and applies to any point-to-point LSP, such as those created to provide MPLS-TE/RSVP-TE LSPs. + +The total population of interest for a basic section or NSE relative to a particular LSP is the total set of packets traversing the LSP that are delivered into the section or NSE across any of its permissible ingress MP. This is called the *ingress-independent case*, and does not apply with point-to-point MPLS-TE. This population is better suited to characterization of the multipoint-to-point LSP topology. + +Each of these performance parameters are defined without reference to a particular packet type (EXP, ToS, DSCP, protocol, etc.). Performance will differ by packet type and any statement about measured performance should include information about which packet type or types were included in the population. + +## 6.2 Packet Transfer Delay (PTD) + +Packet transfer delay is defined for all successful and errored packet outcomes across a basic section or an NSE. PTD is the time, $(t_2 - t_1)$ between the occurrence of two corresponding packet reference events, ingress event $PRE_1$ at time $t_1$ and egress event $PRE_2$ at time $t_2$ , where $(t_2 > t_1)$ and $(t_2 - t_1) \leq T_{\max}$ . If the packet is fragmented within the NSE, $t_2$ is the time of the final corresponding egress event. The end-to-end packet transfer delay is the one-way delay between the MP at the opposite ends of the LSP as illustrated in Figure 7. + +![Figure 7/Y.1561 – Packet transfer delay events. The diagram illustrates the packet transfer delay events across a sequence of Network Sections (NS) and Edge Loops (EL). It shows a sequence of Measurement Points (MP1, MP2, MP3, MP4, MPn-1, MPn) and the corresponding ingress and egress events. The ingress event occurs at MP1 at time t1, and the egress event occurs at MPn at time t2. The packet is shown as a solid line between MP1 and MP2, and as dashed lines between subsequent MPs, indicating fragmentation and reassembly. The diagram is labeled Y.1561_F07.](5445597cceefaca1ac89e710fe339325_img.jpg) + +Figure 7/Y.1561 – Packet transfer delay events. The diagram illustrates the packet transfer delay events across a sequence of Network Sections (NS) and Edge Loops (EL). It shows a sequence of Measurement Points (MP1, MP2, MP3, MP4, MPn-1, MPn) and the corresponding ingress and egress events. The ingress event occurs at MP1 at time t1, and the egress event occurs at MPn at time t2. The packet is shown as a solid line between MP1 and MP2, and as dashed lines between subsequent MPs, indicating fragmentation and reassembly. The diagram is labeled Y.1561\_F07. + +**Figure 7/Y.1561 – Packet transfer delay events +(illustrated for the end-to-end LSP transfer of a single packet)** + +### 6.2.1 Mean packet transfer delay + +Mean packet transfer delay is the arithmetic average of packet transfer delays for a population of interest. + +### 6.2.2 End-to-end 2-point Packet Delay Variation (PDV) + +The variations in packet transfer delay are also important. Streaming applications might use information about the total range of delay variation to avoid buffer underflow and overflow. Variations in delay will cause TCP retransmission timer thresholds to grow and may also cause packet retransmissions to be delayed or cause packets to be retransmitted unnecessarily. + +End-to-end 2-point packet delay variation is defined based on the observations of corresponding packet arrivals at ingress and egress MP (e.g., $MP_{DST}$ , $MP_{SRC}$ ). These observations characterize the variability in the pattern of packet arrival reference events at the egress MP with reference to the pattern of corresponding reference events at the ingress MP. + +The 2-point packet delay variation ( $v_k$ ) for a packet $k$ between SRC and DST is the difference between the absolute packet transfer delay ( $x_k$ ) of the packet and a defined reference packet transfer delay, $d_{1,2}$ , between those same MPs (see Figure 8): $v_k = x_k - d_{1,2}$ . + +The reference packet transfer delay, $d_{1,2}$ , is the absolute packet transfer delay experienced by the first packet between those two MPs (in this example, other reference delays are allowed). + +Positive values of 2-point PDV correspond to packet transfer delays greater than those experienced by the reference packet; negative values of 2-point PDV correspond to packet transfer delays less than those experienced by the reference packet. The distribution of 2-point PDVs is identical to the distribution of absolute packet transfer delays displaced by a constant value equal to $d_{1,2}$ . + +![Diagram illustrating 2-point packet delay variation between two multiplexers (MP1 and MP2).](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +The diagram shows a sequence of packets (packet 0, packet 1, packet 2, ..., packet k) arriving at multiplexer MP1 and then being transferred to multiplexer MP2. A dashed horizontal line represents the time $t = 0$ . + +Variables: + +- $a_{1,k}$ Packet k actual arrival time at MP1 +- $a_{2,k}$ Packet k actual arrival time at MP2 +- $d_{1,2}$ Absolute packet 0 transfer delay between MP1 and MP2 +- $x_k$ Absolute packet k transfer time between MP1 and MP2 +- $v_k$ 2-point packet delay variation value between MP1 and MP2 + +Equations shown in the diagram: + +$$x_k = a_{2,k} - a_{1,k}$$ +$$v_k = x_k - d_{1,2}$$ + +The diagram also includes a small inset showing the relationship between $d_{1,2}$ , $v_k$ , and $x_k$ on a timeline. + +Y.1561\_F08 + +Diagram illustrating 2-point packet delay variation between two multiplexers (MP1 and MP2). + +**Figure 8/Y.1561 – 2-point packet delay variation** + +#### 6.2.2.1 Using minimum delay or average delay as the basis for delay variation + +As illustrated in Figure 8, the delay variation of an individual packet is naturally defined as the difference between the actual delay experienced by that packet and a nominal (expected) delay. An alternative to using the first packet delay as the nominal delay is to use the average delay of the population of packets as the nominal delay. This has the effect of centring the distribution of delay variation values on zero (when the distribution is symmetrical). + +It simplifies the analysis of delay variation range to use the packet with the minimum delay as the reference delay, and this is a recognized alternative. + +#### 6.2.2.2 Interval-based limits on packet delay variation + +One method for summarizing the packet delay variation experienced by a population of packets is to pre-specify a delay variation interval, e.g., $\pm 30$ milliseconds, and then observe the percentage of individual packet delay variations that fall inside and outside of that interval. If the $\pm 30$ millisecond interval were used, application with fixed buffer sizes of at or near 60 milliseconds would then know approximately how many packets would cause buffer over- or underflow. + +NOTE – If this method is used for summarizing packet delay variation, the delay variant of individual packets should be calculated using the definition (using the average delay as nominal) in 6.2.2.1, instead of the definition of 6.2.2. Using the definition of 6.2.2, the pre-selected interval (e.g., the $\pm 30$ milliseconds) might occasionally be centred on an unusually large or small value. + +An objective for packet delay variation could be established by choosing a lower bound for the percentage of individual packet delay variations that fall within a pre-specified interval using the minimum delay as nominal. For example, " $\geq 95\%$ of packet delay variations should be within the interval $[0 \text{ ms}, +30 \text{ ms}]$ ". + +#### **6.2.2.3 Quantile-based limits on packet delay variation** + +An alternative for summarizing the delay variation of a population of packets is to select upper and lower quantiles of the delay variation distribution and then measure the distance between those quantiles. For example, select the 99.9% ile and then 0.1% ile, make measurements, and observe the difference between the delay variation values at these two quantiles. This example would help application designers decide how to design for no more than 1% total buffer over- and underflow. + +An objective for packet delay variation could be established by choosing an upper bound for the difference between pre-specified quantiles of the delay variation distribution. For example, "The difference between the 99.1% ile and the 0.1% ile of the packet delay variation should be no more than 100 milliseconds". + +#### **6.2.2.4 Secondary Parameters for packet delay variation** + +One or more parameters that capture the effect of packet delay variations on different applications may be useful. It may be appropriate to differentiate the (typically small) packet-to-packet delay variations from the potentially larger discontinuities in delay that can result from a change in the routing. Appendix II/Y.1540 describes additional delay variation parameters. + +### **6.2.3 Round-Trip Packet Transfer Delay** + +Round Trip Packet Transfer Delay (RTPTD) is defined as the sum of the one-way delays (PTD) for two LSPs. The pair of LSPs must exist between two MPs at the opposite ends of a basic section or NSE. + +Since PTD is the time, $(t_2 - t_1)$ between the occurrence of two corresponding packet reference events, the RTPTD only includes the packet transfer time in each direction. The time required to generate or re-generate a packet must not be included. In practice, this issue has been addressed by adding multiple timestamps in test packets (for example, see the Timestamp Request/Reply format in RFC 792). + +## **6.3 Packet Error Ratio (PER)** + +Packet error ratio is the ratio of total errored packet outcomes to the total of successful packet transfer outcomes plus errored packet outcomes in a population of interest. + +## **6.4 Packet Loss Ratio (PLR)** + +Packet loss ratio is the ratio of total lost packet outcomes to total transmitted packets in a population of interest. + +## **6.5 Spurious Packet Rate (SPR)** + +Spurious packet rate at an egress MP is the total number of spurious packets observed at that egress MP during a specified time interval divided by the time interval duration (equivalently, the number of spurious packets per service-second).1 + +## **6.6 Packet Severe Loss Block Ratio (PSLBR)** + +A packet severe loss block ratio is the ratio of the packet severe loss block outcomes to total blocks in a population of interest. + +NOTE – This parameter can identify path changes due to failures routing updates, and may cause degradation to user applications. + +--- + +1 Since the mechanisms that cause spurious packets are expected to have little to do with the number of packets transmitted across the sections under test, this performance parameter is not expressed as a ratio, only as a rate. + +## 6.7 Recovery Time + +The count of successive $T_{lb}$ that form a Consecutive SLB outcome at ingress $MP_0$ is defined as the Recovery Time. + +NOTE – As implied by its name, this parameter attempts to capture any form of transient event that interrupts the packet transfer on an LSP for more than one second. Such events may occur when "fast" recovery mechanisms do not restore connectivity with sufficiently small loss ratio. + +# 7 Availability + +MPLS service availability is applicable to edge-to-edge service, basic sections and NSE. + +The availability function (defined below) serves to classify the total scheduled service time for an MPLS service into available and unavailable periods. On the basis of this classification, both percent MPLS availability and percent MPLS unavailability are defined. Finally, a two-state model of MPLS service availability serves as the basis for defining related availability parameters. + +NOTE – Unless otherwise noted by a service provider, the scheduled service time for MPLS service is assumed to be 24 hours a day, seven days a week. + +This service function evaluates availability for the following uses: + +- connection-oriented packet transfer services; +- continuous stream real-time applications, such as voice and video; +- high-volume interactive packet services, where suspension of packet transfer may cause customer equipment to attempt restoration using alternate networks. + +We note that even on connectionless packet transfer networks some fraction of the total may be connection-oriented traffic. Thus, we define a single availability function. + +## 7.1 Availability service function for connection-oriented services + +Connection-oriented services require a more continuous packet transfer than other packet services. We have defined a Severe Loss Block (SLB) outcome where the value of time interval $T_{lb}$ is (provisionally) set at 1 second, and the value of the loss threshold $s_l$ is provisionally set at 0.15. Evaluation of successive blocks (time intervals) should be non-overlapping. + +Relative to a particular MPLS Ingress Node and Egress Node pair, the availability for *a basic section or an NSE in the specific-ingress case*, is evaluated as follows: + +The onset of unavailability begins with the occurrence of ten consecutive SLBs. These ten seconds are part of unavailable time. A period of unavailability ends with the occurrence of ten consecutive seconds, none of which are SLB. These ten seconds are part of available time. The ten-second criteria are supported using a sliding window with one-second granularity. + +## 7.2 Availability parameters + +### 7.2.1 Percent MPLS service unavailability (PIU) + +The percentage of total scheduled service time that is categorized as unavailable using the MPLS service availability function. + +### 7.2.2 Percent MPLS service availability (PIA) + +The percentage of total scheduled service time that is categorized as available using the MPLS service availability function. + +$$PIU = 100 - PIA$$ + +NOTE – Because the PLR typically increases with increasing offered load from SRC to DST, the likelihood of exceeding the threshold $s^1$ increases with increasing offered load. Therefore, PIA values are likely to be smaller when the demand for capacity between SRC and DST is higher. + +# **8 Security** + +This Recommendation does not specify a protocol. Hence, there are a few areas where security issues may arise, and all are associated with implementation of the performance parameters in measurement systems. + +Measurement systems that assess the performance of networks according to the parameter definitions defined in this Recommendation should limit the measurement traffic to appropriate levels to avoid abuse (e.g., Denial of Service Attack). Administrations or Operators should agree on acceptable levels of measurement traffic in advance. + +Systems that monitor user traffic for the purpose of measurement must maintain the confidentiality of user information. + +Systems that attempt to make measurements may employ techniques (e.g., cryptographic hash) to determine if additional traffic has been inserted by an attacker appearing to be part of the population of interest. + +# **BIBLIOGRAPHY** + +- IETF RFC 792: Internet Control Message Protocol, *J. Postel*, September 1981. +- Detecting MPLS Data Plane Failures, *IETF work in progress*. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series B | Means of expression: definitions, symbols, classification | +| Series C | General telecommunication statistics | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | TMN and network maintenance: international transmission systems, telephone circuits, telegraphy, facsimile and leased circuits | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks and open system communications | +| Series Y | Global information infrastructure, Internet protocol aspects and Next Generation Networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.1710-200211-I_PDF-E/2dfa6ac3edfe874f68aa0cbccaa42322_img.jpg b/marked/Y/T-REC-Y.1710-200211-I_PDF-E/2dfa6ac3edfe874f68aa0cbccaa42322_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..ab685cebd98d1cffad1fdeee8241ffd7705bf36e --- /dev/null +++ b/marked/Y/T-REC-Y.1710-200211-I_PDF-E/2dfa6ac3edfe874f68aa0cbccaa42322_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:84c1e98153fb016e4a67fc404cc1cf96010d4f870a9985c7c44975f93afcaad5 +size 8309 diff --git a/marked/Y/T-REC-Y.1710-200211-I_PDF-E/e3b8510f6a2194e250205ab7bc38076d_img.jpg b/marked/Y/T-REC-Y.1710-200211-I_PDF-E/e3b8510f6a2194e250205ab7bc38076d_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..4dfb39f7da7c0f65094fecc2d86f042deda031f5 --- /dev/null +++ b/marked/Y/T-REC-Y.1710-200211-I_PDF-E/e3b8510f6a2194e250205ab7bc38076d_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:015e07a8ef6867d4bf4e6bf0a632797488508238f7373a9d3694e10d79273f32 +size 8718 diff --git a/marked/Y/T-REC-Y.1710-200211-I_PDF-E/raw.md b/marked/Y/T-REC-Y.1710-200211-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..a782ce011eb23b9f24f1924192edbade3a6607d7 --- /dev/null +++ b/marked/Y/T-REC-Y.1710-200211-I_PDF-E/raw.md @@ -0,0 +1,259 @@ + + +![ITU logo: a globe with the letters ITU inside, and a lightning bolt striking the globe.](2dfa6ac3edfe874f68aa0cbccaa42322_img.jpg) + +ITU logo: a globe with the letters ITU inside, and a lightning bolt striking the globe. + +INTERNATIONAL TELECOMMUNICATION UNION + +**ITU-T** + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +**Y.1710** + +(11/2002) + +SERIES Y: GLOBAL INFORMATION INFRASTRUCTURE +AND INTERNET PROTOCOL ASPECTS + +Internet protocol aspects – Operation, administration and +maintenance + +# --- **Requirements for Operation & Maintenance functionality for MPLS networks** + +ITU-T Recommendation Y.1710 + +--- + +## ITU-T Y-SERIES RECOMMENDATIONS GLOBAL INFORMATION INFRASTRUCTURE AND INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **ITU-T Recommendation Y.1710** + +# **Requirements for Operation & Maintenance functionality for MPLS networks** + +## **Summary** + +This Recommendation provides the motivations and requirements for user-plane OAM (Operation and Maintenance) functionality for Multiprotocol Label Switched (MPLS) networks. + +### **Source** + +ITU-T Recommendation Y.1710 was revised by ITU-T Study Group 13 (2001-2004) and approved under the WTSA Resolution 1 procedure on 8 November 2002. + +## **Keywords** + +Defect, failure, LSP, MPLS, network performance, OAM, security, SLA. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications. The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementors are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database. + +© ITU 2003 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|--------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 4 Symbols and abbreviations ..... | 1 | +| 5 Introduction ..... | 2 | +| 6 Motivations for MPLS OAM functions..... | 2 | +| 7 Requirements for MPLS OAM functions..... | 3 | + + + +## ITU-T Recommendation Y.1710 + +# Requirements for Operation & Maintenance functionality for MPLS networks + +## 1 Scope + +This Recommendation provides the motivations and requirements for user-plane OAM (Operation and Maintenance) [1] functionality for Multiprotocol Label Switched (MPLS) networks. MPLS OAM is designed to be independent of services. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [1] ITU-T Recommendation I.610 (1999), *B-ISDN operation and maintenance principles and functions*. +- [2] ITU-T Recommendation M.20 (1992), *Maintenance philosophy for telecommunication networks*. +- [3] ITU-T Recommendation G.805 (2000), *Generic functional architecture of transport networks*. +- [4] IETF RFC 3032 (2001), *MPLS Label Stack Encoding*. +- [5] IETF RFC 3031 (2001), *Multiprotocol Label Switching Architecture*. + +## 3 Definitions + +This Recommendation introduces some functional architecture terminology that is required to discuss the network components associated with OAM. Since functional architecture terminology may not be familiar to all readers, the relevant terms are defined below. + +**3.1 defect:** Interruption of the capability of a transport entity (e.g. network connection) to transfer user or OAM information [2]. + +**3.2 failure:** Termination of the capability of a transport entity to transfer user or OAM information. A failure can be caused by a persisting defect [2]. + +## 4 Symbols and abbreviations + +This Recommendation uses the following abbreviations. + +| | | +|-----|----------------------------| +| ATM | Asynchronous Transfer Mode | +| DoS | Denial of Service | +| FR | Frame Relay | +| IP | Internet Protocol | +| LSN | Label Switching Node | +| LSP | Label Switched Path | + +| | | +|------|-------------------------------| +| MPLS | Multiprotocol Label Switched | +| NMS | Network Management System | +| OAM | Operation and Maintenance | +| OTN | Optical Transport Network | +| SDH | Synchronous Digital Hierarchy | +| SLA | Service Level Agreement | + +## 5 Introduction + +The motivations for this Recommendation arose from the need, expressed by network operators, for architecturally correct defect handling of MPLS Label Switched Paths (LSPs), noting that LSPs can support many different client layer networks (eg IP, FR, ATM) and can in turn be supported on many different server layer networks (eg SDH/SONET, OTNs). User-plane OAM mechanisms are also required to verify that LSPs maintain correct connectivity and can deliver customer traffic against measurable availability and network performance Service Level Agreements (SLAs). + +NOTE – Network performance metrics are not covered by this Recommendation. + +The requirements presented in this Recommendation include (but are not limited to): + +- Mechanisms to efficiently detect, identify, and localize defects arising within the MPLS layer networks. +- Mechanisms for defect notification and defect handling, e.g. suppress alarm storms in nested LSP scenarios. +- Specification of the criteria for defining the availability (entry/exit) of LSPs and the relationship of availability and network performance metrics. +- Provide a trigger mechanism for protection switching when failures occur. + +## 6 Motivations for MPLS OAM functions + +It is recognized that OAM functionality is important in public networks for ease of network operation, for verifying network performance, and to reduce operational costs. OAM functionality is especially important for networks that are required to deliver (and hence be measurable against) network performance and availability objectives. + +The major motivations for MPLS OAM are further discussed below. + +- a) MPLS introduces a unique layer network capability, and hence there will be failure modes that are only relevant to MPLS layer networks. Lower-layer (server-layer) or higher-layer (client-layer) OAM mechanisms of non-MPLS technologies cannot act as a substitute for MPLS layer OAM functionality. This observation is also critical to ensure network layer technologies can evolve independently. The MPLS nesting capability (realized through label stack encoding [5]) allows the creation of multiple layer networks in their own right, within the framework of the MPLS technology. It should be noted that there is no fixed hierarchy in MPLS and, in theory (at least), the nesting depth can be unlimited. MPLS user-plane defects are those that are encountered during the transport of customer traffic. + +Although MPLS control-plane OAM functions may be available (though not always), Network Operators cannot rely exclusively on the control-plane to detect all user-plane defects. Some reasons for this are: + +- The user-plane carrying customer traffic and the control-plane carrying the signalling protocols might not necessarily have the same routing and they will certainly not be subject to the same processing within nodes or indeed the same failure mechanisms. + +Therefore, the behaviour of the control-plane protocols, or the control-plane it is transported over, cannot be relied upon to indicate the health of the user-plane carrying customer traffic. + +- It is possible for an MPLS network not to have control-plane signalling at all, i.e. when LSPs are set up statically. +- The control-plane itself could fail but this might not have any impact on the customer traffic carrying user-plane. + +Further, as is required for the case of supporting (and being supported by) different client (and server layer) technologies, it is essential that the MPLS user-plane OAM mechanisms are independent of the control-plane protocols to allow each set of protocols to evolve independently. Indeed, in the general case, it should be observed that both the user-plane carrying the control-plane traffic, and the control-plane protocols themselves, need their own independent OAM mechanisms. + +The key requirement that should be deduced from the above discussion, is that operators want a single MPLS OAM solution that is architecturally correct and control-plane independent under all network scenarios. + +- b) Operators need an ability to determine LSP availability and network performance noting that network performance metrics are only meaningful when the LSP is in the available state. This information may also be used for accounting and billing purposes to ensure that customers are not inappropriately charged for degraded service or service outages. +- c) Reduce operating costs, by allowing efficient detection handling, and diagnosis of defects. Lack of automatic defect detection and handling forces operators to increase their engineering and support workforce, hence increasing overall operating costs. +- d) Reduce the duration of defects and thus improve the availability performance. +- e) Demonstrate a commitment to providing customer traffic security/confidentiality by ensuring that any defects that result in misdirected customer traffic are detectable/diagnosable and lead to appropriate actions, e.g. squelching of traffic where relevant. +- f) Minimize the number of defects that are not automatically detected and still require a customer to report a problem. Pro-active maintenance actions like this also help drive down operating costs by minimizing the opportunity for incorrect defect diagnosis, and (like the previous item) they also promote customer trust of an operator. +- g) Allow differentiation of defects arising from lower layers from those originating from within the concerned LSP, in order to achieve more intelligent protection-switching actions. + +## **7 Requirements for MPLS OAM functions** + +The following requirements should be satisfied by MPLS OAM: + +- a) Both on-demand and continuous connectivity verification of LSPs to confirm that defects do not exist on the monitored LSPs. +- b) If a defect occurs, it is necessary to detect it, diagnose it, localize it, notify the NMS and take corrective actions appropriate to the type of defect. The primary objective here is to reduce operating costs by minimizing service interruptions, operational repair times and operational resource. In some cases, service interruptions can be minimized by providing the network with sufficient information to take corrective actions to bypass the defect; for example, through protection switching or restoration. +- c) The OAM mechanisms provided should ensure (as far as reasonably practicable) that customers should not have to act as failure detectors. It is therefore necessary that defects be detected and notified automatically. + +- d) At least the following defect types should be automatically detected, with well-defined entry/exit criteria and appropriate consequent actions: + - simple loss of LSP connectivity, be this from below or within the MPLS fabric (it should also be possible to distinguish between these); + - swapped LSPs; + - unintended LSP replication of one LSP's traffic into another LSP's traffic (with or without the offending LSP's traffic being impacted); + - unintended self-replication (e.g., looping, DoS attack). +- e) A defect event in a given layer network should not cause multiple alarm events to be raised, nor cause unnecessary corrective actions to be taken in any higher level client-layer networks. This applies to all client layer network types that an MPLS LSP is required to carry. There should clearly never be any impact to network layers below the level at which the defect occurs. +- f) OAM functions should be simple and easily configured (ideally, automatically) to allow efficient scaling to large size networks. +- g) The use of MPLS OAM functions should be optional for the operator. Network operators should be able to choose which OAM functions to use and which LSPs they apply them to. +- h) MPLS OAM functions should be backward compatible. Label Switching Nodes (LSNs) that do not support such functions should silently discard the OAM packets without disturbing the user traffic or causing unnecessary actions [5]. +- i) There should be a capability to measure availability and network performance of an LSP. Since network performance metrics are only meaningful when the LSP is in the available state, then the entry/exit of the available state, and all appropriate consequent action (like the starting/stopping of network performance metric aggregation), should be specified. +- j) The OAM functionality of an MPLS layer network should not be dependent on any specific server or client-layer network. This is architecturally critical to ensure that layer networks can evolve (or new/old layer networks be added/removed) without impacting other layer networks. +- k) The user-plane OAM functionality of an MPLS layer should be sufficiently independent on any specific control-plane such that changes in the control plane do not impose changes in user-plane OAM (including the case of no control-plane). Like the previous requirement, this is also architecturally critical to ensure that user-plane and control-plane protocols can evolve (or new/old control-plane protocols added/removed) without impacting each other. +- l) Connectivity status assessment should not be dependent on the dynamic behaviour of customer traffic. +- m) The OAM function should perform reliably even under degraded link conditions, e.g. error events. This requires bit error correction or detection mechanisms for OAM packets. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series B | Means of expression: definitions, symbols, classification | +| Series C | General telecommunication statistics | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | TMN and network maintenance: international transmission systems, telephone circuits, telegraphy, facsimile and leased circuits | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks and open system communications | +| Series Y | Global information infrastructure and Internet protocol aspects | +| Series Z | Languages and general software aspects for telecommunication systems | + +![Barcode with the number * 2 3 0 5 1 * below it.](e3b8510f6a2194e250205ab7bc38076d_img.jpg) + +A standard 1D barcode consisting of vertical black bars of varying widths on a white background. 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UNION + +**ITU-T** + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +**Y.1713** + +(03/2004) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT GENERATION NETWORKS + +Internet protocol aspects – Operation, administration and +maintenance + +# --- **Misbranching detection for MPLS networks** + +ITU-T Recommendation Y.1713 + +--- + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **ITU-T Recommendation Y.1713** + +# **Misbranching detection for MPLS networks** + +## **Summary** + +This Recommendation provides mechanisms for user-plane OAM (Operation and Maintenance) functionality in MPLS networks to augment ITU-T Rec. Y.1711 according to the requirements and principles given in ITU-T Rec. Y.1710. The current version of this Recommendation is designed primarily to support point-to-point and multipoint-to-point LSPs independent of the method of establishment. + +## **Source** + +ITU-T Recommendation Y.1713 was approved on 15 March 2004 by ITU-T Study Group 13 (2001-2004) under the ITU-T Recommendation A.8 procedure. + +## **Keywords** + +Defect, failure, MPLS, OAM. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications. The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementors are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database. + +© ITU 2004 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | | Page | +|-----|----------------------------------------------------------------------------------|-------------| +| 1 | Scope | 1 | +| 2 | References | 1 | +| 3 | Bibliography | 1 | +| 4 | Definitions | 2 | +| 5 | Abbreviations | 3 | +| 6 | Applicability and overview of functionality | 3 | +| 7 | Identification of OAM packets from normal user-plane traffic | 4 | +| 8 | OAM payload | 4 | +| 9 | Handling of errored OAM packets | 4 | +| 10 | FEC connectivity verification | 4 | +| 11 | Defect type codepoints | 5 | +| 12 | CV and FEC-CV source and sink processing | 5 | +| 13 | FEC-CV processing at intermediate LSRs | 6 | +| 14 | Common encoding rules | 6 | +| 15 | Egress processing | 8 | +| 16 | Coding and processing rules for RFC 3036 (LDP) LSPs | 10 | +| 17 | Coding and processing rules for RFC 3209 (RSVP-TE) LSPs | 11 | +| 18 | Coding and processing rules for RFC 3212 (CR-LDP) LSPs | 12 | +| 19 | Polynomial specification | 12 | +| 20 | Entry/Exit criteria and consequent actions | 13 | +| 21 | Security aspects | 14 | +| | Appendix I – Coding and processing rules for RFC 2547 (BGP/VPN) LSPs | 15 | +| I.1 | Scenario 1: Aggregated label LSP | 15 | +| I.2 | Scenario 2: Non-aggregated label LSPs | 15 | +| | Appendix II – Use of FEC-CV to check connectivity and measure route availability | 16 | +| | Appendix III – Setting $T^{\text{FEC-CV}}$ | 17 | +| | Appendix IV – Issues with ECMP | 18 | +| | Appendix V – Issues with PHP | 21 | + + + +## ITU-T Recommendation Y.1713 + +# Misbranching detection for MPLS networks + +# 1 Scope + +This Recommendation provides mechanisms for user-plane OAM (Operation and Maintenance) functionality in MPLS networks according to the requirements and principles given in ITU-T Rec. Y.1710. The current version of this Recommendation is designed primarily to support point-to-point and multipoint-to-point LSPs independent of the method of establishment. + +The detection mechanism utilizes an additional OAM packet (known as FEC-CV) which uses protocol conventions in common with ITU-T Rec. Y.1711 (use of OAM alert label, the ITU-T Rec. Y.1711 administered PDU and code points). Usage and applicability is outlined in clause 6. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [1] ITU-T Recommendation Y.1711 (2004), *Operation & Maintenance mechanism for MPLS networks*. +- [2] ITU-T Recommendation G.805 (2000), *Generic functional architecture of transport networks*. +- [3] ITU-T Recommendation M.20 (1992), *Maintenance philosophy for telecommunication networks*. +- [4] ITU-T Recommendation Y.1710 (2002), *Requirements for Operation & Maintenance functionality for MPLS networks*. +- [5] IETF RFC 3036 (2001), *LDP Specification*. Category: Standards Track. +- [6] IETF RFC 3209 (2001), *RSVP-TE: Extensions to RSVP for LSP Tunnels*. Category: Standards Track. +- [7] IETF RFC 3212 (2002), *Constraint-Based LSP Setup using LDP*. Category: Standards Track. +- [8] IETF RFC 3429 (2002), *Assignment of the 'OAM Alert Label' for Multiprotocol Label Switching Architecture (MPLS) Operation and Maintenance (OAM) Functions*. Category: Informational. + +# 3 Bibliography + +- [9] IETF RFC 2547 (1999), *BGP/MPLS VPNs*. Category: Informational. + +# 4 Definitions + +This Recommendation introduces some terminology, which is required to discuss the functional network components associated with OAM. These definitions are consistent with G.805 terminology. + +**4.1 backward direction:** The backward direction is opposite to the forward direction. + +**4.2 client/server (relationship between layer networks):** [2] A term referring to the transparent transport of a client (i.e., higher) layer link connection by a server (i.e., lower) layer network trail. + +**4.3 defect:** [3] Interruption of the capability of a transport entity (e.g., network connection) to transfer user or OAM information. This Recommendation defines 2 types of defects and references defects defined in ITU-T Rec. Y.1711 (the detailed specifications are given later): + +dLOCV: Loss of Connectivity Verification defect + +dExcess: Receiving excess rate of CV + +dServer: Server layer defect + +Any server layer defect arising from a non-MPLS layer technology below the lowest MPLS layer network + +dFECfilter\_Mismatch: FEC filter mismatch defect + +dFECfilter\_Mismerge: FEC filter mismerge defect + +dTSSI\_Mismatch: Trail Termination Source Identifier Mismatch defect + +dTTSI\_Mismerge: Trail Termination Source Identifier Mismerge defect + +dUnknown: Unknown defect in the MPLS network + +dPeerME: Unspecified failure in a peer maintenance entity. + +**4.4 failure:** [3] Termination of the capability of a transport entity to transfer user or OAM information. A failure can be caused by a persisting defect. + +**4.5 forward direction:** The forward direction is the direction that traffic and the CV OAM packets flow on an LSP. + +**4.6 link connection:** A partition of a layer N trail that exists between two logically adjacent switching points within the layer N network. + +**4.7 subnetwork:** [2] A subnetwork is a contiguous topological region of a network delimited by its set of peripheral access points, and is characterized by the possible routing across the subnetwork between those access points. A network is the largest subnetwork and a node is the smallest subnetwork (at least in practical physical terms, though there are smaller subnetworks within nodes). + +**4.8 trail:** [2] A generic transport entity at layer N which is composed of a payload field (which can carry a packet from a client higher layer N-1 trail entity) with specific overhead added to ensure the forwarding integrity of the trail transport entity at layer N. + +**4.9 trail termination point:** [2] A source or sink point of a trail at layer N, at which the trail overhead is added or removed respectively. A trail termination point must have a unique means of identification within the layer network. + +**4.10 user-plane:** This refers to the set of traffic forwarding components through which traffic flows. CV or FEC-CV OAM packets are periodically inserted into this traffic flow to monitor the health of those forwarding components. The user-plane is also sometimes called the data-plane (especially in IETF). Note that control-plane protocols (e.g., for signalling or routing) and management-plane protocols will require their own user-plane, and their user-plane may or may not be congruent (to varying degrees) with the traffic bearing user-plane. + +# 5 Abbreviations + +This Recommendation uses the following abbreviations: + +| | | +|-----------|------------------------------------------------------------| +| BDI | Backward Defect Indication | +| BIP | Bit Interleaved Parity | +| CR-LDP | Constraint-based Routing using Label Distribution Protocol | +| CV | Connectivity Verification | +| CV Packet | Connectivity Verification Packet | +| DL | Defect Location | +| DoS | Denial of Service | +| DT | Defect Type | +| ECMP | Equal Cost Multi-Path | +| FDI | Forward Defect Indication | +| FEC | Forwarding Equivalence Class | +| FFD | Fast Failure Detection | +| LSP | Label Switched Path | +| LSR | Label Switching Router | +| MPLS | Multi-Protocol Label Switching | +| NMS | Network Management System | +| OAM | Operations and Maintenance | +| PHP | Penultimate Hop Popping | +| RSVP | Resource Reservation Protocol | +| TTL | Time to Live | +| TTSI | Trail Termination Source Identifier | + +# 6 Applicability and overview of functionality + +In addition to the potential of forwarding problems misdirecting traffic within a specific MPLS level, MPLS provides the ability to define arbitrary hierarchy, but does not necessarily provide for synchronization mechanisms to ensure all hierarchical dependencies are satisfied prior to insertion of traffic into an LSP. A common example would be any overlay on an LDP [5] network that used independent label distribution mode. In independent mode an LSR in the core of the network may advertise a label binding for an FEC immediately upon learning of the FEC via any means (typically via an IGP advertisement) and this may be prior to having a viable downstream label binding or having LDP properly configured on all links that would be expected to be traversed by the LSP. This means that MPLS connectivity to the network egress for the FEC that applications of the MPLS level may depend on does not necessarily exist. The result is that the LDP label is popped in the core of the network, and the popping LSR may attempt to forward the application label. This may be a transient situation but is indicative of the types of problems that may occur. + +Therefore the ability to ubiquitously detect problems in the network requires the ability to detect misbranching independent of the specific application. Currently the Y.1711 CV PDU [1] permits this to be performed for p2p LSPs where the specific ingress is known, and FEC-CV PDU permits this to be performed for p2p and mp2p LSPs where the set of ingresses is not necessarily known. + +In summary the FEC-CV flow is generated at an unmonitored LSP's ingress LSR with a nominal frequency of 1 every $T^{\text{FEC-CV}}$ seconds (where $T^{\text{FEC-CV}}$ is a subnetwork wide configured value). The FEC-CV PDU contains a network unique access point identifier (TTSI) that identifies the PDU insertion point, and a common fixed length encoding of LSP function known as a FEC filter. This permits the LSP egress to verify correct forwarding (no misdirection) of the LSP ingress points according to LSP function. This extends Y.1711 misbranch/mismerge detection to: + +- i) MPLS LSPs where, as a function of the control plane, there is not a strict binding between access points and LSP egresses; and +- ii) unmonitored LSPs where the egress does not have knowledge of the ingress access point TTSI. + +Common usage is to bind single FEC elements to LSPs; however, the FEC-CV PDU will support multiple FEC elements for those operators that choose to use multiple FEC elements per LSP. The fixed length encoding has practical limits with respect to the number of FEC elements that can be encoded in a single probe (which are outlined in the coding and processing rules clauses of this Recommendation). It is assumed that an LSR offering multiple FEC per label bindings will use multiple labels when required to offer more FECs than can usefully be encoded in a single FEC-CV PDU. + +# 7 Identification of OAM packets from normal user-plane traffic + +This Recommendation uses the globally reserved label value, herein referred to as the 'OAM Alert Label' defined in [8] and ITU-T Rec. Y.1711 [1]. + +# 8 OAM payload + +OAM payload is as per ITU-T Rec. Y.1711. + +# 9 Handling of errored OAM packets + +Handling of errored OAM packets is as per ITU-T Rec. Y.1711. + +# 10 FEC connectivity verification + +The FEC Connectivity Verification (FEC-CV) function may be used in place of the CV when additional or alternate defect detection capability is required, in particular detecting problems with the ingress FTN or problems with other associated configuration information bound to the LSP. In this regard, the FEC-CV may be used on LSPs exclusively for the purpose of detecting FTN/configuration problems or may be combined with other sink processing functions to add FTN and/or configuration defects to the set of defects for which monitoring is performed. + +FEC-CV and CV may not be used interchangeably, the LSP ingress is configured to use one OR the other, not both. The LSP egress will treat receiving an unexpected function type as a dTTSI/FEC\_Mismerge or dTTSI/FEC\_Mismatch defect depending on the near end processing function. + +The FEC-CV payload structure is similar to the CV payload structure with inclusion of the Bloom Filter termed the "FEC Filter". The FEC Filter is an unstructured octet array. + +| Function Type
(08 hex) | Reserved
(all 00 hex) | LSP Trail Termination Source Identifier (TTSI), 16 octets v6 LSN ID
+ 4 octets LSP tunnel ID | FEC filter | Padding
(all 00 hex) | BIP-16 | +|---------------------------|--------------------------|-------------------------------------------------------------------------------------------------|------------|-------------------------|----------| +| 1 octet | 3 octets | 20 octets | 16 octets | 2 octets | 2 octets | + +**Figure 1/Y.1713 – FEC-CV payload structure** + +FEC-CV probes are inserted into LSPs at a configurable rate ( $T^{\text{FEC-CV}}$ ). Implementations should, as a minimum, support insertion rates ranging from one every second to one per minute and may permit longer insertion intervals. + +# 11 Defect type codepoints + +| Defect type | DT code (hex) | Meaning | +|---------------------|---------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| dFECfilter_Mismatch | 02 05 | dFECfilter_Mismatch is due to unexpected FEC filter observed in the incoming FEC-CV OAM packets OR due to unexpected Y.1711 CV or FFD OAM packet. Note that dFECfilter_Mismatch takes precedence over dLOCV defect condition which is also present. | +| dFECfilter_Mismerge | 02 06 | dFECfilter_Mismerge is due to both unexpected and expected FEC filter observed in incoming FEC-CV OAM packet OR due to unexpected Y.1711 CV or FFD OAM packet received with expected FEC-CV OAM packet. | + +# 12 CV and FEC-CV source and sink processing + +CV, FFD\_CV and FEC-CV source generation and CV/FFD-CV/FEC-CV sink processing should be considered as independent functions. This functional decoupling allows operators the flexibility to use different degrees of LSP monitoring on a per LSP basis, e.g., say between those LSPs deemed as 'important' and those LSPs deemed 'less-important', or between LSPs that full defect processing and availability measurements can be performed on and those on which only a subset of defect detection can be implemented on by reason of the control plane used (e.g., LDP). + +CV and FEC-CV generation is a relatively trivial function (since it never varies) and is much simpler than CV/FEC-CV sink processing. Each form of CV has specific applicability and usage in the network can be configured in a complementary fashion. The expected usage is that CV is generated on P2P LSPs that have no requirement for FTN verification, and FEC-CV is used for P2P LSPs requiring FTN verification and with LSPs signalled via the use of the LDP protocol. + +Hence, CV OR FEC-CV generation could be enabled on all (or most) of the LSPs. + +The sink processing for CV could be decomposed into several 'degree classes' per LSP such as: + +- 1) No CV processing. Hence no defect processing, no availability measurements and no QoS measurements. +- 2) A simple check of CV arrivals for unexpected function type (e.g., FEC\_CV) but without examining the TTSI (though it is assumed the TTSI is still generated). This cannot provide totally reliable connectivity verification since it cannot detect certain defects, and only provides partial detection of dMismerge/dMismatch. +- 3) Only a very simple check for arrival of CV packets with an unexpected TTSI or unexpected function type (FEC-CV). This could be used on less important LSPs as a simple method for detecting leakage of important LSP traffic (into the less important LSP). However, there might be no other defect processing done (e.g., dLOCV) and no availability measurements. +- 4) Full defect processing but no availability measurements. Note that if availability measurements are not being done, then QoS measurements are also strictly not possible (since these should only relate to when the LSP is in the available state). +- 5) Full defect processing and availability measurements (this now also allows the option of QoS measurements too). + +Similarly the sink processing for FEC-CV could be decomposed into several 'degree classes' per LSP: + +- 1) No FEC-CV processing. Hence no defect processing, no availability measurements and no QoS measurements. +- 2) A simple check of FEC-CV arrivals including unexpected function type (e.g., CV) without examining the FEC Filter or TTSI (though it is assumed that both are still generated). This cannot provide totally reliable connectivity verification since it cannot detect most defects, and only provides partial detection of dMismmerge/dMismatch. +- 3) Only a very simple check for arrival of FEC-CV packets with an unexpected function type or unexpected FEC Filter1. This could be used on LDP LSPs as a simple method for detecting leakage or FTN misconfiguration. +- 4) Full defect processing (including verification of both the FEC Filter and TTSI) but no availability measurements. Note that if availability measurements are not being done, then QoS measurements are also strictly not possible (since these should only relate to when the LSP is in the available state). +- 5) Full defect processing (including verification of both the FEC Filter and TTSI) and availability measurements (this now also allows the option of QoS measurements too). + +# **13 FEC-CV processing at intermediate LSRs** + +FEC-CV PDUs normally are transferred by intermediate LSRs without inspection. LSRs inserting FEC-CV may choose to use manipulation of TTL values to limit the number of hops traversed by an FEC-CV probe and therefore probes may terminate at intermediate LSRs. + +When an FEC-CV probe terminates at an intermediate LSR due to a TTL exhaust condition and is associated with a valid LSP, the LSR will only perform a check for the dFECfilter\_Mismmerge or dFECfilter\_Mismatch defect conditions. When such a defect is detected at an intermediate LSR, the defect state is only considered to apply to the portion of the LSP that is upstream from the detecting LSR. This would translate to suppression of traffic associated with a specific incoming label map (ILM) entry. + +When there is no incoming label map for the LSP (no-ILM condition) the management system is notified and the TTSI may be retained to assist in diagnosis, but no other consequent actions are possible. + +# **14 Common encoding rules** + +A filter entry is a filter representation of a single token of information. A filter entry is specified as an application specific number of filter offsets that correspond to specific bits in the FEC filter. + +Filter offsets are expressed as a single value in the range 0-127. Each filter offset represents a single bit in the 16 byte FEC filter. The upper 4 bits of the offset constitute an octet offset from the first byte of the filter, and the lower 3 bits of the offset constitute a bit offset in the octet, zero referring to the LSB and 7 referring to the MSB. A filter is initially zeroed, and the bit corresponding to each filter offset is ORed with the filter. + +### **Generalized coding** + +Coding rules are based primarily on the maximum number of filter entries that the filter is expected to carry for a given application. + +--- + +1 Note that TTSI for LDP-LSPs is information only useful to initiate diagnosis once a dMismatch/dMismmerge has been detected. + +Filter offsets are generated from the CRC-32 result. Generalized rules are provided for the generation of 2, 3, 4 and 5 filter offsets from CRC-32. Coding rules are designed to (in general) preserve the hamming distance of the CRC via inclusion of the majority of information. + +Although not used in this Recommendation, specification of two and five offsets is included for applications that may require either: + +- 1) Greater than 16 Filter Entries per LSP (2 filter offsets); +- 2) One filter entry per LSP (5 filter offsets). + +### *Two offsets* + +Two filter offsets are generated by XORing together with the lower seven bits of the most significant and least significant octet pairs. + +![Diagram illustrating the generation of 2 filter offsets from CRC-32. A 32-bit CRC-32 register is shown with bits 31 down to 0. The most significant octet (bits 31-24) and the least significant octet (bits 7-0) are highlighted. The lower 7 bits of the most significant octet (bits 31-25) are XORed with the lower 7 bits of the least significant octet (bits 7-0) to produce a 7-bit filter offset. The diagram shows two such XOR operations, resulting in two 7-bit filter offsets. The first offset is labeled 'X Unused' and the second is labeled 'Y.1713_F02'.](410562339ce067fdc6fa41940c118658_img.jpg) + +Diagram illustrating the generation of 2 filter offsets from CRC-32. A 32-bit CRC-32 register is shown with bits 31 down to 0. The most significant octet (bits 31-24) and the least significant octet (bits 7-0) are highlighted. The lower 7 bits of the most significant octet (bits 31-25) are XORed with the lower 7 bits of the least significant octet (bits 7-0) to produce a 7-bit filter offset. The diagram shows two such XOR operations, resulting in two 7-bit filter offsets. The first offset is labeled 'X Unused' and the second is labeled 'Y.1713\_F02'. + +**Figure 2/Y.1713 – Generation of 2 filter offsets from CRC-32** + +### *Three offsets* + +Three filter offsets are generated by segmenting the CRC-32 into three 10-bit entities, then XORing the 7th, 8th and 9th bits with the 4th, 5th and 6th respectively. + +![Diagram illustrating the generation of 3 filter offsets from CRC-32. A 32-bit CRC-32 register is shown with bits 31 down to 0. The register is segmented into three 10-bit entities. The 7th, 8th, and 9th bits of each entity are XORed with the 4th, 5th, and 6th bits respectively to produce three 7-bit filter offsets. The diagram shows three such XOR operations, resulting in three 7-bit filter offsets. The first offset is labeled 'X Unused' and the second is labeled 'Y.1713_F03'.](e9d825d87c5f85c8dba0664eace96ef4_img.jpg) + +Diagram illustrating the generation of 3 filter offsets from CRC-32. A 32-bit CRC-32 register is shown with bits 31 down to 0. The register is segmented into three 10-bit entities. The 7th, 8th, and 9th bits of each entity are XORed with the 4th, 5th, and 6th bits respectively to produce three 7-bit filter offsets. The diagram shows three such XOR operations, resulting in three 7-bit filter offsets. The first offset is labeled 'X Unused' and the second is labeled 'Y.1713\_F03'. + +**Figure 3/Y.1713 – Generation of 3 filter offsets from CRC-32** + +### *Four filter offsets* + +Four filter offsets are generated via taking the lower 7 bits of each octet in the CRC-32 and XORing the 8th bit of each octet with the 7th. + +![Diagram showing the generation of 4 filter offsets from a 32-bit CRC-32. The CRC-32 is divided into four 7-bit segments. Each segment is XORed with a 7-bit offset. The remaining 4 bits of the CRC-32 are used as the 4 LSB of the 5th offset. The CRC-32 is then segmented on 9-bit boundaries and parity is performed on each to compute the upper 3 bits of the 5th offset.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Y.1713\_F04 + +Diagram showing the generation of 4 filter offsets from a 32-bit CRC-32. The CRC-32 is divided into four 7-bit segments. Each segment is XORed with a 7-bit offset. The remaining 4 bits of the CRC-32 are used as the 4 LSB of the 5th offset. The CRC-32 is then segmented on 9-bit boundaries and parity is performed on each to compute the upper 3 bits of the 5th offset. + +**Figure 4/Y.1713 – Generation of 4 filter offsets from CRC-32** + +### *Five filter offsets* + +Five filter offsets are generated by segmenting the CRC-32 into four 7-bit offsets and the remaining lower 4 bits are used as the 4 LSB of the 5th offset. The CRC-32 is then segmented on 9-bit boundaries parity performed on each to compute the upper 3 bits of the 5th offset. + +![Diagram showing the generation of 5 filter offsets from a 32-bit CRC-32. The CRC-32 is divided into four 7-bit segments. Each segment is XORed with a 7-bit offset. The remaining 4 bits of the CRC-32 are used as the 4 LSB of the 5th offset. The CRC-32 is then segmented on 9-bit boundaries and parity is performed on each to compute the upper 3 bits of the 5th offset.](bd671b21db63e6fdb2196e9b18502aac_img.jpg) + +Y.1713\_F05 + +Diagram showing the generation of 5 filter offsets from a 32-bit CRC-32. The CRC-32 is divided into four 7-bit segments. Each segment is XORed with a 7-bit offset. The remaining 4 bits of the CRC-32 are used as the 4 LSB of the 5th offset. The CRC-32 is then segmented on 9-bit boundaries and parity is performed on each to compute the upper 3 bits of the 5th offset. + +**Figure 5/Y.1713 – Generation of 5 filter offsets from CRC-32** + +# **15 Egress processing** + +Egress processing falls into one of two styles. + +### 1) *Reasonable subset* + +The egress will AND the received ingress filter with the logical inverse of the egress filter. A non-zero result indicates a dFECfilter\_Mismatch or dFECfilter\_Mismerge defect. If the egress has withdrawn a FEC element, it may tolerate a mismatch for an unspecified amount of time, and it MAY maintain a second filter containing the cumulative set of FEC elements offered for the LSP. If ANDing the received filter with the logical inverse of the cumulative filter yields a non-zero result, it indicates that the mismatch is not related to the withdrawal of the FEC element and dFECfilter\_Mismerge/dFECfilter\_Mismatch defect state may be entered immediately. + +![Flowchart for 'Reasonable Subset' filter processing. It starts with a 'Start' node, leading to a decision 'Ingress AND NOT egress = 0?'. If 'Y', it goes to 'OK'. If 'N', it goes to a dashed decision 'Ingress AND NOT cumulative egress = 0?'. If 'Y', it goes to 'Is time since last filter entry change > T?'. If 'N', it goes to 'OK'. If 'Y', it goes to 'OK, but control plane synch time excessive'. If 'N' from the dashed decision, it goes to 'Mismerge or misbranch defect'. The label Y.1713_F06 is at the bottom right.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +``` + +graph TD + Start((Start)) --> D1{Ingress AND +NOT egress = 0?} + D1 -- Y --> OK1([OK]) + D1 -- N --> D2{Ingress AND +NOT cumulative +egress = 0?} + style D2 stroke-dasharray: 5 5 + D2 -- Y --> D3{Is time since last +filter entry +change > T} + D2 -- N --> Defect([Mismerge or +misbranch +defect]) + D3 -- N --> OK1 + D3 -- Y --> OK2([OK, but control +plane synch time +excessive]) + +``` + +Y.1713\_F06 + +Flowchart for 'Reasonable Subset' filter processing. It starts with a 'Start' node, leading to a decision 'Ingress AND NOT egress = 0?'. If 'Y', it goes to 'OK'. If 'N', it goes to a dashed decision 'Ingress AND NOT cumulative egress = 0?'. If 'Y', it goes to 'Is time since last filter entry change > T?'. If 'N', it goes to 'OK'. If 'Y', it goes to 'OK, but control plane synch time excessive'. If 'N' from the dashed decision, it goes to 'Mismerge or misbranch defect'. The label Y.1713\_F06 is at the bottom right. + +**Figure 6/Y.1713 – "Reasonable Subset" filter processing** + +### 2) *Exact match* + +The egress will directly compare the received ingress filter with the egress filter. A not-equal result indicates either dFECfilter\_Mismatch/dFECfilter\_Mismerge defect or a recent change has not propagated to the ingress. If the egress has changed the FEC filter, it may tolerate a mismatch for an unspecified amount of time. It MAY further perform filter testing to determine if the ingress filter is a subset of the current egress filter or cumulative egress filter in order to more quickly ascertain whether a genuine mismatch has occurred or is simply an artifact of hysteresis in the control plane. It indicates that the mismatch is not related to the withdrawal of the FEC element and dFECfilter\_Mismerge/Mismatch defect state may be entered immediately. + +![Flowchart for 'Exact Match' filter processing. It starts with a 'Start' oval, leading to a decision diamond 'Ingress = egress?'. If 'Y', it goes to an 'OK' oval. If 'N', it goes to a dashed decision diamond 'Ingress AND NOT egress = 0?'. If 'Y', it goes to another decision diamond 'Is time since last filter entry change > T'. If 'N', it goes to 'OK'. If 'Y', it goes to a third dashed decision diamond 'Ingress AND NOT cumulative egress = 0?'. If 'Y', it goes to 'OK, but control plane synch time excessive'. If 'N', it goes to a final oval 'Mismerge or misbranch defect'. A label 'Y.1713_F07' is at the bottom right.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +``` + +graph TD + Start([Start]) --> D1{Ingress = egress?} + D1 -- Y --> OK1([OK]) + D1 -- N --> D2{Ingress AND NOT egress = 0?} + D2 -- Y --> D3{Is time since last filter entry change > T} + D2 -- N --> D4{Ingress AND NOT cumulative egress = 0?} + D3 -- N --> OK1 + D3 -- Y --> OK2([OK, but control plane synch time excessive]) + D4 -- Y --> OK2 + D4 -- N --> Defect([Mismerge or misbranch defect]) + +``` + +Y.1713\_F07 + +Flowchart for 'Exact Match' filter processing. It starts with a 'Start' oval, leading to a decision diamond 'Ingress = egress?'. If 'Y', it goes to an 'OK' oval. If 'N', it goes to a dashed decision diamond 'Ingress AND NOT egress = 0?'. If 'Y', it goes to another decision diamond 'Is time since last filter entry change > T'. If 'N', it goes to 'OK'. If 'Y', it goes to a third dashed decision diamond 'Ingress AND NOT cumulative egress = 0?'. If 'Y', it goes to 'OK, but control plane synch time excessive'. If 'N', it goes to a final oval 'Mismerge or misbranch defect'. A label 'Y.1713\_F07' is at the bottom right. + +**Figure 7/Y.1713 – "Exact Match" filter processing** + +# 16 Coding and processing rules for RFC 3036 (LDP) LSPs + +### *Coding rules for ingress* + +Each FEC element (as encoded per RFC 3036 [5] section 3.4.1) that is instantiated in the FTN table for the LSP is encoded as a filter entry consisting of three filter offsets. + +![Diagram showing a box labeled 'FEC element' with a bracket underneath it labeled 'Filter entry (3 filter offsets)'.](a83ba9e3e2c1e21dd69953a7b09e45b4_img.jpg) + +``` + +graph TD + FEC[FEC element] + subgraph FilterEntry [Filter entry (3 filter offsets)] + FEC + end + +``` + +Diagram showing a box labeled 'FEC element' with a bracket underneath it labeled 'Filter entry (3 filter offsets)'. + +Y.1713\_F08 + +**Figure 8/Y.1713 – Filter entry for RFC 3036 LSPs** + +### *Coding rules for the egress* + +Each FEC element (as encoded per RFC 3036 section 3.4.1) that is offered to LDP peers for the LSP is encoded as a filter entry consisting of three (3) filter offsets. + +## *Egress processing* + +The egress will perform "reasonable subset" filter processing. + +### Limitations + +Using these coding rules, an upper limit of 10 FEC elements in a FEC filter is required to ensure greater than 99% probability of detecting all misbranching defects in a network supporting all of the applications outlined in this Recommendation. + +### *Insertion guidelines* + +In an LDP network, an LSR may have a plurality of paths associated with a given FEC some of which may not be in use at any given time as they are ingresses to non-optimal paths. This is nominally termed "liberal label retention". This Recommendation makes no representations with respect to FEC-CV insertion other than at a minimum FEC-CV insertion should be performed on LSP ingresses currently in use. If connectivity measurement and route availability is to be performed (see Appendix II), FEC-CV generation should only be enabled in the presence of a valid route for the FEC. The LSR may be configured to insert FEC-CV in all paths in order to more fully exercise the set of potential backup paths. Increasing the number of ingresses injecting FEC-CV into the network would permit the $T^{\text{FEC-CV}}$ to be reduced, as downstream merge points would still be expected to concentrate the arrival rate at the FEC egress points. + +## 17 Coding and processing rules for RFC 3209 (RSVP-TE) LSPs + +### *Coding rules for ingress* + +The ingress PE encodes the tunnel ID and extended tunnel ID extracted from the session object (section 4.6.1 of RFC 3209 [6]) as a filter entry, and the LSP ID extracted from the sender template (section 4.6.2 of RFC 3209) as a filter entry. Both filter entries are composed of 4 filter offsets. If the extended tunnel ID is zero, then the tunnel sender address from the sender template object must be substituted. + +During reroute and bandwidth increase procedures (section 4.3.4 of RFC 3209), the filter used contains the tunnel ID/extended tunnel ID filter entry and the old LSP ID filter entry until the RESV message confirming the path with the new LSP ID is received. At this point the ingress revises the filter to contain the tunnel ID/extended tunnel ID filter entry and the new LSP ID filter entry. + +![Diagram showing filter entries for RFC 3209. On the left, a box is divided into two sections: 'Tunnel ID' and 'Extended tunnel ID'. A bracket below this box is labeled 'Filter entry (4 filter offsets)'. On the right, a box is labeled 'LSP ID'. A bracket below this box is labeled 'Filter entry (4 filter offsets)'.](43837b056625d3d6ce615e4c02f163bb_img.jpg) + +``` + +graph TD + subgraph FilterEntry1 [Filter entry 4 filter offsets] + A[Tunnel ID] --- B[Extended tunnel ID] + end + subgraph FilterEntry2 [Filter entry 4 filter offsets] + C[LSP ID] + end + +``` + +Y.1713\_F09 + +Diagram showing filter entries for RFC 3209. On the left, a box is divided into two sections: 'Tunnel ID' and 'Extended tunnel ID'. A bracket below this box is labeled 'Filter entry (4 filter offsets)'. On the right, a box is labeled 'LSP ID'. A bracket below this box is labeled 'Filter entry (4 filter offsets)'. + +**Figure 9/Y.1713 – Filter entries for RFC 3209** + +### *Coding rules for the egress* + +The egress PE encodes the tunnel ID and extended tunnel ID extracted from the session object as a filter entry, and the LSP ID extracted from the sender template as a filter entry. If the extended tunnel ID is zero, then the tunnel sender address from the sender template object must be substituted. During reroute and bandwidth increase procedure (section 4.3.4 of RFC 3209), upon receipt of a path message with a new LSP ID, both the old and new LSP IDs will be encoded as filter entries along with the tunnel ID and extended tunnel ID so that the change of LSP IDs at the probe origin does not result in an error. Upon receipt of the Path-tear message for the old LSP ID, the filter will be revised to only contain the current LSP ID as a filter entry. + +## *Egress processing* + +The egress will perform "exact match" processing in normal operation, and "reasonable subset" processing during reroute and bandwidth increase procedures. + +### Limitations + +Not applicable. The number of filter entries associated with an RFC 3209 LSP is already bounded. + +### Insertion guidelines + +None. + +# 18 Coding and processing rules for RFC 3212 (CR-LDP) LSPs + +### Coding rules for ingress and egress LSRs + +![Diagram showing the structure of filter entries for RFC 3212. It consists of three identical blocks stacked vertically. Each block contains a rectangular box at the top labeled 'CR-LSP FEC element', a horizontal brace below it labeled 'Filter entry (3 filter offsets)', a second rectangular box labeled 'FEC element', another horizontal brace labeled 'Filter entry (3 filter offsets)', and a third rectangular box at the bottom labeled 'LSP ID TLV'. A final horizontal brace at the very bottom of the third block is also labeled 'Filter entry (3 filter offsets)'. The label 'Y.1713_F10' is located at the bottom right of the diagram.](8592a32c2fdf17c1e562f0ba6b7e8e1a_img.jpg) + +Y.1713\_F10 + +Diagram showing the structure of filter entries for RFC 3212. It consists of three identical blocks stacked vertically. Each block contains a rectangular box at the top labeled 'CR-LSP FEC element', a horizontal brace below it labeled 'Filter entry (3 filter offsets)', a second rectangular box labeled 'FEC element', another horizontal brace labeled 'Filter entry (3 filter offsets)', and a third rectangular box at the bottom labeled 'LSP ID TLV'. A final horizontal brace at the very bottom of the third block is also labeled 'Filter entry (3 filter offsets)'. The label 'Y.1713\_F10' is located at the bottom right of the diagram. + +**Figure 10/Y.1713 – Filter entries for RFC 3212** + +The LSP ID (section 4.5 of RFC 3212 [7]) and each CR-LSP FEC element (section 4.10 of RFC 3212) and/or LDP FEC element (section 3.4.1 of RFC 3036) is encoded as a filter entry consisting of 3 filter offsets. + +### Limitations + +Using these coding rules, an upper limit of 10 FEC elements and the LSP ID TLV in a FEC filter is required to ensure greater than 99.9% probability of detecting all misbranching defects in a network supporting all of the applications outlined in this Recommendation. + +### Insertion guidelines + +None. + +# 19 Polynomial specification + +The 32-bit CRC used for the generation of FEC-CV filter entries is defined by the following generating polynomial: + +$$G(x)^2 = x^{32} + x^{30} + x^{28} + x^{21} + x^{19} + x^{15} + x^{12} + x^9 + x^8 + x^4 + x^3 + x^2 + x + 1$$ + +Mathematically, the CRC is defined as the sum (modulo 2) of: + +- 1) the remainder of $(x^{31} + x^{30} + \dots + x + 1)x^k$ divided (modulo 2) by the generator polynomial, where k is the number of bits of the data over which the CRC is calculated; and +- 2) the remainder of the division (modulo 2) by the generator polynomial of the product of the data over which the CRC is calculated, interpreted as a polynomial, multiplied by $x^{32}$ . + +2 $G(x) = (x+1)(x+1)(x^{10}+x^8+x^5+x^4+1)(x^{10}+x^9+x^8+x^3+x^2+x+1)(x^{10}+x^9+x^8+x^6+x^4+x^2+1)$ . $G(x)$ can be conveniently represented by the 33-bit hexadecimal integer 15028931F. + +Algorithmically, the CRC is defined by the following procedure: + +- 1) The first 32 bits of the data are complemented. +- 2) The k bits of the data are then considered to be the coefficients of a polynomial $M(x)$ of degree k-1 written in big-endian format. +- 3) $M(x)$ is multiplied by $x^{32}$ and divided by $G(x)$ , producing a remainder $R(x)$ of degree at most 31. +- 4) The coefficients of $R(x)$ are considered to be a 32-bit, 4-octet sequence. + +# **20 Entry/Exit criteria and consequent actions** + +The defect entry/exit criteria associated with FEC-CV near end processing are: + +## **dServer entry criteria** + +dServer is not a valid defect state for FEC-CV processing for MPLS LDP levels. + +## **dLOCV entry criteria** + +Entry to the dLOCV condition for near end defect handling where FEC-CV availability processing is enabled occurs when there are no expected FEC-CV packets observed by the egress LSR for the TTSI/FEC combination for three consecutive $T^{\text{FEC-CV}}$ intervals. + +In terms of consequent actions: + +- The dLOCV DT codepoint is inserted into any FDI OAM packets sent forwards. + +## **dTTSI\_Mismatch entry criteria** + +dTTSI\_Mismatch is not a valid defect state for FEC-CV processing for LDP networks. + +### **dTTSI\_Mismerge entry criteria** + +dTTSI\_Mismerge is not a valid defect state for FEC-CV processing for LDP networks. + +### **dFECfilter\_Mismatch entry criteria** + +Entry to the dFECfilter\_Mismatch condition, and hence entry to the LSP Trail Sink Near-End Defect State, occurs when there are any OAM packets observed in any period of three consecutive $T^{\text{FEC-CV}}$ intervals, each with an unexpected FEC filter or observed CV OAM packet type and there are no FEC-CV OAM packets observed with an expected FEC filter in the same period (i.e., dLOCV). It should be noted that the dTTSI\_Mismatch defect overrides the dLOCV defect (as would be the case, for example, with swapped LSPs). The DT codepoint 02 05 Hex (0x0205) is inserted in any FDI OAM packets sent forwards. The DL is also inserted in these FDI OAM packets. A local alarm is raised relevant to this defect condition and the TTSI in the unexpected FEC-CV or CV OAM probe captured locally (this may also be optionally sent to the NMS, similar to an exception report). The downstream traffic signal must also be suppressed. + +### **dFECfilter\_Mismerge entry criteria** + +Entry to the dFECfilter\_Mismerge condition, and hence entry to the LSP Trail Sink Near-End Defect State, occurs when there are any FEC-CV OAM packets each with an unexpected FEC filter or observed CV OAM packet type, AND there are any FEC-CV OAM packets each with an expected FEC filter observed in any period of three consecutive $T^{\text{FEC-CV}}$ intervals (i.e., no dLOCV). The DT codepoint 02 06 Hex is inserted in any FDI OAM packets sent forwards. The DL codepoint is also inserted in these FDI OAM packets. A local alarm is raised relevant to this defect condition and the TTSI in the unexpected FEC-CV or CV OAM packet captured locally (this may also be optionally sent to the NMS, similar to an exception report). The downstream traffic signal could optionally be suppressed. + +## **dExcess entry criteria** + +dExcess is not a valid defect state for FEC-CV processing for MPLS LDP networks. + +## **dLOCV exit criteria** + +Exit of the dLOCV defect condition and hence exit of the LSP Trail Sink Near-End Defect State for near end availability using FEC-CV occurs when there are: + +- $\geq 2$ but $\leq 4$ FEC-CV OAM packets observed each with an expected TTSI; and +- no FEC-CV packets observed with an unexpected FEC filter or TTSI; and +- no unexpected CV OAM packets observed, + +in any period of three consecutive $T^{\text{FEC-CV}}$ intervals. + +All the consequent actions invoked when entering the LSP Trail Sink Near-End Defect State (i.e., sending of FDI and BDI OAM packets, the raising of local alarms and any suppression of traffic) are stopped when the LSP Trail Sink Near-End Defect State is exited. + +### **dFECfilter\_Mismatch and dFECfilter\_Mismerge exit criteria** + +Exit of the dFECfilter\_Mismatch and dFECfilter\_Mismerge defect condition, and hence exit of the LSP Trail Sink Near-End Defect State, occurs when there are: + +- no FEC-CV OAM packets observed with an unexpected FEC-filter; and +- no unexpected CV OAM packets observed, + +in any period of three consecutive $T^{\text{FEC-CV}}$ intervals. + +All the consequent actions invoked when entering the LSP Trail Sink Near-End Defect State (i.e., sending of FDI and BDI OAM packets, the raising of local alarms and any suppression of traffic) are stopped when the LSP Trail Sink Near-End Defect State is exited. + +# **21 Security aspects** + +This Recommendation does not raise any security issues that are not already present in either the MPLS architecture or in the architecture of the network layer protocol contained within the encapsulation. The MPLS architecture assumes trusted trail terminations within a given layer, and provides arbitrary hierarchy such that untrusted clients can be isolated from the trusted network. This is critical for OAM where untrusted ingresses may leverage OAM mechanisms to perform denial of service attacks on the network infrastructure. + +Misbranching detection enhances the security of MPLS networks as security breaches due to misforwarding of data between clients can be detected. + +## Appendix I + +## Coding and processing rules for RFC 2547 (BGP/VPN) LSPs + +### I.1 Scenario 1: Aggregated label LSP + +#### *Coding rules for ingress* + +The ingress PE encodes the BGP next hop information, the route distinguishers (RDs) associated with the LSP (label advertisement imported by BGP). The VPN-IPv4 next hop address, and RD are concatenated and then encoded as a filter entry consisting of five filter offsets. + +![](a24e89a6fe9bb70c83f8bf5202baba95_img.jpg) + +| | | | | | | | +|------------------------------------|-------------------|---------------------|--------------|---------------------|---------------|-----------------| +| RD type = 0 | Administrator = 0 | Assigned number = 0 | BGP next hop | RD type | Administrator | Assigned number | +| Ipv4 VPN BGP next hop | | | | Route distinguisher | | | +| Filter entry (five filter offsets) | | | | | | | + +Y.1713.APPX.I\_F01 + +**Figure I.1/Y.1713 – Filter entries for RFC 2547 aggregated labels** + +#### *Coding rules for egress* + +The egress PE encodes the BGP next hop information and the route distinguisher associated with the LSP (label advertisement exported by BGP) as a filter entry consisting of five filter offsets. + +#### *Egress processing* + +The egress will perform "exact match" filter processing. + +### I.2 Scenario 2: Non-aggregated label LSPs + +#### *Coding rules for ingress* + +The ingress PE encodes the BGP next hop information, the route distinguishers (RDs) associated with the LSP (label advertisement imported by BGP) and the next layer reachability information (NLRI or customer route). The VPN-IPv4 next hop address, RD, and NLRI for the customer route are concatenated and then encoded as a filter entry consisting of five filter offsets. + +![](2876be3592c7b4878400b85f209b2b6a_img.jpg) + +| | | | | | | | | | +|------------------------------------|-------------------|---------------------|--------------|---------------------|---------------|-----------------|--------|--------| +| RD type = 0 | Administrator = 0 | Assigned number = 0 | BGP next hop | RD type | Administrator | Assigned number | Length | Prefix | +| Ipv4 VPN BGP next hop | | | | Route distinguisher | | | NLRI | | +| Filter entry (five filter offsets) | | | | | | | | | + +Y.1713.APPX.I\_F02 + +**Figure I.2/Y.1713 – Filter entries for RFC 2547 "non-aggregated" labels** + +#### *Coding rules for egress* + +The egress PE encodes the BGP next hop information, the route distinguisher and the route associated with the LSP (label advertisement exported by BGP) as a filter entry consisting of five filter offsets. + +#### *Egress processing* + +The egress will perform "exact match" filter processing. + +NOTE – VPN layer tandeming mechanisms (one potential solution to inter-AS VPNs) may not propagate the egress PE address to the VPN layer ingress. This is for further study. + +## Appendix II + +## Use of FEC-CV to check connectivity and measure route availability + +An egress LSR may be configured to check connectivity, measure route availability and perform associated defect state processing on LSP connectivity set up with LDP for a given FEC. The LSR should be a unique egress point for the FEC such that any changes in network connectivity will still result in traffic transiting the egress LSR. The network must employ liberal label retention so that the number of ingress points used by a LSR will be fixed. Mechanisms to coordinate defect state processing for conservative label retention or to limit probe generation to the set of ingress points currently in use are for further study (a de-registration mechanism is required when an ingress is no longer used). + +When the egress LSR receives a valid FEC-CV probe for a FEC on which it is configured to perform state processing: + +- 1) It verifies that the FEC filter is valid for the LSP. If not normal defect processing occurs. +- 2) It checks if it is currently tracking connectivity for the TTSI encoded in the FEC-CV probe. If not, then it will commence tracking for that TTSI and designate connectivity between the TTSI and the egress as working. +- 3) If the LSR is already tracking connectivity for the TTSI in the probe, it will update the defect state for the TTSI accordingly. + +![Flowchart for FEC-CV probe handling](5793a44ffdadd039928e2f9fe6daae06_img.jpg) + +``` +graph TD; Start([Start]) --> ReceiveFEC[Receive FEC-CV]; ReceiveFEC --> BloomFilter{Bloom filter verification}; BloomFilter -- Y --> TTSIKnown{Is TTSI known?}; BloomFilter -- N --> dMismerge([dMismerge]); TTSIKnown -- N --> CreateTTSI[Create new TTSI entry]; CreateTTSI --> UpdateDefect[Update defect state]; TTSIKnown -- Y --> UpdateDefect; UpdateDefect --> Done([Done]); +``` + +The flowchart illustrates the process of handling an FEC-CV probe. It begins with a 'Start' terminal, leading to a 'Receive FEC-CV' process. A decision diamond 'Bloom filter verification' follows. If the answer is 'Y' (Yes), the flow proceeds to another decision diamond 'Is TTSI known?'. If 'N' (No), it leads to a 'Create new TTSI entry' process, which then leads to 'Update defect state'. If 'Y' (Yes), it also leads to 'Update defect state'. If the initial 'Bloom filter verification' is 'N', the flow leads directly to a 'dMismerge' terminal. The 'Update defect state' process leads to a 'Done' terminal. + +Flowchart for FEC-CV probe handling + +Y.1713.APPX.II\_F01 + +Figure II.1/Y.1713 – FEC-CV probe handling + +The rate of insertion of FEC-CV probes is configurable and must be a MPLS subnetwork wide common value. It is selected both to harmonize with mismerge and misbranching detection using fixed rate CV for P2P ER LSPs, and to minimize alarm generation as an artifact of normal connectionless network operation. + +The number of TTSIs for which an LSR implementation is required to maintain for defect state processing is unspecified. + +### *Alarm suppression* + +A full mesh of connectivity measurement probing in an LDP network can result in all peer edge devices generating alarms on the failure of a single edge device or failure of links directly attached to a peer edge device. + +To provide full failure coverage while not generating alarm storms, alarm generation must be coordinated with the IGP (and may require a "hold off" time in order to achieve this). Alarm suppression may be performed when the LSR ID in the TTSI corresponds to an address of one end of a numbered link for which the IGP has reported failure. Note that a node failure in this scenario will manifest itself as all numbered links to the ingress LSR failing and alarm suppression can be performed accordingly. Therefore the availability mechanism will only alarm on faults not detected or not recovered by the network. + +Alarm suppression for failure of a node that uses unnumbered links can similarly be performed as the TTSI would use the router loopback address in the LSR ID field, but alarm suppression for the silent failure of a single unnumbered link connecting an ingress to the network introduces a degree of uncertainty. The link is known by the tuple of the router loopback addresses at either end of the link, however any tracked TTSI value cannot be explicitly associated with a single link failure. *It can be used if the routing table indicates that the LSR ID (obtained from the TTSI) has become severed from the network (no viable route).* This is for further study. + +Alarm suppression for inter-area LSPs is for further study. + +## **Appendix III** + +## **Setting TFEC-CV** + +FEC-CV is primarily designed for use with MP2P LSPs. The implication being that a specific generation rate at any individual ingress will be multiplied by the number of ingresses when considering an arrival rate at an egress point. This is important when considering leakage into LSPs with Y.1711 CV based availability measurement enabled. + +It is possible to lower the generation rate of FEC-CV relative to CV while ensuring a high statistical probability of not flapping the CV near end availability state machine in a misbranch/mismerge scenario. However the generation rate used is a function of the network diameter, the number of probe sources relative to the number of potential misbranching points, and the density of meshing of VPN and PW labels. For this reason the generation rate of FEC-CV must be configurable. + +For example, given a network of 'm' edge devices and diameter 'n', we will make the following assumptions: + +- Probability of a misbranching defect is equal at each hop along the path (including the originating node). +- Each hop away from the egress diminishes the number of ingress sources originating FEC-CV probes that would be affected by a misbranching defect local to the hop. + +- Probe sources are unsynchronized, therefore distribution of probe arrivals at the egress will be random. +- Each edge NE is at a minimum dual homed on the network. + +![Figure III.1/Y.1713: A line graph showing the Required probe rate (per second) on a logarithmic y-axis (0.001 to 1) versus the Number of edge devices on a logarithmic x-axis (2 to 1024). The graph is titled 'FEC-CV Insertion rate'. Four curves are shown for different values of ND: ND=1 (solid line), ND=2 (dashed line), ND=4 (dash-dot line), and ND=8 (dotted line). All curves show a decreasing trend as the number of edge devices increases. ND=1 has the lowest required probe rate, while ND=8 has the highest. A horizontal line is drawn at a required probe rate of 0.1. The graph is labeled 'Y.1713.APPX.III_F01' in the bottom right corner.](df0685d2d1176d617ed1e642de4e5425_img.jpg) + +Figure III.1/Y.1713: A line graph showing the Required probe rate (per second) on a logarithmic y-axis (0.001 to 1) versus the Number of edge devices on a logarithmic x-axis (2 to 1024). The graph is titled 'FEC-CV Insertion rate'. Four curves are shown for different values of ND: ND=1 (solid line), ND=2 (dashed line), ND=4 (dash-dot line), and ND=8 (dotted line). All curves show a decreasing trend as the number of edge devices increases. ND=1 has the lowest required probe rate, while ND=8 has the highest. A horizontal line is drawn at a required probe rate of 0.1. The graph is labeled 'Y.1713.APPX.III\_F01' in the bottom right corner. + +**Figure III.1/Y.1713 – Required probe insertion rate** + +Figure III.1 (based upon the assumptions outlined above) shows the required probe insertion rate at each LSP ingress to ensure the egress state machine does not flap greater than 99% of the time (99% probability of probe arrival in any 2 second interval). It illustrates that for larger networks, the requisite rate of FEC-CV insertion in MP2P LSPs can be an order of magnitude or more lower than that of CV probe insertion with no side effects in defect handling on monitored LSPs. The rate of arrival of misdirected FEC-CV probes leaking into a CV monitored LSP will be sufficiently high to correctly hold the CV monitored LSP in the defect state. + +This model assumes no coupling between FEC-CV insertion points (completely random insertion), which in practice may not be a valid assumption. Therefore flexibility in determining the probe insertion rate is recommended. + +## Appendix IV + +## Issues with ECMP + +ECMP is an unspecified mechanism that inverses multiplexes LSP traffic over multiple parallel outgoing LSPs. Implementations may use proprietary mechanisms to spread the traffic while ideally preserving flow ordering to some degree of granularity. Use of FEC-CV in the presence of proprietary ECMP has implementation dependent implications (summarized here as informative in the absence of a normative reference for MPLS ECMP): + +- 1) Implementations using proprietary ECMP mechanisms that do not implement FEC-CV but preserve LSP path semantics (1:1 mapping between ingress and egress) will have the ECMP transfer function and downstream paths properly exercised by FEC-CV PDUs originating elsewhere in the network. What is meant by "preserve LSP path semantics" is that the LSR transfer function makes an explicit mapping between any incoming label switched hop (LSH) and a single outgoing LSH. An example of such an implementation is one that only considers the incoming interface and top label for downstream path selection. +- 2) Implementations using proprietary ECMP mechanisms that do not implement FEC-CV AND do NOT preserve individual LSP semantics (such that the incoming payload on any + +individual LSH may map to any of a set of outgoing LSHs via any outgoing path selection mechanisms such as those based on payload examination) will not have the ECMP transfer function exercised and will only have a subset of the downstream parallel paths properly exercised by FEC-CV PDUs. + +- 3) Implementations using proprietary ECMP mechanisms that implement FEC-CV may treat the set of outgoing ECMP LSPs as ingresses and should insert FEC-CV probes such that the immediate set of downstream LSPs is properly exercised. How much of the network element's ECMP transfer function that is exercised by FEC-CV PDU generation is implementation dependent. In this way the testing of path permutations is distributed through the network rather than concentrated at the edge. + +This approach permits the required probe load to ensure all possible ECMP path combinations are tested to scale linearly with the number of ECMP ingress points when compared with the number of overall path permutations seen by the set of edge devices in the network. Each network element is responsible for testing only the immediately local set of paths and not the combinatorial set that arises from encountering multiple ECMP points across the network. + +Figure IV.1 illustrates the scaling issue: + +![Figure IV.1: A network diagram illustrating ECMP. It shows a set of LSRs 'A' through 'D' on the left, connected to a core of LSRs 'E' through 'L', which are then connected to a set of LSRs 'M' through 'P' on the right. The connections are shown as a mesh, indicating multiple paths between adjacent LSRs. Specifically, LSRs 'A', 'B', 'C', and 'D' are connected to 'E' and 'F'. 'E' and 'F' are connected to 'G', 'H', and 'J'. 'G', 'H', and 'J' are connected to 'K' and 'L'. 'K' and 'L' are connected to 'M', 'N', 'O', and 'P'. The diagram is labeled 'Y.1713.APPX.IV_F01' at the bottom right.](e354b57563dae469c00b412b2abdf765_img.jpg) + +Figure IV.1: A network diagram illustrating ECMP. It shows a set of LSRs 'A' through 'D' on the left, connected to a core of LSRs 'E' through 'L', which are then connected to a set of LSRs 'M' through 'P' on the right. The connections are shown as a mesh, indicating multiple paths between adjacent LSRs. Specifically, LSRs 'A', 'B', 'C', and 'D' are connected to 'E' and 'F'. 'E' and 'F' are connected to 'G', 'H', and 'J'. 'G', 'H', and 'J' are connected to 'K' and 'L'. 'K' and 'L' are connected to 'M', 'N', 'O', and 'P'. The diagram is labeled 'Y.1713.APPX.IV\_F01' at the bottom right. + +**Figure IV.1/Y.1713 – ECMP example** + +Figure IV.1 illustrates a relatively trivial network. In Figure IV.1, there are a set of LSRs (A through D) that have connectivity to LSR 'N' across a core consisting of LSRs 'E' through 'L'. Traffic between LSRs 'A' and 'N' encounters ECMP implemented at 'A', 'E', 'F', 'G', 'H' and 'J'. This results in 11 possible path permutations between LSRs 'A' and 'N': + +A-E-G-K-N; +A-E-H-K-N; +A-E-H-L-N; +A-E-J-K-N; +A-E-J-L-N; +A-F-G-K-N; +A-F-G-L-N; +A-F-H-K-N; +A-F-H-L-N; +A-F-J-K-N; and +A-F-J-L-N. + +With a total of 14 ECMP ingress points. Two at each of 'A', 'G', 'H' and 'J', and three at each of 'E' and 'F'. As more edge LSRs are considered (for example, 'B' through 'D') the number of core ECMP points in the core remains unchanged, but the number of path permutations seen by the edge of the network goes up. + +This is because LSP verification based exclusively on edge originated probes will replicate testing of ECMP points in the core: + +- Core ECMP points are shared by the edge devices. +- The edge devices are unaware of each other. +- No mechanisms exist to delegate testing of specific shared resources between the edge devices. + +As edge devices are added, the number of probes originated by the edge devices will go up significantly if each assumes responsibility for testing all reachable path permutations. + +For example, a network extrapolated from the above example with 100 edge devices may have 200 or so ECMP ingress points, but will face some 2000 potential path permutations between the set of LERs and any individual egress LER. + +It is not reasonable to delegate responsibility for testing shared resources to every edge LSR, therefore the goal should be to eliminate redundant probing of ECMP points shared by multiple edge devices. Probe insertion at each ECMP ingress provides comparable coverage with a significantly lower volume of network probing as responsibility for exercising path permutations is distributed through the network. + +The actual probe load generated is implementation dependent and dependent on the fault coverage desired within the load spreading LSR. The likely implementation of load spreading is on an ingress line card (to minimize the number of times data traverses the network element backplane), such that for a given FEC, the actual number of LSP ingresses to be considered is the number of outgoing load shared paths TIMES the number of input interfaces (which for liberal label retention will be all input interfaces). This suggests that there are multiple points where implementations may choose to perform FEC-CV probe insertion. + +![Diagram of Figure IV.2/Y.1713 showing the implementation of load spreading in an LSR. It depicts three input interfaces (I1, I2, I3) on the left and three output interfaces (O1, O2, O3) on the right. Each input interface receives an 'LSP for FEC \'A\'' and contains a trapezoidal 'Load spreading function'. Each output interface contains a parallelogram 'Merge' function. A full mesh of lines connects each load spreading function to every merge function. Labels indicate 'Input side insertion of FEC-CV' at the input stage and 'Output side insertion of FEC-CV' at the output stage. A legend at the bottom defines the symbols for Interface, Load spreading function, and Merge.](20136850feb70fd71c7d41cdae203ebb_img.jpg) + +The diagram illustrates the implementation of load spreading in a Load Spreading LSR. It shows three input interfaces (I1, I2, I3) on the left and three output interfaces (O1, O2, O3) on the right. Each input interface has a 'Load spreading function' block. Each output interface has a 'Merge' block. The 'Load spreading function' blocks are connected to the 'Merge' blocks via a central switching fabric where every input function connects to every output function. The diagram is labeled 'Load spreading LSR' at the bottom. A legend at the bottom left shows a dashed box for 'Interface', a trapezoid for 'Load spreading function', and a parallelogram for 'Merge'. A reference code 'Y.1713.APPX.IV\_F02' is located at the bottom right. + +Diagram of Figure IV.2/Y.1713 showing the implementation of load spreading in an LSR. It depicts three input interfaces (I1, I2, I3) on the left and three output interfaces (O1, O2, O3) on the right. Each input interface receives an 'LSP for FEC \'A\'' and contains a trapezoidal 'Load spreading function'. Each output interface contains a parallelogram 'Merge' function. A full mesh of lines connects each load spreading function to every merge function. Labels indicate 'Input side insertion of FEC-CV' at the input stage and 'Output side insertion of FEC-CV' at the output stage. A legend at the bottom defines the symbols for Interface, Load spreading function, and Merge. + +**Figure IV.2/Y.1713 – Implementation of load spreading** + +Figure IV.2 assumes an implementation whereby load spreading is performed as an input function. In Figure IV.2 two potential FEC-CV insertion points are identified. One is on the output side which would result in 3 insertion points for FEC-CV PDUs for the LSP, one at each of output interfaces O1 through O3. One is on the input side which in the above example results in 9 insertion points for the FEC-CV PDUs, one for each output on each of input interfaces I1 through I3. Each FEC-CV PDU insertion point should uniquely be assigned a TTSI to facilitate fault isolation. + +Input side FEC-CV PDU insertion combined with TTL manipulation provides reasonable misbranching coverage and may be employed with PHPd LSPs. If the inserting LSR does not perform PHP on the LSP egress (e.g., knows the downstream LSR implements an MPLS user plane), FEC-CV PDUs with TTL = 1 may be inserted to verify the local NHLFE and next hop ILM correctness and synchronization with the control plane with no adverse effects for downstream LSRs. + +Use of TTL = 1 minimizes the overall disruption of traffic when a misbranching defect is detected. The node detecting the defect suppresses forwarding of traffic on the specific LSP. As the detection is close to the misbehaving LSR, only a portion of the overall traffic carried by the LSP would be suppressed in an LDP network. + +Other recovery actions are possible. When the TTSI indicates the source of the probe was an immediate upstream peer, the LSR may withdraw the label leaked into and offer a different label for the FEC in an attempt to separate value traffic from that leaked into. Exact mechanisms are for further study. + +# **Appendix V** + +## **Issues with PHP** + +Similar to ITU-T Rec. Y.1711, the FEC-CV probe has the most utility and is most simply implemented in the absence of PHP (labelled data plane extends end-to-end). However FEC-CV may still provide utility for implementations that choose to request PHP from the upstream node: + +- 1) The Penultimate hop node may choose to process the FEC-CV PDU such that misbranching detection spans all but the last (unlabelled) hop of the path. +- 2) If the LSP terminating LSR receives OAM alert as a top label, it may process FEC-CV PDUs against a FEC filter that is the logical OR of all FEC filters offered by the LSR with the Implicit NULL label. For what is termed a "provider edge" LSR, this may only be one FEC (the LSRs own loopback address). Where there are multiple FECs, the probability of undetected error goes up in proportion to the number of FECs encoded in the common filter. + +Figure V.1 is illustrative of the worst case (LSP with one LDP FEC being PHPd to an LSR offering numerous FECs with the implicit null label). + +![Line graph showing Probability of detection vs LDP FECs encoded in the egress LSR filter for One LPD FEC, TELSP, and BGP VPN LSP.](2a23751710f7827065d2b99b6df588df_img.jpg) + +The graph illustrates the probability of detection for three different LSP ingress types as the number of LDP FECs encoded in the egress LSR filter increases. The y-axis represents the 'Probability of detection' from 0.6 to 1.0, and the x-axis represents 'LDP FECs encoded in the egress LSR filter' from 0 to 55. Three curves are shown: 'One LPD FEC' (solid line), 'TELSP' (dashed line), and 'BGP VPN LSP' (dotted line). All curves start at a probability of 1.0 for 0 FECs and decrease as the number of FECs increases. 'One LPD FEC' maintains the highest probability, followed by 'BGP VPN LSP', and then 'TELSP'. + +| LDP FECs encoded in the egress LSR filter | One LPD FEC | TELSP | BGP VPN LSP | +|-------------------------------------------|-------------|-------|-------------| +| 0 | 1.00 | 1.00 | 1.00 | +| 10 | 1.00 | 0.99 | 0.99 | +| 20 | 0.99 | 0.97 | 0.98 | +| 30 | 0.98 | 0.92 | 0.96 | +| 40 | 0.96 | 0.82 | 0.94 | +| 50 | 0.94 | 0.72 | 0.92 | +| 55 | 0.92 | 0.68 | 0.90 | + +Y.1713.APPX.V\_F01 + +Line graph showing Probability of detection vs LDP FECs encoded in the egress LSR filter for One LPD FEC, TELSP, and BGP VPN LSP. + +**Figure V.1/Y.1713 – PHP worst case (by LSP ingress type)** + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series B | Means of expression: definitions, symbols, classification | +| Series C | General telecommunication statistics | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | TMN and network maintenance: international transmission systems, telephone circuits, telegraphy, facsimile and leased circuits | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks and open system communications | +| Series Y | Global information infrastructure, Internet protocol aspects and Next Generation Networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.1714-200901-I_PDF-E/0236eff05bcb8f3a343ea7933aaa306b_img.jpg b/marked/Y/T-REC-Y.1714-200901-I_PDF-E/0236eff05bcb8f3a343ea7933aaa306b_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..1d6ba6b734f6c8be9e3c77c86d012ed156b60ce4 --- /dev/null +++ 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INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Internet protocol aspects – IPTV over NGN + +# --- Requirements for the support of IPTV services + +Recommendation ITU-T Y.1901 + +![ITU logo](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, with "International Telecommunication Union" in smaller blue text below it. + +ITU logo + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +### | | | |----------------------|----------------------| | IPTV over NGN | Y.1900–Y.1999 | |----------------------|----------------------| + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Future networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **Recommendation ITU-T Y.1901** + +# **Requirements for the support of IPTV services** + +## **Summary** + +Recommendation ITU-T Y.1901 specifies the high level requirements to support IPTV services. These include IPTV requirements for service offering, network aspects, QoS and QoE, service and content protection, end system, middleware and content. + +## **Source** + +Recommendation ITU-T Y.1901 was approved on 23 January 2009 by ITU-T Study Group 13 (2009-2012) under the WTSA Resolution 1 procedure. + +## **Keywords** + +Accounting and charging, content, content discovery and selection, home network, IPTV, IPTV architecture, IPTV service, IPTV terminal device, metadata, middleware, mobility, multicast, QoE, QoS, security, service and content protection, service discovery and selection, service navigation, traffic management. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2009 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|---------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 1.1 Organization ..... | 1 | +| 1.2 IPTV domains..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Terms defined elsewhere ..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 3 | +| 4 Abbreviations and acronyms ..... | 6 | +| 5 Conventions ..... | 8 | +| 6 Requirements ..... | 8 | +| 6.1 General aspects ..... | 8 | +| 6.2 QoS and performance aspects ..... | 13 | +| 6.3 Security aspects including service and content protection ..... | 15 | +| 6.4 Network related aspects..... | 20 | +| 6.5 End systems and interoperability aspects ..... | 22 | +| 6.6 Middleware, application and content aspects..... | 35 | +| 6.7 Public interest ..... | 43 | +| Appendix I – Public interest cross-reference ..... | 47 | +| Bibliography..... | 49 | + + + +# Recommendation ITU-T Y.1901 + +# Requirements for the support of IPTV services + +# 1 Scope + +This Recommendation specifies the high level requirements to support IPTV services. These include IPTV requirements for service offering, network aspects, QoS and QoE, service and content protection, end system, middleware and content. + +## 1.1 Organization + +The taxonomy that articulates this Recommendation is therefore twofold: + +- A functional taxonomy, which aims at reflecting the fact that IPTV services are deployed and operated according to the combined activation of a set of elementary capabilities – IPTV traffic forwarding and routing, IPTV quality of service and quality of experience, IPTV security, IPTV middleware, etc. +- Within each of the aforementioned functional areas, a further classification organizes the requirements into mandatory requirements, recommended requirements and optional requirements. + +## 1.2 IPTV domains + +Figure 1-1 shows the main domains that are involved in the provision of IPTV services [ITU-T Y.1910]. It is provided in this Recommendation to help the understanding of requirements which in some way relate to these domains. These domains do not define a business model. Also, one provider may play in multiple domains in the provision of an actual service. + +![Diagram of IPTV domains showing four interconnected components: End-user, Network provider, Service provider, and Content provider.](ca4d4ff86cf319ed7cc36a1ecda29101_img.jpg) + +The diagram illustrates the four main domains involved in IPTV service provision, connected by a horizontal line. Each domain is represented by a rounded rectangular box containing an icon and a label: + +- End-user:** Contains an icon of a computer monitor and a set-top box. +- Network provider:** Contains an icon of a network router and a server rack. +- Service provider:** Contains an icon of a server rack and a database cylinder. +- Content provider:** Contains an icon of a globe and a film strip. + +The horizontal line connects the four domains, indicating their interdependence. The labels 'End-user', 'Network provider', 'Service provider', and 'Content provider' are positioned below their respective boxes. + +Diagram of IPTV domains showing four interconnected components: End-user, Network provider, Service provider, and Content provider. + +Y.1901(09)\_F1-1 + +**Figure 1-1 – IPTV domains** + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the + +currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.1541] Recommendation ITU-T Y.1541 (2006), *Network performance objectives for IP-based services*. + +[ITU-T Y.1910] Recommendation ITU-T Y.1910 (2008), *IPTV functional architecture*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 aspect ratio** [b-ITU-T T.101]: The ratio of the width to the height of a rectangular area, such as the defined display area. + +**3.1.2 broadcast** [b-ITU-T M.60]: One-way transmission from one point to two or more other points. + +**3.1.3 content provider** [ITU-T Y.1910]: The entity that owns or is licensed to sell content or content assets. + +**3.1.4 elementary stream** [b-ITU-T H.222.0]: Generic term for either the coded video, the coded audio, or other coded bit stream in the PES packet. + +NOTE – PES stands for packetized elementary stream. + +**3.1.5 end-user** [ITU-T Y.1910]: The actual user of the products or services. + +NOTE – The end-user consumes the product or service. An end-user can optionally be a subscriber. + +**3.1.6 home network** [b-ITU-T H.622]: Home network is the collection of elements that process, manage, transport, and store information, thus enabling the connection and integration of multiple computing, control, monitoring, communication and entertainment devices in the home. + +**3.1.7 mobility** [b-ITU-T Q.1706]: The ability for the user or other mobile entities to communicate and access services irrespective of changes of the location or technical environment. + +**3.1.8 network provider** [ITU-T Y.1910]: The organization that maintains and operates the network components required for IPTV functionality. + +NOTE 1 – A network provider can optionally also act as service provider. + +NOTE 2 – Although considered as two separate entities, the service provider and the network provider can optionally be one organizational entity. + +**3.1.9 service information** [b-ITU-T J.200]: Data which describes programs and services. + +**3.1.10 service provider** [b-ITU-T M.1400]: A general reference to an operator that provides telecommunication services to customers and other users either on a tariff or contract basis. A service provider may or may not operate a network. A service provider may or may not be a customer of another service provider. + +NOTE – Typically, the service provider acquires or licenses content from content providers and packages this into a service that is consumed by the end-user. + +**3.1.11 subscriber** [b-ITU-T M.3050.1]: The subscriber is responsible for concluding contracts for the services subscribed to and for paying for these services. + +**3.1.12 subscription** [b-ITU-T Q.1741.3]: A subscription describes the commercial relationship between the subscriber and the service provider. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 accessibility feature:** An additional content component that is intended to assist people hindered in their ability to perceive an aspect of the main content. Examples: captions for the hard of hearing, subtitles in various languages, sign-language interpretation video and descriptive audio. + +**3.2.2 acquisition:** The process of obtaining content by the end-user. + +NOTE – For content with accessibility features, this means that the content will be available in a form that can be used by the end-user. + +**3.2.3 audio description:** This service provides a commentary describing the visual events pertinent to the content and augments the dialog in the content. + +NOTE – Audio description is primarily intended to assist users who are unable to see the video content clearly. The narrative passages fit between the dialogue and other significant audio content so as not to interfere with it. Ideally, the user can control the volume and spatial positioning of the audio or derive it from a separate output. + +**3.2.4 captions:** Captions provide a real-time on-screen transcript of the dialogue as well as any sound effects. + +NOTE – This service can be provided by means of either textual or graphical supplementary content. The captions and the dialogue are usually in the same language. The service is primarily to assist users having difficulty hearing the sound. Ideally, users may have some control over the position and size of the presentation. Different speakers are distinguished, usually by different colours. + +**3.2.5 channel:** Content formatted as a selectable set of data and transported as part of a data stream. + +**3.2.6 channel changing:** The act of changing from one channel to another. + +**3.2.7 client personal video recorder (cPVR):** Same as PVR except that the recording device is located at the end-user's premises. + +**3.2.8 content protection:** Ensuring that an end-user can only use the content they have already acquired in accordance with the rights that they have been granted by the rights holder. + +**3.2.9 content segment:** A continuous portion of a piece of content, for example, a single topic in a news programme. + +**3.2.10 content tracing:** A process to enable the identification of the (arbitrary) origin of content, and/or the responsible party (e.g., the end-user), to facilitate subsequent investigation in the event of unauthorized content copying or distribution. + +NOTE – Content tracing information may be attached to content either as metadata, or as a forensic watermark. + +**3.2.11 delivery network gateway functions (DNGF):** Set of functions that mediate between the network and service provider domains and the IPTV terminal function (ITF). + +NOTE – A device implementing the DNGF is commonly referred to as the residential gateway (RG) or delivery network gateway (DNG). + +**3.2.12 delivery network gateway (DNG):** A device implementing the DNGF. + +NOTE – DNG also is commonly referred to as the residential gateway (RG). + +**3.2.13 electronic program guide (EPG):** A structured set of data, intended to provide information on available content that may be accessed by end-users. + +**3.2.14 end system:** A single or set of consumer devices that support IPTV services (e.g., delivery network gateway, display). + +**3.2.15 Internet Protocol Television (IPTV):** Multimedia services such as television/video/audio/text/graphics/data delivered over IP-based networks managed to support the required level of QoS/QoE, security, interactivity and reliability. + +**3.2.16 IPTV terminal function (ITF):** The end-user function(s) associated with a) receiving and responding to network control channel messages regarding session set-up, maintenance, and tear-down, and b) receiving the content of an IP transport from the network and rendering. + +**3.2.17 IPTV terminal device:** A terminal device which has ITF functionality, e.g., a STB. + +**3.2.18 linear TV:** A television service in which a continuous stream flows in real time from the service provider to the terminal device and where the user cannot control the temporal order in which contents are viewed. + +**3.2.19 metadata:** Structured, encoded data that describe characteristics of information-bearing entities to aid in the identification, discovery, assessment, and management of the described entities. + +NOTE – EPG metadata has many applications and may vary in depth from merely identifying the content package title or information to populate an EPG to providing a complete index of different scenes in a movie or providing business rules detailing how the content package may be displayed, copied, or sold. + +**3.2.20 middleware:** A layer of software between applications and resources, which consists of a set of service enablers that allow multiple functionalities running on one or more devices in an IPTV system to interact across a network. + +**3.2.21 multi-channel audio:** Audio signal with more than two channels. + +**3.2.22 network personal video recorder (nPVR):** Same as PVR except that the recording device is located at the service provider premises. + +**3.2.23 package:** A collection of content components that in some combination (either all or a subset) together provide an end-user experience and are intended to be used together. + +NOTE – A package can be instantiated with or without audiovisual content depending on scenarios, in which audiovisual content and package can be tightly associated or can be loosely coupled enough to be handled (generation, delivery, consumption) independently. + +**3.2.24 pay per view (PPV):** A TV service where a particular program event (e.g., a hockey match) can be bought separately from any package or subscription. The transmission of the program event is made at the same time to everyone who has ordered it. + +**3.2.25 personal video recorder (PVR):** An end-user controlled device that records, stores and plays back multimedia content. PVR is also known as personal digital recorder (PDR). + +**3.2.26 picture-in-picture:** One program is displayed on the full-seized IPTV TD screen, one or more other programs are simultaneously displayed in inset windows. + +**3.2.27 place shifting:** A function which allows subscribers to see the content without placing limitations. + +**3.2.28 push VoD:** A TV service where multimedia content is packaged and delivered at the discretion of the service provider to the end-user's storage system. + +**3.2.29 random access point:** A point in the content from which playback can begin. + +NOTE – For example, in MPEG encoding, this would be an I-frame, as opposed to a P-frame or B-frame. + +**3.2.30 rights:** One or more legal or business entitlements to use or employ content, e.g., to view, record, redistribute content. + +**3.2.31 re-transmission broadcast service:** A service in which content is provided from various broadcasting environments including, but not limited to, terrestrial, satellite and cable, and re-transmitted into IP network simultaneously or otherwise. + +**3.2.32 SCP:** A combination of service protection and content protection. + +**3.2.33 service:** A set of functionalities enabled by a provider for end-users. + +NOTE – Example provisioned functionalities include IP connectivity with managed quality of service, video-on-demand. + +**3.2.34 service protection:** Ensuring that an end-user can only acquire a service, and, by extension, the content contained therein, that he or she is entitled to receive. + +**3.2.35 sign language interpretation:** A video service showing an interpreter who uses hand gestures and facial expression to convey the main audio content and dialogue to sign language and lip readers. + +NOTE – This service comes in the form of supplementary video content, usually smaller in image size to that of the main video content. Ideally, the user can control the position, size and background properties (solid or transparent and the colour, if solid). It is of sufficient temporal and spatial quality to enable sign reading and lip reading. + +**3.2.36 skin:** A customized graphical appearance (the visual aspect of a graphical user interface (GUI)) applied to certain software and websites for aesthetic reasons or ease of use. + +**3.2.37 subtitles:** Subtitles provide a real-time on-screen transcript of dialogue for the purpose of language translation or to clarify speech that is unclear. + +NOTE – This service can be provided by means of either textual or graphical supplementary content. The subtitles and the dialogue are usually in different languages. The assumed audience for subtitling is hearing people who do not understand the language of the dialogue. + +**3.2.38 supplementary content:** Video, audio, textual, graphical or other forms of content that can be optionally accessed by the end-user and rendered by the terminal. It has the following features: + +- It only works in conjunction with the main content. +- It is synchronous with the main content. + +**3.2.39 terminal device (TD):** An end-user device which typically presents and/or processes the content, such as a personal computer, a computer peripheral, a mobile device, a TV set, a monitor, a VoIP terminal or an audiovisual media player. + +**3.2.40 terminal device protection:** Ensuring that a terminal device employed by an end-user in the reception of a service can reliably and securely use content while enforcing the rights of use granted for that content, and while physically and electronically protecting the integrity of the terminal device, and the confidentiality of the content and critical security parameters not otherwise protected by encryption or watermarking. + +**3.2.41 third party metadata:** Metadata provided by an entity (which may be a person) not directly tied to the primary service provider by whom the end-user is being served. + +**3.2.42 time shifting:** A function which allows playback of content after its initial transmission. + +**3.2.43 trick mode functionality:** The ability to pause, rewind or forward stored content. + +**3.2.44 TV with trick mode:** TV service with trick mode functionality. + +**3.2.45 universal design:** It is the design of the products and environments to be useable by all people, to the greatest extent possible by including accessibility features in the original design to prevent the need for adaptation after deployment. + +NOTE – The intent of universal design is to simplify life for everyone by making products, communications, and the built environment more usable by as many people as possible at little or no extra cost. Universal design benefits people of all ages and abilities. + +**3.2.46 usage environment description:** The usage environment description includes the description of end-user characteristics, terminal capabilities, network characteristics and natural environment characteristics. + +NOTE – These various dimensions of the usage environment description, which originate from end-users, can be used for accommodating, for example, the adaptation of contents for transmission, storage and consumption. + +**3.2.47 user privacy protection:** Ensuring that information considered to be private (or confidential) by an end-user be maintained in confidence, while remaining subject to mandatory disclosure due to legal processes. + +**3.2.48 video-on-demand (VoD):** A service in which the end-user can, on demand, select and view a video content and where the end-user can control the temporal order in which the video content is viewed (e.g., the ability to start the viewing, pause, fast forward, rewind, etc.). + +NOTE – The viewing may occur some time after the selection of the video content. + +**3.2.49 wireless network characteristics:** The characteristics of a wireless network expressed in terms of the current available bandwidth, packet loss and possibly other wireless network information parameters for a specific wireless link type, e.g., WLAN, cellular, WPAN or WMAN. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|-------------------------------------------------------------| +| AES | Advanced Encryption Standard | +| API | Application Programming Interface | +| CBC | Cipher Block Chaining | +| cPVR | Client PVR | +| DNG | Delivery Network Gateway | +| DNGF | Delivery Network Gateway Function | +| DoS | Denial of Service | +| DRM | Digital Rights Management | +| DTS | Digital Theatre System | +| DVD | Digital Versatile Disc | +| EAN | Emergency Alert Notification | +| ECB | Electronic CodeBook | +| ECM | Entitlement Control Message | +| EMM | Entitlement Management Message | +| EPG | Electronic Program Guide | +| FCAPS | Fault, Configuration, Accounting, Performance, and Security | +| FTA | Free To Air | +| GUI | Graphical User Interface | +| HD | High Definition | +| HE-AAC | High-Efficiency Advanced Audio Coding | +| HTML | HyperText Markup Language | +| ID | Identifier | +| IP | Internet Protocol | +| IPTV | Internet Protocol Television | + +| | | +|---------|----------------------------------------------| +| IPTV TD | Internet Protocol Television Terminal Device | +| IPv4 | Internet Protocol version 4 | +| IPv6 | Internet Protocol version 6 | +| ISDN | Integrated Services Digital Network | +| ITF | IPTV Terminal Function | +| LAN | Local Area Network | +| MIKEY | Multimedia Internet KEYing | +| MPEG | Moving Picture Experts Group | +| n/cPVR | Network and Client PVR | +| NAPT | Network Address Port Translation | +| NAT | Network Address Translation | +| NGN | Next Generation Network | +| nPVR | Network PVR | +| OAMP | Operate, Administer, Maintain, and Provision | +| OFB | Output FeedBack | +| OS | Operating System | +| PDA | Personal Digital Assistant | +| PDR | Personal Digital Recorder | +| PES | Packetized Elementary Stream | +| PPV | Pay Per View | +| PSTN | Public Switched Telephone Network | +| PVR | Personal Video Recorder | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| QoSM | Quality of Service Measurement | +| RACF | Resource and Admission Control Function | +| RG | Residential Gateway | +| SCP | Service and Content Protection | +| SD | Standard Definition | +| SI | Service Information | +| SIM | Subscriber Identification Module | +| STB | Set Top Box | +| TD | Terminal Device | +| TS | Transport Stream | +| TV | Television | +| UCC | User Created Content | +| UI | User Interface | + +| | | +|------|------------------------------------------------------------| +| UMF | Uniform Media Formats | +| URL | Uniform Resource Locator | +| USB | Universal Serial Bus | +| VBI | Vertical Blank Interval | +| VoD | Video-on-Demand | +| WAN | Wide Area Network | +| WLAN | Wireless Local Area Network | +| WMAN | Wireless Metropolitan Area Network | +| WPAN | Wireless Personal Area Network | +| xDSL | Any of the various types of Digital Subscriber Lines (DSL) | +| XML | eXtensible Mark-up Language | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "is not recommended" indicate a requirement which is not recommended but which is not specifically prohibited. Thus, conformance with this Recommendation can still be claimed even if this requirement is present. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +Requirements are identified using the following conventions: + +- Requirement number xx in subclause n.m is of the form R n.m-xx; +- Recommended requirement number yy in subclause n.m is of the form RR n.m-yy; +- Optional requirement number zz in subclause n.m is of the form OR n.m-zz. + +NOTE – Future issues of this Recommendation should never reuse previously assigned numbers. + +# 6 Requirements + +## 6.1 General aspects + +### General requirements + +- R 6.1-01: The IPTV architecture is required to support multiple content resolutions and multiple content aspect ratios. +- R 6.1-02: The IPTV architecture is required to allow for a two-way communication between the end-user and the service provider. + +- R 6.1-03: The IPTV architecture is required to support mechanisms to support on demand services. +NOTE 1 – Further information regarding "on Demand service" can be found in [b-ITU-T Y-Sup.5]. +- R 6.1-04: The IPTV architecture is required to support navigation capability for IPTV content. +- R 6.1-05: The IPTV architecture is required to support the ability of the ITF to display and allow user selection of program, content, and service descriptions. +- R 6.1-06: The IPTV architecture is required to support service selection mechanisms. + +NOTE 2 – Further information regarding service selection can be found in clauses 6.6.5 and 6.6.6. + +### General recommendations + +- RR 6.1-01: The IPTV architecture is recommended to support content segmentation. +- RR 6.1-02: The IPTV architecture is recommended to ensure content and segment data integrity. +- RR 6.1-03: The IPTV architecture is recommended to support a mechanism for obtaining information pertaining to terminal device capabilities. +- RR 6.1-04: The IPTV architecture is recommended to present an open interface for 3rd party applications to use the capabilities and resources of the service and network functional components. +- RR 6.1-05: The IPTV architecture is recommended to support 3rd parties metadata (e.g., content recommendations) in addition to metadata from service/content providers. +- RR 6.1-06: The IPTV architecture is recommended to support the display of multiple supplementary video streams and layouts. +- RR 6.1-07: The IPTV architecture is recommended to support various encapsulation types including MPEG-2 TS. +- RR 6.1-08: The IPTV architecture is recommended to allow the delivery of IPTV services to any type of IPTV terminal device, e.g., mobile phone, PDA, set top box. +- RR 6.1-09: The IPTV architecture is recommended to support functions in order to adapt dynamically to changes in wireless networks characteristics when the service is delivered over a mobile network, e.g., bandwidth, packet loss rate. +- RR 6.1-10: The IPTV architecture is recommended to support viewership data tracking while protecting the user's privacy as required in clause 6.3.6. +NOTE 3 – For example, this tracking may allow content provider and service provider to provide audience rating service, track popular programs, craft and target specific advertisements to particular groups of users demonstrating certain surfing patterns. +- RR 6.1-11: The IPTV architecture is recommended, if viewership data tracking is supported, to have the ability to configure it on a per user basis, a per content basis and a combination of both. +- RR 6.1-12: The IPTV architecture is recommended to support (remote) software upgrade and (e.g., configuration data) download. +- RR 6.1-13: The IPTV architecture is recommended to support XML encoding for application signalling. +- RR 6.1-14: The IPTV architecture is recommended to have a means to allow content to be seen only by the appropriate audience. This means it may be triggered by the service provider and/or the user. + +- RR 6.1-15: The IPTV architecture is recommended to support mechanisms for allowing the integration of other telecommunication services (e.g., instant messaging, telephony) into IPTV services. + +### General options + +- OR 6.1-01: The IPTV architecture can optionally support separate content and segment metadata storage and distribution. +- OR 6.1-02: The IPTV architecture can optionally support the replacement of the content caching and distribution algorithm. +- OR 6.1-03: The IPTV architecture can optionally support advertisement insertion. +- OR 6.1-04: The IPTV architecture can optionally support the time-shift TV functionality. +- OR 6.1-05: The IPTV architecture can optionally support usage environment description. +- OR 6.1-06: The IPTV architecture can optionally support content presentation adaptation to the usage environment. + +### **6.1.1 Service offering** + +#### Architecture requirements + +- R 6.1.1-01: The IPTV architecture is required to support the ability for the service provider to prevent the sending of bulk unsolicited content to end-users. +- R 6.1.1-02: The IPTV architecture is required to support interactive services such as educational applications, entertainment applications (such as games), communications services (such as mail, chat, and messaging), and information services (such as stock and weather services). +- R 6.1.1-03: The IPTV architecture is required to support mechanisms for the delivery of interactive and downloadable contents including games. +- R 6.1.1-04: The IPTV architecture is required to support mechanisms to block transmission of content to specified geographical areas whenever blackout requirements are applicable. +- R 6.1.1-05: The IPTV architecture is required to support the service provider to be able to push content onto the terminal device (content requested or not by the end-user). +- R 6.1.1-06: The IPTV architecture, if cPVR is supported, is required to support the service provider to be able to insert additional contents in content played from the cPVR. + +#### Architecture recommendations + +- RR 6.1.1-01: The IPTV architecture is recommended to allow seamless IPTV service provision and operation across different networks supporting IPTV services. +- RR 6.1.1-02: The IPTV architecture, if retransmission broadcast service is supported, is recommended to support geographical regionalization of content. +- RR 6.1.1-03: The IPTV architecture is recommended to support mechanisms for the receipt of content from different sources, e.g., satellite, dedicated IP connections. +- RR 6.1.1-04: The IPTV architecture is recommended to support mechanisms for the content provider to perform content management such as uploading content or deleting content or modifying the relevant attributes of content. +- RR 6.1.1-05: The IPTV architecture, if retransmission broadcast service is supported, is recommended to provide comparable quality of experience to the end-user as the direct reception. +- RR 6.1.1-06: The IPTV architecture is recommended to support real-time encoded and pre-encoded stored programs. + +#### Architecture options + +- OR 6.1.1-01: The IPTV architecture can optionally support a cPVR function. +- OR 6.1.1-02: The IPTV architecture can optionally support a nPVR function. +NOTE – The nPVR function may be subject to national regulation as far as service and content protection aspects are concerned. +- OR 6.1.1-03: The IPTV architecture can optionally support means for the content provider to define a set of language options for its content. +- OR 6.1.1-04: The IPTV architecture can optionally support mechanisms to capture and utilize user profiles and preferences to target/restrict content items. +- OR 6.1.1-05: The IPTV architecture can optionally convert video content from its stored format into one that is compatible with that required to be displayed on the devices implementing the ITF. +- OR 6.1.1-06: The IPTV architecture can optionally support mechanisms that allow private entities, e.g., residential users, to act as content providers for the purpose of sharing their own content. +- OR 6.1.1-07: The IPTV architecture can optionally support the ability to trace the source of incoming content, e.g., messages that have been a cause for complaint by an end-user. +- OR 6.1.1-08: The IPTV architecture can optionally support for the insertion of content into VoD content. +- OR 6.1.1-09: The IPTV architecture can optionally have the capability to support insertion of appropriately scoped advertisements (e.g., geographically or demographically). +- OR 6.1.1-10: The IPTV architecture can optionally support mechanisms for targeted advertising (e.g., based on user profile preferences). + +### **6.1.2 Accounting and charging** + +#### Architecture requirements + +- R 6.1.2-01: The IPTV architecture is required to support IPTV services accounting and charging. This includes charging through various charging methods (such as prepay, post pay, advice of charge, and third-party charging). +- R 6.1.2-02: The IPTV architecture is required to not preclude the use of NGN charging architectures for all IPTV services accounting and charging functions. +- R 6.1.2-03: The IPTV architecture is required to support mechanisms for the collection of data for accounting and reporting purposes, partner settlements, and reconciliation of end-user usage, such as service subscriptions, purchases, and transactions. +- R 6.1.2-04: The IPTV architecture is required to include capabilities for transferring settlement information between service providers. +- R 6.1.2-05: The IPTV architecture is required to support the acquisition of appropriate VoD accounting data, to fulfil licensing agreements. +- R 6.1.2-06: The IPTV architecture is required to support the service provider to be able to authenticate, authorize and charge the subscriber. + +#### Architecture recommendations + +- RR 6.1.2-01: The IPTV architecture is recommended to allow service providers to integrate IPTV services accounting and charging functions with accounting and charging components that can be used across multiple NGN services and applications. + +### 6.1.3 Service consumption + +#### Architecture requirements + +- R 6.1.3-01: The IPTV architecture is required to support a means for the service provider to provide an integrated presentation of content received at the ITF via out-of-band (to IP) delivery methods and via IP networks, i.e., hybrid methods. +- R 6.1.3-02: The IPTV architecture is required to support mechanisms so that the end-user can filter unwanted contents. +- R 6.1.3-03: The IPTV architecture is required to support the end-user with the ability to move between a free-to-air (FTA) and a pay per view (PPV) environment. +- R 6.1.3-04: The IPTV architecture is required to support the end-user with the ability to choose a preferred language option (audio, subtitles, captioning, supplementary video and supplementary descriptive audio) from various languages that the content provider pre-defined and the service provider delivered. +- R 6.1.3-05: The IPTV architecture is required to support the ability for the end-user to turn on and off the audio, the subtitles, captioning, supplementary video, and supplementary descriptive audio at anytime without altering any of the default setting options. +- R 6.1.3-06: The IPTV architecture is required to support the capability to store and retrieve multiple profiles containing sets of user interface preference settings and language settings so that it will be easy to switch to different personal preferences for different viewers. + +#### Architecture recommendations + +- RR 6.1.3-01: The IPTV architecture is recommended to support the capability for the subscriber to query his or her usage detail record lists. +- RR 6.1.3-02: The IPTV architecture is recommended to support the ability for the end-user to independently select a default language for each of the following: audio, subtitle, captioning, supplementary video and supplementary descriptive audio. +- RR 6.1.3-03: The IPTV architecture is recommended to support the capability for the end-user to switch audio, subtitles, captioning, supplementary video, and supplementary descriptive audio back and forth when the user is watching the program without having to change his or her preferred language settings. +- RR 6.1.3-04: The IPTV architecture is recommended to allow the end-user, according to his or her rights, to replace an IPTV terminal device without inherently affecting his or her rights to consume content. + +#### Architecture options + +- OR 6.1.3-01: If the end-user's language option cannot match the predefined content languages, the IPTV architecture is recommended to support the capability for the IPTV terminal device to present the content with default audio, default subtitles, default captioning, default supplementary video and default supplementary descriptive audio. + +### 6.1.4 Miscellaneous + +#### Architecture requirements + +- R 6.1.4-01: The IPTV architecture is required to support a means to present the ITF with the time of day reference. +- R 6.1.4-02: The IPTV architecture is required to support mechanisms for the service provider to operate, administer, maintain, and provision (OAMP) IPTV devices. +- R 6.1.4-03: The IPTV architecture is required to facilitate the ability of the service provider to manage the IPTV services with regard to fault, configuration, accounting, performance, and security (FCAPS). + +- R 6.1.4-04: The IPTV architecture is required to support mechanisms that allow IPTV services delivery from a 3rd party provider as defined in clause 3. +- R 6.1.4-05: The IPTV architecture is required to support an extensible method for the service provider to query for the ITF's capabilities and status. +- R 6.1.4-06: The IPTV architecture is required to support maintaining accurate time-based control for synchronization, e.g., lip-sync with video as judged by the general viewer at all times, pause and resume, random access. + +#### Architecture recommendations + +- RR 6.1.4-01: The IPTV architecture is recommended to allow content usage statistics to be collected. +- RR 6.1.4-02: The IPTV architecture is recommended to support mechanisms for the service provider to provide the functions for service usage and the prevention of the service abuse. +- RR 6.1.4-03: The IPTV architecture is recommended to support capabilities for the end-user mobility allowing access to IPTV services by the end-user either in motion or not. +- RR 6.1.4-04: The IPTV architecture is recommended to support capabilities for exchange of IPTV services related information between different IPTV service providers. The IPTV service related information can optionally include the source information, channel information, service start/end time, and QoS information. +- RR 6.1.4-05: The IPTV architecture is recommended not to put any constraint on latency sensitive services. + +#### Architecture options + +- OR 6.1.4-01: The IPTV architecture can optionally support a time reference that is traceable to national time standards. + +## **6.2 QoS and performance aspects** + +### Architecture requirements + +- R 6.2-01: The IPTV architecture is required to support a framework that identifies the components and measurement points for quality of service measurement (QoSM). +- R 6.2-02: The IPTV architecture is required to support capabilities for management of capacity on service and network elements. +- R 6.2-03: The IPTV architecture is required to support a mechanism that allows for service-based transport QoS to be managed across multiple network provider domains. +- R 6.2-04: The network that supports IPTV is required to support IP QoS classes and to satisfy associated performance requirements specified in [ITU-T Y.1541]. + +NOTE 1 – [ITU-T Y.1541] recommends the selection of relevant QoS classes based on application requirements. + +### Architecture recommendations + +- RR 6.2-01: The IPTV architecture is recommended to support consistent QoS for the whole period of the IPTV service operation. +- RR 6.2-02: The IPTV architecture is recommended to support mechanisms by which network operators can integrate IPTV QoS management functions into a common QoS management framework with other services and applications. +- RR 6.2-03: The IPTV architecture is recommended to rely upon any relevant QoS capabilities (e.g., RACF [b-ITU-T Y.2111] and DiffServ [b-IETF RFC 2475]) when integrating IPTV services into NGN-based environments. + +- RR 6.2-04: The IPTV architecture is recommended to support transmission of video or data with sufficient quality for perception of sign language interpretation, including lip reading. This requires the transmission of a sufficient number of frames per second and sufficient spatial resolution to reproduce details of the signing person's hands, face, lips, eyes and body [b-ITU-T H-Sup.1]. + +NOTE 2 – Perception of sign language interpretation depends on actual terminal device capabilities. + +### Architecture options + +- OR 6.2-01: The IPTV architecture can optionally support the delivery of multiple services over the common IP transport with manageable IP quality of service (QoS). +- NOTE 3 – Services can be delivered by multiple service providers or by a single provider. +- OR 6.2-02: The IPTV architecture can optionally support mechanisms for QoE/QoS parameters adjustment due to changes of content characteristics in a channel. + - OR 6.2-03: The IPTV architecture can optionally support a content delivery error recovery mechanism to achieve required level of QoE/QoS for unicast/multicast content delivery. + +### **6.2.1 Quality of experience** + +#### Architecture requirements + +- R 6.2.1-01: The IPTV architecture is required to support mechanisms for supporting appropriate resiliency in the service provider infrastructure to maintain high QoE. +- R 6.2.1-02: The IPTV architecture is required to allow the delivery of IPTV services with defined quality of experience (QoE) for the IPTV end-user. + +#### Architecture recommendations + +- RR 6.2.1-01: The IPTV architecture is recommended to support appropriate QoE for end-users eligible for uploading content to the service provider's network. + - RR 6.2.1-02: The IPTV architecture is recommended to support means to provide channel changing times with sufficient QoE. + - RR 6.2.1-03: The IPTV architecture is recommended to support capabilities to monitor audio and video quality. +- NOTE – Further information regarding IPTV monitoring points can be found in [b-ITU-T G.1081]. +- RR 6.2.1-04: The IPTV architecture is recommended to support navigation of EPG menu items with sufficient QoE. + +### **6.2.2 Traffic management** + +#### Architecture requirements + +- R 6.2.2-01: The IPTV architecture is required to support traffic management mechanisms for the differential treatment of IPTV traffic. +- R 6.2.2-02: The IPTV architecture is required to support the ability to configure QoS rules at the DNGF that govern traffic mapping (upstream or downstream) for the different IPTV services. +- R 6.2.2-03: The IPTV architecture is required to support a mechanism for assigning IPTV traffic priorities. +- R 6.2.2-04: The IPTV architecture is required to support the relevant mechanisms for IPTV traffic identification, classification and marking, policing and conditioning, scheduling and discarding. + +#### Architecture recommendations + +- RR 6.2.2-01: The IPTV architecture is recommended to support mechanisms for dynamic IPTV traffic load balancing so as to dynamically accommodate with the network load and congestion conditions at any given time, enabling delivery of IPTV services to end-users with the required level of quality. +- RR 6.2.2-02: The IPTV architecture is recommended to offer admission control mechanisms for IPTV traffic, including those generated by end-users, over the access and core network. + +## **6.3 Security aspects including service and content protection** + +### **6.3.1 General IPTV security** + +#### Architecture requirements + +- R 6.3.1-01: The IPTV architecture is required to support content protection as defined in clause 3. +- R 6.3.1-02: The IPTV architecture is prohibited from precluding support for service and content protection interoperability where only authorized user(s) or device(s) are allowed to use the IPTV content, even after content is transferred to another security system. + +#### Architecture options + +- OR 6.3.1-01: The IPTV architecture can optionally support service and content protection (SCP) of end-user shared content. + +### **6.3.2 Service and content protection** + +#### Architecture requirements + +- R 6.3.2-01: The IPTV architecture is required to support associating content with protection and content management metadata to permit the expression of its rights of usage. +- R 6.3.2-02: The IPTV architecture is required to support content usage rights metadata that distinguish among different rights of use including rendering (viewing), storage, (re)distribution, and combinations thereof. +- R 6.3.2-03: The IPTV architecture is required to support protection of content that is distributed simultaneously to a very high number of subscribers (scalability). +- R 6.3.2-04: The IPTV architecture is required to support protection of content that is transferred over multicast and/or over unicast streams. +- R 6.3.2-05: The IPTV architecture is required to support the securing of stored content according to granted usage. +- R 6.3.2-06: The IPTV architecture is prohibited from precluding support for service and content protection interoperability so as to keep identification information to identify IPTV content consistently, no matter which identification schemes are used and no matter which security system the content is transferred to. +- R 6.3.2-07: The IPTV architecture is prohibited from precluding support for service and content protection interoperability whereby only trusted devices have granted rights. +- R 6.3.2-08: The IPTV architecture is prohibited from precluding support for service and content protection interoperability so as to provide a secure environment for exchanging service and content protection interoperability data, e.g., authentication information, metadata, key information. +- R 6.3.2-09: The IPTV architecture is prohibited from precluding support for service and content protection interoperability such that interoperability is not dependent on specific software or hardware. + +- R 6.3.2-10: The IPTV architecture is prohibited from requiring service and content protection mechanisms of either side of two interoperating SCP schemes to be openly specified to achieve interoperability. +- R 6.3.2-11: The IPTV architecture is prohibited from precluding support for service and content protection interoperability which is flexible and extensible to support various business models. +- R 6.3.2-12: The IPTV architecture is prohibited from precluding support for service and content protection interoperability so as to maintain transparency to users. +- R 6.3.2-13: The IPTV architecture is prohibited from precluding support for multiple content and service protection mechanisms regardless of specific hardware or software requirements. + +#### Architecture recommendations + +- RR 6.3.2-01: If IPTV content employs a content tracing technology, then it is recommended that the tracing technology be imperceptible. +- RR 6.3.2-02: The IPTV architecture is recommended to support service and content protection interoperability so as to not reduce the level of security when content is transferred to another security system. +- RR 6.3.2-03: The IPTV architecture is recommended to support service and content protection interoperability among multiple security systems which use different security mechanisms, where the purpose is, respectively, to support seamless time shifting (subscribers can store the content and retrieve it later) and place shifting (subscribers can see the content anywhere). +- RR 6.3.2-04: If IPTV employs a content tracing technology based on metadata for watermarking facilitation, it is recommended to embed relevant metadata in the content elementary stream using such provisions for "user data" as are provided in the specific codec. + +NOTE 1 – See [b-ITU-T H.262] for information on "user data". + +#### Architecture options + +- OR 6.3.2-01: The IPTV architecture can optionally support the inclusion of content tracing information. +NOTE 2 – This content tracing information may contain the operator ID, content owner ID, IPTV terminal device ID, and other information. +- OR 6.3.2-02: The IPTV architecture can optionally support robust content tracing for offline (non real-time) content (e.g., VoD content). +- OR 6.3.2-03: The IPTV architecture can optionally support robust content tracing for real-time content (e.g., broadcast content). +- OR 6.3.2-04: The IPTV architecture can optionally support a means for conveyance of content tracing information (e.g., watermark facilitation metadata). +NOTE 3 – Such provision may be made by the selection of appropriate standard profiles or by extensions to the existing standards. +- OR 6.3.2-05: The IPTV architecture can optionally support the application of content tracing technology within the output of an IPTV terminal device for the purpose of uniquely identifying a session (e.g., channel, time/date), IPTV terminal device and/or network operator. +NOTE 4 – Content tracing information optionally includes visible and invisible information. +- OR 6.3.2-06: The IPTV architecture can optionally allow the retrieval of all the content tracing information from the content. + +#### 6.3.2.1 IPTV scrambling algorithms + +##### Scrambling algorithm requirements + +- R 6.3.2.1-01: Scrambling algorithms for broadcast stream are required to support the periodic update of necessary cryptographic keys. +- R 6.3.2.1-02: Scrambling algorithms for IPTV are required to be built using publicly available and standardized cryptographic algorithms. + +##### Scrambling algorithm recommendations + +- RR 6.3.2.1-01: Scrambling algorithms for IPTV are recommended to have sufficiently large key entropy to protect the content from crypto-analysis (e.g., at least 128 bits for the AES symmetric algorithms). +- RR 6.3.2.1-02: IPTV architecture is recommended to not preclude support of more than one scrambling scheme. +- RR 6.3.2.1-03: Scrambling algorithms for IPTV are recommended to support updatable cryptographic parameters (e.g., key length, crypto periods, etc.) or cryptographic mode (e.g., CBC, OFB, ECB, etc.). + +###### Scrambling algorithm options + +- OR 6.3.2.1-01: Scrambling algorithms for IPTV can optionally apply cryptographic algorithms of different security strengths depending on the content value. + +### 6.3.3 Service security + +#### Architecture requirements + +- R 6.3.3-01: The IPTV architecture is required to support service protection, as defined in clause 3. +- R 6.3.3-02: The IPTV architecture is required to support authorization and authentication of end-user. +NOTE – End-user may be subscriber. +- R 6.3.3-03: The IPTV architecture is required to have the ability to use standard key management systems (e.g., MIKEY, EMM/ECM), to the extent that this is required for interoperability. +- R 6.3.3-04: The IPTV architecture is required to support the capability to update and query the SCP system concerning scrambling algorithms for IPTV and any other operator-selected scrambling algorithms. +- R 6.3.3-05: The IPTV architecture is required to support rights management that is independent of specific content formats or specifications. +- R 6.3.3-06: The IPTV architecture is required to support a mechanism for the secure delivery of rights and content access control information to the IPTV terminal devices. +- R 6.3.3-07: The IPTV architecture is required to support content usage control (e.g., re-play rights and content access control information). +- R 6.3.3-08: The IPTV architecture is required to support different modes of re-play rights and content access control information, e.g., limit on number of plays, time-limit on plays, restriction of fast forward or rewind. +- R 6.3.3-09: The IPTV architecture is required to support a mechanism for transmitting signalling messages securely between the SCP server-side functions and the SCP client-side functions. + +- R 6.3.3-10: The IPTV architecture is required to support a mechanism to allow for the confidentiality of signalling messages between the SCP server-side functions and the IPTV terminal device SCP client-side functions. +- R 6.3.3-11: The IPTV architecture is required to support a mechanism to allow for the authenticity of signalling messages between the SCP server-side functions and the IPTV terminal device SCP client-side functions. +- R 6.3.3-12: The IPTV architecture is required to support a mechanism to allow for the integrity of signalling messages between the SCP server-side functions and the IPTV terminal device SCP client-side functions. +- R 6.3.3-13: The IPTV architecture is required to support a mechanism to securely retrieve the SCP parameters (e.g., configuration, status) from IPTV terminal device. +- R 6.3.3-14: The IPTV architecture is required to support a mechanism to securely update the SCP parameters (e.g., configuration) of the IPTV terminal device. +- R 6.3.3-15: If the IPTV architecture employs a key management system, then the latter is required to be designed for scalability, reliability, and interoperability. +- R 6.3.3-16: The IPTV architecture is prohibited from precluding support for the installation and operation of multiple service protection solutions without any hardware replacement except removable devices (such as USB dongle and SIM cards). +- R 6.3.3-17: The IPTV architecture is prohibited from precluding support for an identification mechanism for available service protection solutions capable of satisfying related content protection requirements. +- R 6.3.3-18: The IPTV architecture is prohibited from precluding support for a SCP system discovery mechanism, such that whenever specific content requires a specific SCP system, the IPTV architecture may support a discovery mechanism and adapt to it. +- R 6.3.3-19: The IPTV architecture is prohibited from precluding support for a mechanism for the selection of a SCP system from the available SCP systems without any hardware replacement except removable devices. +- R 6.3.3-20: The IPTV architecture is prohibited from precluding support for secure downloading of a SCP system. The specific downloading can optionally depend on specific service protection requirements. +- R 6.3.3-21: The IPTV architecture is prohibited from precluding support for verification and authentication of the downloaded SCP system mechanisms. + +#### Architecture recommendations + +- RR 6.3.3-01: The IPTV architecture is recommended to support the capability for authenticating and authorizing end-users for content sharing services (e.g., content export and content redistribution), if content sharing is supported. +- RR 6.3.3-02: If the IPTV architecture employs a key management system, then a hierarchical key management scheme is recommended to be considered to support scalability. +- RR 6.3.3-03: If the IPTV architecture employs a key management system that uses a group key management protocol, then a hierarchical key management scheme and a key management algorithm alternative are recommended to be considered to support scalability. +- RR 6.3.3-04: If the IPTV architecture employs a key management system that uses short term keys, then it is recommended that the media path is provisioned in such a way that NAT traversal and bandwidth constraints do not limit the key exchange. + +- RR 6.3.3-05: The IPTV architecture is recommended to support the joint transmission of content and content tracing information such that the content and its respective content tracing information remain synchronized during transport. +- RR 6.3.3-06: The IPTV architecture is recommended to support at least the same degree of protection (for purposes of controlling unauthorized access) to content tracing information as it is applied to the corresponding traced content. +- RR 6.3.3-07: The IPTV architecture is recommended to enable content confidentiality. +- RR 6.3.3-08: The IPTV architecture is recommended to support a "blackout mechanism", that is a mechanism for limiting viewing-rights of certain programs to certain groups of subscribers (e.g., to block viewing by residents of a specific area (for example, this may be useful for sporting events)). + +#### Architecture options + +- OR 6.3.3-01: The IPTV architecture can optionally support the capability to turn on and off content tracing function with flexibility (e.g., based on time, event, content, channel). + +### **6.3.4 Network security** + +#### Architecture requirements + +- R 6.3.4-01: The IPTV architecture is required to support capabilities of mitigating DoS attacks. +- R 6.3.4-02: The IPTV architecture is required to support the provision of security measures to block illegal or unwanted traffic. +- R 6.3.4-03: The IPTV architecture is required to support the network operators' capability to prevent that the network topology and resources are visible to unauthorized entities. +- R 6.3.4-04: The IPTV architecture is required to be hardened against attacks on multicast capabilities. + +#### Architecture recommendations + +- RR 6.3.4-01: The multicast architecture is recommended to support the capability to authenticate a peer in the general or overlay (peer to peer) multicast environment. +- RR 6.3.4-02: To protect the home network from malicious or unauthorized access, the IPTV architecture is recommended to support the ability for the DNGF to establish a firewall, with multiple levels of security and appropriate application level gateways. +- RR 6.3.4-03: The IPTV architecture is recommended to support capabilities to use content label information to control content delivery. + +### **6.3.5 IPTV terminal device security** + +#### Architecture requirements + +- R 6.3.5-01: The IPTV architecture is required to support IPTV terminal device protection, as defined in clause 3. +- R 6.3.5-02: The IPTV architecture is required to support a means to authenticate IPTV terminal devices. +- R 6.3.5-03: The IPTV architecture is required to support physical tampering resistance for IPTV terminal devices. +- R 6.3.5-04: The IPTV architecture is required to support a means to detect when physical tampering has occurred for IPTV terminal devices. +- R 6.3.5-05: The IPTV architecture is required to support secure installation of the SCP operating code to IPTV terminal devices. + +- R 6.3.5-06: The IPTV architecture is required to support secure means for performing critical security enabling processes in IPTV terminal device, such as key management, content tracing, abortion of content playback in the event of a security related malfunction, detection of tampering, or other indication of misuse. +- R 6.3.5-07: The IPTV architecture is prohibited from precluding support of the interchange of content between an IPTV terminal device and other (physical or logical) devices provided that the usage granted for this content includes such an interchange. + +#### Architecture options + +- OR 6.3.5-01: The IPTV architecture can optionally provide physical protection (against probing or tampering of SCP function on the TD) of sensitive security enabling processes, as well as of critical data supporting those processes, and components involved in the processing, transmission and storage of any valued content in IPTV terminal device in case no logical protection (such as encryption or content tracing watermarks) is present. These processes include descrambling and content tracing. + +### **6.3.6 Subscriber security** + +#### Architecture requirements + +- R 6.3.6-01: The IPTV architecture is required to support user privacy protection, as defined in clause 3. +- R 6.3.6-02: The IPTV architecture is required to support a mechanism to allow the IPTV terminal device SCP client-side functions to authenticate the SCP server-side functions. +- R 6.3.6-03: The IPTV architecture is required to allow a subscriber to set an access control mechanism (e.g., a password) in order to restrict access to content and/or services. +- R 6.3.6-04: The IPTV architecture is required to be capable of indicating why access to content and/or services has been denied to the end-user. +- R 6.3.6-05: The IPTV architecture is required to allow for a mechanism for a subscriber to request extensions (e.g., more plays, more play-time) to digital rights associated with specific content instances. +- R 6.3.6-06: The IPTV architecture is required to support the ability to ask for the end-user's permission when a non-anonymous use of the end-user privacy related information is involved. + +#### Architecture recommendations + +- RR 6.3.6-01: The IPTV architecture is recommended to support a mechanism for parental rating, i.e., facilities for rating programs according to content. +- RR 6.3.6-02: The IPTV architecture is recommended to support mechanisms to support the enforcement of parental controls in a manner consistent with ratings defined by each country. +- RR 6.3.6-03: The IPTV architecture is recommended to support mechanisms for the service provider to support the enforcement of parental controls on a user profile basis or a policy basis, e.g., time-limit. + +## **6.4 Network related aspects** + +#### Architecture recommendations + +- RR 6.4-01: The IPTV architecture is recommended to support the ability of both multicasting and unicasting transmission schemes. + +- RR 6.4-02: The IPTV architecture is recommended to support content delivery in several yet optional versions to be selected according to the capabilities of the IPTV terminal device receiving the content (e.g., access rate, resolution, supported formats). +- RR 6.4-03: The IPTV architecture is recommended to support the ability to identify wireless network characteristics information sent by the IPTV terminal device. + +### Architecture options + +- OR 6.4-01: The IPTV architecture can optionally support signalling capabilities for transmitting bandwidth related information. +- OR 6.4-02: The IPTV architecture can optionally use the bandwidth related information to determine the appropriate content coding means to deliver the content. + +### **6.4.1 Network** + +#### Architecture requirements + +- R 6.4.1-01: The IPTV architecture is required to support the management and enforcement of the service providers' transport policies by the network provider. +- R 6.4.1-02: The IPTV architecture is required to support a mechanism to appropriately distinguish different forms of traffic, e.g., data and voice. +- R 6.4.1-03: The IPTV architecture is required to support a mechanism for NAT traversal. +- R 6.4.1-04: The IPTV architecture is required to support a mechanism for assigning IP addresses and IP subnet masks to an attaching DNG. + +#### Architecture recommendations + +- RR 6.4.1-01: The IPTV architecture is recommended to support mechanisms for accessing and obtaining end-user location information. +- RR 6.4.1-02: The IPTV architecture is recommended to allow the delivery of IPTV services over different access networks (e.g., cable, optical, xDSL, wireless). +- RR 6.4.1-03: The IPTV architecture is recommended to support IPv4 and IPv6. +- RR 6.4.1-04: The IPTV architecture is recommended to support both static and dynamic address allocation, numbering and naming schemes. + +### **6.4.2 Multicast distribution** + +#### Architecture requirements + +- R 6.4.2-01: The IPTV architecture is required to support multicast means of communication to all end-users. +- R 6.4.2-02: The IPTV architecture is required to allow the service provider to utilize the network providers' multicast delivery capabilities. + +#### Architecture recommendations + +- RR 6.4.2-01: The IPTV architecture is recommended to support mechanisms that allow IPTV services to be distributed to specific groups of end-users. +- RR 6.4.2-02: The IPTV architecture is recommended to support mechanisms for transmitting identification information related to end-users who want to receive or are selected to receive IPTV services. + +### 6.4.3 Mobility aspects + +#### Architecture requirements + +- R 6.4.3-01: The IPTV architecture is required to support mechanisms for exchanging subscriber-related information between the visited network (where the end-user accesses the IPTV services) and the home IPTV service provider (where the end-user has its subscription to the IPTV services) in case mobility is supported. +- R 6.4.3-02: The IPTV architecture is required to support mechanisms for discovering and selecting end-user's service profile from the IPTV terminal device or the home IPTV service provider that will be used by the end-user whenever it accesses such IPTV services from a visited network in case mobility is supported. +- R 6.4.3-03: The IPTV architecture is required to support mechanisms for discovering and selecting IPTV services provided by the home IPTV service provider for roaming users in case mobility is supported. +- R 6.4.3-04: The IPTV architecture is required to support capturing relevant control context information from the originating terminal device, and transferring them to the target terminal device in case mobility is supported. +- R 6.4.3-05: The IPTV architecture is required to support nomadism for both personal mobility and terminal mobility. + +NOTE – Further information concerning nomadism, personal mobility and terminal mobility can be found in [b-ITU-T Y.2201]. + +#### Architecture recommendations + +- RR 6.4.3-01: Where support for terminal mobility with service continuity exists, such support is also recommended for IPTV. + +### 6.4.4 Interworking between IPTV and PSTN/ISDN + +#### Architecture recommendations + +- RR 6.4.4-01: The IPTV architecture is recommended to support the relevant network facilities for processing PSTN/ISDN incoming/outgoing calls. +- RR 6.4.4-02: The IPTV architecture is recommended to support voice encoding/decoding capabilities, as per PSTN/ISDN incoming/outgoing calls. +- RR 6.4.4-03: The IPTV architecture is recommended to be scalable as far as the processing of incoming/outgoing PSTN/ISDN calls per unit of time is concerned. +- RR 6.4.4-04: The IPTV architecture is recommended to support real-time audio related to PSTN/ISDN incoming/outgoing calls, with a voice quality similar to that of PSTN/ISDN environments. +- RR 6.4.4-05: The IPTV architecture is recommended to support call control service capabilities for the processing of incoming/outgoing PSTN/ISDN calls. + +## 6.5 End systems and interoperability aspects + +### 6.5.1 End-user aspects on IPTV services + +##### Architecture requirements + +- R 6.5.1-01: The IPTV architecture is required to support the end-user ability to choose and select one subtitle or closed caption flow from several that might be delivered with the IPTV content. + +#### Architecture recommendations + +- RR 6.5.1-01: The IPTV architecture is recommended to support a mechanism through which end-users can make the content they produced/created available to other end-users. +- RR 6.5.1-02: The IPTV architecture is recommended to support mechanisms for end-users to control who is able to view end-user originated content (e.g., every end-user versus a specific subset of end-users). + +#### **6.5.1.1 End-user aspects on linear TV** + +##### Architecture requirements + +- R 6.5.1.1-01: The IPTV architecture is required to support the end-user ability to access different IPTV contents on different IPTV terminal devices if the network allows the simultaneous delivery of several contents (e.g., different IPTV contents). +- R 6.5.1.1-02: The IPTV architecture is required to support the end-user ability to select an additional audio associated with the main content, e.g., audio description. + +##### Architecture recommendations + +- RR 6.5.1.1-01: The IPTV architecture is recommended to support the end-user with the ability to select an audio alternative to receiving textual information (e.g., scrollbars). + +#### **6.5.1.2 End-user aspects on linear TV with trick mode** + +##### Architecture requirements + +- R 6.5.1.2-01: The IPTV architecture is required to support the availability of accessibility features (captions, subtitles, descriptive audio and multiple video streams such as for sign-language) and their synchronization with the main content when viewing in normal playback. +- R 6.5.1.2-02: The IPTV architecture is required to support the IPTV terminal device ability to record all available accessibility features (captions, subtitles, descriptive audio and multiple video streams such as for sign-language) with the main content, whilst retaining the synchronization of the original information. +- R 6.5.1.2-03: The IPTV architecture is required to support the IPTV terminal device ability to synchronize multiple video streams, captions, and subtitles when the video stream is paused. +- R 6.5.1.2-04: The IPTV architecture is required to support the IPTV terminal device ability to restart the previously selected associated accessibility features after a pause. + +##### Architecture recommendations + +- RR 6.5.1.2-01: The IPTV architecture is recommended to support the end-user ability to replay what has just been watched on a TV channel. +- RR 6.5.1.2-02: The IPTV architecture is recommended to support the end-user ability to pause and later play in fast forward mode. +- RR 6.5.1.2-03: The IPTV architecture is recommended to support the IPTV terminal device ability to allow the end-user to select any of the recorded accessibility features. + +##### Architecture options + +- OR 6.5.1.2-01: The IPTV architecture can optionally support the IPTV terminal device ability to render available accessibility features with the main content when viewing in playback. + +#### 6.5.1.3 End-user aspects on time-shift TV + +##### Architecture requirements + +- R 6.5.1.3-01: The IPTV architecture, if time-shift TV is supported, is required to support the end-user ability to easily identify the TV channels delivering the selected content and the relative progress position in the delivery of this content. +- R 6.5.1.3-02: The IPTV architecture, if time-shift TV is supported, is required to support the end-user ability to switch easily between the TV channels which are delivering or about to deliver the same content but at different delivery time using the remote control keys (e.g., channel up, channel down). + +#### 6.5.1.4 End-user aspects on VoD + +##### Architecture requirements + +- R 6.5.1.4-01: The IPTV architecture, if VoD is supported, is required to support the end-user ability to discover and browse content catalogue(s). +- R 6.5.1.4-02: The IPTV architecture, if VoD is supported, is required to support the end-user ability to select contents using a single criterion or a combination of criteria such as title, reference, genre, keyword, director, actor, etc. +- R 6.5.1.4-03: The IPTV architecture, if VoD is supported, is required to support the end-user ability to get the selected content streamed after authorization. +- R 6.5.1.4-04: The IPTV architecture, if VoD is supported, is required to support the end-user ability to pause and then resume watching the selected content. +- R 6.5.1.4-05: The IPTV architecture, if VoD is supported, is required to support the end-user ability to rewind or fast forward, with or without watching capability, the VoD content. + +#### 6.5.1.5 End-user aspects on push VoD + +##### Architecture requirements + +- R 6.5.1.5-01: The IPTV architecture, if push VoD is supported, is required to support the end-user option to receive content without being disturbed (e.g., when watching a TV channel, recording a content on a PVR, downloading from the Internet, having a videoconference) and without disturbing activities of the devices engaged in providing a service (e.g., recording a content on a PVR). +- R 6.5.1.5-02: The IPTV architecture, if push VoD is supported, is required to support the end-user ability to receive content with no impact on the storage allocated to the end-user. + +##### Architecture recommendations + +- RR 6.5.1.5-01: The IPTV architecture, if push VoD is supported, is recommended to support the end-user option to be informed after push VoD content reception is completed, if not otherwise stated. + +#### 6.5.1.6 End-user aspects on PVR service + +##### Architecture requirements + +- R 6.5.1.6-01: The IPTV architecture, if n/cPVR is supported, is required to support the end-user ability to choose whether recording of a new version of content replaces the old version or will coexist with it. +- R 6.5.1.6-02: The IPTV architecture, if n/cPVR is supported, is required to support the end-user ability to check if the end-user IPTV terminal devices are suitable for playing back the recorded content. +- R 6.5.1.6-03: The IPTV architecture, if n/cPVR is supported, is required to support the end-user ability to set a preference to see or block a specific content or range of contents. + +##### Architecture recommendations + +- RR 6.5.1.6-01: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to record the content according to the metadata received from a broadcaster and then discard unwanted elements when the broadcaster updates the metadata between scheduling and recording. +- RR 6.5.1.6-02: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to record the content, even if there is a schedule change recoverable by the PVR (delayed broadcast, no overlap with other scheduled recording, etc.) without any specific end-user action. +- RR 6.5.1.6-03: The IPTV architecture, if n/cPVR is supported, is recommended to support both the user profile and service profile management on the IPTV terminal device. +- RR 6.5.1.6-04: The IPTV architecture, if nPVR is supported, is recommended to support the end-user ability to manage the items stored for them or give an appropriate provider(s) permission to do so, e.g., items to be deleted next, permanently stored, etc. +- RR 6.5.1.6-05: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to allow the PVR to automatically capture content based on the end-user viewing behaviour. +- RR 6.5.1.6-06: The IPTV architecture, if cPVR is supported, is recommended to support the end-user ability to allow a service provider to remotely control the functionality of the PVR (e.g., to capture settings, profiles). +- RR 6.5.1.6-07: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to select programmes for recording based on information provided by the service or content provider. +- RR 6.5.1.6-08: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to move personal profiles to different PVRs in the same or other physical locations, e.g., when upgrading the devices or while viewing in a hotel when on holiday. +- RR 6.5.1.6-09: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to automatically update time sensitive content (such as news and advertising) recorded on the PVR. +- RR 6.5.1.6-10: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to make a selection after seeing promotional or advertising features which are part of the PVR content. +- RR 6.5.1.6-11: The IPTV architecture, if n/cPVR is supported, is recommended to support an update of the PVR recordings. +- RR 6.5.1.6-12: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to set preferences on the PVR that allow it to capture captions or subtitles and audio description in the native language of the end-user when programmes are transmitted in a foreign language. +- RR 6.5.1.6-13: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to select content to be recorded depending on its characteristics such as broadcast quality, aspect ratio, etc. +- RR 6.5.1.6-14: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to see relevant, timely interstitials (commercials and promotional) when time-shifted viewing of content. +- RR 6.5.1.6-15: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to receive replacement of advertising interstitials in certain events (such as live sport) with relevant programme content. + +- RR 6.5.1.6-16: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to display text, images and other associated content that broadcasters make available as enhancements to their programmes. +- RR 6.5.1.6-17: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to pause live incoming content on a n/cPVR so that it can be "resumed" later and allow the continued watching of the content in time-shift mode. +- RR 6.5.1.6-18: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to amend the list of items scheduled to be recorded. +- RR 6.5.1.6-19: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to set up and manage multiple personal profiles on their PVR associated with one or more service providers. +- RR 6.5.1.6-20: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to navigate and explore content segments using indexes. +- RR 6.5.1.6-21: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to capture a multi-stream offering in such a way that, when playing the content at a later date, the different streams remain synchronous. +- RR 6.5.1.6-22: The IPTV architecture, if n/cPVR is supported, is recommended to support the end-user ability to select either audio, captions, subtitles or all to be recorded along with the video, and to store this selection as "preference". +- RR 6.5.1.6-23: The IPTV architecture, if nPVR is supported, is recommended to support the end-user's rightful ability to check if any content searched for is playable on the IPTV terminal device. + +##### Architecture options + +- OR 6.5.1.6-01: The IPTV architecture, if n/cPVR is supported, can optionally allow retrieval of content in a segmented manner. +- OR 6.5.1.6-02: The IPTV architecture, if n/cPVR is supported, can optionally support the end-user ability to insert captured advertisements or promotions along with the content being played back. +- OR 6.5.1.6-03: The IPTV architecture, if n/cPVR is supported, can optionally support the end-user ability to edit the recorded content. +- OR 6.5.1.6-04: The IPTV architecture, if both of nPVR and cPVR are used together, can optionally support the end-user ability to utilize the capacity of nPVR as expanded capacity of cPVR for personal content. +- OR 6.5.1.6-05: The IPTV architecture, if n/cPVR is supported, can optionally support the end-user ability to pause what is being watched, view any other material, and then resume the original material from where it was paused. +- OR 6.5.1.6-06: The IPTV architecture, if n/cPVR is supported, can optionally support the end-user ability to capture content onto the portable device, if the portable device has recording capability, over a network and transfer that content with associated metadata to his or her home devices and other mobile devices with the permission of the service or content provider. +- OR 6.5.1.6-07: The IPTV architecture, if n/cPVR is supported, can optionally support the end-user ability to decide whether to capture single or multiple episodes of a series or other programmed groupings. +- OR 6.5.1.6-08: The IPTV architecture, if n/cPVR is supported, can optionally support the end-user ability to play games that include pre-recorded content. + +#### 6.5.1.7 End-user aspects on service information + +##### Architecture requirements + +- R 6.5.1.7-01: The IPTV architecture is required to support the end-user ability to see the associated information (e.g., by pressing a specific remote control key) and to act upon it (e.g., to follow the link, to make a choice, to bet, to return). + +##### Architecture recommendations + +- RR 6.5.1.7-01: The IPTV architecture is recommended to support the end-user ability to tune to a TV channel from the displayed list of authorized TV channels. +- RR 6.5.1.7-02: The IPTV architecture is recommended to support the end-user ability to configure or watch a short list of the TV channels among those authorized to watch (free or subscribed channels). +- RR 6.5.1.7-03: The IPTV architecture is recommended to support the end-user ability to get information about the available TV channels (name, logos, owner, website). + +### 6.5.2 IPTV terminal device + +#### Terminal device requirements + +- R 6.5.2-01: The IPTV terminal device is required to support the decoding of at least one video and one audio format. +- R 6.5.2-02: The IPTV terminal device is required to support system start-up and initialization function. +- R 6.5.2-03: The IPTV terminal device is required to have the ability to select and receive multiple audio sources (e.g., one with audio description). +- R 6.5.2-04: The IPTV terminal user interface is required to not rely on colour alone to convey information. +- R 6.5.2-05: For multichannel audio transmissions, the IPTV terminal device is required to have an IEC 958 type II interface. +- R 6.5.2-06: The IPTV terminal device without multichannel audio capabilities is required to implement multichannel audio decoders and downmix from multichannel to stereo. + +#### Architecture recommendations + +- RR 6.5.2-01: The IPTV architecture is recommended to allow multiple services with different contents to be displayed on a single IPTV terminal device. + +#### Terminal device recommendations + +- RR 6.5.2-02: The IPTV terminal device is recommended to support the rendering of multiple IPTV contents and layouts. +- RR 6.5.2-03: The IPTV terminal device is recommended to support decoding of a variety set of video formats such as, but necessarily limited, to SD and HD. +- RR 6.5.2-04: The IPTV terminal device is recommended to support audio services. +- RR 6.5.2-05: The IPTV terminal device is recommended to support mono, stereo and multi-channel audio decoding capabilities. +- RR 6.5.2-06: For multichannel audio transmissions, the IPTV terminal device is recommended to implement transcoding, e.g., from HE-AAC to DTS Surround or Dolby Digital Plus to Dolby Digital, if it is a multichannel audio capable terminal. +- RR 6.5.2-07: The IPTV architecture is recommended to support IPTV terminal devices with the capability to choose the desired format of the content if there are multiple formats available. + +- RR 6.5.2-08: The IPTV terminal device is recommended to offer to the end-user a service navigation capability based on the metadata for the services available through each network. +- RR 6.5.2-09: The GUI API module is recommended to include the following functions: + - Graphic design and display functions; + - UI control interface design and display functions; + - Image and video attribute set functions. +- RR 6.5.2-10: The IPTV terminal device is recommended to provide a user setting enabling selection of an opaque background for any on-screen display, i.e., text that is overlaid onto video, thereby making it easier to read. +- RR 6.5.2-11: The IPTV terminal device is recommended to provide a user setting to change the default colours of text and background for on-screen displays, i.e., as a minimum, a combination of white text on a black background is recommended to be offered. +- RR 6.5.2-12: The IPTV terminal device is recommended to provide a user setting to change the default size of text for on-screen displays. +- RR 6.5.2-13: The IPTV terminal device is recommended to inform the user of the timing when an action (for example, downloading content) is complete. +- RR 6.5.2-14: The IPTV terminal device is recommended to display Arabic numerals (1, 2, 3, 4) rather than Roman numerals (I, II, III, IV) where applicable to the language used. +- RR 6.5.2-15: The IPTV terminal device is recommended to support the ability to display subtitles and captions in any character set of the content provider's choice. +- RR 6.5.2-16: The IPTV terminal device is recommended to maintain the end-user's selected subtitle and caption styles/options/modes/formats, supplementary audio content and supplementary video content as far as possible when switching between services. +- RR 6.5.2-17: Any on-screen displays are recommended to be available via external interfaces. +- RR 6.5.2-18: The IPTV terminal device is recommended to support diagnostic for IPTV terminal. +- RR 6.5.2-19: The IPTV terminal device is recommended to support subtitle and caption decoding and display. +- RR 6.5.2-20: The IPTV terminal device, when permitted, is recommended to be able to acquire and save the audience rating information and send it to the service provider. +- RR 6.5.2-21: The IPTV terminal device is required to support the ability to ask for the end-user's permission when a non-anonymous use of the end-user privacy related information is involved. +- RR 6.5.2-22: The IPTV terminal device with multichannel audio capabilities is recommended to utilize audio control features, e.g., dynamic range control, programme reference level (or dialogue) normalization and downmix in the audio decoder. +- RR 6.5.2-23: The IPTV terminal device is recommended to support pause. +- RR 6.5.2-24: The IPTV terminal device is recommended to support an IP-based 2-way communication channel. +- RR 6.5.2-25: The IPTV terminal device, if n/cPVR is supported, is recommended to support distributed personal video recorder functionality. +- RR 6.5.2-26: The IPTV terminal device is recommended to communicate with the service provider in order to be aware of service availability. + +- RR 6.5.2-27: The IPTV terminal device is recommended to have the capability to decode and display captions in a separate window or overlaid with different colours, colours for different speakers as signalled by the content provider. +- RR 6.5.2-28: The IPTV terminal device is recommended to be able to declare to media-providing entities its usage environment description, e.g., type of service, type of terminal, type of transmission medium, user preferences, available QoS level. +- RR 6.5.2-29: The IPTV terminal device is recommended to be able to display the service logo. +- RR 6.5.2-30: The IPTV terminal device is recommended to support skip forward and skip backward (e.g., by time period, interval, location in content) in linear TV with trick mode. +- RR 6.5.2-31: The IPTV terminal device is recommended to support skip forward and skip backward (e.g., by time period, interval, location in content) in VoD service. +- RR 6.5.2-32: The IPTV terminal device is recommended to support skip forward and skip backward (e.g., by time period, interval, location in content) in client PVR service. +- RR 6.5.2-33: The IPTV terminal device is recommended to support skip forward and skip backward (e.g., by time period, interval, location in content) in network PVR service. +- RR 6.5.2-34: The IPTV terminal device is recommended to allow the end-user the selection of subtitles or captions being displayed with a solid background or a transparent one. +- RR 6.5.2-35: The IPTV terminal device is recommended to be able to declare its usage environment description to the service provider. +- RR 6.5.2-36: The IPTV terminal device is recommended to select the preferred subtitle or closed caption flow when several such flows are available with the IPTV content. +- RR 6.5.2-37: The IPTV terminal device is recommended to have the ability to select the preferred main and supplementary content associated with the main content. +- RR 6.5.2-38: The IPTV terminal device is recommended to have the ability to discover and display any additional information (such as subtitles and captions) delivered with the TV channel. +- RR 6.5.2-39: The IPTV terminal device is recommended to support the end-user ability to set up and manage multiple user profiles. +- RR 6.5.2-40: The IPTV terminal device is recommended to output video in accordance with accepted international standards. +- RR 6.5.2-41: The IPTV terminal device is recommended to support video scaling. +- RR 6.5.2-42: The IPTV terminal device is recommended to provide native mode video output support, if it supports high definition outputs. +- RR 6.5.2-43: The IPTV terminal device is recommended to support a combination of video scaling and de-interlacing. +- RR 6.5.2-44: The IPTV terminal device is recommended to be capable of outputting SD and HD video signals according to one or more of the existing interface standards for video signals, if it is HD-capable. +- RR 6.5.2-45: The IPTV terminal device with multichannel audio capabilities is recommended to support downmix from multichannel to stereo. + +#### Architecture options + +- OR 6.5.2-01: The IPTV architecture can optionally support the ability to store, cache, update, and run applications on devices that implement the ITF. + +- OR 6.5.2-02: The IPTV architecture can optionally support the ability for applications to be delivered to ITF implementing devices with a video service (i.e., streamed with the video), by user request over the two-way network connection, and by the service provider at the service provider's direction. +- OR 6.5.2-03: The IPTV architecture can optionally support the ability of ITF implementing devices to serve as a master monitor or switcher application that can be updated by the service provider and that can manage the execution of other applications. +- OR 6.5.2-04: The IPTV architecture can optionally support the ability for service provider-managed applications to be stored and executed in the devices implementing the ITF. +- OR 6.5.2-05: The IPTV architecture can optionally support the ability for video service-associated applications to be stored and executed in the devices implementing the ITF. +- OR 6.5.2-06: The IPTV architecture can optionally support user-requested applications to be stored and executed in the devices implementing the ITF. +- OR 6.5.2-07: The IPTV architecture can optionally have the ability to arrange displays of multiple video sources in different layouts. + +##### Terminal device options + +- OR 6.5.2-08: When no relevant national regulations apply, the IPTV terminal device can optionally support the ability of presenting emergency messages in text, alert video and audio over normal program media streams, and also the ability of interrupting any audio stream, including the supplementary audio. +NOTE – When relevant national regulations apply, the IPTV architecture is required to support national regulations. +- OR 6.5.2-09: The IPTV terminal device can optionally support VBI capabilities. +- OR 6.5.2-10: The IPTV terminal device can optionally support the modification of display duration. +- OR 6.5.2-11: The IPTV terminal device can optionally enable the skin to contain properties of the graphical entities of the EPG interface such as fonts, icons, pointer, background pictures, and sound effect. +- OR 6.5.2-12: The IPTV terminal device can optionally enable the specified skin style to be further customized according to graphical entities such as fonts, icons, pointer, background pictures, sound effect, etc. +- OR 6.5.2-13: The IPTV terminal device can optionally download the skin on boot process. +- OR 6.5.2-14: The IPTV terminal device can optionally enable the end-user to access the remote control functions via GUI. +- OR 6.5.2-15: The IPTV terminal device can optionally render the UI with the end-user preferred skin. +- OR 6.5.2-16: The IPTV terminal device can optionally support the capability to provide information regarding its bandwidth availability. +- OR 6.5.2-17: The IPTV terminal device can optionally support the capability to allow the end-user to adjust the size of the subtitles or captions displayed. +- OR 6.5.2-18: The IPTV terminal device can optionally have the ability to select from a range of languages, speed and verbosity for subtitles and captions. +- OR 6.5.2-19: The IPTV terminal device can optionally be capable of responding to user preferences for adjusting audio dynamic range compression and control based on audio metadata. + +- OR 6.5.2-20: The IPTV terminal device can optionally be capable of supporting user or network selection among a minimum of three levels of audio dynamic range compression: uncompressed, intermediate and heavy. + +#### **6.5.2.1 Interfaces** + +##### Terminal device recommendations + +- RR 6.5.2.1-01: The IPTV terminal device is recommended to provide a human control interface (for example an infrared remote-control). +- RR 6.5.2.1-02: The IPTV terminal device is recommended to provide means for feedback of control actions to the end-user by visual and/or audio indications selected by the end-user. +- RR 6.5.2.1-03: The IPTV terminal device is recommended to provide end-user interface(s) for control and feedback of control actions by external devices or additional software, e.g., Braille interpretive device. + +#### **6.5.2.2 Provisioning** + +##### Terminal device recommendations + +- RR 6.5.2.2-01: The IPTV terminal device is recommended to be easy to install and configure for operation. +- RR 6.5.2.2-02: The IPTV terminal device is recommended to support self- and remote provisioning of services, including network configuration and device-specific service enabling tasks. + +#### **6.5.2.3 PVR control** + +##### Terminal device recommendations + +- RR 6.5.2.3-01: The IPTV terminal device is recommended to support both internal and/or external control of PVR functionality. + +#### **6.5.2.4 Security and authentication functions** + +##### Terminal device requirements + +- R 6.5.2.4-01: The IPTV terminal device is required to support subscriber authentication and identification information management. + +##### Terminal device recommendations + +- RR 6.5.2.4-01: The IPTV terminal device is recommended to support IPTV service authorization. +- RR 6.5.2.4-02: The IPTV terminal device is recommended to support software upgrade and download authentication. +- RR 6.5.2.4-03: The IPTV terminal device is recommended to support network security policy management. +- RR 6.5.2.4-04: The IPTV terminal device is recommended to support parental control related information management. +- RR 6.5.2.4-05: The IPTV terminal device is recommended to support content purchasing information management. +- RR 6.5.2.4-06: The IPTV terminal device is recommended to support API for service provider functions such as locking screen (which disables the displayed image to change for a certain amount of time until, e.g., all the resources needed to be shown are ready and can be synchronized). + +#### 6.5.2.5 SCP functions + +##### Terminal device recommendations + +- RR 6.5.2.5-01: The IPTV terminal device is recommended to support the SCP functions in line with the recommendations made in [ITU-T Y.1910]. +- RR 6.5.2.5-02: The IPTV terminal device is recommended to support rights management. +- RR 6.5.2.5-03: The IPTV terminal device is recommended to support decryption of media streams and data streams. +- RR 6.5.2.5-04: The IPTV terminal device is recommended to support access to security information. + +#### 6.5.2.6 End-user interaction functions + +##### Terminal device recommendations + +- RR 6.5.2.6-01: The IPTV terminal device is recommended to support event reception and dispatching from end-user to service provider. + +#### 6.5.2.7 Terminal management + +##### Terminal device recommendations + +- RR 6.5.2.7-01: The IPTV terminal device is recommended to support remote management. +- RR 6.5.2.7-02: The IPTV terminal device is recommended to support log management. +- RR 6.5.2.7-03: The IPTV terminal device is recommended to support software version management. +- RR 6.5.2.7-04: The IPTV terminal device is recommended to support media device parameter configuration, such as decoder parameter configuration. +- RR 6.5.2.7-05: The IPTV terminal device is recommended to support subscriber configuration, such as access account, service account. + +#### 6.5.2.8 System resource management functions + +##### Terminal device recommendations + +- RR 6.5.2.8-01: The IPTV terminal device is recommended to support monitoring and management of its own resources. +- RR 6.5.2.8-02: The IPTV terminal device is recommended to support allocation and scheduling of its own resources to IPTV services. + +#### 6.5.2.9 Internet access functions + +##### Terminal device options + +- OR 6.5.2.9-01: The IPTV terminal device can optionally support Internet client management, such as web browser, e-mail and news client management. + +#### 6.5.2.10 Aspects related to ITF + +##### Architecture requirements + +- R 6.5.2.10-01: The IPTV architecture is required to support a means to avoid sending to an ITF content that is unable to be rendered. +- R 6.5.2.10-02: The IPTV architecture is required to support mechanisms, inhibitors, and interfaces for the ITF to control the streaming of video content, i.e., trick modes. +- R 6.5.2.10-03: The IPTV architecture is required to support IPTV terminal devices which constantly listen for emergency alert notification (EAN) messages. + +- R 6.5.2.10-04: If required by national authorities, the IPTV architecture is required to support mechanisms for the ITF to decode EAN messages specified by the authorities. +- R 6.5.2.10-05: The IPTV architecture is required to support a mechanism for the ITF to synchronize between different content streams. +- R 6.5.2.10-06: The IPTV architecture is required to support the capability for the ITF to re-establish service without end-user intervention in the event of network outages. +- R 6.5.2.10-07: The IPTV architecture is required to support channel change functionality in the ITF. +- R 6.5.2.10-08: The IPTV architecture is required to support an extensible method for the service provider to query for the ITF's capabilities and status. +- R 6.5.2.10-09: The IPTV architecture is required to support mechanisms for the service provider to manage the ITF, associated peripheral devices, e.g., display or storage devices, and physical devices that implement the ITF. +- R 6.5.2.10-10: The IPTV architecture is required to support the ability of the ITF to display and allow user selection of program, content, and service descriptions. +- R 6.5.2.10-11: The IPTV architecture is required to support the ability of the ITF to decode and display subtitle or closed caption information. +- R 6.5.2.10-12: The IPTV architecture is required to support the ability of the ITF to decode and display emergency alert information. + +##### Architecture recommendations + +- RR 6.5.2.10-01: The IPTV architecture is recommended to support automated configuration capabilities for the IPTV devices. +- RR 6.5.2.10-02: The IPTV architecture is recommended to support the ability of the ITF to declare its usage environment description to the service provider. +- RR 6.5.2.10-03: The IPTV architecture is recommended to support the ability of the ITF to obtain the usage environment description from the service provider. +- RR 6.5.2.10-04: The ITF is recommended to support the status information report to the service provider. + +##### Architecture options + +- OR 6.5.2.10-01: The ITF can optionally provide mechanisms to detect and report service consumption events that are not detectable elsewhere in the IPTV infrastructure. + +### **6.5.3 Remote management** + +#### Architecture recommendations + +- RR 6.5.3-01: The IPTV architecture is recommended to allow the service provider to retrieve device information such as manufacturer name, model name and number, software version, firmware version and profiles supported. +- RR 6.5.3-02: The IPTV architecture is recommended to support the service provider to provide information related to the service provider, such as an URL for a home page or help desk. For example, to provide a means for the service provider to direct the end-user to a central information point which would allow the service provider to offer additional services or assistance in case of difficulty. +- RR 6.5.3-03: The IPTV architecture is recommended to allow the service provider to retrieve statistical information of usage, e.g., channels watched and duration with the end-user's permission. + +- RR 6.5.3-04: The IPTV architecture is recommended to allow the service provider to access service transaction related information such as usage patterns, e.g., changing between linear IPTV channels. +- RR 6.5.3-05: The IPTV architecture is recommended to allow the service provider to be able to configure and monitor device connectivity, e.g., access network and home network parameters. +- RR 6.5.3-06: The IPTV architecture is recommended to allow the service provider to be able to access device, network and content metrics important for QoS, e.g., dropped packet rates, jitter, integrity of transport streams. + +### **6.5.4 Home network** + +#### Architecture requirements + +- R 6.5.4-01: The IPTV architecture is required to support IP filtering functions in the DNGF in order to prevent selected local multicast traffic on the home network side from appearing on the network side. +- R 6.5.4-02: The IPTV architecture is required to support mechanisms for transport of time of day to the home network. + +#### Architecture recommendations + +- RR 6.5.4-01: The IPTV architecture is recommended to support the ability for the DNGF to implement standard IP routing functions, per established IETF specifications. +- RR 6.5.4-02: The IPTV architecture is recommended to support the ability for the DNGF to support the routing of IP packets between interfaces on network and home network sides. Specifically, this means: + - Routing is recommended to be supported between network interfaces and home network interfaces; + - Routing is recommended to be supported between different home network interfaces. +- RR 6.5.4-03: The IPTV architecture is recommended to support the ability for the DNGF to support multiple logical IP interfaces (multiple attachment points at the IP layer) on any particular physical interface on the network side. +- RR 6.5.4-04: The IPTV architecture is recommended to support the ability for the DNGF to assign IP addresses to devices in the home network. +- RR 6.5.4-05: The IPTV architecture is recommended to support the ability for the DNGF to support channel change functions between the ITF and the service provider. +- RR 6.5.4-06: The IPTV architecture is recommended to allow multiple network providers for a single home network, i.e., the IPTV architecture is recommended to allow a single home network to connect to more than one network provider domain. +- RR 6.5.4-07: The IPTV architecture is recommended to allow different providers for the transport and service strata, i.e., the IPTV architecture must allow a single home network to be able to access separate network and service providers. +- RR 6.5.4-08: The IPTV architecture is recommended to allow for multiple providers for different or similar services, i.e., the IPTV architecture must allow a single home network to be able to access multiple service providers. +- RR 6.5.4-09: The DNGF is recommended to support status information reporting to the service provider. +- RR 6.5.4-10: The IPTV architecture (including DNGF) is recommended to support the ability to perform bandwidth management of the home network attached to the DNG. + +- RR 6.5.4-11: The IPTV architecture (including DNGF) is recommended to support the ability to control local traffic within the home network attached to the DNG. +- RR 6.5.4-12: The IPTV architecture (including DNGF) is recommended to support the ability to perform admission control functions to protect the home network from excessive and harmful traffic within the home network, and between network and home network. +- RR 6.5.4-13: The IPTV architecture (including DNGF) is recommended to support the ability for the DNGF to perform policing functions on incoming network traffic and drop offending traffic to protect the home network. +- RR 6.5.4-14: The IPTV architecture (including DNGF) is recommended to support IP traffic routing based on mechanisms to guarantee QoS for different service classes. +- RR 6.5.4-15: The IPTV architecture (including DNGF) is recommended to support mapping downstream traffic to corresponding local flows to provide QoS for the different services. This includes Layer 3 to Layer 2 mapping. +- RR 6.5.4-16: The IPTV architecture (including DNGF) is recommended to support mapping upstream traffic generated within the home network to corresponding outgoing flows to provide QoS for the different services. This includes Layer 2 to Layer 3 mapping. + +#### Home network recommendations + +- RR 6.5.4-17: The home network functions in the end-user domain supporting IPTV services are recommended to support the authentication procedures required by the network and service providers. +- RR 6.5.4-18: The DNGF is recommended to support NAT/NAPT capability to map IP address and port numbers between the public WAN and the LAN(s). + +#### Architecture options + +- OR 6.5.4-01: The IPTV architecture can optionally support content sharing between devices in the home network. + +## **6.6 Middleware, application and content aspects** + +### **6.6.1 General** + +#### Architecture requirements + +- R 6.6.1-01: The IPTV architecture is required to support the ability to search for available content. +- R 6.6.1-02: The IPTV architecture is required to support the capability of receiving and processing the metadata for content available to the end-user coming from content providers. + +#### Architecture recommendations + +- RR 6.6.1-01: The IPTV architecture is not recommended to preclude support of the requirements related to the retransmission of the existing terrestrial, satellite and cable broadcast, such as regional and regulatory. +- RR 6.6.1-02: The IPTV architecture is recommended to support mechanisms for the end-user to log announced information of interest. +- RR 6.6.1-03: The IPTV architecture is recommended to allow the end-user to exchange user profile information among various devices. + +#### Architecture options + +- OR 6.6.1-01: The IPTV architecture can optionally support uniform media formats (UMF) for content provisioning, discovery, delivery and consumption. + +### 6.6.2 Middleware + +#### 6.6.2.1 General + +##### Middleware requirements + +- R 6.6.2.1-01: The IPTV middleware is required to support terminal device start-up and initialization function. +- R 6.6.2.1-02: The IPTV middleware is required to support server-side device start-up and initialization function. +- R 6.6.2.1-03: The IPTV middleware, if trick mode is supported, is required to support play, pause and stop functions. + +##### Middleware recommendations + +- RR 6.6.2.1-01: The IPTV middleware is recommended to support application management (e.g., application lifecycles, application states). +- RR 6.6.2.1-02: The IPTV middleware is recommended to be hardware and operating system (OS) independent. +- RR 6.6.2.1-03: The IPTV middleware is recommended to support pause in a PVR capable terminal or system. +- RR 6.6.2.1-04: The IPTV middleware is recommended to manage skip forward and skip backward functions (e.g., by time period, interval, location in content). +- RR 6.6.2.1-05: The IPTV middleware is recommended to support executing of multiple simultaneous applications. +- RR 6.6.2.1-06: The IPTV middleware is recommended to support a means to change the style of EPG. +- RR 6.6.2.1-07: The IPTV middleware components are recommended to facilitate service processes interaction among IPTV devices (e.g., a server and its clients, such as STB, security system, or VoD server). +- RR 6.6.2.1-08: The IPTV middleware is recommended to be able to manage the IPTV application profile information. +- RR 6.6.2.1-09: The IPTV middleware is recommended to support presentation capabilities for multimedia data (e.g., audio, video, graphics, text and images) providing the browsing, the synchronization and the interaction of such data with the end-user. + +##### Middleware options + +- OR 6.6.2.1-01: The IPTV middleware can optionally support the decoding of service information (SI). +- OR 6.6.2.1-02: The IPTV middleware can optionally support shortcut mechanism for selection. +- OR 6.6.2.1-03: The IPTV middleware can optionally support metadata compression. + +#### 6.6.2.2 Middleware application programming interfaces + +##### Middleware requirements + +- R 6.6.2.2-01: The IPTV middleware is required to provide an API for stopping and starting the presentation of video and audio. +- R 6.6.2.2-02: The IPTV middleware is required to provide an API to communicate with service providers to implement media transmission and media control functions. +- R 6.6.2.2-03: The IPTV middleware is required to provide an API to access metadata information. + +##### Architecture recommendations + +- RR 6.6.2.2-01: The IPTV architecture is recommended to support an API to manage the resources for applications. + +##### Middleware recommendations + +- RR 6.6.2.2-02: The IPTV middleware is recommended to support an API to access information on removable storage device (e.g., USB key). +- RR 6.6.2.2-03: The IPTV middleware is recommended to support an API for controlling (e.g., selecting, showing and hiding) subtitle and closed captioning display. +- RR 6.6.2.2-04: The IPTV middleware is recommended to include an API to access user preferences (e.g., accessibility features and display settings) available on a removable storage device (e.g., smartcard). +- RR 6.6.2.2-05: The IPTV middleware is recommended to provide service enabling APIs. +- RR 6.6.2.2-06: The IPTV middleware APIs are recommended to be open, flexible, granular, self-contained and components-based. +- RR 6.6.2.2-07: The IPTV middleware is recommended to provide an API to support a variety of mixed media formats to be presented together (e.g., an HTML text page embedding a video stream). +- RR 6.6.2.2-08: The IPTV middleware is recommended to provide an API to support picture-in-picture. +- RR 6.6.2.2-09: The IPTV middleware is recommended to provide an API to manage captioning including the selection from a range of languages, speed and verbosity. + +##### Middleware options + +- OR 6.6.2.2-01: The IPTV middleware can optionally provide an API for recording programs locally. + +### **6.6.3 Metadata** + +#### **6.6.3.1 Metadata structure** + +##### Metadata requirements + +- R 6.6.3.1-01: The IPTV metadata is required to support the indication of which accessibility features are available for a TV programme, i.e., captions, subtitles in various languages, supplementary video and supplementary descriptive audio. +- R 6.6.3.1-02: The IPTV metadata is required to support the description of accessibility features, including language. +- R 6.6.3.1-03: The IPTV metadata is required to be able to describe contents and be extensible. + +##### Metadata recommendations + +- RR 6.6.3.1-01: The IPTV metadata is recommended to be able to describe legacy channel number information specified by content providers. +- RR 6.6.3.1-02: The IPTV metadata is recommended to be able to describe user preferences (e.g., for personal favourite channels). +- RR 6.6.3.1-03: The IPTV metadata is recommended to support one or more UMF that integrate multiple representations about the content including media coding formats, SCP information and SCP tools information. +- RR 6.6.3.1-04: The IPTV metadata for any given IPTV metadata instance is recommended to be uniquely identified by an ID. + +- RR 6.6.3.1-05: The IPTV metadata is recommended to support packages as per clause 3. +- RR 6.6.3.1-06: The IPTV metadata is recommended to be able to describe the date of the last modification and the expiration period of metadata instance. +- RR 6.6.3.1-07: The IPTV metadata is recommended to be able to describe the target audience. +- RR 6.6.3.1-08: The IPTV metadata is recommended to be able to describe the user created content (UCC). + +##### Metadata options + +- OR 6.6.3.1-01: The IPTV metadata can optionally provide the following configuration information: type of service, type of terminal device, type of transmission medium, user preferences, available QoS levels, codecs, profiles, encoding configurations. +- OR 6.6.3.1-02: The IPTV metadata can optionally be aligned with the metadata in existing broadcasting services. + +#### **6.6.3.2 Metadata for service navigation** + +##### Metadata requirements + +- R 6.6.3.2-01: The IPTV metadata for service navigation is required to provide general information about a piece of content that does not change regardless of how the content is published or broadcasted. +NOTE – General information may include title, synopsis, parental control, rating, encrypted or not, price and conditions of availability like the number of plays in duration, credit list, actors, characters, key talent, key characters, writer, composer, conductor, review, critic's review, identification of the original content provider, and access means to a pricing server. +- R 6.6.3.2-02: The IPTV metadata for service navigation is required to support the description of various types and groups of programs series and shows. +- R 6.6.3.2-03: The IPTV metadata for service navigation is required to support the description of service providers (e.g., name, owner, logo). +- R 6.6.3.2-04: The IPTV metadata for service navigation is required to support the description of groups of consecutive schedule events together, which spans a given time period on a single service. +- R 6.6.3.2-05: The IPTV metadata for service navigation is required to support the description of contents that can be acquired on demand (as opposed to broadcast), including start time of which content is available, end time of which content is unavailable. +- R 6.6.3.2-06: The IPTV metadata for service navigation is required to support newly assigned channel numbers for the respective IPTV services and the legacy channel numbers and the (geographical) location of the original broadcasters when retransmitted from broadcast networks. +- R 6.6.3.2-07: The IPTV metadata for service navigation is required to support the channel description including source type, service type and service provider. + +##### Metadata recommendations + +- RR 6.6.3.2-01: The IPTV metadata for service navigation is recommended to be able to describe advertisement content (e.g., commercial video). +- RR 6.6.3.2-02: The IPTV metadata for service navigation is recommended to be able to describe usage restriction, including regional restriction, output and DRM export control, trick mode (e.g., rewind, fast forward) enabled, maximum buffering size or duration. +- RR 6.6.3.2-03: The IPTV metadata for service navigation is recommended to be able to describe metadata publisher, owner and copyrights sign. + +- RR 6.6.3.2-04: The IPTV metadata for service navigation is recommended to support various content rating standards (e.g., general audience (G), parental guide suggested (PG)). +- RR 6.6.3.2-05: The IPTV metadata for service navigation is recommended to support the description of audience information (e.g., channel number before and after channel change, time of change and user information for EPG service, and package identification, time of play and user information for package service). + +#### **6.6.3.3 Metadata for package service** + +##### Metadata requirements + +- R 6.6.3.3-01: The IPTV metadata for package service is required to allow the description of single content items as well as the description of collection of content components defined as "package" as per clause 3. +- R 6.6.3.3-02: The IPTV metadata for package service is required to describe synchronization (temporal information) and spatial information between content components to allow contents to be consumed as the service provider intended. + +##### Metadata recommendations + +- RR 6.6.3.3-01: The IPTV metadata for package service is recommended to support the description of the various types of content components. + +#### **6.6.3.4 Metadata provisioning** + +##### Architecture requirements + +- R 6.6.3.4-01: The IPTV architecture is required to be able to support the service provider with the capability of creating or amending the metadata associated with a particular content. + +##### Architecture recommendations + +- RR 6.6.3.4-01: The IPTV architecture is recommended to allow the content provider to create and amend the metadata associated with its own contents. + +##### Architecture options + +- OR 6.6.3.4-01: The IPTV architecture can optionally allow anyone with rights/permission to create and amend the metadata associated with a particular content (e.g., reviews, comments, synopsis, etc.). +- OR 6.6.3.4-02: The IPTV architecture can optionally support multiple metadata formats. + +#### **6.6.3.5 Metadata delivery** + +##### Architecture requirements + +- R 6.6.3.5-01: The IPTV architecture is required to have a means to deliver the content metadata to the end-user, including terms and conditions (e.g., duration the viewer is entitled to consume the content, PPV, related expenses), available accessibility features (captions, subtitles, supplementary descriptive audio, and multiple supplementary video streams). + +##### Architecture recommendations + +- RR 6.6.3.5-01: The IPTV architecture is recommended to support both multicast and unicast metadata delivery. +- RR 6.6.3.5-02: The IPTV architecture is recommended to be able to support fragmented metadata delivery. +- RR 6.6.3.5-03: The IPTV architecture is recommended to support metadata protection (e.g., user preferences, usage history). + +- RR 6.6.3.5-04: The IPTV architecture is recommended to allow metadata delivery independently of content delivery. +- RR 6.6.3.5-05: The IPTV architecture is recommended to support both the push and pull model for metadata delivery. +- RR 6.6.3.5-06: The IPTV architecture is recommended to support a mechanism for the IPTV terminal device to know about metadata instance modifications. +- RR 6.6.3.5-07: The IPTV architecture is recommended to support a metadata delivery protocol over IP in addition to the already existing MPEG-2 TS-based transport. + +##### Architecture options + +- OR 6.6.3.5-01: The IPTV architecture can optionally support a mechanism to allow the user-customized content list to be updated. +- OR 6.6.3.5-02: The IPTV metadata can optionally be provided in conjunction with the audiovisual contents. + +### **6.6.4 Content** + +#### **6.6.4.1 Content delivery** + +##### Architecture recommendations + +- RR 6.6.4.1-01: The IPTV architecture is recommended to support mechanisms for content downloading. +- RR 6.6.4.1-02: The IPTV architecture is recommended to support the delivery of multiple audio streams (e.g., one with audio description). +- RR 6.6.4.1-03: The IPTV architecture is recommended to support fast forward and fast rewind of content at different speeds. +- RR 6.6.4.1-04: The IPTV architecture is recommended to support both a pull and a push method of content delivery. +- RR 6.6.4.1-05: The IPTV architecture is recommended to support the download of content regardless of its type, e.g., audio, video, text, graphics. +- RR 6.6.4.1-06: The IPTV architecture is recommended to be able to distinguish geographic regions to offer targeted services (e.g., for targeted advertising). +- RR 6.6.4.1-07: The IPTV architecture is recommended to allow the delivery of user created contents (UCC). + +##### Protocol recommendations + +- RR 6.6.4.1-08: The content delivery protocols are recommended to support multiple policies for content distribution (e.g., scheduled content pushing, dynamic content pulling, multiple sources for content pulling). + +#### **6.6.4.2 Video** + +##### Architecture requirements + +- R 6.6.4.2-01: The IPTV architecture is required to maintain video and audio in sync (accurate lip-sync) as judged by the general viewer at all times. + +##### Video requirements + +- R 6.6.4.2-02: The video format is required to support a wide range of temporal sampling standards, bit-rates and picture resolutions. + +##### Video recommendations + +- RR 6.6.4.2-01: The video format is recommended to support interlaced and progressive format. + +#### **6.6.4.3 Audio** + +##### Audio requirements + +- R 6.6.4.3-01: The audio format is required to provide audio depth equivalent to existing broadcasts, i.e., requiring a sampling rate of 48 kHz at 16 bits. Other sample rates and bit-depths can be optionally supported. + +##### Architecture recommendations + +- RR 6.6.4.3-01: The IPTV architecture is recommended to support single (mono), dual (stereo) and multichannel (at least 5.1 surround sound) audio transmission. Different modes may be supported using different codecs. +- RR 6.6.4.3-02: The IPTV architecture is recommended to support multiple language audio streams associated with each video. + +##### Architecture options + +- OR 6.6.4.3-01: The IPTV architecture can optionally support clean audio. + +#### **6.6.4.4 Content replay** + +##### Architecture recommendations + +- RR 6.6.4.4-01: The IPTV architecture is recommended to allow the playback of recorded content in the same way as the playback modes provisioned in a typical DVD, e.g., normal speed play, fast forward (at various speeds), fast rewind (at various speeds), pause, frame by frame advance, slow forward, slow backward. +- RR 6.6.4.4-02: The IPTV architecture is recommended to support mechanisms to assist in locating random access points in the media stream. + +##### Architecture options + +- OR 6.6.4.4-01: The IPTV architecture can optionally allow replacement of interstitial materials (e.g., advertisers and broadcasters, on replay of recorded content, want to replace interstitial material with more relevant interstitials based on parameters such as time of viewing, environmental triggers (such as weather, season, etc.) and number of times seen). +- OR 6.6.4.4-02: The IPTV architecture can optionally allow the replacement of content (e.g., advertisement, expired content). +- OR 6.6.4.4-03: The IPTV architecture can optionally allow advertisers to ensure that their commercials are seen only by the appropriate audience (e.g., where a minor is replaying content, a commercial for an alcoholic beverage is recommended to be skipped). + +#### **6.6.4.5 Content provisioning and management** + +##### Architecture requirements + +- R 6.6.4.5-01: The IPTV architecture is required to support a mechanism for the service provider to ingest and store VoD content. + +##### Architecture recommendations + +- RR 6.6.4.5-01: The IPTV architecture is recommended to provide content providers with content management capabilities, such as uploading, deleting and replacing content. + +- RR 6.6.4.5-02: The IPTV architecture is recommended to support the integration and interoperability of all components necessary for the acquisition and processing of content during the ingestion phase (e.g., applying SCP, insertion of commercials, encoding, editing). +- RR 6.6.4.5-03: The IPTV architecture is recommended to support a transfer interface between content provider and service provider that is independent of content formats. +- RR 6.6.4.5-04: The IPTV architecture is recommended to support content streaming overlapped with content pulling. +- RR 6.6.4.5-05: The IPTV architecture is recommended to support metadata for content provisioning. +- RR 6.6.4.5-06: The IPTV architecture is recommended to support metadata for specifying re-encoding, transcoding of content and their output formats. +- RR 6.6.4.5-07: The IPTV architecture is recommended to support the ability to collect statistical information about content popularity, audience rating, connected time and other information according to user profiles. + +##### Content management and provisioning recommendations + +- RR 6.6.4.5-08: The content management functions are recommended to be able to track each content program and segment location in the distributed media servers. +- RR 6.6.4.5-09: The content management functions are recommended to be able to keep track of the content distribution sessions among media servers. +- RR 6.6.4.5-10: The content management functions are recommended to keep statistical and historic data of content delivery and copy sessions. These data could be used for calculating content popularity and guiding future content distribution. + +##### Architecture options + +- OR 6.6.4.5-01: The IPTV architecture can optionally offer the service provider and content provider the ability to specify and exchange content distribution metadata, including metadata for re-encoding, transcoding of content and their output formats. + +##### Content management and provisioning options + +- OR 6.6.4.5-02: The content management functions can optionally support request for bandwidth and congestion control capabilities. +- OR 6.6.4.5-03: The content location management functions can optionally keep track of the real time content distribution sessions in order to provide distribution bandwidth control in the provider's core network. + +### **6.6.5 Service navigation** + +#### Architecture requirements + +- R 6.6.5-01: The IPTV architecture is required to support IPTV content selection through an electronic content guide. +- R 6.6.5-02: The IPTV architecture is required to support IPTV service selection through an electronic service guide. + +#### Architecture recommendations + +- RR 6.6.5-01: The IPTV architecture is recommended to support the end-user capability to view the service navigation information either sorted or filtered or both by time or other criteria. + +##### Service navigation system recommendations + +- RR 6.6.5-02: The IPTV service navigation system is recommended to support exchange of information with other applications. +- RR 6.6.5-03: The IPTV service navigation system is recommended to support consolidation of program/content information from multiple IPTV metadata service providers. +- RR 6.6.5-04: The IPTV service navigation system is recommended to support IPTV service and content searching. +- RR 6.6.5-05: The IPTV service navigation system is recommended to present always up-to-date information. + +##### Service navigation system options + +- OR 6.6.5-01: The IPTV service navigation system can optionally support the customized presentation of the service and content information. +- OR 6.6.5-02: The IPTV service navigation system can optionally adapt the information presentation to various terminal types. +- OR 6.6.5-03: The IPTV service navigation system can optionally allow the end-user to store metadata about user-customized content list. + +### **6.6.6 Service/content discovery and selection** + +#### Architecture requirements + +- R 6.6.6-01: The IPTV architecture is required to support capabilities for service discovery. +- R 6.6.6-02: The IPTV architecture is required to support capabilities for the end-user to select the content to be delivered. +- R 6.6.6-03: The IPTV architecture is required to support the ability for the end-user to interact with service provider-managed services through a 2-way communication channel. + +#### Architecture recommendations + +- RR 6.6.6-01: The IPTV architecture is recommended to support several content selection modes (e.g., program navigation, channel switch, search). + +#### Architecture options + +- OR 6.6.6-01: The IPTV architecture can optionally support profile/encoding negotiation capabilities to adapt to heterogeneous usage environments. + +### **6.6.7 Returned data** + +#### Architecture options + +- OR 6.6.7-01: The IPTV architecture can optionally allow demographic data to be obtained from the IPTV terminal device. + +NOTE – Usage of these data may include targeting/restricting content items and advertisements to specific groups of users. + +## **6.7 Public interest** + +### **6.7.1 Accessibility** + +Requirements in this clause are intended to benefit the people with disabilities or people with special needs and meet the minimum regulatory requirements. + +These requirements provide accessibility for people with temporary environmental dysfunctions to include people with varied or different languages, to those with learning difficulties and to those whose capabilities are diminished by age and degeneration. There are about 18% of people worldwide living with some kind of disability, including those related to aging; 10% live with life- + +altering disabilities, two thirds of which are in developing countries. Users with disabilities have a general need to be provided with means to control and use terminals and services in alternative ways and modes, suiting varied capabilities and preferences. Such requirements are best met by the inclusive design of the general provision of IPTV terminals and services [b-ITU-T TP.TACL] [b-ITU-T F.790]. + +It is also noted that some of these accessibility features are presently mainstream in their use and have been included in other clauses in this Recommendation. + +NOTE 1 – Some of the following requirements below may have regulatory implications in some countries and may not be required for all IPTV applications. National regulations may place specific additional requirements that shall be honoured. + +NOTE 2 – Other needs for users with disabilities to use emergency telecommunication services are handled in clause 6.7.2. + +#### Architecture requirements + +- R 6.7.1-01: The IPTV architecture is required to support mechanisms to support subtitles and captions. +- R 6.7.1-02: The IPTV architecture is required to support subtitles and captions' presentation in a separate window. +- R 6.7.1-03: The IPTV architecture is required to support the ability to select and receive two (related) video sources simultaneously (e.g., one with sign language translation). +- R 6.7.1-04: The IPTV architecture is required to support the ability to select and receive two (related) audio sources simultaneously (e.g., one with audio description). +- R 6.7.1-05: The IPTV architecture is required to provide the end-user the ability to select and switch between supplementary content that is associated with the main video content, if available. +- R 6.7.1-06: The IPTV architecture is required to support the end-user ability to select preferred supplementary content for sign language with a selectable preferred on-screen layout. + +#### IPTV application and device requirements + +- R 6.7.1-07: The IPTV applications and devices are required to be designed using principles of universal design so that a wider population with users of varying capabilities can access such applications and devices. +- R 6.7.1-08: The IPTV metadata is required to contain information about the provision of accessibility features. + +#### Architecture recommendations + +- RR 6.7.1-01: The IPTV architecture is recommended to support good quality audio transmission and reproduction to make it possible for people to perceive the sound well [ITU-T Y.1541]. +- RR 6.7.1-02: The IPTV architecture is recommended to support video transmission with sufficient quality for sign language perception if there is sign language in the contents [b-ITU-T H-Sup.1]. +- RR 6.7.1-03: The IPTV architecture is recommended to support video transmission with sufficient quality for lip reading perception [b-ITU-T H-Sup.1]. + +#### IPTV application and device recommendations + +- RR 6.7.1-04: The recording of accessibility features is recommended to be done in such a way that, when watching the recording, they can be both switched on and switched off. Therefore, it is a good idea to record all accessibility feature streams and link them to the service as a whole. + +### **6.7.2 Emergency telecommunications and regulatory information services** + +#### Architecture requirements + +- R 6.7.2-01: The IPTV architecture is required to support emergency alert service, where required, by regulation or law of the country. +- R 6.7.2-02: The IPTV architecture is required to support interfaces for receipt of suitably authorized emergency alert information (including any accessibility messages) where emergency alert service is provided. +- R 6.7.2-03: The IPTV architecture is required to implement robust mechanisms for handling emergency telecommunications throughout the service and transport layers. +- R 6.7.2-04: The IPTV architecture is required to support priority channel(s) for emergency telecommunications. +- R 6.7.2-05: The IPTV architecture is required to support a high-priority interface to existing emergency telecommunications services (e.g., through PSTN or ISDN). +- R 6.7.2-06: The IPTV architecture is required to support routing of emergency telecommunications from the end-user to appropriate emergency response service(s). +- R 6.7.2-07: The IPTV architecture is required to support routing of emergency telecommunications from an emergency response service to end-user(s). +- R 6.7.2-08: The IPTV architecture is required to support the capability to give communication control to the emergency response service, thus only the emergency response service can terminate a communication and not the end-user. +- R 6.7.2-09: The IPTV architecture is required to support the capability to give the end-user's geographical location to the emergency response service(s). +- R 6.7.2-10: The IPTV architecture is required to support both authenticated and unauthenticated access to emergency telecommunication services. +- R 6.7.2-11: The IPTV architecture is required to support emergency telecommunications with alternative and multimedia content, e.g., video, real-time text, voice and any combination thereof, as well as other forms of messaging. +- R 6.7.2-12: The IPTV architecture is required to support the end-user ability to be notified and receive regulatory information services, e.g., EAN messages (un-associated with TV channels) whenever the IPTV terminal device is active (e.g., displaying an EPG or a channel). +- R 6.7.2-13: The reception of regulatory information services is required to trigger mechanisms to draw the end-user attention. + +#### Architecture recommendations + +- RR 6.7.2-01: The IPTV architecture is recommended to support the capability of logging and forwarding emergency alert notifications. +- RR 6.7.2-02: The IPTV architecture is recommended to support the delivery of the specific emergency messages to the corresponding user groups based on predefined policies (e.g., geographic location). + +- RR 6.7.2-03: The IPTV architecture is recommended to support identification of the alerting message sources and to support the classification of such messages upon predefined policies. + +#### IPTV terminal device recommendations + +- RR 6.7.2-04: The IPTV terminal device is recommended to process emergency messages (including any accessibility messages) if they are made available via the transmission infrastructure. + +### **6.7.3 Provider selection and number portability** + +#### Architecture recommendations + +- RR 6.7.3-01: The IPTV architecture is recommended to support a mechanism for end-users to select IPTV network providers, IPTV service providers, and IPTV content providers according to their preferences. + +#### Architecture options + +- OR 6.7.3-01: The IPTV architecture can optionally support number portability capabilities. + +# Appendix I + +## Public interest cross-reference + +(This appendix does not form an integral part of this Recommendation) + +Here are listed the items in the "Public interest" clause 6.7 with a cross-reference to the individual requirements clauses in the main body they relate to. + +The IPTV architecture is required to support mechanisms to support closed captioning. + +- Related requirement(s): R 6.5.1.2-01 +- Related recommendation(s): RR 6.5.2-15, RR 6.5.2-19, RR 6.5.2-27 + +The IPTV architecture is required to support the ability of the ITF to decode and display closed captioning information. + +- Related requirement(s): R 6.5.1.7-01, R 6.5.2.10-11, R 6.6.2.2-03 +- Related recommendation(s): RR 6.5.2-38, RR 6.6.2.2-03 + +The IPTV architecture is required to support the ability to view the captions and vary its presentation in a separate window. + +- Related recommendation(s): RR 6.6.2.2-09 +- Related option(s): OR 6.5.2-17, OR 6.5.2-18 + +The IPTV architecture is required to support the ability to select and receive two (related) video sources simultaneously. (e.g., one with sign language translation). + +- Related requirement(s): R 6.5.1.2-01 +- Related recommendation(s): RR 6.1-06 + +The IPTV architecture is required to support the ability to select and receive two audio sources. (e.g., one with audio description). + +- Related requirement(s): R 6.5.1.1-02, R 6.5.1.2-01, R 6.5.2-03 +- Related recommendation(s): RR 6.6.4.1-02 + +The audio transmission and reproduction is recommended to be of good quality to make it possible for people to perceive the sound well. + +- Related option(s): OR 6.6.4.3-01 + +Video is recommended to be transmitted with sufficient quality for sign language perception if there is sign language in the contents. + +- Related recommendation(s): RR 6.2-04 + +Video is recommended to be transmitted with sufficient quality for lip reading perception. + +- Related requirement(s): R 6.6.4.2-01 +- Related recommendation(s): RR 6.2-04 + +The ITU-T accessibility checklist is recommended to be applied to the work on IPTV [b-ITU-T TP.TACL]. + +The IPTV applications and equipments are required to be designed using principles of universal design so that a wider population with users of varying capabilities can access such applications and equipment. + +- Related requirement(s): R 6.5.2-04 + +- Related recommendation(s): RR 6.5.1.1-01, RR 6.5.2-10, RR 6.5.2-11, RR 6.5.2-12, RR 6.5.2-13, RR 6.5.2-14, RR 6.5.2-17, RR 6.5.2-34, RR 6.5.2.1-02, RR 6.5.2.1-03 +- Related option(s): OR 6.5.2-10 + +The IPTV metadata is required to contain information about the provision of accessibility features. + +- Related requirement(s): R 6.6.3.1-01, R 6.6.3.1-02 +- Related recommendation(s): RR 6.6.3.5-01 + +Any recording that the IPTV terminal makes is required to also include the appropriate accessibility features. The recording of accessibility features is recommended to be done in such a way that, when watching the recording, they can be both switched on and switched off. Therefore, it is a good idea to record all accessibility feature streams and link them to the service as a whole. + +- Related requirement(s): R 6.5.1.2-02 +- Related recommendation(s): RR 6.5.1.2-03 + +The IPTV architecture is required to support the end-user ability to be notified and receive regulatory information services (unassociated with TV channels) whenever the IPTV terminal device is active (e.g., displaying an EPG or a TV channel). + +The reception of regulatory information services is required to trigger mechanisms to draw the customer attention. + +The IPTV terminal device is recommended to process emergency messages if they are available in the transmission infrastructure. + +- Related requirement(s): R 6.5.1.2-02 +- Related recommendation(s): RR 6.5.1.2-03 + +## Bibliography + +- [b-ITU-T F.790] Recommendation ITU-T F.790 (2007), *Telecommunications accessibility guidelines for older persons and persons with disabilities*. +- [b-ITU-T G.1081] Recommendation ITU-T G.1081 (2008), *Performance monitoring points for IPTV*. +- [b-ITU-T H.222.0] Recommendation ITU-T H.222.0 (2000) | ISO/IEC 13818-1:2000, *Information technology – Generic coding of moving pictures and associated audio information: Systems*. +- [b-ITU-T H.262] Recommendation ITU-T H.262 (2000) | ISO/IEC 13818-2:2000, *Information technology – Generic coding of moving pictures and associated audio information: Video*. +- [b-ITU-T H.622] Recommendation ITU-T H.622 (2008), *A generic home network architecture with support for multimedia services*. +- [b-ITU-T H-Sup.1] ITU-T H-series Recommendations – Supplement 1 (1999), *Application profile – Sign language and lip-reading real-time conversation using low bit rate video communication*. +- [b-ITU-T J.200] Recommendation ITU-T J.200 (2001), *Worldwide common core – Application environment for digital interactive television services*. +- [b-ITU-T M.60] Recommendation ITU-T M.60 (1993), *Maintenance terminology and definitions*. +- [b-ITU-T M.1400] Recommendation ITU-T M.1400 (2006), *Designations for interconnections among operators' networks*. +- [b-ITU-T M.3050.1] Recommendation ITU-T M.3050.1 (2007), *Enhanced Telecom Operations Map (eTOM) – The business process framework*. +- [b-ITU-T Q.1706] Recommendation ITU-T Q.1706/Y.2801 (2006), *Mobility management requirements for NGN*. +- [b-ITU-T Q.1741.3] Recommendation ITU-T Q.1741.3 (2003), *IMT-2000 references to release 5 of GSM evolved UMTS core network*. +- [b-ITU-T T.101] Recommendation ITU-T T.101 (1994), *International interworking for Videotex services*. +- [b-ITU-T TP.TACL] ITU-T Technical paper: FSTP-TACL *Telecommunications Accessibility Checklist* (2006). +(available at ). +- [b-ITU-T Y.2111] Recommendation ITU-T Y.2111 (2006), *Resource and admission control functions in Next Generation Networks*. +- [b-ITU-T Y.2201] Recommendation ITU-T Y.2201 (2007), *NGN release 1 requirements*. +- [b-ITU-T Y-Sup.5] ITU-T Y-series Recommendations – Supplement 5 (2008), *ITU-T Y.1900-series, Supplement on IPTV service use cases*. +- [b-ATIS-0800002] ATIS standard ATIS-0800002 (2006), *IPTV Architecture Requirements*. +<> +- [b-IETF RFC 2475] IETF RFC 2475 (1998), *An Architecture for Differentiated Services*. +<> + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2022-201108-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2022-201108-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..a30980bac26080bba82a732cfc8a834820e03856 --- /dev/null +++ b/marked/Y/T-REC-Y.2022-201108-I_PDF-E/raw.md @@ -0,0 +1,799 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2022 + +(08/2011) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +--- + +**Functional architecture for the support of +host-based separation of node identifiers and +routing locators in next generation networks** + +Recommendation ITU-T Y.2022 + +![ITU logo: a globe with red lightning bolts and the text 'ITU International Telecommunication Union'](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text "ITU" is written in a large, bold, blue font, and below it, the words "International Telecommunication Union" are written in a smaller, blue font. + +ITU logo: a globe with red lightning bolts and the text 'ITU International Telecommunication Union' + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Smart ubiquitous networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| Future networks | Y.3000–Y.3099 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2022** + +# **Functional architecture for the support of host-based separation of node identifiers and routing locators in next generation networks** + +## **Summary** + +Recommendation ITU-T Y.2022 describes the functional architecture for the support of host-based of ID/locator separation in NGN. ID/locator separation in NGN is concerned with decoupling the semantics of IP addresses into the semantics of identifiers (node IDs) and locators (LOCs) as described in Recommendation ITU-T Y.2015. + +This Recommendation defines the functional entities and the related reference points, based on the framework architecture provided in Recommendation ITU-T Y.2012. + +This Recommendation covers only the host-based case of ID/locator separation (the separation of node ID and locator is done in the user equipment and not in the network). + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2022 | 2011-08-06 | 13 | + +## **Keywords** + +Functional architecture, ID/LOC mapping, NGN. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2012 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Terms defined elsewhere ..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 3 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Conventions ..... | 3 | +| 6 Overview and architecture of ID/LOC separation in the NGN ..... | 4 | +| 6.1 Overview of ID/LOC separation in the NGN..... | 4 | +| 6.2 Architecture overview ..... | 4 | +| 7 Functional architecture ..... | 5 | +| 7.1 High level functions ..... | 6 | +| 7.2 Functional entities ..... | 7 | +| 7.3 Reference points ..... | 7 | +| 8 Procedures of ID/LOC split in NGN ..... | 10 | +| 8.1 Attachment procedure ..... | 10 | +| 8.2 Communication establishment using node ID..... | 12 | +| 8.3 Communication establishment for multihoming..... | 12 | +| 8.4 Communication update when the LOC is changed ..... | 13 | +| 8.5 Detachment procedures ..... | 14 | +| 9 Security considerations ..... | 15 | +| Bibliography..... | 16 | + + + +# Functional architecture for the support of host-based separation of node identifiers and routing locators in next generation networks + +# 1 Scope + +This Recommendation describes the functional architecture for the support of host-based node identifier (ID) and node locator (ID/locator) separation in next generation networks (NGN), based on the requirements provided in [ITU-T Y.2015]. + +This Recommendation addresses the following aspects: + +- The functional architecture model for ID/locator separation in NGN. +- Identification of functions including the definition of functional entities and reference points. +- A description of relevant procedures and interactions with other components of the NGN functional architecture as defined in [ITU-T Y.2012]. + +This Recommendation covers only the host-based case of ID/locator separation, where the separation of node ID and locator is done in the user equipment (UE) and not in the network. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T X.509] | Recommendation ITU-T X.509 (2005) ISO/IEC 9594-8:2005, Information technology – Open Systems Interconnection – The Directory: Public-key and attribute certificate frameworks. | +| [ITU-T Y.2001] | Recommendation ITU-T Y.2001 (2004), General overview of NGN. | +| [ITU-T Y.2012] | Recommendation ITU-T Y.2012 (2010), Functional requirements and architecture of next generation networks. | +| [ITU-T Y.2014] | Recommendation ITU-T Y.2014 (2010), Network attachment control functions in next generation networks. | +| [ITU-T Y.2015] | Recommendation ITU-T Y.2015 (2009), General requirements for ID/locator separation in NGN. | +| [ITU-T Y.2701] | Recommendation ITU-T Y.2701 (2007), Security requirements for NGN release 1. | +| [ITU-T Y.2720] | Recommendation ITU-T Y.2720 (2009), NGN identity management framework. | + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 address** [b-ITU-T Y.2091]: An address is the identifier for a specific termination point and is used for routing to this termination point. + +**3.1.2 credential** [ITU-T Y.2720]: An identifiable object that can be used to authenticate the claimant is what it claims to be and to authorize the claimant's rights. + +**3.1.3 identifier** [b-ITU-T Y.2091]: An identifier is a series of digits, characters and symbols or any other form of data used to identify subscriber(s), user(s), network element(s), function(s), network entity(ies) providing services/applications, or other entities (e.g., physical or logical objects). Identifiers can be used for registration or authorization. They can be either public to all networks, shared between a limited number of networks or private to a specific network (private IDs are normally not disclosed to third parties). + +**3.1.4 ID/LOC mapping** [ITU-T Y.2015]: ID/LOC mapping is an association between a node ID and one or more LOCs. + +NOTE 1 – A single node ID or several node IDs can be associated with many LOCs associated with a single terminal. The node ID to LOC mapping can have the one-to-one, one-to-many, or many-to-one relationship. + +NOTE 2 – ID/LOC mapping is also called ID/LOC binding. + +**3.1.5 ID/LOC mapping function** [ITU-T Y.2015]: An ID/LOC mapping function gets mapping information from an ID/LOC mapping storage function and uses the corresponding node ID and/or LOC in packet headers. The ID/LOC mapping function works in a close correlation with the transport user profile associated with the transport control function. + +NOTE – ID/LOC mapping functions can be physically located in an NGN terminal, an access border gateway, or any other NGN components. + +**3.1.6 ID/LOC mapping storage function** [ITU-T Y.2015]: An ID/LOC mapping storage function stores the mapping of NGN identifiers, node IDs and LOCs. This function also updates mapping information, as well as provides mapping information to other functions on request. The mapping storage function can be physically located in an NGN terminal or with other NGN components. + +**3.1.7 ID/LOC separation** [ITU-T Y.2015]: ID/LOC separation is decoupling the semantic of IP address into the semantics of node IDs and LOCs. Distinct namespaces are used for node IDs and LOCs so that they can evolve independently. LOCs are associated with the IP layer whereas node IDs are associated with upper layers in such a way that ongoing communication sessions or services shall not be broken by changing LOCs due to mobility and multihoming. + +NOTE – In the context of this Recommendation, a completely new namespace for node IDs can optionally be created that would leave the IP address space more or less intact for LOCs, allowing routing technologies to be developed independently of end-host mobility and end-host multihoming implications. + +**3.1.8 locator (LOC)** [ITU-T Y.2015]: A locator is the network layer topological name for an interface or a set of interfaces. LOCs are carried in the IP address fields as packets traverse the network. + +NOTE – IP addresses can gradually become pure LOCs. However, on the contrary, it cannot be said that a LOC is an IP address. An IP address may associate with the IP layer as well as upper layer protocols (such as TCP and HTTP), whereas a LOC will associate with only the IP layer and be used in IP address fields. + +**3.1.9 node ID** [ITU-T Y.2015]: A node ID is an identifier used at the transport and higher layers to identify the node as well as the endpoint of a communication session. A node ID is independent of the node location as well as the network to which the node is attached so that the node ID is not required to change even when the node changes its network connectivity by physically moving or + +simply activating another interface. The node IDs should be used at the transport and higher layers for replacing the conventional use of IP addresses at these layers. A node may have more than one node ID in use. + +NOTE – Unless otherwise specified, the term "ID" used in this Recommendation represents a node ID, not an NGN identifier specified in this or any other Recommendations. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|--------------------------------------------------------------| +| AM-FE | Access Management Functional Entity | +| DHCP | Dynamic Host Configuration Protocol | +| DNS | Domain Name System | +| GSC-FE | General Services Control Functional Entity | +| ID | Identifier | +| ILCF | ID/LOC mapping Control Functions | +| ILMF | ID/LOC Mapping Functions | +| ILM-FE | ID/LOC Mapping Functional Entity | +| ILMS-FE | ID/LOC Mapping Storage Functional Entity | +| IMS | IP Multimedia Subsystem | +| IP | Internet Protocol | +| LOC | Locator | +| NACF | Network Attachment Control Functions | +| NAC-FE | Network Access Configuration Functional Entity | +| NGN | Next Generation Networks | +| P-CSC-FE | Proxy Call Session Control Functional Entity | +| RACF | Resource and Admission Control Functions | +| SCF | Service Control Functions | +| TAA-FE | Transport Authentication and Authorization Functional Entity | +| TLM-FE | Transport Location Management Functional Entity | +| TUP-FE | Transport User Profile Functional Entity | +| UE | User Equipment | + +## **5 Conventions** + +None. + +# 6 Overview and architecture of ID/LOC separation in the NGN + +## 6.1 Overview of ID/LOC separation in the NGN + +According to the definition of NGN provided in [ITU-T Y.2001], the NGN framework is expected to support advanced architectural objectives over a unified IP network. NGN decouples IP-based services and transport, allowing them to be offered separately and evolve independently. + +ID/LOC separation allows the decoupling of the IP addresses' semantics into the semantics of node IDs and LOCs as described in [ITU-T Y.2015]. LOC(s) are associated with the IP layer, whereas node IDs are associated with upper layers related to the NGN service stratum and applications. + +Therefore, when ID/LOC separation is used in NGN, NGN specific functions are necessary to map the conventional NGN identifier to node IDs and to dynamically map the node ID to one or more LOCs. The relationship between the NGN identifier, node ID, and LOC(s), in order to support ID/LOC separation in the NGN functional architecture is described in Figure 6-1. + +![Figure 6-1: ID/LOCs separation in NGN. The diagram shows the mapping between NGN identifiers, node IDs, and LOCs. On the left, a box labeled 'End-user functions' is connected to three stacked boxes: 'Application', 'Service stratum', and 'Transport stratum'. The 'Transport stratum' box is highlighted in green. On the right, three labels are stacked vertically: 'NGN Identifier(s)', 'Node ID(s)', and 'LOC(s)'. Double-headed arrows connect 'NGN Identifier(s)' to 'Node ID(s)', and 'Node ID(s)' to 'LOC(s)'. Below the diagram is the label 'Y.2022(11)_F6-1'.](b8661c6c54f72ecc7ff6cb05e47b2891_img.jpg) + +Y.2022(11)\_F6-1 + +Figure 6-1: ID/LOCs separation in NGN. The diagram shows the mapping between NGN identifiers, node IDs, and LOCs. On the left, a box labeled 'End-user functions' is connected to three stacked boxes: 'Application', 'Service stratum', and 'Transport stratum'. The 'Transport stratum' box is highlighted in green. On the right, three labels are stacked vertically: 'NGN Identifier(s)', 'Node ID(s)', and 'LOC(s)'. Double-headed arrows connect 'NGN Identifier(s)' to 'Node ID(s)', and 'Node ID(s)' to 'LOC(s)'. Below the diagram is the label 'Y.2022(11)\_F6-1'. + +**Figure 6-1 – ID/LOCs separation in NGN** + +Figure 6-1 shows the stage mappings between NGN identifiers, node IDs, and LOC(s) as used in the context of ID/LOC separation in NGN. + +At the first stage, the mapping between the NGN identifier and the node ID takes place, while at the second stage the mapping between the node ID and the LOC takes place according to [ITU-T Y.2015]. + +In the case of host-based ID/LOC separation, the Node ID is an identifier used to identify the UE while the LOC(s) corresponds to the IP address(es) of the UE which is used for addressing and routing. As shown in Figure 6-1, applications are not bound by the locator of the UE, but bound by the node ID of the UE. So each UE has a node ID, and one or more LOCs are allocated to the UE by the network when the UE attaches to the network. + +The network-based ID/LOC split approach (which is out of the scope of this Recommendation) means that the mapping of a node ID to a locator is not performed in the UE itself but in the network. + +## 6.2 Architecture overview + +This clause provides an overview of the architecture for the support of host based ID/LOC separation in NGN. + +The NGN functional architecture supporting ID/LOC split functions is described in Figure 6-2. Two new functional groups, ID/LOC mapping control functions (ILCF) and ID/LOC mapping functions (ILMF) are added to the transport control functions and the end-user functions, respectively. + +![Figure 6-2: Architecture overview for ID/LOC separation in NGN. The diagram illustrates the functional architecture with three main horizontal layers: Applications at the top, Service stratum in the middle (green), and Transport stratum at the bottom (yellow). A vertical Management functions bar (pink) is on the left. Key components include: +- Service stratum: Contains Application support functions, Service control and content delivery functions (including Service user profiles, Service control functions, and Content delivery functions), and ID/LOC mapping control functions (ILCF). +- Transport stratum: Contains Network attachment and control functions (with Transport user profiles), Mobility management and control functions, resource and admission control functions, and Transport functions. +- External entities: Functions from other service providers (connected via SNI) and Functions from other networks (connected via NNI). +- User side: End-user functions including ID/LOC mapping functions (ILMF) connected via UNI. +- IdM functions: A separate block (yellow) interacting with both strata. +Interfaces: ANI (between Applications and Service stratum), SNI (Service Network Interface), UNI (User Network Interface), and NNI (Network Network Interface).](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Y.2022(11)\_F6-2 + +--- Control    — Media    - - - Management    - - - IdM + +Figure 6-2: Architecture overview for ID/LOC separation in NGN. The diagram illustrates the functional architecture with three main horizontal layers: Applications at the top, Service stratum in the middle (green), and Transport stratum at the bottom (yellow). A vertical Management functions bar (pink) is on the left. Key components include: +- Service stratum: Contains Application support functions, Service control and content delivery functions (including Service user profiles, Service control functions, and Content delivery functions), and ID/LOC mapping control functions (ILCF). +- Transport stratum: Contains Network attachment and control functions (with Transport user profiles), Mobility management and control functions, resource and admission control functions, and Transport functions. +- External entities: Functions from other service providers (connected via SNI) and Functions from other networks (connected via NNI). +- User side: End-user functions including ID/LOC mapping functions (ILMF) connected via UNI. +- IdM functions: A separate block (yellow) interacting with both strata. +Interfaces: ANI (between Applications and Service stratum), SNI (Service Network Interface), UNI (User Network Interface), and NNI (Network Network Interface). + +**Figure 6-2 – Architecture overview for ID/LOC separation in NGN** + +The ILCF provides the control information and signalling required to implement ID/LOC mapping functions. It collects, stores, updates, and distributes ID/LOC mapping information. The ILMF performs ID/LOC mapping functions using ID/LOC mapping information obtained from the ILCF. + +# 7 Functional architecture + +Figure 7-1 shows the functional architecture for the support of ID/LOC separation in NGN. Details of the general NGN architecture [ITU-T Y.2012] have been omitted to bring out only the relevant points. + +![Functional architecture for host-based ID/LOC separation in NGN. The diagram shows a hierarchical structure. At the top is 'Service control functions' containing 'SUP-FE'. Below it is 'Transport control functions' containing 'NACF' and 'ILCF'. 'NACF' includes 'TUP-FE', 'TLM-FE', 'TAA-FE', 'NAC-FE', and 'AM-FE'. 'ILCF' includes 'ILMS-FE'. To the right is 'RACF'. At the bottom is 'Transport functions' containing 'PE-FE'. On the left is 'End-user functions' containing 'ILMF' and 'ILM-FE'. Arrows indicate interactions: SUP-FE to NACF and ILCF; NACF to ILCF; ILCF to RACF; RACF to PE-FE; AM-FE to PE-FE; ILMF to ILM-FE; and ILM-FE to PE-FE.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Y.2022(11)\_F7-1 + +Functional architecture for host-based ID/LOC separation in NGN. The diagram shows a hierarchical structure. At the top is 'Service control functions' containing 'SUP-FE'. Below it is 'Transport control functions' containing 'NACF' and 'ILCF'. 'NACF' includes 'TUP-FE', 'TLM-FE', 'TAA-FE', 'NAC-FE', and 'AM-FE'. 'ILCF' includes 'ILMS-FE'. To the right is 'RACF'. At the bottom is 'Transport functions' containing 'PE-FE'. On the left is 'End-user functions' containing 'ILMF' and 'ILM-FE'. Arrows indicate interactions: SUP-FE to NACF and ILCF; NACF to ILCF; ILCF to RACF; RACF to PE-FE; AM-FE to PE-FE; ILMF to ILM-FE; and ILM-FE to PE-FE. + +**Figure 7-1 – Functional architecture for host-based ID/LOC separation in NGN** + +The ILCF includes the ID/LOC mapping storage functional entity (ILMS-FE), whereas the ILMF includes the ID/LOC mapping functional entity (ILM-FE). + +## 7.1 High level functions + +ID/LOC separation involves the following functions: + +- service control functions (SCF); +- network attachment control functions (NACF); +- ID/LOC mapping control functions (ILCF); +- ID/LOC mapping functions (ILMF). + +#### 7.1.1 Service control functions (SCF) + +The SCF accommodates service user profiles. The SCF interacts with the ILCF to obtain the node ID of the UE. + +The procedure is as follows: + +- the SCF retrieves node locators and relevant session information from the ILCF; +- the SCF sends a LOC query request to the ILCF, which responds with the LOC query response information containing the LOC and additional information relevant to the format of location information provided by the ILCF. + +NOTE – In an IMS-based architecture, the SCF interacts with the ILCF through P-CSC-FE, but in a non-IMS-based architecture, the SCF interacts with the ILCF through GSC-FE [ITU-T Y.2012]. + +#### 7.1.2 Network attachment control functions (NACF) + +When a UE attaches to the access network in NGN, the user authentication and authorization procedure is performed. When NGN supports host-based ID/LOC separation, the NACF allocates LOC to the UE and interacts with the ILCF to exchange ID/LOC mapping information. + +NOTE – The support of ID/LOC by NACF [ITU-T Y.2014] is for further study. + +#### **7.1.3 ID/LOC mapping control functions (ILCF)** + +ILCF stores, distributes and updates ID/LOC mapping information. The ILCF has direct interactions with the TLM-FE within NACF to exchange ID/LOC mapping information of the UE. The ILCF has the following responsibilities: + +- storing the authentication credentials [ITU-T Y.2720] of the UE, such as encryption keys [ITU-T X.509] and node IDs. The public cryptographic key, of a public/private key pair, is used to authenticate that the UE possesses the node ID, which in turn can be used to securely associate different locators with the same UE; +- processing the registration information sent from the UE; +- maintaining the binding of the node ID and LOC assigned to the UE; +- updating the ID/LOC mapping dynamically. + +#### **7.1.4 ID/LOC mapping functions (ILMF)** + +The ILMF is located in the end-user functions. The ILMF performs ID/LOC mapping functions using ID/LOC mapping information obtained from the ILCF. + +## **7.2 Functional entities** + +The functional entities required for the support of ID/LOC separation in NGN are as follows: + +- ID/LOC mapping functional entity (ILM-FE); +- ID/LOC mapping storage functional entity (ILMS-FE). + +#### **7.2.1 ID/LOC mapping functional entity (ILM-FE)** + +The ILM-FE is located in the ILMF and performs the ID/LOC mapping function in the UE. It obtains the ID/LOC mapping record from an ID/LOC mapping storage functional entity (ILMS-FE). The ILM-FE uses node IDs in the service stratum and applications and locators in layer 3 within the transport stratum. Using the node ID as a reference value, the ILM-FE can dynamically change, while continuously using the same node ID. + +#### **7.2.2 ID/LOC mapping storage functional entity (ILMS-FE)** + +ILMS-FE stores ID/LOC mapping records. It handles requests for ID/LOC mapping received from the ILM-FE, searches for the corresponding mapping in its record, and forwards the mapping information to the ILM-FE. It also handles update requests for ID/LOC mapping from authorized functional entities such as the NACF and UE, and carries out corresponding updates. + +## **7.3 Reference points** + +Figures 7-2.a and 7-2.b show the functions, the functional entities and the related reference points defined in this Recommendation. + +![Figure 7-2.a: Reference points involved in ID/LOC mapping control functions in the IMS-based architecture. The diagram shows a hierarchical structure. At the top is 'Service control functions' containing 'P-CSC-FE' and 'SUP-FE'. Below this is a large box containing 'NACF' (with 'TUP-FE', 'TLM-FE', 'TAA-FE', 'NAC-FE', and 'AM-FE'), 'ILCF' (with 'S1' and 'ILMS-FE'), and 'RACF'. 'Transport control functions' is indicated between the NACF and ILCF sections. Below this is 'Transport functions' containing 'PE-FE'. To the left is 'End-user functions' containing 'ILMF' and 'ILM-FE'. Reference points S2 and S3 are shown between TLM-FE and ILMS-FE, and between NAC-FE and ILMS-FE respectively. A line connects the 'End-user functions' box to the 'Transport functions' box. The label 'Y.2022(11)_F7-2.a' is at the bottom right.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Figure 7-2.a: Reference points involved in ID/LOC mapping control functions in the IMS-based architecture. The diagram shows a hierarchical structure. At the top is 'Service control functions' containing 'P-CSC-FE' and 'SUP-FE'. Below this is a large box containing 'NACF' (with 'TUP-FE', 'TLM-FE', 'TAA-FE', 'NAC-FE', and 'AM-FE'), 'ILCF' (with 'S1' and 'ILMS-FE'), and 'RACF'. 'Transport control functions' is indicated between the NACF and ILCF sections. Below this is 'Transport functions' containing 'PE-FE'. To the left is 'End-user functions' containing 'ILMF' and 'ILM-FE'. Reference points S2 and S3 are shown between TLM-FE and ILMS-FE, and between NAC-FE and ILMS-FE respectively. A line connects the 'End-user functions' box to the 'Transport functions' box. The label 'Y.2022(11)\_F7-2.a' is at the bottom right. + +**Figure 7-2.a – Reference points involved in ID/LOC mapping control functions in the IMS-based architecture** + +![Figure 7-2.b: Reference points involved in ID/LOC mapping control functions in the non-IMS-based architecture. The diagram is similar to Figure 7-2.a but with 'GSC-FE' instead of 'P-CSC-FE' in the 'Service control functions' box. The rest of the structure, including NACF, ILCF, RACF, Transport control functions, Transport functions (PE-FE), and End-user functions (ILMF, ILM-FE), remains the same. Reference points S2 and S3 are also present. A line connects the 'End-user functions' box to the 'Transport functions' box. The label 'Y.2022(11)_F7-2.b' is at the bottom right.](4ee27dbf5ef12e7b58b0ef0937bc5a5e_img.jpg) + +Figure 7-2.b: Reference points involved in ID/LOC mapping control functions in the non-IMS-based architecture. The diagram is similar to Figure 7-2.a but with 'GSC-FE' instead of 'P-CSC-FE' in the 'Service control functions' box. The rest of the structure, including NACF, ILCF, RACF, Transport control functions, Transport functions (PE-FE), and End-user functions (ILMF, ILM-FE), remains the same. Reference points S2 and S3 are also present. A line connects the 'End-user functions' box to the 'Transport functions' box. The label 'Y.2022(11)\_F7-2.b' is at the bottom right. + +**Figure 7-2.b – Reference points involved in ID/LOC mapping control functions in the non-IMS-based architecture** + +In an IMS-based architecture the SCF interacts with the ILCF through P-CSC-FE, but in a non-IMS-based architecture the SCF interacts with the ILCF through GSC-FE [ITU-T Y.2012]. + +#### 7.3.1 Reference point S1 between SCF and ILMS-FE + +S1 reference point enables SCF to retrieve information about the characteristics of the IP connectivity session from the ILCF. In an IMS-based architecture the S1 reference point is between the P-CSC-FE and ILMS-FE, but in a non-IMS-based architecture the S1 reference point is between the GSC-FE and ILMS-FE. The node ID of the UE is provided by the ILMS-FE. The following information flows are used on the S1 reference point: + +- Information query request: This information flow contains the node ID and locator of the UE and flows from the SCF to the ILMS-FE. + +- Information query response: This information flow contains the node ID and locator of the UE and flows from the ILMS-FE to the SCF. +- Event registration request: This information flow also contains the node ID and locator of the UE and flows from the SCF to the ILMS-FE. +- Event registration response: This information flow contains the node ID and locator of the UE and flows from the ILMS-FE to the SCF. +- Notification event request: This information flow also contains the node ID and locator of the UE and flows from the SCF to the ILMS-FE. +- Notification event response: This information flow contains the node ID and locator of the UE and flows from the ILMS-FE to the SCF. + +#### **7.3.2 Reference point S2 between TLM-FE and ILMS-FE** + +The S2 reference point allows the TLM-FE to register in the ILMS-FE the mapping between the LOC allocated to the UE and the node ID. + +The following information flows are used on the S2 reference point: + +- Mapping indication: This information flow contains the ID/LOC mapping of the UE and flows from the TLM-FE to the ILMS-FE to register the ID/LOC mapping in the ILMS-FE's record. +- Mapping acknowledgment: This information flow contains the result of the operation of the mapping indication and flows from the ILMS-FE to the TLM-FE. +- Mapping delete indication: This information flow contains the node ID and locator of the UE and flows from the TLM-FE to the ILMS-FE to delete the ID/LOC mapping in the latter's record. +- Mapping delete acknowledgment: This information flow contains the result of the operation of the mapping delete indication and flows from the ILMS-FE to the TLM-FE. + +#### **7.3.3 Reference point S3 between UE and ILMS-FE** + +The S3 reference point between the UE and the ILMS-FE allows the UE to authenticate with the ILMS-FE, and to update the ID/LOC mapping in the ILMS-FE by exchanging the following information flows. + +- UE authentication request: This information flow from the UE to the ILMS-FE contains the node ID and authentication parameter generated by encrypting the node ID by the UE's private key. +- UE authentication response: This information flow from the ILMS-FE to the UE contains the node ID and the result (success or failure) of the authentication request. +- ID/LOC mapping registration request: This information flow is sent from the UE to the ILMS-FE to register the ID/LOC mapping in the ILMS database. +- ID/LOC mapping registration response: This information flow contains the node ID and the result of the registration request is sent from the ILMS-FE to the UE. +- ID/LOC mapping update request: This information flow containing the updated ID/LOC mapping is sent from the UE to the ILMS-FE when the UE changes its locator (e.g., as a result of mobility). +- ID/LOC mapping update response: This information flow containing the node ID and the result of the update request is sent from the ILMS-FE to the UE. + +## 8 Procedures of ID/LOC split in NGN + +This clause describes the procedures related to host-based ID/LOC separation in NGN. + +### 8.1 Attachment procedure + +#### 8.1.1 ID/LOC mapping update initiated by the UE + +When a UE attaches to a network, the UE's node ID is used during authentication and authorization processes. The UE attaches to the network through the involvement of the ILMS-FE and the NACF. + +Figure 8-1 describes the signalling flow sequence related to ID/LOC mapping initiated by the UE. + +![Figure 8-1: Signalling flow sequence in the UE initiated ID/LOC mapping registration. The diagram shows a sequence of messages between UE, AM-FE, NAC-FE, TLM-FE, SCFs, TUP-FE or TAA-FE, and ILMS-FE across four phases: A (Authentication and authorization), B (IP Configuration), C (ID/LOC mapping), and D (Transport location management).](41a438d7e4adc17c3a4005e7c9500091_img.jpg) + +| | UE | AM-FE | NAC-FE | TLM-FE | SCFs | TUP-FE
or TAA-FE | ILMS-FE | +|---------------------------------------------|----|-----------------|--------------------------|-------------------------------------|------|-----------------------------|---------| +| A
Authentication
and
authorization | | A.1 Attach req | | A.2 Authentication req | | | | +| | | | | A.3 Authentication resp | | | | +| | | A.4 Attach resp | | | | | | +| | | | | A.5 Authentication req | | | | +| | | | | A.6 Authentication resp | | | | +| | | | | | | | | +| B IP
Configuration | | B.1 DHCP req | | | | | | +| | | B.2 | B.3 Mapping notification | | | | | +| | | | B.4 Mapping resp | | | | | +| | | B.5 DHCP resp | | | | | | +| | | | | | | | | +| C ID/LOC
mapping | | | | C1.ID/LOC mapping registration req | | | | +| | | | | C2.ID/LOC mapping registration resp | | | | +| D Transport
location
management | | | | | | D.1 Transport location req | | +| | | | | | | D.2 Transport location resp | | + +Y.2022(11)\_F8-1 + +Figure 8-1: Signalling flow sequence in the UE initiated ID/LOC mapping registration. The diagram shows a sequence of messages between UE, AM-FE, NAC-FE, TLM-FE, SCFs, TUP-FE or TAA-FE, and ILMS-FE across four phases: A (Authentication and authorization), B (IP Configuration), C (ID/LOC mapping), and D (Transport location management). + +**Figure 8-1 – Signalling flow sequence in the UE initiated ID/LOC mapping registration** + +##### Phase A: authentication and authorization + +- A.1) The UE sends an attachment request containing the node ID and user credential to the network with node ID. +- A.2) The AM-FE forwards the user credential to the TAA-FE for authentication. +- A.3, A.4) The TAA-FE responds to the AM-FE, which in turn responds to the UE with an attachment response. +- A.5) The UE sends to the ILMS-FE an authentication request containing the encryption of the node ID by the UE's public key. +- A.6) The ILMS-FE sends to the UE an authentication response containing the result of the authentication process. + +##### Phase B: IP configuration + +- B.1) The UE issues a DHCP request containing its node ID to the AM-FE. +- B.2) The AM-FE forwards the request to the NAC-FE, which allocates the LOC. +- B.3) The NAC-FE pushes a mapping notification message to the TLM-FE, containing the allocated LOC and other transport related parameters such as logical/physical port addresses. + +- B.4) The TLM-FE replies to the NAC-FE with the mapping notification response message. +- B.5) The NAC-FE configures a new LOC and assigns it to the UE. The UE is now aware of the mapping between the node Id and the LOC. + +##### Phase C: ID/LOC mapping + +- C.1) The UE sends an ID/LOC mapping registration request to the ILMS-FE to register the ID/LOC mapping storage record. +- C.2) The ILMS-FE replies to the UE with the ID/LOC mapping registration response. + +##### Phase D: Transport location management + +- D.1) The SCF queries the ILMS-FE for location information. +- D.2) The ILMS-FE sends the location information to the SCF. + +#### 8.1.2 ID/LOC mapping initiated by the network + +This procedure enables the NACF to send the ID/LOC mapping registration request to the ILMS-FE after a new LOC has been allocated by the NACF. + +Figure 8-2 describes the signalling flow sequence where the network initiates the ID/LOC mapping signalling flow sequence. + +![Sequence diagram showing the ID/LOC mapping initiated by the network. The diagram involves seven entities: UE, AM-FE, NAC-FE, TLM-FE, SCFs, TUP-FE or TAA-FE, and ILMS-FE. The process is divided into four phases: A (Authentication and authorization), B (IP Configuration), C (ID/LOC mapping), and D (Transport location management). Phase A includes steps A.1 to A.6. Phase B includes steps B.1 to B.5. Phase C includes steps C.1 to C.8. Phase D includes steps D.1 and D.2.](43837b056625d3d6ce615e4c02f163bb_img.jpg) + +| | UE | AM-FE | NAC-FE | TLM-FE | SCFs | TUP-FE or TAA-FE | ILMS-FE | +|------------------------------------|----|------------------------------|-------------------------------------|--------------------------------------|------|-----------------------------|---------| +| A Authentication and authorization | | A.1 Attach req | | | | | | +| | | | | A.2 Authentication req | | | | +| | | | | A.3 Authentication resp | | | | +| | | A.4 Attach resp | | | | | | +| | | | | A.5 Send authentication info | | | | +| | | | | A.6 Authentication info ack | | | | +| B IP Configuration | | B.1 DHCP req | | | | | | +| | | | B.2 | B.3 Bind notification | | | | +| | | | | B.4 Bind resp | | | | +| | | B.5 DHCP resp | | | | | | +| | | | | | | | | +| C ID/LOC mapping | | | C.1 ID/LOC mapping registration req | | | | | +| | | | | C.2 ID/LOC mapping registration req | | | | +| | | | | C.3 ID/LOC mapping registration resp | | | | +| | | C.6 | | | | | | +| | | C.7 Registration inform resp | | | | | | +| D Transport location management | | | | | | | | +| | | | | | | D.1 Transport location req | | +| | | | | | | D.2 Transport location resp | | + +Y.2022(11)\_F8-2 + +Sequence diagram showing the ID/LOC mapping initiated by the network. The diagram involves seven entities: UE, AM-FE, NAC-FE, TLM-FE, SCFs, TUP-FE or TAA-FE, and ILMS-FE. The process is divided into four phases: A (Authentication and authorization), B (IP Configuration), C (ID/LOC mapping), and D (Transport location management). Phase A includes steps A.1 to A.6. Phase B includes steps B.1 to B.5. Phase C includes steps C.1 to C.8. Phase D includes steps D.1 and D.2. + +**Figure 8-2 – ID/LOC mapping initiated by the network** + +As in Figure 8-1, Figure 8-2 also includes four phases. All the phases, except phase C, are similar in both figures. + +In phase C, ID/LOC mapping registration takes place. In Figure 8-1 the registration was initiated by the UE whereas in Figure 8-2, it is initiated on the network side by the TLM-FE. + +NOTE – Phases A, B and D are the same as the ones described in clause 8.1.1. + +##### Phase C: ID/LOC mapping + +- C.1) The NAC-FE sends an ID/LOC mapping registration request to the TLM-FE. +- C.2) The TLM-FE sends an ID/LOC mapping registration request to the ILMS-FE to register the ID/LOC mapping storage record. +- C.3) The ILMS-FE replies to the TLM-FE with the ID/LOC mapping registration response. +- C.4) The TLM-FE replies to the NAC-FE with the ID/LOC mapping registration response. +- C.5, C.6) After step C.1 the NAC-FE sends an ID/LOC mapping registration inform request to the AM-FE, which then sends an ID/LOC mapping registration inform request to the UE to inform it that the registration has been initiated by the network. +- C.7, C.8) The UE replies to the AM-FE with the ID/LOC mapping registration inform response, then the AM-FE sends an ID/LOC mapping registration inform response to the NAC-FE. + +### 8.2 Communication establishment using node ID + +Figure 8-3 describes the communication establishment procedure using the node ID. + +![Sequence diagram showing communication establishment between UE1, DNS, ILMS-FE, and UE2. The steps are: 1. DNS query from UE1 to DNS. 2. ID/LOC mapping query from DNS to ILMS-FE. 3. ID/LOC mapping response from ILMS-FE to DNS. 4. Communication establishment from UE1 to UE2. 5. Communication through tunnel from UE1 to UE2.](9cd90f495b95ad2116ff780248c26d95_img.jpg) + +``` +sequenceDiagram + participant UE1 + participant DNS + participant ILMS-FE + participant UE2 + + UE1->>DNS: 1 DNS query + DNS->>ILMS-FE: 2 ID/LOC mapping query + ILMS-FE-->>DNS: 3 ID/LOC mapping response + UE1<-->UE2: 4 Communication establishment + UE1<-->UE2: 5 Communication through tunnel +``` + +Y.2022(11)\_F8-3 + +Sequence diagram showing communication establishment between UE1, DNS, ILMS-FE, and UE2. The steps are: 1. DNS query from UE1 to DNS. 2. ID/LOC mapping query from DNS to ILMS-FE. 3. ID/LOC mapping response from ILMS-FE to DNS. 4. Communication establishment from UE1 to UE2. 5. Communication through tunnel from UE1 to UE2. + +**Figure 8-3 – Communication establishment procedures using node ID** + +The procedure described in Figure 8-3 includes the following: + +- 1) UE1 sends a DNS query towards the DNS server [b-IETF RFC 5205] to find the ILMS-FE of UE2. +- 2) UE1 then issues an ID/LOC mapping query to the ILMS-FE including the Node ID of UE2 in order to obtain the LOC of UE2. +- 3) The ILMS-FE sends a response to UE1 which includes the LOC of UE2. +- 4) UE1 establishes communication with UE2 using the LOC of UE2. +- 5) UE1 is able to communicate with UE2. + +### 8.3 Communication establishment for multihoming + +In the case of multihoming, the UE may have multiple valid LOCs. However, the UE still uses the same node ID to communicate with other UEs. The corresponding procedure for communication establishment is described in Figure 8-4. + +![Sequence diagram for communication establishment procedures using node ID when multihoming. The diagram shows interactions between UE1, DNS, ILMS-FE1, ILMS-FE2, and UE2. Step 1: UE1 sends a DNS query to DNS. Step 2: UE1 sends an ID/LOC mapping query request to ILMS-FE2. Step 3: UE2 selects a LOC and indicates it to ILMS-FE2. Step 4: ILMS-FE2 sends an ID/LOC mapping query response to UE1. Step 5: UE1 establishes communication with UE2. Step 6: Communication is established through a tunnel between UE1 and UE2.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +``` + +sequenceDiagram + participant UE1 + participant DNS + participant ILMSFE1 as ILMS-FE1 + participant ILMSFE2 as ILMS-FE2 + participant UE2 + + UE1->>DNS: 1 DNS query + UE1->>ILMSFE2: 2 ID/LOC mapping query request + Note over UE2: 3 LOC select + ILMSFE2->>UE1: 4 ID/LOC mapping query response + UE1->>UE2: 5 Communication establishment + UE1<-->UE2: 6 Communication through tunnel + +``` + +Y.2022(11)\_F8-4 + +Sequence diagram for communication establishment procedures using node ID when multihoming. The diagram shows interactions between UE1, DNS, ILMS-FE1, ILMS-FE2, and UE2. Step 1: UE1 sends a DNS query to DNS. Step 2: UE1 sends an ID/LOC mapping query request to ILMS-FE2. Step 3: UE2 selects a LOC and indicates it to ILMS-FE2. Step 4: ILMS-FE2 sends an ID/LOC mapping query response to UE1. Step 5: UE1 establishes communication with UE2. Step 6: Communication is established through a tunnel between UE1 and UE2. + +**Figure 8-4 – Communication establishment procedures using node ID when multihoming** + +In Figure 8-4, UE2 is multihomed. The procedure for communication establishment from UE1 to UE2 includes the following steps: + +- 1) UE1 sends a DNS query towards the DNS server in order to obtain the LOC of ILMS-FE associated with UE2. +- 2) UE1 then issues an ID/LOC mapping query to ILMS-FE2 (i.e., the ILMS-FE associated with UE2). +- 3) As it is multihomed, UE2 selects the LOC to be used for the communication with UE1 and indicates the selected LOC to ILMS-FE2. +- 4) ILMS-FE2 sends a response to UE1 including the selected LOC of UE2. +- 5) UE1 establishes a connection with UE2 using the selected LOC of UE2. +- 6) Communication is established between UE1 and UE2. + +### 8.4 Communication update when the LOC is changed + +When the LOC of a UE changes (e.g., as a result of UE moving), the UE requests the ILCF to update its ID/LOC mapping. If the UE is communicating with another UE, it updates the communication with the new LOC. + +The related procedure is described in Figure 8-5. + +![Sequence diagram for communication update when the LOC is changed. The diagram shows interactions between UE1, ILMS-FE1, ILMS-FE2, and UE2. A green bar at the top indicates 'Data transport' between UE1 and UE2. Step 1: UE1 sends an ID/LOC mapping update request to ILMS-FE1. Step 2: ILMS-FE1 sends an ID/LOC mapping update response to UE1. Step 3: UE1 updates communication with UE2. Step 4: Communication is updated through a tunnel between UE1 and UE2.](12de9b926df0384ec07702671827c9cd_img.jpg) + +``` + +sequenceDiagram + participant UE1 + participant ILMSFE1 as ILMS-FE1 + participant ILMSFE2 as ILMS-FE2 + participant UE2 + + Note over UE1, UE2: Data transport + UE1->>ILMSFE1: 1 ID/LOC mapping update request + ILMSFE1->>UE1: 2 ID/LOC mapping update response + UE1->>UE2: 3 Communication update + UE1<-->UE2: 4 Communication through tunnel + +``` + +Y.2022(11)\_F8-5 + +Sequence diagram for communication update when the LOC is changed. The diagram shows interactions between UE1, ILMS-FE1, ILMS-FE2, and UE2. A green bar at the top indicates 'Data transport' between UE1 and UE2. Step 1: UE1 sends an ID/LOC mapping update request to ILMS-FE1. Step 2: ILMS-FE1 sends an ID/LOC mapping update response to UE1. Step 3: UE1 updates communication with UE2. Step 4: Communication is updated through a tunnel between UE1 and UE2. + +**Figure 8-5 – Communication update when the LOC is changed** + +The procedure described in Figure 8-5 includes the following four steps: + +- 1) After UE1 changes its LOC (e.g., as a result of mobility), UE1 sends an ID/LOC mapping update request to its ILMS-FE1, including its new LOC. +- 2) ILMS-FE1 sends a response to UE1 after having updated the ID/LOC mapping record. +- 3) UE1 updates its communication with UE2 in order to use the new LOC of UE1 and establishes a tunnel between them. +- 4) UE1 communicates with UE2. + +### 8.5 Detachment procedures + +The detachment procedures allow: + +- a UE to inform the network that it does not want to access the network any longer; and +- the network to inform the UE that it does not have access to the network any longer. + +#### 8.5.1 Detachment procedure initiated by the UE + +The UE initiated detachment procedure is described in Figure 8-6. + +![Sequence diagram of the UE-initiated detachment procedure. The diagram shows five entities: UE, AM-FE, NAC-FE, TLM-FE, and ILMS-FE. The steps are: 1. UE sends '1 Detach request' to AM-FE. 2. AM-FE sends '2 Detach request' to NAC-FE. 3. NAC-FE sends '3 Detach response' to AM-FE. 4. AM-FE sends '4 Detach response' to UE. 5. NAC-FE sends '5 LOC delete request' to TLM-FE. 6. TLM-FE sends '6 ID/LOC mapping delete request' to ILMS-FE. 7. ILMS-FE sends '7 ID/LOC mapping delete response' to TLM-FE. 8. TLM-FE sends '8 LOC delete response' to NAC-FE. Steps 6 and 7 are enclosed in a dashed box.](e636d7ccca0ad14c6b95201404324823_img.jpg) + +``` + +sequenceDiagram + participant UE + participant AM-FE + participant NAC-FE + participant TLM-FE + participant ILMS-FE + + UE->>AM-FE: 1 Detach request + AM-FE->>NAC-FE: 2 Detach request + NAC-FE-->>AM-FE: 3 Detach response + AM-FE-->>UE: 4 Detach response + NAC-FE->>TLM-FE: 5 LOC delete request + TLM-FE->>ILMS-FE: 6 ID/LOC mapping delete request + ILMS-FE-->>TLM-FE: 7 ID/LOC mapping delete response + TLM-FE-->>NAC-FE: 8 LOC delete response + +``` + +Y.2022(11)\_F8-6 + +Sequence diagram of the UE-initiated detachment procedure. The diagram shows five entities: UE, AM-FE, NAC-FE, TLM-FE, and ILMS-FE. The steps are: 1. UE sends '1 Detach request' to AM-FE. 2. AM-FE sends '2 Detach request' to NAC-FE. 3. NAC-FE sends '3 Detach response' to AM-FE. 4. AM-FE sends '4 Detach response' to UE. 5. NAC-FE sends '5 LOC delete request' to TLM-FE. 6. TLM-FE sends '6 ID/LOC mapping delete request' to ILMS-FE. 7. ILMS-FE sends '7 ID/LOC mapping delete response' to TLM-FE. 8. TLM-FE sends '8 LOC delete response' to NAC-FE. Steps 6 and 7 are enclosed in a dashed box. + +**Figure 8-6 – Detachment procedure initiated by the UE** + +The procedure described in Figure 8-6 includes the following steps: + +- 1, 2) UE sends a detach request to the AM-FE, and the AM-FE forwards the detach request to the NAC-FE. +- 3, 4) The NAC-FE releases the related attachment information and sends a detach response to the AM-FE, which in turn responds to the UE. +- 5) The NAC-FE sends a LOC delete request to the TLM-FE. +- 6, 7) The TLM-FE sends an ID/LOC mapping delete request to the ILMS-FE to delete the ID/LOC mapping stored in the ILMS-FE. After deleting the record, the ILMS-FE sends an ID/LOC mapping delete response to the TLM-FE. +- 8) The TLM-FE sends a LOC delete response to the NAC-FE. + +#### 8.5.2 Detachment procedure initiated by the network + +The detachment procedure initiated by the network is described in Figure 8-7. + +![Sequence diagram showing the Detachment procedure initiated by the network. The participants are UE, AM-FE, NAC-FE, TLM-FE, and ILMS-FE. The steps are: 1. Detach request from NAC-FE to AM-FE; 2. Detach request from AM-FE to UE; 3. Detach response from UE to AM-FE; 4. Detach response from AM-FE to NAC-FE; 5. LOC delete request from NAC-FE to TLM-FE; 6. ID/LOC mapping delete request from TLM-FE to ILMS-FE; 7. ID/LOC mapping delete response from ILMS-FE to TLM-FE; 8. LOC delete response from TLM-FE to NAC-FE. Steps 6 and 7 are enclosed in a dashed box.](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +``` + +sequenceDiagram + participant UE + participant AM-FE + participant NAC-FE + participant TLM-FE + participant ILMS-FE + + NAC-FE->>AM-FE: 1 Detach request + AM-FE->>UE: 2 Detach request + UE->>AM-FE: 3 Detach response + AM-FE->>NAC-FE: 4 Detach response + NAC-FE->>TLM-FE: 5 LOC delete request + TLM-FE->>ILMS-FE: 6 ID/LOC mapping delete request + ILMS-FE->>TLM-FE: 7 ID/LOC mapping delete response + TLM-FE->>NAC-FE: 8 LOC delete response + +``` + +Sequence diagram showing the Detachment procedure initiated by the network. The participants are UE, AM-FE, NAC-FE, TLM-FE, and ILMS-FE. The steps are: 1. Detach request from NAC-FE to AM-FE; 2. Detach request from AM-FE to UE; 3. Detach response from UE to AM-FE; 4. Detach response from AM-FE to NAC-FE; 5. LOC delete request from NAC-FE to TLM-FE; 6. ID/LOC mapping delete request from TLM-FE to ILMS-FE; 7. ID/LOC mapping delete response from ILMS-FE to TLM-FE; 8. LOC delete response from TLM-FE to NAC-FE. Steps 6 and 7 are enclosed in a dashed box. + +Y.2022(11)\_F8-7 + +**Figure 8-7 – Detachment procedure initiated by the network** + +The procedure described in Figure 8-7 includes the following steps: + +- 1, 2) The NAC-FE sends a detach information request to the AM-FE. After receiving the request, the AM-FE sends the detach information request to the UE. +- 3, 4) After receiving the detach information request from the AM-FE, the UE sends a detach response to the AM-FE, which in turn responds to the NAC-FE. +- 5) The NAC-FE sends a LOC delete request to the TLM-FE. +- 6, 7) The TLM-FE sends an ID/LOC mapping delete request to the ILMS-FE. After deleting the record, the ILMS-FE sends an ID/LOC mapping delete response to the TLM-FE. +- 8) The TLM-FE sends a LOC delete response to the NAC-FE. + +# 9 Security considerations + +The UE and the communication path between the UE and the ILCF may not be secured. So this communication could be subjected to attacks. The UE is required to use secured mechanisms when retrieving ID/LOC mapping records from the authenticated ID/LOC mapping storage functions. + +Security requirements are as follows: + +- R1 The ILMS-FE is required to be secured as per [ITU-T Y.2701]. +- R2 The ILM-FE is required to be secured as per [ITU-T Y.2701]. +- R3 The communication path between the ILM-FE and ILMS-FE is required to be secured as per [ITU-T Y.2701]. + +## Bibliography + +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-IETF RFC 5201] IETF RFC 5201 (2008), *Host Identity Protocol (HIP)*. +- [b-IETF RFC 5205] IETF RFC 5205 (2008), *Host Identity Protocol (HIP) Domain Name System (DNS) Extensions*. +- [b-IETF RFC 5206] IETF RFC 5206 (2008), *End-Host Mobility and Multihoming with the Host Identity Protocol*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2024-201207-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2024-201207-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..d98759d5525edcb9e595911d80c09d4d7c6d8c5d --- /dev/null +++ b/marked/Y/T-REC-Y.2024-201207-I_PDF-E/raw.md @@ -0,0 +1,847 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.2024 + +(07/2012) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +# --- **Functional requirements and architecture of the web service component in next generation networks** + +Recommendation ITU-T Y.2024 + +![ITU logo: a blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text "ITU" is written in a large, bold, blue font, and below it, the words "International Telecommunication Union" are written in a smaller, blue font. + +ITU logo: a blue globe with red lightning bolts and the text 'ITU International Telecommunication Union' + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2024** + +# **Functional requirements and architecture of the web service component in next generation networks** + +## **Summary** + +Recommendation ITU-T Y.2024 provides the functional requirements and architecture of the web service component using web technologies in next generation networks (NGNs). The web service component in NGN basically supports legacy web services and converged NGN services through the interworking with the internet protocol (IP) multimedia service component and/or the internet protocol television (IPTV) services component. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2024 | 2012-07-29 | 13 | + +## **Keywords** + +NGN, web. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2013 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|------------------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 4 | +| 6 | Overview of the web service component in NGN..... | 4 | +| | 6.1 Web service component ..... | 4 | +| | 6.2 Service classification using the web service component..... | 5 | +| 7 | Requirements for the web service component in NGN ..... | 6 | +| 8 | Functional architecture of the web service component ..... | 6 | +| | 8.1 High-level NGN architecture with the web service component..... | 6 | +| | 8.2 Functional entities for the web service component ..... | 8 | +| 9 | Interworking between the web service component and other service components..... | 10 | +| | 9.1 Interactions for the support of legacy web services ..... | 10 | +| | 9.2 Interactions for the support of web-based conversation services..... | 10 | +| | 9.3 Interactions for the support of web-based streaming services..... | 11 | +| 10 | Security considerations ..... | 11 | +| | Appendix I – Relationship among NGN service specific components with the web service component in the NGN architecture ..... | 12 | +| | Appendix II – Relationship of web service component functions with other NGN functions ..... | 13 | +| | II.1 Relationship between ITU-T Y.2235 and ITU-T Y.2024 ..... | 13 | +| | II.2 Related functions for the web service in NGN..... | 13 | +| | Appendix III – Information flows for services using the web service component in NGN .... | 15 | +| | III.1 Procedure for the support of legacy web services ..... | 15 | +| | III.2 Procedure for the support of web-based conversation services..... | 16 | +| | III.3 Procedure for the support of web-based streaming services ..... | 17 | +| | Appendix IV – IETF activities related to the web service component in NGN ..... | 19 | +| | IV.1 IETF real-time communication in web-browsers (RTCWeb)..... | 19 | +| | Bibliography..... | 21 | + + + +# Recommendation ITU-T Y.2024 + +# Functional requirements and architecture of the web service component in next generation networks + +# 1 Scope + +The objective of this Recommendation is to describe the functional requirements and architecture of the web service component in NGN using web technologies (e.g., HTML, HTTP, XML, SOAP, REST). The web service component in NGN basically supports legacy web services (e.g., web-browsing, e-mail, blogging, web-office services) and converged NGN services such as web-based conversational services through the interworking with the IP multimedia service component and/or web-based multimedia streaming service through the interworking with the IPTV services component. + +The scope of this Recommendation includes: + +- overview of the web service component in the support of legacy web services and converged NGN services; +- requirements for the web service component in NGN; +- functional architecture for the web service component in NGN; +- interworking between web service component and other service components. + +This Recommendation mainly focuses on service control and content delivery functions in the service stratum of NGN. Details of web technologies are out of the scope. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|-------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.101] | Recommendation ITU-T Y.101 (2000), Global Information Infrastructure terminology: Terms and definitions. | +| [ITU-T Y.1901] | Recommendation ITU-T Y.1901 (2009), Requirements for the support of IPTV services. | +| [ITU-T Y.1910] | Recommendation ITU-T Y.1910 (2008), IPTV functional architecture. | +| [ITU-T Y.2011] | Recommendation ITU-T Y.2011 (2004), General principles and general reference model for Next Generation Networks. | +| [ITU-T Y.2012] | Recommendation ITU-T Y.2012 (2010), Functional requirements and architecture of next generation networks. | +| [ITU-T Y.2021] | Recommendation ITU-T Y.2021 (2006), IMS for Next Generation Networks. | +| [ITU-T Y.2031] | Recommendation ITU-T Y.2031 (2006), PSTN/ISDN emulation architecture. | +| [ITU-T Y.2091] | Recommendation ITU-T Y.2091 (2008), Terms and definitions for Next Generation Networks. | + +| | | +|----------------|--------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.2201] | Recommendation ITU-T Y.2201 (2009), Requirements and capabilities for ITU-T NGN . | +| [ITU-T Y.2232] | Recommendation ITU-T Y.2232 (2008), NGN convergence service model and scenario using web services . | +| [ITU-T Y.2235] | Recommendation ITU-T Y.2235 (2008), Converged web-browsing service scenarios in NGN . | +| [ITU-T Y.2701] | Recommendation ITU-T Y.2701 (2007), Security requirements for NGN release 1 . | +| [ITU-T Y.2702] | Recommendation ITU-T Y.2702 (2008), Authentication and authorization requirements for NGN release 1 . | + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application** [ITU-T Y.101]: A structured set of capabilities, which provide value-added functionality supported by one or more services. + +**3.1.2 functional architecture** [ITU-T Y.2012]: A set of functional entities and the reference points between them used to describe the structure of an NGN. These functional entities are separated by reference points, and thus, they define the distribution of functions. + +NOTE – The functional entities can be used to describe a set of reference configurations. These reference configurations identify which reference points are visible at the boundaries of equipment implementations and between administrative domains. + +**3.1.3 functional entity** [ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +**3.1.4 internet protocol television (IPTV)** [ITU-T Y.1901]: Multimedia services such as television/video/ audio/text/graphics/data delivered over IP-based networks managed to support the required level of QoS/QoE, security, interactivity and reliability. + +**3.1.5 NGN service stratum** [ITU-T Y.2011]: That part of the NGN which provides the user functions that transfer service-related data and the functions that control and manage service resources and network services to enable user services and applications (see also clause 7.1 of [ITU-T Y.2011]). + +**3.1.6 NGN transport stratum** [ITU-T Y.2011]: That part of the NGN which provides the user functions that transfer data and the functions that control and manage transport resources to carry such data between terminating entities (see also clause 7.1 of [ITU-T Y.2011]). + +**3.1.7 service** [ITU-T Y.2091]: A set of functions and facilities offered to a user by a provider. + +**3.1.8 web service** [ITU-T Y.2232]: A service provided using web services systems. + +### 3.2 Terms defined in this Recommendation + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------------|------------------------------------------------------------| +| API | Application Programming Interface | +| APL-GW-FE | Application Gateway Functional Entity | +| APL-SCM-FE | Application Service Coordination Manager Functional Entity | +| AS-FE | Application Support Functional Entity | +| CSCF | Call Session Control Function | +| FE | Functional Entity | +| FTP | File Transfer Protocol | +| HTML | Hyper Text Mark-up Language | +| HTTP | Hyper Text Transfer Protocol | +| IETF | Internet Engineering Task Force | +| IMS | IP Multimedia Subsystem | +| ISDN | Integrated Services Digital Network | +| MMoIP | Multimedia over IP | +| MRB-FE | Media Resource Broker Functional Entity | +| MRC-FE | Media Resource Control Functional Entity | +| NACF | Network Attachment Control Function | +| NGN | Next Generation Network | +| NSIW-FE | Network Signalling Interworking Functional Entity | +| PC | Personal Computer | +| PCC-FE | Policy and Charging Control – Functional Entity | +| PDF | Policy Decision Function | +| PSTN | Public Switched Telephone Network | +| PWC-FE | Proxy Web Control – Functional Entity | +| QoS | Quality of Service | +| RACF | Resource Admission Control Function | +| REST | Representational State Transfer | +| RTCWEB | Real-Time Communication in WEB-browsers | +| RTSP | Real Time Streaming Protocol | +| SAA-FE | Service Authentication and Authorization Functional Entity | +| SCIM | Service Capability Interaction Manager | +| SIP | Session Initiation Protocol | +| SL-FE | Subscription Locator Functional Entity | +| SOAP | Simple Object Access Protocol | +| SUP-FE | Service User Profile Functional Entity | +| USIW-FE | User Signalling Interworking Functional Entity | + +| | | +|---------|----------------------------------------------------| +| WMF | Web Media Function | +| WMGC-FE | Web Media Gateway Control – Functional Entity | +| WMRC-FE | Web Media Resources Control – Functional Entity | +| WMT-FE | Web Media Transform – Functional Entity | +| WSCF | Web Service Control Function | +| WSDL | Web Service Definition Language | +| WSGC-FE | Web Signalling Gateway Control – Functional Entity | +| XML | Extensible Mark-up Language | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "is not recommended" indicate a requirement which is not recommended but which is not specifically prohibited. Thus, conformance with this Recommendation can still be claimed even if this requirement is present. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +# 6 Overview of the web service component in NGN + +## 6.1 Web service component + +The NGN architecture [ITU-T Y.2012] has three service components for the service control function: IPTV service component [ITU-T Y.1910], PSTN/ISDN emulation service component [ITU-T Y.2031] and IP multimedia service component [ITU-T Y.2021]. + +- IP multimedia service component +The IP multimedia service component supports mediated multimedia services. These services may include multimedia session services such as voice or video telephony or PSTN/ISDN simulation, and some non-session services such as subscribe/notify for presence information and the message method for message exchange. +- PSTN/ISDN emulation service component +The PSTN/ISDN emulation service component enables the support of legacy terminals connected through a gateway to an IP network. All PSTN/ISDN services remain available and identical (i.e., with the same operating characteristics) such that end users are unaware that they are not connected to a TDM-based PSTN/ISDN. Not all service capabilities and interfaces have to be present to provide PSTN/ISDN emulation. + +- IPTV service component + +Service control functions and content delivery functions can optionally be included in the IPTV service component of NGN. Thus, application functions, service control functions, and content delivery functions are included in the service stratum of the NGN architecture. IPTV service control functional block corresponds to NGN service control functions. However, NGN service control functions can optionally include other functionalities. + +Additionally, the web service component is newly added into the service stratum of the NGN architecture to support web-related capabilities as shown in Figure 6-1. + +- Web service component + +The web service component enables NGN services to support legacy web services and converged NGN services considering the web standard interfaces and protocols (e.g., HTML, XML, HTTP, SOAP, REST, WSDL). + +![Figure 6-1: Web service component in NGN service specific components. The diagram illustrates the NGN architecture, divided into the Service Stratum and the Transport Stratum. The Service Stratum includes Applications, Management Functions, and various service components like S. User Profile Functions, Web Service Component, IPTV Service Component, PSTN/ISDN Emulation Service Component, and IP Multimedia Service Component. The Transport Stratum includes Network Attachment Control Functions (NACF), Mobility Management Control Functions (MMCF), Resource and Admission Control Functions (RACF), Access Network Functions, Edge Functions, and Core Transport Functions. Legacy Terminals and Customer Networks connect to the NGN End-User Functions via Gateways (GW). Other Networks are also connected to the Core Transport Functions. A note indicates that a Gateway (GW) may exist in either the Transport Stratum or End-User Functions.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +\* Note: Gateway (GW) may exist in either Transport Stratum or End-User Functions. + +Figure 6-1: Web service component in NGN service specific components. The diagram illustrates the NGN architecture, divided into the Service Stratum and the Transport Stratum. The Service Stratum includes Applications, Management Functions, and various service components like S. User Profile Functions, Web Service Component, IPTV Service Component, PSTN/ISDN Emulation Service Component, and IP Multimedia Service Component. The Transport Stratum includes Network Attachment Control Functions (NACF), Mobility Management Control Functions (MMCF), Resource and Admission Control Functions (RACF), Access Network Functions, Edge Functions, and Core Transport Functions. Legacy Terminals and Customer Networks connect to the NGN End-User Functions via Gateways (GW). Other Networks are also connected to the Core Transport Functions. A note indicates that a Gateway (GW) may exist in either the Transport Stratum or End-User Functions. + +**Figure 6-1 – Web service component in NGN service specific components** + +## 6.2 Service classification using the web service component + +NGN needs to support multi-service capabilities which support various composition services simultaneously. The network requires networking environment with NGN/web convergence. + +Depending on the type of service control, web services in the NGN can be classified as follows. + +- Legacy web services: Well-known web services using web in an NGN environment (e.g., web-browsing, e-mail, blogging and web-office services). +- Converged NGN services: Interworking services with web and NGN + - Web-based IMS services (e.g., MMoIP using web) using interworking with IP multimedia service component + - Web-based streaming services (e.g., IPTV using web) using interworking with IPTV service component + +- Web-based composition services (e.g., MMoIP and IPTV using web) using interworking with the web service component and other service components. + +# 7 Requirements for the web service component in NGN + +The web service component in NGN has the following general requirements to support web-related applications/services. + +- It is required to support web-based application for satisfying interoperability across wired and wireless network environments. +NOTE 1 – The web-based application support enablers allow enhanced utilization of device capabilities and network characteristics for web-based applications [ITU-T Y.2201]. +NOTE 2 – Web-based application support capabilities provide users with a consistent web environment which spans multiple network environments and multiple devices (PC, laptop and smart phone) [ITU-T Y.2201]. +- It is required to support web-based information and media types (e.g., text, audio, image, video) and related metadata formats. +- It is required to provide the service control functions (e.g., service directory, classification, session management, protocol mapping, billing and charging on the web). +- It is required to provide the media transformation functions (e.g., transcoding, filtering, QoS control and media gateway on the web). +- It is required to support the interaction with existing NGN services and transport control functions (e.g., user profile function in service stratum and RACF, NACF in transport stratum). + +The web service component in NGN has the following requirements to support various types of services using web. + +- It can optionally support legacy web services in NGN environments. +A number of well-known web services can optionally be supported by the web service component in NGN. +NOTE 3 – The NGN basically supports legacy web services with no special requirements for the web service component. +- It is required to support interworking with conversation services using web. +NOTE 4 – The service capability interaction manager (SCIM) and Parlay gateway could be used for conversation services. +NOTE 5 – Protocol interworking between HTTP and SIP is necessary to support the web-based IMS service. +- It is required to support interworking with streaming services using web. +NOTE 6 – The IPTV media delivery could be used for streaming services. + +# 8 Functional architecture of the web service component + +### 8.1 High-level NGN architecture with the web service component + +Figure 8-1 shows the NGN-web convergence architectural model for interconnecting NGN and web. The architecture mainly comprises the web service control function (WSCF) and the web media function (WMF). The WSCF performs adaptation function between the NGN service stratum and the web. The WMF performs interworking between the NGN transport stratum and the web. + +In Figure 8-1, the service components are related to each other and may contain a common or shared functionality. + +![Figure 8-1: NGN architecture with web service component. The diagram shows a layered architecture. At the top is 'Applications (3rd party applications)' connected via ANI to a green 'Service stratum'. This stratum contains 'Application support functions and service support functions', a 'Web Service Component' (with 'Web Service Control Functions' and a 'Directory'), and 'Service control functions' (including 'IPTV Service Component', 'PSTN/ISDN Component', and 'IMS Service Component'). Below this is a yellow 'Transport stratum' containing 'Transport control functions' (with 'NACF' and 'RACF') and 'Transport functions'. 'End-user functions' connect via UNI to the Service stratum. 'Other Service providers' (with 'Content') connect via SNI to the Service stratum. 'Other Networks' connect via NNI to the Transport stratum. A legend indicates blue hatched lines for 'Media' and dotted lines for 'Control'.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Figure 8-1: NGN architecture with web service component. The diagram shows a layered architecture. At the top is 'Applications (3rd party applications)' connected via ANI to a green 'Service stratum'. This stratum contains 'Application support functions and service support functions', a 'Web Service Component' (with 'Web Service Control Functions' and a 'Directory'), and 'Service control functions' (including 'IPTV Service Component', 'PSTN/ISDN Component', and 'IMS Service Component'). Below this is a yellow 'Transport stratum' containing 'Transport control functions' (with 'NACF' and 'RACF') and 'Transport functions'. 'End-user functions' connect via UNI to the Service stratum. 'Other Service providers' (with 'Content') connect via SNI to the Service stratum. 'Other Networks' connect via NNI to the Transport stratum. A legend indicates blue hatched lines for 'Media' and dotted lines for 'Control'. + +**Figure 8-1 – NGN architecture with web service component** + +Figure 8-2 depicts related service components for various web services in NGN. The web service component interacts with the IPTV service component as well as the IP multimedia service component for converged NGN services. Common functionalities are a group of functional entities which are specified in another service component. There are four cases of the different service components in the figure as follows: + +- Case 1: Web service component; +- Case 2: Web service component and IPTV service component; +- Case 3: Web service component, IP multimedia service component and IPTV service component; +- Case 4: Web service component and IP multimedia service component. + +![Figure 8-2: Service classification according to different service control. The diagram shows the interaction between an End-User, three service components, and various services. The End-User (pink box) interacts with the Web Service Component (yellow box) via dashed arrows labeled 1, 2, 3, and 4. The Web Service Component interacts with the Common Functionalities (green box) via dashed arrows labeled 1, 2, 3, and 4. The Common Functionalities interact with the IPTV Service Component (cyan box) via dashed arrows labeled 1, 2, 3, and 4. The IPTV Service Component interacts with the IP Multimedia Service Component (red box) via dashed arrows labeled 1, 2, 3, and 4. The IP Multimedia Service Component interacts with the Services (dashed box) via dashed arrows labeled 1, 2, 3, and 4. The Services include Legacy Web Services, Web-based Streaming Services, Web-based IMS Services, and Web-based Composite Services. A Content box is also shown within the Services. A Media Control bar (hatched) is at the bottom, with a legend indicating Media Control (hatched bar) and Media Control (dashed arrow).](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Figure 8-2: Service classification according to different service control. The diagram shows the interaction between an End-User, three service components, and various services. The End-User (pink box) interacts with the Web Service Component (yellow box) via dashed arrows labeled 1, 2, 3, and 4. The Web Service Component interacts with the Common Functionalities (green box) via dashed arrows labeled 1, 2, 3, and 4. The Common Functionalities interact with the IPTV Service Component (cyan box) via dashed arrows labeled 1, 2, 3, and 4. The IPTV Service Component interacts with the IP Multimedia Service Component (red box) via dashed arrows labeled 1, 2, 3, and 4. The IP Multimedia Service Component interacts with the Services (dashed box) via dashed arrows labeled 1, 2, 3, and 4. The Services include Legacy Web Services, Web-based Streaming Services, Web-based IMS Services, and Web-based Composite Services. A Content box is also shown within the Services. A Media Control bar (hatched) is at the bottom, with a legend indicating Media Control (hatched bar) and Media Control (dashed arrow). + +**Figure 8-2 – Service classification according to different service control** + +Appendix II describes related functions for the web service in NGN as common functionalities. + +### 8.2 Functional entities for the web service component + +The web service component comprises the following functional entities (FEs): + +The web service control functions include: + +- PWC-FE (proxy web control functional entity): PWC-FE performs functionalities as a proxy between the web server and the HTTP client through interaction with the directory, including profile information; +- WSGC-FE (web signalling gateway control functional entity): WSGC-FE performs the functionalities of signalling gateway and session manager; +- PCC-FE (policy and charging control functional entity): PCC-FE instructs PEC-FE and gets information of session flow or service usage from PEC-FE at the transport control functions; +- WMRC-FE (web media resources control functional entity): WMRC-FE is in charge of controlling resources to the users. + +Web media functions include: + +- WMGC-FE (web media gateway control functional entity): WMGC-FE is controlled by the WSGC-FE in order to allow authorized media flow; +- WMT-FE (web media transform functional entity): WMT-FE performs media adaptation according to different user devices and transport environments. + +Figure 8-3 depicts the functional entities of the web service component in NGN. + +![Figure 8-3: Functional entities of the web service component in NGN. The diagram shows a layered architecture. At the top is a light blue box for 'Application support functions and service support functions'. Below it is an orange box for 'Service control functions'. Inside this orange box is a green dashed box for 'Web Service Control Functions' containing a 'Directory' cylinder, 'PWC-FE', and 'WSGC-FE'. To the right of this is a green box for 'Other Service Components' (IPTV, PSTN/ISDN, IMS). Below the green dashed box is another green dashed box for 'Web Media Functions' containing 'WMGC-FE' and 'WMT-FE'. At the bottom is a yellow box for 'Transport control functions'. On the left is a pink box for 'End-user functions' and on the right is an orange box for 'Other Service Providers' containing a 'Content' box. Lines indicate connections between these components.](bd0b93e7a46ede276d0a3b79ac487bd9_img.jpg) + +Figure 8-3: Functional entities of the web service component in NGN. The diagram shows a layered architecture. At the top is a light blue box for 'Application support functions and service support functions'. Below it is an orange box for 'Service control functions'. Inside this orange box is a green dashed box for 'Web Service Control Functions' containing a 'Directory' cylinder, 'PWC-FE', and 'WSGC-FE'. To the right of this is a green box for 'Other Service Components' (IPTV, PSTN/ISDN, IMS). Below the green dashed box is another green dashed box for 'Web Media Functions' containing 'WMGC-FE' and 'WMT-FE'. At the bottom is a yellow box for 'Transport control functions'. On the left is a pink box for 'End-user functions' and on the right is an orange box for 'Other Service Providers' containing a 'Content' box. Lines indicate connections between these components. + +**Figure 8-3 – Functional entities of the web service component in NGN** + +NOTE – The transport stratum of NGN is out of scope. + +#### 8.2.1 Web service control function (WSCF) + +Key capabilities for WSCF include: + +- Service directory: It holds a list of peer web server; +- Service classification: It identifies service types for appropriate service control; +- Signalling mapping and translation (adaptation function): It performs protocol conversion (e.g., between HTTP and SIP); +- Session manager: It performs session management with session control functions; +- Billing and charging: It performs traffic measurement/monitoring; +- Use of web interfaces: It is used for search and discovery through queries to the directory/repository. + +Interactions between WSCF and other components [ITU-T Y.2021], [ITU-T Y.2031], [ITU-T Y.1910] are performed as follows: + +- NGN service control functions: CSCF, profile management; +- Web media function: media delivery and conversion (gateway functions); +- Web components: interface with web server and web service description languages as well as support of personalization and social networking using mesh-up, semantic and ontology; +- Application support functions and service support functions: service creation, service composition. + +#### 8.2.2 Web media function (WMF) + +Key capabilities for WMF include: + +- Transcoding: conversion between different codecs; +- Packet filtering: depending on IP addresses and port numbers; +- QoS control: resource allocation and management, policing based on media flow parameters (e.g., packet size and bandwidth limits); +- Media gateway: media delivery and conversion as well as transport interworking between NGN and web. + +Interactions with other components for WMF are performed as follows: + +- NGN transport control functions: interaction with RACF and NACF; +- Web server: interface with the media transport protocol (e.g., RTSP). + +# 9 Interworking between the web service component and other service components + +This clause introduces interworking between the web service component and other service components to support the interactions among relevant functions to provide web services as well as web-based services. + +### 9.1 Interactions for the support of legacy web services + +The end user requests a web service to the web service control functions utilizing the HTTP protocol to communicate with the web server. Next, the web service control functions determine an appropriate web server to provide the request service with directory by referring service user profile functions. The web server creates a web service by transferring a service response message to the end user. At this time, if the web server cannot support the requested format from the end user, the web media functions can transcode the media data into a format appropriate for the end user's device. + +![Figure 9-1: Legacy web services using the web service component. The diagram shows the interaction between an End-user, Web service control functions (containing a Directory), Web media functions, S. User profile functions, and a Web server. The Web service control functions are part of the Web service component. Arrows indicate the flow of service requests/responses, profile requests/responses, and transformation requests/responses.](6f341f415ee0f8c724e5d6daeb1e9b4a_img.jpg) + +``` +graph LR + subgraph "Web service component" + WSCF[Web service control functions +Directory] + WMF[Web media functions] + end + S[End-user] + UPF[(S. User profile functions)] + WS[Web server] + + S -- "Service request/response" --> WSCF + WSCF -- "Service request/response" --> WS + WS -- "Service request/response" --> S + WSCF -- "Profile request / response" --> UPF + UPF -- "Profile request / response" --> WSCF + WSCF <--> |"Transformation request / response"| WMF +``` + +Y.2024(12)\_F9.1 + +Figure 9-1: Legacy web services using the web service component. The diagram shows the interaction between an End-user, Web service control functions (containing a Directory), Web media functions, S. User profile functions, and a Web server. The Web service control functions are part of the Web service component. Arrows indicate the flow of service requests/responses, profile requests/responses, and transformation requests/responses. + +**Figure 9-1 – Legacy web services using the web service component** + +## 9.2 Interactions for the support of web-based conversation services + +The end user requests a conversation service to the web service control functions utilizing the HTTP protocol to communicate with the IP multimedia service component. The IP multimedia service component creates a conversation service by a method of calling relevant APIs to interact with the IMS call server and then responds to the service request from the end user. At this time, if the IMS call server cannot support the requested codec from the end user, the web media functions can transcode the media data into a format appropriate for the end user. + +![Figure 9-2: Web-based conversation services using the web service component. This diagram shows the interaction between an End-user, a Web service component, S. User profile functions, and an IMS service component. The Web service component is enclosed in a dashed box and contains 'Web service control functions' (with a 'Directory' cylinder inside) and 'Web media functions'. The End-user sends a 'Service request/response' to the Web service control functions. The Web service control functions send a 'Profile request/response' to 'S. User profile functions' and a 'Service request/response' to the 'IMS service component'. The 'IMS service component' sends a 'Service request/response' back to the Web service control functions. The Web service control functions and 'Web media functions' exchange 'Transformation request/response' messages. The reference 'Y.2024(12)_F9.2' is located at the bottom right of the dashed box.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +Figure 9-2: Web-based conversation services using the web service component. This diagram shows the interaction between an End-user, a Web service component, S. User profile functions, and an IMS service component. The Web service component is enclosed in a dashed box and contains 'Web service control functions' (with a 'Directory' cylinder inside) and 'Web media functions'. The End-user sends a 'Service request/response' to the Web service control functions. The Web service control functions send a 'Profile request/response' to 'S. User profile functions' and a 'Service request/response' to the 'IMS service component'. The 'IMS service component' sends a 'Service request/response' back to the Web service control functions. The Web service control functions and 'Web media functions' exchange 'Transformation request/response' messages. The reference 'Y.2024(12)\_F9.2' is located at the bottom right of the dashed box. + +**Figure 9-2 – Web-based conversation services using the web service component** + +## 9.3 Interactions for the support of web-based streaming services + +The end user requests a streaming service to the web service control functions utilizing the HTTP protocol to communicate with the IPTV service component. The IPTV service component creates a streaming service by delivering video streaming to the end user. At this time, if the IPTV service component cannot support the requested video streaming format from the end user, the web media functions can transcode the media data into a format appropriate for the end user. + +![Figure 9-3: Web-based streaming services using the web service component. This diagram is similar to Figure 9-2 but replaces the 'IMS service component' with an 'IPTV service component'. The End-user sends a 'Service request/response' to the 'Web service control functions' within the 'Web service component' (dashed box). The 'Web service control functions' send a 'Profile request/response' to 'S. User profile functions' and a 'Service request/response' to the 'IPTV service component'. The 'IPTV service component' sends a 'Service request/response' back to the 'Web service control functions'. The 'Web service control functions' and 'Web media functions' exchange 'Transformation request/response' messages. The reference 'Y.2024(12)_F9.3' is located at the bottom right of the dashed box.](df82d77a0d2637cbf2da9ea920a554fa_img.jpg) + +Figure 9-3: Web-based streaming services using the web service component. This diagram is similar to Figure 9-2 but replaces the 'IMS service component' with an 'IPTV service component'. The End-user sends a 'Service request/response' to the 'Web service control functions' within the 'Web service component' (dashed box). The 'Web service control functions' send a 'Profile request/response' to 'S. User profile functions' and a 'Service request/response' to the 'IPTV service component'. The 'IPTV service component' sends a 'Service request/response' back to the 'Web service control functions'. The 'Web service control functions' and 'Web media functions' exchange 'Transformation request/response' messages. The reference 'Y.2024(12)\_F9.3' is located at the bottom right of the dashed box. + +**Figure 9-3 – Web-based streaming services using the web service component** + +# 10 Security considerations + +The security requirements within the functional requirements and architecture of the web service component in NGN are addressed by the security requirements for NGN in [ITU-T Y.2701] and [ITU-T Y.2702]. + +# Appendix I + +## Relationship among NGN service specific components with the web service component in the NGN architecture + +(This appendix does not form an integral part of this Recommendation.) + +This appendix describes the relationship among NGN service specific components with the web service component in NGN. + +Figure I.1 describes the relationship with each service component of NGN. + +- The IP multimedia service (IMS-based) component is specified further in [ITU-T Y.2021]. +- The PSTN/ISDN emulation service (IMS-based and call server) component is specified further in [ITU-T Y.2031]. +- The IPTV service (IMS-based, non-IMS, and non-NGN) component is specified further in [ITU-T Y.1910]. +- The web service component will be specified in this Recommendation. In case of web-based, interworking with other service components will be necessary. + +![Diagram showing the relationship between service components in NGN architecture and their corresponding ITU-T recommendations.](8592a32c2fdf17c1e562f0ba6b7e8e1a_img.jpg) + +The diagram illustrates the relationship between service components in NGN architecture and their corresponding ITU-T recommendations. It is organized into two main columns: 'Service components in NGN architecture' and 'Related Recommendations for each service component'. + +**Service components in NGN architecture:** + +- Web service component (dashed pink box) +- IPTV service component (blue box) +- PSTN/ISDN emulation service component (green box) +- IP multimedia service component (orange box) + +**Related Recommendations for each service component:** + +- ITU-T Y.2024:** Contains 'Web service' (yellow oval) and 'Web based (interworking with other service components)' (orange rounded rectangle). +- ITU-T Y.1910:** Contains 'IMS based' (blue oval), 'Non-IMS' (green oval), and 'Non-NGN' (pink oval). +- ITU-T Y.2031:** Contains 'IMS based' (blue oval) and 'Call server' (yellow oval). +- ITU-T Y.2021:** Contains 'IMS based' (blue oval). + +**Relationships:** + +- The 'Web service component' is linked to 'Web service' and 'Web based' in ITU-T Y.2024. +- The 'IPTV service component' is linked to 'IMS based', 'Non-IMS', and 'Non-NGN' in ITU-T Y.1910. +- The 'PSTN/ISDN emulation service component' is linked to 'IMS based' and 'Call server' in ITU-T Y.2031. +- The 'IP multimedia service component' is linked to 'IMS based' in ITU-T Y.2021. +- There are bidirectional dashed arrows between 'Web based' and 'Web service', and between 'Web based' and 'IMS based' in ITU-T Y.2031. +- There are bidirectional dashed arrows between 'Web based' and 'IMS based' in ITU-T Y.1910. + +**Legend:** + +- ITU-T Y.1910: IPTV functional architecture +- ITU-T Y.2031: PSTN/ISDN emulation architecture +- ITU-T Y.2021: IMS for next generation networks + +Y.2024(12)\_Fl.1 + +Diagram showing the relationship between service components in NGN architecture and their corresponding ITU-T recommendations. + +Figure I.1 – Service components and relationships in NGN architecture + +# Appendix II + +## Relationship of web service component functions with other NGN functions + +(This appendix does not form an integral part of this Recommendation.) + +This appendix identifies the mapping relationship with [ITU-T Y.2235] and common functionalities which include several FEs for authenticating/authorizing, protocol interworking, media adaptation and service/application support defined in [ITU-T Y.2012]. + +### II.1 Relationship between ITU-T Y.2235 and ITU-T Y.2024 + +Table II.1 shows the mapping relationship with the functions defined in [ITU-T Y.2235] and this Recommendation. It indicates that the FEs below perform almost the same role, respectively. + +**Table II.1 – Mapping between ITU-T Y.2235 and ITU-T Y.2024** + +| Recommendation ITU-T Y.2235 | Recommendation ITU-T Y.2024 | +|------------------------------------|------------------------------------------| +| Functional entities | Corresponding functional entities | +| Web proxy function | PWC-FE | +| Profile serving function | Directory | +| Content transformation function | WMT-FE | + +### II.2 Related functions for the web service in NGN + +Some of the functions defined in [ITU-T Y.2012] are used for supporting the web service component as common functionalities. These functionalities include several FEs for authenticating/authorizing, protocol interworking, media adaptation and service/application support. + +#### II.2.1 Authentication-related FEs + +The following FEs could be used for authenticating and authorizing service access of IMS, IPTV, and web, as well. + +- Service authentication and authorization functional entity (SAA-FE): It provides authentication and authorization in the service stratum. +- Subscription locator functional entity (SL-FE): It is used to find the address of the physical entity that holds the subscriber data for a given user identifier when multiple, separately addressable SUP-FEs have been deployed by the NGN operator. +- Service user profile functional entity (SUP-FE): It is responsible for storing user profiles, device profiles, subscriber-related location data, and presence status data in the service stratum. A user profile is a set of stored information related to authentication, authorization, mobility, location and charging. A device profile is a set of stored information related to the terminal (e.g., screen size and supported media). + +#### **II.2.2 Interworking related FEs** + +The following FEs could be used for protocol interworking between HTTP and RTSP, SIP and HTTP. + +- User signalling interworking functional entity (USIW-FE): It has the responsibility for the interworking and information screening functions for different types of application signalling at the subscriber side. It is assumed that protocol interworking happens, for example between HTTP and SIP, in this functional entity. +- Network signalling interworking functional entity (NSIW-FE): It has the responsibility for the interworking for different types and profiles of application signalling at the trunking side. It is assumed that protocol interworking happens, for example between HTTP and SIP, in this functional entity. + +#### **II.2.3 Media control-related FEs** + +The following FEs could be used for controlling media adaptation of audio, video and web page. + +- Media resource control functional entity (MRC-FE): It controls the media resource processing functional entity (MRP-FE) by operating as a media resource control function. It should be used for enabling MRP-FE to transform the web content into an appropriate form according to the profile information +- Media resource broker functional entity (MRB-FE): It assigns specific media server resources (i.e., MRC-FE and MRP-FE) to incoming calls at the request of service applications. + +#### **II.2.4 Application related FEs** + +The following FEs could be used for blending service features and making new converged services by interworking among IMS, IPTV and the web service component. + +- Application support functional entity (AS-FE): It supports generic application server functions including hosting and executing services. +- Application gateway functional entity (APL-GW-FE): It serves as an interworking entity between the applications and the S-CSC-FE of the service stratum. +- Application service coordination manager functional entity (APL-SCM-FE): It manages interactions between multiple applications and services. It should be used for providing the web-based composite services. + +# Appendix III + +## Information flows for services using the web service component in NGN + +(This appendix does not form an integral part of this Recommendation.) + +### III.1 Procedure for the support of legacy web services + +The information flow for legacy web service using the web service component with directory including profile information is shown in Figure III.1. + +![Sequence diagram showing the message flow for legacy web service using the web service component. The diagram involves an End user, a Web service component (containing Web service control functions and Web media functions), S. User profile functions, and a Web server.](a24e89a6fe9bb70c83f8bf5202baba95_img.jpg) + +``` +sequenceDiagram + participant EndUser as End user + participant WSCF as Web service control functions + participant WMF as Web media functions + participant SUserProfile as S. User profile functions + participant WebServer as Web server + + WSCF -->> WSCF : PWC-FE, Directory, WSGC-FE + WMF -->> WMF : WMGC-FE, WMT-FE + + EndUser->>WSCF: Service request + WSCF->>Directory: Refer to directory + Directory-->>WSCF: + WSCF->>SUserProfile: Request profile information + SUserProfile-->>WSCF: Respond with profile information + WSCF->>WMGC-FE: Request Internet service + WMGC-FE->>WebServer: Request Internet service + WebServer-->>WMGC-FE: Respond with web contents + WMGC-FE->>WMT-FE: Request web contents transformation + WMT-FE-->>WMGC-FE: Respond with transformed web contents + WMGC-FE-->>WSCF: Respond with Internet service + WSCF-->>EndUser: Service response with formatted contents +``` + +Y2024(12)\_FIII.1 + +Sequence diagram showing the message flow for legacy web service using the web service component. The diagram involves an End user, a Web service component (containing Web service control functions and Web media functions), S. User profile functions, and a Web server. + +**Figure III.1 – Message flow for legacy web service using the web service component** + +The information flow is: + +- a) The end user requests the web service to get web contents utilizing HTTP protocol; +- b) The web service component, especially PWC-FE, refers to directory to get a list of peer web servers; +- c) PWC-FE requests profile to refer information of the end user; +- d) Service user profile function responds with the profile of the end user; +- e) PWC-FE determines a web server and requests web service to WSGC-FE with user profile; +- f) WSGC-FE requests web service to the web server; +- g) Web server responds with the requested web contents to WSGC-FE; +- h) If the web server cannot support the requested format according to the user profile, WSGC-FE requests web contents transformation to WMT-FE through WMGC-FE; +- i) WMT-FE transcodes web contents into a format appropriate for the end user's device and sends them to the WSGC-FE; +- j) WSGC-FE responds with the formatted web contents to PWC-FE; + +k) PWC-FE responds to the end user. + +### III.2 Procedure for the support of web-based conversation services + +The information flow for the conversation service using the web service component with directory including profile information is shown in Figure III.2. + +![Sequence diagram showing message flows for web-based conversation services using a web service component.](e180f2b5fcbe8001554a7c0677cd3f82_img.jpg) + +The diagram illustrates the message flow for web-based conversation services. It involves the following components and their interactions: + +- End user**: Initiates a **Service request** to the **Web service control functions**. +- Web service component**: Contains **Web service control functions** (PWC-FE, Directory, WSGC-FE) and **Web media functions** (WMGC-FE, WMT-FE). +- S. User profile functions**: A database component for user profile information. +- IMS service component**: The IP multimedia service component. + +The sequence of messages is as follows: + +- Service request** from End user to PWC-FE. +- Refer to directory** from PWC-FE to Directory. +- Request profile information** from PWC-FE to S. User profile functions. +- Respond with profile information** from S. User profile functions to PWC-FE. +- Request conversation service** from PWC-FE to WSGC-FE. +- Request conversation service** from WSGC-FE to IMS service component. +- Respond with conversational contents** from IMS service component to WSGC-FE. +- Request conversational contents transformation** from WSGC-FE to WMT-FE. +- Respond with transformed contents** from WMT-FE to WSGC-FE. +- Respond with conversation service** from WSGC-FE to PWC-FE. +- Service response with formatted contents** from PWC-FE to End user. + +A large blue arrow at the bottom indicates the overall **Conversation service** flow. + +Y.2024(12)\_FIII.2 + +Sequence diagram showing message flows for web-based conversation services using a web service component. + +**Figure III.2 – The message flows for web-based conversation services using web service component** + +The information flow is: + +- The end user requests the conversation service to the web service component utilizing the HTTP protocol in order to communicate with the IP multimedia service component that interacts with the IMS call server; +- The web service component, especially the PWC-FE, refers to directory to get a list of peer IMS call servers; +- PWC-FE requests profile to get information of the end user; +- The service user profile function responds with the profile of the end user; +- PWC-FE selects an IMS call server and requests the conversation service to WSGC-FE with the user profile; +- WSGC-FE converts protocol HTTP into SIP and requests conversation service to the IMS service component; +- The IP multimedia service component creates a conversation service by calling the relevant APIs with IMS call server and responds to WSGC-FE. Also WSGC-FE converts protocol SIP into HTTP; + +- h) If the IMS call server cannot support the requested codec according to user profile, WSGC-FE requests transformation of conversational contents to WMT-FE through WMGC-FE; +- i) WMT-FE transcodes contents into a format appropriate for the end user's device and sends them to the WSGC-FE; +- j) WSGC-FE responds with formatted conversational contents to PWC-FE; +- k) PWC-FE responds to the end user. + +### III.3 Procedure for the support of web-based streaming services + +The information flow for the web-based streaming service using the web service component with directory including profile information is shown in Figure III.3. + +![Sequence diagram showing message flows for web-based streaming services using a web service component. The diagram involves an End user, a Web service component (containing Web service control functions and Web media functions), S. User profile functions, and an IPTV service component.](eb03559a4d92ea9ebd63ea9be663c50a_img.jpg) + +``` + +sequenceDiagram + participant EndUser as End user + participant WSCF as Web service control functions +PWC-FE, Directory, WSGC-FE + participant WMGF as Web media functions +WMGC-FE, WMT-FE + participant SUserProfile as S. User profile functions + participant IPTV as IPTV service component + + EndUser->>WSCF: Service request + WSCF->>Directory: Refer to directory + WSCF->>SUserProfile: Request profile information + SUserProfile-->>WSCF: Respond with profile information + WSCF->>WSGC-FE: Request streaming service + WSCF->>IPTV: Request streaming service + IPTV-->>WSCF: Respond with streaming contents + WSCF->>WMT-FE: Request streaming contents transformation + WMT-FE-->>WSCF: Respond with transformed contents + WSCF-->>EndUser: Respond with streaming service + WSCF-->>EndUser: Service response with formatted contents + EndUser-->>IPTV: Streaming service + +``` + +Sequence diagram showing message flows for web-based streaming services using a web service component. The diagram involves an End user, a Web service component (containing Web service control functions and Web media functions), S. User profile functions, and an IPTV service component. + +Y.2024(12)\_FIII.3 + +**Figure III.3 – The message flows for web-based streaming services using web service component** + +The information flow is: + +- a) The end user requests the streaming service to the web service component utilizing the HTTP protocol in order to receive video streaming contents; +- b) The web service component, especially the PWC-FE, refers to the directory to get a list of peer streaming servers; +- c) PWC-FE requests profile to get information of the end user; +- d) The service user profile function responds with the profile of the end user; +- e) PWC-FE determines a streaming server and requests streaming service to WSGC-FE with user profile; + +- f) If the streaming server cannot support the HTTP protocol, WSGC-FE converts protocol HTTP into an appropriate protocol and requests streaming service to the IPTV service component; +- g) The IPTV service component creates a streaming service with the streaming server and responds to WSGC-FE. Also WSGE-FE converts the protocol into HTTP; +- h) If the streaming server cannot support the requested codec according to the user profile, WSGC-FE requests transformation of streaming contents to WMT-FE through WMGC-FE; +- i) WMT-FE transcodes contents into an appropriate format to end user's device and sends them to the WSGC-FE; +- j) WSGC-FE responds with formatted streaming contents to PWC-FE; +- k) PWC-FE responds to the end user. + +# Appendix IV + +## IETF activities related to the web service component in NGN + +(This appendix does not form an integral part of this Recommendation.) + +### IV.1 IETF real-time communication in web-browsers (RTCWeb) + +There are a number of proprietary implementations that provide direct interactive rich communication using audio, video, collaboration and games between two peers' web-browsers, while these are not interoperable. Real-time communication in web-browsers (RTCWeb) working group in IETF attempts to standardize the basis for such communication so that interoperable communication can be established between any compatible browsers. The goal is to enable innovation on top of a set of basic components. One core component is to enable real-time media (e.g., audio and video), a second is to enable data transfer directly between clients. + +[b-IETF Real] describes web-based real-time communication use cases. Based on the use cases, [b-IETF Real] also derives requirements related to the browser and the API used by web applications to request and control media stream services provided by the browser. + +This appendix introduces two basic use cases even though a number of use cases are described in the above document. + +#### - Simple video communication service + +Two or more users have loaded a video communication web application into their browsers, provided by the same service provider, and logged into the service it provides. The web service publishes information about user login status by pushing updates to the web application in the browsers. When one online user selects a peer online user, a 1-1 video communication session between the browsers of the two peers is initiated. The invited user might accept or reject the session. + +During session establishment a self-view is displayed, and once the session has been established the video sent from the remote peer is displayed in addition to the self-view. During the session, each user can select to remove and re-insert the self-view as often as desired. Each user can also change the sizes of his/her two video displays during the session. Each user can also pause sending of media (audio, video, or both) and mute incoming media. + +![Diagram illustrating the use case of simple video communication service. Two laptops, labeled 'A' and 'B', are connected via a central 'WS' (Web Service) component and a 'NAT' (Network Address Translation) component. Laptop A is labeled 'Resizable' and shows a video call interface. Laptop B is labeled 'HW B', 'OS B', and 'Browser B'. The diagram shows data flow between the laptops and the WS component, and between the WS component and the NAT component.](dd380ccd5aca1151074fede04826f1a4_img.jpg) + +The diagram illustrates a video communication setup. On the left, a laptop labeled 'A' is shown with a video call interface on its screen. A callout box points to the screen with the text '• Resizable'. Below the laptop is a box containing the text '• HW A', '• OS A', and '• Browser A'. On the right, another laptop labeled 'B' is shown with a video call interface. Below it is a box containing the text '• HW B', '• OS B', and '• Browser B'. A central yellow cylinder labeled 'WS' (Web Service) is connected to both laptops by blue arrows. A yellow vertical bar labeled 'NAT' (Network Address Translation) is connected to the 'WS' component by a blue arrow and to the laptop 'B' by a green arrow. A green double-headed arrow connects the laptop 'A' and the 'NAT' component. + +Diagram illustrating the use case of simple video communication service. Two laptops, labeled 'A' and 'B', are connected via a central 'WS' (Web Service) component and a 'NAT' (Network Address Translation) component. Laptop A is labeled 'Resizable' and shows a video call interface. Laptop B is labeled 'HW B', 'OS B', and 'Browser B'. The diagram shows data flow between the laptops and the WS component, and between the WS component and the NAT component. + +Figure IV.1 – Use case of simple video communication service + +#### - Simple video communication service with inter-operator calling + +Two users have logged into two different web applications provided by different service providers. The service providers are interconnected by some means, but exchange no more information about the users than what can be carried using SIP. + +![Diagram illustrating a use case for simple video communication service with inter-operator calling. Two service providers (A and B) are interconnected via Web Services (WS). Service Provider A includes Web app A, and Service Provider B includes Web app B. A user on the left (laptop) connects to Web app A, and a user on the right (laptop with headset) connects to Web app B. A NAT (Network Address Translation) device is shown between the two users, indicating the communication path through the NAT.](0c08e48c08f96934cd6bc6911f3069dc_img.jpg) + +The diagram illustrates a use case for simple video communication service with inter-operator calling. It shows two service providers, Service Provider A and Service Provider B, each providing a web application (Web app A and Web app B respectively). These web applications are connected to a central Web Services (WS) component. The WS components are interconnected by a double-headed blue arrow, indicating communication. Below the WS components, two users are shown. The user on the left is using a laptop and is connected to Web app A. The user on the right is also using a laptop and is connected to Web app B. A green double-headed arrow connects the two users, representing the video communication. A yellow vertical bar labeled 'NAT' (Network Address Translation) is positioned between the two users, indicating that the communication is routed through a NAT device. + +Diagram illustrating a use case for simple video communication service with inter-operator calling. Two service providers (A and B) are interconnected via Web Services (WS). Service Provider A includes Web app A, and Service Provider B includes Web app B. A user on the left (laptop) connects to Web app A, and a user on the right (laptop with headset) connects to Web app B. A NAT (Network Address Translation) device is shown between the two users, indicating the communication path through the NAT. + +**Figure IV.2 – Use case of simple video communication service with inter-operator calling** + +From the above introduction, the IETF RTCWeb attempts to identify and standardize web-browser's functionality running on the user side. + +# Bibliography + +[b-IETF Real] IETF (2012), *Web Real-Time Communication use-cases and Requirements*. +<> + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| 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NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +--- + +**Functional requirements and architecture of the +next generation network for support of +ubiquitous sensor network applications and +services** + +Recommendation ITU-T Y.2026 + +![ITU logo: a globe with red lightning bolts and the text 'ITU International Telecommunication Union'](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text "ITU" is written in a large, bold, blue font, and below it, the words "International Telecommunication Union" are written in a smaller, blue font. + +ITU logo: a globe with red lightning bolts and the text 'ITU International Telecommunication Union' + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **Recommendation ITU-T Y.2026** + +# **Functional requirements and architecture of the next generation network for support of ubiquitous sensor network applications and services** + +## **Summary** + +Recommendation ITU-T Y.2026 includes functional requirements and architecture of the next generation network (NGN) for the support of ubiquitous sensor network (USN) applications and services. This Recommendation is based on the capabilities defined in Recommendation ITU-T Y.2221. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2026 | 2012-07-29 | 13 | + +## **Keywords** + +Frameworks, functional architecture, sensor(s), sensor network(s), USN. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2013 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|---------------------------------------------------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Functional requirements and functions of the NGN for USN applications and services ..... | 3 | +| | 6.1 NGN functional requirements ..... | 3 | +| | 6.2 Functional architecture model ..... | 4 | +| | 6.3 Functions to support USN applications and services ..... | 5 | +| 7 | Functional architecture of the NGN for USN applications and services..... | 8 | +| | 7.1 Transport processing functional entities..... | 8 | +| | 7.2 Transport control functional entities ..... | 8 | +| | 7.3 Service control functional entities ..... | 9 | +| | 7.4 Application support functions and service support functions ..... | 9 | +| 8 | Security considerations..... | 9 | +| | Appendix I – Analysis of service requirements and network capabilities defined in Recommendation ITU-T Y.2221 ..... | 10 | +| | I.1 Requirements for extensions to NGN capabilities ..... | 10 | +| | I.2 Requirements supported by existing NGN capabilities..... | 12 | +| | I.3 Mapping table of the requirements and the extended NGN functions ..... | 13 | +| | I.4 Mapping table of the requirements and the existing NGN functions..... | 14 | +| | Appendix II – USN middleware functions provided by NGN..... | 15 | +| | Bibliography..... | 17 | + + + +# Recommendation ITU-T Y.2026 + +# Functional requirements and architecture of the next generation network for support of ubiquitous sensor network applications and services + +# 1 Scope + +This Recommendation, which is based on [ITU-T Y.2012], covers extended features of the next generation network (NGN) for the support of ubiquitous sensor network (USN) applications and services. This Recommendation describes functional requirements, a functional architecture and functional entities in order to support the NGN service requirements and capabilities defined in [ITU-T Y.2221]. + +This Recommendation covers: + +- Functional requirements and functions to support the NGN capabilities defined in [ITU-T Y.2221] +- A functional architecture and entities of the NGN to support USN applications and services + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [ITU-T Y.2221] Recommendation ITU-T Y.2221 (2010), *Requirements for support of ubiquitous sensor network (USN) applications and services in the NGN environment*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 sensor** [ITU-T Y.2221]: An electronic device that senses a physical condition or chemical compound and delivers an electronic signal proportional to the observed characteristic. + +**3.1.2 sensor network** [ITU-T Y.2221]: A network comprised of interconnected sensor nodes exchanging sensed data by wired or wireless communication. + +**3.1.3 sensor node** [ITU-T Y.2221]: A device consisting of sensor(s) and optional actuator(s) with capabilities of sensed data processing and networking. + +**3.1.4 ubiquitous sensor network (USN)** [ITU-T Y.2221]: A conceptual network built over existing physical networks which makes use of sensed data and provides knowledge services to anyone, anywhere and at anytime, and where the information is generated by using context awareness. + +**3.1.5 USN end-user** [ITU-T Y.2221]: An entity that uses the sensed data provided by USN applications and services. This end-user may be a system or a human. + +**3.1.6 USN gateway** [ITU-T Y.2221]: A node which interconnects sensor networks with other networks. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|---------|--------------------------------------------------------------| +| ABG-FE | Access Border Gateway Functional Entity | +| AN-FE | Access Node Functional Entity | +| ASF&SSF | Application Support Functions and Service Support Functions | +| AS-FE | Application Support Functional Entity | +| CAF | Charging and Accounting Functions | +| EN-FE | Edge Node Functional Entity | +| IP | Internet Protocol | +| MLM-FE | Mobile Location Management Functional Entity | +| MMCF | Mobility Management and Control Functions | +| NACF | Network Attachment Control Functions | +| NAC-FE | Network Access Configuration Functional Entity | +| NGN | Next Generation Network | +| OSE | Open Service Environment | +| QoS | Quality of Service | +| RACF | Resource and Admission Control Functions | +| SAA-FE | Service Authentication and Authorization Functional Entity | +| SC&CDF | Service Control and Content Delivery Functions | +| SCF | Service Control Functions | +| SCP-FE | Service and Content Protection Functional Entity | +| SUP-FE | Service User Profile Functional Entity | +| TAA-FE | Transport Authentication and Authorization Functional Entity | +| TLM-FE | Transport Location Management Functional Entity | +| TRC-FE | Transport Resource Control Functional Entity | +| TUP-FE | Transport User Profile Functional Entity | +| USN | Ubiquitous Sensor Network | + +# **5 Conventions** + +None. + +# **6 Functional requirements and functions of the NGN for USN applications and services** + +### **6.1 NGN functional requirements** + +[ITU-T Y.2221] describes the NGN service requirements and capabilities to support USN applications and services, and clause 8.1 of [ITU-T Y.2221] specifically states the following requirements for extensions or additions to NGN capabilities to support USN applications and services: + +- Network management +- Profile management + - Service profile + +NOTE 1 – Service profile requirement can be supported by existing NGN capabilities. See clause I.1. + + - Device profile +- Open service environment (OSE) + - Service registration and discovery + - Inter-working with service creation environments + +NOTE 2 – This Recommendation does not take these requirements into consideration. See clause I.1. +- Quality of service (QoS) + - Application traffic control + +NOTE 3 – Application traffic control can be supported by existing NGN capabilities. See clause I.1. +- Privacy + +NOTE 4 – This Recommendation does not take this requirement into consideration. See clause I.1. + +In addition to these capabilities, clause 8.2 of [ITU-T Y.2221] explains that the following capabilities are supported by the existing NGN capabilities to support USN applications and services: + +- Open service environment + - Service composition and coordination + +NOTE 5 – This Recommendation does not take this requirement into consideration. See clause I.1. +- Quality of service + - Differentiated QoS and data prioritization +- Connectivity +- Location management +- Mobility +- Security +- Identification, authentication and authorization +- Accounting and charging + +Appendix I describes requirements for the support of USN applications and services in NGN and allocates the corresponding functions of NGN to satisfy the requirements. + +### 6.2 Functional architecture model + +Figure 1 depicts the overall diagram of USN architecture, which uses NGN as a backbone network. + +![Figure 1 – Overall USN architecture diagram](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +The diagram illustrates the overall USN architecture, divided into three main sections: Sensor networks, Backbone Network, and USN applications and services. The Sensor networks section on the left shows a mesh of nodes connected by dashed lines. The Backbone Network section in the center features a cloud labeled 'NGN' with the text 'Observation data (sensor data)' inside. The USN applications and services section on the right shows two server icons labeled 'USN service provider'. Arrows indicate the flow of data and services: blue arrows show 'Observation data (sensor data)' being sent from the sensor networks to the NGN and then to the USN service providers; yellow arrows show 'Use of service' being sent from the USN service providers to the end-users (represented by mobile phone icons) via the NGN. + +Figure 1 – Overall USN architecture diagram + +**Figure 1 – Overall USN architecture** + +The sensor networks gather information about their physical surroundings and deliver this information to USN service providers through NGN. The USN service providers create USN services using this information and provide them to USN end-users via NGN. The USN end-users utilize USN services through NGN. + +As a backbone network, NGN provides the capabilities for the support of USN applications and services in the transport stratum functions, the service stratum functions, the management functions and the end-user functions. + +Figure 2 shows the overall functional architecture model of the NGN to support USN applications and services. More specifically, the figure shows the functions required for the support of USN applications and services. Appendix I describes requirements for the support of USN applications and services in NGN and allocates the corresponding functions of NGN to satisfy the requirements. + +![Figure 2 – Overall functional architecture model. This diagram illustrates the functional architecture for USN applications using sensor networks. It shows a layered structure with three main strata: Service Stratum (green), Transport Stratum (yellow), and Management Functions (pink). The Service Stratum includes Application Support Functions and Service Support Functions, Service Control and Content Delivery Functions, and Content Delivery Functions. The Transport Stratum includes Network Attachment and Control Functions, Mobility Management and Control Functions, Resource and Admission control Functions, Transport Control Functions, and Transport Functions. The Management Functions block includes Identification, authentication and authorization, Profile management (Service Profile), Security, Sensor network management, Device profile management, Security (key management), Accounting management, Differentiated QoS and data prioritization, Connectivity, Location management, Identification, authentication and authorization, Security (Sensor Data), Application traffic control, Differentiated QoS and data prioritization, and Mobility. The diagram also shows interfaces: ANI (Application Network Interface) at the top, SNI (Service Network Interface) on the right, and UNI (User Network Interface) at the bottom. External functions from other service providers and other networks are shown on the right. A legend at the bottom indicates Control (dashed line), Media (solid blue line), Management (dotted line), and IdM (dashed orange line).](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Figure 2 – Overall functional architecture model. This diagram illustrates the functional architecture for USN applications using sensor networks. It shows a layered structure with three main strata: Service Stratum (green), Transport Stratum (yellow), and Management Functions (pink). The Service Stratum includes Application Support Functions and Service Support Functions, Service Control and Content Delivery Functions, and Content Delivery Functions. The Transport Stratum includes Network Attachment and Control Functions, Mobility Management and Control Functions, Resource and Admission control Functions, Transport Control Functions, and Transport Functions. The Management Functions block includes Identification, authentication and authorization, Profile management (Service Profile), Security, Sensor network management, Device profile management, Security (key management), Accounting management, Differentiated QoS and data prioritization, Connectivity, Location management, Identification, authentication and authorization, Security (Sensor Data), Application traffic control, Differentiated QoS and data prioritization, and Mobility. The diagram also shows interfaces: ANI (Application Network Interface) at the top, SNI (Service Network Interface) on the right, and UNI (User Network Interface) at the bottom. External functions from other service providers and other networks are shown on the right. A legend at the bottom indicates Control (dashed line), Media (solid blue line), Management (dotted line), and IdM (dashed orange line). + +**Figure 2 – Overall functional architecture model** + +As seen in Figure 2, there are no additional functions beyond [ITU-T Y.2012] to support requirements for USN applications and services. However, some NGN functions should be extended to support requirements in terms of functionalities. Clause 6.3 describes NGN functions to support USN applications and services. + +### 6.3 Functions to support USN applications and services + +This clause describes how the functional requirements identified in clause 6.1 are supported in the functional architecture model shown in clause 6.2. This clause focuses on the NGN capabilities which need the extensions of NGN functions to support USN applications and services. + +The extension of NGN functions means that the NGN functions defined in [ITU-T Y.2012] should support additional capabilities for the requirements of USN applications and services. The extension of NGN functions can be achieved by implementation of additional capabilities of each stratum function. + +#### 6.3.1 Transport stratum functions + +The transport stratum functions are required to be extended to support requirements of USN applications and services. The extensions of the transport stratum functions are given in the following clauses. + +##### 6.3.1.1 Transport functions + +The following functional requirements are supported by the existing capabilities of the transport functions [ITU-T Y.2012]: + +- Application traffic control requirement: +The access network functions, edge functions and core transport functions are used for satisfying an application traffic control requirement which requests the management of transaction volume generated by the USN end-users. +- Differentiated QoS and data prioritization requirement: +USN mission-critical applications and services should be carefully managed. For example, emergency notification of a fire case must be delivered by a time-critical and reliable way to appropriate national disaster monitoring systems. The access network functions, edge functions and core transport functions provide differentiated QoS and data prioritization capabilities. + +##### 6.3.1.2 Transport control functions + +There are no extended capabilities in the transport control functions to support USN applications and services. The following functional requirements are supported by the transport control functions [ITU-T Y.2012]: + +- Differentiated QoS and data prioritization requirement: +As described in clause 6.3.1.1, USN applications and services require differentiated QoS and data prioritization. The resource and admission control functions (RACF) provides this capabilities in cooperation with the transport functions. +- Connectivity requirement: +Both IP-based and non IP-based sensor networks can connect to NGN. When a non IP-based sensor network connects to NGN, an IP-capable gateway is used. The network attachment control function (NACF) provides connectivity to IP-based and non-IP based sensor networks through gateways. +- Location management requirement: +The NACF provides a location management capability at the IP layer. If a sensor network uses IP addresses directly or a USN gateway provides IP-based connectivity, the location information management of sensor networks at the IP layer is supported by the NACF. +- Mobility requirement: +The access network functions provide a mobility capability of a sensor network as well as mobility of a sensor node within a sensor network or across sensor networks. If a sensor network is based on IP technologies, the mobility management and control functions (MMCF) provide functions for the support of IP-based mobility of a sensor network as well as a sensor node. +- Identification, authentication and authorization: +The NACF provides authentication of the USN end-users and authorization of network access. + +#### 6.3.2 Service stratum functions + +The service stratum functions are required to be extended to support requirements of USN applications and services. The extensions of the service stratum functions are given in the following clauses. + +##### **6.3.2.1 Service control and content delivery functions** + +The following functional requirements are supported by existing service control and content delivery functions [ITU-T Y.2012]: + +- Identification, authentication and authorization requirement: +The service control functions (SCF) support authentication and authorization functions for the USN end-users at the service level. + +##### **6.3.2.2 Application support functions and service support functions** + +There are no extended capabilities in the application support functions and service support functions to support USN applications and services. + +The following functional requirements are supported by existing application support functions and service support functions [ITU-T Y.2012]: + +- Identification, authentication and authorization requirement: +The application support functions and service support functions (ASF&SSF) provide authentication and authorization to access the services at the application level. +- Profile management requirement for registration and discovery of service: +[ITU-T Y.2221] specifies that the service profile for service registration and discovery requires the extension of NGN capabilities. However, [ITU-T Y.2012] defines that the ASF&SSF, especially the application support functional entity (AS-FE), provides generic application server functions such as service selection and service discovery. +- Security: +Application support functions and service support functions provide the protection of content (sensor data). + +#### **6.3.3 Management functions** + +The management functions are required to be extended to support requirements of USN applications and services. The extensions of the management functions are as follows: + +- Sensor network management requirement: +IP-based and non-IP-based sensor networks using various types of wired and/or wireless connection can coexist in USN applications and services. Non-IP-based sensor networks are often managed through their gateway. IP-based sensor networks include the case of a single sensor node directly connected to NGN, although sensor networks are often managed as a set. The management functions are required to manage IP-based sensor networks as well as non IP-sensor networks. +- Profile management (device profile) requirement: +In USN applications and services, a device profile consisting of the information of sensor networks and/or sensor nodes should be provided and managed. As there are various types of sensors, sensor nodes and sensor networks, device profiles would help to manage a large number of heterogeneous nodes and networks. The information of device profiles may include sensor network identifier, device identifier, device types, capabilities and location. The management functions may support device profile management. + +However, the following functional requirements are supported by existing management functions [ITU-T Y.2012]: + +- Security requirement: +Security management of USN applications and services including key management is supported by the management functions. + +- Accounting and charging requirement: +Different accounting and charging requirements might have to be addressed depending on the scenarios of USN applications and services. The management functions are required to support different accounting and charging policies according to different data transaction types of USN applications and services. + +#### **6.3.4 End-user functions** + +Existing end-user functions are required to support the following functions: + +- Security requirement: +Sensor data security within a sensor network is provided by the end-user functions. + +# **7 Functional architecture of the NGN for USN applications and services** + +The extensions and additions of the functional entities defined in [ITU-T Y.2012] are required for the support of USN applications and services. Based on the functions described in clause 6.3, this clause identifies the extensions and additions of the functional entities of the NGN functional architecture illustrated in Figures 9-2, 9-3 and 9-4 of [ITU-T Y.2012]. + +### **7.1 Transport processing functional entities** + +#### **7.1.1 T-2: Access node functional entity (AN-FE)** + +- Application traffic control requirement: +The AN-FE supports an application traffic control requirement which requests the management of transaction volume generated by the USN end-users. +- Differentiated QoS and data prioritization requirement: +The AN-FE supports different QoS and also supports data prioritization capabilities. + +#### **7.1.2 T-3: Edge node functional entity (EN-FE)** + +- Application traffic control requirement: +The EN-FE supports an application traffic control requirement which requests the management of transaction volume generated by the USN end-users. +- Differentiated QoS and data prioritization requirement: +The EN-FE supports different QoS and also supports data prioritization capabilities. + +#### **7.1.3 T-5: Access border gateway functional entity (ABG-FE)** + +- Differentiated QoS and data prioritization requirement: +The ABG-FE supports different QoS and also supports data prioritization capabilities. + +### **7.2 Transport control functional entities** + +#### **7.2.1 T-10: Network access configuration functional entity (NAC-FE)** + +- Connectivity requirement: +The NAC-FE provides connectivity to IP-based and non-IP based sensor networks through gateways. + +#### **7.2.2 T-11: Transport authentication and authorization functional entity (TAA-FE)** + +- Identification, authentication and authorization: +The TAA-FE provides authentication of the USN end-users and authorization of network access. + +#### **7.2.3 T-12: Transport user profile functional entity (TUP-FE)** + +- Identification, authentication and authorization: +The TAA-FE provides authentication of the USN end-users and authorization of network access. + +#### **7.2.4 T-13: Transport location management functional entity (TLM-FE)** + +- Location management requirement: +The TLM-FE provides location management capability at the IP layer. If a sensor network uses IP addresses directly or a USN gateway provides IP-based connectivity, the location information management of sensor networks at the IP layer is supported by the TLM-FE. + +#### **7.2.5 T-17: Transport resource control functional entity (TRC-FE)** + +- Differentiated QoS and data prioritization requirement: +The TRC-FE provides different QoS and also supports data prioritization capabilities. + +#### **7.2.6 T-18: Mobile location management functional entity (MLM-FE)** + +- Mobility requirement: +The MLM-FE provides functions for the support of IP-based mobility of a sensor network as well as a sensor node. + +### **7.3 Service control functional entities** + +#### **7.3.1 S-5: Service user profile functional entity (SUP-FE)** + +- Identification, authentication and authorization: +The SUP-FE is responsible for storing user profiles, subscriber-related location data and presence status data in the service stratum. A user profile is required to be provided in support of authentication, authorization and so on. + +#### **7.3.2 S-6: Service authentication and authorization functional entity (SAA-FE)** + +- Identification, authentication and authorization: +The SAA-FE provides authentication and authorization in the service stratum. + +### **7.4 Application support functions and service support functions** + +#### **7.4.1 A-1: Application support functional entity (AS-FE)** + +- Profile management requirement for service registration and discovery: +The AS-FE supports generic application server functions including hosting and executing services such as service selection servers and service discovery servers. + +#### **7.4.2 A-8: Service and content protection functional entity (SCP-FE)** + +- Identification, authentication and authorization: +The SCP-FE provides authentication and authorization in the service stratum. +- Security: +The SCP-FE provides the protection of the services and content (sensor data). + +# **8 Security considerations** + +Security considerations regarding the functional requirements and architecture of the NGN are addressed in [ITU-T Y.2701]. + +# Appendix I + +## Analysis of service requirements and network capabilities defined in Recommendation ITU-T Y.2221 + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Requirements for extensions to NGN capabilities + +[ITU-T Y.2221] defines the following requirements to be supported by extended NGN capabilities. + +| Requirements | Explanation | +|--------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Network management |
  • • It is required to manage IP-based sensor networks including the case of a single node directly connected to NGN.
  • • It is required to manage non-IP-based sensor networks.
  • • It is required to support configuration and reconfiguration of sensor networks for assurance of connectivity and lifetime management.
| +| Profile management for service registration and discovery |
  • • It is recommended to use a standard set of USN service profiles to register and discover USN services.

NOTE – [ITU-T Y.2221] specifies that the service profile for service registration and discovery requires the extension of NGN capabilities. However, [ITU-T Y.2012] defines that the ASF&SSF, especially the application support functional entity (AS-FE), provides generic application server functions such as service selection and service discovery.

Therefore, a service profile requirement can be supported by existing NGN capabilities.

| +| Profile management: Device profile |
  • • It is optional to use device profiles containing sensor network related information.
| +| Open service environment: Service registration and discovery |
  • • It is required to support at least one USN service description language and its associated execution framework.
  • • It is recommended to register and discover USN services based on a standard set of USN service profiles.
  • • Registration and discovery of sensor network devices may be supported.
  • • Context-awareness can be optionally supported in service discovery for USN applications and services.

NOTE – [ITU-T Y.2221] specifies that service registration and discovery using the service profile under OSE require the extension of NGN capabilities. However, [ITU-T Y.2012] defines that the ASF&SSF, especially the application support functional entity (AS-FE), provides generic application server functions such as service selection and service discovery.

Therefore, OSE service registration and discovery requirement can be supported by the existing NGN capability (i.e., ASF&SSF) instead of OSE.

| + +| Requirements | Explanation | +|----------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Open service environment: Inter-working with service creation environments |
  • It is recommended to support inter-working with other service creation environments for the creation of USN applications and services

NOTE – From the viewpoint of USN applications and services, NGN may be regarded as an intermediate network providing connectivity, data delivery and management. Service creation under OSE provides NGN service creation, not creation of USN applications and services. USN service creation is provided by other service providers and not the NGN.

Therefore this Recommendation does not take this requirement into consideration.

| +| Quality of service: Application traffic control |
  • It is required to manage the transaction volume generated by USN applications and services.
  • It is recommended to be able to avoid access concentration to a single resource.

NOTE – [ITU-T Y.2221] specifies that QoS-application traffic control requires the extension of NGN capabilities. However, [ITU-T Y.2012] defines that access network functions and edge functions provide QoS and traffic control.

Therefore QoS-application traffic control requirement can be supported by existing NGN capabilities.

| +| Privacy |
  • There should be an option for privacy-enhanced multi-hop routing mechanisms (information on originating node identifier (ID), time and location should not be revealed – at least not totally – to intermediate nodes).
  • There should be an operating option to de-correlate sensor activity patterns (revealing sensitive context information) from the ensuing communication traffic patterns.

NOTE – [ITU-T Y.2221] specifies that privacy protection should be supported by NGN. However, this requirement needs an end-to-end (from sensor node/sensor network to application) security mechanism. The main role of NGN for supporting USN applications and services is delivering sensor data to USN applications or delivering control data to sensor networks. From the USN point of view, NGN is an intermediate network and the components of NGN can also be regarded as intermediate nodes.

Therefore privacy protection that requires an end-to-end security mechanism cannot be supported by NGN functions and this Recommendation does not take this requirement into consideration.

| + +### I.2 Requirements supported by existing NGN capabilities + +[ITU-T Y.2221] defines the following requirements to be supported by existing NGN capabilities. + +| Requirements | Explanation | +|----------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Open service environment: Service composition and coordination |
  • • It is recommended to support service composition and coordination for creation of USN applications and services.

NOTE – From the viewpoint of USN applications and services, NGN may be regarded as an intermediate network providing connectivity, data delivery and management. Service composition and coordination under OSE provides NGN service composition and coordination, not USN applications and services. USN service composition and coordination is provided by other service providers than NGN.

Therefore this Recommendation does not take this requirement into consideration.

| +| Quality of service: Differentiated QoS and data prioritization |
  • • It is recommended to provide differentiated QoS and data prioritization according to the specific USN service requirements.
| +| Connectivity |
  • • It is required to support connectivity between sensor networks and infrastructure networks, regardless of the sensor network type, i.e., IP-based or non-IP-based and using various types of wired and/or wireless media connections. This includes the case in IP-based sensor networks of a single sensor node directly connected to the infrastructure networks.
| +| Location management |
  • • Location information of sensor networks is recommended to be registered for USN applications and services. Registration can be static or dynamic.
  • • Location information of an individual sensor node can be optionally registered for USN applications and services when the location information of a single sensor node is useful.
  • • Location information is recommended to be trustworthy, hence location discovery and management is recommended to be secure.
| +| Mobility |
  • • It is required to support network mobility when a sensor network moves across infrastructure networks.
  • • Infrastructure networks are required to support intra-sensor network mobility and inter-sensor network mobility when location information of a moving sensor node is required to be traced.
| + +| Requirements | Explanation | +|--------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Security |
  • • It is required to support key management schemes for USN applications and services.
  • • It is recommended to support scalable key management schemes for USN applications and services operating with large sensor networks.
  • • It is recommended to provide security for the aggregated data when sensed data from two or more applications and services are integrated in infrastructure networks for the creation of new services.
  • • The security approaches for the support of USN applications and services are recommended to be consistent with the general approach for security in NGN.
  • • In addition to data security, the USN communication infrastructure is recommended to provide information transport security for protection against well-known passive and active attacks. Protocols for information transport are required to be resilient to attacks.
  • • Depending on the specific USN application security requirements, a means for intrusion detection is required.
| +| Identification, authentication and authorization |
  • • It is required to support identification, authentication and authorization for users to access USN applications and services based on the security level of service data.
  • • It is required to support different levels of authentication for different types of data based on the requirements of USN applications and services.
  • • The USN end-users can optionally identify and authenticate network providers and USN service providers.
| +| Accounting and charging |
  • • It is required to support different accounting and charging policies according to different data transaction types of USN applications and services.
| + +### I.3 Mapping table of the requirements and the extended NGN functions + +Clause I.1 defines the NGN capabilities to be extended to satisfy the requirements of [ITU-T Y.2221]. This clause allocates proper functions of NGN which are defined in [ITU-T Y.2012] to support the capabilities. + +| Requirements | Corresponding functions | +|------------------------------------|--------------------------------------------------------------------------| +| Network management |
  • • Management functions
| +| Profile management: Device profile |
  • • Management functions
| + +### I.4 Mapping table of the requirements and the existing NGN functions + +Clause I.2 defines the existing NGN capabilities to satisfy the requirements of [ITU-T Y.2221]. This clause allocates proper functions of NGN which are defined in [ITU-T Y.2012] to support the capabilities. + +| Requirements | Corresponding functions | +|----------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Profile management for service registration and discovery |
  • • Application support functions and service support functions (ASF&SSF)
| +| Quality of service: Application traffic control |
  • • Transport functions
    • – Access network functions
    • – Edge functions
  • • Core transport functions
| +| Quality of service: Differentiated QoS and data prioritization |
  • • Transport functions
    • – Access network functions
    • – Edge functions
    • – Core transport functions
  • • Transport control functions
    • – Resource and admission control functions (RACF)
| +| Connectivity |
  • • Transport control functions
    • – Network attachment control functions (NACF)
| +| Location management |
  • • Transport control functions
    • – Network attachment control functions (NACF)
| +| Mobility |
  • • Transport functions
    • – Access network functions
    • – Mobility management and control functions (MMCF)
| +| Security |
  • • Management functions (security key management)
  • • End-user functions (data security)
  • • Application support functions and service support functions (ASF&SSF)
| +| Identification, authentication and authorization |
  • • Transport control functions
    • – Network attachment control functions (NACF)
  • • Service control and content delivery functions (SC&CDF)
    • – Service control functions (SCF)
  • • Application support functions and service support functions (ASF&SSF)
| +| Accounting and charging |
  • • Management functions (accounting management)
    • – Charging and accounting functions (CAF)
| + +# Appendix II + +## USN middleware functions provided by NGN + +(This appendix does not form an integral part of this Recommendation.) + +[b-ITU-T F.744] describes USN middleware as follows: + +- USN middleware is an intermediate entity which provides functions commonly required by different types of USN applications and services. USN middleware receives requests from USN applications and delivers those requests to appropriate sensor networks. Similarly, USN middleware receives sensed data or processed data from sensor networks and delivers them to appropriate USN applications. USN middleware can provide information processing functions such as query processing, context-aware processing, event processing, sensor network monitoring and so on. + +NOTE – Detailed descriptions and requirements related to USN middleware are given in [b-ITU-T F.744]. + +From the description above, it is understood that USN middleware provides accessibility to sensor networks and data between sensor networks and USN applications and services. Also, USN middleware encompasses information processing functions which may be commonly required by various types of USN applications and services. + +As described in Appendix I, NGN may be regarded as an intermediate network providing connectivity, data delivery and management. From these facts, USN middleware functions can be implemented by NGN functions. + +Figure II.1 depicts the functional model of USN middleware given in [b-ITU-T F.744]. NGN functions may provide basic functions and advanced functions of USN middleware in each stratum of NGN. + +However, this Recommendation does not intend to clarify NGN functional entities for providing USN middleware functions. This is out of scope of this Recommendation. + +![Functional model of USN middleware diagram showing layers from USN applications to Sensor networks, including Open application interface processing, Basic/Advanced functions, Sensor network common interface processing, and Security service.](e69b9188aa2c14ec6b21c83f711fef65_img.jpg) + +The diagram illustrates the functional model of USN middleware, organized into several layers and components: + +- USN applications**: Located at the top, connected to the Open application interface processing layer via the *Open application interface*. +- Open application interface processing**: A horizontal block that serves as the entry point for applications. +- Basic functions**: A vertical column containing: + - Query processing + - Sensor network metadata directory service + - Application-independent data filtering + - Sensor network management +- Advanced functions**: A vertical column containing: + - Service discovery + - Sensor data mining processing + - Context-aware rule processing + - Event processing +- Sensor network common interface processing**: A horizontal block at the bottom of the main processing stack, connected to **Sensor networks** via the *Sensor network common interface*. +- Security service**: A vertical block on the right side of the main processing stack, spanning the height of the Basic and Advanced functions layers. +- USN middleware**: Indicated by a large vertical double-headed arrow on the right, encompassing the entire middleware stack from the Open application interface processing layer down to the Sensor network common interface processing layer. + +Y.2026(12)\_FII.1 + +Functional model of USN middleware diagram showing layers from USN applications to Sensor networks, including Open application interface processing, Basic/Advanced functions, Sensor network common interface processing, and Security service. + +**Figure II.1 – Functional model of USN middleware ([b-ITU-T F.744])** + +## Bibliography + +- [b-ITU-T F.744] Recommendation ITU-T F.744 (2009), *Service description and requirements for ubiquitous sensor network middleware*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2028-201506-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg 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+TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.2040 + +(02/2016) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +# --- **Flow-based service continuity in multi-connection** + +Recommendation ITU-T Y.2040 + +![ITU logo: A blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'.](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text 'ITU' is written in a large, bold, blue font, and below it, the words 'International Telecommunication Union' are written in a smaller, blue font. + +ITU logo: A blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'. + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.2040 + +# Flow-based service continuity in multi-connection + +## Summary + +Recommendation ITU-T Y.2040 describes the flow-based service continuity mechanism in a multi-connection environment. This Recommendation also covers scenarios, requirements, solutions, information flows and security. In the multi-connection environment, flow-based service continuity is the mechanism that allows the moving of IP flows from one access to another (target) access, thus minimising service disruption in the case of access loss, or when the access is no longer usable. Flow-based service continuity (FSC) includes two modes, the multi-connection user equipment (MUE) initiated flow-based service continuity mode and the network-initiated flow-based service continuity mode. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2040 | 2016-02-13 | 13 | 11.1002/1000/12704 | + +## Keywords + +Flow-based, multi-connection, service continuity. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2016 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Scenarios and requirements ..... | 3 | +| 6.1 Scenarios..... | 3 | +| 6.2 Requirements..... | 4 | +| 7 Flow-based service continuity mechanisms ..... | 5 | +| 7.1 Overview ..... | 5 | +| 7.2 Description of the mechanisms ..... | 6 | +| 7.3 Capability requirements..... | 7 | +| 7.4 Procedures ..... | 8 | +| Bibliography..... | 11 | + + + +## Recommendation ITU-T Y.2040 + +# Flow-based service continuity in multi-connection + +# 1 Scope + +This Recommendation describes the flow-based service continuity mechanism in a multi-connection environment. This Recommendation also describes scenarios, requirements, information flow mechanisms and security of flow-based service continuity in a multi-connection environment. For information on other aspects outside of the scope of this Recommendation, such as security and charging for flow-based service continuity in a multi-connection environment, see [ITU-T Y.2251]. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|----------------------------------------------------------------------------------------------------| +| [ITU-T Y.2027] | Recommendation ITU-T Y.2027 (2012), Functional architecture of multi-connection . | +| [ITU-T Y.2028] | Recommendation ITU-T Y.2028 (2015), Intelligent access selection in multi-connection . | +| [ITU-T Y.2029] | Recommendation ITU-T Y.2029 (2015), A multi-path transmission control in multi-connection . | +| [ITU-T Y.2251] | Recommendation ITU-T Y.2251 (2011), Multi-connection requirements . | + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 connection** [b-ITU-T X.200]: A connection is an association established for the transfer of data between two or more peer-(N)-entities. This association binds the peer-(N)-entities together with the (N-1)-entities in the next lower layer. + +**3.1.2 multi-connection** [b-ITU-T Y.2252]: The collection of several connections between two or more peer-(N)-entities simultaneously. At least one of the connections is associated with a physical layer connectivity different from the rest of the connections. All connections are coordinated with each other to provide service to higher layer entities. + +**3.1.3 multi-connection user equipment (MUE)** [ITU-T Y.2027]: A user equipment which can support two or more network connections simultaneously under the control of a network enhanced for multi-connection capability. + +**3.1.4 service continuity** [b-ITU-T Q.1706]: The ability for a moving object to maintain ongoing service including over current states, such as user's network environment and session for a service. + +**3.1.5 service transfer** [ITU-T Y.2251]: Act of moving, one or more services or service components belonging to a single multi-connection UE, from one access network associated with one interface of the multi-connection UE to another access network(s) associated with other interface(s) of the multi-connection UE. + +**3.1.6 IP flow** [b-RFC 3917]: A flow is defined as a set of IP packets passing an observation point in the network during a certain time interval. All packets belonging to a particular flow have a set of common properties. Each property is defined as the result of applying a function to the values of: + +- 1) One or more packet header field (e.g., destination IP address), transport header field (e.g., destination port number), or application header field (e.g., RTP header fields [b-RFC 3550]); +- 2) One or more characteristics of the packet itself (e.g., number of MPLS labels, etc.); +- 3) One or more of fields derived from packet treatment (e.g., next hop IP address, the output interface, etc.). + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|-----------------------------------------------| +| 2G | Second Generation | +| 3G | Third Generation | +| 3GPP | 3rd Generation Partnership Project | +| AC-FE | Access Control FE | +| FE | Functional Entity | +| FSC | Flow-based Service Continuity | +| IAS | Intelligent Access Selection | +| IP | Internet Protocol | +| MC-FE | Multi-connection Coordination FE | +| MAS-F | Multi-connection Application Support Function | +| MMF | Multi-connection Media Function | +| MPC-FE | Multi-connection Policy Control FE | +| MR-FE | Multi-connection Registration FE | +| MTC-FE | Multi-connection Terminal Control FE | +| MUE | Multi-connection User Equipment | +| MUP-FE | Multi-connection User Profile FE | +| QOS | Quality of Service | +| SC | Service Continuity | +| SCF | Service Control Function | +| WLAN | Wireless Local Area Network | + +# **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "is not recommended" indicate a requirement which is not recommended but which is not specifically prohibited. Thus, conformance with this specification can still be claimed even if this requirement is present. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# **6 Scenarios and requirements** + +## **6.1 Scenarios** + +In the multi-connection environment, the multi-connection user equipment (MUE) has more than one active connection simultaneously, it can send and receive different IP flows of the same application through different accesses. In the case where one of the accesses is lost or is no longer usable, a mechanism is provided to move the IP flows to another (target) access in order to minimise service disruption. When an access is recovered, a mechanism is provided to move the IP flow over to the recovered access. Precedence is given to those accesses associated with policies. The covered scenarios include an MUE-initiated flow-based service continuity (FSC) scenario and a network-initiated FSC scenario. + +### **6.1.1 MUE-initiated FSC scenario** + +In the MUE-initiated FSC mode only the MUE controls the traffic routing for the associated multi-connections and applying policies for FSC rules. + +The MUE can request to move selected IP flows from an old access to a new access by sending one or more routing rules to the network. The routing rules specify the selected IP flows and the new access. The MUE determines the routing rules and provides them to the network. The network may either accept or reject the routing rules requested by the MUE, but it does not provide routing rules by itself. + +### **6.1.2 Network-initiated FSC scenario** + +In the network-initiated FSC mode, the network controls the traffic routing within the multi-connections. The network determines the routing rules and provides them to the MUE. The MUE may either accept or reject the network's request for routing rules (e.g., based on the suitability of the access link conditions), but the MUE does not provide routing rules by itself. + +## **6.2 Requirements** + +### **6.2.1 General requirements** + +In the multi-connection environment, the MUE may transfer one or multiple IP sub-flows seamlessly when the MUE moves out of coverage and the connection is lost, or when there is network congestion. This clause identifies requirements in order to provide service continuity to the user and the application during service transfer: + +- 1) Data forwarding mechanism: A data forwarding mechanism is required to keep data integrity. +- 2) Mobility control mechanism: A mobility control mechanism is required to minimize the time during the flow transfer and maintain flow service continuity. +- 3) Flow sequence numbers: sub-flow sequence numbers need to be added to each sub-flow. A flow sequence number is used for transmission control and data recovery at the receiving end. +- 4) The multi-connection policy control functional entity (MPC-FE) should support specific policy decision algorithms to provide adaptive decision making, such as decomposed service transmission adjustment and service separation decisions. + +### **6.2.1 FSC capability discovery/negotiation requirement** + +A mechanism is defined for the MUE and the network to discover whether the network and the MUE respectively support FSC and to decide whether FSC is applied for multi-connection. The MUE and the access control functional entity (AC-FE) shall always be aware of which access Internet protocol (IP) flows are used in multi-connection. + +During initial multi-connection establishment over the first connection, the MUE triggers a FSC request. The intermediate network nodes indicate to the AC-FE whether they support FSC for the corresponding request. If an MPC-FE is deployed, the AC-FE communicates to the MPC-FE indicating whether or not the MUE and the network support FSC. The MPC-FE then takes the decision of whether or not FSC may apply to the multi-connection and communicates this decision to the AC-FE. + +If the network supports FSC and is willing to accept FSC for the multi-connection, the AC-FE confirms the FSC support in an "FSC accepted" indication sent back to the MUE in the multi-connection establishment accept message. + +### **6.2.2 Routing rules** + +It is recommended that a routing rule contains the following parameters: + +- Routing filter +- Routing access information +- Routing rule priority +- Routing rule identifier + +A routing filter consists of IP header parameter values and/or ranges used to identify one or more IP flows. + +The routing access information identifies the access type where the IP flow shall be routed. + +For the purpose of matching user traffic against routing rules, filters are applied in the order designated by the routing rule priority. + +The routing rule identifier uniquely identifies a routing rule for one connection. The routing rule identifier is allocated by the entity creating the routing rule; i.e., by the MUE in MUE-initiated FSC mode and by the AC-FE in network-initiated FSC mode. + +#### **6.2.3 Delivery of routing rules** + +Routing rules are exchanged between the MUE and the AC-FE via control plane signalling. + +For the MUE-initiated FSC procedure, the routing rules are provided by the MUE to the network. The MUE does not apply new routing rules until the AC-FE has acknowledged them. + +For the network-initiated FSC procedure, the MPC-FE makes the decision on when and which flows should be moved to which connections. The MPC-FE learns about the multiple accesses supporting a multi-connection via event triggers from the AC-FE. + +# **7 Flow-based service continuity mechanisms** + +## **7.1 Overview** + +Both, the MUE-initiated FSC mode and the network-initiated mode are supported. The FSC mode applicable to multi-connection is determined during connection establishment. Routing rule installation is possible at any time during the lifetime of the multi-connection sessions. The routing rules can even be installed if there is no IP flow currently matching the routing filter in the routing rule. + +The AC-FE performs IP flow routing for downlink traffic. The MUE performs IP flow routing for uplink traffic. + +During the multi-connection sessions and when the policies determine that the IP flows should be moved and the target access is available for the MUE, it is possible to move individual IP flows from one access network to another. + +When an MPC-FE is deployed and supports FSC, the MPC-FE provides the AC-FE with access information as part of the policy control rules. The access information is used to control the accesses over which the matching traffic is sent. + +When an MPC-FE is not deployed or it is inactive for a multi-connection session, the AC-FE may apply static FSC related policies. The AC-FE static policy and control functionality is not based on subscription or user quota information. + +For FSC, the MUE and the AC-FE exchange routing rules. Routing rules describe the mapping between a set of IP flows (identified by a routing filter) and a routing access type (e.g., 3GPP or WLAN types) over which to route the IP flows. Routing rules are exchanged over the control plane. + +The AC-FE translates access information received in policy control rules into routing rules to be used between the MUE and the AC-FE. In cases where the MUE-initiated FSC is applied (and the policy control entity is deployed for the multi-connection) the AC-FE provides, upon subscription of the MPC-FE, the MPC-FE with notifications of the MUE requests for IP flow mapping to an access type. The MPC-FE analyses the received information (requested IP flow mapping to an access type), makes a policy decision and provides policy control rules to the AC-FE with corresponding access type values. + +The FSC-enhanced related functional entities are shown in Figure 7-1. + +![Figure 7-1: Multi-connection flow-based service continuity related functional entities. The diagram shows a network architecture with two main columns of functional entities. The left column includes Applications, Multi-connection application support function (MAS-F), Multi-connection policy control FE (MPC-FE), Multi-connection coordination FE (MC-FE), Multi-connection registration FE (MR-FE), and Multi-connection user profile FE (MUP-FE). The right column includes Applications, Multi-connection application support function (MAS-F), Service control function (SCF), Multi-connection media function (MMF), Access control FE (AC-FE), Access network, and Multi-connection terminal control FE (MTC-FE). Dashed lines represent interfaces: ANI between Applications and MAS-F; Pa between MAS-F and MPC-FE; As between MAS-F and SCF; Ps between MPC-FE and SCF; Pc between MPC-FE and MC-FE; Cm between MC-FE and MMF; Cr between MC-FE and MR-FE; Ma between MMF and AC-FE; Pu between MPC-FE and MUP-FE; Ru between MR-FE and MUP-FE; Sa between SCF and AC-FE; and Rt between MUP-FE and MTC-FE. Solid lines connect AC-FE to the Access network and the Access network to MTC-FE. The entities MPC-FE, AC-FE, and MTC-FE are highlighted with red borders. The reference Y.2040(16)_F7-1 is at the bottom right.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Figure 7-1: Multi-connection flow-based service continuity related functional entities. The diagram shows a network architecture with two main columns of functional entities. The left column includes Applications, Multi-connection application support function (MAS-F), Multi-connection policy control FE (MPC-FE), Multi-connection coordination FE (MC-FE), Multi-connection registration FE (MR-FE), and Multi-connection user profile FE (MUP-FE). The right column includes Applications, Multi-connection application support function (MAS-F), Service control function (SCF), Multi-connection media function (MMF), Access control FE (AC-FE), Access network, and Multi-connection terminal control FE (MTC-FE). Dashed lines represent interfaces: ANI between Applications and MAS-F; Pa between MAS-F and MPC-FE; As between MAS-F and SCF; Ps between MPC-FE and SCF; Pc between MPC-FE and MC-FE; Cm between MC-FE and MMF; Cr between MC-FE and MR-FE; Ma between MMF and AC-FE; Pu between MPC-FE and MUP-FE; Ru between MR-FE and MUP-FE; Sa between SCF and AC-FE; and Rt between MUP-FE and MTC-FE. Solid lines connect AC-FE to the Access network and the Access network to MTC-FE. The entities MPC-FE, AC-FE, and MTC-FE are highlighted with red borders. The reference Y.2040(16)\_F7-1 is at the bottom right. + +**Figure 7-1 – Multi-connection flow-based service continuity related functional entities** + +## 7.2 Description of the mechanisms + +### 7.2.1 Description of the FSC mechanisms + +Following the above-mentioned requirements, two multi-connection FSC modes are supported, the MUE-initiated FSC mode and the network-initiated mode. The following clauses specify the functional characteristics of each mode and how they are selected. + +### 7.2.2 MUE-initiated FSC mode + +In the MUE-initiated FSC mode, the MUE controls the traffic routing among the multi-connections by applying its intelligent access selection (IAS) for FSC rules and/or the user-configured routing rules. When the IAS for FSC rules is used, the MUE can also control traffic routing outside the multi-connection access control functional entity. + +The MUE can request to move selected IP flows from one access to another access by sending routing rules to the network. These routing rules specify the selected IP flows and the new (target) access. + +The network cannot request FSC. The network may reject FSC requests from MUE due to subscription (or quota) limitations. When the network rejects an IP flow mobility request, the network shall provide to the MUE a specific cause value indicating why the request was rejected. This cause value may be used by the MUE to determine when and if this FSC operation can be requested again. + +### 7.2.3 Network-initiated FSC mode + +In the network-initiated FSC mode, the network controls the traffic routing within the multi-connection access control function entity. + +The network can request to move selected IP flows from one multi-connection access to another multi-connection access by sending routing rules to the MUE. The routing rules specify the selected IP flows and the new (target) connection. + +The MUE may reject (e.g., due to the local operating environment information) a FSC request from the network. When the MUE rejects a FSC request from the network, the MUE shall provide a cause value indicating the reason of the rejection. The cause value may be used by the network to determine when/if this FSC operation can be requested again. + +The MUE cannot request IP flow mobility. However, the MUE can indicate to the network when an access for multi-connection purposes can or cannot be used for traffic routing. For instance, in the case where the MUE wants to request a mapping of IP flows to a specific access type, the MUE provides the requested mapping to the network. However, this is not considered a routing rule provision, since the network is considered as the decision point for routing rules in the network-initiated FSC mode. The network then provides new or updated routing rules to the MUE, based on the request received from the MUE, unless the request is contrary to what is allowed by the subscription. + +#### **7.2.4 Mode selection** + +Multi-connection FSC can operate in one of the following modes: + +- MUE-initiated mode; +- Network-initiated mode. + +The multi-connection FSC mode is selected with the following procedure: + +- When an FSC-capable MUE supports multi-connection IAS and it has a routing policy rule valid in the operators' network, then: + - If the routing policy rule includes at least one "routing policy for FSC" rule (irrespective of its validity), the MUE requests MUE-initiated mode and the network selects MUE-initiated mode; + - Otherwise, the MUE requests network-initiated mode and the network selects network-initiated mode. +- When an FSC-capable MUE does not support multi-connection IAS or supports multi-connection IAS but it does not have a routing policy rule valid in the network, then: + - The MUE requests network-initiated mode and the network selects network-initiated mode. + +## **7.3 Capability requirements** + +### **7.3.1 FSC-enhanced MUE requirements** + +To support FSC, the following capabilities of the FSC-enhanced MUE are required: + +- Indicate support and request FSC for MUE multi-connection; +- Request FSC mode to the network; +- Send default accesses for FSC to the network (in MUE-initiated FSC mode); +- Receive decisions from the network on whether FSC applies to a connection, on the FSC mode and on the default access; +- Provide handover indication and FSC indication if an access is added for a multi-connection; +- Exchange routing rules with the network; +- Route IP flow(s) by using routing access information; +- Notify to the network that a connection becomes "usable" or "Not usable" (in network-initiated FSC mode). + +### **7.3.2 FSC-enhanced AC-FE requirements** + +To support FSC, the following capabilities of the FSC-enhanced AC-FE are required: + +- Negotiate the capability to support FSC and the FSC mode if the MUE is connected to the network. This negotiation includes receiving the MUE request for FSC, as well as receiving the corresponding support indications from other entities in the network; +- Receive MUE request on a default connection for FSC (in MUE-initiated FSC mode); +- Route IP flow(s) by using the routing access information; +- Exchange routing rules between network and MUE over control plane (protocols); +- Receive UE notification that a connection has become "usable" or "Not usable" (in network-initiated FSC mode). + +### **7.3.3 FSC-enhanced MPC-FE requirements** + +To support FSC, the following capabilities of the FSC-enhanced MPC-FE are required: + +- The MPC-FE controls whether FSC may apply to a multi-connection; +- The MPC-FE may request to be notified by the AC-FE when a connection is added or removed for the multi-connection; +- The MPC-FE may request to be notified by the AC-FE when a connection becomes not "Usable" or "Usable" again; +- The MPC-FE can send policy control rules including access type routing information per policy control rule to the AC-FE; +- The MPC-FE may subscribe to notifications from AC-FE about the routing rules received from the MUE. If the routing rules received from the MUE comply with the user subscription, the MPC-FE installs or modifies policy control rules based on these notifications, only in MUE-initiated FSC mode; +- The MPC-FE determines the desired access type routing information for a policy control rule and accordingly installs or modifies policy control rules to the AC-FE. The MPC-FE request may be rejected by the MUE due to local access conditions. In such cases, the MPC-FE is notified that the policy control rule cannot be fulfilled, only for network-initiated FSC mode. + +## **7.4 Procedures** + +#### **7.4.1 MUE initiated FSC** + +Multi-connection FSC operates in the MUE-initiated mode in the following manner. When a MUE is connected simultaneously to multiple access networks, the MUE can use multiple connections to send and receive IP flows. Because of the changes in the access network, sometimes the MUE needs to move one IP flow from one access to another. In that case, the MUE moves one or more IP flow(s) by providing a routing rule to the network, thus updating the routing rules. MUE initiated FSC is shown in Figure 7-2. + +![Sequence diagram for MUE initiated FSC showing interactions between MUE, AC-FE(1), AC-FE(2), MR-FE, MC-FE, MPC-FE, and MMF.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +``` + +sequenceDiagram + participant MUE + participant AC_FE1 as AC-FE(1) + participant AC_FE2 as AC-FE(2) + participant MR_FE as MR-FE + participant MC_FE as MC-FE + participant MPC_FE as MPC-FE + participant MMF + + Note over MUE: 0. MUE is connected simultaneously to multiple access networks + MUE->>MR_FE: 1. The MUE sends connection update request message, which includes the routing rules requested by the MUE. + MR_FE->>MC_FE: 2. Updates connection information + MC_FE->>MPC_FE: 3. Notifies the MPC-FE about the updated routing rules. + MPC_FE-->>MC_FE: 4. The MPC-FE rejects or accepts the routing rules according to subscription data and modifies the corresponding policy rules. + MC_FE->>MMF: 5. Policy installation + MMF-->>AC_FE2: 6. Routing rules + AC_FE2-->>MMF: 7. ACK + Note over AC_FE1, AC_FE2: 8. The AC-FE performs the transport resource activation procedure or modification procedure and indicates which routing rule has been accepted. + Note over AC_FE1, AC_FE2: 9. Resource release/modification procedures are executed for the resources associated with the flows that were removed. + +``` + +Sequence diagram for MUE initiated FSC showing interactions between MUE, AC-FE(1), AC-FE(2), MR-FE, MC-FE, MPC-FE, and MMF. + +Y.2040(16)\_F7-2 + +**Figure 7-2 – MUE initiated FSC** + +0. The MUE is connected simultaneously to multiple access networks and it is using multiple connections to send and receive IP flows. +1. The MUE sends a connection update request message to the multi-connection registration functional entity (MR-FE). The message contains the routing rules requested by the MUE. +2. The MR-FE updates the information of the connection by using the connection update request message. Afterwards the MR-FE sends a connection information message to the multi-connection coordination functional entity (MC-FE). +3. The MC-FE sends a transport resource modification request message to the MPC-FE. This message contains the updated routing rules for the MPC-FE. +4. The MPC-FE rejects or accepts the routing rules according to subscription data and modifies the corresponding policy rules. +5. The MC-FE makes and assigns related rules for access network for the multi-connection media function (MMF). In this way, the MMF installs the suitable rules. +6. The MMF sends the new routing rules to the AC-FE(2). +7. The AC-FE(2) updates the routing rules of the connection. Afterwards, it returns an ACK message to the MMF. +8. The AC-FE(2) performs the transport resource activation procedure or modification procedure indicating which routing rule has been accepted. +9. Resource release or modification procedures are finally executed, so the associated resources to the flows can be removed. + +### 7.4.2 Network initiated FSC + +The multi-connection FSC operates in network-initiated mode in the following manner. Based on the current status of an access network, one of the existing IP flows is moved from one access network to another automatically. Thus, the network is required to initiate the FSC and move one or more IP flows by providing a routing rule to the MUE updating the routing rules. Network initiated FSC is shown in Figure 7-3. + +![Sequence diagram for Network initiated FSC showing interactions between MUE, AC-FE(1), AC-FE(2), MR-FE, MC-FE, MPC-FE, and MMF.](0f985b39edc1d52ba3600c438bc8f0a5_img.jpg) + +``` + +sequenceDiagram + participant MUE + participant AC_FE1 as AC-FE(1) + participant AC_FE2 as AC-FE(2) + participant MR_FE as MR-FE + participant MC_FE as MC-FE + participant MPC_FE as MPC-FE + participant MMF + + Note over MUE, AC_FE2: 0. MUE is connected simultaneously to multiple access networks + MPC_FE->>MC_FE: 1. Initiated connection modification to move specific flows + MPC_FE->>MMF: 2. Policy installation + MMF->>AC_FE2: 3. Routing rules + AC_FE2->>MUE: 4. Created/modified routing rules to the MUE + Note over MUE: 5. MUE determines to accept or reject the routing rules. + MUE->>AC_FE2: 6. MUE accepts the rule and sends ACK + AC_FE2->>MMF: 7. ACK + Note over MUE, AC_FE2: 8. Resource release/modification procedures are executed for the resources associated with the flows that were removed + +``` + +Sequence diagram for Network initiated FSC showing interactions between MUE, AC-FE(1), AC-FE(2), MR-FE, MC-FE, MPC-FE, and MMF. + +Y.2040(16)\_F7-3 + +**Figure 7-3 – Network initiated FSC** + +0. The MUE is connected to multiple access networks simultaneously and uses multiple connections to send and receive IP flows. +1. The MPC-FE determines based on policy information and current MUE state that connection modification should be initiated to move specific flows. The MPC-FE provides policy control rules with access type information. +2. The MC-FE makes and assigns related rules for the access network to the MMF. The MMF installs the rules. +3. The MMF sends the new routing rules to AC-FE(2). +4. The AC-FE(2) determines if the new routing rules or the modified routing rules need to be sent to the MUE, based on the received policy control rules. The AC-FE sends the created or modified routing rules to the MUE. +5. The MUE may accept or reject the routing rules. If the MUE rejects the routing rules, the MUE provides a cause value indicating why the request was rejected. This cause value may be used by the network to determine if the FSC operation can be requested again. +6. The MUE applies the accepted routing rules and acknowledges the applied rules in the ACK message sent to the AC-FE(2). +7. The AC-FE(2) indicates to the MMF whether or not the routing rule can be enforced. +8. Resource release or modification procedures are executed for the resources associated with the removed flows. + +## Bibliography + +- [b-ITU-T Q.1706] Recommendation ITU-T Q.1706/Y.2801 (2006), *Mobility management requirements for NGN*. +- [b-ITU-T X.200] Recommendation ITU-T X.200 (1994), *Information technology – Open Systems Interconnection – Basic Reference Model: The basic model*. +- [b-ITU-T Y.2252] Recommendation ITU-T Y.2252 (2012), *Identification and configuration of resources for multi-connection*. +- [b-3GPP 23.261] 3GPP 23.261, *Network-Based IP Flow Mobility (NBIFOM); Stage 2 (Release 13)*. +- [b-RFC 3550] IEF RFC 3550 (2003), *RTP: A Transport Protocol for Real-Time Applications*. +- [b-RFC 3917] IETF RFC 3917 (2004), *Requirements for IP Flow Information Export (IPFIX)*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2041-201703-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg 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of IPv6-based NGN + +Recommendation ITU-T Y.2051 + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2051** + +# **General overview of IPv6-based NGN** + +## **Summary** + +Recommendation ITU-T Y.2051 identifies a next generation network (NGN) which mainly operates with Internet Protocol version 6 (IPv6) features. This Recommendation provides the general requirements of IPv6-based NGN and its overall architecture. + +## **Source** + +Recommendation ITU-T Y.2051 was approved on 29 February 2008 by ITU-T Study Group 13 (2005-2008) under Recommendation ITU-T A.8 procedure. + +## **Keywords** + +IPv6, NGN. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at + +© ITU 2008 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|-----------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions..... | 2 | +| 6 Overview of IP-based networks..... | 2 | +| 6.1 Classification of IP-based networks ..... | 2 | +| 6.2 Key features of IPv6-based networks compared with IPv4-based..... | 3 | +| 7 Overview of IPv6-based NGN..... | 5 | +| 7.1 Definition of IPv6-based NGN..... | 5 | +| 7.2 Functional architecture of IPv6-based NGN ..... | 6 | +| 7.3 Impact of using IPv6 to NGN..... | 7 | +| 7.4 Relationships with other IP-based networks ..... | 7 | +| 8 General requirements of IPv6-based NGN..... | 8 | +| 9 Security considerations..... | 8 | +| Bibliography..... | 9 | + +## **Introduction** + +Internet Protocol version 6 (IPv6) is emerging to form the basis of the next generation networks (NGNs). It is expected that IPv6-based networks will replace IPv4-based networks in order to overcome the ultimate limitations of Internet Protocol version 4 (IPv4). That is, NGNs will gradually migrate to IPv6-based NGNs. + +The NGN is a packet-based network to provide telecommunication services with the help of underlying transport-related technologies and various access technologies. IPv6 is a well-defined transport protocol to support the NGN transport functions. It provides considerable flexibility to NGN. These flexibilities are beneficial for improving network provisioning and operations, as well as the services to be offered to the NGN providers and users. + +## Recommendation ITU-T Y.2051 + +# General overview of IPv6-based NGN + +## 1 Scope + +This Recommendation defines an IPv6-based NGN to support IPv6 addressing, signalling, multi-homing, and migration. Additionally, it identifies the overall architecture and general requirements for IPv6-based NGN. The scope of this Recommendation covers: + +- classification of IP-based networks +- definition of IPv6-based NGN +- functional architecture for IPv6-based NGN +- general requirements for IPv6-based NGN + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2001] Recommendation ITU-T Y.2001 (2004), *General overview of NGN*. +- [ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2006), *Functional requirements and architecture of the NGN release 1*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 next generation network** [ITU-T Y.2001]: A packet-based network able to provide telecommunication services and to make use of multiple broadband, (QoS)-enabled transport technologies and in which service-related functions are independent from underlying transport-related technologies. It enables unfettered access for users to networks and to competing service providers and/or services of their choice. It supports generalized mobility which will allow consistent and ubiquitous provision of services to users. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 IPv6-based NGN:** This refers to NGN that supports addressing, routing protocols, and services associated with IPv6. An IPv6-based NGN shall recognize and process the IPv6 headers and options, operating over various underlying transport technologies in the transport stratum. + +**3.2.2 IPv6-based functions and FEs:** These are NGN functions and FEs which recognize and process the IPv6 protocol with its headers and options. They have their own specific roles including IPv6. + +**3.2.3 IPv6-enabled functions and FEs:** These are NGN functions and FEs which recognize the IPv6 protocol with its headers and options. They have their own specific roles in NGN except IPv6. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|-----------------------------------------------------------------------| +| AH | Authentication Header | +| ESP | Encapsulating Security Payload | +| FE(s) | Functional Entity(-ies) | +| ICMPv6 | Internet Control Message Protocol for the Internet Protocol Version 6 | +| IP | Internet Protocol | +| IPsec | Internet Protocol Security | +| IPv4 | Internet Protocol Version 4 | +| IPv6 | Internet Protocol Version 6 | +| NAC | Network Attachment Control | +| NAPT | Network Address and Port Translation | +| NGN | Next Generation Network | +| QoS | Quality of Service | +| RA | Router Advertisement | +| RAC | Resource and Admission Control | +| RSVP | Resource ReserVation Protocol | +| SIP | Session Initiation Protocol | + +## 5 Conventions + +None. + +## 6 Overview of IP-based networks + +### 6.1 Classification of IP-based networks + +IP-based networks are classified into IPv4 and IPv6 according to the IP protocol types used. Their behaviours differ according to the features of each protocol version. This criterion to classify IP-based networks is also applied to differentiate instantiations of NGN, since NGN is based mainly on transport technologies employing IP. + +Taking consideration of this, IP-based networks relevant to NGN should be classified according to the following: + +- IPv6-based NGN: This is a NGN which supports addressing, routing, protocols and services associated with IPv6. +- IPv4-based NGN: This is a NGN which supports addressing, routing protocol and services associated with IPv4. +- IPv6-based non-NGN: This is an IPv6-based packet network which does not comply with NGN. +- IPv4-based non-NGN: This is an IPv4-based packet network which does not comply with NGN. + +Figure 1 shows the various IP-based networks from a NGN point of view. + +![Figure 1: Classification of IP-based networks. The diagram shows two main categories: NGN (Next Generation Network) and Non-NGN. The NGN category is represented by a blue box containing two ovals: a pink oval for 'IPv4-based' and a green oval for 'IPv6-based', connected by a vertical double-headed dashed arrow. The Non-NGN category is represented by a yellow box containing two ovals: a pink oval for 'IPv4-based' and a green oval for 'IPv6-based', also connected by a vertical double-headed dashed arrow. Dashed arrows also connect the 'IPv4-based' oval of the NGN box to the 'IPv4-based' oval of the Non-NGN box, and the 'IPv6-based' oval of the NGN box to the 'IPv6-based' oval of the Non-NGN box. A label 'Y.2051(08)_F01' is located at the bottom right of the diagram.](b3baf3a29b67c7425d2562ddbc52f0cc_img.jpg) + +Figure 1: Classification of IP-based networks. The diagram shows two main categories: NGN (Next Generation Network) and Non-NGN. The NGN category is represented by a blue box containing two ovals: a pink oval for 'IPv4-based' and a green oval for 'IPv6-based', connected by a vertical double-headed dashed arrow. The Non-NGN category is represented by a yellow box containing two ovals: a pink oval for 'IPv4-based' and a green oval for 'IPv6-based', also connected by a vertical double-headed dashed arrow. Dashed arrows also connect the 'IPv4-based' oval of the NGN box to the 'IPv4-based' oval of the Non-NGN box, and the 'IPv6-based' oval of the NGN box to the 'IPv6-based' oval of the Non-NGN box. A label 'Y.2051(08)\_F01' is located at the bottom right of the diagram. + +**Figure 1 – Classification of IP-based networks** + +### 6.2 Key features of IPv6-based networks compared with IPv4-based + +Clarifying the differences between IPv4 and IPv6 is very useful for identifying the operations of IPv4 and IPv6, which influence network design and service operations. + +Key features of IPv4 and IPv6 are summarized in Table 1. + +**Table 1 – Key features of IPv4 and IPv6** + +| | | IPv4 | IPv6 | +|---------------|---------------------------------------|----------------------------------|--------------------------------| +| Packet Format | Size of IPv6 header | Variable size | Constant size | +| | Optional headers | Optional headers | Extension headers and options | +| Addressing | Addressing spaces | Lack of address spaces | Large address spaces | +| | End-to-end communications | No | Yes | +| | Types of addresses | Unicast, multicast and broadcast | Unicast, multicast and anycast | +| | Scopes of addresses | Local and global | Link-local, local and global | +| | Address configuration to an interface | A address | Multiple addresses | +| | Address allocation to an equipment | Multiple interface/addresses | Multiple interfaces/addresses | +| | Address Autoconfiguration | Using private addresses | Using public addresses | + +**Table 1 – Key features of IPv4 and IPv6** + +| | | IPv4 | IPv6 | +|----------|--------------------------------------------------|-----------------------|-----------------------------| +| | Hierarchical addressing | – | Yes | +| | Address Renumbering | – | Yes | +| QoS | Management of service conflicts | Type of Service field | Traffic class field | +| | Identification of traffic flows | None | Flow label field | +| | Recognition of control/expedite data | None | Hop-by-Hop extension header | +| Security | AH header | Optional | Mandated | +| | ESP header | Optional | Mandated | +| Mobility | Detection of new networks | – | RA messages | +| | Generation of new addresses | – | Autoconfiguration | +| | Mobility headers | – | Mandated | +| | Option header: Destination option, routing, etc. | Optional | Mandated | + +There are key features of IPv6 which may significantly impact NGN in various ways, such as addressing schemes, QoS, security and mobility. + +- *Simplified packet format* +IPv6 headers are simplified from IPv4 headers. Some IPv4 header fields have been dropped or made optional to limit their bandwidth cost. They also have a constant size to reduce the common processing cost of packet handling. +- *Expanded addressing scheme* +IPv6 addressing schemes have a large addressing space due to an increased size of the IP address fields to support more levels of addressing hierarchy, a much greater number of addressable nodes and interfaces, and a simpler autoconfiguration of addresses. The scalability of multicast routing is improved by adding a "scope" field to multicast addresses. In addition, a new type of address called an "anycast address" is defined and is used to send a packet to any of a group of nodes. +- *QoS* +A flow label and traffic class fields in IPv6 header are added to enable the labeling of packets belonging to particular traffic "flows" for which the sender requests special handling, such as non-default quality of service or "real-time" service. In addition, IPv6 hop-by-hop header with router-alert option will indicate the contents of IPv6 packets to support the selective processing of the intermediate nodes. +- *Security support* +IPv6 supports built-in IPsec services such as authentication, data integrity and data confidentiality using authentication header (AH) and encapsulating security payload (ESP) extension headers. These enable end-to-end security services via global IP addresses even though intermediate nodes do not understand the IPsec headers. + +- *Mobility support* +IPv6 capabilities such as neighbour discovery, address resolution and reachability detection support the mobility services using destination option, routing and mobility extension headers. + +## 7 Overview of IPv6-based NGN + +### 7.1 Definition of IPv6-based NGN + +IPv6-based NGN is defined as a NGN which supports addressing, routing, protocols and services associated with IPv6. This applies not only to transport aspects in access and core networks but also includes other functions such as end user, transport control and application/service support functions in [ITU-T Y.2011] and [ITU-T Y.2012]. + +Taking into consideration these definitions and features, IPv6-based NGN could be identified as illustrated in Figure 2. + +![Figure 2: Overview of IPv6-based NGN architecture. The diagram shows a layered architecture. At the top is the 'Application' layer. Below it is the 'Service stratum'. Below that is the 'Transport stratum', which contains a 'Core network' block. To the left of the 'Transport stratum' is a block for 'IPv6 enabled end-user functions'. Four access technologies are shown: 'xDSL access', 'Mobile access', 'Wireless access (WiMAX)', and 'Fibre access', all connected to the 'Core network'. Three large colored arrows indicate relationships: a green arrow labeled 'IPv6-based service/application' points from the Application layer to the end-user functions; a red arrow labeled 'IPv6 enabled processing' points from the Application layer down to the Core network; and a yellow arrow labeled 'IPv6-based IP connectivity' points from the Core network back to the end-user functions.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +Y.2051(08)\_F02 + +Figure 2: Overview of IPv6-based NGN architecture. The diagram shows a layered architecture. At the top is the 'Application' layer. Below it is the 'Service stratum'. Below that is the 'Transport stratum', which contains a 'Core network' block. To the left of the 'Transport stratum' is a block for 'IPv6 enabled end-user functions'. Four access technologies are shown: 'xDSL access', 'Mobile access', 'Wireless access (WiMAX)', and 'Fibre access', all connected to the 'Core network'. Three large colored arrows indicate relationships: a green arrow labeled 'IPv6-based service/application' points from the Application layer to the end-user functions; a red arrow labeled 'IPv6 enabled processing' points from the Application layer down to the Core network; and a yellow arrow labeled 'IPv6-based IP connectivity' points from the Core network back to the end-user functions. + +**Figure 2 – Overview of IPv6-based NGN** + +As shown in Figure 2, there are three relationships among the NGN functions and FEs in order to describe the IPv6-based NGN. + +First, there is a relationship between end-user functions and transport stratum. IPv6-based NGN allows flexible use of various access infrastructures to maximize the benefits of using IPv6. One such example is the use of multi-homing and mobility features, that is, IPv6-based NGN user terminal or equipment has a capability to handle multiple heterogeneous access interfaces and/or multiple IPv6 addresses through single or multiple access interfaces during the mobility between one network and the other. + +Second, there is a relationship between end-user functions and applications. IPv6-enabled end-user functions may acquire the information through application in order to support a secure and robust IPv6 transport. One such example is key management for IP security. + +Finally, there is a relationship between the application and transport stratum. The application stratum could request the transport stratum to keep the high quality services. One such example is resource reservation. + +### 7.2 Functional architecture of IPv6-based NGN + +An IPv6-based NGN shall conform to NGN principles, so the general architecture shall be based on the NGN architecture identified in [ITU-T Y.2012]. IPv6-based NGN also comprises the transport stratum and the service stratum as shown in Figure 3. + +![Figure 3: Functional architecture of IPv6-based NGN. The diagram shows a layered architecture. At the top is 'Applications'. Below it is the 'Service stratum' (green box) containing 'IPv6 enabled application support functions & service support functions' and 'Service control functions' (with 'Service user profiles'). Below that is the 'Transport stratum' (yellow box) containing 'IPv6 enabled network attachment control functions' (with 'Transport user profiles') and 'IPv6 enabled resource and admission control functions', both under 'Transport control functions'. At the bottom is 'IPv6-based transport functions'. A vertical purple bar on the left represents 'Management functions'. A vertical white bar on the left represents 'IPv6 enabled end-user functions'. On the right, a vertical stack of circles represents network types: 'IPv4 Non NGN' (light blue), 'IPv6 Non NGN' (light blue), 'IPv4 NGN' (orange), and 'IPv6 NGN' (orange). Interfaces are marked: 'ANI' (red line) between Applications and Service stratum; 'UNI' (red line) between Management functions and Transport stratum; 'NNI' (red line) between Transport stratum and the network types. Dashed lines represent control paths, and blue hatched lines represent media paths. A legend at the bottom indicates: dashed line for Control, blue hatched line for Media, and green dotted line for Management. Reference: Y.2051(08)_F03.](27b06ec9f42b5d727a2630f61a5f1861_img.jpg) + +Figure 3: Functional architecture of IPv6-based NGN. The diagram shows a layered architecture. At the top is 'Applications'. Below it is the 'Service stratum' (green box) containing 'IPv6 enabled application support functions & service support functions' and 'Service control functions' (with 'Service user profiles'). Below that is the 'Transport stratum' (yellow box) containing 'IPv6 enabled network attachment control functions' (with 'Transport user profiles') and 'IPv6 enabled resource and admission control functions', both under 'Transport control functions'. At the bottom is 'IPv6-based transport functions'. A vertical purple bar on the left represents 'Management functions'. A vertical white bar on the left represents 'IPv6 enabled end-user functions'. On the right, a vertical stack of circles represents network types: 'IPv4 Non NGN' (light blue), 'IPv6 Non NGN' (light blue), 'IPv4 NGN' (orange), and 'IPv6 NGN' (orange). Interfaces are marked: 'ANI' (red line) between Applications and Service stratum; 'UNI' (red line) between Management functions and Transport stratum; 'NNI' (red line) between Transport stratum and the network types. Dashed lines represent control paths, and blue hatched lines represent media paths. A legend at the bottom indicates: dashed line for Control, blue hatched line for Media, and green dotted line for Management. Reference: Y.2051(08)\_F03. + +**Figure 3 – Functional architecture of IPv6-based NGN** + +Several functions in this architecture model are affected by the features of IPv6 protocol: transport functions, end-user functions, network attachment control (NAC) functions, resource and admission control (RAC) functions and application and service support functions. + +IPv6-based transport functions should be used to interconnect a variety of access networks and to transport the IPv6 services over the core transport network using the IPv6 multi-homing and hierarchical addressing features. These access networks might be homogeneous or heterogeneous. If they are heterogeneous, IPv6-based transport function shall support multi-homing capability to provide multiple network connections to the users over a variety of heterogeneous access networks. Therefore, all transport functions and functional entities (FEs) should fully support all of the IPv6 features. + +IPv6-enabled end-user functions should support IPv6 features to provide multiple network connections to the end-user. + +IPv6-enabled NAC functions should support IPv6 features such as autoconfiguration, multi-homing and detecting network attachment. The NAC functions are responsible for dynamic configuration of IPv6 addresses and other configuration parameters associated with user equipment. Therefore, + +autoconfiguration and multi-homing features should be provided by NAC functions to support the IPv6 mobility services. + +IPv6-enabled RAC functions should support IPv6 features from the viewpoint of QoS and IPv4/IPv6 migration. RAC functions should be able to process the IPv6 extension headers and options to support the high quality services. They also extend the network address translation function to support IPv4/IPv6 migration. + +IPv6-enabled application should support IPv6 features because IPv6 addresses should be included in application data. To deal with IPv6 nested application data, application layer gateway functions are required. + +### **7.3 Impact of using IPv6 to NGN** + +IPv6 is a well-defined transport protocol to support the NGN transport functions. This clause mainly identifies the impact of using IPv6 to an NGN from various viewpoints. + +- *Enhanced service capabilities* + +IPv6 enables congestion/flow control using additional QoS information such as flow label, etc. The flow label field of IPv6 header enables IPv6 flow identification independently of transport layer protocols. This means that new enhanced service capabilities can be introduced more easily in NGN. + +IPv6 supports better mobility by removing triangle routing problem. + +IPv6 supports secure networking using embedded IPv6 security solution such as ESP and AH. +- *Any-to-any IP connectivity* + +IP connectivity will be one of the vital features in order to cope with the increasing number of end users/devices. Using globally routable IPv4 addresses to network millions of devices, such as sensors, is not feasible. On the other hand, IPv6 offers the advantages of localizing traffic with unique local addresses, while making some devices globally reachable by assigning addresses which are scoped globally. Therefore, the greatest potential of IPv6 will be realized in the objects-to-objects communications. IPv6 can satisfy this end-to-end principle of the Internet. +- *Self-organization and service discovery using autoconfiguration* + +IPv6 can provide autoconfiguration capability using neighbour discovery protocol, etc. Through linking together the IP layer and lower layers, autoconfiguration enables with ease self-organization and service discovery of network management and reduces management requirements. In addition, address autoconfiguration of IPv6 protocol will facilitate NGNs to support dynamic address assignments and multiple user/network identities. That is, NGN end-users will be able to have multiple public and private identities by using the expanded addressing schemes of IPv6. +- *Multi-homing using IPv6 addressing* + +IPv6 can handle multiple heterogeneous access interfaces and/or multiple IPv6 addresses through single or multiple access interfaces. Multi-homing can provide redundancy and fault tolerance. + +### **7.4 Relationships with other IP-based networks** + +IPv6-based NGN will be deployed gradually while near-term NGNs will be realized based mainly on IPv4. This implies that a similar study of IPv6 related issues is also required for NGNs which transition from IPv4-based NGN to IPv6-based NGN, and for the inter-communication between them, etc. This study should be extended to cover other IP-based networks which belong to non-NGN domains. + +Figure 4 explains the relationship of IPv6-based NGN with other IP-based networks. This figure identifies different communications relationship, taking into consideration the existence of other IP-based networks: intra-NGNs, inter-NGNs and interworking with non-NGNs. + +![Figure 4: Relationships of IPv6-based NGN with other IP-based networks. The diagram shows three main network types: NGN 1 (yellow), NGN 2 (teal), and Non-NGN (yellow). NGN 1 contains IPv6-based and IPv4-based nodes. NGN 2 contains IPv6-based and IPv4-based nodes. Non-NGN contains IPv4-based and IPv6-based nodes. Communication groups are indicated by colored arrows: Group 1 (intra-NGN, blue dashed), Group 2 (inter-NGN, red dashed), Group 3 (interworking with non-NGN, purple dashed), and Group 4 (interworking between non-NGN, blue solid). Specific connections are labeled 1a, 1b, 1c, 2a, 2b, 2c, 3a, 3b, 3c, 4a, 4b, and 4c. A legend at the bottom left defines the arrow types. A reference code Y.2051(08)_F04 is at the bottom right.](b9ecbc3baefab13719e000faa6e0c7eb_img.jpg) + +Figure 4: Relationships of IPv6-based NGN with other IP-based networks. The diagram shows three main network types: NGN 1 (yellow), NGN 2 (teal), and Non-NGN (yellow). NGN 1 contains IPv6-based and IPv4-based nodes. NGN 2 contains IPv6-based and IPv4-based nodes. Non-NGN contains IPv4-based and IPv6-based nodes. Communication groups are indicated by colored arrows: Group 1 (intra-NGN, blue dashed), Group 2 (inter-NGN, red dashed), Group 3 (interworking with non-NGN, purple dashed), and Group 4 (interworking between non-NGN, blue solid). Specific connections are labeled 1a, 1b, 1c, 2a, 2b, 2c, 3a, 3b, 3c, 4a, 4b, and 4c. A legend at the bottom left defines the arrow types. A reference code Y.2051(08)\_F04 is at the bottom right. + +**Figure 4 – Relationships of IPv6-based NGN with other IP-based networks** + +## 8 General requirements of IPv6-based NGN + +IPv6 supports not only extensions of IP address space but also various advanced features which influence NGN functions and relevant functional entities. This clause identifies the general requirements of IPv6-based NGN which is influenced by IPv6 features. It is recognized that IPv6-based NGN shall satisfy NGN Release 1 requirements. Additional IPv6 features identified in this clause will be considered in the context of NGN Release 2 requirements from IPv6 point of view. + +- IPv6-based NGN is required to support the IPv6 headers and their options. + - It should recognize and process IPv6 headers and options. +- IPv6-based NGN is required to accommodate IPv6 addressing schemes. + - It should support IPv6 address scoping. + - It should support IPv6 autoconfiguration and neighbour discovery. + - It should support multi-homing using IPv6 features. +- IPv6-enabled functions and FEs are required to support IPv6 headers and their options. + - They should recognize IPv6 headers and options. + - They should differentiate the QoS related control information from general IPv6 packet. +- IPv6-based NGN is required to support the migration and interworking without affecting the service provided to users. + - It should support the interworking with IPv4-based NGN. + - It should support the interworking with IPv4-based and/or IPv6-based non-NGN. + +## 9 Security considerations + +This Recommendation does not require any specific security considerations and aligns with the security requirements in [b-ITU-T Y.2701]. + +## Bibliography + +- [b-ITU-T Y.2111] Recommendation ITU-T Y.2111 (2006), *Resource and admission control functions in Next Generation Networks*. +- [b-ITU-T Y.2201] Recommendation ITU-T Y.2201 (2006), *NGN release 1 requirements*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-IETF RFC 2402] IETF RFC 2402 (1998), *IP Authentication Header*. +<> +- [b-IETF RFC 2406] IETF RFC 2406 (1998), *IP Encapsulating Security Payload (ESP)*. +<> +- [b-IETF RFC 2460] IETF RFC 2460 (1998), *Internet Protocol, Version 6 (IPv6) Specification*. <> +- [b-IETF RFC 2461] IETF RFC 2461 (1998), *Neighbor Discovery for IP Version 6 (IPv6)*. <> +- [b-IETF RFC 2474] IETF RFC 2474 (1998), *Definition of the Differentiated Services Field (DS Field) in the IPv4 and IPv6 Headers*. +<> +- [b-IETF RFC 2675] IETF RFC 2675 (1999), *IPv6 Jumbograms*. +<> +- [b-IETF RFC 2711] IETF RFC 2711 (1999), *IPv6 Router Alert Option*. +<> +- [b-IETF RFC 2766] IETF RFC 2766 (2000), *Network Address Translation – Protocol Translation (NAT-PT)*. <> +- [b-IETF RFC 3493] IETF RFC 3493 (2003), *Basic Socket Interface Extensions for IPv6*. +<> +- [b-IETF RFC 3587] IETF RFC 3587 (2003), *IPv6 Global Unicast Address Format*. +<> +- [b-IETF RFC 3697] IETF RFC 3697 (2004), *IPv6 Flow Label Specification*. +<> +- [b-IETF RFC 3775] IETF RFC 3775 (2004), *Mobility Support in IPv6*. +<> +- [b-IETF RFC 4007] IETF RFC 4007 (2005), *IPv6 Scoped Address Architecture*. +<> +- [b-IETF RFC 4193] IETF RFC 4193 (2005), *Unique Local IPv6 Unicast Addresses*. +<> +- [b-IETF RFC 4291] IETF RFC 4291 (2006), *IP Version 6 Addressing Architecture*. +<> +- [b-IETF RFC 4311] IETF RFC 4311 (2005), *IPv6 Host-to-Router Load Sharing*. +<> +- [b-IETF RFC 4443] IETF RFC 4443 (2006), *Internet Control Message Protocol (ICMPv6) for the Internet Protocol Version 6 (IPv6) Specification*. +<> + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2053-200802-I_PDF-E/09955ff8214ffb6947951fc0f60eb6ab_img.jpg 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a/marked/Y/T-REC-Y.2053-200802-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2053-200802-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..ae19c99eddafa8bd00d34d3cc0a87fde644c010d --- /dev/null +++ b/marked/Y/T-REC-Y.2053-200802-I_PDF-E/raw.md @@ -0,0 +1,740 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +**ITU-T** + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +**Y.2053** + +(02/2008) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +# --- **Functional requirements for IPv6 migration in NGN** + +Recommendation ITU-T Y.2053 + +![ITU logo](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, with "International Telecommunication Union" in smaller blue text below it. + +ITU logo + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2053** + +# **Functional requirements for IPv6 migration in NGN** + +## **Summary** + +Recommendation ITU-T Y.2053 provides feasible IPv6 migration scenarios and functional requirements necessary for them. + +## **Source** + +Recommendation ITU-T Y.2053 was approved on 29 February 2008 by ITU-T Study Group 13 (2005-2008) under Recommendation ITU-T A.8 procedure. + +## **Keywords** + +IPv4, IPv6, migration, NGN + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2008 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|-------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions..... | 2 | +| 5.1 Native IPv6 device ..... | 2 | +| 5.2 IPv6 transition mechanism ..... | 2 | +| 5.3 Basic IPv6 transition mechanisms..... | 2 | +| 6 IP as a transport function of NGN ..... | 2 | +| 7 Basic approaches for interworking and migration..... | 3 | +| 7.1 Dual IP layer (Dual stack) ..... | 3 | +| 7.2 Configured tunnelling..... | 3 | +| 7.3 Network address translation and protocol translation ..... | 3 | +| 8 Migration scenarios ..... | 4 | +| 8.1 CASE 1 ~ 3 (NAT-PT cases) ..... | 6 | +| 8.2 CASE 4 ~ 7 (configured tunnelling cases) ..... | 6 | +| 8.3 CASE 8 (NAT-PT case) ..... | 6 | +| 8.4 CASE 9 (configured tunnelling cases) ..... | 7 | +| 8.5 CASE 10 ~ 11 (dual stack cases) ..... | 7 | +| 8.6 CASE 12 (native IPv6 case) ..... | 7 | +| 9 Functional requirements for IPv6 migration at transport stratum ..... | 7 | +| 9.1 Transport stratum functions..... | 7 | +| 9.2 End-user functions..... | 12 | +| 9.3 Other non-NGN network functions ..... | 12 | +| 10 Security considerations..... | 12 | +| Appendix I – IPv6 migrations in NGN ..... | 13 | +| I.1 IPv6 transition mechanisms..... | 13 | +| I.2 Example migration scenarios according to Table 1 ..... | 15 | +| Bibliography ..... | 20 | + + + +# Recommendation ITU-T Y.2053 + +# Functional requirements for IPv6 migration in NGN + +# 1 Scope + +The objective of this Recommendation is to identify IPv6 migration scenarios and functional requirements necessary for them. + +NGN transport stratum provides IP connectivity services to NGN users, but the current NGN assumes no specific version of IP. It means that IPv4 and IPv6 could coexist in NGN while IPv4 is being replaced with IPv6. So the interim solution like IPv6 transition mechanism (see clauses 6 and 7) is required for this period. + +If the IPv6 transition mechanism is introduced to NGN, there could be various migration scenarios satisfying various application's requirements or service provider's requirements, and these migration scenarios will also impact on existing FEs of NGN. + +Thus, this Recommendation provides feasible IPv6 migration scenarios, and functional requirements required to support each scenario. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2006), *Functional requirements and architecture of the NGN release 1*. +- [ITU-T Y.2111] Recommendation ITU-T Y.2111 (2006), *Resource and admission control functions in Next Generation Networks*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 host** [b-ITU-T Y.1540]: A computer that communicates using the Internet protocols. A host implements routing functions (i.e., it operates at the IP layer) and may implement additional functions including higher layer protocols (e.g., TCP in a source or destination host) and lower layer protocols (e.g., ATM). + +**3.1.2 router** [b-ITU-T Y.1540]: A host that enables communication between other hosts by forwarding IP packets based on the content of their IP destination address field. + +**3.1.3 dual IP layer** [b-IETF RFC 4213]: Dual IP layer is a technique for providing support for both Internet Protocols – IPv4 and IPv6 – in a node. Dual IP layer is also known as dual stack. + +**3.1.4 configured tunneling** [b-IETF RFC 4213]: The configured tunneling is a technique for establishing point-to-point tunnels by encapsulating IPv6 packets within IPv4 headers to carry them over IPv4 infrastructures (or vice versa). + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 node:** A node is a device that is connected as part of a computer network. Nodes can be computers, cell phones, or various other network appliances, such as routers, switches, and hubs. + +**3.2.2 subnet:** A subnet is a physical network served by one router, for instance an Ethernet network (consisting of one or several Ethernet segments or local area networks, interconnected by switches and bridges) or a virtual local area network (VLAN). + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations: + +| | | +|--------|------------------------------------------------------| +| ALG | Application Layer Gateway | +| CPE | Customer Premises Equipment | +| FE | Functional Entity | +| NAT-PT | Network Address Translation and Protocol Translation | +| SCF | Service Control Function | +| SIIT | Stateless IP/ICMP Translation Algorithm | + +## **5 Conventions** + +### **5.1 Native IPv6 device** + +A device that only has IPv6 stack. + +### **5.2 IPv6 transition mechanism** + +An IPv6 transition mechanism means a mechanism that supports transition between IPv4 and IPv6. There are many kinds of IPv6 transition mechanisms available, and the user can choose one that fits into a deployment environment. + +### **5.3 Basic IPv6 transition mechanisms** + +Basic IPv6 transition mechanisms means "Dual IP layer" and "Configured tunneling" which can be implemented on the IPv6 node [b-IETF RFC 4213]. + +## **6 IP as a transport function of NGN** + +NGN functions are divided into service stratum functions and transport stratum functions as described in [ITU-T Y.2011]. The transport stratum provides IP connectivity to NGN service stratum and users under the control of transport control functions. This means that IP plays the key role of transport function of NGN. + +In NGN, most of services are carried over IP, although IP itself may in turn be carried over a number of underlying technologies like ATM, Ethernet, etc. According to the NGN release 1, it is assumed that the version of IP is not fixed. This means that IPv4 and IPv6 could coexist in NGN + +while IPv4 is being replaced with IPv6, thus a mechanism that supports migration into IPv6 is required for this period. + +IETF introduced several IPv6 transition mechanisms as recommendations for migration to IPv6 [b-IETF RFC 4213]. These mechanisms could also be recommendations for the NGN which uses IP as a transport function. The study of IPv6 with NGN has not yet been completed. + +The IPv6 transition mechanisms used in this Recommendation are dual stack, configured tunnelling, and network address translation/protocol translation (NAT-PT) [b-IETF RFC 4213]. These mechanisms are explained in more details in clause 7. + +When the IPv6 transition mechanisms are introduced to NGN, various migration scenarios could be possible. This Recommendation also shows such feasible scenarios. + +## **7 Basic approaches for interworking and migration** + +The network consists of various IPv4-based and IPv6-based networks at different geographic locations which are connected via an underlying transport network. + +There are three major approaches in providing interworking and migration between the IPv4-based network and the IPv6-based network: dual IP layer, configured tunnelling and NAT-PT. + +For more information on these mechanisms, see Appendix I. + +### **7.1 Dual IP layer (Dual stack)** + +The node that has dual IP layer provides implementations of both versions of the Internet Protocol (IPv4 and IPv6) which are also enabled at the same time. This node can directly interoperate with IPv4-only node using IPv4 packets, and also directly interoperate with IPv6-only node using IPv6 packets. There will be no IP protocol conversion necessary when communicating with a dual stack node on either the media path or the signalling path. Details on dual IP layer node have been identified in [b-IETF RFC 4213]. + +### **7.2 Configured tunnelling** + +The configured tunnelling is a technique for establishing point-to-point tunnels by encapsulating IPv6 packets within IPv4 headers to carry them over IPv4 infrastructures (or vice versa). + +In most deployment scenarios, the IPv6 routing infrastructure will be built up over time. While the IPv6 infrastructure is being deployed, the existing IPv4 routing infrastructure can still remain and can be used to carry IPv6 traffic. Tunnelling provides a way to utilize an existing IPv4 routing infrastructure to carry IPv6 traffic. + +Dual stack nodes can tunnel IPv6 packets over regions of IPv4 routing topology by encapsulating them within IPv4 packets. Tunnelling can be used in a variety of ways: + +- router-to-router; +- host-to-router; +- host-to-host. + +Configured tunnelling can be used in all of the above cases, but it is most likely to be used in router-to-router due to the need to explicitly configure the tunnelling endpoints. + +### **7.3 Network address translation and protocol translation** + +NAT-PT uses address translation like NAT and IPv6/IPv4 protocol translation as described in stateless IP/ICMP translation (SIIT) [b-IETF RFC 2765] to provide transparent routing to end-hosts in IPv6 realm trying to communicate with end-hosts in IPv4 realm and vice versa. + +The SIIT identifies a protocol translation mechanism that allows communication between IPv6-only and IPv4-only hosts via protocol independent translation of IPv4 and IPv6 packets, requiring no state information for the session. + +Some applications carry network addresses in payloads. The NAT-PT is application unaware and does not snoop the payload. Application layer gateway (ALG) could work in conjunction with the NAT-PT to provide support for many such applications. + +Generally the NAT-PT function is placed on the edge of network. If the NAT-PT function is placed in the core of the network, the overall performance of the network would decrease seriously because the NAT-PT function reconstructs all IP packets that pass through it. + +NAPT-PT extends the notion of translation one step further by also translating transport identifier (e.g., TCP and UDP port numbers, ICMP query identifiers). The NAPT-PT, which stands for "Network Address Port Translation + Protocol Translation", would allow IPv6 nodes to communicate with the IPv4 nodes transparently using a single IPv4 address. The TCP/UDP ports of the IPv6 nodes are translated into TCP/UDP ports of the registered IPv4 address. + +## **8 Migration scenarios** + +There are various IPv6 migration scenarios satisfying the user/application or provider requirements. In this clause, several migration scenarios from the transport stratum's viewpoint are shown. Each scenario is referred to in clause 9 to explain the functional requirements for the relevant functional entity (FE). See Table 1. + +###### *Legend for Table 1* + +- IPv6/dual stack: IPv6-only node, or dual stack node +- IPv4/dual stack: IPv4-only node, or dual stack node +- IPv4: IPv4-only node +- IPv6: IPv6-only node +- Blue cell: IPv6-enabled entity +- Red cell: IPv4-enabled entity + +**Table 1 – Role of functional elements for various migration scenarios** + +| | | End-user
function
A | EN-FE | ABG-FE | IBG-FE | NACF | RACF | End-user
function
B | +|------------|---------|-------------------------------------------------------------------|---------------------|---------------------|-------------------------|----------------------------------------------|--------------------------------|---------------------------| +| NAT-PT | CASE 1 | IPv6/
dual stack | NAT-PT | IPv4 | IPv4 | – | Offer
NAT-
PT
control | IPv4/
dual stack | +| | CASE 2 | IPv6/
dual stack | IPv6/
dual stack | NAT-PT | IPv4 | – | Offer
NAT-
PT
control | IPv4/
dual stack | +| | CASE 3 | IPv6/
dual stack | IPv6/
dual stack | IPv6/
dual stack | NAT-
PT | – | Offer
NAT-
PT
control | IPv4/
dual stack | +| Tunnelling | CASE 4 | Tunnel
end-point | IPv4 | IPv4 | IPv4 | Offer
tunnel end-
point
information | – | IPv6/
dual stack | +| | CASE 5 | IPv6/
dual stack | Tunnel
end-point | IPv4 | IPv4 | – | – | IPv6/
dual stack | +| | CASE 6 | IPv6/
dual stack | IPv6/
dual stack | Tunnel
end-point | IPv4 | – | – | IPv6/
dual stack | +| | CASE 7 | IPv6/
dual stack | IPv6/
dual stack | IPv6/
dual stack | Tunnel
end-
point | – | – | IPv6/
dual stack | +| NAT-PT | CASE 8 | IPv6
Customer
Network
(NAT-
PT) | IPv4 | IPv4 | IPv4 | – | Offer
NAT-
PT
control | IPv4/dual
stack | +| Tunnelling | CASE 9 | Dual
stack
Customer
Network
(tunnel
end-
point) | IPv4 | IPv4 | IPv4 | Offer
tunnel end-
point
information | – | IPv6/
dual stack | +| Dual stack | CASE 10 | Dual
stack | Dual
stack | Dual
stack | Dual
stack | – | – | Dual
stack | +| | CASE 11 | Dual
stack
Customer
Network | Dual
stack | Dual
stack | Dual
stack | – | – | Dual
stack | +| IPv6 | CASE 12 | IPv6 | IPv6 | IPv6 | IPv6 | – | – | IPv6 | + +### **8.1 CASE 1 ~ 3 (NAT-PT cases)** + +From CASE 1 to CASE 3, both end-user functions have different versions of IP stack (or an end-user function is a dual stack, but a service/application only supports a different IP stack from the other end-user functions). NAT-PT enables end-user functions which have different IP stacks to communicate with each other by translating IPv6 packet into IPv4 packet (or vice versa). To do this, one of the FEs in the path between the end-user functions should provide the NAT-PT function. + +Usually, the NAT-PT function should not be placed on the core FE because it snoops and rebuilds all packets. If the NAT-PT function is placed on the core FE, the overall performance of the network could be decreased. So an interconnection border gateway FE (IBG-FE) is not recommended for a NAT-PT function. + +For CASE 1, the following requirements are defined: + +- EN-FE shall have dual stack. +- EN-FE shall have public IPv4 address for IPv4 side, global scope IPv6 address for IPv6 side. +- EN-FE shall have NAT-PT function. +- EN-FE could have an appropriate ALG for a specific application. +- RACF shall provide NAT-PT control functions. + +CASES 2 and 3 have the same requirements as CASE 1 except that the NAT-PT function is placed on ABG-FE or IBG-FE. + +### **8.2 CASE 4 ~ 7 (configured tunnelling cases)** + +From CASE 4 to CASE 7, both end-user functions are IPv6 nodes and networks between two end-user functions are IPv4 only. To communicate with each other in this situation, configured tunnelling mechanisms can be used. Configured tunnelling needs two tunnel end-points for encapsulation and decapsulation of IPv4 packets. Two FEs in the communication path should be tunnel end-point. + +For CASE 5, the following requirements are defined: + +- EN-FE shall have dual stack. +- EN-FE shall have public IPv4 address for tunnel end-point, global scope IPv6 address for IPv6 side. +- EN-FE shall have tunnel end-point function. +- Tunnel end-point for the end-user function B could be any FE among EN-FE, ABG-FE, IBG-FE on the side of end-user functions B. + +CASES 6 and 7 have the same requirements as CASE 5 except that tunnel end-point for end-user function A is ABG-FE or IBG-FE. + +Sometimes, an end-user function itself could be a tunnel end-point. CASE 4 shows this case. In this case, NACF should provide information for other tunnel end-point. + +### **8.3 CASE 8 (NAT-PT case)** + +In this case, end-user function A has an IPv6 customer network, and the other end-user function is IPv4 node; thus end-user function A should have NAT-PT function. The other situations are the same as CASE 1 ~ 3. + +For CASE 8, the following requirements are defined: + +- End-user function A shall have dual-stack. +- End-user function A shall have public IPv4 address for IPv4 side, global scope IPv6 address for IPv6 side. +- End-user function A shall have NAT-PT function. +- End-user function A could have an appropriate ALG for a specific application. +- RACF shall provide NAT-PT control functions. + +### **8.4 CASE 9 (configured tunnelling cases)** + +In this case, end-user function A is an IPv6 customer network and the other end-user function is IPv6 node; thus end-user function A should be a tunnel end-point. The other situations are the same as CASE 4. + +### **8.5 CASE 10 ~ 11 (dual stack cases)** + +CASES 10 ~ 11 are the most ideal case. In this case, every FE has dual stack, so most of the applications/services can communicate with each other without any consideration of the specific IP version. + +### **8.6 CASE 12 (native IPv6 case)** + +CASE 12 is the final stage of IPv6 migration. In this case, every FE and every application/service is IPv6-only. + +## **9 Functional requirements for IPv6 migration at transport stratum** + +As described in clause 8, some FEs in transport stratum should support IPv6 transition function according to a specific IPv6 migration scenario. In this clause, the FEs related to IPv6 migration are identified and the functional requirements for these FEs are described. + +### **9.1 Transport stratum functions** + +The transport functions of NGN provide IP connectivity to the NGN service stratum and end-user equipments under the control of NACF and RACF components. Figure 9-1 shows an example configuration of NGN from the viewpoint of transport stratum. + +The set of FEs related to IPv6 migration could be different according to each possible migration scenario. + +![Figure 9-1: An example configuration of NGN (view point at transport stratum). The diagram shows a central 'Core transport network' (a large oval) connected to various external networks. Above the core are 'Public Internet' and 'Other NGN'. Below the core are 'Access network' (multiple), 'Customer network', and 'End user terminal' (multiple). A legend on the left identifies four types of nodes: AN-FE (Access Node-Function Element, represented by a square with horizontal lines), EN-FE (Edge Node-Function Element, represented by a square with vertical lines), ABG-FE (Access Border Gateway Function Element, represented by a square with a cross-hatch pattern), and IBG-FE (Internal Border Gateway Function Element, represented by a square with a grid pattern). The core network contains NACF (Network Access Control Function) and RACF (Resource Access Control Function) at the top. The access networks connect to the core via EN-FE and ABG-FE nodes. The customer network connects to the core via AN-FE and IBG-FE nodes. End user terminals connect to the access networks. The diagram is labeled Y.2053(08)_F9-1 in the bottom right corner.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Figure 9-1: An example configuration of NGN (view point at transport stratum). The diagram shows a central 'Core transport network' (a large oval) connected to various external networks. Above the core are 'Public Internet' and 'Other NGN'. Below the core are 'Access network' (multiple), 'Customer network', and 'End user terminal' (multiple). A legend on the left identifies four types of nodes: AN-FE (Access Node-Function Element, represented by a square with horizontal lines), EN-FE (Edge Node-Function Element, represented by a square with vertical lines), ABG-FE (Access Border Gateway Function Element, represented by a square with a cross-hatch pattern), and IBG-FE (Internal Border Gateway Function Element, represented by a square with a grid pattern). The core network contains NACF (Network Access Control Function) and RACF (Resource Access Control Function) at the top. The access networks connect to the core via EN-FE and ABG-FE nodes. The customer network connects to the core via AN-FE and IBG-FE nodes. End user terminals connect to the access networks. The diagram is labeled Y.2053(08)\_F9-1 in the bottom right corner. + +**Figure 9-1 – An example configuration of NGN (view point at transport stratum)** + +#### 9.1.1 Transport functions + +Transport functions are comprised of access transport functions and core transport functions. Among those transport functions EN-FE, ABG-FE, IBG-FE are related to IPv6 migration. + +##### 9.1.1.1 Access transport functions + +Access transport functions process end-users' access to the network as well as collecting and aggregating the traffic coming from these accesses towards the core network. Thus, tunnel end-point function and NAT-PT function are suitable for access transport functions. + +###### a) *Access node FE (AN-FE)* + +In this Recommendation, the AN-FE is assumed to be a layer 2 device; therefore, it is not involved in access protocol functionality. + +###### b) *Edge node FE (EN-FE)* + +The EN-FE in the access transport functions connects to core packet transport functions. In the case of connection to IP-based core transport functions, it shall be a layer 3 device with IP forwarding capabilities. + +The EN-FE could be a tunnel end-point and/or NAT-PT device in CASE 1 or CASE 5. In both cases, the EN-FE should be dual stack. + +- Tunnel end-point: An IPv6 end-user function tries to communicate with another IPv6 end-user function in other network over IPv4 core transport network, then the EN-FE should be a tunnel end-point (CASE 5). When the EN-FE receives IPv6 packets from IPv6 end-user functions, it encapsulates them in IPv4 header and forwards them to the other tunnel end-point. + +- Scenario CASE 5: End-user function A and end-user function B are IPv6 nodes. One tunnel end-point for end-user function A is EN-FE, and the other tunnel end-point could be either EN-FE or ABG-FE or IBG-FE on the side of the end-user function B. FEs in the path between both tunnel end-points are IPv4. + +![Figure 9-2: An EN-FE as tunnel end-point. This network diagram shows IPv4 and IPv6 end-user terminals connected to an Access network. The Access network contains AN-FE and Dual stack EN-FE nodes. A tunnel labeled 'IPv6 over IPv4 tunnel' connects the Access network to a Core transport network. The Core transport network includes an ABG-FE node and another Access network. A Customer network is also shown. Traffic paths for IPv4 (red) and IPv6 (blue) are indicated. Reference: Y.2053(08)_F9-2.](bd0b93e7a46ede276d0a3b79ac487bd9_img.jpg) + +Legend: + +- AN-FE +- Dual stack EN-FE +- ABG-FE +- IPv4 traffic (red line) +- IPv6 traffic (blue line) + +Figure 9-2: An EN-FE as tunnel end-point. This network diagram shows IPv4 and IPv6 end-user terminals connected to an Access network. The Access network contains AN-FE and Dual stack EN-FE nodes. A tunnel labeled 'IPv6 over IPv4 tunnel' connects the Access network to a Core transport network. The Core transport network includes an ABG-FE node and another Access network. A Customer network is also shown. Traffic paths for IPv4 (red) and IPv6 (blue) are indicated. Reference: Y.2053(08)\_F9-2. + +**Figure 9-2 – An EN-FE as tunnel end-point** + +- NAT-PT: If an EN-FE supports NAT-PT function, an IPv6 end-user function can communicate with other IPv4 end-user functions. When the EN-FE supports NAT-PT function, the EN-FE translates the IPv6 packets from the IPv6 end-user terminals into IPv4 packets or vice versa. If the EN-FE has NAT-PT function, it should be controlled by RACF [ITU-T Y.2111]. +- Scenario CASE 1: IPv6 end-user function A tries to communicate with IPv4-only end-user function B. EN-FE in the side of end-user function A has NAT-PT function. Other FEs in the path are IPv4. + +![Figure 9-3: An EN-FE as NAT-PT. This network diagram shows IPv4 and IPv6 end-user terminals connected to an Access network. The Access network contains AN-FE and NAT-PT EN-FE nodes. A red arrow indicates IPv4 traffic path from the NAT-PT EN-FE through the Core transport network (containing an ABG-FE and another Access network) to the Customer network. Blue arrows indicate IPv6 traffic paths. Reference: Y.2053(08)_F9-3.](75f0cb39f1cd165dfe4a6aa6c4d9388d_img.jpg) + +Legend: + +- AN-FE +- NAT-PT EN-FE +- ABG-FE +- IPv4 traffic (red line) +- IPv6 traffic (blue line) + +Figure 9-3: An EN-FE as NAT-PT. This network diagram shows IPv4 and IPv6 end-user terminals connected to an Access network. The Access network contains AN-FE and NAT-PT EN-FE nodes. A red arrow indicates IPv4 traffic path from the NAT-PT EN-FE through the Core transport network (containing an ABG-FE and another Access network) to the Customer network. Blue arrows indicate IPv6 traffic paths. Reference: Y.2053(08)\_F9-3. + +**Figure 9-3 – An EN-FE as NAT-PT** + +- Native IPv6 deployment: If there is no IPv4 end-user terminal attached to AN-FE(s) that an EN-FE manages, the EN-FE could be a native IPv6 device. If the EN-FE is upgraded to a native IPv6 device, it just forwards IPv6 traffic to the ABG-FE. + - Scenario CASE 2: If IPv6 end-user function wants to communicate with other IPv4 end-user functions, the ABG-FE should be a NAT-PT device. + - Scenario CASE 6: If IPv6 end-user function wants to communicate with other IPv6 end-user functions, the ABG-FE should be a tunnel end-point. + +##### 9.1.1.2 Core transport functions + +The core transport functions are responsible for ensuring information transport throughout the core network. Tunnel end-point function and NAT-PT function could be placed on ABG-FE and IBG-FE, but it is not recommended to place NAT-PT function on core transport FEs. + +###### a) Access border gateway FE (ABG-FE) + +The ABG-FE is a packet gateway between an access network and a core transport network. The EN-FE(s) which aggregate NGN user traffic connect to the ABG-FE. The ABG-FE could be a tunnel end-point and/or NAT-PT device in CASE 2 or CASE 6. In both cases, the EN-FE should be dual stack. + +- Tunnel end-point: If the EN-FE does not support tunnel end-point, the ABG-FE should be a tunnel end-point for IPv6 traffic from end-user terminals. In this case, the ABG-FE has more functions to execute than in CASE 5, because, additionally, the ABG-FE serves as a terminal end-point through which all IPv6 traffic from attached EN-FE(s) is concentrated. + - Scenario CASE 6: If the EN-FE is dual stack but does not support tunnel end-point or all end-user functions and the EN-FE are upgraded to the native IPv6 device, the ABG-FE should be a tunnel end-point for IPv6 traffic from end-user terminals. The other tunnel end-point could be either EN-FE or ABG-FE or IBG-FE on the side of the other end-user function. + +![Figure 9-4: An ABG-FE as tunnel end-point. The diagram illustrates a network architecture where IPv6 traffic from multiple end-user terminals is tunneled over IPv4 through an ABG-FE into a core transport network. On the left, three 'IPv6 end user terminal' boxes connect to an 'Access network' circle. Inside this circle are 'AN-FE' (diagonal lines) and 'EN-FE' (horizontal lines) components. A 'Dual stack ABG-FE' (square with cross-hatch) is at the boundary of the 'Access network' and the 'Core transport network' circle. IPv6 traffic (blue lines) from the terminals enters the ABG-FE, is encapsulated into an 'IPv6 over IPv4 tunnel' (blue cylinder), and is sent to the core network. The core network connects to another 'Access network' circle, which then connects to a 'Customer network' box. A legend at the bottom left defines the symbols: AN-FE (diagonal lines), EN-FE (horizontal lines), Dual stack ABG-FE (cross-hatch), IPv4 traffic (red line), and IPv6 traffic (blue line). The reference 'Y.2053(08)_F9-4' is noted near the second access network.](41a438d7e4adc17c3a4005e7c9500091_img.jpg) + +Figure 9-4: An ABG-FE as tunnel end-point. The diagram illustrates a network architecture where IPv6 traffic from multiple end-user terminals is tunneled over IPv4 through an ABG-FE into a core transport network. On the left, three 'IPv6 end user terminal' boxes connect to an 'Access network' circle. Inside this circle are 'AN-FE' (diagonal lines) and 'EN-FE' (horizontal lines) components. A 'Dual stack ABG-FE' (square with cross-hatch) is at the boundary of the 'Access network' and the 'Core transport network' circle. IPv6 traffic (blue lines) from the terminals enters the ABG-FE, is encapsulated into an 'IPv6 over IPv4 tunnel' (blue cylinder), and is sent to the core network. The core network connects to another 'Access network' circle, which then connects to a 'Customer network' box. A legend at the bottom left defines the symbols: AN-FE (diagonal lines), EN-FE (horizontal lines), Dual stack ABG-FE (cross-hatch), IPv4 traffic (red line), and IPv6 traffic (blue line). The reference 'Y.2053(08)\_F9-4' is noted near the second access network. + +**Figure 9-4 – An ABG-FE as tunnel end-point** + +- NAT-PT: If an IPv6 end-user function wants to communicate with IPv4 end-user function and the EN-FE does not support NAT-PT, the ABG-FE should support NAT-PT function. + +- Scenario CASE 2: IPv6-only end-user function A tries to communicate with IPv4-only end-user function B. The EN-FE could be native IPv6 or dual stack. In this case, ABG-FE should have NAT-PT function. Other FEs are IPv4. +- Native IPv6 deployment: If all EN-FE(s) and all ABG-FE(s) are upgraded to native IPv6 device; + - Scenario CASE 3: If IPv6 end-user function wants to communicate with other IPv4 end-user functions, the IBG-FE should be a NAT-PT device. + - Scenario CASE 7: if IPv6 end-user function wants to communicate with other IPv6 end-user functions, the IBG-FE should be a tunnel end-point. + +###### b) *Interconnection border gateway FE (IBG-FE)* + +The IBG-FE is a packet gateway used to interconnect an operator's core transport network with another operator's core transport network supporting the packet-based services (refer to Figure 9-1). In the initial stage, most of the IBG-FEs only support IPv4, but, in the end, core transport network would be completely dual stack and finally be native IPv6 (CASE 10, CASE 11, CASE 12). During this transitional period, if the ABG-FE attached to the IBG-FE is upgraded to native IPv6 device, the IBG-FE should be a tunnel end-point or NAT-PT (CASE 3, CASE 7). + +- Scenario CASE 7: If the ABG-FE is dual stack but does not support tunnel end-point or all end-user functions, EN-FE, and the ABG-FE are upgraded to the native IPv6 device, the IBG-FE should be a tunnel end-point for IPv6 traffic from end-user functions. The other tunnel end-point may be either IBG-FE, ABG-FE, or EN-FE on the side of the other end-user function. + +If an IPv6 end-user function wants to communicate with IPv4 end-user function and the ABG-FE does not support NAT-PT, the IBG-FE should support NAT-PT function (CASE 3). But it is not recommended that the NAT-PT function be used between the core transport networks. + +- Scenario CASE 3: IPv6-only end-user function A tries to communicate with IPv4-only end-user function B. The ABG-FE could be native IPv6 or dual stack. In this case, IBG-FE should have NAT-PT function. Other FEs are IPv4. + +#### 9.1.2 Transport control functions + +##### 9.1.2.1 Network access control functions (NACF) + +###### a) *Network access configuration FE (NAC-FE)* + +The NAC-FE is responsible for IP address allocation to terminals [ITU-T Y.2012] . It may also distribute other network configuration parameters like the address of DNS servers or signalling proxies, and so on. Thus, if the end-user function is tunnel end-point or dual stack the NAC-FE should provide the following additional information: + +- End-user function is dual stack: If an end-user function is dual stack, the NAC-FE shall allocate IPv6 and IPv4 address to the end-user function. +- End-user function is tunnel end-point: If an end-user function is a dual stack terminal or a customer network, it could be a tunnel end-point (CASE 4, CASE 9). In this case the NAC-FE shall allocate the other tunnel end-point configuration information (refer to [b-IETF draft-03]). + +##### 9.1.2.2 Resource and admission control functions (RACF) + +The RACF [ITU-T Y.2111] defines related requirements and functional architecture covering aspects such as resource reservation, admission control and gate control, network address port translation (NAPT) and firewall control, and network address translation (NAT) traversal. Thus, if + +NAT-PT is used as IPv6 transition mechanism, RACF should consider requirements for NAT-PT scenarios (CASE 1, CASE 2, CASE 3, and CASE 8). + +### **9.2 End-user functions** + +#### **9.2.1 Terminal** + +An end-user terminal could be a tunnel end-point by itself (CASE 4). In this case, the other tunnel end-point could be another end-user terminal: EN-FE, ABG-FE, or IBG-FE. + +#### **9.2.2 Customer network** + +In this case, CPE of customer network could be a tunnel end-point or NAT-PT device (CASE 8, CASE 9). + +### **9.3 Other non-NGN network functions** + +If NGN user function tries to communicate with other non-NGN network functions, an appropriate entity of non-NGN network should do a similar role as the one described in clause 8. + +# **10 Security considerations** + +This Recommendation does not require any specific security considerations and aligns with the security requirements in [ITU-T Y.2701]. + +# Appendix I + +## IPv6 migrations in NGN + +(This appendix does not form an integral part of this Recommendation) + +### I.1 IPv6 transition mechanisms + +This clause shows three IPv6 transition architectures from the viewpoint of IPv6 transition mechanisms architecture. + +#### a) *Dual stack* + +![Diagram of a dual stack communication scenario in an NGN terminal. It shows two IPv6 Apps at the ends, connected via application protocols (dashed line). Below them is a chain of nodes: EN-FE, ABG-FE, IBG-FE, a routed IP network, IBG-FE, ABG-FE, EN-FE, and another IPv6 Apps. Nodes are connected via L3 adjacent (IPv4) and L3 adjacent (IPv6) lines. A legend explains the line styles: dashed for application layer, solid for L3 adjacent (IPv4), thick solid for L3 adjacent (IPv6), and dotted for L2 adjacent. A routed IP network symbol is also shown.](a734898ce18e972938949637c32a34f4_img.jpg) + +NGN terminal + +Application protocols + +IPv6 Apps + +IPv4 IPv6 + +EN-FE + +ABG-FE + +IBG-FE + +IPv6 IPv4 + +IBG-FE + +ABG-FE + +EN-FE + +IPv6 Apps + +Y.2053(08)\_F1-1 + +----- Nodes connected with this are adjacent at the application layer +—— Nodes connected with this are L3 adjacent (IPv4) +—— Nodes connected with this are L3 adjacent (IPv6) +..... Nodes connected with this are L2 adjacent +Routed IP network + +Diagram of a dual stack communication scenario in an NGN terminal. It shows two IPv6 Apps at the ends, connected via application protocols (dashed line). Below them is a chain of nodes: EN-FE, ABG-FE, IBG-FE, a routed IP network, IBG-FE, ABG-FE, EN-FE, and another IPv6 Apps. Nodes are connected via L3 adjacent (IPv4) and L3 adjacent (IPv6) lines. A legend explains the line styles: dashed for application layer, solid for L3 adjacent (IPv4), thick solid for L3 adjacent (IPv6), and dotted for L2 adjacent. A routed IP network symbol is also shown. + +**Figure I.1 – An example communication scenario with full dual stack** + +The most straightforward way for IPv6 nodes to remain compatible with IPv4-only nodes is by providing a complete IPv4 implementation. IPv6 nodes that provide complete IPv4 and IPv6 implementations are called "dual stack nodes". Dual stack nodes have the ability to send and receive both IPv4 and IPv6 packets. They can directly interoperate with IPv4 nodes using IPv4 packets, and also directly interoperate with IPv6 nodes using IPv6 packets. + +Figure I.1 shows the case where the IPv6 services communicate with each other on dual stack network. + +#### b) *Configured tunnel* + +![Diagram of a configured tunnel scenario for IPv6 transition. It shows two NGN terminals at the ends, each with an 'App' layer and an 'IPv6' layer. A dashed line labeled 'Application protocols' connects the 'App' layers. A solid line labeled 'IPv6' connects the 'IPv6' layers, representing a configured tunnel. Below the tunnel, a series of IPv4 nodes are connected: EN-FE, ABG-FE, IBG-FE, a central 'Routed IP network' (represented by a circle with three internal nodes), another IBG-FE, ABG-FE, and a final EN-FE. Dashed lines connect the 'IPv6' layers of the EN-FE nodes to their respective 'IPv4' layers. A legend at the bottom explains the line styles: dashed for application layer adjacency, solid for L3 adjacency (IPv4), thick solid for L3 adjacency (IPv6), and dotted for L2 adjacency. A routed IP network icon is also shown.](83852ec55d4802521a727926336bedab_img.jpg) + +Y.2053(08)\_FI-2 + +Diagram of a configured tunnel scenario for IPv6 transition. It shows two NGN terminals at the ends, each with an 'App' layer and an 'IPv6' layer. A dashed line labeled 'Application protocols' connects the 'App' layers. A solid line labeled 'IPv6' connects the 'IPv6' layers, representing a configured tunnel. Below the tunnel, a series of IPv4 nodes are connected: EN-FE, ABG-FE, IBG-FE, a central 'Routed IP network' (represented by a circle with three internal nodes), another IBG-FE, ABG-FE, and a final EN-FE. Dashed lines connect the 'IPv6' layers of the EN-FE nodes to their respective 'IPv4' layers. A legend at the bottom explains the line styles: dashed for application layer adjacency, solid for L3 adjacency (IPv4), thick solid for L3 adjacency (IPv6), and dotted for L2 adjacency. A routed IP network icon is also shown. + +**Figure I.2 – Example communication scenario with a configured tunnel** + +In the initial stage of IPv6 transition, most of the nodes are IPv4-only. Thus, a small set of routers in the core transport network has IPv6 capabilities. The use of a configured tunnel is adequate during this step. + +In this case, there are dual stack nodes. IPv6 applications run on both end nodes communicating on IPv6 stack, and IPv6 packets are delivered over IPv4 stack of the core transport network. From this point of view, the L3 adjacency of EN-FE, tunnel end-point, is another EN-FE. + +In this scenario, the EN-FE aggregates traffic of IPv6 NGN terminals and it is a dual stack node. Some of the NGN terminals attached to the EN-FE want to use IPv6 services. A configured tunnel is the adequate way to provide IPv6 service to them because most of the core transport functional entities are IPv4-only. The two tunnel end-points are EN-FEs in this case. The EN-FE aggregates tunnel end-points from several NGN terminals which want to use IPv6 services. + +#### c) *NAT-PT* + +![Diagram of a NAT-PT deployment scenario. It shows two NGN terminals at the ends, each with an 'App' layer and an 'IPv6' layer. A dashed line labeled 'Application protocols' connects the 'App' layers. A solid line labeled 'IPv6' connects the 'IPv6' layers. Below this, a series of IPv4 nodes are connected: EN-FE, ABG-FE, IBG-FE, a central 'Transit network' (represented by a circle with three internal nodes), another IBG-FE, ABG-FE, and a final EN-FE. Dashed lines connect the 'IPv6' layers of the EN-FE nodes to their respective 'IPv4' layers. A legend at the bottom explains the line styles: dashed for application layer adjacency, solid for L3 adjacency (IPv4), thick solid for L3 adjacency (IPv6), and dotted for L2 adjacency. A routed IP network icon is also shown.](e636d7ccca0ad14c6b95201404324823_img.jpg) + +Y.2053(08)\_FI-3 + +Diagram of a NAT-PT deployment scenario. It shows two NGN terminals at the ends, each with an 'App' layer and an 'IPv6' layer. A dashed line labeled 'Application protocols' connects the 'App' layers. A solid line labeled 'IPv6' connects the 'IPv6' layers. Below this, a series of IPv4 nodes are connected: EN-FE, ABG-FE, IBG-FE, a central 'Transit network' (represented by a circle with three internal nodes), another IBG-FE, ABG-FE, and a final EN-FE. Dashed lines connect the 'IPv6' layers of the EN-FE nodes to their respective 'IPv4' layers. A legend at the bottom explains the line styles: dashed for application layer adjacency, solid for L3 adjacency (IPv4), thick solid for L3 adjacency (IPv6), and dotted for L2 adjacency. A routed IP network icon is also shown. + +**Figure I.3 – An example deployment scenario with NAT-PT** + +The NAT-PT mechanism (IPv4/IPv6 translation) is usually for edge IPv6 island subnets. The IPv6 NGN terminals behind the NAT-PT box can communicate with other IPv6 NGN terminals or other IPv4 NGN terminals through it. + +The NAT-PT translates IPv6 header into IPv4 header or vice versa. The ALG translates application protocol header if it contains any IP layer information. + +All packets which pass through the NAT-PT box will be reconstructed if each end-node of the connection has a different version of the IP stack. This results in a decline of performance. So the NAT-PT mechanism usually is not to be used in the core network. + +### I.2 Example migration scenarios according to Table 1 + +During the period of migration to IPv6, several types of nodes like dual stack, IPv6-only, IPv4-only nodes may coexist. In this clause, possible deployment scenarios during this period are introduced case by case. + +#### A) Scenario CASES 10, 11– Dual stack + +![Figure I.4 – Dual stack node – dual stack node scenario. The diagram illustrates a network architecture for dual-stack nodes. It shows two main network domains, each containing a 'Core transport network' and multiple 'Access networks'. At the top of each domain is a teal oval containing 'NACF' and 'RACF'. A legend on the left identifies symbols: a striped rectangle for 'AN-FE', a grid rectangle for 'Dual stack EN-FE', a square with a cross for 'Dual stack ABG-FE', and a square with a circle for 'Dual stack IBG-FE'. It also defines line colors: red for 'IPv4 traffic', blue for 'IPv6 traffic', and a thick red line for 'IPv6 over IPv4 tunnel'. The diagram shows various 'Dual stack end user terminal' blocks connected to the access networks. Traffic paths are shown with red and blue lines, indicating IPv4 and IPv6 flows respectively. Some paths use the thick red line to represent IPv6 over IPv4 tunneling. A 'Customer network' is shown at the bottom left. The diagram is labeled 'Y.2053(08)_F1-4' at the bottom right.](4cc7cdce3d498d8b0ba033a9be24ade5_img.jpg) + +Figure I.4 – Dual stack node – dual stack node scenario. The diagram illustrates a network architecture for dual-stack nodes. It shows two main network domains, each containing a 'Core transport network' and multiple 'Access networks'. At the top of each domain is a teal oval containing 'NACF' and 'RACF'. A legend on the left identifies symbols: a striped rectangle for 'AN-FE', a grid rectangle for 'Dual stack EN-FE', a square with a cross for 'Dual stack ABG-FE', and a square with a circle for 'Dual stack IBG-FE'. It also defines line colors: red for 'IPv4 traffic', blue for 'IPv6 traffic', and a thick red line for 'IPv6 over IPv4 tunnel'. The diagram shows various 'Dual stack end user terminal' blocks connected to the access networks. Traffic paths are shown with red and blue lines, indicating IPv4 and IPv6 flows respectively. Some paths use the thick red line to represent IPv6 over IPv4 tunneling. A 'Customer network' is shown at the bottom left. The diagram is labeled 'Y.2053(08)\_F1-4' at the bottom right. + +**Figure I.4 – Dual stack node – dual stack node scenario** + +This scenario is the most ideal case. All end-user terminals and access/core transition FEs are dual stack and have IPv4/IPv6 routable address. IPv4 and IPv6 application can run on a dual-stack end-user terminal and can communicate with other applications which run on another dual-stack end-user terminal without any help from other IPv6 transition mechanisms. + +##### - DNS: + +In this case the role of DNS is important. + +The Domain Name System (DNS) is used in both IPv4 and IPv6 to map between hostnames and IP addresses. The DNS resolver library on dual stack node should be able to handle A and AAAA record. If a DNS query result contains A records and AAAA records at the same time, the resolver library may reorder the results returned to the application in order to influence the version of IP packets used to communicate with that specific node – IPv6 first, or IPv4 first. + +The applications should be able to specify whether they want IPv4, IPv6, or both records. This defines which address families the resolver looks up. Since most applications try the addresses in the order they are returned by the resolver, this can affect the IP version "preference" of applications. + +The issues and operational guidelines for using IPv6 with DNS are described in more detail in [b-IETF RFC 4472]. + +#### B) *Scenario CASE 4 (CASES 5, 6, 7, 9 are similar cases) – Configured tunnelling* + +If the core transport network runs on IPv4, a configured tunnel can be used to forward IPv6 traffic to the destination access network. + +![Network diagram for Scenario CASE 4 showing IPv4 core transport with configured tunneling for IPv6 traffic.](09955ff8214ffb6947951fc0f60eb6ab_img.jpg) + +The diagram illustrates a dual-stack network architecture where the core transport network is IPv4-based, and IPv6 traffic is forwarded via a configured tunnel. The legend defines the components and traffic types: + +- AN-FE**: Access Network - Fixed Edge (represented by a striped rectangle). +- Dual stack EN-FE**: Dual Stack Edge Network - Fixed Edge (represented by a rectangle with horizontal and vertical lines). +- IPv4 ABG-FE**: IPv4 Address Block Gateway - Fixed Edge (represented by a red square with a black cross). +- IPv4 IBG-FE**: IPv4 Intra-Block Gateway - Fixed Edge (represented by a red square with a black circle). +- IPv4 traffic**: Represented by a solid red line. +- IPv6 traffic**: Represented by a solid blue line. +- IPv6 over IPv4 tunnel**: Represented by a thick red line with a black cross. + +The network topology consists of two main sections, each containing a **Core transport network** (IPv4) and multiple **Access networks**. Above each core network is a teal oval containing **NACF** and **RACF** components. **Dual stack end user terminals** are connected to the access networks. Traffic flows are shown as follows: + +- IPv4 traffic (red lines)**: Flows from dual stack end user terminals through the access networks into the core transport networks, and vice versa. +- IPv6 traffic (blue lines)**: Flows from dual stack end user terminals through the access networks into the core transport networks. +- IPv6 over IPv4 tunnel (thick red lines with crosses)**: These lines represent the tunneling mechanism that encapsulates IPv6 traffic within IPv4 packets for transport across the IPv4 core network. + +Ellipses (...) indicate that there can be multiple access networks and end user terminals in each section. A reference code **Y.2053(08)\_FI-5** is located near the bottom right terminal. + +Network diagram for Scenario CASE 4 showing IPv4 core transport with configured tunneling for IPv6 traffic. + +**Figure I.5 – Dual stack node – dual stack node (IPv4 core transport) scenario** + +C) Scenario CASE 4 (CASES 5, 6, 7, 9 are similar cases) – dual stack $\leftrightarrow$ IPv4-only + +![Network diagram for Figure I.6 showing IPv4 core transport in a dual-stack node scenario.](365b54f616aff249b4e6c0edafdcb9b3_img.jpg) + +The diagram illustrates a network architecture for IPv4 core transport. It features two main sections, each containing a 'Core transport network' and an 'Access network'. Above each core transport network is a teal oval containing 'NACF' and 'RACF'. The 'Access network' connects to 'Dual stack end user terminal' blocks and 'Customer network' blocks. The 'Core transport network' connects to 'IPv4 end user terminal' blocks. A legend on the left defines the components: AN-FE (hatched rectangle), Dual stack EN-FE (hatched rectangle), IPv4 EN-FE (red hatched rectangle), IPv4 ABG-FE (red hatched rectangle), IPv4 IBG-FE (red hatched rectangle), IPv4 traffic (red line), IPv6 traffic (blue line), and IPv6 over IPv4 tunnel (red line). The diagram shows IPv4 traffic paths (red lines) connecting the 'Dual stack end user terminal' blocks to the 'IPv4 end user terminal' blocks via the 'Core transport network'. IPv6 traffic paths (blue lines) connect the 'Dual stack end user terminal' blocks to the 'Access network' and then to the 'Core transport network'. IPv6 over IPv4 tunnel paths (red lines) connect the 'Dual stack end user terminal' blocks to the 'Access network' and then to the 'Core transport network'. + +Network diagram for Figure I.6 showing IPv4 core transport in a dual-stack node scenario. + +Figure I.6 – Dual stack node – IPv4 node (IPv4 core transport) + +The following case is another example derived from C. + +D) Scenario CASE 4 (CASES 5, 6, 7, 9 are similar cases) – dual stack $\leftrightarrow$ IPv6-only + +![Network diagram for Figure I.7 showing IPv6 core transport in a dual-stack node scenario.](d9c0a780cd22626253dab4aa41699e2f_img.jpg) + +The diagram illustrates a network architecture for IPv6 core transport. It features two main sections, each containing a 'Core transport network' and an 'Access network'. Above each core transport network is a teal oval containing 'NACF' and 'RACF'. The 'Access network' connects to 'Dual stack end user terminal' blocks and 'Customer network' blocks. The 'Core transport network' connects to 'IPv6 end user terminal' blocks. A legend on the left defines the components: AN-FE (hatched rectangle), Dual stack EN-FE (hatched rectangle), IPv6 EN-FE (blue hatched rectangle), IPv4 ABG-FE (red hatched rectangle), IPv4 IBG-FE (red hatched rectangle), IPv4 traffic (red line), IPv6 traffic (blue line), and IPv6 over IPv4 tunnel (red line). The diagram shows IPv6 traffic paths (blue lines) connecting the 'Dual stack end user terminal' blocks to the 'IPv6 end user terminal' blocks via the 'Core transport network'. IPv4 traffic paths (red lines) connect the 'Dual stack end user terminal' blocks to the 'Access network' and then to the 'Core transport network'. IPv6 over IPv4 tunnel paths (red lines) connect the 'Dual stack end user terminal' blocks to the 'Access network' and then to the 'Core transport network'. + +Network diagram for Figure I.7 showing IPv6 core transport in a dual-stack node scenario. + +Figure I.7 – Dual stack node – IPv6 node (IPv4 core transport) + +The following case is another example derived from C. + +E) *Scenario CASE 1 (CASES 2, 3, 8 are similar cases) – NAT-PT* + +![Diagram illustrating IPv4 node - IPv6 node (IPv4 core transport) scenario. The diagram shows two network domains connected by a core transport network. Each domain contains a Core transport network and multiple Access networks. A Customer network is connected to the left Access network. End-user terminals (IPv6 and IPv4) are connected to the Access networks. A legend defines symbols for AN-FE, Dual stack EN-FE, Dual stack EN-FE (NAT-PT), IPv4 ABG-FE, IPv4 IBG-FE, IPv4 traffic, IPv6 traffic, and IPv6 over IPv4 tunnel. Dashed lines indicate NAT-PT configuration parameters from NACF/RACF to NAT-PT devices. Arrows show traffic flow: IPv6 traffic (blue) from IPv6 terminals to NAT-PT devices, and IPv4 traffic (red) from NAT-PT devices to IPv4 terminals or through tunnels.](366a77fdefb0097b3289b4a011911390_img.jpg) + +Legend: + +- AN-FE +- Dual stack EN-FE +- Dual stack EN-FE (NAT-PT) +- IPv4 ABG-FE +- IPv4 IBG-FE +- IPv4 traffic +- IPv6 traffic +- IPv6 over IPv4 tunnel + +Diagram components and flow: + +- Left Domain:** Core transport network, Access network, Customer network, IPv6 end user terminal, IPv4 end user terminal. +- Right Domain:** Core transport network, Access network, IPv4 end user terminal, IPv6 end user terminal. +- Core Transport Network:** Connects the two domains. +- NAT-PT Configuration:** NACF/RACF provides parameters to NAT-PT devices in both domains. +- Traffic Flow:** IPv6 traffic (blue) flows from IPv6 terminals to NAT-PT devices. IPv4 traffic (red) flows from NAT-PT devices to IPv4 terminals or through tunnels. + +Diagram illustrating IPv4 node - IPv6 node (IPv4 core transport) scenario. The diagram shows two network domains connected by a core transport network. Each domain contains a Core transport network and multiple Access networks. A Customer network is connected to the left Access network. End-user terminals (IPv6 and IPv4) are connected to the Access networks. A legend defines symbols for AN-FE, Dual stack EN-FE, Dual stack EN-FE (NAT-PT), IPv4 ABG-FE, IPv4 IBG-FE, IPv4 traffic, IPv6 traffic, and IPv6 over IPv4 tunnel. Dashed lines indicate NAT-PT configuration parameters from NACF/RACF to NAT-PT devices. Arrows show traffic flow: IPv6 traffic (blue) from IPv6 terminals to NAT-PT devices, and IPv4 traffic (red) from NAT-PT devices to IPv4 terminals or through tunnels. + +**Figure I.8 – IPv4 node – IPv6 node (IPv4 core transport)** + +IPv6 end-user terminal can communicate with IPv4 terminal through NAT-PT device. In this example, NAT-PT is installed on the EN-FE. NAT-PT can also be installed on ABG-FE or IBG-FE. The NAT-PT device translates IPv6 packets into IPv4 packets or vice versa. + +RACF manages NAT-PT translation policy and other configuration parameters. The RACF provides such information to NAT-PT device whenever it is necessary. + + + +## Bibliography + +- [b-ITU-T Y.1540] Recommendation ITU-T Y.1540 (2007), *Internet protocol data communication service – IP packet transfer and availability performance parameters*. +- [b-IETF RFC 2765] IETF RFC 2765 (2000), *Stateless IP/ICMP Translation Algorithm (SIIT)*, (Standards Track). +- [b-IETF RFC 2766] IETF RFC 2766 (2000), *Network Address Translation – Protocol Translation (NAT-PT)*, (Standards Track). +- [b-IETF RFC 4213] IETF RFC 4213 (2005), *Basic Transition Mechanisms for IPv6 Hosts and Routers*, (Standards Track). +- [b-IETF RFC 4472] IETF RFC 4472 (2006), *Operational Considerations and Issues with IPv6 DNS*. +- [b-IETF draft-03] IETF draft-03, *IPv6 Tunnel Broker with the Tunnel Setup Protocol (TSP)*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2055-201103-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2055-201103-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..b4c8d6fb1ceaecc9f5411e74153d291dcf0a733a --- /dev/null +++ b/marked/Y/T-REC-Y.2055-201103-I_PDF-E/raw.md @@ -0,0 +1,735 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2055 + +(03/2011) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +# --- **Framework of object mapping using IPv6 in next generation networks** + +Recommendation ITU-T Y.2055 + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Smart ubiquitous networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| Future networks | Y.3000–Y.3099 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2055** + +# **Framework of object mapping using IPv6 in next generation networks** + +## **Summary** + +Recommendation ITU-T Y.2055 specifies the basic concept and requirements of object mapping using IPv6 in next generation networks (NGN) in order to provide networking capabilities to objects. This Recommendation also describes the mapping architecture, the relationship between identifiers and the relevant mechanisms for object mapping. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2055 | 2011-03-16 | 13 | + +## **Keywords** + +IPv6, mapping, NGN, object. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2012 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|---------------------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 3 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 4 | +| 6 | Overview of object mapping using IPv6 in NGN ..... | 4 | +| | 6.1 Classification of identifiers for object identification and mapping ..... | 4 | +| | 6.2 Basic concept of object mapping..... | 5 | +| | 6.3 Requirements for object mapping using IPv6 ..... | 6 | +| 7 | Mapping architecture and relationship between identities ..... | 7 | +| | 7.1 Mapping architecture between identifiers ..... | 7 | +| | 7.2 Mapping relationships between identifiers..... | 8 | +| 8 | Mechanisms for object mapping..... | 10 | +| | 8.1 ID bindings in NGN architecture ..... | 10 | +| | 8.2 Object mapping mechanism ..... | 10 | +| 9 | Security considerations..... | 11 | +| | Appendix I – Examples of mapping between host and object(s)..... | 12 | +| 1 | Host = Object (one-to-one mapping)..... | 12 | +| 2 | Host ≠ Object (one-to-many mapping)..... | 12 | +| | Appendix II – Network attachment control function (NACF) functional architecture..... | 13 | +| | Appendix III – Information flows of explicit binding and implicit binding..... | 14 | +| | Appendix IV – Examples for services using object mapping..... | 16 | +| | Bibliography..... | 17 | + + + +## Recommendation ITU-T Y.2055 + +# Framework of object mapping using IPv6 in next generation networks + +## 1 Scope + +This Recommendation describes the requirements and the mechanisms for object mapping using IPv6 in next generation networks (NGNs). This Recommendation covers the following: + +- Basic concept and requirements of object mapping using IPv6; +- Mapping architecture and relationships between identifiers; +- Mechanisms for object mapping using IPv6. + +This Recommendation does not intend to develop any specific protocols for object mapping. + +As many new types of devices (i.e., objects) are connected to networks, this Recommendation assumes that IPv6 plays a key role in object-to-object communications. The objective of this Recommendation is to provide guidelines for mapping of information on objects for providing end-to-end connectivity in IPv6-based NGN. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T G.805] | Recommendation ITU-T G.805 (2000), Generic functional architecture of transport networks . | +| [ITU-T X.800] | Recommendation ITU-T X.800 (1991), Security architecture for Open Systems Interconnection for CCITT applications . | +| [ITU-T X.811] | Recommendation ITU-T X.811 (1995) ISO/IEC 10181-2:1996, Information technology – Open Systems Interconnection – Security frameworks for open systems: Authentication framework . | +| [ITU-T Y.1540] | Recommendation ITU-T Y.1540 (2011), Internet protocol data communication service – IP packet transfer and availability performance parameters . | +| [ITU-T Y.2001] | Recommendation ITU-T Y.2001 (2004), General overview of NGN . | +| [ITU-T Y.2002] | Recommendation ITU-T Y.2002 (2009), Overview of ubiquitous networking and of its support in NGN . | +| [ITU-T Y.2011] | Recommendation ITU-T Y.2011 (2004), General principles and general reference model for next generation networks . | +| [ITU-T Y.2012] | Recommendation ITU-T Y.2012 (2010), Functional requirements and architecture of next generation networks . | +| [ITU-T Y.2014] | Recommendation ITU-T Y.2014 (2010), Network attachment control functions in next generation networks . | +| [ITU-T Y.2015] | Recommendation ITU-T Y.2015 (2009), General requirements for ID/locator separation in NGN . | + +- [ITU-T Y.2051] Recommendation ITU-T Y.2051 (2008), *General overview of IPv6-based NGN*. +- [ITU-T Y.2091] Recommendation ITU-T Y.2091 (2008), *Terms and definitions for Next Generation Networks*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [ITU-T Y.2702] Recommendation ITU-T Y.2702 (2008), *Authentication and authorization requirements for NGN release 1*. +- [ITU-T Y.2720] Recommendation ITU-T Y.2720 (2009), *NGN identity management framework*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 address** [ITU-T Y.2091]: An address is the identifier for a specific termination point and is used for routing to this termination point. + +**3.1.2 authentication** [ITU-T X.811]: Authentication provides assurance of the claimed identity of an entity. + +**3.1.3 authorization** [ITU-T X.800]: The granting of rights, which includes the granting of access based on access rights. + +**3.1.4 binding** [ITU-T G.805]: A direct relationship between a "transport processing function" or "transport entity" and another "transport processing function" or "transport entity" which represents the static connectivity that cannot be directly modified by management action. + +**3.1.5 context** [ITU-T Y.2002]: The information that can be used to characterize the environment of a user. + +NOTE – Context information may include where the user is, what resources (devices, access points, noise level, bandwidth, etc.) are near the user, at what time the user is moving, interaction history between person and objects, etc. According to specific applications, context information can be updated. + +**3.1.6 host** [ITU-T Y.1540]: A computer that communicates using the Internet protocols. A host implements routing functions (i.e., it operates at the IP layer) and may implement additional functions including higher layer protocols (e.g., TCP in a source or destination host) and lower layer protocols (e.g., ATM). + +**3.1.7 identifier** [ITU-T Y.2091]: An identifier is a series of digits, characters and symbols or any other form of data used to identify subscriber(s), user(s), network element(s), function(s), network entity(ies) providing services/applications, or other entities (e.g., physical or logical objects). Identifiers can be used for registration or authorization. They can be either public to all networks, shared between a limited number of networks or private to a specific network (private IDs are normally not disclosed to third parties). + +**3.1.8 identity** [ITU-T Y.2720]: Information about an entity that is sufficient to identify that entity in a particular context. + +**3.1.9 ID/LOC separation** [ITU-T Y.2015]: ID/LOC separation is decoupling the semantic of IP address into the semantics of node IDs and LOCs. Distinct namespaces are used for node IDs and LOCs so that they can evolve independently. LOCs are associated with the IP layer whereas node IDs are associated with upper layers in such a way that ongoing communication sessions or services shall not be broken by changing LOCs due to mobility and multi-homing. + +NOTE – In the context of this Recommendation, a completely new namespace for node IDs can optionally be created that would leave the IP address space more or less intact for LOCs, allowing routing technologies to be developed independently of end-host mobility and end-host multi-homing implications. + +**3.1.10 object** [ITU-T Y.2002]: An intrinsic representation of an entity that is described at an appropriate level of abstraction in terms of its attributes and functions. + +NOTE 1 – An object is characterized by its behaviour. An object is distinct from any other object. An object interacts with its environment including other objects at its interaction points. An object is informally said to perform functions and offer services (an object which makes a function available is said to offer a service). For modelling purposes, these functions and services are specified in terms of the behaviour of the object and of its interfaces. An object can perform more than one function. A function can be performed by the cooperation of several objects. + +NOTE 2 – Objects include terminal devices (e.g., used by a person to access the network such as mobile phones, Personal computers, etc.), remote monitoring devices (e.g., cameras, sensors, etc.), information devices (e.g., content delivery server), products, contents, and resources. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 mapping:** A technique for forming associations between logical and physical interfaces. + +**3.2.2 object mapping:** The process which an object identifier (object ID) is associated with an identifier (e.g., IPv6 address). + +**3.2.3 object ID:** The identifier which identifies an object. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|------------------------------------------------| +| AM-FE | Access Management Functional Entity | +| AR-FE | Access Relay Functional Entity | +| ATM | Asynchronous Transfer Mode | +| DHCP | Dynamic Host Configuration Protocol | +| DNS | Domain Name System | +| EPC | Electronic Product Code | +| EUI | Extended Unique Identifier | +| GW | Gateway | +| ID | Identifier | +| IdM | Identity Management | +| IP | Internet Protocol | +| IT | Information Technology | +| LOC | Locator | +| MAC | Medium Access Control | +| NACF | Network Attachment Control Function | +| NAC-FE | Network Access Configuration Functional Entity | +| NGN | Next Generation Network | +| PoA | Point of Attachment | +| RA | Router Advertisement | +| RACF | Resource Admission Control Function | + +| | | +|--------|-------------------------------------------------| +| RS | Router Solicitation | +| SCF | Service Control function | +| SCM | Supply Chain Management | +| TCP | Transmission Control Protocol | +| TLM-FE | Transport Location Management Functional Entity | +| URI | Uniform Resource Identifier | +| URL | Uniform Resource Locator | + +## 5 Conventions + +In this Recommendation, the keyword "NGN" indicates "IPv6-based NGN" as per [ITU-T Y.2051]. +In clause 6.3: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "is not recommended" indicate a requirement which is not recommended but which is not specifically prohibited. Thus, conformance with this Recommendation can still be claimed even if this requirement is present. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +## 6 Overview of object mapping using IPv6 in NGN + +### 6.1 Classification of identifiers for object identification and mapping + +Identifiers are used to facilitate reaching or using applications or services. There are many kinds of identifiers (IDs) such as ITU-T E.164 number code, EUI-64, MAC address or URI/URL. By using these identifiers, devices can be reachable to the other users and/or devices. + +Identifiers have two functions. One is to identify an object in the real world. The other is to be used as an address or number to uniquely identify the location of an entity on the network. Two or more entities on the network can communicate with each other using identifiers or addresses. + +An "Object ID" generally takes the form of an application-specific integer or pointer that uniquely identifies an object. This Recommendation considers an object as an end point of communication which is connected to the network excluding conventional terminal devices (e.g., used by a person to access devices such as mobile phones or personal computers). These objects include remote monitoring devices (e.g., cameras or sensors), information devices (e.g., content delivery server), products or contents. + +Appendix I provides examples of mapping relationships between host and object(s). In the examples shown in Appendix I, conventional terminal devices have a one-to-one mapping where a host is equal to an object. On the other hand, most of the other objects have a one-to-many mapping where a host is not equal to an object. + +This Recommendation mainly focuses on objects that have a one-to-many mapping relationship. + +Figure 6-1 represents the relationship between object and network attachment in IPv6-based NGN. In this figure, the point of attachment (PoA) represents a physical end point of network and a termination point of connection with IPv6 address. There are fixed or mobile objects to be attached to the IPv6-based NGN. In the context of mobility of persons and objects, there is not necessarily any permanent relationship between the identity of an object to be involved in a telecommunication activity and its location (i.e., the place where it can be found) [ITU-T Y.2011]. The location of a given telecommunication object can be represented by the physical PoA, where the said object may be reached or found. At the border between the object and PoA in the network, the relevant mapping or binding should be done using the related ID information for connecting to objects irrespective of location change in the fixed and mobile environment. + +The scope of this Recommendation is to consider the relationship with IPv6 address for association between the PoA and object(s) in IPv6-based NGN (see dotted box in Figure 6-1). + +![Diagram illustrating the relationship between object and network attachment in IPv6-based NGN. The diagram shows a central 'IPv6-based NGN' core connected to multiple 'Point of attachment (PoA)' nodes (black dots). These PoA nodes are connected to 'Object' nodes (white circles) via 'Object ID' and 'IPv6 address' mappings. The diagram also shows a person running, representing a mobile object, connected to the network through a PoA. A legend at the bottom identifies the symbols: a black dot for 'Point of attachment (PoA)' and a white circle for 'Object'. The text 'Y.2055(11)_F6-1' is also present.](5a4e62bead259c258d069fd3663ea670_img.jpg) + +● Point of attachment (PoA)    ○ Object    Y.2055(11)\_F6-1 + +Diagram illustrating the relationship between object and network attachment in IPv6-based NGN. The diagram shows a central 'IPv6-based NGN' core connected to multiple 'Point of attachment (PoA)' nodes (black dots). These PoA nodes are connected to 'Object' nodes (white circles) via 'Object ID' and 'IPv6 address' mappings. The diagram also shows a person running, representing a mobile object, connected to the network through a PoA. A legend at the bottom identifies the symbols: a black dot for 'Point of attachment (PoA)' and a white circle for 'Object'. The text 'Y.2055(11)\_F6-1' is also present. + +**Figure 6-1 – Relationship between object and network attachment in IPv6-based NGN** + +### 6.2 Basic concept of object mapping + +The identification and mapping of all objects for providing end-to-end connectivity is crucial. Identifiers are capable of identifying all relevant objects and facilitating object-to-object communication. In particular, globally unique identifiers enable a great many applications, including tracking, access control, and the protection of objects. + +As shown in Figure 6-2, the layered architecture of NGN requires specific processing capabilities at each layer. Each user or object in applications is identified by an identity such as a name with a set of attributes of an entity. An attribute can be thought of as metadata that belongs to a specific entity in a specific context, some of which could be highly private or sensitive. The identity should be associated with object IDs through identification and authorization for identity management. Each + +object ID also should be associated with an IPv6 address through mapping (binding) for object mapping. + +An ID resolution server such as domain name system (DNS) can provide a function to translate the identifier of an object into the IPv6 address to access ubiquitous networking services provided by database or application servers. From the IPv6-based NGN perspective, how to map (bind) the IPv6 address with other identifiers for providing end-to-end IP connectivity is critical. + +Identity processing is comprised of identity management, object mapping, and ID/LOC separation. This Recommendation focuses on object mapping using IPv6. + +![Figure 6-2: Object identification through identity processing in IPv6-based NGN. The diagram is divided into three main sections: Layered architecture, Identity processing, and Scope. Layered architecture shows three layers: Applications (Person, objects), Services (Service stratum), and Networks (Transport stratum). Identity processing shows a flow from User/object identities (Name attributes) through Identification/authorization to Object IDs (Device ID, content ID, telephone number, URL/URI, etc.), and then through Mapping/binding to IPv6 address (Session/protocol ID, IPv6 address, MAC address, etc.). Scope shows a vertical flow from Identity management to Object mapping (highlighted with a dashed orange border) to ID/LOC separation, all within an IPv6-based NGN context. A reference Y.2055(11)_F6-2 is at the bottom right.](27b06ec9f42b5d727a2630f61a5f1861_img.jpg) + +The diagram illustrates the process of object identification through identity processing in an IPv6-based NGN. It is structured into three main columns: Layered architecture, Identity processing, and Scope. + +- Layered architecture:** This column shows three distinct layers separated by dashed lines: + - Applications (Person, objects):** The top layer, represented by a yellow box. + - Services (Service stratum):** The middle layer, represented by a green box. + - Networks (Transport stratum):** The bottom layer, represented by an orange box. +- Identity processing:** This column shows the flow of identity processing across the layers: + - User/object identities:** An oval at the top, associated with "Name (attributes)". + - Identification/authorization:** A purple box in the middle layer, connected to the top oval by a double-headed arrow. + - Object IDs:** An oval at the bottom of the middle layer, associated with "Device ID, content ID, telephone number, URL/URI, etc.". + - Mapping/binding:** A purple box at the bottom, connected to the Object IDs oval by a double-headed arrow. + - IPv6 address:** An oval at the bottom, associated with "Session/protocol ID, IPv6 address, MAC address, etc.". +- Scope:** This column shows the scope of the process within an "IPv6-based NGN": + - Identity management:** A box at the top. + - Object mapping:** A box in the middle, highlighted with a dashed orange border. + - ID/LOC separation:** A box at the bottom. + +Reference: Y.2055(11)\_F6-2 + +Figure 6-2: Object identification through identity processing in IPv6-based NGN. The diagram is divided into three main sections: Layered architecture, Identity processing, and Scope. Layered architecture shows three layers: Applications (Person, objects), Services (Service stratum), and Networks (Transport stratum). Identity processing shows a flow from User/object identities (Name attributes) through Identification/authorization to Object IDs (Device ID, content ID, telephone number, URL/URI, etc.), and then through Mapping/binding to IPv6 address (Session/protocol ID, IPv6 address, MAC address, etc.). Scope shows a vertical flow from Identity management to Object mapping (highlighted with a dashed orange border) to ID/LOC separation, all within an IPv6-based NGN context. A reference Y.2055(11)\_F6-2 is at the bottom right. + +**Figure 6-2 – Object identification through identity processing in IPv6-based NGN** + +### 6.3 Requirements for object mapping using IPv6 + +As described in clause 6.1, there are many kinds of identifiers. Using these identifiers, devices are recommended to be reachable to the other users or devices. For managing a large number of different identifiers to use IPv6 network infrastructure, it is recommended to use both the location information of the IPv6 address and the unique information of identifiers. + +Accordingly, it is recommended to combine the IPv6 address with identifiers for end-to-end connectivity. Based on the identifier, the current IPv6 address structure would be changed to include the information of identifiers. Thus, the efficient combining method between the IPv6 address and the object ID is required as an example of address mapping. + +Figure 6-3 shows address mapping (binding) with the IPv6 address for IPv6-based networking. The mechanism which maps/binds the IPv6 address and several identifiers can provide reachability to enable ubiquitous access to objects. Each identifier can be addressable in the IPv6-based NGN. The reachable scope can be defined by the IPv6 prefix used. Location computation software could directly communicate with devices from anywhere within the IPv6-based NGN. + +![Diagram illustrating the mapping or binding between IPv6 address and object IDs in IPv6-based NGN. The diagram shows a layered architecture with three horizontal lines representing layers. At the top layer, there are several colored boxes representing object IDs: EUI-64 (orange), ITU-T E.164 (blue), Serial number (yellow), Device identifier (green oval containing three blue circles), URL (yellow), and VPN group (purple). At the bottom layer, there is a large yellow oval labeled 'IPv6-based NGN'. Dashed arrows point from each of the top-layer boxes down to the bottom-layer oval. A red text label 'Mapping/binding with IPv6 address' is positioned in the middle layer, with dashed arrows pointing from it to the 'Device identifier' box and the 'IPv6-based NGN' oval. The diagram is labeled 'Y.2055(11)_F6-3' in the bottom right corner.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Diagram illustrating the mapping or binding between IPv6 address and object IDs in IPv6-based NGN. The diagram shows a layered architecture with three horizontal lines representing layers. At the top layer, there are several colored boxes representing object IDs: EUI-64 (orange), ITU-T E.164 (blue), Serial number (yellow), Device identifier (green oval containing three blue circles), URL (yellow), and VPN group (purple). At the bottom layer, there is a large yellow oval labeled 'IPv6-based NGN'. Dashed arrows point from each of the top-layer boxes down to the bottom-layer oval. A red text label 'Mapping/binding with IPv6 address' is positioned in the middle layer, with dashed arrows pointing from it to the 'Device identifier' box and the 'IPv6-based NGN' oval. The diagram is labeled 'Y.2055(11)\_F6-3' in the bottom right corner. + +**Figure 6-3 – Mapping or binding between IPv6 address and object IDs in IPv6-based NGN** + +## **7 Mapping architecture and relationship between identities** + +### **7.1 Mapping architecture between identifiers** + +#### **7.1.1 Classification of network entities to be identified** + +Networks are comprised of entities and these network entities have a layered architecture which is used for naming, addressing and routing as shown in Figure 7-1. + +- Services (i.e., information related to applications/services such as object ID) +- End points (i.e., IP termination points with globally unique identifier) +- Location (i.e., IPv6 address) +- Path (i.e., routing between network attachments). + +In particular, for object-to-object communications, information for several kinds of object on top of end points should be identified in the network. + +#### **7.1.2 Layered mapping architecture between identifiers** + +The architecture in Figure 7-1 has the following relationship at each layer. + +A service is an entity that is either an instance of a specific application service or a specific data object. The identity of the object persists over time and is not tied to the end system hosting the service or data. An application layer has a capability for object mapping. + +A Location is identified with some sort of network address or locator. These locators often depend on the network topology and technology used. The network layer includes the locator information of the host which resides in a node in a network. ID/LOC separation can be performed in this layer. + +A Path represents a physical route between physical devices for connectivity (e.g., PoA). + +![Figure 7-1: Layered mapping architecture between identifiers. The diagram shows three layers: Application, Network layer, and Connectivity. In the Application layer, 'Object ID' (blue square) is mapped to 'Service' (dashed line) and then to 'Object ID' (blue square) on the right, labeled 'Object Mapping' in red. In the Network layer, 'IPv6 address' (yellow square) is mapped to 'Location' (dashed line) and then to 'IPv6 address' (yellow square) on the right, labeled 'ID/LOC Separation' in blue. In the Connectivity layer, 'Point of attachment' (green square) is mapped to 'Path' (solid line) and then to 'Point of attachment' (green square) on the right, labeled '(i.e., routing)'. Vertical lines connect the squares across layers, and a horizontal line connects the green squares in the Connectivity layer.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Figure 7-1: Layered mapping architecture between identifiers. The diagram shows three layers: Application, Network layer, and Connectivity. In the Application layer, 'Object ID' (blue square) is mapped to 'Service' (dashed line) and then to 'Object ID' (blue square) on the right, labeled 'Object Mapping' in red. In the Network layer, 'IPv6 address' (yellow square) is mapped to 'Location' (dashed line) and then to 'IPv6 address' (yellow square) on the right, labeled 'ID/LOC Separation' in blue. In the Connectivity layer, 'Point of attachment' (green square) is mapped to 'Path' (solid line) and then to 'Point of attachment' (green square) on the right, labeled '(i.e., routing)'. Vertical lines connect the squares across layers, and a horizontal line connects the green squares in the Connectivity layer. + +**Figure 7-1 – Layered mapping architecture between identifiers** + +One purpose of defining a layered architecture is to provide mappings (bindings) between entities at different levels. With mappings (bindings), identities of entities become location independent. Furthermore, different types of mobility, such as for nodes and services, become possible without resorting to add-on mechanisms. + +### 7.2 Mapping relationships between identifiers + +For object mapping, two mapping relationship could be considered as follows (see Figure 7-2): + +#### - Direct mapping + +An object at the application layer is directly reachable to the host entity at the PoA to which the IP is terminated. This object is located on top of the TCP/IP protocol stack (e.g., objects inside a server). + +#### - Indirect mapping + +An object at the application layer is remotely reachable through the non-IP interface to the host entity at the PoA to which IP is terminated. This object is located outside the physical network attachment to which IP is terminated. + +Indirect mapping can additionally support advanced mobility schemes, such as moving objects, and explicitly control middle boxes. Indirect means that the name of an entity does not bind "down" within the same node, but sideways to another location where an intermediary takes care of forwarding the communication to the entity's actual location. A simple application of this mechanism enables servers to operate behind a gateway without explicit configuration. + +![Figure 7-2 – Mapping relationship between identifiers. (a) Direct mapping: A Host contains an Object ID (blue box), an IPv6 address (yellow box), and a Point of attachment (green box). The IPv6 address is connected to the Point of attachment, which is connected to an IP interface. (b) Indirect mapping: A Host contains an IPv6 address (yellow box) and a Point of attachment (green box). The IPv6 address is connected to the Point of attachment, which is connected to an IP interface. A dashed arrow points from the IPv6 address to an Object ID (blue box) located outside the Host, which is connected to a Non-IP interface (e.g., air interface).](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +Figure 7-2 illustrates two mapping relationships between identifiers. In (a) Direct mapping, a Host contains an Object ID (blue box), an IPv6 address (yellow box), and a Point of attachment (green box). The IPv6 address is connected to the Point of attachment, which is connected to an IP interface. In (b) Indirect mapping, a Host contains an IPv6 address (yellow box) and a Point of attachment (green box). The IPv6 address is connected to the Point of attachment, which is connected to an IP interface. A dashed arrow points from the IPv6 address to an Object ID (blue box) located outside the Host, which is connected to a Non-IP interface (e.g., air interface). + +Figure 7-2 – Mapping relationship between identifiers. (a) Direct mapping: A Host contains an Object ID (blue box), an IPv6 address (yellow box), and a Point of attachment (green box). The IPv6 address is connected to the Point of attachment, which is connected to an IP interface. (b) Indirect mapping: A Host contains an IPv6 address (yellow box) and a Point of attachment (green box). The IPv6 address is connected to the Point of attachment, which is connected to an IP interface. A dashed arrow points from the IPv6 address to an Object ID (blue box) located outside the Host, which is connected to a Non-IP interface (e.g., air interface). + +**Figure 7-2 – Mapping relationship between identifiers** + +#### 7.2.1 ID bindings under direct mapping + +The IPv6 address is a typical example of identifiers which are used for data transportation in IPv6-based NGN. Binding between the object ID and the IPv6 address is done in two ways, namely explicit binding and implicit binding. + +**Explicit binding** is a one-to-one association between the IPv6 address and the object ID. In most cases, it would be a mapping-table based mechanism. With each IPv6 address, the related object ID could be retrieved by checking against the mapping table. Explicit binding can also be used in the case of single IPv6 address mapping to multiple object IDs. In this case, the host is using the same IPv6 address to serve more than one service. The host sends the router solicitation (for stateless address configuration) or the DHCP request (for stateful address configuration) to request subnet prefix or IPv6 address. Next, the network attachment control function (NACF) [ITU-T Y.2014] allocates the subnet prefix or address; the service control functions may register the binding on the object ID and the IPv6 address. With this approach, the binding of object ID and IPv6 address is achieved at both the service stratum and transport stratum. + +**Implicit binding** is to implicitly embed the related object ID into the IPv6 address. Such information may be included in the subnet ID field of the IPv6 address. In the IPv6 network, every single device may have an address due to the huge addressing space. Some of these addresses may only be used for single services such as a remote monitoring device. In this case, the host sends router solicitation (for stateless address configuration) or DHCP request (for stateful address configuration) with service type information. According to some mapping relationship between the service type or ID and subnet prefix, router responses with router advertisement (for stateless address configuration) or DHCP response (for stateful address configuration) containing the subnet prefix of the corresponding service type/ID. For stateful address configuration, the host directly receives the IPv6 address with the embedded object ID information. For stateless address configuration, the host uses the received subnet prefix to generate an IPv6 address. With this approach, binding of object ID and IPv6 address is achieved implicitly. + +NOTE – ID binding under indirect mapping is out of scope in the Recommendation. + +## **8 Mechanisms for object mapping** + +### **8.1 ID bindings in NGN architecture** + +NGN architecture [ITU-T Y.2012] is basically composed of the service stratum and transport stratum. Service stratum has service control functions and the application/service support functions. Transport stratum further comprises transport functions and transport control functions. There are two major functions, NACF and resource admission control function (RACF) [b-ITU-T Y.2111], in transport control functions. Appendix II presents NACF functional architecture for NGN. + +The ID bindings involve the interaction between the service stratum and transport stratum, especially the service control functions and network access control functions. + +Explicit binding may happen after the network access. It is loosely coupled to the IPv6 address provisioning procedures. Implicit binding most likely happens at the time of IPv6 address allocation. As IPv6 supports DHCP-based stateful address allocation and RS or RA-based stateless address allocation, both cases need to be taken care of. + +Appendix III provides information flows of explicit binding and implicit binding. + +### **8.2 Object mapping mechanism** + +Figure 8-1 shows the basic mechanism of sending a data packet to an object and mappings (bindings). The relevant procedures include: + +- Find a node on which the required object resides. This requires finding the object and end point through object ID registration. Name resolution using domain name system (DNS) is optionally required. +- Find a network attachment point to which the node is connected. This requires finding a location. For this, a client obtains a binding information object ID and an IPv6 address. +- Find a path from the client to object(s). The client can directly connect to object(s) using routing. + +For object mapping, the following mapping tables are required: + +- DNS\_table: includes mapping information between the domain name and the IPv6 address of gateway (GW). +- Object\_GW\_table: includes mapping information between object IDs and the IPv6 address of GW. +- Object\_Port\_table: includes mapping information between object IDs and port numbers. + +The detailed protocols for object mapping mechanism are out of scope in this Recommendation. + +![Figure 8-1 – Object mapping mechanism diagram showing the flow from a Client through an IPv6-based NGN to Objects, involving DNS, Information server, and various tables.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +The diagram illustrates the object mapping mechanism in an IPv6-based NGN. It shows the interaction between a Client, an Information server, and various tables to route traffic to Objects. + +**DNS\_table** + +| Domain name | GW_IPv6 address | +|-----------------|-------------------| +| www.info.object | 2001::x:x:x:x:x:x | + +**Object\_GW\_table (many-to-one)** + +| Object ID | GW_IPv6 address | +|-----------|-------------------| +| X12345 | 2001::x:x:x:x:x:x | +| X12346 | | +| X12347 | | + +**Object\_Port\_table** + +| Object ID | Port | +|-----------|------| +| X12345 | 20 | +| X12346 | 21 | +| X12347 | 22 | + +The process involves the following steps: + +- Find location:** The Client sends a request to the Information server. The Information server performs **Name resolution** using the **DNS** table to find the GW\_IPv6 address. +- Find object (end point):** The Information server uses the **Object\_GW\_table** to find the GW\_IPv6 address for the specific Object ID. +- Find path:** The Information server uses the **Object\_Port\_table** to find the Port for the specific Object ID. +- Connect to object(s) using routing path:** The Client connects to the Objects via the GW (Gateway) and Hosts. + +The Client is **Directly reachable to object(s)**. + +Y.2055(11)\_F8-1 + +Figure 8-1 – Object mapping mechanism diagram showing the flow from a Client through an IPv6-based NGN to Objects, involving DNS, Information server, and various tables. + +**Figure 8-1 – Object mapping mechanism** + +## 9 Security considerations + +Basic considerations on security architecture for NGN are addressed in [ITU-T Y.2001] while security requirements of the NGN are described in [ITU-T Y.2701]. Concerning the specifics of ubiquitous networking, the various kinds of terminals, devices and contents that can be involved will have to conform to the security requirements of the network they are willing to attach. When attaching to the NGN, the corresponding authentication and authorization requirements, as described in [ITU-T Y.2702], are applicable. These requirements can be applied to IPv6-based NGN. + +In this Recommendation, objects involved in the IPv6-based NGN have their own identities and are interconnected involving more interactions throughout a dynamic and heterogeneous environment. Accordingly, security, including the design of the security architecture for a secure information discovery and delivery to users including persons and objects, is very crucial. + +## Appendix I + +### Examples of mapping between host and object(s) + +(This appendix does not form an integral part of this Recommendation.) + +This appendix introduces an example of mapping relationships between the host and object(s). + +#### 1 Host = Object (one-to-one mapping) + +When a host is equal to an object, there is a one-to-one mapping relationship between the host and the object. Most of the information technology (IT) devices such as personal computer (PC) are included in this case. + +For example, if one uses a telephone device, the device as host can be allocated a telephone number as an ID for the service and be treated the same as an object. + +#### 2 Host $\neq$ Object (one-to-many mapping) + +When a host is not equal to an object, there is a one-to-many mapping relationship between the host and object(s). + +There are two kinds of one-to-many mapping as follows: + +As shown in Figure I.1-a, Host including objects such as content servers: a host includes many objects and these objects should be identified using content ID, etc. + +As shown in Figure I.1-b, Host with remote objects: a host has many remote objects and these objects should be identified using identifiers. In this case, each object might be a non-IP. + +![Diagram (a) Host including objects (e.g., content server)](aa9441a5971655a79987d70fc551b26a_img.jpg) + +A light green rectangular box labeled 'Host' at the bottom contains three blue ovals, each labeled 'Object', stacked vertically. Below the last oval are three dots '...'. + +Diagram (a) Host including objects (e.g., content server) + +(a) Host including objects (e.g., content server) + +![Diagram (b) Host with remote objects](dc23d430e878eb71b8cd589984113940_img.jpg) + +A light green rectangular box labeled 'Host' on the left is connected by dashed lines to three yellow ovals on the right, each labeled 'Object'. The ovals are stacked vertically, with three dots '...' between the top and middle ovals, and between the middle and bottom ovals. Below the bottom oval is the text 'Remote objects (non IP)'. + +Diagram (b) Host with remote objects + +(b) Host with remote objects + +**Figure I.1 – Mapping between host and objects (one-to-many mapping)** + +## Appendix II + +### Network attachment control function (NACF) functional architecture + +(This appendix does not form an integral part of this Recommendation.) + +Figure II.1 describes the NACF functional architecture with the functional entities and the relevant reference points. The details for NACF are specified in [ITU-T Y.2014]. + +![Figure II.1 – NACF functional architecture diagram](10781f43062bf3e9601a1e086710556c_img.jpg) + +The diagram illustrates the NACF functional architecture. At the top, a box labeled 'Service Control Functions' is connected to the NACF block via a dashed line labeled 'S-TC1'. The NACF block is a large rectangle containing several functional entities: HGWC-FE, TUP-FE, TAA-FE, AM-FE, TLM-FE, and NAC-FE. These entities are interconnected with reference points: Ni, Nb, Nc, Nx, Ng, Ne, Nd, Na, and Nk. To the right of the NACF block is the MMCF block, which contains NID-FE, MLM-FE, and HDC-FE. It is connected to the NACF block via reference points M1, M2, and M13. Below the MMCF block is the RACF block, which contains PD-FE. It is connected to the NACF block via reference point Ru. At the bottom, the 'Transport Functions' block contains AR-FE, PE-FE, and L2HE-FE/L3HEF. It is connected to the NACF block via reference points TC-T1 and TC-Ux. On the left, the CPE block contains TE and HGW. It is connected to the Transport Functions block via reference point T-U1. On the right, a vertical bar labeled 'Other NGNs' is connected to the Transport Functions block. + +Figure II.1 – NACF functional architecture diagram + +**Figure II.1 – NACF functional architecture** + +The NACF comprises the following functional entities: + +- Network access control functional entity (NAC-FE) +- Access management functional entity (AM-FE) +- Transport location management functional entity (TLM-FE) +- Transport authentication and authorization functional entity (TAA-FE) +- Transport user profile functional entity (TUP-FE) +- Home gateway configuration functional entity (HGWC-FE) + +NOTE – Meaning of other terms used in Figure II.1: terminal equipment (TE), home gateway (HGW), access relay functional entity (AR-FE), policy enforcement functional entities (PE-FE), policy decision functional entity (PD-FE), network information distribution functional entity (NID-FE), mobile location management functional entity (MLM-FE), handover decision and control functional entity (HDC-FE). + +## Appendix III + +### Information flows of explicit binding and implicit binding + +(This appendix does not form an integral part of this Recommendation.) + +Figure III.1 shows the information flow of explicit binding and Figure III.2 shows the information flow of implicit binding. + +In the explicit binding case, the host obtains the IPv6 address or subnet prefix as usual. Service control functions must be able to do the event registration of ID bindings when a user logs on to the service. Object ID is part of the information in this event registration request from SCF to TLM-FE via reference point S-TC1. + +In the implicit binding case, the host gives the implicit indication of the service type it would like to access at the time of sending the address allocation request. The subnet ID of the prefix is allocated to the host, based on the service type information. TLM-FE can notify the SCF via reference point S-TC1 about the binding of the address and object ID without waiting for the user to log on to the service. + +NOTE – S-TC1 indicates the relationship between service stratum functional entity and transport control functional entity in [ITU-T Y.2012]. + +![Sequence diagram showing information flow for explicit and stateless address configuration between CPE, AR-FE, AM-FE, NAC-FE, TLM-FE, and SCF.](e636d7ccca0ad14c6b95201404324823_img.jpg) + +The diagram illustrates the information flow for explicit binding, divided into two scenarios: Stateful address configuration and Stateless address configuration. The participants involved are CPE, AR-FE, AM-FE, NAC-FE, TLM-FE, and SCF. + +**Stateful address configuration:** + +- 1. DHCP Request: CPE sends to AR-FE. +- 2.1. DHCP Response: AR-FE sends to CPE. +- 2.2 network location info: NAC-FE sends to TLM-FE. +- 3. Registration of ID bindings: TLM-FE sends to SCF. + +**Stateless address configuration:** + +- 1. RS: CPE sends to AR-FE. +- 2. Request prefix and configuration: AR-FE sends to AM-FE. +- 3. network location info: AM-FE sends to TLM-FE. +- 4. prefix and conf rsp: TLM-FE sends to AM-FE. +- 5. RA /w subnet prefix: AM-FE sends to CPE. +- 6. Registration of ID bindings: TLM-FE sends to SCF. + +Sequence diagram showing information flow for explicit and stateless address configuration between CPE, AR-FE, AM-FE, NAC-FE, TLM-FE, and SCF. + +Figure III.1 – Information flow of explicit binding + +![Sequence diagram showing information flow of implicit binding for stateful and stateless address configuration across CPE, AR-FE, AM-FE, NAC-FE, TLM-FE, and SCF.](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +``` + +sequenceDiagram + participant CPE + participant AR_FE as AR-FE + participant AM_FE as AM-FE + participant NAC_FE as NAC-FE + participant TLM_FE as TLM-FE + participant SCF + + rect rgb(255, 255, 255) + Note left of CPE: Stateful address +configuration + CPE->>AR_FE: 1. DHCP Req + AR_FE->>AM_FE: + AM_FE->>NAC_FE: + NAC_FE->>TLM_FE: 2. 1 inform address +and subnet ID + TLM_FE->>SCF: 3. Notification of ID +bindings + SCF-->>TLM_FE: + TLM_FE-->>NAC_FE: + NAC_FE-->>AM_FE: + AM_FE-->>AR_FE: + AR_FE->>CPE: 2.2 DHCP +Response /w +implicit binding + end + + rect rgb(255, 255, 255) + Note left of CPE: Stateless address +configuration + CPE->>AR_FE: 1. RS + AR_FE->>AM_FE: + AM_FE->>NAC_FE: + NAC_FE->>TLM_FE: 2.1 inform subnet +ID + TLM_FE->>SCF: 3. Notification of ID +bindings + SCF-->>TLM_FE: + TLM_FE-->>NAC_FE: + NAC_FE-->>AM_FE: + AM_FE-->>AR_FE: + AR_FE->>CPE: 2.2 RA /w +Implicit binding + end + +``` + +The diagram illustrates the information flow of implicit binding for two types of address configuration: stateful and stateless. The participants involved are CPE, AR-FE, AM-FE, NAC-FE, TLM-FE, and SCF. + +**Stateful address configuration:** + +- CPE sends a "1. DHCP Req" to AR-FE. +- The request propagates through AM-FE and NAC-FE. +- NAC-FE sends "2. 1 inform address and subnet ID" to TLM-FE. +- TLM-FE sends "3. Notification of ID bindings" to SCF. +- The response flows back from SCF through TLM-FE, NAC-FE, and AM-FE to AR-FE. +- AR-FE sends "2.2 DHCP Response /w implicit binding" back to CPE. + +**Stateless address configuration:** + +- CPE sends a "1. RS" (Router Solicitation) to AR-FE. +- The request propagates through AM-FE and NAC-FE. +- NAC-FE sends "2.1 inform subnet ID" to TLM-FE. +- TLM-FE sends "3. Notification of ID bindings" to SCF. +- The response flows back from SCF through TLM-FE, NAC-FE, and AM-FE to AR-FE. +- AR-FE sends "2.2 RA /w Implicit binding" (Router Advertisement) back to CPE. + +Sequence diagram showing information flow of implicit binding for stateful and stateless address configuration across CPE, AR-FE, AM-FE, NAC-FE, TLM-FE, and SCF. + +**Figure III.2 – Information flow of implicit binding** + +It is noted that for stateless address configuration, only the subnet prefix is sent via the router advertisement but not the whole address. In this case, the subnet prefix could be used as an ID for transport to be bound with an object ID. If there is a requirement on finer granularity of binding, it is possible to do the binding on the address and object ID. The host generates the address based on the received subnet prefix. Then it should inform the TLM-FE about that IPv6 address it generated. Following that, TLM-FE will notify the service control function with the enhanced or detailed binding information. + +## **Appendix IV** + +### **Examples for services using object mapping** + +(This appendix does not form an integral part of this Recommendation.) + +Using the object processing including identification and mapping, IPv6-based NGN can provide an integrated solution for personal location and management through identification/naming/ addressing including ID registration, location tracking, dynamic mobility control, and security using the following ubiquitous networking services: + +- IdM services for the management of the identity life cycle of objects including managing unique IDs, attributes, credentials, entitlements to consistently enforce business and security policies. +- Context-aware services for improving the usability and providing personalized services based on context recognition through adapting the service to the context. +- Location management services for real-time location tracking, monitoring, and information processing of moving objects similar to the supply chain management (SCM). +- Directory services for searching and retrieving information from a catalogue of well-defined objects, and domain name services for translating human-readable names into the IPv6 addresses that the network equipment needs to deliver information. + +## Bibliography + +- [b-ITU-T Y.2111] Recommendation ITU-T Y.2111 (2008), *Resource and admission control functions in next generation networks*. +- [b-ITU-T Y.2201] Recommendation ITU-T Y.2201 (2009), *Requirements and capabilities for ITU-T NGN*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | 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b/marked/Y/T-REC-Y.2062-201203-I_PDF-E/raw.md @@ -0,0 +1,633 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2062 + +(03/2012) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +# --- **Framework of object-to-object communication for ubiquitous networking in next generation networks** + +Recommendation ITU-T Y.2062 + +![ITU logo: a globe with red lightning bolts and the text 'ITU International Telecommunication Union'](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text "ITU" is written in a large, bold, blue font, and below it, the words "International Telecommunication Union" are written in a smaller, blue font. + +ITU logo: a globe with red lightning bolts and the text 'ITU International Telecommunication Union' + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Smart ubiquitous networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| Future networks | Y.3000–Y.3099 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2062** + +# **Framework of object-to-object communication for ubiquitous networking in next generation networks** + +## **Summary** + +Recommendation ITU-T Y.2062 describes the concept and high-level architectural model of object-to-object communication for ubiquitous networking in next generation networks (NGNs). It also presents requirements and a mechanism for identification of all objects and for providing connectivity to them. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2062 | 2012-03-29 | 13 | + +## **Keywords** + +NGN, object, ubiquitous networking. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2012 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|----------------------------------------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Term defined in this Recommendation ..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Ubiquitous networking in NGNs ..... | 3 | +| | 6.1 Overview of ubiquitous networking..... | 3 | +| | 6.2 Architectural model for ubiquitous networking ..... | 4 | +| 7 | Basic concept of object-to-object communication ..... | 7 | +| | 7.1 Objects in the ubiquitous networking environment..... | 7 | +| | 7.2 Characteristics of objects..... | 7 | +| 8 | Requirements of "connecting-to-anything" capability for ubiquitous networking..... | 8 | +| | 8.1 General requirements for object-to-object communication..... | 8 | +| | 8.2 Technical considerations for object-to-object communication ..... | 9 | +| 9 | A mechanism for object-to-object communication: identity processing for connecting to anything..... | 10 | +| 10 | Security considerations ..... | 12 | +| | Appendix I – Characteristics and examples of objects in the ubiquitous networking environment..... | 13 | +| | Appendix II – Ubiquitous networking applications and examples using object-to-object communication ..... | 15 | +| | Bibliography..... | 16 | + + + +## Recommendation ITU-T Y.2062 + +# Framework of object-to-object communication for ubiquitous networking in next generation networks + +## 1 Scope + +This Recommendation describes the concept and high-level architectural model of object-to-object communication for ubiquitous networking in next generation networks (NGNs). It also presents requirements and a mechanism for identification of all objects and for providing connectivity to them. This Recommendation covers the following items: + +- General overview of ubiquitous networking in NGNs from the end-user perspective +- Basic concept and high-level architectural model for object-to-object communication using NGNs +- Requirements and technical considerations of object-to-object communication for ubiquitous networking +- A mechanism for object-to-object communication. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2001] Recommendation ITU-T Y.2001 (2004), *General overview of NGN*. +- [ITU-T Y.2002] Recommendation ITU-T Y.2002 (2009), *Overview of ubiquitous networking and of its support in NGN*. +- [ITU-T Y.2291] Recommendation ITU-T Y.2291 (2011), *Architectural overview of next generation home networks*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [ITU-T Y.2702] Recommendation ITU-T Y.2702 (2008), *Authentication and authorization requirements for NGN release 1*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 context** [ITU-T Y.2002]: The information that can be used to characterize the environment of a user. + +NOTE – Context information may include where the user is, what resources (devices, access points, noise level, bandwidth, etc.) are near the user, at what time the user is moving, interaction history between person and objects, etc. According to specific applications, context information can be updated. + +**3.1.2 object** [ITU-T Y.2002]: An intrinsic representation of an entity that is described at an appropriate level of abstraction in terms of its attributes and functions. + +NOTE 1 – An object is characterized by its behaviour. An object is distinct from any other object. An object interacts with its environment including other objects at its interaction points. An object is informally said to perform functions and offer services (an object which makes a function available is said to offer a service). For modelling purposes, these functions and services are specified in terms of the behaviour of the object and of its interfaces. An object can perform more than one function. A function can be performed by the cooperation of several objects. + +NOTE 2 – Objects include terminal devices (e.g., used by a person to access the network such as mobile phones, Personal computers, etc.), remote monitoring devices (e.g., cameras, sensors, etc.), information devices (e.g., content delivery server), products, contents, and resources. + +**3.1.3 ubiquitous networking** [ITU-T Y.2002]: The ability for persons and/or devices to access services and communicate while minimizing technical restrictions regarding where, when and how these services are accessed, in the context of the service(s) subscribed to. + +NOTE – Although technical restrictions to access services and communicate may be minimized, other constraints such as regulatory, national, provider and environmental constraints may impose further restrictions. + +### **3.2 Term defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-----------------------------------| +| ANI | Application to Network Interface | +| API | Application Programming Interface | +| BT | Bio Technology | +| CT | Content Technology | +| ID | Identifier | +| IdM | Identity Management | +| IP | Internet Protocol | +| IT | Information Technology | +| ITS | Intelligent Transportation System | +| LAN | Local Area Network | +| LTE | Long Term Evolution | +| NGN | Next Generation Network | +| NT | Nano Technology | +| PC | Personal Computer | +| PDA | Personal Digital Assistant | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| RFID | Radio Frequency Identifier | +| UNI | User to Network Interface | + +| | | +|-------|-------------------------------------------------| +| URI | Uniform Resource Identifier | +| URL | Uniform Resource Locator | +| WiMAX | Worldwide Interoperability for Microwave Access | +| WLAN | Wireless Local Area Network | +| xDSL | Various types of Digital Subscriber Lines | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "is not recommended" indicate a requirement which is not recommended but which is not specifically prohibited. Thus, conformance with this Recommendation can still be claimed even if this requirement is present. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +## 6 Ubiquitous networking in NGNs + +### 6.1 Overview of ubiquitous networking + +The term "ubiquitous networking" as defined in clause 3.1.3 is used for networking capabilities to support various classes of applications and services which require the "Any services, any time, any where and any objects" operation using NGN-enabled capabilities. This networking capability should support person-to-person, person-to-object (e.g., device and/or machine), and object-to-object communications. + +For object-to-object communication, an object delivers information (e.g., sensor-related information) to another object, with or without the involvement of persons. + +Figure 1 shows a general network configuration for ubiquitous networking. Objects around us are connected to the network and communicate through the establishment of end-to-end connectivity between them. Objects which are not moving are called fixed objects. Objects which move from one place to another are called mobile objects. Logical objects (e.g., contents in a server, resources, etc.) are considered as entities to be connected. These objects are connected to an NGN via wired or wireless interfaces in a fixed environment (e.g., home, building, etc.) or mobile environment (e.g., vehicle). In particular, some physical objects (i.e., fixed objects and/or mobile objects) are connected as logical objects through their virtual representation to be identifiable. A gateway can be used as an intermediate node between object(s) and a network. Depending on communication environment, a home network can reside in the position of gateway. + +![Figure 1: General network configuration for ubiquitous networking. The diagram shows a central NGN cloud connected to various components. At the top left, 'Fixed/mobile objects' connect to a 'G/W' (Gateway) within a 'Home network' cloud via wireless interfaces (dashed lines). A 'Fixed object' connects to the NGN cloud via a wired interface (solid line). A 'Mobile object' connects to the NGN cloud via a wireless interface. On the right, 'Logical objects in a server' are connected to the NGN cloud via a wired interface. At the bottom left, 'Objects in a home/building' connect to a 'G/W' via wireless interfaces, which then connects to the NGN cloud via a wired interface. At the bottom right, 'Other networks' connect to the NGN cloud via wireless interfaces, and a 'Moving vehicle' is shown connected to these other networks via a wired interface. A legend at the bottom indicates that solid lines represent wired interfaces, dashed lines represent wireless interfaces, and a box labeled 'G/W' represents a Gateway.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Y.2062(12)\_F01 + +— Wired interface      - - - - Wireless interface      G/W Gateway + +Figure 1: General network configuration for ubiquitous networking. The diagram shows a central NGN cloud connected to various components. At the top left, 'Fixed/mobile objects' connect to a 'G/W' (Gateway) within a 'Home network' cloud via wireless interfaces (dashed lines). A 'Fixed object' connects to the NGN cloud via a wired interface (solid line). A 'Mobile object' connects to the NGN cloud via a wireless interface. On the right, 'Logical objects in a server' are connected to the NGN cloud via a wired interface. At the bottom left, 'Objects in a home/building' connect to a 'G/W' via wireless interfaces, which then connects to the NGN cloud via a wired interface. At the bottom right, 'Other networks' connect to the NGN cloud via wireless interfaces, and a 'Moving vehicle' is shown connected to these other networks via a wired interface. A legend at the bottom indicates that solid lines represent wired interfaces, dashed lines represent wireless interfaces, and a box labeled 'G/W' represents a Gateway. + +**Figure 1 – General network configuration for ubiquitous networking** + +### 6.2 Architectural model for ubiquitous networking + +From the architectural model for ubiquitous networking in Figure 2 of [ITU-T Y.2002] (reproduced here as Figure 2), enhanced capabilities for ubiquitous networking in NGNs include: + +- Connecting-to-anything capabilities +- Open web-based service environment capabilities +- Context-awareness and seamless capabilities +- Multi-networking capabilities +- End-to-end connectivity over interconnected networks. + +Among the specified capabilities, "connecting-to-anything" is tightly related to functionalities on the end-user side of NGNs. This Recommendation focuses mainly on object-to-object communication to support the connecting-to-anything capability for ubiquitous networking on the end-user side. + +![Figure 2: Connecting-to-anything in the architectural model for ubiquitous networking in an NGN. The diagram shows a three-layer architecture. At the top is 'Ubiquitous networking applications' containing 'Web service environments (IT + vehicle, health, etc.)'. This connects via an 'ANI' (Application Network Interface) to an 'Open interface (API)'. Below this is the 'NGN service and transport stratum' (yellow box) containing 'Context-awareness' (User and environmental status recognition), 'Seamlessness' (Any time, any where, any device, any content, always connected), and 'Multi-networking' (Unicast/multicast, multihoming, multi-interface, multi-path). This stratum connects via a 'UNI' (User Network Interface) to the 'End-user' (purple dashed box) containing 'Connecting to anything' (Personal device, RFID tag, sensor, smart card). It also connects via an 'NNI' (Network Network Interface) to 'Other networks' (green box) containing 'IPv4/IPv6 networks', 'Broadcasting networks', 'Mobile/wireless networks', and 'PSTN/ISDN'. A large orange arrow at the bottom indicates 'End-to-end connectivity' across the entire system.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Y.2062(12)\_F02 + +Figure 2: Connecting-to-anything in the architectural model for ubiquitous networking in an NGN. The diagram shows a three-layer architecture. At the top is 'Ubiquitous networking applications' containing 'Web service environments (IT + vehicle, health, etc.)'. This connects via an 'ANI' (Application Network Interface) to an 'Open interface (API)'. Below this is the 'NGN service and transport stratum' (yellow box) containing 'Context-awareness' (User and environmental status recognition), 'Seamlessness' (Any time, any where, any device, any content, always connected), and 'Multi-networking' (Unicast/multicast, multihoming, multi-interface, multi-path). This stratum connects via a 'UNI' (User Network Interface) to the 'End-user' (purple dashed box) containing 'Connecting to anything' (Personal device, RFID tag, sensor, smart card). It also connects via an 'NNI' (Network Network Interface) to 'Other networks' (green box) containing 'IPv4/IPv6 networks', 'Broadcasting networks', 'Mobile/wireless networks', and 'PSTN/ISDN'. A large orange arrow at the bottom indicates 'End-to-end connectivity' across the entire system. + +**Figure 2 – Connecting-to-anything in the architectural model for ubiquitous networking in an NGN** + +Figure 3 shows a high-level architectural model for object-to-object communication with an NGN based on architectural model for ubiquitous networking in Figure 2. + +![Figure 3: High-level architectural model for object-to-object communication with an NGN. The diagram shows a detailed view of the NGN architecture. At the top is 'Ubiquitous networking applications' connected via 'ANI' to the 'NGN' block. The 'NGN' block is divided into two main strata: the 'NGN service stratum' (green box) containing 'Application support functions and service support functions' and 'Service control and content delivery functions'; and the 'NGN transport stratum' (yellow box) containing 'Transport control functions' and 'Transport functions'. A 'Management functions' block (blue) is also shown. The 'NGN' block connects via a 'UNI' (User Network Interface) to the 'End-user functions' block. The 'End-user functions' block is divided into 'Objects' (purple box) containing 'Information storage', 'Information collection', 'Information processing', 'Communication', and 'Performing action'; and 'Gateway (Home network)' (white box) containing 'Applications' (Service, Transport) and 'H-TNI'. A 'IdM functions' block (orange) is also shown.](5a4e62bead259c258d069fd3663ea670_img.jpg) + +Y.2062(12)\_F03 + +Figure 3: High-level architectural model for object-to-object communication with an NGN. The diagram shows a detailed view of the NGN architecture. At the top is 'Ubiquitous networking applications' connected via 'ANI' to the 'NGN' block. The 'NGN' block is divided into two main strata: the 'NGN service stratum' (green box) containing 'Application support functions and service support functions' and 'Service control and content delivery functions'; and the 'NGN transport stratum' (yellow box) containing 'Transport control functions' and 'Transport functions'. A 'Management functions' block (blue) is also shown. The 'NGN' block connects via a 'UNI' (User Network Interface) to the 'End-user functions' block. The 'End-user functions' block is divided into 'Objects' (purple box) containing 'Information storage', 'Information collection', 'Information processing', 'Communication', and 'Performing action'; and 'Gateway (Home network)' (white box) containing 'Applications' (Service, Transport) and 'H-TNI'. A 'IdM functions' block (orange) is also shown. + +NOTE – H-TNI [ITU-T Y.2291] in end-user functions can be used for objects-to-object communication. + +**Figure 3 – High-level architectural model for object-to-object communication with an NGN** + +Capabilities for ubiquitous networking are highly distributed and interact with infrastructure (e.g., an NGN) which interconnects with various types of objects. The infrastructure aims to continuously capture, manage and provide data about objects for applications. The following functions are required for object-to-object communication within an NGN. + +#### **End-user functions** + +End-user functions provide a set of functionalities with or without gateway (or home network) for connecting and collaborating objects on the end-user side. To support ubiquitous networking applications, objects support functions for information storage, information collection, information processing, communication, and performing actions. + +Depending on the type of objects (see clause 7.2 and Appendix I), objects which have limited functionalities collaborate among other objects to provide additional functionality. Furthermore, objects need unique identifiers or names that can be used as a link in order to find and manage data to support ubiquitous networking applications. + +#### **NGN transport stratum** + +Due to the heterogeneities of objects, (e.g., different types of interfaces without supporting IP), there are restrictions to supporting a direct communication and data exchange between the objects. One of the functions of the transport stratum is to provide a bridge across this technological gap with end-user functions. + +The transport stratum supports the exchange of messages among objects and the given applications. The transport stratum also maintains the list of objects and implements address mapping accordingly. + +#### **NGN service stratum** + +The usage context and the situation of objects are changed during the lifespan of the physical objects. For instance, as objects move along the supply chain, change owner and location, and are faced with changing environmental and regulatory conditions, the respective objects have to support different, often unpredictable, application scenarios. In close interaction with the transport stratum, the service stratum provides the required software repositories, as well as monitoring functionality to capture the current situation. + +The function to establish highly available, scalable, and secure information management enables to automatically decide which portion of data is relevant in a given usage scenario and context. + +The data that have been captured or processed at the transport stratum have also to be filtered or aggregated carefully depending on the data density and accuracy required by the respective applications. Filtering and aggregation of data can be applied at multiple semantic levels. + +To find the requested information that may reside in different data storage systems distributed, locally managed data repositories, as well as a naming service, are supported. + +#### **Ubiquitous networking applications** + +Ubiquitous networking applications utilize and enrich the information that the underlying infrastructure provides in many ways. Data that have been previously collected by objects and persisted in repositories are used to support various applications among various stakeholders. + +NOTE – IdM functions and management functions are common functionalities to be considered both on the end-user side and in NGN service/transport strata. + +## 7 Basic concept of object-to-object communication + +### 7.1 Objects in the ubiquitous networking environment + +The object means the user or other entity that are connected to the network. It includes almost everything around us, such as remote monitoring and information devices, machine, or content. + +As shown in Figure 4, the types of objects on the end-user side include the following: + +- Personal devices +- Information devices +- RFID or sensors +- Contents +- Appliances +- Vehicles, trains, airplanes or any means of transportation. + +These objects associated with humans are connected to an NGN through the user to network interface (UNI) with heterogeneous networking environments in terms of network/access protocols and physical mediums. Various types of gateways and/or ad-hoc networks can be used to support connecting-to-anything capabilities with an NGN. + +![Conceptual diagram for 'connecting-to-anything' with an NGN. The diagram shows a vertical stack of object categories on the left, connected to a central network layer, which then connects to an NGN on the right. The object categories are: Personal devices (PC, phone, PDA, TV, camera), Info.devices (Server, database, navigation, meter), RFID/sensors (RFID tag, e-tag, smart card), Contents (Audio, video, doc, book), Appliances (Home, office, medical, surveillance), and Vehicles (Car, train, airplane). The central network layer includes Network protocols (- IP/non-IP), Access protocols (- xDSL, - Optical LAN, - WLAN, - WiMax, - LTE, - Femtocell, picocell (Different coverage)), (Intermediate systems/networks), Gateway (Indoor/outdoor gateway, reader), Ad-hoc networks (Wireless sensor net, vehicle-to-vehicle net), and Physical mediums (Wired/wireless (Multiple interfaces)). The connection is labeled 'Connecting to anything' and 'UNI'.](ddc7460821484f1ae2835c67955c554c_img.jpg) + +The diagram illustrates the concept of "connecting-to-anything" with an NGN. On the left, a vertical yellow bar represents the "Human" side, containing a list of object categories: Personal devices (PC, phone, PDA, TV, camera), Info.devices (Server, database, navigation, meter), RFID/sensors (RFID tag, e-tag, smart card), Contents (Audio, video, doc, book), Appliances (Home, office, medical, surveillance), and Vehicles (Car, train, airplane). These objects are connected to a central network layer. This layer includes "Network protocols" (- IP/non-IP), "Access protocols" (- xDSL, - Optical LAN, - WLAN, - WiMax, - LTE, - Femtocell, picocell (Different coverage)), "(Intermediate systems/networks)", a "Gateway" (Indoor/outdoor gateway, reader), "Ad-hoc networks" (Wireless sensor net, vehicle-to-vehicle net), and "Physical mediums" (Wired/wireless (Multiple interfaces)). A red line labeled "Connecting to anything" connects the objects to the central network layer. A dashed line labeled "UNI" (User to Network Interface) connects the central network layer to the "NGN" (Next Generation Network) on the right. + +Conceptual diagram for 'connecting-to-anything' with an NGN. The diagram shows a vertical stack of object categories on the left, connected to a central network layer, which then connects to an NGN on the right. The object categories are: Personal devices (PC, phone, PDA, TV, camera), Info.devices (Server, database, navigation, meter), RFID/sensors (RFID tag, e-tag, smart card), Contents (Audio, video, doc, book), Appliances (Home, office, medical, surveillance), and Vehicles (Car, train, airplane). The central network layer includes Network protocols (- IP/non-IP), Access protocols (- xDSL, - Optical LAN, - WLAN, - WiMax, - LTE, - Femtocell, picocell (Different coverage)), (Intermediate systems/networks), Gateway (Indoor/outdoor gateway, reader), Ad-hoc networks (Wireless sensor net, vehicle-to-vehicle net), and Physical mediums (Wired/wireless (Multiple interfaces)). The connection is labeled 'Connecting to anything' and 'UNI'. + +Figure 4 – Conceptual diagram for "connecting-to-anything" with an NGN + +### 7.2 Characteristics of objects + +Objects can be classified into several types as follows. + +- Physical object vs. logical object (e.g., content and resource) +- Mobility: fixed object vs. mobile object +- Tag: Active RFID vs. Passive RFID +- Size: common (normal) devices vs. tiny (small) devices + +- Power (energy): power supplied vs. power limited (for emergency) +- Manageability: managed by human vs. managed by device human intervened or not +- Different networking capabilities: IP vs. non-IP + - In most cases, an unattended (constrained) device communicating with others objects in a potentially very large scale environment + +Objects in an ubiquitous networking environment have the following characteristics: + +- Heterogeneous access interfaces +- Lightweight protocol for low power consumption +- Different amount of information transactions. + +Appendix I provides characteristics and examples of each type of object according to the classification of objects in an ubiquitous networking environment. + +## **8 Requirements of "connecting-to-anything" capability for ubiquitous networking** + +### **8.1 General requirements for object-to-object communication** + +The following are general requirements for communications between objects in an NGN. + +- For connecting an object, it is required to identify each object to be connected to the network. +- In the case of small-sized objects with limited power, the capabilities of the communication objects are less compared to high processing computing devices. To cope with such constraints on objects, it is required to use lightweight protocols which remove unnecessary loads. +- For configuring objects automatically, it is recommended to provide a self-configuration functionality. +- Auto-discovery is required to connect any objects which are in the range of communication. +- Objects can be moved from one place to another and may be attached to another network with different technology. Object mobility management is required to provide seamless communication among mobile objects. +- Network size is increasing as a lot of objects are connected into the network. Scalable solutions are required in order to cope with the increase of traffic and routing table size and the shortage of IP addresses. +- To support end-to-end connectivity, each object is recommended to have a separate, unique IP address. Adequate address space enables the connection of large numbers of objects to the network. Otherwise, it is recommended that each object provide the direct connectivity to host or gateway with a unique IP address. +- It is required to provide QoS and QoE of required level. Important objects need to handle on time and with some level of accuracy without communication errors for reliable services. +- Security and privacy are required to be managed in the proper way as connection to many sophisticated objects might cause huge damage if security is breached. + +### **8.2 Technical considerations for object-to-object communication** + +Technical considerations for object-to-object communication of ubiquitous networking are as follows: + +#### **8.2.1 Identification** + +As there are various kinds of objects with different identifiers, it is required to support identification of each object and provide seamless communication through association with the network as well as the tracking of the object without restrictions of location. + +#### **8.2.2 Scalability** + +Scalability regarding addressing can be taken as an example. Object-to-object communication needs a huge number of IP addresses in order to uniquely identify each object. As a scalable solution, IPv6, which can accommodate as many objects as required to include in ubiquitous networking, can optionally be used. + +#### **8.2.3 Interoperability** + +Objects have different communication, information and processing capabilities. Each object is also subjected to very different conditions, such as power availability and a communication bandwidth requirement. The interoperability solution is required to be maintained to provide seamless interaction among objects. Otherwise, additional networking capabilities are required to be provided to support islands of objects in heterogeneous networks. + +#### **8.2.4 Service discovery** + +Suitable services for objects must be automatically identified. It is required to support an appropriate semantic means of describing their functionality. Self-configuration is required for each object to configure itself without manual/human intervention. For this, context information has critical roles to support context aware networking for changes of communication environments and to support semantic as the virtual representation of physical objects. + +#### **8.2.5 Data traffic** + +From the network perspective, it is difficult to handle a bulk amount of data if a large number of objects produce huge data depending on their applications/services. To solve this problem, it is required to develop solutions such as periodic communication between objects, data compression, and optimized traffic engineering. + +#### **8.2.6 Energy efficiency** + +As objects move around, it is difficult to connect to a power supply all the time and consequently they need to operate with a self-sufficient energy source. It is required to develop energy-efficient protocols to minimize power consumption and eliminate unnecessary communication procedure among objects. + +#### **8.2.7 Fault-tolerance** + +To maintain a robust, trustworthy and dynamic ubiquitous networking environment, it is required to support redundancy at several levels and ability in order to automatically adapt to abnormal conditions. + +#### **8.2.8 Security and privacy** + +Confidentiality, authenticity, and trustworthiness of communication partners are required to be maintained. Users may want to give objects limited service access so that they are not allowed to communicate in an uncontrolled manner. + +#### 8.2.9 Intelligence + +An object is required to cooperate intelligently with its environment. Sensing the current environment, and acting intelligently according to the situation, is required to support services using object-to-object communication. Objects act according to their predetermined set of actions or they collaborate with each other based on the current context. + +## 9 A mechanism for object-to-object communication: identity processing for connecting to anything + +Instead of existing network terminals, new types of devices, such as RFID, sensors or smart cards, lead the change for the ubiquitous networking which enables devices to communicate among themselves. Identification, naming, and addressing capabilities are essential for supporting 'connecting-to-anything' in the end-user domain. + +To support connecting-to-anything, there are specific technical considerations that take into account the following points: + +- identification of object(s) +- finding/tracking the location of object(s) +- providing the connectivity to the NGN in cooperation with naming and addressing. + +In ubiquitous networking, for object-to-object communications, information for several kinds of object on the top of end points should be identified in the network. A service is an entity that is either an instance of a specific application service or a specific data object. The identity of the object persists over time and is not tied to the end system hosting the service or data. + +Identification of all objects for providing end-to-end connectivity in the ubiquitous networking environment is crucial. Identifier(s) in ubiquitous networking is/are capable enough of identifying all relevant objects and facilitating object-to-object communications. In particular, the globally unique identifier(s) enable a great many applications, including tracking, access control and protection of objects. + +As shown in Figure 5, the layered architecture of an NGN requires specific processing capabilities at each layer. Each user and/or object in applications identifies by identity, like a name with a set of attributes of an entity. An attribute can be thought of as metadata that belongs to a specific entity in a specific context, some of which might be highly private or sensitive. The identity should be associated with object IDs (RFID, content ID, telephone number, URI, or URL) through identification and authorization. Each object ID should also be associated with communication IDs (session/protocol ID, IP address or MAC address) through mapping/binding. + +![Figure 5: Identity processing for connecting to anything. The diagram is divided into three columns: Layered architecture, Identity processing, and Identifiers. Layered architecture has three layers: Human (User/service mobility), Objects (Device mobility), and Network (Point of attachment). Identity processing shows a flow from User name (Attributes) to Object IDs to Communication IDs, with Identification/authorization and Mapping/binding processes. Identifiers lists Logical identities for services, RFID/content ID/telephone number/URL/URI, Session/protocol ID, IP address, and MAC address.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +Layered architecture + +Human (User/service mobility) + +Objects (Device mobility) + +Network (Point of attachment) + +Identity processing + +User name (Attributes) + +Object IDs + +Communication IDs + +Identification/authorization + +Mapping/binding + +Identifiers + +Logical identities for services + +RFID, content ID, telephone number, URL/URI, etc. + +Session/protocol ID + +IP address + +MAC address + +Y.2062(12)\_F05 + +Figure 5: Identity processing for connecting to anything. The diagram is divided into three columns: Layered architecture, Identity processing, and Identifiers. Layered architecture has three layers: Human (User/service mobility), Objects (Device mobility), and Network (Point of attachment). Identity processing shows a flow from User name (Attributes) to Object IDs to Communication IDs, with Identification/authorization and Mapping/binding processes. Identifiers lists Logical identities for services, RFID/content ID/telephone number/URL/URI, Session/protocol ID, IP address, and MAC address. + +**Figure 5 – Identity processing for connecting to anything** + +All objects (i.e., devices and contents) should be reachable by the other users/objects. Since managing a large number of different identification codes to use IP network infrastructure becomes vital, a mechanism is required to use both location information of the IP address and uniqueness of identification codes. + +For connecting to anything using object identification, Figure 6 shows object mapping/binding with the IP address for IP connectivity to all objects on the end-user side. It provides the global connectivity with an NGN to objects through the association (e.g., mapping/binding) between the identifier of the object and the IP address. + +![Figure 6: Object mapping/binding with an IP address for connecting to anything. The diagram shows a Host (e.g., server) and a Gateway connected to an NGN. The Host contains Objects (e.g., content) and an IP address. The Gateway contains Objects (e.g., device, product, sensor, etc.) and an IP address. A Non-IP interface connects the Host and Gateway. An IP interface connects the Gateway to the NGN. A Mapping binding process links an Identifier for object to an IP address, leading to Global connectivity with NGN.](df82d77a0d2637cbf2da9ea920a554fa_img.jpg) + +Host (e.g., server) + +Object (e.g., content) + +IP address + +Object (e.g., device, product, sensor, etc.) + +Gateway + +IP address + +Non-IP interface + +IP interface + +NGN + +Identifier for object + +Mapping binding + +IP address + +Global connectivity with NGN + +Y.2062(12)\_F06 + +Figure 6: Object mapping/binding with an IP address for connecting to anything. The diagram shows a Host (e.g., server) and a Gateway connected to an NGN. The Host contains Objects (e.g., content) and an IP address. The Gateway contains Objects (e.g., device, product, sensor, etc.) and an IP address. A Non-IP interface connects the Host and Gateway. An IP interface connects the Gateway to the NGN. A Mapping binding process links an Identifier for object to an IP address, leading to Global connectivity with NGN. + +**Figure 6 – Object mapping/binding with an IP address for connecting to anything** + +## **10 Security considerations** + +Basic considerations on security architecture for NGNs are addressed in [ITU-T Y.2001], while security requirements of the NGNs are described in [ITU-T Y.2701]. Concerning the specifics of ubiquitous networking, the various kinds of terminals, devices and contents that can be involved will have to conform to the security requirements of the network they are willing to attach. When attaching to the NGN, corresponding authentication and authorization requirements as described in [ITU-T Y.2702]. + +In this Recommendation, objects involved in NGNs have their own identities and are interconnected involving more interactions throughout a dynamic and heterogeneous environment. Accordingly, security is very crucial, including the design of the security architecture for a secure information discovery and delivery to users, including persons and objects. + +## Appendix I + +### Characteristics and examples of objects in the ubiquitous networking environment + +(This appendix does not form an integral part of this Recommendation.) + +Table I.1 shows characteristics and examples of each type of objects according to their classification. These objects are characterized by the following heterogeneities: order(s) of a magnitude bigger than the Internet, no computers or humans at endpoint, inherently mobile, disconnected, unattended, communication style and so on. + +**Table I.1 – Characteristics and examples of objects in the ubiquitous networking environment** + +| Types | | Characteristics | Examples | +|--------------|-------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Size | Small objects | Small in size, short communication range. | Sensor, tiny devices. | +| | Normal objects | No constraint in size. | Home appliances. | +| Mobility | Mobile objects | Moveable, continuous change in context information. | Car, bus, and train. | +| | Fixed objects | Do not move normally and can be connected to power grid. | Traffic light, building, bridge. | +| Power | Objects without power supply | Do not have continuous power, battery with fixed period of uses. | Sensor in outdoor, RFID. | +| | Objects with power supply | Connected with power supply, no need to be worried about energy consumption. | Home appliances. | +| Connectivity | Objects connected to physical world | Objects are connected to physical world to provide data and information about some real time phenomenon.
Objects are not only able to sense physical information but also able to react according to need. | Environment sensors (measuring temperature, pressure, humidity, rain).
Actuators, robots, automatic application triggering depend on context information. | +| | Intermittent connectivity | Objects communicate and collaborate intermittently (periodically or based on some contextual condition). | Sensor which sends data in every pre-defined time interval.
Actuator or robot which act according to its surrounding: increasing, lowering temperature, calling security, fire or emergency services based on environmental conditions. | +| Ability | Ability to sense and actuate | Object sense the environment where it is subjected.
Object can also react based on sensed information. | Normal sensors, actuators (senses and react dynamically). (Note) | + +**Table I.1 – Characteristics and examples of objects in the ubiquitous networking environment** + +| Types | | Characteristics | Examples | +|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|--------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------| +| People involvement | Object of interest of people | People can augment communication and computation properties on the physical objects. | Tagged food item, electric lamp with light sensor, video content with automatically pause and play capabilities, cup with thermometer. | +| | Objects managed by devices not people | These objects are managed by other devices rather than people themselves. | Smart meter managing light sensors around home, Home automation system managing automatic door and windows system. | +| Physical/ logical | Physical objects | All physical objects related to real time activities falls in this category. | Different sensors attached with physical objects (lamp, environment, tree). | +| | Logical objects | Can be identified as a resource or a virtual object by using a unique identifier. | Contents and resources (e.g., software, computing power, storage). | +| Object with tag | Object with active tag | Object can be tagged with active RFID tag. | Products attached with active RFID. | +| | Object with passive tag | Passive tag can be attached to objects which need to be uniquely identified. | Items tagged with passive RFID in shipping company, supermarket. | +| IP/ Non IP | IP enabled object | IP enabled objects are capable of having end to end connectivity. | Refrigerator in home which has own IP address, TV, electric lap with processing devices. | +| | Non IP enabled object | Non IP enabled objects participate in network with the help of some gateway or middleware which acts on behalf of the objects. | Non IP objects: tiny devices, products with active or passive RFID tag. | +|

NOTE – Classification according to different roles/names can be considered as follows:

  • – A sensor: device that measures a physical quantity and converts it to analogue or digital signal (e.g., power consumption and quality, vibration of an engine, pollution, temperature, motion detection).
  • – An actuator: device that controls a set of equipment (e.g., control and/or modulates the flow of a gas or liquid, control electricity distribution, perform a mechanical operation).
| | | | + +## Appendix II + +### Ubiquitous networking applications and examples using object-to-object communication + +(This appendix does not form an integral part of this Recommendation.) + +In the ubiquitous networking environment, applications can be newly created through the integration and combination of technologies such as bio technology (BT), nano technology (NT) and content technology (CT). Therefore, it is necessary to combine BT, NT and CT as well as information technology (IT) using ubiquitous networking capabilities. + +Communication networks have been mainly supporting the evolution of information processing and service capabilities within IT industries. However, the capabilities of networks benefiting from ubiquitous networking should impact other industries such as the medical industry, education industry, finance industry, transportation/distribution industry, etc., resulting in new requirements for specific services taking IT into consideration. + +![A circular diagram illustrating examples of ubiquitous networking applications. At the center is a yellow circle labeled 'Ubiquitous networking applications'. Surrounding this center are ten green arrows pointing clockwise, each labeled with an application area: Life, Disaster, Safety, Transportation, Education, Building, Supply chain, Health, and Life. The diagram is labeled 'Y.2062(12)_FII-1' at the bottom right.](a24e89a6fe9bb70c83f8bf5202baba95_img.jpg) + +Y.2062(12)\_FII-1 + +A circular diagram illustrating examples of ubiquitous networking applications. At the center is a yellow circle labeled 'Ubiquitous networking applications'. Surrounding this center are ten green arrows pointing clockwise, each labeled with an application area: Life, Disaster, Safety, Transportation, Education, Building, Supply chain, Health, and Life. The diagram is labeled 'Y.2062(12)\_FII-1' at the bottom right. + +**Figure II.1 – Examples of ubiquitous networking applications** + +As shown in Figure II.1, the technologies using connecting-to-anything capabilities can be used for the following applications/services in the convergence environment with IT: + +- IT + transportation: ITS, networked vehicle and telematics, navigation +- IT + education: online cyber learning system +- IT + building: IBS, home networking, etc. +- IT + supply chain: supply chain management, distribution system +- IT + health: remote diagnosis and medical experimentation +- IT + life: environment management, equipment management +- IT + disaster: disaster management, emergency alarming system +- IT + safety: finance, commerce, public peace. + +For supporting ubiquitous networking applications, NGNs shall solve technical considerations which are specified in clause 8. + +## Bibliography + +- [b-ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [b-ITU-T Y.2201] Recommendation ITU-T Y.2201 (2009), *Requirements and capabilities for ITU-T NGN*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git 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+1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:627b45f838ae04af76e57fbb273cb241da64d0cdf5bef5835ca372c50b67814a +size 105300 diff --git a/marked/Y/T-REC-Y.2068-201503-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2068-201503-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..21946ec12c59d8bfb07a81a20329d3d1ea7fcf28 --- /dev/null +++ b/marked/Y/T-REC-Y.2068-201503-I_PDF-E/raw.md @@ -0,0 +1,1157 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2068 + +(03/2015) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +# --- **Functional framework and capabilities of the Internet of things** + +Recommendation ITU-T Y.2068 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3999 | +|-----------------|---------------| + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.2068 + +# Functional framework and capabilities of the Internet of things + +## Summary + +Recommendation ITU-T Y.2068 provides a description of the basic capabilities of the Internet of things (IoT), based on the functional view, the implementation view and the deployment view of the IoT functional framework described in this Recommendation, in order to fulfil the IoT common requirements specified in Recommendation ITU-T Y.2066. + +This Recommendation also describes additional capabilities of the IoT for the integration of cloud computing and big data technologies with the IoT. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2068 | 2015-03-22 | 13 | 11.1002/1000/12419 | + +## Keywords + +Capability, deployment view, functional component, functional entity, functional framework, functional group, functional view, implementation view, Internet of things, IoT, IoT basic capabilities. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2015 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|----------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Concepts of the IoT functional framework..... | 3 | +| | 6.1 Openness and interoperability of the IoT capabilities..... | 3 | +| | 6.2 Completeness, implementability and applicability of the IoT capabilities .... | 3 | +| | 6.3 The different views of the IoT functional framework ..... | 3 | +| 7 | The IoT functional framework..... | 4 | +| | 7.1 The IoT functional framework in functional view ..... | 4 | +| | 7.2 The IoT functional framework in implementation view ..... | 6 | +| | 7.3 The IoT functional framework in deployment view..... | 9 | +| 8 | The IoT basic capabilities..... | 11 | +| | 8.1 Service provision capabilities..... | 11 | +| | 8.2 Communication capabilities ..... | 12 | +| | 8.3 Application support capabilities ..... | 13 | +| | 8.4 Data management capabilities ..... | 13 | +| | 8.5 Management capabilities ..... | 14 | +| | 8.6 Connectivity capabilities ..... | 16 | +| | 8.7 Security and privacy protection capabilities..... | 16 | +| 9 | IoT capabilities for integration of key emerging technologies ..... | 17 | +| | 9.1 Capabilities for integration of cloud computing technologies ..... | 17 | +| | 9.2 Capabilities for integration of big data technologies..... | 18 | +| 10 | Security considerations..... | 19 | +| | Annex A – The IoT capabilities list..... | 20 | +| | Appendix I – Matching analysis between requirements and capabilities of the IoT ..... | 37 | +| | I.1 Matching analysis of non-functional requirements of the IoT ..... | 37 | +| | I.2 Matching analysis of application support requirements of the IoT ..... | 38 | +| | I.3 Matching analysis of service requirements of the IoT ..... | 38 | +| | I.4 Matching analysis of communication requirements of the IoT ..... | 39 | +| | I.5 Matching analysis of device requirements of the IoT ..... | 40 | +| | I.6 Matching analysis of data management requirements of the IoT ..... | 41 | +| | I.7 Matching analysis of security and privacy protection requirements of the IoT ..... | 42 | +| | Bibliography..... | 43 | + + + +# Recommendation ITU-T Y.2068 + +# Functional framework and capabilities of the Internet of things + +# 1 Scope + +This Recommendation describes the functional framework of the Internet of things (IoT) in three different views, the IoT basic capabilities, and additional capabilities for the integration of cloud computing and big data technologies with the IoT. + +The scope of this Recommendation includes: + +- concepts of the IoT functional framework; +- the functional view, the implementation view and the deployment view of the IoT functional framework; +- the IoT basic capabilities fulfilling the common requirements of the IoT specified in [ITU-T Y.2066]; +- additional IoT capabilities for the integration of cloud computing and big data technologies with the IoT. + +All capabilities of the IoT specified in this Recommendation are numbered and summarized in Annex A. + +Appendix I provides an analysis of all capabilities of the IoT specified in this Recommendation in terms of matching with the common requirements of the IoT specified in [ITU-T Y.2066]. + +NOTE – The detailed specification of the capabilities identified in this Recommendation is outside the scope of this Recommendation. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through references in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|-------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.2012] | Recommendation ITU-T Y.2012 (2010), Functional requirements and architecture of next generation networks . | +| [ITU-T Y.2060] | Recommendation ITU-T Y.2060 (2012), Overview of the Internet of things . | +| [ITU-T Y.2066] | Recommendation ITU-T Y.2066 (2014), Common requirements of the Internet of things . | + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud computing** [b-ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications, and storage equipment. + +**3.1.2 device** [ITU-T Y.2060]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.3 functional entity** [ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +**3.1.4 Internet of things (IoT)** [ITU-T Y.2060]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.5 next generation network (NGN)** [b-ITU-T Y.2001]: A packet-based network able to provide telecommunication services and able to make use of multiple broadband, QoS-enabled transport technologies and in which service-related functions are independent from underlying transport-related technologies. It enables unfettered access for users to networks and to competing service providers and/or services of their choice. It supports generalized mobility which will allow consistent and ubiquitous provision of services to users. + +**3.1.6 thing** [ITU-T Y.2060]: With regard to the Internet of things, this is an object of the physical world (physical things) or the information world (virtual things), which is capable of being identified and integrated into communication networks. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-------------------------------------------| +| IoT | Internet of Things | +| MMCF | Mobility Management and Control Functions | +| NACF | Network Attachment Control Functions | +| NGN | Next Generation Network | +| QoS | Quality of Service | +| RACF | Resource and Admission Control Functions | +| TaaS | Things as a Service | + +# **5 Conventions** + +In this Recommendation: + +The keywords "**is required to**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "**can optionally**" and "**may**" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# **6 Concepts of the IoT functional framework** + +### **6.1 Openness and interoperability of the IoT capabilities** + +The openness of the IoT capabilities refers to opening the networking and service-provisioning functionalities of the IoT to stimulate the innovation ability for IoT technologies and applications development. Through an open, shared, collaborative approach, IoT applications can be developed effectively for business, industry, and social community. + +The openness of IoT capabilities can be realized by encapsulating IoT capabilities into service-provisioning interfaces. + +The "open IoT capabilities" refer to the set of the IoT capabilities that are required to be opened to IoT applications or users. These IoT capabilities should have open interfaces that can be accessed by IoT applications or users. + +The interoperability of the IoT capabilities can be realized by specifying the service-provisioning interfaces in a standardized way. + +The "interoperable IoT capabilities" refer to the set of the IoT capabilities that are required to interact between different IoT functional elements, especially when deployed by different service providers. These IoT capabilities are distributed across different functional elements, and collaboration between these different functional elements fulfils their functionalities. + +## **6.2 Completeness, implementability and applicability of the IoT capabilities** + +The completeness of the IoT capabilities refers to the fact that the whole set of IoT capabilities can fulfil all the common requirements of the IoT [ITU-T Y.2066]. + +NOTE – There may not be one-to-one mapping between IoT common requirements and IoT capabilities (i.e., one common requirement may involve multiple capabilities). + +The implementability of the IoT capabilities refers to the set of the IoT capabilities that can be implemented in the functional elements described in, or reasonably derived from, specifications of existing networks. + +The applicability of the IoT capabilities refers to the set of the IoT capabilities that can be deployed in the functional elements of the IoT implementations. + +The IoT capabilities specified in this Recommendation should fulfil the requirements of completeness, implementability and applicability. These characteristics of the IoT capabilities specified in this Recommendation are validated by the IoT functional framework. + +### **6.3 The different views of the IoT functional framework** + +The IoT functional framework consists of the IoT functional elements and their relations. In this Recommendation, the IoT functional framework can be described via three distinct views, i.e., the functional view, the implementation view and the deployment view. + +NOTE 1 – The three views reflect three different phases of development of the IoT, namely the design phase, implementation phase, and deployment phase. Each view describes IoT capabilities aiming to fulfil the requirements encountered in different phases of development of the IoT. + +NOTE 2 – The IoT functional elements in the functional view are named "functional groups". The IoT functional elements in the implementation view are named "functional entities". The IoT functional elements in the deployment view are named "functional components". + +The functional view identifies functional groupings of IoT capabilities. The functional view of the IoT functional framework consists of the IoT "functional groups", and their relations. The functional view of the IoT functional framework is used to describe the completeness of the IoT capabilities by establishing the relations of the IoT capabilities with the common requirements of the IoT. + +NOTE 3 – Functional groupings help to simplify the specification and analysis of the IoT capabilities. + +The implementation view identifies capabilities of the IoT when implementation of functional groupings is realized. The implementation view of the IoT functional framework consists of the IoT "functional entities", and their relations. The implementation view of the IoT functional framework is used to describe the implementability of the IoT capabilities by establishing the relations of the IoT capabilities with the functional entities described in, or reasonably derived from, specifications of existing networks. + +The deployment view identifies capabilities of the IoT when deployment of functional entities is realized. The deployment view of the IoT functional framework consists of the IoT "functional components" (such as gateway for IoT as specified in [b-ITU-T Y.2067]) and their relations. The deployment view of the IoT functional framework is used to describe the applicability of the IoT capabilities by establishing the relations of the IoT capabilities with the functional components deployed in concrete IoT implementations. + +The capabilities identified via the three views are the "basic IoT capabilities" which fulfil the common requirements of the IoT [ITU-T Y.2066] (see clause 8). Additional capabilities which fulfil some common requirements of the IoT [ITU-T Y.2066] are identified for the integration of cloud computing and big data technologies with the IoT (see clause 9). + +# **7 The IoT functional framework** + +### **7.1 The IoT functional framework in functional view** + +The IoT functional framework in functional view is to describe the IoT capabilities at the functional level in order to guarantee that the IoT capabilities can fulfil all common requirements of the IoT specified in [ITU-T Y.2066]. A practical way is to describe the IoT capabilities in groups corresponding to all categories of common requirements of the IoT as specified in [ITU-T Y.2066]. The IoT functional framework in functional view consists of groups of the IoT capabilities and their relationships. + +In this Recommendation, the groups of the IoT capabilities are named "IoT functional groups". The classification of the IoT functional groups is based on the following requirement categories specified in [ITU-T Y.2066]: application support requirements, service requirements, data management requirements, device requirements, communication requirements, security and privacy protection requirements, and non-functional requirements. + +IoT functional group names correspond to those of the requirement categories as follows: application support group, service provision group, data management group, connectivity group, communication group, security and privacy protection group and management group. + +#### **7.1.1 The IoT functional groups** + +The application support group is defined as a group of the IoT capabilities that can fulfil the requirements specified in the category of application support requirements [ITU-T Y.2066]. + +NOTE 1 – Based on the specifications of the category of application support requirements in [ITU-T Y.2066], this group of capabilities cannot be used directly by IoT users, but can be used by service providers. + +NOTE 2 – IoT user, service provider, data manager and thing are the four IoT actors as described in clause 6 of [ITU-T Y.2066]. In this Recommendation, the term "thing" refers to "physical thing" as noted in clause 6.2.1 of [ITU-T Y.2066]. + +The service provision group is defined as a group of the IoT capabilities that can fulfil the requirements specified in the category of service requirements [ITU-T Y.2066]. + +NOTE 3 – Based on the specifications of the category of service requirements in [ITU-T Y.2066], this group of capabilities can be used by IoT users, service providers and things. + +The data management group is defined as a group of the IoT capabilities that can fulfil the requirements specified in the category of data management requirements [ITU-T Y.2066]. + +NOTE 4 – Based on the specifications of the category of data management requirements in [ITU-T Y.2066], this group of capabilities can be used by data managers. + +The connectivity group is defined as a group of the IoT capabilities that can fulfil the requirements specified in the category of device requirements [ITU-T Y.2066]. + +NOTE 5 – Based on the specifications of the category of device requirements in [ITU-T Y.2066], this group of capabilities can be used by data managers and things. + +The communication group is defined as a group of the IoT capabilities that can fulfil the requirements specified in the category of communication requirements [ITU-T Y.2066]. + +NOTE 6 – Based on the specifications of the category of communication requirements in [ITU-T Y.2066], this group of capabilities can be used by IoT users, service providers and things. + +The security and privacy protection group is defined as a group of the IoT capabilities that can fulfil the requirements specified in the category of security and privacy protection requirements [ITU-T Y.2066]. + +NOTE 7 – Based on the specifications of the category of security and privacy protection requirements in [ITU-T Y.2066], this group of capabilities can be used by IoT users, things, service providers and data managers. + +The management group refers to a group of the IoT capabilities that can fulfil some non-functional requirements, such as manageability, reliability, high availability. The management group includes the capabilities for managing the operations related to application support, service provision, data management, connectivity, and communication of the IoT. + +NOTE 8 – Based on the specifications of the category of security and privacy protection requirements in [ITU-T Y.2066], this group of capabilities can be used by IoT users, service providers or data managers. + +#### **7.1.2 Relations among the IoT functional groups** + +Figure 7-1 describes the IoT functional framework in functional view constituted by the IoT functional groups and the relations among these groups. The connectivity group is within the device layer defined in [ITU-T Y.2060], the communication, data management, service, and application support groups are within the network layer and the service support and application support layer defined in [ITU-T Y.2060]. + +![Figure 7-1: The IoT functional framework in functional view. The diagram shows a central dashed box representing the 'Network layer and service support and application support layer' and the 'Device layer'. Inside, 'Application support' and 'Service provision' are at the top, 'Data management' and 'Communication' are in the middle, and 'Connectivity' is at the bottom. Arrows show bidirectional relationships between 'Application support' and 'Service provision', 'Data management' and 'Communication', and 'Connectivity' and both 'Data management' and 'Communication'. 'Connectivity' also has bidirectional arrows to 'Application support' and 'Service provision'. To the left is an orange box for 'Security and privacy protection' and to the right is a yellow box for 'Management', both with bidirectional arrows to the central framework. The label 'Y.2068(15)_F7-1' is at the bottom right.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Figure 7-1: The IoT functional framework in functional view. The diagram shows a central dashed box representing the 'Network layer and service support and application support layer' and the 'Device layer'. Inside, 'Application support' and 'Service provision' are at the top, 'Data management' and 'Communication' are in the middle, and 'Connectivity' is at the bottom. Arrows show bidirectional relationships between 'Application support' and 'Service provision', 'Data management' and 'Communication', and 'Connectivity' and both 'Data management' and 'Communication'. 'Connectivity' also has bidirectional arrows to 'Application support' and 'Service provision'. To the left is an orange box for 'Security and privacy protection' and to the right is a yellow box for 'Management', both with bidirectional arrows to the central framework. The label 'Y.2068(15)\_F7-1' is at the bottom right. + +**Figure 7-1 – The IoT functional framework in functional view** + +The connectivity group provides services to the data management group and communication group. The connectivity group can provide services to the communication group and data management group triggered by requests. The security and privacy protection group configures and manages the security and privacy protection aspects of connectivity capabilities, and the management group configures and manages the other aspects of connectivity capabilities. + +The communication group provides communication services to the other functional group. The other functional groups use the communication services. The management group configures and manages the communication capabilities. The security and privacy protection group configures and manages the security and privacy protection aspects of communication capabilities. + +The data management group provides services to the other functional groups. The other functional groups request and configure the data management services. The management group configures and manages the data management capabilities. The security and privacy protection group configures and manages the security and privacy protection aspects of data management capabilities. + +The application support group requests services from the data management group and communication group, and these two groups can provide services to the application support group. The management group configures and manages the application support capabilities. The security and privacy protection group configures and manages the security and privacy protection aspects of application support capabilities. + +The service provision group requests services from the data management group and communication group, and these two groups can provide services to the service provision group. The management group configures and manages the service provision capabilities. The security and privacy protection group configures and manages the security and privacy protection aspects of the service provision capabilities. + +The security and privacy protection group configures and manages the security and privacy protection aspects of the capabilities in other functional groups. + +The management group configures and manages the capabilities, except the security and privacy protection aspects of these capabilities, in other functional groups. + +### 7.2 The IoT functional framework in implementation view + +In this Recommendation, the functional entities of the implementation view are only described by their capabilities without mentioning their detailed relationships. + +NOTE – There may be different implementation views based on different implementation approaches of the IoT. In this Recommendation, only one implementation view of the IoT functional framework is presented in order to describe and analyse the capabilities of the IoT. It is anticipated that there is no need to cover all possible implementation views of the IoT functional framework: the implementation view of the IoT is in fact only used for showing the implementability of the IoT capabilities, so one implementation view of the IoT is sufficient to show this possibility. + +#### 7.2.1 Structure of an implementation view + +An implementation view of the IoT functional framework consists of the functional entities of the IoT, and their high level relations. Figure 7-2 illustrates an implementation view of the IoT functional framework based on the IoT reference model specified in [ITU-T Y.2060] and the IoT common requirements specified in [ITU-T Y.2066], and building over functional entities described in the NGN functional architecture [ITU-T Y.2012]. + +![Figure 7-2: Implementation view of the IoT functional framework building over the NGN functional architecture. The diagram shows three layers: Service support and application support layer, Network layer, and Device layer. Each layer contains specific functional entities, some in green (IoT-specific) and others in purple/grey (NGN-based).](eefe19c5e14dc4d6c316b7f7fbb7d7d7_img.jpg) + +The diagram illustrates the implementation view of the IoT functional framework, structured into three layers building upon the NGN functional architecture: + +- Service support and application support layer:** Contains IoT-specific entities (green) and NGN-based entities (purple/grey). + - IoT-specific: IoT service control, IoT data management. + - NGN-based: Application support, Service provision, Service control, Content delivery. +- Network layer:** Contains IoT-specific and NGN-based entities. + - IoT-specific: IoT transport control. + - NGN-based: Transport control, Transport. +- Device layer:** Contains IoT-specific entities. + - IoT-specific: IoT gateway, IoT device, End-user device. + +On the left, a green box represents **IoT security and privacy protection**. On the right, a yellow box represents **Management and identity management**. Bidirectional arrows indicate interactions between the layers and the side entities. The label **Y.2068(15)\_F7-2** is located at the bottom right. + +Figure 7-2: Implementation view of the IoT functional framework building over the NGN functional architecture. The diagram shows three layers: Service support and application support layer, Network layer, and Device layer. Each layer contains specific functional entities, some in green (IoT-specific) and others in purple/grey (NGN-based). + +**Figure 7-2 – Implementation view of the IoT functional framework building over the NGN functional architecture** + +There are two classes of functional entities in this implementation view of the IoT functional framework, one is for the functional entities already specified for the NGN [ITU-T Y.2012], and another is for the functional entities specific to the IoT. + +The functional entities that are illustrated by green boxes in Figure 7-2 are the functional entities specific to the IoT (to be specified in this Recommendation), while the functional entities illustrated by differently coloured boxes are the functional entities described in [ITU-T Y.2012]. Among the functional entities described in [ITU-T Y.2012], the functional entities illustrated by the same colour belong to a single functional layer except the Management and Identity Management functional entity that crosses all functional layers of the IoT reference model [ITU-T Y.2060]. + +Even if some end-user functions are already mentioned in NGN Recommendations, these Recommendations only cover specifications on interactions between end-user functions and other NGN functions. There is no specification of end-user functions. In the implementation view, the end-user functions are needed to be described in order to cover the possibility that the IoT device capabilities are implemented in end-user functional entities. The "End-User" functional entity of NGN Recommendations enhanced with some IoT device capabilities is named as "End-User Device" functional entity in this Recommendation. + +NOTE 1 – A smart phone configured with sensors and associated application software is an implementation of the End-User Device functional entity. + +With respect to the functional entities already specified for the NGN, the Transport and Transport Control functional entities are in the network layer, and the Application Support, Service Provision, Service Control and Content Delivery functional entities are in the service support and application + +support layer. The Management and Identity Management functional entity crosses all functional layers. + +With respect to the functional entities specific to the IoT, the IoT Device, the IoT Gateway and the End-User Device functional entities are in the device layer, the IoT Transport Control functional entity in the network layer, the IoT Data Management and the IoT Service Control functional entities in the service support and application support layer. The IoT Security and Privacy Protection functional entity crosses all functional layers. + +NOTE 2 – The functional entities described in this Recommendation located in the service support and application support layer are only related with the generic support capabilities specified in [ITU-T Y.2060]. + +#### **7.2.2 Functional entities of an implementation view** + +The Transport functional entity illustrated in Figure 7-2 includes the access network functions, edge functions, core transport functions, gateway functions, and media handling functions as specified in [ITU-T Y.2012]. + +The Transport Control functional entity illustrated in Figure 7-2 includes resource and admission control functions (RACF), network attachment control functions (NACF), and mobility management and control functions (MMCF) as specified in [ITU-T Y.2012]. + +The Service Provision functional entity and the Application Support functional entity illustrated in Figure 7-2 include functions such as the gateway, registration, authentication and authorization functions at the application level as specified in [ITU-T Y.2012]. + +The Service Control functional entity illustrated in Figure 7-2 includes resource control, registration, and authentication and authorization functions at the service level for both mediated and non-mediated services as specified in [ITU-T Y.2012]. + +The Content Delivery functional entity illustrated in Figure 7-2 receives content from the Application Support functional entity and Service Provision functional entity, stores, processes, and delivers it to the End-User Device functional entity using the capabilities of the Transport functional entity, under control of the Service Control functional entity as specified in [ITU-T Y.2012]. + +The Management and Identity Management functional entity illustrated in Figure 7-2 includes management functions and identity management functions as specified in [ITU-T Y.2012]. + +The IoT Device functional entity contains the capabilities of connecting and monitoring things, or controlling things that fulfil the device requirements of the IoT specified in [ITU-T Y.2066]. + +The IoT Gateway functional entity contains the capabilities of interconnecting devices with networks, buffering and transferring data, and configuring and monitoring devices that fulfil some device requirements and some data management requirements of the IoT specified in [ITU-T Y.2066] and [b-ITU-T Y.2067]. + +The End-User Device functional entity contains the capabilities of time synchronization, collaboration among services or among devices, reliable and secure human body connectivity, automatic service, intelligent communication, and device mobility to fulfil some application support requirements, service requirements, communication requirements, and device requirements of the IoT specified in [ITU-T Y.2066]. + +NOTE – As the above capabilities can be distributed in different functional entities, the capabilities contained in the End-User Device functional entity are named by prefixing them with the term "end-user" in order to distinguish them from capabilities residing in other functional entities. + +The IoT Data Management functional entity contains the capabilities of semantic annotating, aggregating, storing, and transporting data of things that fulfil the data management requirements of the IoT specified in [ITU-T Y.2066]. + +The IoT Transport Control functional entity contains the capabilities of configuring and monitoring communication modes, autonomic networking, content-aware communication, and location-based communication that fulfil some communication requirements specified in [ITU-T Y.2066]. + +The IoT Service Control functional entity contains the capabilities of group management, time synchronization, collaboration among services, configuring and monitoring the semantic based services, autonomic services, location-based and context-aware services that fulfil some service requirements of the IoT specified in [ITU-T Y.2066]. + +The IoT Security and Privacy Protection functional entity contains the capabilities of performing the operations of security and privacy protection in communication, data management, and service provisioning. These capabilities fulfil some security and privacy protection requirements of the IoT specified in [ITU-T Y.2066]. + +## 7.3 The IoT functional framework in deployment view + +In this Recommendation, the functional components specified in the deployment view of the IoT functional framework are only described by their capabilities without mentioning their detailed relationships. + +NOTE – There may be different deployment views based on different deployment approaches of the IoT. In this Recommendation, only one deployment view of the IoT functional framework is presented in order to describe and analyse the capabilities of the IoT. It is anticipated that there is no need to cover all possible deployment views of the IoT functional framework in the Recommendation: the deployment view of the IoT is in fact only used for showing the applicability of the IoT capabilities, so one deployment view of the IoT is enough to show this possibility. + +### 7.3.1 Structure of a deployment view + +A deployment view of the IoT functional framework consists of its functional components and their high level relations. Figure 7-3 illustrates a deployment view of the IoT functional framework based on the IoT reference model specified in [ITU-T Y.2060], the IoT common requirements specified in [ITU-T Y.2066], and the NGN components described in the NGN functional architecture [ITU-T Y.2012]. + +![Figure 7-3: Deployment view of the IoT functional framework building over the NGN components. The diagram shows three stacked layers: Service support and application support layer, Network layer, and Device layer, connected by bidirectional arrows. The Service support layer contains IoT service controller, Service platform, IoT data server, and Service manager. The Network layer contains IoT network controller, Network manager, and Enhanced transport network. The Device layer contains IoT gateway, Device manager, IoT device, and End-user device.](c67d21fb3d9042e88cdc669f071b4e7c_img.jpg) + +``` + +graph TD + subgraph S_SAL [Service support and application support layer] + IoT_SC[IoT service controller] + SP[Service platform] + IoT_DS[IoT data server] + SM[Service manager] + end + + subgraph NL [Network layer] + IoT_NC[IoT network controller] + NM[Network manager] + ETN[Enhanced transport network] + end + + subgraph DL [Device layer] + IoT_GW[IoT gateway] + DM[Device manager] + IoT_D[IoT device] + EUD[End-user device] + end + + S_SAL <--> NL + NL <--> DL + +``` + +Y.2068(15)\_F7-3 + +Figure 7-3: Deployment view of the IoT functional framework building over the NGN components. The diagram shows three stacked layers: Service support and application support layer, Network layer, and Device layer, connected by bidirectional arrows. The Service support layer contains IoT service controller, Service platform, IoT data server, and Service manager. The Network layer contains IoT network controller, Network manager, and Enhanced transport network. The Device layer contains IoT gateway, Device manager, IoT device, and End-user device. + +**Figure 7-3 – Deployment view of the IoT functional framework building over the NGN components** + +The functional components that are illustrated by green boxes in Figure 7-3 are the functional components specific to the IoT (to be specified in this Recommendation), while the functional components illustrated by differently coloured boxes are the functional components described or partially described in [ITU-T Y.2012]. + +The deployment view of the IoT functional framework is only a logical approach for deploying IoT capabilities, and the functional components described in the deployment view can be mapped to physical components of some practical IoT deployments. + +The functional components of this deployment view are classified respectively into device layer, network layer, and service support and application support layer as specified in [ITU-T Y.2060]. The cross-layer capabilities specified in [ITU-T Y.2060] are assigned to different functional components (such as Device Manager, Network Manager and Service Manager), distributed in each functional layer, in order to simplify the description and analysis of the IoT capabilities. + +The IoT Device, IoT Gateway, End-User Device, and Device Manager functional components belong to the device layer. The Enhanced Transport Network, IoT Network Controller, and Network Manager functional components belong to the network layer. The IoT Data Server, IoT Service Controller, Service Platform, and Service Manager functional components belong to the service support and application support layer. + +NOTE – The functional components described in this Recommendation in the service support and application support layer are solely related to generic support capabilities specified in [ITU-T Y.2060]. + +#### **7.3.2 Functional components of a deployment view** + +The IoT Device functional component includes the capabilities of the IoT Device functional entity, capabilities of autonomic management and energy management, and capabilities of security and privacy protection. + +The IoT Gateway functional component includes capabilities of interconnecting IoT Devices with Enhanced Transport Network, capabilities of aggregating and transferring data of things as well as capabilities of the IoT Device functional component. + +The End-User Device functional component includes capabilities of existing networking terminal, and capabilities of the IoT Device functional components. + +The Device Manager functional component includes capabilities of identifying and managing devices within a defined domain, and capabilities of autonomic management. + +The Enhanced Transport Network functional component includes capabilities of transport and transport control as specified in [ITU-T Y.2012], and enhanced capabilities to fulfil some communication requirements specified in [ITU-T Y.2066]. + +The IoT Transport Controller functional component includes capabilities of configuring, monitoring, and controlling functionalities of the IoT related communication performed in the Enhanced Transport Network to fulfil communication requirements specified in [ITU-T Y.2066]. + +The Network Manager functional component includes capabilities of managing the Enhanced Transport Network, and capabilities of security and privacy protection in the Enhanced Transport Network. + +The IoT Data Server functional component includes capabilities of storing, querying and managing data of things, and contains database and data management related with data of things. + +The IoT Service Controller functional component includes capabilities of configuring, monitoring, and controlling functionalities of IoT application support and service provision performed in Service Platform to fulfil some application support requirements and service requirements of the IoT specified in [ITU-T Y.2066]. + +The Service Platform functional component includes capabilities of Application Support, Service Provision, Content Delivery, Service Control, and other enhanced capabilities to fulfil some application support requirements and service requirements specified in [ITU-T Y.2066]. + +The Service Manager functional component includes capabilities of managing both Service Platform and the IoT Service Controller, and capabilities of Security and Privacy Protection for Service Platform and for the IoT Service Controller. + +# **8 The IoT basic capabilities** + +The IoT basic capabilities in this Recommendation refer to the capabilities that fulfil the common requirements of the IoT as specified in [ITU-T Y.2066]. + +Clauses 8.1 to 8.7 describe the IoT basic capabilities. These same capabilities are numbered and summarized in Annex A. + +NOTE – In clauses 8.1 to 8.7, the capability numbers, as shown in Annex A, appear between square brackets at the end of the description of the corresponding capability. + +## **8.1 Service provision capabilities** + +Service provision capabilities include service prioritization, semantic based service, service composition, mobility service, autonomic service, location-based and context-aware service, service management, service discovery, service subscription, naming and addressing, virtual storage and processing capabilities, adaptable service provision, and service provision acknowledgement. + +- Service prioritization capability involves the abilities of providing services in different priorities, such as querying data or transferring data in different priorities [C-1-1]. +- Semantic based service capability involves the abilities of semantically annotating data or service, semantically querying data or semantically requesting services [C-1-2]. + +NOTE – Semantic based service capability enables the description and exchange of semantics between services in order to support, for example, automatic service customization. + +- Service composition capability involves the abilities of creating new services or customized services based on existing capabilities and user specific requirements [C-1-3]. +- Mobility service capability involves the abilities of remote access to the IoT, and remote authentication of users [C-1-4]. +- Autonomic service capability involves the abilities of automatic capturing, transferring, and analysing data of things, and automatic service provisioning based on predefined rules or policies [C-1-5]. +- Location-based and context-aware service capability involves the abilities of automatically provisioning services based on location and context information, and predefined rules or policies [C-1-6]. +- Service discovery capability involves the abilities of discovering IoT users, services, devices and things [C-1-7]. +- Service subscription capability involves the abilities of subscribing the needed services and associated data of things by IoT users [C-1-8]. +- Naming and addressing capability involves the abilities of creating, updating, deleting, querying names and addresses of users, devices and things [C-1-9]. +- Virtual storage and processing capability involves the abilities of providing storage and processing resources in a scalable way [C-1-10]. +- The capability of adaptable service provision involves the abilities of extending service configurations to provide new services as required by applications or users of the IoT in order to be adaptable to different applications or users of the IoT [C-1-11]. + +- The capability of service provision acknowledgement involves the abilities of acknowledging the correct service provision requested by applications or users of the IoT in order to support reliable service provision in the IoT [C-1-12]. + +## 8.2 Communication capabilities + +The communication group includes event-based communication, periodic communication, self-configuring for networking, self-healing for networking, self-optimizing for networking, self-protection for networking, multicast communication, unicast communication, broadcast communication, anycast communication, error control for communication, Quality of Service enabling communication, content-aware communication, location-based communication, transport acknowledgement and adaptable networking capabilities. + +- Event-based communication capability enables IoT devices and service provider to initiate communication based on predefined events [C-2-1]. +- Periodic communication capability enables IoT devices and service provider to periodically initiate communication based on predefined rules [C-2-2]. + +NOTE 1 – In the perspective of network performance, it is required that the usage of event-based or periodic communication capabilities be avoided, unless there is a specific reason to communicate using these capabilities. + +- Unicast communication capability enables the IoT to transfer messages from the source entity to single destination entity [C-2-3]. +- Multicast communication capability enables the IoT to transfer messages from the source entity to a group of destination entities simultaneously [C-2-4]. +- Broadcast communication capability enables the IoT to transfer messages to all destination entities of a given domain [C-2-5]. +- Anycast communication capability enables the IoT to transfer messages to any of the destination entities of a given domain [C-2-6]. +- The capability of error control for communications involves the abilities of ensuring correct message transfer from source entity to destination entity [C-2-7]. +- Quality of Service enabling communication capability provides mechanisms to enable support of Quality of Service for message transfer from source entity to destination entity [C-2-8]. +- The capability of self-configuring for networking involves the abilities of automatically configuring networking parameters based on discovered network interfaces and predefined rules [C-2-9]. +- The capability of self-healing for networking involves the abilities of automatically recovering from fault status of networking based on monitoring and predefined rules [C-2-10]. +- The capability of self-optimizing for networking involves the abilities of automatically optimizing networking operations based on monitoring and predefined rules [C-2-11]. +- The capability of self-protecting for networking involves the abilities of automatically protecting networking entities from harmful operations based on predefined rules [C-2-12]. +- Content-aware communication capability involves the abilities of selecting path and routing of messages based on content and predefined rules [C-2-13]. + +NOTE 2 – This capability can be used to block messages based on the specified content and predefined rules. + +- The capability of location-based communication involves the abilities of identifying locations and initiating communication control based on identified locations and predefined rules [C-2-14]. + +- The capability of transport acknowledgement involves the abilities of acknowledging the correct message delivery to support reliable communications as required by IoT applications [C-2-15]. +- The capability of adaptable networking involves the abilities of extending networking configurations for connecting to emerging communication networks of the IoT [ITU-T Y.2060] in order to be adaptable to different networking technologies [C-2-16]. + +## 8.3 Application support capabilities + +The application support group includes programmable interface provision, group management, time synchronization, orchestration, user management, and application operation acknowledgement capabilities. + +- The capability of programmable interface provision involves the abilities of supporting new services or customized services based on existing capabilities and application specific requirements [C-3-1]. +- The capability of group management involves the abilities of creating, modifying, deleting, and querying IoT groups, and adding, modifying, deleting and querying IoT group members [C-3-2]. +- The capability of time synchronization involves the abilities of synchronizing the time among related functional components in a reliable way, in order to support global or local time stamping for applications [C-3-3]. +- Orchestration capability involves the abilities of automatic arrangement and coordination of service provisioning or device operations in order to fulfil application specific requirements [C-3-4]. +- User management capability involves the abilities of creating, querying, updating and deleting IoT user profiles, and authenticating, authorizing, registering and auditing IoT users [C-3-5]. +- The capability of application support operation acknowledgement involves the abilities of acknowledging the correct operations requested by applications in order to support reliable application operations in the IoT [C-3-6]. + +## 8.4 Data management capabilities + +The data management group includes data storage, data processing, data querying, data access control, open information exchange, semantic data operation and autonomic data operation capabilities. + +- The capability of data storage involves the ability of storing data of things based on predefined rules and policies [C-4-1]. +- The capability of data processing involves the ability of data fusion and mining based on predefined rules and policies [C-4-2]. + +NOTE 1 – Data processing refers to a set of data operations in order to fulfil the application requirements. Data processing in the IoT includes collecting, representing, fusing, mining, and interpreting the data of things. From an application perspective, data processing can be regarded as data analysis that consists of data fusing and data mining. From an implementation perspective, the operation of data fusing includes data collection and data representation, and the operation of data mining includes data interpretation. + +- The capability of data querying involves the ability of querying information about things connected to the IoT [C-4-3]. +- The capability of data access control involves the abilities of controlling and monitoring data access operations by the owners of the data [C-4-4]. + +- The capability of open information exchange involves the abilities of sending data to or receiving data from external data sources, e.g., data centres and data servers outside the IoT [C-4-5]. +- The capability of semantic data operation involves the abilities of semantic annotating, semantic discovering, semantic storing, and semantic composing data of things to fulfil the requirements of IoT users or applications [C-4-6]. +- The capability of autonomic data operation involves the abilities of automatically collecting, aggregating, transferring, storing, analysing data of things, and automatically managing these data operations for support of operating data of things in a scalable way [C-4-7]. + +NOTE 2 – This capability can be used to face the impact of big data in the IoT. + +## **8.5 Management capabilities** + +The management group includes capabilities fulfilling the IoT interoperability requirements, capabilities fulfilling the IoT scalability requirements, capabilities fulfilling the IoT reliability requirements, capabilities fulfilling the IoT high availability requirements, and capabilities fulfilling the IoT manageability requirements. + +NOTE – The abilities involved in the management capabilities specified in this Recommendation may be operated in a remote way. Remote operation can be disabled based on security or other policy considerations. + +### **8.5.1 Capabilities fulfilling IoT interoperability requirements** + +The capabilities fulfilling the IoT interoperability requirements specified in [ITU-T Y.2066] include managing data models for exchanging data of things, managing service description, managing network configuration, managing device configuration, managing security policy, and managing privacy protection policy capabilities. + +- The capability of managing data models for exchanging data of things involves the abilities of creating, querying and updating data models for support of interoperability among IoT applications. This capability also includes the abilities of creating and updating data models for support of semantic interoperability among IoT applications [C-5-1]. +- The capability of managing service description involves the abilities of creating, querying and updating service description for support of service interoperability [C-5-2]. +- The capability of managing network configuration involves the abilities of creating, querying and updating network configuration for support of network interoperability [C-5-3]. +- The capability of managing device configuration involves the abilities of creating, querying and updating network configuration for support of device interoperability [C-5-4]. +- The capability of managing security policy involves the abilities of creating, querying and updating security policy for support of interoperability between different implementations of security policy [C-5-5]. +- The capability of managing privacy protection policy involves the abilities of creating, querying and updating privacy protection policy for support of interoperability between different implementations of privacy protection policy [C-5-6]. + +### **8.5.2 Capabilities fulfilling the IoT scalability requirements** + +The capabilities fulfilling the IoT scalability requirements specified in [ITU-T Y.2066] include managing distributed processing and managing multiple domains. + +- The capability of managing distributed processing involves the abilities of managing IoT functional components in a distributed way for support of IoT scalability [C-5-7]. +- The capability of managing multiple domains involves the abilities of managing IoT functional components in multiple domains for support of IoT scalability [C-5-8]. + +### **8.5.3 Capabilities fulfilling the IoT reliability requirements** + +The capabilities fulfilling the IoT reliability requirements specified in [ITU-T Y.2066] include redundant deployment enablement capability. + +- The capability of redundant deployment enablement involves the abilities of enabling deployment of redundant functional components of the IoT to guarantee reliability required in communication, service provision and data management [C-5-9]. + +### **8.5.4 Capabilities fulfilling the IoT high availability requirements** + +The capabilities fulfilling the IoT high availability requirements specified in [ITU-T Y.2066] include service integrity check, data integrity check, device integrity check, security integrity check and user integrity check capabilities. + +- The capability of service integrity check involves the abilities of checking the service lifetime, the available resources required to provide the service in order to guarantee the high availability of service provisioning [C-5-10]. +- The capability of data integrity check involves the abilities of checking the data lifetime, the available attributes of the data, and the consistency of data in order to guarantee the high availability of data management [C-5-11]. +- The capability of device integrity check involves the abilities of checking the status of all functions of device to guarantee the high availability of IoT devices [C-5-12]. +- The capability of security integrity check involves the abilities of checking the consistency of security policies deployed in all functional components of the IoT to guarantee the high availability of security in the IoT [C-5-13]. +- The capability of user profile integrity check involves the abilities of checking the lifetime, subscription, privacy protection and availability of services subscribed to by users to guarantee the high availability of service provisioning and privacy protection for users [C-5-14]. + +### **8.5.5 Capabilities fulfilling the IoT manageability requirements** + +The capabilities fulfilling the IoT manageability requirements specified in [ITU-T Y.2066] include managing devices, managing networks, managing services, managing data operations, managing security operations, managing privacy protection, managing user operations, and plug and play capabilities. + +- The capability of managing devices involves the abilities of configuring, monitoring, diagnosing and recovering devices of the IoT, and updating device software to enhance capabilities of devices of the IoT [C-5-15]. +- The capability of managing networks involves the abilities of configuring, monitoring, accounting and charging, optimizing, diagnosing and recovering networks of the IoT [ITU-T Y.2060], and updating network software to enhance capabilities of networks of the IoT [C-5-16]. +- The capability of managing services involves the abilities of describing, configuring, monitoring, accounting and charging, optimizing, recovering, and updating services of the IoT [C-5-17]. +- The capability of managing data operations involves the abilities of configuring, monitoring, accounting and charging, optimizing and recovering data operations, and updating software related with data operations to enhance capabilities of the IoT [C-5-18]. +- The capability of managing security operations involves the abilities of configuring, monitoring, auditing, diagnosing and recovering security operations, and updating software related with security operations to enhance capabilities of the IoT [C-5-19]. + +- The capability of managing privacy protection involves the abilities of configuring, monitoring, auditing and recovering privacy protection, and updating software related with privacy protection to enhance capabilities of the IoT [C-5-20]. +- The capability of managing user operations involves the abilities of configuring, monitoring, accounting and charging, optimizing, diagnosing and recovering operations of IoT users, and updating software related with operations of IoT users to enhance capabilities of IoT [C-5-21]. +- Plug and play capability involves the abilities of automatic configuring, connecting and activating devices of the IoT to enable on-the-fly semantic-based configuration and activation of IoT devices [C-5-22]. + +## **8.6 Connectivity capabilities** + +The connectivity group includes identification-based connectivity, things' status notification device mobility capability, and adaptable connectivity capabilities. + +- The capability of identification-based connectivity involves the abilities of establishing the connectivity based on the identification of things [C-6-1]. +- The capability of things' status notification involves the abilities of automatic notification of the status of things and its changes based on predefined rules [C-6-2]. +- The capability of device mobility involves the abilities of keeping the connectivity with the IoT when a device moves [C-6-3]. +- The capability of adaptable connectivity involves the abilities of extending connectivity configurations to enable connectivity of new types of devices to the IoT in order to be adaptable to different device technologies [C-6-4]. + +## **8.7 Security and privacy protection capabilities** + +The security and privacy protection group includes communication security capability, data management security capability, service provision security capability, security integration capability, mutual authentication and authorization capability, and security audit capability. + +- Communication security capability involves the abilities of supporting secure, trusted and privacy-protected communication [C-7-1]. +- Data management security capability involves the abilities of providing secure, trusted and privacy-protected data management [C-7-2]. +- Service provision security capability involves the abilities of providing secure, trusted and privacy-protected service provision [C-7-3]. +- Security integration capability involves the abilities of integrating different security policies and techniques related to the variety of IoT functional components [C-7-4]. +- Mutual authentication and authorization capability involves the abilities of authenticating and authorizing each other before a device accesses the IoT based on predefined security policies [C-7-5]. +- Security audit capability involves the abilities of monitoring any data access or attempt to access IoT applications in a fully transparent, traceable and reproducible way based on appropriate regulation and laws [C-7-6]. + +NOTE – These security and privacy protection capabilities include also the ability of coping with the security and privacy protection issues for operations across different domains. + +# **9 IoT capabilities for integration of key emerging technologies** + +The following clauses describe the IoT capabilities for integration of some key emerging technologies, in alignment with the IoT capabilities list provided in Annex A. In the following clauses, the capability numbers, as shown in Annex A, are put between square brackets "[ ]" and inserted at the end of each paragraph describing the corresponding capability. + +Clauses 9.1 and 9.2 describe the additional IoT capabilities for integration of cloud computing technologies and big data technologies. + +NOTE – This Recommendation does not prevent more additional capabilities for integration with the IoT of other emerging technologies, such as network function virtualization and software-defined networking, to be considered further. + +## **9.1 Capabilities for integration of cloud computing technologies** + +Owing to the high scalability, energy efficiency and deployment efficiency requirements of the IoT, there are some great challenges in the deployment of the IoT. Some key features of cloud computing technologies, such as virtualization and resource sharing, can help to improve scalability, energy efficiency (i.e., reduce the energy consumption) and deployment efficiency (e.g., reduce the memory and bandwidth usage) for the IoT. Additional capabilities for the integration of cloud computing technologies with the IoT are required. + +With the integration of cloud capabilities of the infrastructure capabilities type [b-ITU-T Y.3500] into the IoT, the IoT infrastructure can be deployed utilizing these cloud capabilities. In this way, the IoT infrastructure can increase its scalability for computing, data storage and other aspects, and also increase energy efficiency. The capability of accessing virtual processing resources and the capability of accessing virtual storage resources are required in order to integrate with cloud capabilities of the infrastructure capabilities type. + +- The capability of accessing virtual processing resources involves the abilities of adopting the capabilities specified in infrastructure capabilities type of cloud to use processing resource deployed in cloud [C-8-1]. +- The capability of accessing virtual storage resources involves the abilities of adopting the capabilities specified in infrastructure capabilities type of cloud to use storage resource deployed in cloud [C-8-2]. + +With the integration of cloud capabilities of the platform capabilities type [b-ITU-T Y.3500] into the IoT, the IoT can deploy its platform according to this type of cloud capability. In such a way, the IoT can provide flexibility for the usage of IoT application support and service support capabilities, e.g., IoT application providers can more easily deploy IoT applications based on the platform of the IoT. + +With the integration of cloud capabilities of the application capabilities type [b-ITU-T Y.3500] into the IoT, the IoT can deploy IoT applications according to this type of capability. In such a way, IoT applications can be used more flexibly. + +Things as a Service (TaaS) can be considered as a cloud service category whose things-related services (e.g., accessing, subscription and notification of things-related data, and management and control of things-related devices) are provided to cloud service customers. TaaS offers cloud capabilities of the platform capabilities type and/or application capabilities type based on the IoT infrastructure. Via TaaS, IoT applications and/or IoT users can easily use the desired things-related services (e.g., get the desired things-related data, and control the desired things-related devices). + +In order to integrate cloud computing technologies for implementation of TaaS, the additional capabilities of publishing things as services, summarizing data of things, and synchronizing data with things are required. + +- The capability of publishing things as services involves the abilities of adopting the capabilities specified in the platform capabilities type of cloud to deploy things-related services [C-8-3]. +- The capability of summarizing data of things involves the abilities of collecting and aggregating in the service support and application support layer of the IoT reference model [ITU-T Y.2060] the data of things related with the required things-related services for their provision to cloud users [C-8-4]. +- The capability of synchronizing data with things involves the abilities of creating, deleting, and updating the data of things just in time with respect to application requirements, based on the updated status of sensed things in order to guarantee the quality of TaaS [C-8-5]. + +NOTE – The above identified capabilities of publishing things as services, summarizing data of things and synchronizing data with things are additional capabilities that are required for the integration of cloud computing technologies with the IoT in order to provide TaaS, they are not part of the IoT basic capabilities specified in clause 8 of this Recommendation. + +## 9.2 Capabilities for integration of big data technologies + +The development of the IoT causes rapid growth of IoT data. As there will be a large number of devices connected with the IoT and a large number of IoT services will flourish, there will be a large amount of IoT data created and used in the IoT. + +Major characteristics of IoT data relevant for the integration of big data technologies into the IoT are: + +- a) Massive quantity (volume): the IoT infrastructure connects countless physical things and virtual things. These interactions and data aggregations produce huge data in the information world [ITU-T Y.2060], including not only the data collected by sensors, but also other data of the IoT infrastructure, e.g., other data concerning devices and data concerning networks, platforms and applications. +- b) Heterogeneity (variety): IoT data are heterogeneous (data types and sources). For instance, IoT data related to healthcare applications usually differ from those related to transportation applications, not only from a structure (i.e., format) point of view but also from a semantic point of view. +- c) Coexistence of structured and un-structured data (variety): structured data and un-structured data coexist in the IoT. Structured data are generally more efficient than un-structured data for data management. +- d) High speed of data generation and processing (velocity): the collection and aggregation at the IoT device layer of data from a huge number of data sources form constantly large and high speed flows; the support of IoT application requirements may require processing of the data of things at high speed, e.g., for applications requiring real-time decision making. +- e) Frequent update or change of the values of data (volatility): the values of data of things are changed or updated frequently over a period of time as they have to reflect the status of things, and update the services related with things, just in time as required by IoT applications. +- f) Contextualization: a lot of IoT data are meaningful only if they are collected and integrated with related contextual data in order to provide context-aware services. + +Data management capability of the IoT can be enhanced by big data technologies for transferring, storing, processing, validating and querying IoT data more efficiently, as well as for extracting information and actionable knowledge from IoT data. Besides, additional capabilities for the integration of big data technologies are also required. + +The required additional capabilities for the integration of big data technologies are the capabilities of adopting big data collection, adopting big data aggregation, adopting big data storage, adopting big data integration, adopting big data query, and adopting big data analysis. + +- The capability of adopting big data collection involves the abilities of adopting the technologies of big data collection [C-9-1]. +- The capability of adopting big data aggregation involves the abilities of adopting the technologies of big data aggregating from different sources in the device layer of the IoT reference model as specified in [ITU-T Y.2060] [C-9-2]. +- The capability of adopting big data storage involves the abilities of adopting the technologies of big data storing [C-9-3]. +- The capability of adopting big data integration involves the abilities of adopting the technologies of big data summarizing from different sources in the service support and application support layer of the IoT reference model as specified in [ITU-T Y.2060] [C-9-4]. +- The capability of adopting big data query involves the abilities of adopting the technologies of big data query [C-9-5]. +- The capability of adopting big data analysis involves the abilities of adopting the technologies of big data analysis [C-9-6]. + +# **10 Security considerations** + +Security is a fundamental aspect to be considered in IoT technical specifications. The security issues in IoT can be divided into two groups: one is about the usual security threats, and another is about privacy protection that is particularly significant in IoT. This Recommendation considers the security issues from both the IoT functional framework perspective and the IoT basic capabilities perspective. + +In the functional view of the IoT functional framework described in clause 7.1, the security and privacy protection functional group is specified. In the implementation view of the IoT functional framework described in clause 7.2, the IoT security and privacy protection functional entity is specified. In the deployment view of the IoT functional framework described in clause 7.3, the functional components of device manager, network manager, and service manager are specified to contain the capabilities of security and privacy protection. + +Among the IoT basic capabilities described in clause 8, the capabilities of security and privacy protection are described in clause 8.7, and the management capabilities related with security and privacy protection are described in clause 8.5. These capabilities fulfil the IoT common requirements on security and privacy protection specified in [ITU-T Y.2066]. + +# Annex A + +## The IoT capabilities list + +(This annex forms an integral part of this Recommendation.) + +Tables A.1 to A.9 list and number the capabilities identified in this Recommendation. + +Tables A.1 to A.9 have similar formats. + +The first column is headed "capability number" and assigns a number to each IoT capability. The numbering rule for each IoT capability is as follows: C--. For example, the first IoT capability described in clause 8.1 is numbered C-1-1. + +The second column is headed "capability name" and gives the name of each IoT capability. + +The third column is headed "capability summary" and briefly describes what the capability does. + +The fourth column is headed as "related requirement(s)" and describes the common requirement(s) specified in [ITU-T Y.2066] to be fulfilled by the capability. + +NOTE – One IoT capability may fulfil several requirements, and several IoT capabilities may fulfil the same single requirement. + +The fifth column is headed "associated component(s)" and lists the functional components (from clause 7.3) associated with the IoT capability. This column can be used to validate that the IoT capability can be implemented and deployed. + +**Table A.1 – List of service provision capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|-------------------|------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------|------------------------------------------| +| C-1-1 | Service prioritization | Service prioritization involves the abilities of providing services in different priorities, such as querying data or transferring data in different priorities. | Prioritization of services is required to fulfil the different service requirements of different groups of IoT users. | Service platform, IoT service controller | +| C-1-2 | Semantic based service | Semantic based service involves the abilities of semantic annotating data or service, semantic querying data, or semantic requesting services. | Semantic based services are required to support autonomic service provisioning. | Service platform, IoT data server | +| C-1-3 | Service composition | Service composition involves the abilities of creating customized services based on existing capabilities. | Service composition is required to support flexible service creation. | Service platform, service manager | + +**Table A.1 – List of service provision capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------| +| C-1-4 | Mobility service | Mobility service involves the abilities of remote accessing service platform, remote authenticating users, and remote requesting services. | Mobility services are required to support service mobility, user mobility and device mobility. | Service platform, service manager | +| C-1-5 | Autonomic service | Autonomic service involves the abilities of automatic capturing, transferring, and analysing data of things, and automatic providing services based on predefined rules or policies. | Autonomic services are required to enable automatic capture, communication and processing of data of things. | Service platform, service manager, IoT service controller | +| C-1-6 | Location-based and context-aware service | Location-based and context-aware service involves the abilities of automatic providing services based on the location information and related context and predefined rules or policies. | Location-based and context-aware services are required to enable flexible, user customized and autonomic services based on the location information and/or related context. | Service platform, service manager, IoT service controller | +| C-1-7 | Service discovery | Service discovery involves the abilities of discovering IoT users, services, devices and data of things. | Discovery services are required to support discover IoT users, services, devices and data of things. | Service manager, IoT data server, device manager | +| C-1-8 | Service subscription | Service subscription involves the abilities of subscribing the needed services and associated data of things by IoT users. | Service subscription support is required to allow the IoT user to subscribe the needed services and associated data of things. | Service manager, IoT data server | +| C-1-9 | Standardized naming and addressing | Standardized naming and addressing involves the abilities of creating, updating, deleting, querying names and addresses of users, devices and things. | Standardized naming and addressing is required to support interoperability among different domains. | Service manager, network manager, device manager | + +**Table A.1 – List of service provision capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|-----------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------| +| C-1-10 | Virtual storage and processing | Virtual storage and processing involves the abilities of providing storage and processing resources in a scalable way. | Virtual storage and processing capabilities are required to support storing and processing a large amount of data (big data). | Service platform, IoT data server | +| C-1-11 | Adaptable service provision | The capability of adaptable service provision involves the abilities of extending service configurations to provide new services as required by applications or users of the IoT in order to be adaptable to different applications or users of the IoT. | Adaptability to the new technologies emerging in the future is required in the IoT. | Service platform, service manager | +| C-1-12 | Service provision acknowledgement | The capability of service provision acknowledgement involves the abilities of acknowledging the correct service provision requested by applications or users of the IoT to support reliable service provision in the IoT. | Reliability in capabilities of the IoT, such as reliability in communication, service and data management capabilities of the IoT, is required. | Service platform | + +**Table A.2 – List of communication capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|---------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------|------------------------------------------------------------| +| C-2-1 | Event-based communication | Event-based communication capability enables IoT devices and service provider to initiate communication based on predefined events. | Event-based communication between devices or between IoT users is required to be supported. | IoT device, IoT gateway, end-user device, service platform | +| C-2-2 | Periodic communication | Periodic communication capability enables IoT devices and service provider to periodically initiate communication based on predefined events. | Periodic communication between devices or between IoT users is required to be supported. | IoT device, IoT gateway, end-user device, service platform | + +**Table A.2 – List of communication capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|-------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------| +| C-2-3 | Unicast communication | Unicast communication capability enables transport network to transfer messages from the source entity to single destination entity. | The support of the unicast communication mode between IoT users or devices is required. | Enhanced transport network | +| C-2-4 | Multicast communication | Multicast communication capability enables transport network to transfer messages from the source entity to a group of destination entities simultaneously | The support of the multicast communication modes is required to provide communication services within a group of IoT users or devices. | Enhanced transport network | +| C-2-5 | Broadcast communication | Broadcast communication capability enables transport network to transfer messages to all nodes of a given network area | The support of the broadcast communication modes is required to support the collaboration among IoT users or devices. | Enhanced transport network | +| C-2-6 | Anycast communication | Anycast communication capability enables transport network to transfer messages to any one node of a given network area. | The support of the anycast communication modes is required to support the collaboration among IoT users or devices. | Enhanced transport network | +| C-2-7 | Error control for communications | Error control for communications capability involves the abilities of ensuring to transfer data correctly from end to end. | Error control for communications is required to be supported. | IoT device, IoT gateway, end-user device, IoT network controller | +| C-2-8 | Quality of Service enabling communication | Quality of Service enabling communication capability provides some mechanisms to guarantee the delivery and processing of time-critical messages | Time-critical communications are required to be supported. | IoT device, IoT gateway, end-user device, IoT network controller | + +**Table A.2 – List of communication capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|---------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------| +| C-2-9 | Self-configuring for networking | The capability of self-configuring for networking involves the abilities of automatically configuring networking parameters based on discovered networking interfaces and predefined rules. | Autonomic networking is required. | IoT device, IoT gateway, end-user device, network manager | +| C-2-10 | Self-healing for networking | The capability of self-healing for networking involves the abilities of automatically recovering from fault status of networking based on monitoring results and predefined rules. | Autonomic networking is required. | IoT device, IoT gateway, end-user device, network manager | +| C-2-11 | Self-optimizing for networking | The capability of self-optimizing for networking involves the abilities of automatically optimizing networking operations based on monitoring results and predefined rules. | Autonomic networking is required. | IoT device, IoT gateway, end-user device, network manager | +| C-2-12 | Self-protecting for networking | The capability of self-protecting for networking involves the abilities of automatically protecting entities of networking from harmful operations based on predefined rules. | Autonomic networking is required. | IoT device, IoT gateway, end-user device, network manager | +| C-2-13 | Content-aware communication | Content-aware communication capability involves the abilities of identifying content and selecting path and routing messages based on content, or blocking messages based on content. | Content-aware communication is required for support of path selection and routing of communications based on content. | IoT device, IoT gateway, end-user device, IoT network controller | +| C-2-14 | Location-based communication | The capability of location-based communication involves the abilities of identifying locations and initiating communication based on predefined rules. | Location-based communication is required. | IoT device, IoT gateway, end-user device, IoT network controller | + +**Table A.2 – List of communication capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|---------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------| +| C-2-15 | Transport acknowledgement | The capability of transport acknowledgement involves the abilities of acknowledging correctly received messages to support reliable communications as required by IoT applications. | Reliability in capabilities of IoT, such as reliability in communication, service and data management capabilities of the IoT, is required. | Enhanced transport network, IoT device, IoT gateway, end-user device | +| C-2-16 | Adaptable networking | The capability of adaptable networking involves the abilities of extending networking configurations to connect with emerging IoT to be adaptable to different networking technologies. | Adaptability to the new technologies emerging in the future is required in the IoT. | Enhanced transport network, network manager, IoT device, IoT gateway, end-user device, device manager | + +**Table A.3 – List of application support capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------|--------------------------------| +| C-3-1 | Programmable interface provision | The capability of programmable interface provision involves the abilities of supporting new services or customized services based on existing capabilities and application specific requirements. | Programmable interfaces are required to be standardized to provide open access to application support capabilities. | Service platform | +| C-3-2 | Group management | The capability of group management involves the abilities of creating, modifying, deleting, and querying IoT groups, and adding, modifying, deleting and querying IoT group members. | Group management is required. | Service platform | + +**Table A.3 – List of application support capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------| +| C-3-3 | Time synchronization | The capability of time synchronization involves the abilities of synchronizing the time among related functional components in reliable way, in order to support global or local time stamping for applications. | Reliable time synchronization is required. | Service platform | +| C-3-4 | Orchestration | Orchestration capability involves the abilities of automatic arrangement and coordination of service provisioning or device operations to fulfil application specific requirements. | Collaboration is required. | IoT device, IoT gateway, end-user device, service platform | +| C-3-5 | User management | User management capability involves the abilities of creating, querying, updating and deleting IoT user profiles, and authenticating, authorizing, registering and auditing IoT users. | User management is required. | Service platform | +| C-3-6 | Application support operation acknowledgement | The capability of application support operation acknowledgement involves the abilities of acknowledging correct operations requested by applications to support reliable application operations in the IoT. | Reliability in capabilities of the IoT, such as reliability in communication, service and data management capabilities of the IoT, is required. | IoT data server, IoT gateway | + +**Table A.4 – List of data management capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|------------------------|-----------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------|--------------------------------| +| C-4-1 | Data storage | The capability of data storage involves the ability of storing data of things based on predefined rules and policies. | Storing data of things is required to be supported. | IoT data server, IoT gateway | + +**Table A.4 – List of data management capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|---------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------| +| C-4-2 | Data processing | The capability of data processing involves the ability of data fusion and mining based on predefined rules and policies. | Processing data of things is required to be supported. | IoT data server | +| C-4-3 | Data querying | The capability of data querying involves the ability of querying historical information about things | Querying historical data of things is required to be supported. | IoT data server | +| C-4-4 | Data access control | The capability of data access control involves the abilities of controlling and monitoring the data access operations by the owners of data. | Data access control by the data owners is required. | IoT data server | +| C-4-5 | Open information exchange | The capability of open information exchange involves the abilities of sending data to or receiving data from external data sources, e.g., data centres and data servers outside the IoT. | Data exchange with entities outside the IoT is required to be supported. | IoT data server | +| C-4-6 | Semantic data operation | The capability of semantic data operation involves the abilities of semantic annotating, semantic discovering, semantic storing and semantic composing data of things to fulfil the requirements of IoT users or applications | Semantic annotation and semantic access to data of things are required. Semantic storage, transfer and aggregation of data of things are required. | IoT data server, IoT gateway | +| C-4-7 | Autonomic data operation | The capability of autonomic data operation involves the abilities of automatically collecting, aggregating, transferring, storing, analysing data of things, and automatically managing these data operations for support of operating data of things in a scalable way. | Scalability is required to be supported in the IoT in order to handle a large amount of devices, applications and users. | IoT device, IoT gateway, end-user device, IoT data server | + +**Table A.5 – List of management capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|----------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------|----------------------------------------------------------| +| C-5-1 | Managing data models for exchanging data of things | The capability of managing data models for exchanging data of things involves the abilities of creating, querying and updating data models for support of interoperability among IoT applications. This capability also includes the abilities of creating and updating data models for support of semantic interoperability among IoT applications. | Interoperability is required to be ensured among heterogeneous IoT implementations. | IoT data server | +| C-5-2 | Managing service description | The capability of managing service description involves the abilities of creating, querying and updating service description for support of service interoperability. | Interoperability is required to be ensured among heterogeneous IoT implementations. | Service manager, service platform | +| C-5-3 | Managing network configuration | The capability of managing network configuration involves the abilities of creating, querying and updating network configuration for support of network interoperability. | Interoperability is required to be ensured among heterogeneous IoT implementations. | Network manager, enhanced transport network | +| C-5-4 | Managing device configuration | The capability of managing device configuration involves the abilities of creating, querying and updating network configuration for support of device interoperability. | Support for heterogeneous device related communication technologies is required. | Device manager, IoT device, IoT gateway, end-user device | +| C-5-5 | Managing security policy | The capability of managing security policy involves the abilities of creating, querying and updating security policy for support of interoperability between different implementations of security policy. | Interoperability is required to be ensured among heterogeneous IoT implementations. | Service manager, network manager, device manager | + +**Table A.5 – List of management capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| C-5-6 | Managing privacy protection policy | The capability of managing privacy protection policy involves the abilities of creating, querying and updating privacy protection policy to support interoperability between different implementations of privacy protection policy. | Interoperability is required to be ensured among heterogeneous IoT implementations. | Service manager, network manager, device manager | +| C-5-7 | Managing distributed processing | The capability of managing distributed processing involves the abilities of managing IoT functional components in a distributed way to support IoT scalability. | Scalability is required to be supported in IoT in order to handle a large number of devices, applications and users. | IoT data server, IoT service controller, service platform, service manager, IoT network controller, network manager, enhanced transport network, IoT gateway, device manager | +| C-5-8 | Managing multiple domains | The capability of managing multiple domains involves the abilities of managing IoT functional components in multiple administrative domains to support of IoT scalability. | Scalability is required to be supported in IoT in order to handle a large number of devices, applications and users. | IoT data server, IoT service controller, service platform, service manager, IoT network controller, network manager, enhanced transport network, device manager | +| C-5-9 | Redundant deployment enablement | The capability of redundant deployment enablement involves the abilities of enabling deployment of redundant functional components of the IoT to guarantee reliability required in communication, service provision and data management. | Reliability in capabilities of IoT, such as reliability in communication, service and data management capabilities of IoT, is required. | IoT data server, IoT service controller, service platform, service manager, IoT network controller, network manager, IoT gateway, device manager | + +**Table A.5 – List of management capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------| +| C-5-10 | Service integrity check | The capability of service integrity check involves the abilities of checking the service lifetime, the available resources required to provide the service in order to guarantee the high availability of service provisioning. | The IoT is required to provide high availability in service provisioning, data management, communication, sensing and actuating things. | Service manager | +| C-5-11 | Data integrity check | The capability of data integrity check involves the abilities of checking the data lifetime, the available attributes of the data, and the consistency of data in order to guarantee the high availability of data management. | The IoT is required to provide high availability in service provisioning, data management, communication, sensing and actuating things. | IoT data server | +| C-5-12 | Device integrity check | The capability of device integrity check involves the abilities of checking the status of all functions of device to guarantee the high availability of IoT devices. | The IoT is required to provide high availability in service provisioning, data management, communication, sensing and actuating things. | Device manager, IoT device, IoT gateway, end-user device | +| C-5-13 | Security integrity check | The capability of security integrity check involves the abilities of checking the consistency of security policies deployed in all functional components of the IoT to guarantee the high availability of security in the IoT. | The IoT is required to provide high availability in service provisioning, data management, communication, sensing and actuating things. | Service manager, network manager, device manager, IoT device, IoT gateway, end-user device | +| C-5-14 | User profile integrity check | The capability of user profile integrity check involves the abilities of checking the lifetime, subscription, privacy protection, and availability of services subscribed by users to guarantee the high availability of service provisioning and privacy protection for users. | The IoT is required to provide high availability in service provisioning, data management, communication, sensing and actuating things. | Service manager, network manager, device manager, IoT device, IoT gateway, end-user device | + +**Table A.5 – List of management capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|--------------------------------------------------| +| C-5-15 | Managing devices | The capability of managing devices involves the abilities of configuring, monitoring, diagnosing, and recovering devices of the IoT, and updating software to enhance capabilities of devices of the IoT. | Manageability is required to be supported in IoT in order to ensure normal operations. | Device manager | +| C-5-16 | Managing networks | The capability of managing networks involves the abilities of configuring, monitoring, accounting and charging, optimizing, diagnosing, and recovering networks of the IoT, and updating network software to enhance capabilities of networks of the IoT. | Manageability is required to be supported in IoT in order to ensure normal operations. | Network manager | +| C-5-17 | Managing services | The capability of managing services involves the abilities of describing, configuring, monitoring, accounting and charging, optimizing, recovering, and updating services of the IoT. | Manageability is required to be supported in IoT in order to ensure normal operations. | Service manager | +| C-5-18 | Managing data operations | The capability of managing data operations involves the abilities of configuring, monitoring, accounting and charging, optimizing, and recovering data operations, and updating software related with data operations to enhance capabilities of the IoT. | Manageability is required to be supported in IoT in order to ensure normal operations. | IoT data server | +| C-5-19 | Managing security operations | The capability of managing security operations involves the abilities of configuring, monitoring, auditing, diagnosing, and recovering security operations, and updating software related with security operations to enhance capabilities of the IoT. | Manageability is required to be supported in IoT in order to ensure normal operations. | Service manager, network manager, device manager | + +**Table A.5 – List of management capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|-----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|----------------------------------------------------------------------------| +| C-5-20 | Managing privacy protection | The capability of managing privacy protection involves the abilities of configuring, monitoring, auditing, and recovering privacy protection, and updating software related with privacy protection to enhance capabilities of the IoT. | Manageability is required to be supported in IoT in order to ensure normal operations. | Service manager, network manager, device manager | +| C-5-21 | Managing user operations | The capability of managing user operations involves the abilities of configuring, monitoring, accounting and charging, optimizing, diagnosing, recovering operations of IoT users, and updating software related with operations of IoT users to enhance capabilities of the IoT. | Manageability is required to be supported in IoT in order to ensure normal operations. | Service manager, network manager, device manager | +| C-5-22 | Plug and play capability | Plug and play capability involves the abilities of automatic configuring, connecting and activating devices of the IoT to enable on-the-fly semantic-based configuration and activation of IoT devices. | Plug and play capability is required. | IoT device, IoT gateway, end-user device, network manager, service manager | + +**Table A.6 – List of connectivity capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|-----------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------|-----------------------------------------------------------| +| C-6-1 | Identification-based connectivity | The capability of identification-based connectivity involves the abilities of establishing the connectivity based on the identification of things. | Identification-based connectivity between a thing and the IoT is required. | IoT device, IoT gateway, end-user device, network manager | +| C-6-2 | Things' status notification | The capability of things' status notification involves the abilities of automatic notification of the status of things and its changes based on predefined rules. | Monitoring things in timely manner is required. | IoT device, IoT gateway, end-user device | + +**Table A.6 – List of connectivity capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------|-----------------------------------------------------------| +| C-6-3 | Device mobility | The capability of device mobility involves the abilities of keeping the connectivity with the IoT when a device moves. | Device mobility is required. | IoT device, IoT gateway, end-user device, network manager | +| C-6-4 | Adaptable connectivity | The capability of adaptable connectivity involves the abilities of extending connectivity configurations to connect with new types of devices of the IoT in order to be adaptable to different technologies in devices of IoT. | Adaptability to the new technologies emerging in the future is required in IoT. | IoT device, IoT gateway, end-user device, device manager | + +**Table A.7 – List of security and privacy protection capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|----------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------| +| C-7-1 | Communication security | The capability of communication security involves the abilities of supporting secure, trusted and privacy-protected communication. | Communication security is required. | IoT device, IoT gateway, end-user device, device manager, network manager, enhanced transport network | +| C-7-2 | Data management security | The capability of data management security involves the abilities of providing secure, trusted and privacy-protected data management. | Data management security is required. | IoT data server, IoT gateway | +| C-7-3 | Service provision security | The capability of service provision security involves the abilities of providing secure, trusted and privacy-protected service provision. | Service provision security is required. | Service platform, service manager | +| C-7-4 | Security integration | The capability of security integration involves the abilities of integrating different security policies and techniques related to the variety of IoT functional components. | Integration of different security policies and techniques is required. | Device manager, network manager, service manager | + +**Table A.7 – List of security and privacy protection capabilities** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|-----------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|-------------------------------------------------------------------| +| C-7-5 | Mutual authentication and authorization | The capability of mutual authentication and authorization involves the abilities of authenticating and authorizing each other before a device accesses IoT based on predefined security policies. | Mutual authentication and authorization is required. | Device manager, network manager | +| C-7-6 | Security audit | The capability of security audit involves the abilities of monitoring any data access or attempt to access IoT applications in a fully transparent, traceable and reproducible way based on appropriate regulation and laws. | Security audit is required to be supported in IoT. | Device manager, network manager, service manager, IoT data server | + +**Table A.8 – List of capabilities for integration of cloud computing technologies** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|----------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------| +| C-8-1 | Accessing virtual processing resources | The capability of accessing virtual processing resources involves the abilities of adopting the capabilities specified in infrastructure capabilities type of cloud to use processing resource deployed in cloud. | Integration with cloud computing technologies is required. | IoT data server, IoT gateway | +| C-8-2 | Accessing virtual storage resources | The capability of accessing virtual storage resources involves the abilities of adopting the capabilities specified in infrastructure capabilities type of cloud to use storage resource deployed in cloud. | Integration with cloud computing technologies is required. | IoT data server, IoT gateway | +| C-8-3 | Publishing things as services | The capability of publishing things as services involves the abilities of adopting the capabilities specified in platform capabilities type of cloud to deploy the services of things. | Integration with cloud computing technologies is required. | IoT data server, service platform | + +**Table A.8 – List of capabilities for integration of cloud computing technologies** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|--------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------------------------------------------| +| C-8-4 | Summarizing data of things | The capability of summarizing data of things involves the abilities of collecting and aggregating the data of things related with the required services to provide the service of things to cloud users. | Integration with cloud computing technologies is required. | IoT data server, service platform, IoT device, IoT gateway, end-user device | +| C-8-5 | Synchronizing data with things | The capability of synchronizing data with things involves the abilities of creating, deleting, and updating the data of things just in time with respect to application requirements, based on the updated status of sensed things in order to guarantee the quality of TaaS. | Integration with cloud computing technologies is required. | IoT data server, service platform, IoT device, IoT gateway, end-user device | + +**Table A.9 – List of capabilities for integration of big data technologies** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|-------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------|------------------------------------------| +| C-9-1 | Adopting big data collection | The capability of adopting big data collection involves the abilities of adopting the technologies of big data collection. | Integration with big data technologies is required. | IoT data server, IoT gateway | +| C-9-2 | Adopting big data aggregation | The capability of adopting big data aggregation involves the abilities of adopting the technologies of summarizing big data from different sources in device layer. | Integration with big data technologies is required. | IoT device, IoT gateway, end-user device | +| C-9-3 | Adopting big data storage | The capability of adopting big data storage involves the abilities of adopting the technologies of storing big data. | Integration with big data technologies is required. | IoT data server | + +**Table A.9 – List of capabilities for integration of big data technologies** + +| Capability number | Capability name | Capability summary | Related requirement(s) | Associated component(s) | +|--------------------------|-------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------|--------------------------------| +| C-9-4 | Adopting big data integration | The capability of adopting big data integration involves the abilities of adopting the technologies of summarizing big data from different sources in server support and application support layer. | Integration with big data technologies is required. | IoT data server, IoT gateway | +| C-9-5 | Adopting big data query | The capability of adopting big data query involves the abilities of adopting the technologies of big data query. | Integration with big data technologies is required. | IoT data server | +| C-9-6 | Adopting big data analysis | The capability of adopting big data analysis involves the abilities of adopting the technologies of big data analysis. | Integration with big data technologies is required. | IoT data server | + +# Appendix I + +## Matching analysis between requirements and capabilities of the IoT + +(This Appendix does not form an integral part of this Recommendation.) + +Tables I.1 to I.7 provide matching analyses between requirements and capabilities of the IoT. The following provides a legend for the structure of these tables. + +The two columns headed "Requirement number" and "Requirement summary" are copied from the corresponding columns in the table in Annex A of [ITU-T Y.2066]. + +The column headed "Capability number" contains one or multiple capability numbers provided in Annex A whose corresponding capabilities support the requirement listed in the same row. + +The column headed "Capability name" contains the name of the capabilities associated with the "Capability number" provided in the same row. These capabilities are described in clause 8 and support the requirement listed in the same row. + +### I.1 Matching analysis of non-functional requirements of the IoT + +Matching analysis results between non-functional requirements of the IoT and the supported capabilities of the IoT are shown in Table I.1. Results show that all non-functional requirements specified in [ITU-T Y.2066] are fulfilled. + +NOTE – There are multiple capabilities associated with each row of Table I.1. These capabilities act together to support the requirement in the same row. + +**Table I.1 – List of matching analysis of non-functional requirements of the IoT** + +| Requirement number | Requirement summary | Capability number | Capability name | +|--------------------|-------------------------------|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| N1 | Interoperability is required. | C-5-1, C-5-2, C-5-3, C-5-4, C-5-5, and C-5-6. | Managing data models for exchanging data of things, managing service description, managing network configuration, managing device configuration, managing security policy, and managing privacy protection policy. | +| N2 | Scalability is required. | C-4-7, C-5-7, and C-5-8. | Autonomic data operation, managing distributed processing, and managing multiple domains. | +| N3 | Reliability is required. | C-1-12, C-2-15, C-3-6, and C-5-9. | Service provision acknowledgement, transport acknowledgement, application support operation acknowledgement, and redundant deployment enablement. | + +**Table I.1 – List of matching analysis of non-functional requirements of the IoT** + +| Requirement number | Requirement summary | Capability number | Capability name | +|--------------------|--------------------------------|-------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| N4 | High availability is required. | C-5-10, C-5-11, C-5-12, C-5-13, and C-5-14. | Service integrity check, data integrity check, device integrity check, security integrity check, and user profile integrity check. | +| N5 | Adaptability is required. | C-1-11, C-2-16, and C-6-4. | Adaptable service provision, adaptable networking, and adaptable connectivity. | +| N6 | Manageability is required. | C-5-15, C-5-16, C-5-17, C-5-18, C-5-19, C-5-20, and C-5-21. | Managing devices, managing networks, managing services, managing data operations, managing security operations, managing privacy protection, and managing user operations. | + +### I.2 Matching analysis of application support requirements of the IoT + +Matching analysis results between application support requirements of the IoT and the capabilities of the IoT that can fulfil those requirements are shown in Table I.2. Results show that all application support requirements specified in [ITU-T Y.2066] are fulfilled. + +NOTE – There may be multiple capabilities associated with a single row of Table I.2. Where multiple capabilities are listed, they act together to support the requirement in the same row. + +**Table I.2 – List of matching analysis of application support requirements of the IoT** + +| Requirement number | Requirement summary | Capability number | Capability name | +|--------------------|----------------------------------------------------|----------------------------|---------------------------------------------------------------------| +| A1 | Standardized programmable interfaces are required. | C-3-1 | Programmable interface provision | +| A2 | Group management is required. | C-3-2 | Group management | +| A3 | Reliable time synchronization is required. | C-3-3 | Time synchronization | +| A4 | Collaboration is required. | C-3-4 | Orchestration | +| A5 | User management is required. | C-3-5 | User management | +| A6 | Resource usage accounting is required. | C-5-16, C-5-17, and C-5-18 | Managing networks, managing services, and managing data operations. | + +### I.3 Matching analysis of service requirements of the IoT + +Matching analysis results between service requirements of the IoT and the supported capabilities of the IoT are shown in Table I.3. Results show that all service requirements specified in [ITU-T Y.2066] are fulfilled. + +NOTE – There may be multiple capabilities associated with a single row of Table I.3. Where multiple capabilities are listed, they act together to support the requirement in the same row. + +**Table I.3 – List of matching analysis of service requirements of the IoT** + +| Requirement number | Requirement summary | Capability number | Capability name | +|---------------------------|---------------------------------------------------------------------------|-------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| S1 | Prioritization of services is required. | C-1-1 | Service prioritization | +| S2 | Semantic based services are required. | C-1-2 | Semantic based service | +| S3 | Service composition is required. | C-1-3 | Service composition | +| S4 | Mobility services are required. | C-1-4 | Mobility services | +| S5 | Highly reliable and secure human body connectivity services are required. | C-1-12, C-2-15, C-3-6, C-7-1, C-7-2, and C-7-3. | Service provision acknowledgement, transport acknowledgement, application support operation acknowledgement, communication security, data management security, and service provision security. | +| S6 | Autonomic services are required. | C-1-5 | Autonomic service | +| S7 | Location-based and context-aware services are required. | C-1-6 | Location-based and context-aware service | +| S8 | Service management is required. | C-5-17 | Managing services | +| S9 | Discovery services are required. | C-1-7 | Service discovery | +| S10 | Service subscription support is required. | C-1-8 | Service subscription | +| S11 | Standardized naming and addressing is required. | C-1-9 | Standardized naming and addressing | +| S12 | Virtual storage and processing capabilities are required. | C-1-10 | Virtual storage and processing | + +### **I.4 Matching analysis of communication requirements of the IoT** + +Matching analysis results between communication requirements of the IoT and the supported capabilities of the IoT are shown in Table I.4. Results show that all communication requirements specified in [ITU-T Y.2066] are fulfilled. + +NOTE – There may be multiple capabilities associated with a single row of Table I.4. Where multiple capabilities are listed, they act together to support the requirement in the same row. In the case of the row identified by Requirement number "C3", each of the two identified capabilities can fulfil the requirement. + +**Table I.4 –List of matching analysis of communication requirements of IoT** + +| Requirement number | Requirement summary | Capability number | Capability name | +|---------------------------|-----------------------------------------------------------------------------------------------|-----------------------------------|-----------------------------------------------------------------------------------------------------------------------------------| +| C1 | Event-based, periodic, and automatic communication modes are required to be supported. | C-2-1 and C-2-2. | Event-based communication and periodic communication. | +| C2 | The support of the unicast, multicast, broadcast and anycast communication modes is required. | C-2-3, C-2-4, C-2-5 and C-2-6. | Unicast communication, multicast communication, broadcast communication, and anycast communication. | +| C3 | The support of device initiated communications is required. | C-2-1 or C-2-2. | Event-based communication or periodic communication. | +| C4 | Error control for communications is required to be supported. | C-2-7 | Error control for communications | +| C5 | Time-critical communications are required to be supported. | C-2-8 | Time-critical communications | +| C6 | Autonomic networking is required. | C-2-9, C-2-10, C-2-11 and C-2-12. | Self-configuring for networking, self-healing for networking, self-optimizing for networking, and self-protecting for networking. | +| C7 | Content-aware communication is required. | C-2-13 | Content-aware communication | +| C8 | Location-based communication is required. | C-2-14 | Location-based communication | +| C9 | Support for heterogeneous device related communication technologies is required. | C-5-4 | Managing device configuration | +| C10 | Support for heterogeneous network related communication technologies is required. | C-5-3 | Managing network configuration | + +### **I.5 Matching analysis of device requirements of the IoT** + +Matching analysis results between device requirements of IoT and the supported capabilities of the IoT are shown in Table I.5. Results show that all device requirements specified in [ITU-T Y.2066] are fulfilled. + +**Table I.5 – List of matching analysis of device requirements of the IoT** + +| Requirement number | Requirement summary | Capability number | Capability name | +|---------------------------|----------------------------------------------------------------------------|--------------------------|-----------------------------------| +| D1 | Identification-based connectivity between a thing and the IoT is required. | C-6-1 | Identification-based connectivity | +| D2 | Remote monitoring, control and configuration of devices are required. | C-5-15 | Managing devices | +| D3 | Plug and play capability is required. | C-5-22 | Plug and play capability | +| D4 | Monitoring things in a timely manner is required. | C-6-2 | Things' status notification | +| D5 | Device mobility is required. | C-6-3 | Device mobility | +| D6 | Device integrity checking is required. | C-5-12 | Device integrity check | + +### **I.6 Matching analysis of data management requirements of the IoT** + +Matching analysis results between data management requirements of the IoT and the supported capabilities of the IoT are shown in Table I.6. Results show that all data management requirements specified in [ITU-T Y.2066] are fulfilled. + +**Table I.6 – List of matching analysis of data management requirements of the IoT** + +| Requirement number | Requirement summary | Capability number | Capability name | +|---------------------------|-----------------------------------------------------------------------------|--------------------------|---------------------------| +| DM1 | Storing data of things is required to be supported. | C-4-1 | Data storage | +| DM2 | Processing data of things is required to be supported. | C-4-2 | Data processing | +| DM3 | Querying historical data of things is required to be supported. | C-4-3 | Data querying | +| DM4 | Data access control by the data owners is required. | C-4-4 | Data access control | +| DM5 | Data exchange with entities outside the IoT is required to be supported. | C-4-5 | Open information exchange | +| DM6 | Integrity checking and life cycle management of data of things is required. | C-5-11 | Data integrity check | +| DM7 | Semantic annotation and semantic access to data of things are required. | C-4-6 | Semantic data operation | +| DM8 | Semantic storage, transfer and aggregation of data of things are required. | C-4-6 | Semantic data operation | + +### **I.7 Matching analysis of security and privacy protection requirements of the IoT** + +Matching analysis results between security and privacy protection requirements of the IoT and the supported capabilities of the IoT are shown in Table I.7. Results show that all security and privacy protection requirements specified in [ITU-T Y.2066] are fulfilled. + +**Table I.7 – List of matching analysis of security and privacy protection requirements of the IoT** + +| Requirement number | Requirement summary | Capability number | Capability name | +|---------------------------|------------------------------------------------------------------------|--------------------------|-----------------------------------------| +| SP1 | Communication security is required. | C-7-1 | Communication security | +| SP2 | Data management security is required. | C-7-2 | Data management security | +| SP3 | Service provision security is required. | C-7-3 | Service provision security | +| SP4 | Integration of different security policies and techniques is required. | C-7-4 | Security integration | +| SP5 | Mutual authentication and authorization is required. | C-7-5 | Mutual authentication and authorization | +| SP6 | Security audit is required to be supported in the IoT. | C-7-6 | Security audit | + +# Bibliography + +- [b-ITU-T Y.2001] Recommendation ITU-T Y.2001 (2004), *General overview of NGN*. +- [b-ITU-T Y.2061] Recommendation ITU-T Y.2061 (2012), *Requirements for support of machine-oriented communication applications in the next generation network environment*. +- [b-ITU-T Y.2067] Recommendation ITU-T Y.2067 (2014), *Common requirements and capabilities of a gateway for Internet of things applications*. +- [b-ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014), *Information technology – Cloud computing – Overview and vocabulary*. +- [b-ETSI TS 102 690] ETSI TS 102 690 v1.2.1 (2013), *Machine-to-Machine communications (M2M); Functional architecture*, +- [b-IoT-A D1.4] The Internet of things architecture (IoT-A, 2012), *Project Deliverable D1.4 – Converged architectural reference model for the IoT v2.0*, + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2070-201501-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2070-201501-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..493fa411103d7b64b99349012f52593bc7df385e --- /dev/null +++ b/marked/Y/T-REC-Y.2070-201501-I_PDF-E/raw.md @@ -0,0 +1,1034 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2070 + +(01/2015) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +# --- **Requirements and architecture of the home energy management system and home network services** + +Recommendation ITU-T Y.2070 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3500–Y.3999 | +|-----------------|---------------| + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.2070 + +# Requirements and architecture of the home energy management system and home network services + +## Summary + +Recommendation ITU-T Y.2070 provides the requirements and architecture of the home energy management system (HEMS) and home network (HN) services. The HEMS supports energy efficiency and reduction of energy consumption by monitoring and controlling devices such as home appliances, storage batteries and sensors connected to the HN from the HEMS application. + +While the algorithm for the energy efficiency and reduction of energy consumption runs in the HEMS application, the development of a platform (PF) is desired which provides common functions to enable the application to access the devices and to support the efficient development of applications. This is not only applies for the HEMS, but also for other HN services such as home security and healthcare. This Recommendation provides common requirements for the HN services to support the HEMS as the widely known HEMS is mainly considered one of the HN services. It also describes the reference architecture and the functional architecture including the functional relationship for the HEMS and the other HN services. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2070 | 2015-01-13 | 13 | 11.1002/1000/12420 | + +## Keywords + +Home energy management system, home network, home network service. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2015 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|----------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 4 | +| 6 | Overview..... | 4 | +| | 6.1 HN service architecture ..... | 4 | +| | 6.2 HEMS based on HN service architecture..... | 5 | +| | 6.3 Merits of HN service architecture ..... | 7 | +| 7 | Requirements ..... | 8 | +| | 7.1 Requirements for the device..... | 8 | +| | 7.2 Requirements for HGW..... | 8 | +| | 7.3 Requirements for management PF ..... | 9 | +| | 7.4 Requirements for security..... | 10 | +| 8 | Reference architecture ..... | 10 | +| 9 | Functional architecture ..... | 12 | +| | 9.1 Device..... | 13 | +| | 9.2 HGW..... | 14 | +| | 9.3 Management PF ..... | 14 | +| | 9.4 Application ..... | 15 | +| 10 | Functional relationship ..... | 16 | +| | 10.1 Device operation..... | 16 | +| | 10.2 Application execution..... | 18 | +| | 10.3 Management ..... | 19 | +| 11 | Security support..... | 20 | +| | 11.1 HEMS model for security..... | 20 | +| | 11.2 Security functions..... | 21 | +| | Appendix I – Deployment model with WoT..... | 23 | +| | Appendix II – Examples of HN applications ..... | 25 | +| | II.1 Home security..... | 25 | +| | II.2 Customer support with controlling access right to device..... | 25 | +| | II.3 Room facility coordination for better sleep..... | 26 | +| | Appendix III – Security considerations based on [ITU-T X.1111] ..... | 27 | +| | Bibliography..... | 30 | + + + +## Recommendation ITU-T Y.2070 + +# Requirements and architecture of the home energy management system and home network services + +# 1 Scope + +This Recommendation provides the requirements and architecture of the home energy management system (HEMS) and home network (HN) services. The HEMS supports energy efficiency and reduction of energy consumption by monitoring and controlling devices such as home appliances, storage batteries and sensors connected to the HN from the HEMS application with the HN service architecture. The HEMS is one of the HN services. The other HN services, such as home security and healthcare, are provided with the same architecture as the HEMS and by monitoring and controlling the devices from the application specific to the service. In this Recommendation, the requirements, the reference architecture and the functional architecture including functional relationship are described to support the HEMS and the other HN services. + +This Recommendation covers the followings: + +- overview of the HN service architecture for the HEMS and other HN services; +- requirements for the device, home gateway (HGW) and management platform (PF) in the HN service architecture as well as the security required for the architecture; +- reference architecture with four ways to connect to the devices from the HGW according to the device type: basic device (IP based and non-IP based) and non-basic device (connecting to the HGW directly or through the adapter); +- functional architecture with the entities: device, HGW, management PF and application; +- functional relationship with three functional categories in the functional architecture: device operation, application execution and management; +- security model and functions for the HN services mainly describing the HEMS. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T X.1111] Recommendation ITU-T X.1111 (2007), *Framework of security technologies for home network*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 demand response** [b-FG-Smart Terminology]: A smart grid feature that allows consumers to reduce or change their electrical use patterns during peak demand, usually in exchange for a financial incentive. Mechanisms and incentives for utilities, business, industrial, and residential + +customers to cut energy use during times of peak demand or when power reliability is at risk. Demand response is necessary for optimizing the balance of power supply and demand. + +NOTE – Smart grid [b-FG-Smart Terminology]: A two way electric power delivery network connected to an information and control network through sensors and control devices. This supports the intelligent and efficient optimization of the power network. + +**3.1.2 device object** [b-ECHONET Lite]: A logical model of the information held by equipment devices or home electrical appliances such as sensors, air conditioners and refrigerators, or of control items that can be remotely controlled. The interface form for remote control is standardized. The information and control target of each device is specified as property, and the operating method (setting and browsing) is specified as a service. + +**3.1.3 home network** [b-ITU-T J.190]: A short-range communications system designed for the residential environment, in which two or more devices exchange information under some sort of standard control. + +**3.1.4 presence** [b-ITU-T Y.2720]: A set of attributes that characterize an entity relating to the current status. + +**3.1.5 smart meter** [b-FG-Smart Terminology]: Smart meter is a premise device to monitor and control of electrical power usage of home devices based on "demand response information" from home devices. But, it is not recommended that the smart meter controls directly per each premise appliances because of the private security policy. To control and manage the each premise appliances, it is required for home management system such as home gateway and home server to support the control and management. + +**3.1.6 web of things** [b-ITU-T Y.2063]: A way to realize the IoT where (physical and virtual) things are connected and controlled through the world wide web. + +**3.1.7 web resource** [b-W3C WCterms]: A resource, identified by a URI, that is a member of the web core. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 adapter:** An entity used to connect a non-basic device to the home gateway by converting the dedicated communications protocol to the IP based protocol and the dedicated data model to the abstract data model. + +**3.2.2 device management:** A variety of functionalities to manage a collection of the devices including primary capabilities: auto-configuration and dynamic service provisioning, software/firmware image management, software module management, status and performance monitoring, and diagnostics. + +**3.2.3 fault diagnosis:** An example of a maintenance action, which is a sequence of elementary maintenance activities carried out for a given purpose. + +**3.2.4 home controller:** A small computer for the application for the home energy management system to monitor and control the home equipment such as home appliances and storage batteries to reduce energy consumption. + +**3.2.5 home energy management system:** A computer system comprising a software platform providing basic support services and a set of applications providing the functionality needed for the effective operation of home equipment, such as home appliances and storage batteries, so as to assure adequate security of energy supply at minimum cost. + +**3.2.6 home gateway:** An always on, always connected device which acts as the central point connecting the devices on the home network to the applications on the wide area network, and + +monitors and performs actions on data flows within the home network as well as on bi-directional communication flows between the home network and the wide area network. + +**3.2.7 home network resource:** A device (e.g., home appliance, storage battery, sensor), a network device (e.g., hub and access point in the home network) and network capacity for data transmission among them for the home network services. + +**3.2.8 in-home display:** A user screen device to present home energy consumption information. Users can optionally control their home devices with its user interfaces. + +**3.2.9 managed agent:** A software program running on the device to set the configuration information and to collect the information of the device. The managed agent gets the information from the resource management function on the management platform for the configuration of the device and sends the collection of the internal status of the device to it for various home network services including remote management and fault diagnosis. + +**3.2.10 management platform:** A platform which has common functions providing the interface and the management for the home network applications, and the virtual device management and the resource management for the home gateway and the devices. + +**3.2.11 wide area network:** An IP based communication network that covers a wide geographical area including the Internet and accommodates devices and local area networks. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-----------------------------------| +| API | Application Programming Interface | +| CPU | Central Processing Unit | +| DB | Database | +| DR | Demand Response | +| EV | Electric Vehicle | +| HEMS | Home Energy Management System | +| HGW | Home Gateway | +| HN | Home Network | +| HTTP | Hypertext Transfer Protocol | +| IHD | In-Home Display | +| IP | Internet Protocol | +| L2 | Layer 2 | +| LAN | Local Area Network | +| MAC | Message Authentication Code | +| NAT | Network Address Translation | +| PF | Platform | +| SOAP | Simple Object Access Protocol | +| WAN | Wide Area Network | + +WoT    Web of Things +XML    Extensible Markup Language +XMPP   Extensible Messaging and Presence Protocol + +# **5        Conventions** + +In this Recommendation, + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. +- The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# **6        Overview** + +This overview clause describes the HN service architecture. The HEMS is one of the HN services. There are other HN services, such as the home security service, for example, which detects a suspicious person with the human aware sensors. The HEMS and other HN services are provided with the HN service architecture. Clause 6.1 describes the HN service architecture. Clause 6.2 describes how the HEMS is provided by the HN service architecture by replacing the HN applications with the HEMS application. + +With the more widespread deployment of HN services and the increase of the devices connected to the HN, it is more complicated and more difficult for application developers to develop applications for the HN; a deep knowledge about the HN devices and communications protocols is required. Therefore, the development of an architecture for the HN services to support the application developers is important and forms the background of this Recommendation. + +NOTE –The term “Internet” is used in the description in clause 6 to support a clear understanding by the reader. However, it should be understood as the wide area network (WAN), which includes the Internet. The term WAN is used from clause 7 onward in this Recommendation. + +## **6.1     HN service architecture** + +HN applications have been developed to run on dedicated home controllers, which are located in the home. As shown in Figure 6-1(a) individual access, every home controller connects to one or more devices (home equipment) such as home appliances and storage batteries, each of which has its own dedicated communication interface at the device interface. For this reason, each application needs to be developed to meet with the device interface of the connecting device in order to monitor and control the device. + +On the other hand, as the communications protocols are standardized, devices are connecting with the standardized protocol to the common PF, which works on the home controller as shown in Figure 6-1(b). In this, common access, diagram, it is possible to abstract the device interface by the common PF and the devices can be accessed from HN applications which are also connected to the common PF at the application interface. + +![Figure 6-1: Two access types for HN services. (a) Individual access: Three home controllers, each with a specific application (A, B, C), connected via LAN or Wireless LAN to devices 1-4. (b) Common access: A single 'Common PF (Home controller)' connected via a serial interface to devices 1-4, with applications A, B, and C connected via an application interface.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Y.2070(15)\_F6-1 + +Figure 6-1: Two access types for HN services. (a) Individual access: Three home controllers, each with a specific application (A, B, C), connected via LAN or Wireless LAN to devices 1-4. (b) Common access: A single 'Common PF (Home controller)' connected via a serial interface to devices 1-4, with applications A, B, and C connected via an application interface. + +**Figure 6-1 – Two access types for HN services** + +Figure 6-2 below shows an HN service architecture that is composed of two types of architecture. + +Figure 6-2(a) shows an architecture in which all of the devices and the home controller are placed inside the home, and the applications and the common PF work on the home controller. This is referred to as the aggregate type architecture in this Recommendation. Figure 6-2(b) shows an architecture in which the devices are located inside the home, but the applications can be placed on the Internet. The functions of the common PF are separately distributed to the HGW inside the home and the management PF on the Internet, instead of on the home controller. This architecture enables the applications to access the devices from the Internet. This architecture is referred to as the distribute type architecture in this Recommendation. + +![Figure 6-2: The HN service architecture. (a) Aggregate type architecture: Applications A, B, C are inside the home controller, which is connected to devices 1-3. (b) Distribute type architecture: Applications A, B, C are on the Internet, connected to a Management PF, which is connected to an Internet cloud, which is connected to an HGW. The HGW is connected to devices 1-3. A dashed line connects the Home controller in (a) to the HGW in (b). A bracket on the right labels the Internet cloud and HGW as 'Common PF'.](d26959f4514c26ca19c3d6f00da85956_img.jpg) + +Y.2070(15)\_F6-2 + +Figure 6-2: The HN service architecture. (a) Aggregate type architecture: Applications A, B, C are inside the home controller, which is connected to devices 1-3. (b) Distribute type architecture: Applications A, B, C are on the Internet, connected to a Management PF, which is connected to an Internet cloud, which is connected to an HGW. The HGW is connected to devices 1-3. A dashed line connects the Home controller in (a) to the HGW in (b). A bracket on the right labels the Internet cloud and HGW as 'Common PF'. + +**Figure 6-2 – The HN service architecture** + +Both types of the architecture are within the scope of this Recommendation since both architectures have the same functions of the common PF. In the following clauses, however, the distribute type architecture is mainly described. + +## 6.2 HEMS based on HN service architecture + +The HEMS, based on the HN service architecture, is described in this clause, clarifying the features of the architecture. + +#### 6.2.1 HEMS and HN service architecture + +The HEMS is generally considered to provide the following services: + +- Visualization of the energy consumption by the entire house, or by selected devices such as home appliances, storage batteries with power sensors and the smart meter. +- Realization of energy-efficiency and/or cutting energy usage during peak demand by monitoring and controlling the devices. + +The HEMS application is one of the HN applications; therefore, the architecture for the HEMS can be the same as that for other HN services which are within the HN service architecture. + +The HN service architecture applied for the HEMS is shown in Figure 6-3. This is the distribute type architecture shown in Figure 6-2(b), where by the HEMS application replaces the HN applications. + +![Figure 6-3: HEMS based on HN service architecture diagram. The diagram shows a flow from left to right. On the far left is a box labeled 'HEMS application'. A double-headed arrow connects it to a box labeled 'Management PF'. Below these two boxes is the text 'Outside the home (Internet)'. A cloud labeled 'IP network' is connected to the 'Management PF' box by a single-headed arrow pointing left. A dashed vertical line separates the Internet side from the Home Network (HN) side. To the right of the dashed line is a box labeled 'HGW'. A single-headed arrow points from the 'IP network' cloud to the 'HGW' box. Below the 'HGW' box is the text 'Inside the home (HN)'. A double-headed arrow connects the 'HGW' box to a box labeled 'Device' on the far right. The identifier 'Y.2070(15)_F6-3' is located at the bottom right of the diagram.](7f17c430b9598e4d748a8041457810b3_img.jpg) + +``` +graph LR + subgraph Outside_the_home [Outside the home (Internet)] + HEMS_app[HEMS application] <--> Management_PF[Management PF] + end + subgraph Inside_the_home [Inside the home (HN)] + HGW[HGW] <--> Device[Device] + end + IP_network((IP network)) + Management_PF --> IP_network + IP_network --> HGW +``` + +Figure 6-3: HEMS based on HN service architecture diagram. The diagram shows a flow from left to right. On the far left is a box labeled 'HEMS application'. A double-headed arrow connects it to a box labeled 'Management PF'. Below these two boxes is the text 'Outside the home (Internet)'. A cloud labeled 'IP network' is connected to the 'Management PF' box by a single-headed arrow pointing left. A dashed vertical line separates the Internet side from the Home Network (HN) side. To the right of the dashed line is a box labeled 'HGW'. A single-headed arrow points from the 'IP network' cloud to the 'HGW' box. Below the 'HGW' box is the text 'Inside the home (HN)'. A double-headed arrow connects the 'HGW' box to a box labeled 'Device' on the far right. The identifier 'Y.2070(15)\_F6-3' is located at the bottom right of the diagram. + +**Figure 6-3 – HEMS based on HN service architecture** + +In Figure 6-3, everything to the left of the HGW (on the left side of the dotted line) is considered the Internet (outside the home) and everything to right hand side is considered the HN (inside the home). + +Devices such as home appliances, storage batteries and power sensors connected to the HN are monitored and controlled from the HEMS application on the Internet in this architecture, and in order to do so, the HGW bridges the Internet and the HN. The HGW converts the various types of communications protocols used for communication with the devices to the protocol, which is used on the Internet for communication with the management PF. The management PF is placed on the Internet and provides a web-based application interface. The HEMS application runs through this interface. + +With the HGW and the management PF, it is possible for the HEMS application to discover and identify devices connected to the HN and to access them using their identifiers. In this way, the HEMS application monitors and controls the individual devices and enables the HEMS. + +By making use of a standardized communication protocol between the HGW and the management PF, the HEMS application does not need to take into consideration the interfaces of the devices or the communications protocols used between the HGW and the devices. The devices are represented as web resources by the management PF. Therefore this architecture supports application developers by allowing them to develop applications without deep knowledge about multiple device interfaces and communications protocols. + +#### 6.2.2 HEMS examples + +This clause describes two HEMS examples based on the HN service architecture; these show the features of the architecture. + +In Figure 6-4, devices such as a home appliance, e.g., an air conditioner, and power sensors are connected to an HGW in the home, using various networks and protocols such as standardized communications protocols and dedicated communications protocols depending on the interface of each device. A HEMS application runs on the Internet and connects to the devices through the HGW and the management PF. In this architecture, the HEMS application collects the electronic power consumption data of the home appliance from the power sensors through the HGW and the management PF, and sends the data to visualize the energy consumption in the web text-based format to the web browser on the in-home display (IHD). It may be also possible to make the system send + +the data to web browser on a smart phone so that the end users can refer to the energy consumption from outside the home. + +![Figure 6-4: Visualization of energy consumption with IHD. The diagram shows a system architecture divided into 'Outside the home (Internet)' and 'Inside the home (HN)'. On the Internet side, there is a 'HEMS application' and a 'Management PF' connected by a bidirectional arrow. The 'Management PF' is connected to an 'IP network' cloud. On the HN side, there is a 'HGW' connected to the 'IP network' cloud. The 'HGW' is connected to 'Home appliance' and 'Power sensor' by bidirectional arrows. An 'IHD' is also connected to the 'IP network' cloud. A dashed vertical line separates the Internet and HN sections.](4e4be0bd8b235167902f2c03e41da651_img.jpg) + +Y.2070(15)\_F6-4 + +Figure 6-4: Visualization of energy consumption with IHD. The diagram shows a system architecture divided into 'Outside the home (Internet)' and 'Inside the home (HN)'. On the Internet side, there is a 'HEMS application' and a 'Management PF' connected by a bidirectional arrow. The 'Management PF' is connected to an 'IP network' cloud. On the HN side, there is a 'HGW' connected to the 'IP network' cloud. The 'HGW' is connected to 'Home appliance' and 'Power sensor' by bidirectional arrows. An 'IHD' is also connected to the 'IP network' cloud. A dashed vertical line separates the Internet and HN sections. + +**Figure 6-4 – Visualization of energy consumption with IHD** + +This service may provide the end user with a visualization of the energy consumption in a graphical representation, e.g., for the past week. For this service, the management PF stores the data received from the power sensors and provides them to the HEMS application when required. + +In Figure 6-5, a HEMS application makes use of a utility company's service, such as the demand response (DR) service. This architecture enables new services by combining Internet-based services. This is the main feature of this architecture in which the application is placed on the Internet. + +![Figure 6-5: Energy consumption control with DR. The diagram shows a system architecture divided into 'Outside the home (Internet)' and 'Inside the home (HN)'. On the Internet side, there is a 'Utility company service' connected to a 'HEMS application' by a bidirectional arrow. The 'HEMS application' is connected to a 'Management PF' by a bidirectional arrow. The 'Management PF' is connected to an 'IP network' cloud. On the HN side, there is a 'HGW' connected to the 'IP network' cloud. The 'HGW' is connected to 'Home appliance' and 'Power sensor' by bidirectional arrows. A dashed vertical line separates the Internet and HN sections.](410562339ce067fdc6fa41940c118658_img.jpg) + +Y.2070(15)\_F6-5 + +Figure 6-5: Energy consumption control with DR. The diagram shows a system architecture divided into 'Outside the home (Internet)' and 'Inside the home (HN)'. On the Internet side, there is a 'Utility company service' connected to a 'HEMS application' by a bidirectional arrow. The 'HEMS application' is connected to a 'Management PF' by a bidirectional arrow. The 'Management PF' is connected to an 'IP network' cloud. On the HN side, there is a 'HGW' connected to the 'IP network' cloud. The 'HGW' is connected to 'Home appliance' and 'Power sensor' by bidirectional arrows. A dashed vertical line separates the Internet and HN sections. + +**Figure 6-5 – Energy consumption control with DR** + +## 6.3 Merits of HN service architecture + +The previous clauses showed the HN service architecture and how to apply the architecture to the HEMS. Although some of the merits of the architecture are described in the previous clauses, they are also summarized below. + +As described in clause 6.1, the HN service architecture is composed of the aggregate type architecture (Figure 6-2(a)) and the distribute type architecture (Figure 6-2(b)), and both architectures have the same functions of the common PF. The merits of the HN service architecture (both the aggregate type architecture and the distribute type architecture) are described below in items 1) through 3). + +- 1) It enables application developers to develop applications with the application interface on the common PF (i.e., the home controller in the aggregate type architecture and the management PF in the distribute type architecture) to provide various services. +- 2) It enables easier and lower-cost introduction of services for end users who can install by themselves devices that support plug-and-play functionality. It is not necessary for the end users to be concerned about the connections to the devices. +- 3) It enables the common PF to maintain the entire system and the HN resources remotely. The common PF provides functions for auto-configuration of devices and for detection of faults + +occurring on the HN. These functions make the system more stable and provide services at a lower cost. + +The distribute type architecture has a function on the management PF to cooperate with devices and applications working on networks that have different policies. Thus, there are some additional merits to the distribute type architecture; these are described below in items 4) through 6). + +- 4) It avoids increasing hardware resources, such as central processing unit (CPU) or memory on the home controller which would lead to an increase in service costs when providing other HN services in addition to the HEMS. It enables modifying/adding applications on the Internet without hardware restrictions. +- 5) It enables the applications to easily monitor and control the devices on the HN with the management PF, which provides the application programming interface (API) needed to access the devices. This access is enabled even in the case where a firewall and network address translation (NAT) protects the devices from illegal access from the Internet. +- 6) It enables easy development of security-conscious applications by providing functions for the authentication and the authorization for the devices and the HGW, and the encryption for the HN. + +# **7 Requirements** + +This clause describes requirements for the device, the HGW and the management PF in the HN service architecture, as well as for the security required for the architecture. Since the functions of the HEMS are specified in clause 6.2, the following requirements are extracted for the HEMS. As the HN service architecture is applied not only for the HEMS but also for other HN services, the following are also requirements for these other HN services as well. The requirements for the applications are out of the scope of this Recommendation. + +## **7.1 Requirements for the device** + +The following are requirements for the device: + +- 1) requirement for device operation + - device object + +It is required to have a device object which is an abstract data model representing the functions of the device. + +NOTE – For a device that does not have a device object, the adapter or the HGW connecting to the device directly is required to have a device object. +- 2) requirements for management: + - managed agent + +It is required to respond to the resource information collector function of the HGW. + +It is required to check the status of the device itself for fault diagnosis. + +It is required to set the configuration of the device and the network device such as the hub and the access point in the HN. + +## **7.2 Requirements for HGW** + +The followings are requirements for the HGW: + +- 1) requirement for device operation + - data format and protocol (hypertext transfer protocol (HTTP)/Internet protocol (IP)) conversion + +It is required to convert the format of the device object to that of the virtual device and Internet protocol (IP) to HTTP as the protocol which delivers the format on the WAN with the secure communication to the management PF. + +### 2) requirements for management + +- resource information collector + +It is required to discover the devices that are newly connected to the HN, identify each of them and manage their status. + +It is required to collect the internal status of each device and other HN resources, and the traffic status of the HN in order to determine the cause of any fault when the HN service is not working well. + +### 3) requirements for application execution + +- application for disconnect + +It can optionally work autonomously, continuing to control devices and store data with a backup purpose application in case of network disconnection from the management PF. + +It can optionally take some tasks with the backup purpose application and work with the management PF. + +## 7.3 Requirements for management PF + +The followings are requirements for the management PF: + +### 1) requirements for device operation + +- virtual device + +It is required to provide a web-friendly representation corresponding to the device object. + +It is required to monitor and control the virtual device. + +It can optionally be enabled to take the plural functions in one physical device as plural virtual devices and the plural physical devices as one virtual device. + +NOTE – The physical device represents the device connected to the HN. The term physical device is used to distinguish it from a virtual device. + +### 2) requirements for management + +- resource management + +It is required to discover, activate, monitor and control the devices connected to the HGWs. + +It is required to identify the devices globally unique from the applications. + +It is required to register the HGW's profile, give the HGW an identifier, register the end user who owns the HGW and identify the HGW with the authenticated user information. + +### 3) requirements for application execution + +- application management + +It is required to have the capability of authenticating and authorizing applications with acceptance by the end user to connect to the devices. + +It can optionally store the data received from the devices through the HGW. + +- application interface + +It is required to have a web-based application interface for the HEMS and other HN services. + +## 7.4 Requirements for security + +The following are requirements for security: + +- secure communication + +It is required to securely communicate between the devices and the application through the WAN. + +NOTE – HEMS security requirements to support secure communication are listed in Table III.2. + +- device authentication + +It is required for the management PF to have the capability to authenticate the devices. + +## 8 Reference architecture + +This clause describes the reference architecture for the HEMS. This architecture can also be applied to other HN services. + +Figure 8-1 shows the distribute type reference architecture and the reference points of the architecture. + +In Figure 8-1, the left side of the HGW is the WAN (i.e., outside the home) and right side is the HN. The HGW is IP based and it bridges the WAN and the HN. + +This reference architecture is shown with the categorized devices; basic device and non-basic device. The basic device has a device object which is an abstract data model representing functions of the device. The interface of the basic device is provided to the HGW with the abstract data model and is represented in the management PF as virtual devices, which the applications monitor and control. + +There are some standardized specifications for the interface of the basic device. Some of them support IP based communications protocols and the others support non-IP based protocols. Therefore, the two types of basic devices are those having the interface for the IP based protocol and those having the interface for the non-IP based protocols. + +The non-basic device does not have the device object. Since it supports its dedicated interface, an adapter is required to connect a non-basic device to the HGW. If the HGW provides the function of the adapter, the non-basic device can be connected directly to the HGW. + +![Figure 8-1: Reference architecture and reference points. The diagram shows a distributed architecture. On the left, 'Outside the home (WAN)', there are three 'Application' boxes connected to a 'Management PF' box via a reference point 'P-A'. The 'Management PF' is connected to an 'IP network' cloud. The 'IP network' is connected to an 'HGW' (Home Gateway) box via a reference point 'P-N'. On the right, 'Inside the home (HN)', the 'HGW' is connected to four device categories: (a) 'IP basic device' via reference point 'P-H1'; (b) 'Non-basic device' via reference point 'P-D', with an 'Adapter' box between them; (c) 'Non-IP basic device' via reference point 'P-H2'; and (d) 'Non-basic device' via reference point 'P-D'.](69f52512bb7387a5dc9f952279513019_img.jpg) + +Figure 8-1: Reference architecture and reference points. The diagram shows a distributed architecture. On the left, 'Outside the home (WAN)', there are three 'Application' boxes connected to a 'Management PF' box via a reference point 'P-A'. The 'Management PF' is connected to an 'IP network' cloud. The 'IP network' is connected to an 'HGW' (Home Gateway) box via a reference point 'P-N'. On the right, 'Inside the home (HN)', the 'HGW' is connected to four device categories: (a) 'IP basic device' via reference point 'P-H1'; (b) 'Non-basic device' via reference point 'P-D', with an 'Adapter' box between them; (c) 'Non-IP basic device' via reference point 'P-H2'; and (d) 'Non-basic device' via reference point 'P-D'. + +Y.2070(15)\_F8-1 + +**Figure 8-1 – Reference architecture and reference points** + +In Figure 8-1, the following reference points are defined. The application interface in Figure 6-1 corresponds to the P-A reference point in Figure 8-1. The device interface shown in Figure 6-1 corresponds to the P-H1, the P-H2 and the P-D reference points in Figure 8-1. + +### 1) P-A reference point + +The P-A reference point allows the applications to access the management PF through web-based application interfaces and to monitor and control the physical devices connected to the HN as logical devices of web resources. This reference point enables the applications to create and delete the logical devices, and to read and update the properties for them. + +### 2) P-N reference point + +The P-N reference point allows the management PF to access the HGW, placed in the home, through the WAN. This reference point enables the management PF to activate the devices, to get their status, and control them by specifying the property's value as a function of the resource management. + +### 3) P-H1 reference point + +The P-H1 reference point allows the HGW to access the basic device with the IP based communications protocol (IP based basic device), and the adapter which converts the non-basic device connecting it to the basic device. This reference point enables the HGW to activate the devices, get the status of, and control them by specifying the property's value. + +### 4) P-H2 reference point + +The P-H2 reference point allows the HGW to access the basic device with the non-IP based communications protocol (non-IP based basic device). This reference point enables the HGW to activate the devices, get the status of, and control them by specifying the property's value. + +### 5) P-D reference point + +The P-D reference point allows the adapter and the function of the adapter equipped in the HGW to access the non-basic device with the dedicated communications protocol, which connects to the device interface. This reference point enables the HGW to activate the devices, get the status of, and control them by specifying the property's value. + +The devices in the home are connected to the HGW through the HN in one of four ways. The following is a description of the devices from (a) to (d) shown in Figure 8-1. + +Device (a) is an IP based basic device that connects directly to the HGW at the P-H1 reference point. It makes use of the IP based communications protocol between the device and the HGW as the device has an interface to connect to the protocol. [b-ECHONET Lite] is one of such communications protocols. + +Device (b) is a non-basic device and supports its dedicated interface. To connect to the HGW, this device requires an adapter which converts the dedicated communications protocol implemented by the interface of the device to the IP based protocol, and which converts the dedicated data model to the abstract data model. Therefore, device (b) will be recognized as a basic device by the adapter. A battery charger for electric vehicles (EVs) connecting to the HN with a serial interface is an example of this type of device. + +Device (c) is a basic device, but supports the non-IP based communications protocol only because the non-IP based communications protocol is used for communication directly with the HGW. + +Device (d) is a non-basic device and it is the same as device (b). In Figure 8-1, the device connects to the HGW directly since the HGW has functions of the adapter for device (d). + +The HGW has a function to discover the newly-installed devices automatically. The HGW receives notifications of the installation of the devices and alarms when malfunctions occur. This raises the system's reliability. It also allows the end users the ability to easily install devices and to get the HEMS and other HN services started. The HGW converts the various types of the communications protocols, used for communicating with the devices, to the protocols which are used on the WAN for communication with the management PF at the P-N reference point. For example, the communications protocol used for communication with the devices will be converted into HTTP. + +The communication between the HGW and the device (through the adapter) may not be encrypted regardless of whether the IP or non-IP based communications protocol is used. However, the communication between the HGW and the management PF through the WAN is encrypted or is on a secured communications protocol such as HTTP to ensure secure communication. HTTP can be utilized on the standardized device management protocol such as [b-BBF TR-069]. + +The management PF is a server that provides the web-based application interface on the WAN. The applications run through the interface at the P-A reference point. By making use of the standardized communications protocol between the HGW and the management PF, the applications do not need to take into consideration the interface of the devices or the communications protocols used on the HN. The devices are represented as web resources by the management PF. In this way the application developers can develop applications without deep knowledge about the devices. + +NOTE – A deployment model with the web of things (WoT) specified in [b-ITU-T Y.2063] is shown in Appendix I. + +## 9 Functional architecture + +This clause describes the functional architecture for the HEMS. This architecture can also be applied to other HN services. + +Figure 9-1 shows the distribute type functional architecture for the IP based basic device. The functions in this architecture are composed of three categories: device operation, application execution and management. The details for each category are described in clause 10. Although the device is shown as an IP based basic device in Figure 9-1, this architecture can also be applied to other types of devices with the appropriate deployment of the functions between the HGW and the device. The architectures for each type of device are shown in clause 10.1.1 to 10.1.4. The architecture between the management PF and the application is the same for all types of devices as shown in Figure 9-1. + +![Figure 9-1: Functional architecture for IP based basic device. The diagram shows a distributed architecture across four main components: Applications, Management PF, HGW, and Device. The Applications component includes Home energy management, Home security, Healthcare, and Management applications. The Management PF includes Applications management, Virtual device, HTTP processing, and Resource management. The HGW includes Application for disconnect, Data format conversion, HTTP/IP conversion, and Resource info. collector. The Device includes Device object, IP packet processing, and Managed agent. Arrows indicate data flow: Applications to Management PF via Application interface and WAN; Management PF to HGW via Command, WAN, and Management; HGW to Device via Command, IP HN, and Management. A Management arrow points up to the Applications component. The diagram is divided into three sections: Application execution (Applications), Device Operation (Device), and Management (Management PF and HGW).](8592a32c2fdf17c1e562f0ba6b7e8e1a_img.jpg) + +Y.2070(15)\_F9-1 + +Figure 9-1: Functional architecture for IP based basic device. The diagram shows a distributed architecture across four main components: Applications, Management PF, HGW, and Device. The Applications component includes Home energy management, Home security, Healthcare, and Management applications. The Management PF includes Applications management, Virtual device, HTTP processing, and Resource management. The HGW includes Application for disconnect, Data format conversion, HTTP/IP conversion, and Resource info. collector. The Device includes Device object, IP packet processing, and Managed agent. Arrows indicate data flow: Applications to Management PF via Application interface and WAN; Management PF to HGW via Command, WAN, and Management; HGW to Device via Command, IP HN, and Management. A Management arrow points up to the Applications component. The diagram is divided into three sections: Application execution (Applications), Device Operation (Device), and Management (Management PF and HGW). + +**Figure 9-1 – Functional architecture for IP based basic device** + +The devices have their own proprietary functions. The functions are defined as profiles and are transmitted with communications protocols to the application via the HGW and the management PF. This architecture enables the application to monitor and control the devices. + +Although Figure 9-1 shows the IP based communications protocol for the IP based basic device, the IP based, the non-IP based and the dedicated communications protocols can be used for the communication between the HGW and the devices as described in clause 8. The commands transmitted between the HGW and the devices provide control methods for the HGW to the devices + +such as "GET" to get their status, "SET" to specify their properties and/or set the value and "INFORM" to request notification about their status and the events that have occurred in them. The HGW converts the communications protocol into HTTP and communicates to the management PF through the WAN. + +The communications protocol for device management such as [b-BBF TR-069] can be used between the HGW and the management PF. [b-BBF TR-069] refers to the generalized device data model with extensible markup language (XML) in [b-BBF TR-181] and this data model is communicated between them with commands such as "GET", "SET" and "INFORM". The XML format is specified for each communications protocol used between the HGW and the devices. + +The management PF stores device status and configuration data transmitted via the HGW. The management PF manages virtual devices and provides them to the application through a web-based application interface so that the application developers can develop applications to control the physical devices as web resources. + +The following clauses describe each entity. The functions of the device and the HGW are described for the IP based basic device. The functions for other types of devices are shown in clause 10.1.2 to 10.1.4. The functions for the management PF and the applications are common to all types of devices. + +NOTE – Examples of HN applications are described in Appendix II. + +### **9.1 Device** + +The IP based basic device provides the following functions: + +- 1) functions for device operation + - device object; + - IP packets processing. +- 2) function for management + - managed agent. + +Device object and managed agent are described in the following clauses. IP packet processing is not described, as it does not require specific operations. + +#### **9.1.1 Device object** + +The basic device has the device object. It is composed of properties that specify the device functions which are independent of the implementation of the manufacturers. The properties are logical internal items to get the device status and to control the device functions, which can be remotely accessed and controlled from the application. The data form for the remote control is specified as the tuple of . Since the device object is specified for each type of device (e.g., home appliance, storage battery), existing home appliances made by different manufacturers would be remotely controlled in exactly the same way. + +For example, air conditioners have properties of operating status, temperature setting and operation mode, which are defined as the property configurations in [b-ECHONET Lite]. [b-SEP 2.0] and [b-ISO/IEC 14543-3-x] also define similar property configurations. The HGW specifies the property to get the data (value) from them. To configure or control them, it specifies the property and sets the appropriate value. For example, to set the targeted temperature of an air conditioner, it specifies the property, which is appointed for the targeted temperature and sets the appropriate value (e.g., 25 (degrees)). + +#### **9.1.2 Managed agent** + +The managed agent is a function for the management to keep the HN stable. It is important to get the information about all of the HN resources because lack of this information could cause failure of fault detection thus, making determination of the causes of the fault difficult. The managed agent holds the + +internal status of the device and transfers it on demand to the resource management function of the management PF via the resource information collector of the HGW. This detail is described in clause 10.3. + +### **9.2 HGW** + +The HGW bridges the WAN and the HN. It provides the following functions when it connects to the IP based basic device: + +- 1) function for device operation + - data format and protocol (HTTP/IP) conversion. +- 2) function for management + - resource information collector. +- 3) function for application execution + - application for disconnect. + +#### **9.2.1 Data format and protocol (HTTP/IP) conversion** + +This is a function of the device operation to convert the communications protocol. On the WAN, HTTP is usually utilized as the communications protocol. Thus, the HGW converts the communications protocol used on the HN to HTTP. + +The tuple of of the physical devices is communicated to the HGW through the HN and put into HTTP at the HGW for further communication with the management PF. It is widely known that [b-BBF TR-069] specifies the simple object access protocol (SOAP) based communications protocol; thus it is one of the candidate communications protocols for the device management between the HGW and the management PF. The extensible messaging and presence communications protocol (XMPP) is also a candidate. + +#### **9.2.2 Resource information collector** + +This is a management function used to collect information about the HN resources, for each of the HGW devices, and to deliver it to the resource management function on the management PF. This function also discovers the devices newly connected to the HGW, and sets the configuration for these devices. The HGW gives a unique identifier to each of the devices for management. + +#### **9.2.3 Application for disconnect** + +The application for disconnect function provides a backup purpose application to keep the devices connected to the HN working when the WAN is disconnected for any reason. If the WAN disconnects, this backup purpose application sets the proper configuration for the situation instead of the application running on the WAN. The application interface for this backup application is based on HTTP and provides the API, which manages the device object using the converted data format. + +## **9.3 Management PF** + +The management PF manages the physical devices as virtual devices and provides them as web resources to the application through the web-based application interface. The management PF provides the following functions: + +- 1) functions for device operation + - virtual device; + - HTTP processing. +- 2) function for management + - resource management. +- 3) functions for application execution + +- applications management; +- application interface. + +These functions are described in the following clauses, except for HTTP processing: it is not described because it does not require specific operations. + +#### **9.3.1 Virtual device** + +The virtual device is the device representation corresponding to the device object of the basic device connected to the HN. The properties of the device are represented in XML format in order to be easily handled by the web applications. The function is described in clause 10.1. + +The virtual device provides two functions for the device abstraction. The first function provides abstraction of the devices' properties and the communication protocols. For example, if vendor A and vendor B give different properties to similar functions of their air conditioners, the management PF creates a virtual device by converting the property of the devices (e.g., air conditioners) to the same properties. + +The second function provides virtual separation to the plural virtual devices which are made from the plural functions in one physical device. For example, an air conditioner controlling its power based on its motion sensor has the property based on the data detected by the motion sensor. Thus, the air conditioner has two functions: air conditioning and motion sensing. Two virtual devices (i.e., air conditioning device and a motion sensing device) will be created from one physical device (i.e., air conditioner). + +#### **9.3.2 Resource management** + +The resource management on the management PF provides the function to gather information of the HN resources which the managed agent collects. It also manages the internal status of the device, the network device and the network capacity for each HGW to detect fault and to provide the fault processing. The details are described in clause 10.3. + +#### **9.3.3 Applications management** + +The applications management registers the information of the application and holds the relationships between the applications and the devices. This function delivers data from the devices to the appropriate applications. In addition, it has the historical data management function which stores the data received from the devices instead of the applications. The function provides the data of the devices, for example for the past 24 hours, in responding to the requirement of the application. + +#### **9.3.4 Application interface** + +The application interface is a web-based interface used to monitor and control the devices through the HGW from the application by accessing the virtual devices on the management PF as web resources. This makes it possible, therefore, for application developers to develop applications with this interface. + +This interface does not support the management as shown in Figure 9-1. + +## **9.4 Application** + +Although the architecture in this Recommendation does not require common functions for the applications, three functions in the applications which provide the following three operations that make use of the functions of the management PF are described in this clause. These three functions are: the device management function, the device operation function and the fault diagnosis function as shown in Figure 9-2. Every application in the application entity shown in Figure 9-1 can have these functions. + +The three functions are described below with their corresponding operation. + +- 1) function: device management, operation: registration + +The applications that access the devices are registered to the applications management function in the management PF. This operation is performed by the device management function in the application and enables exclusive control to the devices and specifies the application to which the data of the devices is delivered automatically. + +- 2) function: device operation, operation: monitor & control + +The device operation function in the application monitors and controls the devices by getting and setting the configurations. ON / OFF control to the devices is one example. This operation is performed by monitoring and controlling the virtual devices in the management PF which is described in clause 10.2. The operation from the virtual devices to the physical devices on the HN is described in clause 10.1. + +- 3) function: fault diagnosis, operation: fault detection + +The fault diagnosis function in the application gets the status and configuration data of the HN resources. This function connects to the resource management in the management PF and gets the HN related information detected by the resource management and provide it to those applications which need the information. + +![Figure 9-2: Three operations for the HN applications. The diagram shows two main blocks: 'Applications' on the left and 'Management PF' on the right. The 'Applications' block contains 'HN application' (with sub-components 'Device management', 'Device operation', and 'Fault diagnosis') and an 'Application interface'. The 'Management PF' block contains 'Applications management', 'Virtual device', 'HTTP processing', and 'Resource management', along with an 'Application interface'. Three numbered operations are shown: (1) Registration from Device management to Applications management; (2) Monitor and control from Device operation to Virtual device; and (3) Fault detection from Fault diagnosis to Resource management. Arrows indicate the flow of data and control between these components.](5793a44ffdadd039928e2f9fe6daae06_img.jpg) + +Figure 9-2: Three operations for the HN applications. The diagram shows two main blocks: 'Applications' on the left and 'Management PF' on the right. The 'Applications' block contains 'HN application' (with sub-components 'Device management', 'Device operation', and 'Fault diagnosis') and an 'Application interface'. The 'Management PF' block contains 'Applications management', 'Virtual device', 'HTTP processing', and 'Resource management', along with an 'Application interface'. Three numbered operations are shown: (1) Registration from Device management to Applications management; (2) Monitor and control from Device operation to Virtual device; and (3) Fault detection from Fault diagnosis to Resource management. Arrows indicate the flow of data and control between these components. + +**Figure 9-2 – Three operations for the HN applications** + +# 10 Functional relationship + +In this clause, details of the three functional categories: device operation, application execution and management shown in Figure 9-1 are described to clarify the relationship between the entities. + +## 10.1 Device operation + +The device operation provides a function to monitor and control the devices from the management PF. Since there are four ways to connect to the devices from the HGW according to the device types shown in Figure 8-1, four operations for each device type are described in the following clauses. + +#### 10.1.1 Operation for IP based basic device + +Figure 10-1 shows the functional architecture for the IP based basic device operation (i.e., device (a) in Figure 8-1). The IP based basic device has two functions; device object and IP packets processing. The virtual device on the management PF is the device representation corresponding to the device object of the basic device. The applications remotely monitor and control the devices by specifying the properties of the virtual devices through the application interface. + +The two-tuple of is the data form used to control the device. The device command is transferred to the HGW on the IP based communications protocol through the HN and to the + +management PF on the HTTP based protocol through the WAN. The HGW converts the device command between the HN and the WAN since the form of the tuples on the HN is different from that on the WAN. Therefore, the HGW has two functions: data format conversion that converts the form of the tuple, and protocol (HTTP/IP) conversion that converts the communications protocol on the HN to HTTP. + +![Figure 10-1: Functional architecture for IP based basic device operation. The diagram shows three main components: Management PF, HGW, and Basic device. Management PF contains an Application interface, Virtual device, and HTTP processing. HGW contains Data format conversion and HTTP/IP conversion. Basic device contains Device object and IP packet processing. Arrows show 'Command' flow from Management PF to HGW and from HGW to Basic device, and 'WAN' flow from Management PF to HGW and from HGW to Basic device. A dashed line labeled 'P-H1' separates HGW and Basic device.](365b54f616aff249b4e6c0edafdcb9b3_img.jpg) + +Y.2070(15)\_F10-1 + +Figure 10-1: Functional architecture for IP based basic device operation. The diagram shows three main components: Management PF, HGW, and Basic device. Management PF contains an Application interface, Virtual device, and HTTP processing. HGW contains Data format conversion and HTTP/IP conversion. Basic device contains Device object and IP packet processing. Arrows show 'Command' flow from Management PF to HGW and from HGW to Basic device, and 'WAN' flow from Management PF to HGW and from HGW to Basic device. A dashed line labeled 'P-H1' separates HGW and Basic device. + +**Figure 10-1 – Functional architecture for IP based basic device operation** + +#### 10.1.2 Operation for non-IP based basic device + +Figure 10-2 shows the functional architecture for the basic device used to connect to the HGW with the non-IP based communications protocol (i.e., device (c) in Figure 8-1). In this case, the device command is transferred at the P-H2 reference point. The layer 2 (L2) frame processing function can be used to convert the non-IP based communications protocol, which the device supports, to the IP based protocol in the HGW. The communications protocol between the HGW and the management PF can be the same as the IP based basic device shown in Figure 10-1. + +The device interface of [b-SEP 2.0] supports the P-H2 reference point. + +![Figure 10-2: Functional architecture for non-IP based basic device operation. The diagram shows three main components: Management PF, HGW, and Basic device. Management PF contains an Application interface, Virtual device, and HTTP processing. HGW contains Data format conversion, HTTP/IP conversion, and L2 frame processing. Basic device contains Device object and L2 frame processing. Arrows show 'Command' flow from Management PF to HGW and from HGW to Basic device, and 'WAN' flow from Management PF to HGW and from HGW to Basic device. A dashed line labeled 'P-H2' separates HGW and Basic device.](ab846b81e78dbc8da2a6f9511e2f248a_img.jpg) + +Y.2070(15)\_F10-2 + +Figure 10-2: Functional architecture for non-IP based basic device operation. The diagram shows three main components: Management PF, HGW, and Basic device. Management PF contains an Application interface, Virtual device, and HTTP processing. HGW contains Data format conversion, HTTP/IP conversion, and L2 frame processing. Basic device contains Device object and L2 frame processing. Arrows show 'Command' flow from Management PF to HGW and from HGW to Basic device, and 'WAN' flow from Management PF to HGW and from HGW to Basic device. A dashed line labeled 'P-H2' separates HGW and Basic device. + +**Figure 10-2 – Functional architecture for non-IP based basic device operation** + +#### 10.1.3 Operation for non-basic device with adapter + +Figure 10-3 shows the functional architecture for the non-basic device operation with the adapter (i.e., device (b) in Figure 8-1). This Recommendation defines the non-basic device for the existing devices that do not have the device object. The non-basic device does not have the device object, but has the dedicated interface, for example the serial interface, at the reference point P-D. The adapter has the device object and provides the same interface as the basic device. The adapter, placed between the device and the HGW, works to convert the non-basic device to be recognized as a basic device at the reference point P-H1. In this way, the adapter converts the dedicated protocol to the IP based protocol such as [b-SEP 2.0], [b-ECHONET Lite], [b-ISO/IEC 14543-3-x] and [b-BACnet]. The device object is provided in the device abstraction function. The device abstraction function also provides the device interface conversion function that converts the property of the device to the operational procedure to the device at the reference point P-D. + +![Figure 10-3: Functional architecture for non-basic device operation with adapter. The diagram shows a Management PF box on the left containing an Application interface and Virtual device. It connects via Command and WAN to an HGW box containing Data format conversion and HTTP/IP conversion. The HGW connects via P-H1 (Command and IP HN) to an Adapter box. The Adapter box contains a dashed Device abstraction box with Device object, IP packet processing, and Device interface conversion. The Adapter connects via P-D (Dedicated protocol) to a Non-basic device box on the right. Reference Y.2070(15)_F10-3 is at the bottom right.](c5452f95f3b28f1bfe29e84fbc2e1267_img.jpg) + +Figure 10-3: Functional architecture for non-basic device operation with adapter. The diagram shows a Management PF box on the left containing an Application interface and Virtual device. It connects via Command and WAN to an HGW box containing Data format conversion and HTTP/IP conversion. The HGW connects via P-H1 (Command and IP HN) to an Adapter box. The Adapter box contains a dashed Device abstraction box with Device object, IP packet processing, and Device interface conversion. The Adapter connects via P-D (Dedicated protocol) to a Non-basic device box on the right. Reference Y.2070(15)\_F10-3 is at the bottom right. + +**Figure 10-3 – Functional architecture for non-basic device operation with adapter** + +#### 10.1.4 Operation for non-basic device with adapter function in HGW + +Figure 10-4 shows the functional architecture for the non-basic device operation connecting directly to the HGW (i.e., device (d) in Figure 8-1). For the non-basic device, the HGW equips the function of the adapter (the device abstraction function) instead of placing the adapter to connect to the device directly. The device abstraction function inside the HGW provides the same interface as the basic device. The device abstraction function also supports the operational procedure at the reference point P-D and the non-basic device connects to the HGW directly as shown in Figure 10-4. + +![Figure 10-4: Functional architecture for non-basic device operation with adapter function in HGW. The diagram shows a Management PF box on the left containing an Application interface and Virtual device. It connects via Command and WAN to an HGW box. Inside the HGW box, there are Data format conversion and HTTP/IP conversion blocks, which connect to a dashed Device abstraction box containing Device object, IP packet processing, and Device interface conversion. The Device abstraction box connects via P-D (Dedicated protocol) to a Non-basic device box on the right. Reference Y.2070(15)_F10-4 is at the bottom right.](4b87467ad9642943235f48f7d4b59449_img.jpg) + +Figure 10-4: Functional architecture for non-basic device operation with adapter function in HGW. The diagram shows a Management PF box on the left containing an Application interface and Virtual device. It connects via Command and WAN to an HGW box. Inside the HGW box, there are Data format conversion and HTTP/IP conversion blocks, which connect to a dashed Device abstraction box containing Device object, IP packet processing, and Device interface conversion. The Device abstraction box connects via P-D (Dedicated protocol) to a Non-basic device box on the right. Reference Y.2070(15)\_F10-4 is at the bottom right. + +**Figure 10-4 – Functional architecture for non-basic device operation with adapter function in HGW** + +## 10.2 Application execution + +Setting and getting the value of the property of the virtual device on the management PF by the application results in monitoring and controlling the physical devices connected to the HN. As shown in Figure 10-5, the application interface on the management PF converts the virtual device to the web resource, enabling the application to monitor and control the physical devices with the HTTP protocol. + +![Figure 10-5: Functional architecture for application execution. The diagram shows a box on the left labeled 'Applications' containing 'Home energy management', 'Home security', and 'Healthcare'. This box is connected via two bidirectional arrows to a larger box on the right labeled 'Management PF'. The top arrow is labeled 'Application interface' and the bottom arrow is labeled 'WAN'. Inside the 'Management PF' box, there is a sub-box labeled 'Application management' containing 'Application DB' and 'Historical data management'. Below this sub-box is a 'Virtual device'. To the left of the 'Application management' sub-box is a dashed box labeled 'Web resource'. Arrows indicate data flow: from 'Applications' to 'Application interface', from 'Application interface' to 'Application DB', from 'Application DB' to 'Web resource', from 'Web resource' to 'Virtual device', and from 'Virtual device' back to 'Application interface'.](7133ccf78043568ca62ecbcd43628a4a_img.jpg) + +Figure 10-5: Functional architecture for application execution. The diagram shows a box on the left labeled 'Applications' containing 'Home energy management', 'Home security', and 'Healthcare'. This box is connected via two bidirectional arrows to a larger box on the right labeled 'Management PF'. The top arrow is labeled 'Application interface' and the bottom arrow is labeled 'WAN'. Inside the 'Management PF' box, there is a sub-box labeled 'Application management' containing 'Application DB' and 'Historical data management'. Below this sub-box is a 'Virtual device'. To the left of the 'Application management' sub-box is a dashed box labeled 'Web resource'. Arrows indicate data flow: from 'Applications' to 'Application interface', from 'Application interface' to 'Application DB', from 'Application DB' to 'Web resource', from 'Web resource' to 'Virtual device', and from 'Virtual device' back to 'Application interface'. + +**Figure 10-5 – Functional architecture for application execution** + +The applications management is composed of two functions: application database (DB) and historical data management. + +The application DB maintains a list of the applications connected to the management PF through the WAN. The application DB is used to deliver data to the targeted application from the HGWs and the other applications. + +The historical data management function is described in clause 9.3.3. + +## 10.3 Management + +The HN is sometimes very complex; many different types of technologies may co-exist in the HN. The devices connected to the HN are used in a variety of fields. The HN could have a complicated topology composed of various HN resources (e.g., devices and/or access points). It could be difficult to manage and maintain the HN for end users, since there is no administrator or technician in the home. Therefore, resource management is provided to support a variety of fault determination processes and fault recovery processes, including easy configuration with no administrators and with remote administrators. + +Figure 10-6 shows the functional architecture of the management for the HN with the basic devices. For the non-basic devices, which do not have the managed agent, the adapter or the HGW provides the managed agent. + +There is the resource management function in the management PF, which holds the information and configuration data of the HN resources. The HGW has the resource information collector function. It gets status, performance and configuration data of the HN resources, detects faults and provides fault processing. It also provides easy configuration procedures of the HN resources for end users. It configures the HN resources with minimum settings required for their operation. The managed agent on the device executes configuring and gathering the home environment information by the instruction from the resource information collector function on the HGW. The management application is the application for use by remote administrators such as call centers and customer support centers. It provides a function to display the entire resource information for faults diagnosis and to set the specified properties for recovery operation from such faults. + +![Figure 10-6: Functional architecture for management for basic device. The diagram shows a Management PF box containing a Management application and a Service application, connected to a Resource management box. This is linked via an IP network cloud to an HGW box containing a Resource information collector. The HGW is then connected to three Device Managed agent boxes, each associated with an Access point. The diagram is labeled Y.2070(15)_F10-6.](cbdfdade780e677eb1c1aef3081ce9ef_img.jpg) + +Figure 10-6: Functional architecture for management for basic device. The diagram shows a Management PF box containing a Management application and a Service application, connected to a Resource management box. This is linked via an IP network cloud to an HGW box containing a Resource information collector. The HGW is then connected to three Device Managed agent boxes, each associated with an Access point. The diagram is labeled Y.2070(15)\_F10-6. + +**Figure 10-6 – Functional architecture for management for basic device** + +# 11 Security support + +This clause describes the security model and functions for the HN services, especially the HEMS. The general security requirements and technologies for the HN are described in [ITU-T X.1111]. This Recommendation applies the technologies in [ITU-T X.1111] to the HN service architecture to establish secure communications between the device and the application through the WAN. A HEMS model for security is shown in clause 11.1. As the result of the security considerations on the HEMS model in Appendix III, the security functional architecture is shown in clause 11.2. + +## 11.1 HEMS model for security + +This clause describes a HEMS model for security shown in Figure 11-1 which is based on the distribute type architecture shown in Figure 6-4. Since the HEMS is just one of the HN services, this model can also be applied to the general HN model. + +![Figure 11-1: HEMS model for security. The diagram is divided into 'Outside the home (WAN)' and 'Inside the home (HN)'. In the WAN, there is a HEMS application connected to a Management PF. In the HN, there is an HGW connected to the Management PF. The HGW is also connected to an IHD, a Home appliance, and a Power sensor. The IHD is connected to an End user. The diagram is labeled Y.2070(15)_F11-1.](392a79ccd95e682ccd08f35ab2e64144_img.jpg) + +Figure 11-1: HEMS model for security. The diagram is divided into 'Outside the home (WAN)' and 'Inside the home (HN)'. In the WAN, there is a HEMS application connected to a Management PF. In the HN, there is an HGW connected to the Management PF. The HGW is also connected to an IHD, a Home appliance, and a Power sensor. The IHD is connected to an End user. The diagram is labeled Y.2070(15)\_F11-1. + +**Figure 11-1 – HEMS model for security** + +In Figure 11-1 the end user uses the web browser on an IHD to connect to the HEMS application with a secure connection. The web browser on the IHD connects to the HEMS application through a broadband router in the home. The HEMS application collects data of the devices (e.g., home appliance properties and power sensor properties) and controls them in response to instructions from the end user. + +The HN security is specified in [ITU-T X.1111] and this Recommendation refers to [ITU-T X.1111] as a framework for security technologies in the HN. + +The entities and the relationships in this model are required to be specified since they are different from those in [ITU-T X.1111]. There are six entities in this model: end user, IHD, HEMS application, management PF, HGW and device such as home appliance or power sensor. There are five + + + +Another solution is to provide the following entity authentication functions for the HGW and the device by the resource management in the management PF described in clause 10.3. When the HN is maintained to be secure, this is a simple and effective method to provide the entity authentication. + +### 1) HGW authentication + +The authentication information of the HGW is pre-registered in the management PF until the HGW connects to the management PF for the first time. When the first connection to the HGW is established, the resource management compares it with the pre-registered information. The information is managed in the resource management function. + +### 2) device authentication + +The information identifying the devices is pre-registered in the management PF until they connect to the HGW to accommodate the case where devices do not have the capability of the security functions. The device authentication is provided as a function and is used to determine consistency between their pre-registered information in the management PF and their data when they connect to the HGW. + +### 3) device access control + +The entity authentication function to the physical devices is provided as a function of access control to the virtual devices in the management PF. + +## Appendix I + +## Deployment model with WoT + +(This appendix does not form an integral part of this Recommendation.) + +In [b-ITU-T Y.2063] the physical device on the WoT is divided into two categories: constrained device and fully-fledged device. + +- constrained device: A constrained device cannot connect to the Internet and has no functionality of the web. The device interacts with an agent of the WoT broker. +- fully-fledged device: A fully-fledged device has the functionalities of the web. The device can interact, not only with the WoT broker, but also with the services on the web. + +The constrained device and the fully-fledged device do not have the device object and hence they correspond to the non-basic device described in this Recommendation. The constrained device communicates with the HGW through the adapter then further communicates with the management PF. The fully-fledged device can also communicate with the management PF by way of the HGW. + +In this Recommendation, the HGW, which has the function of the resource information collector, manages all of the devices connected to it through the HN including constrained devices and fully-fledged devices. + +[b-ITU-T Y.2063] defines the WoT broker and the physical devices can be accessed as web resources through it from the application. Its functional architecture is divided into the service layer and the adaptation layer where the service layer corresponds to the management PF and the adaptation layer corresponds to the HGW in this Recommendation. + +The web adaption function of the WoT broker supports only the adaptation of the communications protocol to the web protocol for communication between the physical devices and the WoT services. Therefore the web broker supports the P-D reference point only in this Recommendation. Figure I.1 shows the deployment model in which the HGW is connected to a constrained device and a fully-fledged device. + +![Figure I.1: Deployment model with WoT. The diagram illustrates the functional architecture of the WoT broker, divided into a Management PF and an HGW. The Management PF includes an Application interface, Virtual device, and HTTP processing. The HGW includes Data format conversion, HTTP/IP conversion, Device object, IP packet processing, Device interface conversion, HTTP/IP packet processing, and L2 frame processing. The HGW is connected to the Management PF via Command and WAN interfaces. The HGW is also connected to a Fully-fledged device and a Constrained device via IP HN and Non-IP HN interfaces, respectively. The Fully-fledged device includes HTTP processing, and the Constrained device includes L2 frame processing. The P-D reference point is shown between the HGW and the Fully-fledged device.](e9b43ac020435f8121e8592f31afdc52_img.jpg) + +The diagram illustrates the deployment model with WoT, showing the interaction between the Management PF, the HGW, and the physical devices. + +**Management PF:** Contains an Application interface, Virtual device, and HTTP processing. It interacts with the HGW via Command and WAN interfaces. + +**HGW:** Contains Data format conversion, HTTP/IP conversion, Device object, IP packet processing, Device interface conversion, HTTP/IP packet processing, and L2 frame processing. It is connected to the Management PF via Command and WAN interfaces. It also interacts with the physical devices via IP HN and Non-IP HN interfaces. The P-D reference point is shown between the HGW and the Fully-fledged device. + +**Physical Devices:** The Fully-fledged device includes HTTP processing. The Constrained device includes L2 frame processing. + +Y.2070(15)\_F1.1 + +Figure I.1: Deployment model with WoT. The diagram illustrates the functional architecture of the WoT broker, divided into a Management PF and an HGW. The Management PF includes an Application interface, Virtual device, and HTTP processing. The HGW includes Data format conversion, HTTP/IP conversion, Device object, IP packet processing, Device interface conversion, HTTP/IP packet processing, and L2 frame processing. The HGW is connected to the Management PF via Command and WAN interfaces. The HGW is also connected to a Fully-fledged device and a Constrained device via IP HN and Non-IP HN interfaces, respectively. The Fully-fledged device includes HTTP processing, and the Constrained device includes L2 frame processing. The P-D reference point is shown between the HGW and the Fully-fledged device. + +Figure I.1 – Deployment model with WoT + +The management PF provides the virtual devices to the application developers to be treated as web resources through the web-based application interface so that they can develop applications for the mash-up service defined in [b-ITU-T Y.2063], which is a combined service integrating WoT services in a WoT broker with web services outside of the WoT broker. + +In this way the architecture in this Recommendation provides the HEMS and the other HN services with the WoT. + +# Appendix II + +## Examples of HN applications + +(This appendix does not form an integral part of this Recommendation.) + +The distribute type architecture can be applied to various HN services. The following are examples of HN applications that support these services. + +### II.1 Home security + +A home security application detects threats using sensors installed in the home and alerts the security company to dispatch security guards. The sensors, such as human-aware sensors which detect suspicious persons, or fire sensors which detect a fire, are connected to the home security application through the HGW and the management PF. + +![Architecture diagram for home security application showing components inside and outside the home.](98e54d5540b2efe3e24af3cf936bc4ea_img.jpg) + +The diagram illustrates the architecture for a home security application. It is divided into two main sections by a vertical dashed line: 'Outside the home (Internet)' and 'Inside the home (HN)'. +In the 'Outside the home (Internet)' section, there is a 'Security company' box at the top and a 'Home security application' box below it. A solid double-headed arrow connects them. A dashed arrow points from the 'Security company' box to a silhouette of a running person. Below the 'Home security application' box is a 'Management PF' box, connected to it by a solid double-headed arrow. To the right of the 'Management PF' box is an 'IP network' cloud, connected to it by a solid double-headed arrow. +In the 'Inside the home (HN)' section, there is an 'HGW' (Home Gateway) box. A solid double-headed arrow connects the 'IP network' cloud to the 'HGW' box. From the 'HGW' box, two solid double-headed arrows point to two sensor boxes: 'Human aware sensor' and 'Fire sensor'. +The label 'Y.2070(15)\_F11.1' is located at the bottom right of the diagram. + +Architecture diagram for home security application showing components inside and outside the home. + +**Figure II.1 – Architecture with home security application** + +### II.2 Customer support with controlling access right to device + +Customer support is an important service as the HN is getting more complex with the variety of devices being connected. When the service does not work well, it is difficult to determine why and where the fault happens. The example shown in Figure II.2 assumes that two different customer support services are separately provided through the same management PF for each of the supporting devices (appliances) produced by companies A and B respectively. + +When the devices produced by more than two different companies are installed on the HN, the challenge for each device company is that each company could get fault information about the devices produced by the other company. Most of device companies prevent other companies from getting this information. + +Figure II.2 shows three services running on the management PF. In this case, the HN service provider's application is able to get diagnostic information, such as network disconnections through the management PF. The customer support service gets the detailed diagnostic information about the supporting device (e.g., the customer support service for company A gets the detailed fault information about the supporting device produced by company A). This service is provided because the management PF has a function for distributing information to the proper services. + +![Figure II.2 – Architecture with customer support application. This diagram illustrates a system architecture divided into 'Outside the home (Internet)' and 'Inside the home (HN)'. On the Internet side, there are three service boxes: 'HN service provider's application' (containing 'Device management'), 'Customer support service for company A' (containing 'Fault diagnosis'), and 'Customer support service for company B'. These connect to a 'Management PF' box which contains an 'Application interface', 'Applications management', 'Virtual device', and 'Resource management'. A callout from 'Applications management' states: 'Applications management gets management information (network and system information)'. On the HN side, there is an 'HGW' (Home Gateway) box. A callout from the connection between the Internet and HN states: 'Resource management controls access right to devices.' The HN side also contains two appliance boxes: 'Home appliance by company A' (containing 'Device object') and 'Home appliance by company B', both of which contain a 'Managed agent'. An 'IP network' cloud connects the Internet and HN sides. A label 'Y.2070(15)_FII.2' is at the bottom right.](692541e65db4dc852988ce77ebb60ce5_img.jpg) + +Figure II.2 – Architecture with customer support application. This diagram illustrates a system architecture divided into 'Outside the home (Internet)' and 'Inside the home (HN)'. On the Internet side, there are three service boxes: 'HN service provider's application' (containing 'Device management'), 'Customer support service for company A' (containing 'Fault diagnosis'), and 'Customer support service for company B'. These connect to a 'Management PF' box which contains an 'Application interface', 'Applications management', 'Virtual device', and 'Resource management'. A callout from 'Applications management' states: 'Applications management gets management information (network and system information)'. On the HN side, there is an 'HGW' (Home Gateway) box. A callout from the connection between the Internet and HN states: 'Resource management controls access right to devices.' The HN side also contains two appliance boxes: 'Home appliance by company A' (containing 'Device object') and 'Home appliance by company B', both of which contain a 'Managed agent'. An 'IP network' cloud connects the Internet and HN sides. A label 'Y.2070(15)\_FII.2' is at the bottom right. + +**Figure II.2 – Architecture with customer support application** + +### II.3 Room facility coordination for better sleep + +The room facility coordination service for better sleep maintains a suitable environment for sleep by adjusting room temperature, humidity and illumination by controlling the air conditioner and the lighting fixture. To achieve the condition for better sleep, sleep sensors monitor the sleep pattern, heart rate, breathing rate and snoring of the user to calculate the condition for better sleep. + +As the sleep sensor information is highly sensitive, the management PF strictly controls and delivers it to the proper service. In this case, the sleep monitoring service gets the data delivered from the sleep sensor exclusively. It provides the information about the suitable environment for better sleep to the room facility coordination service, as metadata, through an external interface. Then the room facility coordination service controls the air conditioner and the lighting fixture. + +![Figure II.3 – Architecture with room facility coordination application for better sleep. This diagram shows a similar architecture to Figure II.2, divided into 'Outside the home (Internet)' and 'Inside the home (HN)'. On the Internet side, there are two service boxes: 'Sleep monitoring service' (containing 'Device operation') and 'Room facility coordination service' (containing 'Device operation'). These connect to a 'Management PF' box containing 'Application interface', 'Applications management', 'Virtual device', and 'Resource management'. A callout from 'Applications management' states: 'Applications management controls access right to devices.' On the HN side, there is an 'HGW' (Home Gateway) box. A callout from the connection between the Internet and HN states: 'Sleep sensor produces highly sensitive data.' The HN side contains three appliance boxes: 'Sleep sensor' (containing 'Device object'), 'Lighting fixture' (containing 'Device object'), and 'Air conditioner' (containing 'Device object'). An 'IP network' cloud connects the Internet and HN sides. A label 'Y.2070(15)_FII.3' is at the bottom right.](933ecd14c858bf3fc919222d8e357bc8_img.jpg) + +Figure II.3 – Architecture with room facility coordination application for better sleep. This diagram shows a similar architecture to Figure II.2, divided into 'Outside the home (Internet)' and 'Inside the home (HN)'. On the Internet side, there are two service boxes: 'Sleep monitoring service' (containing 'Device operation') and 'Room facility coordination service' (containing 'Device operation'). These connect to a 'Management PF' box containing 'Application interface', 'Applications management', 'Virtual device', and 'Resource management'. A callout from 'Applications management' states: 'Applications management controls access right to devices.' On the HN side, there is an 'HGW' (Home Gateway) box. A callout from the connection between the Internet and HN states: 'Sleep sensor produces highly sensitive data.' The HN side contains three appliance boxes: 'Sleep sensor' (containing 'Device object'), 'Lighting fixture' (containing 'Device object'), and 'Air conditioner' (containing 'Device object'). An 'IP network' cloud connects the Internet and HN sides. A label 'Y.2070(15)\_FII.3' is at the bottom right. + +**Figure II.3 – Architecture with room facility coordination application for better sleep** + +## Appendix III + +## Security considerations based on [ITU-T X.1111] + +(This appendix does not form an integral part of this Recommendation.) + +[ITU-T X.1111] defines entities, relationship between the entities, security threats and security requirements, and describes security functions based on them. In Figure 11-1, there are six entities from the end user to the device and five relationships between them. Table III.1 shows the relationships of the security threats to the HEMS model. + +**Table III.1 – Relationship of security threats to HEMS model** + +| Entity or relations | General security threats | | | | | | +|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|-------------------|----------------------------|------------------------|-------------|-----------------------------------| +| | Disclosure/
Eavesdropping | Interrup-
tion | Modification/
Injection | Unauthorized
access | Repudiation | Packet
abnormal-
forwarding | +| Device | Y | Y | Y | Y | | | +| HGW | Y | Y | Y | Y | | Y | +| MPF | Y | Y | Y | Y | | | +| Application | Y | Y | Y | Y | | | +| IHD | Y | Y | Y | Y | | | +| User/IHD | | | | Y | | | +| IHD/Application | Y | Y | Y | Y | | | +| Application/MPF | Y | Y | Y | Y | | | +| MPF/HGW | Y | Y | Y | Y | Y | | +| HGW/Device | Y | Y | Y | Y | Y | | +| NOTE – MPF and user stand for the management PF and the end user respectively. The notation "xxx/yyy" in the column of "Entity or relations" means the relation between xxx and yyy. The letter "Y" in a cell designates that a particular threat exists for a specific entity or relation. | | | | | | | + +Although in [ITU-T X.1111] there are descriptions about mobile-oriented security threats, these are out of the scope of this Recommendation; it focuses on the security from the HN application to the devices. Table III.2 shows the relationships between the HEMS security requirements, the threats and the functions based on the security requirements listed in [ITU-T X.1111]. + +**Table III.2 – Relationship of HEMS security requirements, threats and functions** + +| Security requirement | General security threats | Security functions | +|---------------------------------|----------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------| +| Data confidentiality | Disclosure/Eavesdropping
Unauthorized access | Encryption
Access control
Key management | +| Data integrity | Modification/Injection
Packet abnormal-forwarding | Integrity
Message authentication code (MAC)
Digital signature
Notarization
Key management | +| Authentication | Disclosure/Eavesdropping
Interruption
Modification/Injection
Unauthorized access
Repudiation | MAC
Digital signature
Notarization
Key management | +| Non-repudiation | Repudiation | Digital signature
Notarization
Key management | +| Access control or authorization | Disclosure/Eavesdropping
Interruption
Modification/Injection
Unauthorized access | Encryption
MAC
Entity authentication
Digital signature
Access control
Key management | +| Availability | Interruption | MAC
Entity authentication
Digital signature
Access control
Key management
Anti-availability | +| Privacy security | Disclosure/Eavesdropping | Encryption
MAC
Entity authentication
Digital signature
Access control
Key management | +| Communication flow security | Packet abnormal-forwarding | Integrity
MAC
Entity authentication
Access control
Key management | + +The relationship between the security functions and the HEMS model for security (see Figure 11-1) are sorted in Table III.3 based on the security functions listed in Table III.2. + +**Table III.3 – Relationship between security functions and model** + +| Entity or relations | | Security Function | | | | | | | | | +|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------|-------------------|---------------|-----|----------------------------------|----------------------|------------------|-------------------|-----------------------|---------------------------| +| | | Encry
ption | Inte
grity | MAC | Entity
authe
nticati
on | Digital
signature | Notari
zation | Access
control | Key
manag
ement | Anti-
availab
ility | +| Stored data | Device | Y | Y | Y | Y | Y | – | – | – | Y | +| | HGW | Y | Y | Y | Y | Y | Y | Y | Y | Y | +| | MPF | Y | Y | Y | Y | Y | Y | Y | Y | Y | +| | Application | Y | Y | Y | Y | Y | Y | Y | Y | Y | +| | IHD | Y | Y | Y | Y | Y | Y | Y | Y | Y | +| Communication data | User/IHD | Y | – | – | Y | Y | – | – | Y | Y | +| | IHD/Application | Y | Y | Y | Y | Y | – | Y | Y | Y | +| | Application/MP
F | Y | Y | Y | Y | Y | Y | Y | Y | Y | +| | MPF/HGW | Y | Y | Y | Y | Y | – | Y | Y | Y | +| | HGW/Device | Y | Y | Y | – | – | – | – | – | Y | +| NOTE – MPF and user stand for the management PF and the end user respectively. The notation "xxx/yyy" in the column of "Entity or relations" means the relation between xxx and yyy. The letter "Y" in a cell designates that a particular security service can be provided by a corresponding security function. | | | | | | | | | | | + +When taking the relationship between the security functions and the model in Table III.3 into consideration, the security functions required for the entities in the architecture provided in this Recommendation are shown in Figure 11-2. + +The security functions are simplified into three functions shown in Figure 11-2, taking [b-ISO/IEC 27000] into account. They are the anti-availability, message authentication and entity authentication function. The common functions such as encryption and key management are omitted. The other functions are merged into the three functions. These functions correspond to the requirements of the information security: availability, integrity and confidentiality specified in [b-ISO/IEC 27000]. + +NOTE – [b-ISO/IEC 27000] provides the information security management system. The requirements are defined as follows: + +- **availability**: property of being accessible and usable upon demand by an authorized entity; +- **integrity**: property of accuracy and completeness; +- **confidentiality**: property that information is not made available or disclosed to unauthorized individuals, entities or processes. + +# Bibliography + +- [b-ITU-T J.190] Recommendation ITU-T J.190 (2002), *Architecture of MediaHomeNet that supports cable-based services*. +- [b-ITU-T Y.2063] Recommendation ITU-T Y.2063 (2012), *Framework of the web of things*. +- [b-ITU-T Y.2720] Recommendation ITU-T Y.2720 (2009), *NGN identity management framework*. +- [b-ISO/IEC 14543-3-x] ISO/IEC 14543-3-x:2006/2007, *Information technology – Home Electronic System (HES) architecture – Part 3-x*. +- [b-ISO/IEC 27000] ISO/IEC 27000:2014, *Information technology – Security techniques – Information security management systems – Overview and vocabulary*. +- [b-BACnet] ANSI/ASHRAE, *Standard 135-2004*. +- [b-BBF TR-069] Broadband Forum (2011), *TR-069 Amendment, 4CPE WAN Management Protocol*. +- [b-BBF TR-181] Broadband Forum (2012), *TR-181 Issue 2 Amendment 6, Device Data Model for TR-069*. +- [b-ECHONET Lite] ECHONET Consortium, *ECHONET Lite Specification Version 1.10*. +- [b-FG-Smart Terminology] ITU-T FG Smart Deliverable (2011), *Smart Grid Terminology*. +- [b-SEP 2.0] ZigBee Alliance, *Smart Energy Profile 2.0 Application Protocol*. +- [b-W3C WCterms] W3C (1999), *Web Characterization Terminology & Definitions Sheet*. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | 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Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3500–Y.3999 | +|-----------------|---------------| + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.2071 + +# Framework of a micro energy grid + +## Summary + +Recommendation ITU-T Y.2071 provides the framework of a micro energy grid for interconnected local generation and distribution. After identifying key features and high-level requirements from the concepts of the micro energy grid, this Recommendation provides an architecture overview including the domain model, as well as the reference architecture, and describes control and management services for a micro energy grid. Finally, this Recommendation shows core systems and components for a micro energy grid. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2071 | 2015-09-29 | 13 | 11.1002/1000/12581 | + +## Keywords + +Advanced metering infrastructure, demand response, distributed energy resources, micro energy grid. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2016 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-----------------------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 3 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 4 | +| 6 | Overview of a micro energy grid..... | 4 | +| 7 | Requirements for a micro energy grid..... | 5 | +| 8 | Architecture overview of a micro energy grid..... | 6 | +| 9 | Control and management services of a micro energy grid ..... | 8 | +| | 9.1 Advanced metering infrastructure (AMI) service ..... | 9 | +| | 9.2 Demand response (DR) management service..... | 10 | +| | 9.3 Customer energy management service..... | 11 | +| | 9.4 Distributed energy grid management service ..... | 12 | +| 10 | Core systems and components for a micro energy grid..... | 13 | +| | 10.1 Core systems for a micro energy grid..... | 13 | +| | 10.2 Key components for selective delivery of distributed energy resources
information ..... | 16 | +| | 10.3 Key components for calculating basic electricity charges..... | 16 | +| 11 | Security considerations..... | 17 | +| | Appendix I – Key functions for a micro energy grid..... | 18 | +| | Appendix II – Deployment models for a micro energy grid..... | 19 | +| | Appendix III – Operations and information flows for micro energy grid scenarios..... | 21 | +| | III.1 Automated power trading..... | 21 | +| | III.2 Real-time energy revenue calculation ..... | 22 | +| | III.3 Customer energy management services provisioning ..... | 24 | +| | Appendix IV – A mechanism for selective delivery of distributed energy resources
information from multiple slave devices ..... | 27 | +| | Appendix V – A mechanism for calculating basic electricity charges for partitioned
owners in an aggregate building..... | 29 | +| | Bibliography..... | 31 | + + + +## Recommendation ITU-T Y.2071 + +# Framework of a micro energy grid + +# 1 Scope + +This Recommendation provides the framework of a micro energy grid for interconnected local generation and distribution. After identifying key features and high-level requirements from the concepts of the micro energy grid, this Recommendation provides an architecture overview including the domain model as well as the reference architecture and describes control and management services for a micro energy grid. Finally this Recommendation shows core systems and components for a micro energy grid. + +This Recommendation covers: + +- Features and requirements of a micro energy grid; +- Architecture overview of a micro energy grid; +- Control and management services for a micro energy grid; +- Core systems and components of a micro energy grid. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[[ITU-T X.1111](#)] Recommendation ITU-T X.1111 (2007), *Framework of security technologies for home network*. + +[[ITU-T Y.2701](#)] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 aggregator** [b-ITU-T FG-Smart]: A system in smart grid for collecting the energy generated by residences and micro grids. + +**3.1.2 building automation system (BAS)** [b-ITU-T FG-Smart]: A system capable of computerized monitoring and control of a building's lighting and mechanical systems, and monitoring for performance and potential failure. + +**3.1.3 customer** [b-ITU-T FG-Smart]: The end user of energy or services, who may also generate, store, and manage the energy. Traditionally, three customer types are discussed, each with its own domain: residential, commercial and industrial. + +**3.1.4 customer information system (CIS)** [b-ITU-T FG-Smart]: A software application for handling customer calls, billing, and related operations. + +**3.1.5 data collector** [b-ITU-T FG-Smart]: A distributed processing device that has supervisory control or coordinates information exchanges from devices within a substation from a headend system. + +**3.1.6 demand response (DR)** [b-ITU-T FG-Smart]: A smart grid feature that allows consumers to reduce or change their electrical use patterns during peak demand, usually in exchange for a financial incentive. Mechanisms and incentives for utilities, business, industrial, and residential customers to cut energy use during times of peak demand or when power reliability is at risk. Demand response is necessary for optimizing the balance of power supply and demand. + +**3.1.7 distributed energy resources (DER)** [b-ITU-T FG-Smart]: Energy generation and energy storage facilities located at the customer premises, or power transmission and distribution systems. + +**3.1.8 energy management system (EMS)** [b-ITU-T FG-Smart]: A computer system comprising a software platform providing basic support services and a set of applications providing the functionality needed for the effective operation of electrical generation and transmission facilities so as to assure adequate security of energy supply at minimum cost. + +**3.1.9 energy services interface (ESI)** [b-ITU-T FG-Smart]: A set of functions consisting of gateway functions and functions required for smart grid applications to control and manage the smart grid services in the customer premises. + +**3.1.10 energy storage** [b-ITU-T FG-Smart]: Energy storage provides storage functions of electricity using various types of batteries. + +NOTE – One example usage of energy storage is used to respond effectively to a dynamic price mechanism from a utility network. The electric energy is stored in the storage during a relatively lower price period, while the stored electric energy may replace the higher price of electric power from the utility network. + +**3.1.11 meter data management system (MDMS)** [b-ITU-T FG-Smart]: Meter data management (MDM) refers to a key component in the smart grid infrastructure that is in the process of being evolved and adopted by utility companies. An MDM system (MDMS) performs long term data storage and management for the vast quantities of data that are now being delivered by smart metering systems. This data consists primarily of usage data and events that are imported from the head end servers that manage the data collection in advanced metering infrastructure (AMI) or automatic meter reading systems. + +An MDMS will typically import the data, then validate, cleanse and process it before making it available for billing and analysis. The more flexible the MDM application, the better it is able to integrate to existing enterprise applications and help to streamline utility business processes. Benefits can be seen in billing, customer service, outage management and analysis of utility operations. + +**3.1.12 sensor** [b-ITU-T FG-Smart]: Sensors are a significant component of the electrical grid; sensors are used in several ways: temperature monitoring, security, providing data for peak demand adjustment. They are integral components of a smart grid. + +**3.1.13 service provider** [b-ITU-T FG-Smart]: An organization providing smart grid related services to electrical customers and utilities. + +**3.1.14 smart grid** [b-ITU-T FG-Smart]: The "Smart Grid" is a two way electric power delivery network connected to an information and control network through sensors and control devices. This supports the intelligent and efficient optimization of the power network. + +**3.1.15 smart meter** [b-ITU-T FG-Smart]: Smart meter is a premise device to monitor and control electrical power usage of home devices based on "Demand Response (DR) information" from home devices. But, it is not recommended that the smart meter controls directly per each premise appliance because of the private security policy. To control and manage each premise appliance, it is required for a home management system such as a home gateway and a home server to support the control and management. + +**3.1.16 substation** [b-ITU-T FG-Smart]: The site where equipment for switching or regulating electrical voltage is located. + +**3.1.17 supervisory control and data acquisition (SCADA)** [b-ITU-T FG-Smart]: A computer system that monitors an industrial, infrastructure, or facility-based control process. + +**3.1.18 utility provider** [b-ITU-T FG-Smart]: An organization that provides electric power, gas and water. In smart grid, a utility company supplies electric power. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following term: + +**3.2.1 micro energy grid (MEG):** A group of interconnected loads and distributed energy resources within clearly defined electrical boundaries that act as a single controllable entity with respect to the utility grid. A micro energy grid can connect and disconnect from the utility grid to enable it to operate in utility grid-connected mode or island-mode. + +NOTE – A utility grid is a commercial electric power distribution system that takes electricity from a generator, transmits it over a certain distance, then takes the electricity down to the consumer through a distribution system. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|------------------------------------------| +| AMI | Advanced Metering Infrastructure | +| ATS | Automatic Transfer Switch | +| BAS | Building Automation System | +| BEMS | Building Energy Management System | +| CHP | Combined Heat and Power | +| CIS | Customer Information System | +| CTTS | Closed Transition Transfer Switch | +| DER | Distributed Energy Resources | +| DR | Demand Response | +| EMS | Energy Management System | +| ESI | Energy Services Interface | +| HAN | Home Area Network | +| HEMS | Home Energy Management System | +| ID | Identifier | +| LAN | Local Area Network | +| MDM | Meter Data Management | +| MDMS | Meter Data Management System | +| MEG | Micro Energy Grid | +| NAN | Neighbourhood Area Network | +| RER | Renewable Energy Resource | +| SCADA | Supervisory Control and Data Acquisition | + +# 5 Conventions + +In this Recommendation, + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. +- The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Overview of a micro energy grid + +The concept of a micro energy grid (MEG) is introduced so as to enhance the local reliability and flexibility of electric power systems, which may consist of multiple distributed energy resources (DER), customers and energy storage facilities. The MEG is considered as a small electric power system able to operate as a physical island or interconnected with the utility grids. + +NOTE – Due to increasing shortages in fossil fuels and the impelling pressures from environmental protection, new high efficiency energy generation sources such as fuel cells and micro gas turbines, as well as renewable energy resources (RERs) such as wind and solar power, are becoming the most important DER. + +In the MEG, there is an entity known as a prosumer that consumes and produces electricity, operates or owns a power system that contains sources, loads and energy storage, while optimizing the economic decisions regarding its energy utilization. The prosumer can be an owner of DERs and storage as well as a consumer as outlined below: + +- DER owner: An owner who operates a DER which is connected to the MEG. +- Consumer: A consumer of electricity that may be a private individual, a business building, a large industrial / manufacturing industry or a transportation system. The consumer acts as a customer and may operate smart appliances which are flexible in demand. +- Storage owner: A provider of storage capacity for storing and delivering energy. + +Therefore, the prosumer consumes, produces and stores energy and participates in a market externally. In addition, the prosumer operates a power system and economically optimizes its energy use internally. Stemming from the MEG concept and the roles of prosumers, the MEG can provide the following benefits: + +- Power is generated where it is needed, +- Ease of renewable energy integration, +- Local control and ownership, +- Reduction in transmission losses and carbon footprint, +- Stand-alone grid and operation in isolation mode in case of blackout, +- Ease of finance and faster to build. + +To support the MEG, the following features should be considered, [b-IEEE 1547.x] and [b-DOE MEG]: + +- **Autonomy:** The MEG includes generation, storage and loads and can operate autonomously in utility grid-connected mode and islanded mode. +- **Stability:** Independent local control of generators, batteries and loads of the MEG is based on frequency droops and voltage levels at the terminal of each device. + +NOTE – The MEG can operate in a stable manner during nominal operating conditions and during transient events, no matter whether the larger utility grid is up or down. + +- **Compatibility:** The MEG is completely compatible with the existing utility grid. MEGs may be considered as functional units that support the growth of the existing system in an economically and environmentally friendly way. +- **Flexibility:** The expansion and growth rate of the MEG does not need to follow any precise forecasts. The lead times of corresponding components (e.g., fossil-fueled and renewable generators, storage systems and others) are short and the MEG can grow incrementally. The MEG is also technology-neutral and able to cope with a diverse mixture of renewable and fossil-fueled generators. +- **Scalability:** The MEG can simply grow through the additional installation of generators, storage facilities and loads. Such an extension usually requires an incremental new planning of the MEG and can be performed in a parallel and modular manner in order to scale up to higher power production and consumption levels. +- **Efficiency:** Centralized as well as distributed MEG supervisory controller structures can optimize the utilization of generators, manage charging and discharging energy storage units and manage consumption. In this way energy management goals can be profoundly optimized in economic as well as environmental respects. +- **Economics:** The economics of heat recovery and its application by combined heat and power (CHP) systems is very important to the evaluation of the MEG. In addition, the utilization of RERs helps to reduce fuel costs and CO2 emissions. +- **Peer-to-peer model:** The MEG can support a true peer-to-peer model for operation, control and energy trade. In addition, interactive energy transactions with the centralized utility grid are also possible with this model. + +# 7 Requirements for a micro energy grid + +The MEG must meet several requirements to enable seamless operation. The MEG has the following high-level requirements: + +- It is required to provide open interfaces to easily support new applications and services to various stakeholders (e.g., service provider, consumer, etc.); +- It is required to support decentralized control for distributed generation and consumption; +- It is required to measure the demand, generation and status of each MEG component at various locations across the network; +- It is required to automatically configure and install new devices or systems for the MEG; +- It is required for a communication network to carry data across the various resources; +- It is required to interact with operators or any client or server to demonstrate and archive the MEG real-time data and receive the required commands and information; +- It is required to ensure interoperability between different information/communication models used in the MEG services, [b-NIST] and [b-IEEE 2030]; +- It is required to self-organize systems and dynamically coordinate controllers for the recovery in the case of a problem (e.g., a blackout); +- It is required to support highly secure and safe communications for the MEG services; +- It can be optionally required to minimize the total operation costs subject to different constraints and apply them automatically to the MEG components. + +MEG networks have the following high-level requirements. MEG networks are required to support: + +- Fault tolerance for reliability; + +- Seamless transfer between wired and wireless networks; +- Self-healing via topological reconfigurations; +- Communication security; +- Multi-point to multi-point data transfer in forming mesh network. + +# 8 Architecture overview of a micro energy grid + +The smart grid including the MEG may be considered as a conceptual model which has three top domains and nine specific domains as follows: + +- **Smart power grid:** generation, transmission and distribution; +- **Smart service:** market, operation and service provider; +- **Smart prosumer:** DER, customer and transportation. + +NOTE – DER and transportation are considered as separate domains from the NIST 7 domain model, [b-NIST]. + +For an MEG; generation, transmission and transportation are among nine specific domains that are not directly related to the MEG. In addition, the MEG provides the integrated operation and management of generation, consumption and customer services. Thus, the MEG service provider can include operation and the service provider. Figure 8-1 shows the simplified 6-domain model for an MEG drawn from the 9-domain model described above. This 6-domain model represents interactions and communication paths among domains. + +![Figure 8-1: 6-domain model for a micro energy grid. The diagram shows six domains arranged in two rows. The top row, under the heading 'Smart energy service', includes 'Markets' (blue box with charts), 'Operation' (blue box with server icons), and 'Service providers' (blue box with a person icon). The bottom row includes 'Distribution' (red box with power lines, labeled 'Micro energy grid'), 'DER' (yellow box with wind turbines), and 'Customer' (yellow box with a house and server, labeled 'Smart prosumer'). Dashed lines represent communication paths between all domains in a mesh topology. A legend at the bottom left shows a solid line for 'Domain' and a dashed line for 'Communication path'. The identifier 'Y.2071(15)_F8-1' is at the bottom right.](08441fa90c5fd11994626f662ac13f19_img.jpg) + +Figure 8-1: 6-domain model for a micro energy grid. The diagram shows six domains arranged in two rows. The top row, under the heading 'Smart energy service', includes 'Markets' (blue box with charts), 'Operation' (blue box with server icons), and 'Service providers' (blue box with a person icon). The bottom row includes 'Distribution' (red box with power lines, labeled 'Micro energy grid'), 'DER' (yellow box with wind turbines), and 'Customer' (yellow box with a house and server, labeled 'Smart prosumer'). Dashed lines represent communication paths between all domains in a mesh topology. A legend at the bottom left shows a solid line for 'Domain' and a dashed line for 'Communication path'. The identifier 'Y.2071(15)\_F8-1' is at the bottom right. + +**Figure 8-1 – 6-domain model for a micro energy grid** + +The reference architecture designed for an MEG takes into account this 6-domain model for an MEG. + +![Figure 8-2: Reference architecture for a micro energy grid. The diagram is divided into six main domains: Market, Operation, Service providers, Distribution, DER, and Customer. The Market domain includes an Energy market clearing house connected to an Internet/e-business cloud. The Operation domain includes Micro grid EMS, Demand response, MDMS, and an Enterprise bus, all connected to an Internet/e-business cloud and a Distribution SCADA cloud. The Service providers domain includes a Utility provider (Billing, CIS) and a Third-party provider (Retail energy provider, Billing, CIS, Aggregator, Home/building manager, Others), all connected to an Internet/e-business cloud. The Distribution domain includes Sensors and measurement devices, Grid-Tie switch/controller, and Protection and control devices, all connected to a Micro grid area networks cloud. The DER domain includes Electric power generation, Electric power storage, Heat generation, Heat storage, and a DER gateway/EMS, all connected to a Micro grid area networks cloud. The Customer domain includes an Energy services interface, Meter, Appliances, Customer equipments, Environment sensors, and a Customer EMS, all connected to a Premises networks cloud. Communication paths are shown as solid red lines for paths across domains and dashed black lines for paths within domains. A legend at the bottom defines the symbols: Domain (white box), Domain gateway actor (blue box), Information network (cloud), Communication path (dashed line), and Actor (black box).](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Y.2071(15)\_F8-2 + +Figure 8-2: Reference architecture for a micro energy grid. The diagram is divided into six main domains: Market, Operation, Service providers, Distribution, DER, and Customer. The Market domain includes an Energy market clearing house connected to an Internet/e-business cloud. The Operation domain includes Micro grid EMS, Demand response, MDMS, and an Enterprise bus, all connected to an Internet/e-business cloud and a Distribution SCADA cloud. The Service providers domain includes a Utility provider (Billing, CIS) and a Third-party provider (Retail energy provider, Billing, CIS, Aggregator, Home/building manager, Others), all connected to an Internet/e-business cloud. The Distribution domain includes Sensors and measurement devices, Grid-Tie switch/controller, and Protection and control devices, all connected to a Micro grid area networks cloud. The DER domain includes Electric power generation, Electric power storage, Heat generation, Heat storage, and a DER gateway/EMS, all connected to a Micro grid area networks cloud. The Customer domain includes an Energy services interface, Meter, Appliances, Customer equipments, Environment sensors, and a Customer EMS, all connected to a Premises networks cloud. Communication paths are shown as solid red lines for paths across domains and dashed black lines for paths within domains. A legend at the bottom defines the symbols: Domain (white box), Domain gateway actor (blue box), Information network (cloud), Communication path (dashed line), and Actor (black box). + +**Figure 8-2 – Reference architecture for a micro energy grid** + +As shown in Figure 8-2, the reference architecture for an MEG consists of domains, information networks, actors and communication paths as follows: + +- **Domain:** market, MEG service provider (operation and service provider), distribution, DER and customer; +- **Information network:** various types of networks for information delivery and resource sharing; +- **Actor:** devices, systems, or programs that make decisions and exchange information necessary for performing applications; +- **Communication path:** logical paths for data exchange between actors and/or between actors and information networks. It consists of communication paths within domains and communication paths across domains. + +The following information networks exist: + +- **Internet/e-business:** conventional public information networks such as Internet; +- **Enterprise bus:** each system for integrated operation and management services of the MEG is interconnected; +- **Micro grid area networks:** energy generation and distribution equipment within the MEG, related operating systems and meters in the customer side are interconnected. + +- **Premises networks:** networks for prosumers having the roles of consumer, DER owner and storage owner, they can be made of both public networks and private networks. + +Each domain has related actors as follows: + +- **Market domain:** Energy market clearing house; +- **Operation domain:** Micro grid EMS, demand response management system, meter data management system (MDMS), asset management and distribution supervisory control and data acquisition (SCADA); +- **Service provider domain:** Billing, customer information system (CIS), energy provider, aggregator and home/building manager; +- **Distribution domain:** Substation, Grid-Tie interface, data collector and field device; +- **DER domain:** Electric power generation, electric power storage, heat generation, heat storage and heat sensor; +- **Customer domain:** Energy services interface (ESI), meter, sub-meter, customer energy management system, customer appliance and equipment, environment sensor and building automation system (BAS). + +For an MEG, there are various systems and devices as follows: + +- **Distributed energy resource (DER)** +A DER includes distributed generation which is connected to the MEG. +NOTE – Photovoltaic systems, small wind turbines, heat or electricity storage, combined heat and power (CHP) and controllable loads are examples of DER. These devices provide intelligence to be monitored and controlled to support DER applications which increase the efficiency of energy supply and reduce the electricity delivery cost and carbon footprint. +- **Storage** +Storage provides an electricity reserve to the MEG. +NOTE – Batteries, super capacitors and flywheels to match generation with demand are examples of storage in MEG. According to different energy sources, there can be electric power storage and heat storage, etc. Storage can supply generation deficiencies, reduce load surges, reduce network losses, etc. +- **MEG control system** +An MEG control system consists of different subsystems of the MEG operator to ensure the control and management tasks of the MEG and the aggregation of supply and demand. +- **Home/building energy management system (HEMS/BEMS)** +A HEMS/BEMS acts at the interface between the smart home/building and the MEG. Each customer is controlled by a HEMS/BEMS which communicates in-house with electronic appliances and to the outside with the MEG control system. The HEMS/BEMS aggregates the services of the electronic appliances in the household and provides them to the MEG. +- **Network device** +An intelligent electrical device (e.g., so-called smart devices) in the MEG that can be supervised and controlled. +NOTE – Sensors and circuit-breakers or switches are examples of network devices. + +## 9 Control and management services of a micro energy grid + +This clause describes typical application services for control and management of MEGs and shows the reference model for each application service. + +As shown in Figure 9-1, there are four typical application services for control and management of an MEG: advance metering infrastructure (AMI), demand response (DR) management, customer energy management system and distributed energy grid management. + +![Diagram showing four typical application services for control and management of a micro energy grid (MEG). A central yellow oval labeled 'Control and management of micro energy grid' is connected by lines to four stacked green rectangular boxes on the right. The boxes are labeled: 'Advanced metering infrastructure (AMI) service', 'Demand response (DR) management service', 'Customer energy management service', and 'Distributed energy grid management service'.](bd0b93e7a46ede276d0a3b79ac487bd9_img.jpg) + +``` +graph LR; A([Control and management of micro energy grid]) --- B[Advanced metering infrastructure (AMI) service]; A --- C[Demand response (DR) management service]; A --- D[Customer energy management service]; A --- E[Distributed energy grid management service]; +``` + +Y.2071(15)\_F9-1 + +Diagram showing four typical application services for control and management of a micro energy grid (MEG). A central yellow oval labeled 'Control and management of micro energy grid' is connected by lines to four stacked green rectangular boxes on the right. The boxes are labeled: 'Advanced metering infrastructure (AMI) service', 'Demand response (DR) management service', 'Customer energy management service', and 'Distributed energy grid management service'. + +**Figure 9-1 – Four typical application services for control and management of an MEG** + +A reference model for each MEG application service is designed to support interoperability among systems which are developed independently for application services. From the related applications and data information flows, the reference model represents the actors' configuration of each domain and the interfaces among actors. + +### **9.1 Advanced metering infrastructure (AMI) service** + +AMI is an infrastructure for the collection and management of energy (e.g., electricity, gas, heat, etc.) consumption measurement data for each building within the MEG domain. Using bidirectional communications, it can provide real-time pricing information to customers for saving on energy consumption. AMI also provides an environment for the production and resale of renewable energy (e.g., solar, water, wind, etc.). + +Figure 9-2 shows the configuration of actors in each domain (e.g., MEG service provider, distribution, DER and customer) and the relationships among actors as a reference model for AMI services based on the reference architecture for an MEG. + +![Figure 9-2: A reference model for AMI services. The diagram is divided into six main domains: Market, Operation, Service providers, Distribution, DER, and Customer. The Market domain contains the Energy market clearing house. The Operation domain contains MDMS, Distribution SCADA, and Metering system. The Service providers domain is split into Utility provider (Billing, CIS) and Third-party provider (Billing, CIS, Retail energy provider). The Distribution domain contains Sensors and measurement devices. The DER domain contains DER gateway/EMS. The Customer domain contains Energy services interface, Meter, and Customer EMS. Lines indicate data flow and connections between these components across the domains.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +Y.2071(15)\_F9-2 + +Figure 9-2: A reference model for AMI services. The diagram is divided into six main domains: Market, Operation, Service providers, Distribution, DER, and Customer. The Market domain contains the Energy market clearing house. The Operation domain contains MDMS, Distribution SCADA, and Metering system. The Service providers domain is split into Utility provider (Billing, CIS) and Third-party provider (Billing, CIS, Retail energy provider). The Distribution domain contains Sensors and measurement devices. The DER domain contains DER gateway/EMS. The Customer domain contains Energy services interface, Meter, and Customer EMS. Lines indicate data flow and connections between these components across the domains. + +**Figure 9-2 – A reference model for AMI services** + +### 9.2 Demand response (DR) management service + +In the case where power reliability is at risk or where energy use within the MEG domain is at peak demand, DR management services provide mechanisms or incentives to reduce energy use. In this way DR management services optimize the balance of energy supply and demand within the MEG domain. + +Figure 9-3 shows the configuration of actors in each domain and the relationships among actors as a reference model for a DR management service based on the reference architecture for an MEG. + +![A reference model for DR management services diagram showing Market, Operation, Service providers, Distribution, DER, and Customer components and their interconnections.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +The diagram illustrates a reference model for Demand Response (DR) management services, organized into six main functional areas: + +- Market:** Contains the 'Energy market clearing house'. +- Operation:** Contains 'MDMS', 'Distribution SCADA', and 'Demand response'. +- Service providers:** Divided into two sub-sections: + - Utility provider:** Contains 'Billing' and 'CIS'. + - Third-party provider:** Contains 'Billing', 'CIS', and 'Retail energy provider'. +- Distribution:** Contains the 'Grid-Tie switch/controller'. +- DER (Distributed Energy Resource):** Contains 'Electric power generation', 'Electric power storage', 'DER gateway/EMS', 'Heat generation', and 'Heat storage'. +- Customer:** Contains 'Energy services interface', 'Appliances', 'Customer equipments', and 'Customer EMS'. + +Interconnections show data and control flows between these components, such as the 'Energy market clearing house' interacting with 'MDMS' and 'Distribution SCADA', and the 'DER gateway/EMS' acting as a central hub for DER components and connecting to the 'Customer' and 'Service providers'. + +A reference model for DR management services diagram showing Market, Operation, Service providers, Distribution, DER, and Customer components and their interconnections. + +Y.2071(15)\_F9-3 + +**Figure 9-3 – A reference model for DR management services** + +### 9.3 Customer energy management service + +A customer energy management service provides remote control and monitoring services of the building's mechanical and electrical equipment (e.g., ventilation, lighting, power systems, fire systems and security systems) in a particular area. These services include energy supply status monitoring, efficiency diagnosis of equipment, automatic data reporting of the building automation system (BAS) to save energy consumption of buildings with data from various kinds of energy sources (e.g., heating and cooling, electricity, renewable energy, etc.). + +![Figure 9-4: A reference model for a customer energy management service. The diagram is organized into two rows and three columns of domains. Top row: Market (Energy market clearing house), Operation (Demand response, MDMS), and Service providers (Third-party provider, Home/building manager). Bottom row: Distribution (Sensors and measurement devices, Grid-Tie switch/controller), DER (Electric power generation, Electric power storage, DER gateway/EMS, Heat generation, Heat storage), and Customer (Energy services interface, Meter, Appliances, Customer EMS, Environment sensors, Customer equipments). Lines indicate inter-domain relationships between actors.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +The diagram illustrates a reference model for a customer energy management service, structured into two rows and three columns of domains. The top row includes Market, Operation, and Service providers. The bottom row includes Distribution, DER (Distributed Energy Resource), and Customer. Actors within these domains are connected by lines representing relationships. + +- Market:** Contains the Energy market clearing house. +- Operation:** Contains Demand response and MDMS. +- Service providers:** Contains a Third-party provider and a Home/building manager. +- Distribution:** Contains Sensors and measurement devices and a Grid-Tie switch/controller. +- DER:** Contains Electric power generation, Electric power storage, a central DER gateway/EMS, Heat generation, and Heat storage. +- Customer:** Contains an Energy services interface, a Meter, Appliances, a Customer EMS, Environment sensors, and Customer equipments. + +Key connections include: + + +- Energy market clearing house (Market) connecting to MDMS (Operation). +- Demand response (Operation) connecting to Home/building manager (Service providers). +- MDMS (Operation) connecting to Home/building manager (Service providers). +- Home/building manager (Service providers) connecting to Energy services interface (Customer). +- Sensors and measurement devices (Distribution) connecting to DER gateway/EMS (DER). +- Grid-Tie switch/controller (Distribution) connecting to DER gateway/EMS (DER). +- DER gateway/EMS (DER) connecting to Customer EMS (Customer). +- Energy services interface (Customer) connecting to Meter (Customer). +- Energy services interface (Customer) connecting to Appliances (Customer). +- Customer EMS (Customer) connecting to Environment sensors (Customer). +- Customer EMS (Customer) connecting to Customer equipments (Customer). + +Figure 9-4: A reference model for a customer energy management service. The diagram is organized into two rows and three columns of domains. Top row: Market (Energy market clearing house), Operation (Demand response, MDMS), and Service providers (Third-party provider, Home/building manager). Bottom row: Distribution (Sensors and measurement devices, Grid-Tie switch/controller), DER (Electric power generation, Electric power storage, DER gateway/EMS, Heat generation, Heat storage), and Customer (Energy services interface, Meter, Appliances, Customer EMS, Environment sensors, Customer equipments). Lines indicate inter-domain relationships between actors. + +Y.2071(15)\_F9-4 + +**Figure 9-4 – A reference model for a customer energy management service** + +Figure 9-4 shows the configuration of actors in each domain and the relationships among actors as a reference model for a customer energy management service based on the reference architecture for an MEG. + +### 9.4 Distributed energy grid management service + +A distributed energy grid management service provides the environment to support optimized supply management and grid operations through integrated surveillance control for energy resource management, energy grid operation and internal network information within the MEG domain. + +Figure 9-5 shows the configuration of actors in each domain and the relationships among actors as a reference model for a distributed energy grid management service based on the reference architecture for an MEG. + +![Figure 9-5: A reference model for distributed energy grid management service. The diagram is divided into six main functional areas: Market, Operation, Service providers, Distribution, DER (Distributed Energy Resources), and Customer. The Market area includes the Energy market clearing house. The Operation area includes Demand response, Micro grid EMS, and Distribution SCADA. The Service providers area includes a Utility provider (with CIS) and a Third-party provider (with an Aggregator). The Distribution area includes Sensors and measurement devices, Grid-Tie switch/controller, and Protection and control devices. The DER area includes Electric power generation, Electric power storage, DER gateway/EMS, Heat generation, and Heat storage. The Customer area includes the Energy services interface. Connections show the flow of information and control between these components, such as the Energy market clearing house interacting with the Distribution SCADA and the Aggregator, and the DER gateway/EMS interacting with the Micro grid EMS and the Energy services interface.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +Y.2071(15)\_F9-5 + +Figure 9-5: A reference model for distributed energy grid management service. The diagram is divided into six main functional areas: Market, Operation, Service providers, Distribution, DER (Distributed Energy Resources), and Customer. The Market area includes the Energy market clearing house. The Operation area includes Demand response, Micro grid EMS, and Distribution SCADA. The Service providers area includes a Utility provider (with CIS) and a Third-party provider (with an Aggregator). The Distribution area includes Sensors and measurement devices, Grid-Tie switch/controller, and Protection and control devices. The DER area includes Electric power generation, Electric power storage, DER gateway/EMS, Heat generation, and Heat storage. The Customer area includes the Energy services interface. Connections show the flow of information and control between these components, such as the Energy market clearing house interacting with the Distribution SCADA and the Aggregator, and the DER gateway/EMS interacting with the Micro grid EMS and the Energy services interface. + +**Figure 9-5 – A reference model for distributed energy grid management service** + +# **10 Core systems and components for a micro energy grid** + +### **10.1 Core systems for a micro energy grid** + +Figure 10-1 shows a configuration of core systems to support an MEG. The customer premises network domain includes a power trading system, an energy revenue calculating system and a customer energy management service provisioning system including other devices (e.g., customer energy devices, smart meter, control point and grid linked inverter, etc.). These systems are connected to each other through a customer premises network (e.g., home network, building network, etc.). Through the Internet, several kinds of servers are also interconnected to support various applications/services for an MEG. + +NOTE 1 – the control point receives power purchasing and selling prices from the users and provides the accounting information about power purchasing and selling to the users. + +NOTE 2 – the grid linked inverter converts power input to and output from the power storage system/device in accordance with requests from the power trading system while interlocked with the utility grid. + +NOTE 3 – Energy revenue means income from the sale of energy generated from energy resources in the MEG to utility grids. Energy profits or net income generally implies total revenue minus total expenses in a given period. + +![Figure 10-1: Configuration of core systems to support a micro energy grid. The diagram shows a central 'Internet' cloud connected to various servers: Accounting server, Power market server, Real-time energy pricing information providing server, Customer energy management service provider server, and Customer energy management service advertisement server. Below the Internet cloud is the 'Customer premises network' cloud, which is connected to a Power trading system, Customer energy management service provisioning system, Control point, Smart meter, and Grid linked inverter. The Customer premises network is also connected to three identical blocks representing energy measurement and storage: Block 1 (Energy inflow and outflow measuring device 1, Energy revenue calculating system, Renewable energy source), Block 2 (Energy inflow and outflow measuring device 2, Energy revenue calculating system, Electronic device including electric power storage device), and Block 3 (Energy inflow and outflow measuring device 3, Energy revenue calculating system, Electronic power storage device).](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +Y.2071(15)\_F10-1 + +Figure 10-1: Configuration of core systems to support a micro energy grid. The diagram shows a central 'Internet' cloud connected to various servers: Accounting server, Power market server, Real-time energy pricing information providing server, Customer energy management service provider server, and Customer energy management service advertisement server. Below the Internet cloud is the 'Customer premises network' cloud, which is connected to a Power trading system, Customer energy management service provisioning system, Control point, Smart meter, and Grid linked inverter. The Customer premises network is also connected to three identical blocks representing energy measurement and storage: Block 1 (Energy inflow and outflow measuring device 1, Energy revenue calculating system, Renewable energy source), Block 2 (Energy inflow and outflow measuring device 2, Energy revenue calculating system, Electronic device including electric power storage device), and Block 3 (Energy inflow and outflow measuring device 3, Energy revenue calculating system, Electronic power storage device). + +**Figure 10-1 – Configuration of core systems to support a micro energy grid** + +A **power trading system** calculates power usage and sales charges of users with power prices that change in real-time based on time synchronization in an MEG environment and automatically purchases and sells power in accordance with power trading prices set by the users. + +The power trading system includes the following components: + +- **Time synchronous unit:** This unit synchronizes at least one of a power market server and a smart meter and an authorized time information providing server with time so that the users may purchase or sell power at desired prices among power prices that change in real-time. +- **Power trading price setting unit:** This unit sets power purchasing and selling prices that are input by the users as reference prices for power trading. +- **Power purchasing and selling price monitoring unit:** This unit receives power purchasing and selling price information from the power market server or a utility service provider system, monitors power purchasing and selling prices that change in real-time based on the received power purchasing and selling price information. The unit then compares the received power purchasing and selling prices with the reference prices for power trading that are set by the power trading price setting function in order to analyse the comparison result. +- **Inverter and power storage system controller:** This controls the power conversion of an inverter as well as the charging and discharging of the power storage system/device in order to purchase and sell power at the reference prices set when the power purchasing and selling prices received by the power purchasing and selling price monitoring unit match the reference prices set by the users. +- **Accounting and information output unit:** This unit outputs accounting information about power purchases and sales based on power charger information generated by purchasing power at the reference prices when the users request to purchase power or in real-time and also outputs incentive information obtained by selling power. + +An **energy revenue calculating system** is used for calculating energy revenues of electric power devices based on real-time pricing. + +The energy revenue calculating system includes the following components: + +- **Time synchronizing unit:** This unit communicates with a real-time energy pricing information providing server and an authorized time information providing server. It receives time information from the real-time energy information providing server which is the authorized time information providing server. Then, the time synchronizing unit synchronizes time between the energy revenue calculating system and the real-time energy pricing information providing server, based on the received time information. +- **Real-time energy pricing information synchronizing unit:** This unit receives real-time energy sale price information that changes in real-time from the real-time energy pricing information providing server. It synchronizes an energy sale price previously stored in the energy revenue calculating system with the received real-time energy sale price, based on a price change schedule received from the real-time energy pricing information providing server. The unit then stores the synchronized energy sale price in a database. +- **Energy flow and outflow measuring unit:** This unit measures an amount of energy that flows into and out of electric power devices (e.g., a renewable energy source, an electric power storage device, an electric device including an electric power storage device). In Figure 10-1, the renewable energy source, the electric device and the electric power storage device are connected to one another over a customer premises network. The amount of energy is determined using measuring devices included in each of the renewable energy source, in the electric device including an electric power storage device and in the electric power storage device. +- **Real-time energy revenue calculating unit:** This unit calculates energy revenues with respect to each of the renewable energy source, the electric device including an electric power storage device and the electric power storage device for a predetermined time period, based on the synchronized energy sale price and the measured amount of energy. +- **Real-time energy revenue output unit:** This unit outputs the energy revenues calculated by the real-time energy revenue calculating unit so that a user verifies the information about the energy revenues through the electric power devices in real-time. It provides the energy revenues with the renewable energy source, the electric device and the electric power storage device, which are connected to one another over a customer premises network. + +A **customer energy management service provisioning system** allows a service user to selectively subscribe to a variety of the customer energy management services under an MEG environment, automatically searches for the customer energy devices that are capable of interworking with a subscribed service and forwards the customer energy management messages to the customer energy devices, thereby provisioning the customer energy management service provider server of the third party at a remote location. + +A customer energy management service provisioning system includes the following components: + +- **Customer energy management service subscription unit:** This unit receives the service advertisement information from the customer energy management service advertisement server, extracts a list of the customer energy management services and supplies the service user with the list of the customer energy management services that the subscription of the service user allows. Furthermore, when the service user requests to subscribe to a service, the customer energy management service subscription unit mutually authenticates with the customer energy management service provider server which provides the service selected by the service user and receives a secret key for encryption and decryption of the message. + +- **Security memory area management unit:** This unit manages a secret key that is received by the customer energy management service subscription unit and a memory area for securely storing security information related to the service provisioning. +- **Customer energy device management unit:** This unit searches for customer energy devices on the customer premises network to assign unique identifiers (IDs) to the searched devices and transmits a list of the searched customer energy devices to the customer energy management service provider server. +- **Encryption/decryption processing unit:** This unit encrypts and decrypts the message, which is transmitted to and received from the customer energy management service provider server, using the secret key which is managed by the security memory area management unit. +- **Customer energy management message processing unit:** This unit performs a data processing operation such as data conversion on the customer energy management message being transmitted and received between the customer energy management service provider server and the customer energy devices, to provide the processed message to the customer energy devices. + +### 10.2 Key components for selective delivery of distributed energy resources information + +This clause illustrates the system for delivering only selected information from a distributed energy management server in real-time after collecting DER information from multiple slave devices such as switch controllers (e.g., automatic transfer switch (ATS), closed transition transfer switch (CTTS), etc.) and sensors for checking vibration, temperature, noise, etc. + +![Figure 10-2: System architecture of key components for selective delivery of distributed energy resources information. The diagram shows a 'Utility grid' connected to a 'Switch', which is connected to 'Distributed energy resources'. A 'Selective delivery system of distributed energy resources information' box contains a 'Switch controller' connected to the 'Switch'. Inside this box, 'Sensors' are connected to a 'Distributed energy resources data feeder', which is connected to a 'Distributed energy resources management server'.](e180f2b5fcbe8001554a7c0677cd3f82_img.jpg) + +``` + +graph TD + UG[Utility grid] --- S[Switch] + S --- DER[Distributed energy resources] + subgraph SDDS [Selective delivery system of distributed energy resources information] + SC[Switch controller] + DER_FF[Distributed energy resources data feeder] + DER_MS[Distributed energy resources management server] + SENS[Sensors] + SC --- DER_FF + SENS --- DER_FF + DER_FF --- DER_MS + end + S --- SC + +``` + +Y.2071(15)\_F10-2 + +Figure 10-2: System architecture of key components for selective delivery of distributed energy resources information. The diagram shows a 'Utility grid' connected to a 'Switch', which is connected to 'Distributed energy resources'. A 'Selective delivery system of distributed energy resources information' box contains a 'Switch controller' connected to the 'Switch'. Inside this box, 'Sensors' are connected to a 'Distributed energy resources data feeder', which is connected to a 'Distributed energy resources management server'. + +**Figure 10-2 – System architecture of key components for selective delivery of distributed energy resources information** + +Figure 10-2 shows the selective delivery system with key components for DER information with multiple slave devices. A switch controller enables the DER to interwork with the utility grid. It also controls the switch for independently establishing the MEG and receives DER status information. Sensors are installed near the DER in order to sense vibration, noise and temperature, etc. A DER data feeder collects information from the switch controller and sensors and delivers only selected information to the DER management server from among the subscribed data. The DER management server receives the subscribed data from the DER data feeder and utilizes the information to manage the DER. + +### 10.3 Key components for calculating basic electricity charges + +This clause illustrates the system for calculating basic electricity charge per a partitioned owner in an aggregate building based on periodic electricity usages from smart meters and shares owned by a partitioned owner in an MEG environment of aggregate buildings. + +![Figure 10-3: System architecture of key components for calculating basic electricity charges per a partitioned owner in an aggregate building. The diagram shows a Utility company electricity reading system connected to the Internet, which in turn connects to the Aggregate building basic electricity charge calculation system. The Utility company smart meter also connects to the Aggregate building basic electricity charge calculation system. The Aggregate building basic electricity charge calculation system connects to the Customer premises network, which then connects to multiple Smart meters.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +``` + +graph LR + UCRS[Utility company electricity reading system] --- Internet((Internet)) + UCRS --- UCM[Utility company smart meter] + Internet --- ABC[Aggregate building basic electricity charge calculation system] + UCM --- ABC + ABC --- CPN((Customer premises network)) + CPN --- SM1[Smart meter] + CPN --- SM2[Smart meter] + CPN --- SM3[Smart meter] + CPN --- SM4[Smart meter] + CPN --- SM5[Smart meter] + +``` + +Y.2071(15)\_F10-3 + +Figure 10-3: System architecture of key components for calculating basic electricity charges per a partitioned owner in an aggregate building. The diagram shows a Utility company electricity reading system connected to the Internet, which in turn connects to the Aggregate building basic electricity charge calculation system. The Utility company smart meter also connects to the Aggregate building basic electricity charge calculation system. The Aggregate building basic electricity charge calculation system connects to the Customer premises network, which then connects to multiple Smart meters. + +**Figure 10-3 – System architecture of key components for calculating basic electricity charges per a partitioned owner in an aggregate building** + +Figure 10-3 shows the system with key components for calculating basic electricity charge considering shares owned by a partitioned owner and peak demand electricity of an individual owner based on electricity usages. + +The **aggregate building basic electricity charge calculation system** periodically collects electricity usages of partitioned owners and calculates basic electricity charge per a partitioned owner. Smart meters provide the meter reading information periodically to the aggregate building basic electricity charge calculation system. A customer premises network is used for communications between the aggregate building basic electricity charge calculation system and smart meters. The aggregate building basic electricity charge calculation system also receives the total charge of electricity usages of an aggregate building from the utility company smart meter and related information for electricity usage from the utility company electricity reading system via Internet. + +## 11 Security considerations + +The security considerations in an MEG should be in accordance with the security requirements in [\[ITU-T X.1111\]](#) and [\[ITU-T Y.2701\]](#). + +An MEG should consider various security aspects in terms of physical security, system security, and operation security as follows: + +- Verifying the identity of an entity (e.g., user, process, or device) for accessing to resources in an MEG system; +- Determining the adequacy of security requirements and ensuring compliance with the established security policy and procedures for an MEG; +- Authorization to use various services in an MEG system; +- Supporting cryptography and validation mechanisms for data integrity in an MEG; +- Providing the privacy considerations with respect to an MEG. + +# Appendix I + +## Key functions for a micro energy grid + +(This appendix does not form an integral part of this Recommendation.) + +This appendix shows key functions for an MEG from the functional model of a smart grid [b-ITU-T FG-Smart-Arch]. + +The functional model of a smart grid identified the principle functional groups for a smart grid, including the end-user functions, the application functions, the smart metering functions, the energy control functions, the power grid functions, the network functions, the management functions and the security functions. These functions can be applied for an MEG. Specifically the power grid functions and the energy control functions are quite important in supporting core roles for distributed energy characteristics of an MEG. Other functions can be used commonly by both the smart grid and MEG without significant changes. + +For an MEG, key functions within each functional group are shown in Table I.1. + +**Table I.1 – Key functions for an MEG from the functional model of a smart grid** + +| | Functional group | Key functions | +|-----------------------------------------------------------------------------------------|---------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| 1 | Customer functions |
  • • Local energy generation and storage
  • • Home/building energy management and automation
  • • Electric vehicle charging
  • • Energy demand response
| +| 2 | Micro energy grid functions
(Power grid functions*) |
  • • DER
  • • Distributed energy storage
  • • Integration of distributed renewable generation
  • • Efficient intelligent energy distribution
| +| 3 | Network functions |
  • • Reliability and failure protection
  • • End-to-end reliable data transport
  • • End-to-end communication management
  • • QoS control and management
| +| 4 | Smart metering functions |
  • • Meter control, maintenance
  • • Meter reading and data management
| +| 5 | Micro energy control functions
(Energy control functions*) |
  • • Monitoring and management of DER
  • • Electric vehicle charging
  • • Management of energy capacity planning
| +| 6 | Application functions |
  • • AMI service support
  • • DR service support
  • • Group-BEMS service support
  • • MEG management service support
| +| 7 | Management functions |
  • • Application management
  • • Device management
  • • Network management
| +| 8 | Security functions |
  • • Identification and authentication
  • • Audit and accountability
  • • Access control
  • • Data integrity
  • • Privacy preserving
| +| *: This symbol stands for the functions' names in the functional model of a smart grid. | | | + +# Appendix II + +## Deployment models for a micro energy grid + +(This appendix does not form an integral part of this Recommendation.) + +Communication networks connect various power systems for generation, transmission, distribution and consumption and the information and operation software platforms. Information containing the real-time data that reflects the status of the utility grid is transmitted and exchanged bi-directionally among the grid operators, consumers and ecosystem operators. + +In general, smart grid networks can be categorized into several logical components based on their coverage, such as home area networks (HANs), local area network (LANs), neighbourhood area network (NANs), wide area networks (WANs) and access networks as shown in Table II.1. + +**Table II.1 – Major components of smart grid networks** (source: [b-ITU-T FG-Smart]) + +| Term | Definition | +|---------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Wide area network | A wide area network (WAN) is a communication network that covers a wide geographical area and accommodates terminals and LANs. This is typically called a "back haul" network in a smart grid environment. | +| Local area network | A local area network (LAN) is a network that connects computers and devices in a limited geographical area such as a home, a computer laboratory, an office building and a closely positioned group of buildings. | +| Home area network | In smart grid applications, home area networks (HANs) refer to the networks in the homes that interconnect energy devices, including appliances, energy management stations, plug-in electrical vehicle chargers and energy sources. | +| Access network | An access network refers to a network which connects subscribers to their immediate service provider. It is contrasted with the core (or transport) network in a wide area network. | +| Neighborhood area network | A neighborhood area network (NAN), is an access network that allows a smart grid end-device and home area networks to connect to a wide area network. | + +The MEG concept is the division of a large scale utility grid into small community utility grids. Each of these small community grids contains local traditional power generation and RERs; i.e., dividing the large metropolitan smart grid area into smaller segments. Each of the segments is an autonomous stand-alone grid that can be called an MEG. This MEG can be managed locally and can be integrated to the larger grid to trade power and exchange information when needed. + +![A hierarchical diagram showing the deployment model for micro energy grid networks. At the top is 'Wide area network'. It branches into 'Micro grid area networks' and 'Neighborhood area networks'. 'Micro grid area networks' contains 'Distributed automation' and 'Electric vehicle'. 'Neighborhood area networks' is empty. Both 'Micro grid area networks' and 'Neighborhood area networks' connect to four bottom-level nodes: 'Private micro grid networks', 'In-vehicle networks', 'Building networks', and 'Residential home networks'.](cbdfdade780e677eb1c1aef3081ce9ef_img.jpg) + +``` + +graph TD + WAN([Wide area network]) --> MGAN([Micro grid area networks]) + WAN --> NAGN([Neighborhood area networks]) + MGAN --> DA([Distributed automation]) + MGAN --> EV([Electric vehicle]) + NAGN --> PMGN([Private micro grid networks]) + NAGN --> INVN([In-vehicle networks]) + NAGN --> BN([Building networks]) + NAGN --> RHN([Residential home networks]) + MGAN --> PMGN + MGAN --> INVN + MGAN --> BN + MGAN --> RHN + +``` + +Y.2071(15)\_FII.1 + +A hierarchical diagram showing the deployment model for micro energy grid networks. At the top is 'Wide area network'. It branches into 'Micro grid area networks' and 'Neighborhood area networks'. 'Micro grid area networks' contains 'Distributed automation' and 'Electric vehicle'. 'Neighborhood area networks' is empty. Both 'Micro grid area networks' and 'Neighborhood area networks' connect to four bottom-level nodes: 'Private micro grid networks', 'In-vehicle networks', 'Building networks', and 'Residential home networks'. + +**Figure II.1 – Deployment model for micro energy grid networks** + +Figure II.1 shows an example of a deployment model for MEG networks which consists of micro grid area networks, private micro grid networks and customer premises networks (e.g., building networks, residential home networks, etc.) which provide the communications between the appliances and equipment with the customers' premises. + +# Appendix III + +## Operations and information flows for micro energy grid scenarios + +(This appendix does not form an integral part of this Recommendation.) + +### III.1 Automated power trading + +The following illustrates detailed operations for a time synchronization based automated power trading method for real-time pricing: + +- **Operation 1:** The power trading system synchronizes at least one of the power market server and the smart meter and the time information providing server with time in order to purchase or sell power at the prices set by the users in real-time pricing. +- **Operation 2:** The power trading system receives power purchasing and selling prices by the users to set the received power purchasing and selling prices as the reference prices for power trading. +- **Operation 3:** The power trading system receives power purchasing and selling prices that change in real-time based on the power purchasing and selling price information and compares the power purchasing and selling prices to the predetermined reference prices for power trading. +- **Operation 4:** When the power purchasing and selling prices reach the reference prices, the power trading system controls the power conversion of the inverter and the charge and discharge of the power storage system/device in order to purchase and sell power at the reference prices. + +Figure III.1 is an information flow diagram illustrating a time synchronization based automated power trading method for real-time pricing. + +1. In order to calculate the power using and selling charges of the users with the power prices that change reflected in real-time based on time synchronization and to automatically purchase and sell power in accordance with the power trading prices set by the users, a smart meter first synchronizes a power market server with time information. +2. A power trading system receives time information from the smart meter whose time is synchronized with the power market server so that the time information coincides. +3. When the users set the power trading prices in the power trading system through a control point, the power trading system receives power purchasing and selling price information from the power market server to monitor power purchasing and selling price in real-time. +4. The power trading system controls the power conversion of a grid linked inverter when the power purchasing and selling prices reach the reference prices set by the users. +5. The power trading system controls the charge and discharge of a power storage system. +6. The smart meter informs an accounting server of a changing amount of input and output power. +7. When the users request accounting information through the control point, the power trading system requests the accounting server to verify the accounting information. +8. Subsequently, the accounting server verifies and analyses the power input and output amount history information from the smart meter in order to analyse user accounting information. +9. The accounting server transmits the analysed information to the power trading system. +10. Then, the power trading system transmits the transmitted information to the control point so that the accounting information is output. + +![Figure III.1: An information flow diagram for automated power trading. The diagram shows seven entities: Control point, Power trading system, Grid linked inverter, Power storage system, Smart meter, Power market server, and Accounting server. The flow of information is as follows: 1. Synchronize time: Smart meter to Power market server, and Power trading system to Smart meter. 2. Set power trading prices: Control point to Power trading system. 3. Monitor power purchasing and selling prices in real-time: Power trading system to Power market server. 4. Perform power conversion: Power trading system to Grid linked inverter. 5. Perform charging and discharging: Power trading system to Power storage system. 6. Inform power input and output amount: Smart meter to Accounting server. 7. Request real-time accounting information: Control point to Power trading system. 8. Request real-time accounting information: Power trading system to Accounting server. 9. Check power input and output history: Accounting server to Smart meter. 10. Respond to real-time accounting information request: Accounting server to Power trading system. 11. Respond to real-time accounting information request: Power trading system to Control point.](8c348bf9c2c81b018017ae1d19506a9a_img.jpg) + +``` + +sequenceDiagram + participant CP as Control point + participant PTS as Power trading system + participant GLI as Grid linked inverter + participant PStS as Power storage system + participant SM as Smart meter + participant PMS as Power market server + participant AS as Accounting server + + SM->>PMS: Synchronize time + PTS->>SM: Synchronize time + CP->>PTS: Set power trading prices + PTS->>PMS: Monitor power purchasing and selling prices in real-time + PTS->>GLI: Perform power conversion + PTS->>PStS: Perform charging and discharging + SM->>AS: Inform power input and output amount + CP->>PTS: Request real-time accounting information + PTS->>AS: Request real-time accounting information + AS->>SM: Check power input and output history + AS->>PTS: Respond to real-time accounting information request + PTS->>CP: Respond to real-time accounting information request + +``` + +Y.2071(15)\_FIII.1 + +Figure III.1: An information flow diagram for automated power trading. The diagram shows seven entities: Control point, Power trading system, Grid linked inverter, Power storage system, Smart meter, Power market server, and Accounting server. The flow of information is as follows: 1. Synchronize time: Smart meter to Power market server, and Power trading system to Smart meter. 2. Set power trading prices: Control point to Power trading system. 3. Monitor power purchasing and selling prices in real-time: Power trading system to Power market server. 4. Perform power conversion: Power trading system to Grid linked inverter. 5. Perform charging and discharging: Power trading system to Power storage system. 6. Inform power input and output amount: Smart meter to Accounting server. 7. Request real-time accounting information: Control point to Power trading system. 8. Request real-time accounting information: Power trading system to Accounting server. 9. Check power input and output history: Accounting server to Smart meter. 10. Respond to real-time accounting information request: Accounting server to Power trading system. 11. Respond to real-time accounting information request: Power trading system to Control point. + +**Figure III.1 – An information flow diagram for automated power trading** + +### III.2 Real-time energy revenue calculation + +The following illustrates detailed operations for calculating the energy revenues of electric power devices based on real-time pricing: + +- **Operation 1:** In order to calculate the energy revenues of electric power devices under a micro energy grid based real-time pricing environment, an energy revenue calculating system receives accurate authorized time information from a real-time energy pricing information providing server or an authorized time information providing server and synchronizes time information of the energy revenue calculating system with the received time information. +- **Operation 2:** The energy revenue calculating system receives real-time energy sale price information and price change schedule information from the real-time energy pricing information providing server and continuously synchronizes information about an energy sale price stored in the energy revenue calculating system with the received energy sale price information. +- **Operation 3:** The energy revenue calculating system measures the amount of energy that flows into and out of electric power devices, for example, a renewable energy source, an electric power storage device or an electric device including an electric power storage device, which interwork with the energy revenue calculating system. +- **Operation 4:** The energy revenue calculating system calculates real-time energy revenues based on the amount of energy that flows into and out of the electric power devices at a current point in time or for a predetermined time period and the received real-time energy sale price information. + +Figure III.2 is an information flow diagram illustrating a method for calculating energy revenues of electric power devices based on real-time pricing. + +1. When an energy revenue calculating system is provided in a renewable energy source, an electric device including an electric power storage device and an electric power storage device, an operation of the energy revenue calculating system calculates for the entire system + +the energy revenues of the electric power devices under a micro energy grid based real-time pricing environment. + +2. The energy revenue calculating system receives accurate authorized time information from a real-time energy pricing information providing server (or an authorized time information providing server) and synchronizes time information of the energy revenue calculating system with the received time information. +3. The energy revenue calculating system receives real-time energy sale price information and information about a price change schedule from the real-time energy pricing information providing server and continuously synchronizes information about an energy sale price stored in the energy revenue calculating system with the received energy sale price information. +4. The energy revenue calculating system measures the amount of energy that flows into and out of the renewable energy source, the electric device including an electric power storage device and the electric power storage device. +5. The energy revenue calculating system calculates the real-time energy revenues, based on information about the amount of energy measured at a current point in time, or for a predetermined time period and the received real-time energy price information. +6. The energy revenue calculating system provides information about the real-time energy revenues so that a user may verify the information about the energy revenues through a corresponding electric power device, for example, the renewable energy source, the electric device including an electric power storage device, the electric power storage device, or a mobile terminal of a user. + +![Figure III.2: An information flow diagram for real-time energy revenue calculation. The diagram shows five main components in boxes: 'Energy revenue calculating system', 'Renewable energy source', 'Electric power storage device', 'Electric device including electric power storage device', and 'Real-time energy pricing information providing server'. The flow of information is as follows: 1. 'Synchronize time' and 'Synchronize energy sale price information' are bidirectional arrows between the 'Energy revenue calculating system' and the 'Real-time energy pricing information providing server'. 2. 'Measuring inflow and outflow of energy' is a self-loop arrow on the 'Energy revenue calculating system'. 3. 'Calculate real-time energy revenues' is a self-loop arrow on the 'Energy revenue calculating system'. 4. 'Provide information about real-time energy revenues' is a bidirectional arrow between the 'Energy revenue calculating system' and the 'Renewable energy source'. 5. 'Provide information about real-time energy revenues' is a bidirectional arrow between the 'Energy revenue calculating system' and the 'Electric power storage device'. 6. 'Provide information about real-time energy revenues' is a bidirectional arrow between the 'Energy revenue calculating system' and the 'Electric device including electric power storage device'.](dcb5711d118ae6753b0e12f86eda37db_img.jpg) + +Y.2071(15)\_FIII.2 + +Figure III.2: An information flow diagram for real-time energy revenue calculation. The diagram shows five main components in boxes: 'Energy revenue calculating system', 'Renewable energy source', 'Electric power storage device', 'Electric device including electric power storage device', and 'Real-time energy pricing information providing server'. The flow of information is as follows: 1. 'Synchronize time' and 'Synchronize energy sale price information' are bidirectional arrows between the 'Energy revenue calculating system' and the 'Real-time energy pricing information providing server'. 2. 'Measuring inflow and outflow of energy' is a self-loop arrow on the 'Energy revenue calculating system'. 3. 'Calculate real-time energy revenues' is a self-loop arrow on the 'Energy revenue calculating system'. 4. 'Provide information about real-time energy revenues' is a bidirectional arrow between the 'Energy revenue calculating system' and the 'Renewable energy source'. 5. 'Provide information about real-time energy revenues' is a bidirectional arrow between the 'Energy revenue calculating system' and the 'Electric power storage device'. 6. 'Provide information about real-time energy revenues' is a bidirectional arrow between the 'Energy revenue calculating system' and the 'Electric device including electric power storage device'. + +**Figure III.2 – An information flow diagram for real-time energy revenue calculation – 1** + +Figure III.3 is an information flow diagram illustrating a method of calculating energy revenues of electric power devices based on real-time pricing. + +1. The energy revenue calculating system integrally manages energy revenues of electric power devices, without being part of the electric power devices, for example, a renewable energy source, an electric device including an electric power storage device and an electric power storage device. In addition the energy revenue calculating system operates under a micro energy grid based real-time pricing environment. +2. The energy revenue calculating system receives accurate authorized time information from a real-time energy pricing information providing server (or an authorized time information + +providing server) and synchronizes time information of the energy revenue calculating system with the received time information. + +3. The energy revenue calculating system receives real-time energy sale price information and information about a price change schedule, from the real time energy pricing information providing server and may continuously synchronize energy pricing information of the energy revenue calculating system with the received energy sale price information. +4. The energy revenue calculating system collects information about an amount of energy that flows into and out of each of the renewable energy sources, the electric device including an electric power storage device, the electric power storage device, from a first energy inflow and outflow measuring device, a second energy inflow and outflow measuring device and a third energy inflow and outflow measuring device. +5. The energy revenue calculating system calculates the energy revenues of the electric devices based on the received real-time energy sale information and the collected information about the amount of the energy that flows into and out of each of the electric power devices. +6. The energy revenue calculating system directly outputs information about the energy revenues, or provides output information to a mobile terminal of a user so that the user verifies the information about the energy revenues of the electric power devices. + +![Sequence diagram showing the information flow for real-time energy revenue calculation. The diagram involves five entities: Energy revenue calculating system, Energy inflow and outflow measuring device 1, Energy inflow and outflow measuring device 2, Energy inflow and outflow measuring device 3, and Real-time energy pricing information providing server. The process starts with time and price synchronization between the system and the server. Then, each measuring device sends energy flow data to the system. Finally, the system calculates and outputs the real-time energy revenues.](fa01531ea2c45beeb4036005da3037a4_img.jpg) + +``` + +sequenceDiagram + participant ERS as Energy revenue calculating system + participant E1 as Energy inflow and outflow measuring device 1 + participant E2 as Energy inflow and outflow measuring device 2 + participant E3 as Energy inflow and outflow measuring device 3 + participant RSE as Real-time energy pricing information providing server + + ERS->>RSE: Synchronize time + ERS->>RSE: Synchronize energy sale price information + E1->>ERS: Measuring inflow and outflow of energy + E2->>ERS: Measuring inflow and outflow of energy + E3->>ERS: Measuring inflow and outflow of energy + ERS->>ERS: Calculate real-time energy revenues + ERS->>ERS: Output real-time energy revenues + +``` + +Sequence diagram showing the information flow for real-time energy revenue calculation. The diagram involves five entities: Energy revenue calculating system, Energy inflow and outflow measuring device 1, Energy inflow and outflow measuring device 2, Energy inflow and outflow measuring device 3, and Real-time energy pricing information providing server. The process starts with time and price synchronization between the system and the server. Then, each measuring device sends energy flow data to the system. Finally, the system calculates and outputs the real-time energy revenues. + +Y.2071(15)\_FIII.3 + +**Figure III.3 – An information flow diagram for real-time energy revenue calculation – 2** + +### III.3 Customer energy management services provisioning + +The following illustrates detailed operations for securely provisioning the customer energy management services by the customer energy management service provisioning system. + +- **Operation 1:** In the operation of receiving an advertisement of the customer energy management services, the customer energy management service provisioning system receives the service advertisement information from the customer energy management service advertisement server and provides a list of the customer energy management services to a service user. +- **Operation 2:** In the operation of performing an authentication by the customer energy management service provider server, the customer energy management service provisioning system mutually authenticates with the customer energy management service provider server, that provides the service to which the user requests to subscribe and then receives a secret key for the encryption and decryption of the message. + +- **Operation 3:** In the operation of searching for the customer energy devices, the customer energy management service provisioning system searches for the customer energy device on the customer premises network in order to assign unique identifiers to the searched customer energy devices and transmits a list of the searched customer energy devices to the customer energy management service provider server. +Accordingly, the customer energy management service provider server receives the list of the customer energy services and generates the customer energy management message on the basis of the list of the customer energy devices in order to transmit the message to the customer energy management service provisioning system. +- **Operation 4:** In response to the message, in the operation of transferring the customer energy management message, the customer energy management service provisioning system performs an encryption/decryption of the message between the customer energy management service provider server and the customer energy devices and exchanges the encrypted/decrypted message. + +Figure III.4 is an information flow diagram illustrating a method of securely provisioning customer energy management services under a smart grid environment. + +1. The customer energy management service information from the third party service providers is registered in the customer energy management service advertisement server and the customer energy management service advertisement including the registered services is sent to the customer energy management service provisioning system of the user who desires to subscribe to one or more the services. +2. The customer energy management service provisioning system receives a list of the customer energy management services that are registered in the customer energy management service advertisement server and pushes the received list of the customer energy management services to a mobile terminal of the service user. +3. In response, the service user reviews the list of the customer energy management services and selects a desired service to make a request for a subscription to the selected service. +4. When there is the subscription request to the customer energy management service from the service user, the customer energy management service provisioning system transmits a subscription request message to the customer energy management service of the customer energy management service provider server in order to process the subscription request to the service to which the user wants to subscribe from among the list of the customer energy management services. +5. When the subscription request message to the customer energy management service is transmitted, a mutual authentication for the performance of the customer energy management and an exchange of the secret key for the encryption and decryption of the customer energy management message are performed between the customer energy management service provider server and the customer energy management service provisioning system. +6. Subsequently, when the exchange of the secret key between the customer energy management service provider server and the customer energy management service provisioning system is successfully completed, the customer energy management service provisioning system searches the customer energy device for energy production, energy consumption or energy management connected to the customer premises network. +7. When the customer energy devices are searched, the customer energy management service provisioning system makes a list of the searched customer energy devices and encrypts the list. +8. The customer energy management service provisioning system transmits the encrypted list of the customer energy devices to the customer energy management service provider server. + +9. The customer energy management service provider server generates the customer energy management message capable of performing the customer energy management of the customer energy devices on the basis of the list of the customer energy devices and transmits the encrypted customer energy management message to the customer energy management service provisioning system. +10. The customer energy management service provisioning system decrypts the encrypted customer energy management message that has been received using the secret key that has been received during the operation of the authentication and key exchange. +11. The customer energy management service provisioning system relays the customer energy management message decrypted to the customer energy devices that are specified. + +![Sequence diagram showing the information flow for customer energy management services provisioning between four entities: Customer energy management service advertisement server, Customer energy management service provider server, Customer energy management service provisioning system, and Customer energy device.](d9843ac5dfc4bbe9e4d21b8898723b5e_img.jpg) + +``` + +sequenceDiagram + participant AS as Customer energy management service advertisement server + participant PS as Customer energy management service provider server + participant SYS as Customer energy management service provisioning system + participant DEV as Customer energy device + + AS->>SYS: Receive customer energy management service advertisement + Note right of SYS: Output list of +customer energy +management services + SYS->>PS: Request to subscribe to customer +energy management service + PS->>SYS: Perform authentication and +exchange security key + Note right of SYS: Search customer +energy devices + SYS->>DEV: + Note right of SYS: Encrypt list of +customer energy +devices + PS->>SYS: Transmit encrypted list of +customer energy devices + PS->>SYS: Transmit customer energy +management message + Note right of SYS: Decrypt customer +energy management +message + SYS->>DEV: Relay decrypted message + +``` + +The diagram illustrates the process of provisioning customer energy management services. It involves four main components: the advertisement server, the provider server, the provisioning system, and the customer energy device. The process begins with the advertisement server sending a service advertisement to the provisioning system. The provisioning system then outputs a list of services and sends a subscription request to the provider server. After authentication and key exchange, the provider server transmits an encrypted list of devices to the provisioning system. The provisioning system searches for these devices, decrypts the management message, and finally relays the decrypted message to the customer energy device. The provider server also performs a final transmission of the management message to the provisioning system. + +Sequence diagram showing the information flow for customer energy management services provisioning between four entities: Customer energy management service advertisement server, Customer energy management service provider server, Customer energy management service provisioning system, and Customer energy device. + +Y.2071(15)\_FIII.4 + +**Figure III.4 – An information flow diagram for customer energy management services provisioning** + +## Appendix IV + +## A mechanism for selective delivery of distributed energy resources information from multiple slave devices + +(This appendix does not form an integral part of this Recommendation.) + +This appendix illustrates a mechanism for delivering only selected information from a distributed energy management server in real-time after collecting DER information from multiple slave devices. This mechanism can be used for security management and control of DER (e.g., an emergency generator) which are connected to utility grids. + +Based on Figure 10-2 in clause 10.2, the DER data feeder has the following functionalities. + +- **Slave connection:** As a master in master/slave communications, it maintains connections among slaves (e.g., the switch controller and multiple sensors). +- **Slave data collection:** It collects data stored in the registries of multiple slave devices using a polling method. +- **Hash table management:** It stores and maintains related values in an appropriate hash table after calculating a hash key with collected data. +- **Subscribed data configuration:** It configures and maintains related items of data which the DER management server wants to subscribe to. +- **Slave data conversion:** In the case where the subscribed data of the DER management server are changed, the DER data feeder converts the data format in order to deliver the changed data to the DER management server. +- **Subscribed data delivery:** It delivers the data packet requested through the subscription of the DER management server. + +Figure IV.1 illustrates details of the selective delivery mechanism of DER information from multiple slave devices in a micro grid environment. + +- **Step 1 – Slave connection and subscription establishment:** It establishes master/slave connections with slave devices (e.g., the switch controller and sensors) and configures related items of subscription request data from the DER management server. +- **Step 2 – DER collection:** It collects DER management information from multiple slave devices. +- **Step 3 – Hash table data storing:** It calculates a hash key of collected data and stores the key in a hash table. +- **Step 4 – Subscription establishment data change check:** It checks if the subscription request data of the energy resources management server among data in the hash table are changed. +- **Step 5 – Hash table data reading:** If the subscription request data are changed, it reads the data from the hash table. +- **Step 6 – Subscription data transform:** It transforms the data format for the energy resources management server to receive. +- **Step 7 – Subscription data packet delivery:** It delivers the subscription data packet to the energy resources management server in a real-time manner. + +![Flowchart illustrating the selective delivery mechanism of distributed energy resources information from multiple slave devices.](7ae836e598020d937ed1478c2ef13025_img.jpg) + +``` + +graph TD + A[Slave connection/ +subscription +establishment] --> B[Distributed energy +resources collection] + B --> C[Hash table +data storing] + C --> D{Subscription +establishment +data change} + D -- No --> C + D -- Yes --> E[Hash table +data reading] + E --> F[Subscription data +transform] + F --> G[Subscription data +packet delivery] + +``` + +The flowchart illustrates the selective delivery mechanism of distributed energy resources information from multiple slave devices. The process begins with 'Slave connection/subscription establishment', followed by 'Distributed energy resources collection', and then 'Hash table data storing'. A decision diamond 'Subscription establishment data change' follows. If the answer is 'No', the process loops back to 'Hash table data storing'. If the answer is 'Yes', the process proceeds to 'Hash table data reading', then 'Subscription data transform', and finally 'Subscription data packet delivery'. + +Y.2071(15)\_FIV.1 + +Flowchart illustrating the selective delivery mechanism of distributed energy resources information from multiple slave devices. + +**Figure IV.1 – Selective delivery mechanism of distributed energy resources information from multiple slave devices** + +# Appendix V + +## A mechanism for calculating basic electricity charges for partitioned owners in an aggregate building + +(This appendix does not form an integral part of this Recommendation.) + +This appendix illustrates a mechanism for calculating the basic electricity charge per a partitioned owner in an aggregate building based on periodic electricity usages from smart meters and shares owned by a partitioned owner in a micro grid environment of aggregate buildings. + +Based on Figure 10-3 in clause 10.3, the system for basic electricity charge calculation per a partitioned owner in an aggregate building has the following functionalities. + +- **Network connection:** An aggregate building basic electricity charge calculation system is connected with smart meters of partitioned owners through a customer premises network in order to deliver the electricity usage information which a smart meter measures. +- **Input of basic information for an aggregate building:** The information for shares owned by a partitioned owner and for the monthly basic electricity charge of an aggregate building are input. +- **Electricity usage collection per a portioned owner:** It periodically collects the measurement information of electricity usage from smart meters of partitioned owners. +- **Storing of electricity usage and basic/peak electricity charge:** It stores the collected information for electricity usage as well as the calculated information for the basic electricity charge and the peak electricity charge. +- **Calculation of the basic electricity charge per a portioned owner:** It calculates the basic electricity charge per a partitioned owner during a month or a year using the stored information. +- **Output of electricity information and basic electricity charge information:** It outputs electricity information and basic electricity charge information for a partitioned owner based on contracted electricity and peak demand electricity. + +Figure V.1 shows details of the mechanism for calculating basic electricity charge per a partitioned owner in an aggregate building based on electricity usages of partitioned owners. + +- **Step 1 – Aggregate building information input:** As an input, the information for shares owned by a partitioned owner and for contract electricity with a utility company are given. +- **Step 2 – Power usage information collection:** The information for electricity usage is periodically collected and stored from smart meters of partitioned owners in an aggregate building. +- **Step 3 – Peak demand electricity calculation and announcement:** Using the information collected in Step 2, it calculates and announces the peak demand electricity which is the maximum value among average electricity usages of every hour. +- **Step 4 – Basic electricity charge calculation:** So that the owner of an aggregate building collects a basic electricity charge per a partitioned owner, it requests the balance of basic electricity charge from the aggregate building basic electricity charge calculation system based on the total charge of the aggregate building from a utility company. +- **Step 5 – Basic electricity charge calculation and output:** Based on all information collected in the previous steps, it calculates the basic electricity charge per a partitioned owner and gives the information to the owner. + +![Flowchart illustrating the mechanism for calculating basic electricity charge per a partitioned owner in an aggregate building.](e451401f8fa77b466f401d5fce15b26c_img.jpg) + +``` + +graph TD + A[Aggregate building information input] --> B[Power usage information collection] + B --> C[Peak demand electricity calculation/announcement] + C --> D{Basic electricity charge balance request} + D -- No --> B + D -- Yes --> E[Basic electricity charge calculation/output] + +``` + +The flowchart illustrates the mechanism for calculating basic electricity charge per a partitioned owner in an aggregate building. It begins with 'Aggregate building information input', which leads to 'Power usage information collection'. This step leads to 'Peak demand electricity calculation/announcement', which then leads to a decision diamond: 'Basic electricity charge balance request'. If the answer is 'No', the process loops back to 'Power usage information collection'. If the answer is 'Yes', the process proceeds to 'Basic electricity charge calculation/output'. + +Y.2071(15)\_FV.1 + +Flowchart illustrating the mechanism for calculating basic electricity charge per a partitioned owner in an aggregate building. + +**Figure V.1 – Mechanism for calculating basic electricity charge per a partitioned owner in an aggregate building** + +# Bibliography + +- [b-ITU-T FG-Smart] FG-Smart Deliverable (2011), *Deliverable on Smart Grid Terminology*. +- [b-ITU-T FG-Smart-Arch] FG-Smart Deliverable (2011), *Deliverable on Smart Grid Architecture*. +- [b-IEEE 1547.x] IEEE 1547.x series, *IEEE Standard for Distributed Resources Interconnected with Electric Power Systems*, and all other new and revised parts of this standard. +- [b-IEEE 2030] IEEE 2030 (2011), *IEEE Guide for Smart Grid Interoperability of Energy Technology and Information Technology Operation with the Electric Power System (EPS), and End-Use Applications and Loads*. + +- [b-DOE MEG] DOE MEG (2006), *Microgrids Research Assessment – Final Report*, May – Navigant Consulting for US Department of Energy and Energy Commission of the State of California. +- [b-NIST] NIST (2012), *NIST Framework and Roadmap for Smart Grid Interoperability Standards, Release 2.0*, February. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2083-201408-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2083-201408-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..7237bfd110bd3d3724e62f693a38d3f22f972cfb --- /dev/null +++ b/marked/Y/T-REC-Y.2083-201408-I_PDF-E/raw.md @@ -0,0 +1,1099 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2083 + +(08/2014) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Frameworks and functional +architecture models + +# --- **Multimedia telephony over distributed service networking** + +Recommendation ITU-T Y.2083 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3999 | +|-----------------|---------------| + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.2083 + +# Multimedia telephony over distributed service networking + +## Summary + +Recommendation ITU-T Y.2083 describes the distributed service networking (DSN) functional architecture intended to support multimedia telephony (MMTel) services based on the DSN service requirements. The main objective of this Recommendation is to define a high level MMTel service architecture over DSN and a set of capabilities and information flows which support MMTel services. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2083 | 2014-08-29 | 13 | 11.1002/1000/12280 | + +## Keywords + +Distributed service networking, DSN, multimedia telephony, MMTel. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2015 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Terms defined elsewhere ..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Functional architecture ..... | 3 | +| 7 Basic communication procedures ..... | 4 | +| 7.1 Application level procedures ..... | 4 | +| 7.2 Overlay level procedures ..... | 7 | +| 8 Overload control considerations in MMTel ..... | 17 | +| 8.1 Overload control flows by using a backup node ..... | 17 | +| 8.2 Overload control by initiating a node joining..... | 22 | +| 9 Supplementary services support ..... | 22 | +| 10 Mobility support ..... | 22 | +| 11 Interworking ..... | 22 | +| 12 Charging ..... | 23 | +| 13 Security considerations ..... | 23 | +| 14 Network management..... | 23 | +| Bibliography..... | 24 | + + + +# Recommendation ITU-T Y.2083 + +# Multimedia telephony over distributed service networking + +# 1 Scope + +This Recommendation specifies a cost-effective, flexible, scalable and reliable system which provides multimedia telephony (MMTel) services to users connected to a distributed service networking (DSN) network. It describes the requirements and functional architecture for supporting MMTel services over DSN, defines detailed information flows related to MMTel service provisioning, node management and overload control. It also describes the support for supplementary services, mobility, interworking, charging, and network management in an MMTel system over DSN. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T M.3060] Recommendation ITU-T M.3060/Y.2401 (2006), *Principles for the Management of Next Generation Networks*. +- [ITU-T Q.1706] Recommendation ITU-T Q.1706/Y.2801 (2006), *Mobility management requirements for NGN*. +- [ITU-T Q.1707] Recommendation ITU-T Q.1707/Y.2804 (2008), *Generic framework of mobility management for next generation networks*. +- [ITU-T Q.1708] Recommendation ITU-T Q.1708/Y.2805 (2008), *Framework of location management for NGN*. +- [ITU-T Q.1709] Recommendation ITU-T Q.1709/Y.2806 (2008), *Framework of handover control for NGN*. +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [ITU-T Y.2080] Recommendation ITU-T Y.2080 (2012), *Functional architecture for distributed service networking*. +- [ITU-T Y.2173] Recommendation ITU-T Y.2173 (2008), *Management of performance measurement for NGN*. +- [ITU-T Y.2206] Recommendation ITU-T Y.2206 (2010), *Requirements for distributed service networking capabilities*. +- [ITU-T Y.2211] Recommendation ITU-T Y.2211 (2007), *IMS-based real-time conversational multimedia services over NGN*. +- [ITU-T Y.2233] Recommendation ITU-T Y.2233 (2010), *Requirements and framework allowing accounting and charging capabilities in NGN*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 control node** [b-ITU-T Y Suppl.10]: A DSN node which provides service control and transport control functionalities. + +**3.1.2 distributed service networking** [ITU-T Y.2206]: An overlay network which provides distributed and manageable capabilities to support various multimedia services. + +**3.1.3 DSN node** [ITU-T Y.2206]: A node used in DSN providing distributed functionalities, including distributed routing and distributed storage. + +**3.1.4 functional entity** [ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +**3.1.5 user profile** [ITU-T Y.2080]: In the context of the DSN functional architecture, a collection of information that specifies the subscribed services and access privileges related to a DSN service user. The data in the user profile is called user profile data. + +NOTE – A user profile may include the following attributes: user ID and other data related to authentication and authorization, user preferences, service status, service class, usage and/or contribution information, or subscriber accounting characteristics, etc. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 admitting node:** During the process of node joining, the admitting node of the joining node is responsible for the portion of the namespace which will reside in the joining node. + +**3.2.2 bootstrap node:** During the process of node joining, the bootstrap node of the joining node is the node that the joining node contacts. The bootstrap node validates the joining node's credentials and forwards the connecting request from the joining node to its admitting node. + +**3.2.3 proxy node:** The proxy node of user equipment (UE) is the first contact point of UE. The proxy node locates the serving node and forwards session control messages between the serving node and UE. + +**3.2.4 responsible node:** During the process of node leaving, the responsible node of the leaving node is the node that should take over the portion of the namespace that the leaving node is currently responsible for. + +**3.2.5 serving node:** The serving node of UE is the DSN node which processes session control messages from UE. It is responsible for a range of user profile storage, and supports user authentication, session initiation and termination. + +NOTE – The different descriptions of nodes are a relative concept; the DSN node is homogenous, and a node may act as different kinds of nodes depending on different sessions, different joining nodes, etc. For example, a node may act as a serving node to a certain end-user function (EF), but may also act as a proxy node to another EF. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|--------------------------------| +| DSN | Distributed Service Networking | +| EF | End-user Function | +| ID | Identification | +| IMS | IP Multimedia Subsystem | +| MMTel | Multimedia Telephony | +| NEF | Node Enrolment Function | +| NGN | Next Generation Network | +| P2P | Peer-to-Peer | +| QoS | Quality of Service | +| RLF | Resource Location Function | +| SCF | Service Control Function | +| SIP | Session Initiation Protocol | +| UE | User Equipment | + +# **5 Conventions** + +Within this Recommendation, the keywords "multimedia telephony" and "MMTel" indicate the same service as "IP multimedia subsystem (IMS) based real time conversational multimedia services" defined in [ITU-T Y.2211]. + +## **6 Functional architecture** + +Figure 6-1 depicts a functional architecture, based on the distributed service networking (DSN) architecture of [ITU-T Y.2080], which can be used to support multimedia telephony (MMTel) services. The service control function (SCF) includes registration, authentication, authorization, media resources controlling and service user profiles, and it interacts with the resource location function (RLF) for resource location. All the DSN nodes in the MMTel service overlay have the same functional capabilities, including RLF and SCF. DSN nodes need to be enrolled by a node enrolment function (NEF) to construct the MMTel service overlay. The related functions and reference points are identified in [ITU-T Y.2080]. + +![Figure 6-1 – MMTel service architecture over DSN. The diagram shows a network architecture with a central 'DSN MMtel overlay' cloud. On the left, an 'EF' (End User Function) connects to a 'DSN node (proxy node)' via interface C6. The proxy node contains 'SCF' and 'RLF' components connected by interface C7. The proxy node connects to the overlay via interface C2. On the right, the overlay connects to another 'DSN node (serving node)' via interface C2. The serving node also contains 'SCF' and 'RLF' components connected by interface C7. The serving node connects to a 'NEF' (Network Exposure Function) via interface C1. The NEF connects to an 'MF' (Management Function) via a management interface (dotted line). A legend indicates that dashed lines represent 'Control' and dotted lines represent 'Management'. The diagram is labeled 'Y.2083(14)_F6-1' in the bottom right corner.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 6-1 – MMTel service architecture over DSN. The diagram shows a network architecture with a central 'DSN MMtel overlay' cloud. On the left, an 'EF' (End User Function) connects to a 'DSN node (proxy node)' via interface C6. The proxy node contains 'SCF' and 'RLF' components connected by interface C7. The proxy node connects to the overlay via interface C2. On the right, the overlay connects to another 'DSN node (serving node)' via interface C2. The serving node also contains 'SCF' and 'RLF' components connected by interface C7. The serving node connects to a 'NEF' (Network Exposure Function) via interface C1. The NEF connects to an 'MF' (Management Function) via a management interface (dotted line). A legend indicates that dashed lines represent 'Control' and dotted lines represent 'Management'. The diagram is labeled 'Y.2083(14)\_F6-1' in the bottom right corner. + +**Figure 6-1 – MMTel service architecture over DSN** + +# 7 Basic communication procedures + +The MMTel service allows multimedia conversational communications between two or more users. It provides for the real-time bidirectional conversational transfer of voice, video or optionally other types of data. + +The MMTel communication is point to point between communicating terminals, or between a terminal and a network entity. This communication is usually symmetric, but in special cases the media components present in each direction may be different, or they may be the same, but with different bit rates and quality of service (QoS). Normally, the MMTel communication service is realised by a session control protocol. + +According to whether a session control function is included, the procedures for MMTel communication can be categorized as application level procedures and overlay level procedures. The application level procedures consist of the user registration and session related procedures such as session initiation and session termination (release). The overlay level procedures contain the node management procedures which include node joining and node leaving. + +### 7.1 Application level procedures + +This clause describes the DSN application level procedures which implement the basic communication services including user registration, session initiation and session release. + +NOTE 1 – The term "user" in the following procedure represents DSN user equipment (UE). The end-user function (EF) is a most primary function of DSN UE, which supports access to the DSN overlay network and service by exchanging session initiation protocol (SIP) messages with the SCF of a proxy node. UE may also include other functions. + +The detailed procedures are described as follows. For easy understanding, the description of procedures in this Recommendation use the SIP protocol as an example, but are not limited to SIP. + +NOTE 2 – Session initiation with supplementary services provisioning and session release due to abnormal reasons are similar to those specified in next generation network (NGN) IMS, so they are not defined in this Recommendation. + +#### 7.1.1 User registration + +![Sequence diagram illustrating the User registration flow between EF A, Proxy node, RLFs overlay, and Serving node.](e9314c83043183351ed74908e9bf2f90_img.jpg) + +``` +sequenceDiagram + participant EF_A as EF A + participant Proxy_node as Proxy node +SCF RLF + participant RLFs_overlay as RLFs overlay + participant Serving_node as Serving node +SCF RLF + + EF_A->>Proxy_node: 1. SIP Register + Proxy_node->>RLFs_overlay: 2. Resource location query + RLFs_overlay->>Serving_node: 3. Resource location query + Serving_node->>RLFs_overlay: 4. Resource location response + RLFs_overlay->>Proxy_node: 5. Resource location response + Proxy_node->>Serving_node: 6. SIP Register + Note over Serving_node: Authentication + Serving_node->>Proxy_node: 7. SIP 200 OK + Proxy_node->>EF_A: 8. SIP 200 OK +``` + +The diagram shows the user registration process. EF A sends a SIP Register message to the SCF of the Proxy node. The Proxy node's RLF then initiates a resource location query through the RLFs overlay to the Serving node. The Serving node's RLF responds with a resource location response, which is relayed back to the Proxy node's RLF. The Proxy node's SCF then forwards the SIP Register message to the SCF of the Serving node. The Serving node performs authentication and returns a SIP 200 OK message to the Proxy node, which then forwards it to EF A. + +Sequence diagram illustrating the User registration flow between EF A, Proxy node, RLFs overlay, and Serving node. + +**Figure 7-1 – User registration flow** + +NOTE – Both RLF and SCF are included in proxy node and serving node; they may exist in two separate physical entities in some deployment scenarios. + +User registration flow, shown in Figure 7-1, is described as follows: + +- 1) EF A sends a SIP register to the SCF of the proxy node; +- 2) The RLF of the proxy node locates the serving node for the user by using a peer-to-peer (P2P) overlay algorithm (e.g., Chord, Kademlia), and then sends a resource location query message to the overlay to find the address of the serving node; +- 3) The RLFs in the overlay route the resource location query message to the serving node; +- 4-5) When the serving node has received the resource location query message, its RLF will return a response to the RLF of the proxy node; +- 6) The SCF of proxy node records the address that is retrieved from the resource location query, and its SCF forwards the register message to the serving node directly; +- 7) The SCF of the serving node authenticates EF A by its user profile retrieved locally or remotely (e.g., from centralized user profile storage), and records registration data for EF A, and then returns a SIP 200 OK message to the proxy node indicating that registration was successful; +- 8) The proxy node forwards the SIP 200 OK message to EF A indicating that registration was successful. + +#### 7.1.2 Session related procedures + +##### 7.1.2.1 Session initiation + +![Sequence diagram showing the general flow for session initiation between EF A, Proxy nodes, Serving nodes, and an Overlay network.](042733dc5e8e7f5f30b60adba3266cde_img.jpg) + +The diagram illustrates the session initiation process across several network entities: EF A, two Proxy nodes (each containing SCF and RLF), two Serving nodes (each containing SCF and RLF), an Overlay network, and EF B. The process follows these steps: + +1. SIP Invite: EF A sends to the first Proxy node. +2. SIP Invite: The first Proxy node forwards to the first Serving node. +3. Resource location query: The first Serving node's RLF sends to the Overlay. +4. Resource location query: The Overlay forwards to the second Serving node's RLF. +5. Resource location response: The second Serving node's RLF sends back to the Overlay. +6. Resource location response: The Overlay forwards back to the first Serving node's RLF. +7. SIP Invite: The first Serving node's SCF sends directly to the second Serving node's SCF. +8. SIP Invite: The second Serving node's SCF sends to the second Proxy node. +9. SIP Invite: The second Proxy node forwards to EF B. +10. SIP 200 OK: EF B sends back to the second Proxy node. +11. SIP 200 OK: The second Proxy node forwards to the second Serving node's SCF. +12. SIP 200 OK: The second Serving node's SCF forwards to the first Serving node's SCF. +13. SIP 200 OK: The first Serving node's SCF forwards to the first Proxy node. +14. SIP 200 OK: The first Proxy node forwards to EF A. +15. SIP ACK: EF A sends to the first Proxy node. +16. SIP ACK: The first Proxy node forwards to the first Serving node. +17. SIP ACK: The first Serving node forwards to the second Serving node. +18. SIP ACK: The second Serving node forwards to the second Proxy node. +19. SIP ACK: The second Proxy node forwards to EF B. + +Media transfer occurs after step 19. The diagram is labeled Y.2083(14)\_F7-2. + +Sequence diagram showing the general flow for session initiation between EF A, Proxy nodes, Serving nodes, and an Overlay network. + +**Figure 7-2 – General flow for session initiation** + +NOTE – Both RLF and SCF are included in proxy node and serving node. + +General flow for session initiation, shown in Figure 7-2, is described as follows: + +- 1) EF A sends a SIP invite message to its proxy node; +- 2) EF A's proxy node checks the address of EF A's serving node, and then forwards the SIP invite message to the serving node; +- 3) The RLF of EF A's serving node computes EF B's serving node ID, and sends a resource location query message to the overlay to find the address of the EF B's serving node; +- 4) The RLFs in the overlay route the resource location query message using a P2P routing algorithm to the serving node for EF B; +- 5-6) When EF B's serving node has received the resource location query message, its RLF will return its address to EF A's serving node; +- 7) EF A's serving node records the address of EF B's serving node in its connection table, which is the table to record other serving node's ID and address pairs, and then its SCF forwards the SIP invite message directly to EF B's serving node; +- 8) The SCF of EF B's serving node sends the SIP invite message to EF B's proxy node; +- 9) The SCF of EF B's proxy node forwards the request (SIP invite) to EF B; + +- 10-11) Following the resource reservation and media negotiation, EF B returns a SIP 200 OK message to EF B's serving node; +- 12) EF B's serving node forwards the SIP 200 OK message to EF A's serving node directly; +- 13-14) EF A's serving node forwards the SIP 200 OK message to EF A; +- 15-19) After receiving the SIP 200 OK message, EF A returns a SIP ACK message to EF B, and then, EF A and EF B establish a connection. + +##### 7.1.2.2 Session release + +![Sequence diagram showing the general flow for session release between EF A and EF B through a DSN overlay.](eefe19c5e14dc4d6c316b7f7fbb7d7d7_img.jpg) + +``` + +sequenceDiagram + participant EF_A as EF A + participant Proxy1 as Proxy node +SCF RLF + participant Serving1 as Serving node +SCF RLF + participant Serving2 as Serving node +SCF RLF + participant Proxy2 as Proxy node +SCF RLF + participant EF_B as EF B + + EF_A->>Proxy1: 1. SIP Bye + Proxy1->>Serving1: 2. SIP Bye + Serving1->>Serving2: 3. SIP Bye + Serving2->>Proxy2: 4. SIP Bye + Proxy2->>EF_B: 5. SIP Bye + EF_B-->>Proxy2: 6. SIP 200 OK + Proxy2-->>Serving2: 7. SIP 200 OK + Serving2-->>Serving1: 8. SIP 200 OK + Serving1-->>Proxy1: 9. SIP 200 OK + Proxy1-->>EF_A: 10. SIP 200 OK + +``` + +The diagram illustrates the session release process. It shows five entities: EF A, two Proxy nodes (each containing SCF and RLF), two Serving nodes (each containing SCF and RLF), and EF B. The flow is as follows: 1. EF A sends a SIP Bye message to the first Proxy node. 2. The first Proxy node forwards it to the first Serving node. 3. The first Serving node forwards it to the second Serving node. 4. The second Serving node forwards it to the second Proxy node. 5. The second Proxy node forwards it to EF B. 6. EF B returns a SIP 200 OK message to the second Proxy node. 7. The second Proxy node returns it to the second Serving node. 8. The second Serving node returns it to the first Serving node. 9. The first Serving node returns it to the first Proxy node. 10. The first Proxy node returns it to EF A. + +Sequence diagram showing the general flow for session release between EF A and EF B through a DSN overlay. + +Y.2083(14)\_F7-3 + +**Figure 7-3 – General flow for session release** + +To release the session in the DSN overlay, a SIP Bye is initiated by EF A and traverses the overlay to the other end of communication, EF B, as shown in Figure 7-3. + +### 7.2 Overlay level procedures + +This clause describes the node management procedures in the overlay level when there is a node joining or leaving the DSN. + +#### 7.2.1 Node joining + +##### 7.2.1.1 Node joining without on-going and new sessions in the admitting node + +![Sequence diagram showing the node joining flow between NEF, Joining node, Bootstrap node, Admitting node, and Related nodes.](4ee27dbf5ef12e7b58b0ef0937bc5a5e_img.jpg) + +The diagram illustrates the node joining flow between five entities: NEF, Joining node, Bootstrap node, Admitting node, and Related nodes. Each entity has a vertical dashed line representing its timeline. The flow is as follows: + +- 1. Enrolment request: From Joining node to NEF. +- 2. Enrolment response: From NEF to Joining node. +- 3. Connect request: From Joining node to Bootstrap node. +- 4. Connect response: From Bootstrap node to Joining node. +- 5. Resource location query: From Joining node to Bootstrap node. +- 6. Resource location query: From Bootstrap node to Admitting node. +- 7. Resource location response: From Admitting node to Bootstrap node. +- 8. Resource location response: From Bootstrap node to Joining node. +- 9. Join request: From Joining node to Admitting node. +- 10. Join response: From Admitting node to Joining node. +- 11. Store request: From Joining node to Admitting node. +- 12. Store response: From Admitting node to Joining node. +- 13. Routing information: From Joining node to Admitting node. +- 13. Routing information: From Admitting node to Related nodes. + +Y.2083(14)\_F7-4 + +Sequence diagram showing the node joining flow between NEF, Joining node, Bootstrap node, Admitting node, and Related nodes. + +**Figure 7-4 – Node joining flow without on-going and new sessions in the admitting node** + +Node joining flow without on-going and new sessions in the admitting node, shown in Figure 7-4, is described as follows: + +- 1) The joining node sends an enrolment request to the NEF to request configuration and bootstrap information to join the DSN overlay; +- 2) The NEF authenticates the joining node and assigns a node ID for it, then returns the necessary configuration and bootstrap information; +- 3) The joining node tries to connect to one or more bootstrap nodes to join the DSN overlay. The address of the bootstrap node can be provided by the NEF, pre-stored in the joining node, or looked up through a DNS service; +- 4) The bootstrap node returns a response to set up the connection with the joining node; +- 5) The joining node records the address of the bootstrap node in its connection table, then according to a specific P2P algorithm, the joining node sends a resource location query request through the bootstrap node to connect to the admitting node which is currently responsible for the namespace that the joining node should take over; +- 6) The bootstrap node forwards the resource location query to the admitting node; +- 7-8) The admitting node responds to the resource location query request through the bootstrap node; +- 9) After receiving resource location response, the joining node sets up a direct connection with the admitting node. The joining node sends a join request to the admitting node to announce it will join into the overlay; + +- 10) The admitting node checks that the joining node will take over part of its own name space and returns a response; +- 11) The admitting node starts transferring the data to the joining node; +- 12) The joining node responds for successful store action. Step 11 and 12 repeat until all necessary data are successfully transferred; +- 13) The joining node sends its routing information to the admitting node and other related DSN nodes which should update their routing information. + +##### 7.2.1.2 Node joining with on-going sessions in admitting node + +On-going sessions are maintained by the admitting node, while user profiles are transferring from the admitting node to the joining node. In order to maintain the continuity of session control, the session control is left in the admitting node until the current session is terminated. + +The following flow in Figure 7-5 shows the example of node joining with the consideration of on-going sessions. + +![Sequence diagram showing the node joining flow with on-going sessions. The diagram involves three main entities: Joining node (SCF, RLF), Admitting node (SCF, RLF), and Related nodes (RLFs). The flow starts with an 'On-going session for user A-X' in the Admitting node. Step 1: 'Set-up flag for user A-X' is performed in the Admitting node. Step 2: 'Store request' is sent from the Admitting node to the Joining node. Step 3: 'Store response' is sent from the Joining node to the Admitting node. Step 4: 'Routing update' is sent from the Joining node to the Admitting node, and then from the Admitting node to the Related nodes. Step 5: 'User A's service finished' is sent from the Admitting node to the Joining node. Step 6: 'User X's service finished' is sent from the Admitting node to the Joining node. Ellipses indicate intermediate steps between 5 and 6.](75f0cb39f1cd165dfe4a6aa6c4d9388d_img.jpg) + +``` + +sequenceDiagram + participant JN as Joining node +SCF, RLF + participant AN as Admitting node +SCF, RLF + participant RN as Related nodes +RLFs + + Note over AN: On-going session for user A-X + Note over AN: 1. Set-up flag for user A-X + AN->>JN: 2. Store request + JN-->>AN: 3. Store response + JN->>AN: 4. Routing update + AN->>RN: 4. Routing update + AN->>JN: 5. User A's service finished + Note over AN: ... + AN->>JN: 6. User X's service finished + +``` + +Sequence diagram showing the node joining flow with on-going sessions. The diagram involves three main entities: Joining node (SCF, RLF), Admitting node (SCF, RLF), and Related nodes (RLFs). The flow starts with an 'On-going session for user A-X' in the Admitting node. Step 1: 'Set-up flag for user A-X' is performed in the Admitting node. Step 2: 'Store request' is sent from the Admitting node to the Joining node. Step 3: 'Store response' is sent from the Joining node to the Admitting node. Step 4: 'Routing update' is sent from the Joining node to the Admitting node, and then from the Admitting node to the Related nodes. Step 5: 'User A's service finished' is sent from the Admitting node to the Joining node. Step 6: 'User X's service finished' is sent from the Admitting node to the Joining node. Ellipses indicate intermediate steps between 5 and 6. + +Y.2083(14)\_F7-5 + +**Figure 7-5 – Node joining flow with on-going sessions in the admitting node** + +- 1) On-going sessions for users A through X are maintained on the admitting node while data is transferred; flags are set in the user's profile to denote that their session control will remain in the admitting node; +- 2-4) Data transfers from the admitting node to the joining node, and the joining node send its routing information to the admitting node and other related DSN nodes which should update their routing information; +- 5) When user A's service is finished in the admitting node, an inform message is sent to the joining node to change the flag for user A's profile. Subsequently, a new service of user A can be handled in the joining node; +- 6) Step 5) repeats when service is finished in the admitting node until the last user (i.e., user X) finishes its service transfer. + +##### 7.2.1.3 Node joining with new session establishment in the admitting node + +This clause describes the scenario in which a user, e.g., user A, sends a request to connect to user B, even though the user profile has been transferred to the joining node and user B still has an on-going session in the admitting node. + +The following flow in Figure 7-6 shows the influence of node joining on such kinds of session establishment. + +![Sequence diagram illustrating the node joining flow with new session establishment in the admitting node.](1a827b10290f33d4fec04d0e8ef7a897_img.jpg) + +The diagram shows the interaction between four entities: Serving node (SCF, RLF), Overlay, Joining node (SCF, RLF), and Admitting node (SCF, RLF). The flow is as follows: + +1. Invite (for user B) is sent from user A to the Serving node. +2. Resource location query is sent from the Serving node to the Overlay. +3. Resource location query is sent from the Overlay to the Joining node. +4. Resource location response is sent from the Joining node to the Overlay. +5. Resource location response is sent from the Overlay to the Serving node. +6. Invite (for user B) is sent from the Serving node to the Joining node. +7. Invite (for user B) is sent from the Joining node to the Admitting node. + +A note indicates that User B still has an on-going session in the admitting node. Another note indicates that a flag in user B denotes its service control in the admitting node. + +Y.2083(14)\_F7-6 + +Sequence diagram illustrating the node joining flow with new session establishment in the admitting node. + +**Figure 7-6 – Node joining flow with new session establishment in the admitting node** + +- 1) After the node join, there is a session request from user A to user B. An invite message is sent to user A's serving node; +- 2-6) The joining node that is responsible for the user profile of user B is found using an overlay algorithm. A connection is set up and the invite message is forwarded to the joining node; +- 7) The flag in the user profile denotes that the service control is still on the admitting node, the invite message is forwarded to the admitting node, and the admitting node will handle the invite message. + +#### 7.2.2 Node leaving + +Node leaving includes graceful leaving and ungraceful leaving. Graceful leaving means that before leaving, the leaving node will send an announcement to the other nodes, so that the work or data in the leaving node will be transferred to the other nodes. Ungraceful leaving means that the node leaves without informing the other nodes and the work or data cannot be transferred from the leaving node to the other nodes. + +##### 7.2.2.1 Graceful leaving + +Flows of graceful leaving for different cases are illustrated in this clause. + +###### 7.2.2.1.1 Graceful leaving without on-going and new session establishment request in the leaving node + +![Sequence diagram showing the graceful leaving flow between a Leaving node, a Responsible node, and Related nodes.](c85ded401105f62f2d6ff26b3b5eb4af_img.jpg) + +``` +sequenceDiagram + participant L as Leaving node (RLF) + participant R as Responsible node (RLF) + participant Rel as Related nodes (RLFs) + L->>R: 1. Leave request + R-->>L: 2. Leave response + L->>R: 3. Store request + R-->>L: 4. Store response + L->>Rel: 5. Routing update information +``` + +The diagram illustrates the graceful leaving process. It involves three entities: a Leaving node (containing an RLF), a Responsible node (containing an RLF), and Related nodes (containing multiple RLFs). The process follows five steps: 1. The Leaving node sends a 'Leave request' to the Responsible node. 2. The Responsible node sends a 'Leave response' back to the Leaving node. 3. The Leaving node sends a 'Store request' to the Responsible node. 4. The Responsible node sends a 'Store response' back to the Leaving node. 5. The Leaving node sends 'Routing update information' to the Related nodes. + +Sequence diagram showing the graceful leaving flow between a Leaving node, a Responsible node, and Related nodes. + +**Figure 7-7 – Graceful leaving flow without on-going and new sessions in the leaving node** + +Graceful leaving flow without on-going and new sessions in the leaving node, shown in Figure 7-7, is described as follows: + +- 1) The leaving node sends a leave request to the responsible node; this node will be responsible for the name space of the leaving node after it leaves; + +NOTE 1 – The leaving node uses the overlay algorithm to determine the ID of the responsible node. + +- 2) The responsible node responds to the leave request; +- 3) The leaving node stores its resource information to the responsible node; +- 4) The responsible node responses for successful store; + +NOTE 2 – Step 3 and 4 can repeat until all necessary data are successfully transferred; + +- 5) The leaving node sends its routing update information to other related DSN nodes which should update their routing information. + +NOTE 3 – The update message can also be sent by the responsible node. + +###### 7.2.2.1.2 Graceful leaving with on-going sessions in the leaving node + +When a node choses to leave the overlay gracefully, it transfers the entire user profile to a responsible node. However, there could still be on-going sessions maintained by the leaving node. In order to maintain the continuity of session control, the session control remains in the leaving node until the current session is terminated. + +The following flow in Figure 7-8 shows the example of node graceful leaving with the consideration of on-going sessions. + +![Sequence diagram showing the graceful leaving process with on-going sessions in a leaving node. The diagram involves three main entities: Responsible node (containing SCF and RLF), Leaving node (containing SCF and RLF), and Related nodes (containing RLFs). The process starts with an 'On-going session for user A - X' in the Leaving node. Step 1: 'Set-up flag for user A - X' is performed in the Leaving node. Step 2: 'Store request' is sent from the Leaving node to the Responsible node. Step 3: 'Store response' is sent from the Responsible node to the Leaving node. Step 4: 'Routing information' is sent from the Responsible node to the Related nodes. Step 5: 'User A's session is terminated' is sent from the Leaving node to the Responsible node. Ellipses indicate that this process repeats for other users.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +``` + +sequenceDiagram + participant RN as Responsible node + participant LN as Leaving node + participant RelN as Related nodes + + Note over LN: On-going session for user A - X + Note over LN: 1. Set-up flag for user A - X + LN->>RN: 2. Store request + RN-->>LN: 3. Store response + RN->>RelN: 4. Routing information + LN->>RN: 5. User A's session is terminated + Note over LN: ... + +``` + +Y.2083(14)\_F7-8 + +Sequence diagram showing the graceful leaving process with on-going sessions in a leaving node. The diagram involves three main entities: Responsible node (containing SCF and RLF), Leaving node (containing SCF and RLF), and Related nodes (containing RLFs). The process starts with an 'On-going session for user A - X' in the Leaving node. Step 1: 'Set-up flag for user A - X' is performed in the Leaving node. Step 2: 'Store request' is sent from the Leaving node to the Responsible node. Step 3: 'Store response' is sent from the Responsible node to the Leaving node. Step 4: 'Routing information' is sent from the Responsible node to the Related nodes. Step 5: 'User A's session is terminated' is sent from the Leaving node to the Responsible node. Ellipses indicate that this process repeats for other users. + +**Figure 7-8 – Graceful leaving with on-going sessions in the leaving node** + +- 1) For on-going sessions for user A through X on the leaving node while data is transferred, flags are set in their user profiles to denote that their session control will remain in the leaving node; +- 2-4) The user profiles are transferred from the leaving node to the responsible node and the responsible node sends its routing information to its related DSN nodes which should update their routing information; +- 5) When user A's session is terminated in the leaving node, an inform message is sent to the responsible node to change the flag for user A's profile. Therefore, the new service of user A can be handled in the responsible node. + +NOTE – Step 5) repeats when there is a session terminated in the leaving node, until the last user (i.e., user X) finishes its session in the leaving node. + +###### 7.2.2.1.3 Graceful leaving with new session establishment in the leaving node + +The following flow in Figure 7-9 shows the case when there is an on-going session to the user on the leaving node, and at the same time there is a new session establishment request to the user. + +![Sequence diagram illustrating graceful leaving with new session establishment in the leaving node. The diagram shows four lifelines: Serving node (SCF, RLF), Overlay (RLFs), Responsible node (SCF, RLF), and Leaving node (SCF, RLF). 1. Invite (for user B) is sent from user A to the Serving node. 2. Resource location query is sent from the Serving node to the Overlay. 3. Resource location query is sent from the Overlay to the Responsible node. 4. Resource location query is sent from the Responsible node to the Overlay. 5. Resource location query is sent from the Overlay to the Serving node. 6. Invite (for user B) is sent from the Serving node to the Responsible node. A note indicates 'Flag in user B denotes its service control in leaving node'. 7. Invite (for user B) is sent from the Responsible node to the Leaving node. A note indicates 'User B still has on-going session in the leaving node'.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +``` + +sequenceDiagram + participant UserA as From user A + participant Serving as Serving node +(SCF, RLF) + participant Overlay as Overlay +(RLFs) + participant Responsible as Responsible node +(SCF, RLF) + participant Leaving as Leaving node +(SCF, RLF) + + UserA->>Serving: 1. Invite (for user B) + Serving->>Overlay: 2. Resource location query + Overlay->>Responsible: 3. Resource location query + Responsible-->>Overlay: 4. Resource location query + Overlay-->>Serving: 5. Resource location query + Serving->>Responsible: 6. Invite (for user B) + Note over Responsible: Flag in user B denotes its service control in leaving node + Responsible->>Leaving: 7. Invite (for user B) + Note over Leaving: User B still has on-going session in the leaving node + +``` + +Sequence diagram illustrating graceful leaving with new session establishment in the leaving node. The diagram shows four lifelines: Serving node (SCF, RLF), Overlay (RLFs), Responsible node (SCF, RLF), and Leaving node (SCF, RLF). 1. Invite (for user B) is sent from user A to the Serving node. 2. Resource location query is sent from the Serving node to the Overlay. 3. Resource location query is sent from the Overlay to the Responsible node. 4. Resource location query is sent from the Responsible node to the Overlay. 5. Resource location query is sent from the Overlay to the Serving node. 6. Invite (for user B) is sent from the Serving node to the Responsible node. A note indicates 'Flag in user B denotes its service control in leaving node'. 7. Invite (for user B) is sent from the Responsible node to the Leaving node. A note indicates 'User B still has on-going session in the leaving node'. + +Y.2083(14)\_F7-9 + +**Figure 7-9 – Graceful leaving with new session establishment in the leaving node** + +- 1) During the process of node leaving, there is a session request from user A to user B. An invite message is sent to user A's serving node; +- 2-6) The responsible node is found responsible for the user profile of user B using the overlay algorithm. Connection is set up and the invite message is forwarded to the responsible node as described in session initiation flow; +- 7) The flag in the user profile denotes that the service control is still on the leaving node, then the invite message is forwarded to the leaving node. + +##### 7.2.2.2 Ungraceful leaving + +In ungraceful leaving, data cannot be transferred from the leaving node to the responsible node. In order to avoid data loss due to ungraceful leaving, DSN requires a backup algorithm to keep at least one extra copy of data for each DSN node. Therefore, the resource of the leaving node can be fetched from its backup node to its responsible node when ungraceful leaving occurs, although in some special cases, the responsible node itself acts as the backup node at the same time. In addition to the leaving node's own data, the backup data stored in the leaving node will be lost as well. Therefore, the related nodes should re-back up their data. + +###### 7.2.2.2.1 Node ungraceful leaving procedure without on-going sessions and new sessions establishment request on the leaving node + +If the leaving node recovers in a short time, the backup node can handle the sessions and there is no need to perform data moving. A failover timer is set up and data moving occurs only when the failover timer expires. See Figure 7-10 below. + +![Sequence diagram illustrating the node ungraceful leaving flow without on-going and new sessions in the leaving node. The diagram shows four lifelines: Leaving node, Responsible node, Backup node, and Related nodes. The Leaving node becomes unavailable. A 'Node failure detected' event triggers a sequence of steps: 1. Failover timer set-up, 2. Activate backup resources of the leaving node as if they are resources of itself, 3. Route update (a long horizontal arrow spanning all lifelines), 4. Failover timer expire, 5. Store request (from Backup node to Responsible node), 6. Store response (from Responsible node to Backup node), and 7. Update (a long horizontal arrow spanning all lifelines). A bracket on the right indicates the 'Failover time' period covering steps 1 through 4. The diagram is labeled Y.2083(14)_F7-10.](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +Sequence diagram illustrating the node ungraceful leaving flow without on-going and new sessions in the leaving node. The diagram shows four lifelines: Leaving node, Responsible node, Backup node, and Related nodes. The Leaving node becomes unavailable. A 'Node failure detected' event triggers a sequence of steps: 1. Failover timer set-up, 2. Activate backup resources of the leaving node as if they are resources of itself, 3. Route update (a long horizontal arrow spanning all lifelines), 4. Failover timer expire, 5. Store request (from Backup node to Responsible node), 6. Store response (from Responsible node to Backup node), and 7. Update (a long horizontal arrow spanning all lifelines). A bracket on the right indicates the 'Failover time' period covering steps 1 through 4. The diagram is labeled Y.2083(14)\_F7-10. + +**Figure 7-10 – Node ungraceful leaving flow without on-going and new sessions in the leaving node** + +- 1) Once a node leaving has been detected, a failover timer is set up in the backup nodes which have the backup of the resource for the leaving node; +- 2) Backup nodes activate the backup resources to handle the request for these resources during the failover time; +- 3) Route updates among the overlays are initiated to set up the paths to the backup nodes for the backup resource access. If the leaving node recovers during this time, it will take over the resources again; +- 4) The failover timer expires; +- 5-7) Data is transferred from the backup nodes to the responsible node and updates among overlays about the topology change are made. Note that if the backup node is the responsible node, the data transfer is not needed. + +###### **7.2.2.2.2 Node ungraceful leaving with on-going sessions in the leaving node** + +The node's ungraceful leaving may seriously influence the on-going sessions controlled by the leaving node. All the dynamic status data for these sessions will be lost. For example, the charging information will be corrupted as it only refers to the last updated version of the leaving node. + +###### **7.2.2.2.3 Node ungraceful leaving with new session establishment in the leaving node** + +The following flow in Figure 7-11 shows the case of a new session establishment request, to the users in the leaving node, before the overlay topology updated is finished. + +![Sequence diagram illustrating node ungraceful leaving with new session establishment in the leaving node. The diagram shows four main entities: Serving node (SCF, RLF), Overlay (RLFs), Responsible node (SCF, RLF), and Leaving node (SCF, RLF). The process starts with an invite from user A to the Serving node. A resource location query is sent to the Overlay, which then sends a query to the Leaving node. The Leaving node fails to respond. The Overlay updates its topology and informs the Responsible node. A callout states: 'If overlay connection establishment expires, the session will fail'. A second resource location query is sent from the Overlay to the Responsible node, which responds. Finally, the invite is forwarded to the Responsible node. A note at the bottom right reads 'Y.2083(14)_F7-11'.](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +``` + +sequenceDiagram + participant A as 1. Invite (for user B) from A + participant SN as Serving node (SCF, RLF) + participant O as Overlay (RLFs) + participant RN as Responsible node (SCF, RLF) + participant LN as Leaving node (SCF, RLF) + Note over LN: User B is on here + + A->>SN + SN->>O: 2. Resource location query + O->>LN: 3. Resource location query + Note over LN: [Failure: No Reply] + O-->>O: 4. The update of the overlay topology + O->>RN: 6. Resource location query + RN-->>O: 7. Resource location response + O-->>SN: 8. Resource location response + SN->>RN: 9. Invite (for user B) + + Note over SN, O, RN: If overlay connection establishment expires, the session will fail + +``` + +Y.2083(14)\_F7-11 + +Sequence diagram illustrating node ungraceful leaving with new session establishment in the leaving node. The diagram shows four main entities: Serving node (SCF, RLF), Overlay (RLFs), Responsible node (SCF, RLF), and Leaving node (SCF, RLF). The process starts with an invite from user A to the Serving node. A resource location query is sent to the Overlay, which then sends a query to the Leaving node. The Leaving node fails to respond. The Overlay updates its topology and informs the Responsible node. A callout states: 'If overlay connection establishment expires, the session will fail'. A second resource location query is sent from the Overlay to the Responsible node, which responds. Finally, the invite is forwarded to the Responsible node. A note at the bottom right reads 'Y.2083(14)\_F7-11'. + +**Figure 7-11 – Node ungraceful leaving with new session establishment in the leaving node** + +- 1) After node ungraceful leaving, there is a session request from user A to user B. An invite message is sent from user A's serving node; +- 2-3) Before the overlay topology update is finished, the resource location query message is sent to the leaving node, but there is no reply; +- 4) While waiting for the reply, the overlay topology detects the node failure and is updated and the responsible node takes the place of the leaving node. The summation of the failover time and the overlay topology update time must be less than the overlay connection establishment time (this time includes the retransmission interval and final set-up time); +- 5-8) If the overlay connection establishment does not expire before the network update finishes, the resource location query message is resent and the responsible node replies and the overlay connection is set up; +- 9) The invite message is forwarded to responsible node. + +NOTE 1 – There is an assumption in the above flow that the overlay topology update time must be less than the time of the overlay connection establishment. Moreover, the time of the overlay connection establishment must be less than the time of the invite message retransmission. If these two assumptions cannot be satisfied, the session will fail. + +NOTE 2 – The overlay topology update is triggered by the overlay routing maintenance algorithm. For example, if a node does not receive the heart-beat message from its neighbour in the routing table for a certain period of time, it will assume this neighbour has left the overlay and will initiate the topology update. + +#### 7.2.3 Session set-up procedure when serving node changes + +Node joining and leaving will cause serving nodes to change for some users. The following flows in Figure 7-12 and Figure 7-13 show two kinds of solutions for session set-up when the serving node changes. + +##### 7.2.3.1 Previous serving node locates the new serving node + +![Sequence diagram showing the process where a previous serving node locates a new serving node for EF A. The diagram involves EF A, Proxy node (SCF, RLF), Previous serving node (SCF, RLF), New serving node (SCF, RLF), and Overlay. The sequence of events is: 1. EF A's serving node changed; 2. SIP Invite (to EF B) from EF A to Proxy node; 3. SIP Invite from Proxy node to Previous serving node; 4. Resource location query from Previous serving node to Overlay; 5. Resource location query from Overlay to New serving node; 6. Resource location response from New serving node to Overlay; 7. Resource location response from Overlay to Previous serving node; 8. SIP Redirect from Previous serving node to Proxy node; 9. SIP Invite from Proxy node to New serving node; 10. SIP Invite from New serving node to Overlay. A box labeled 'Locate EF B's serving node' is shown within the New serving node's lifeline.](08a978a124d3ed6cf1a3d0cfd89418d0_img.jpg) + +``` + +sequenceDiagram + participant EF_A as EF A + participant Proxy as Proxy node +(SCF, RLF) + participant Previous as Previous serving node +(SCF, RLF) + participant New as New serving node +(SCF, RLF) + participant Overlay as Overlay + + Note over Previous: 1. EF A's serving node changed + EF_A->>Proxy: 2. SIP Invite (to EF B) + Proxy->>Previous: 3. SIP Invite + Note over Previous: 4. Resource location query + Previous->>Overlay: 4. Resource location query + Overlay->>New: 5. Resource location query + New-->>Overlay: 6. Resource location response + Overlay-->>Previous: 7. Resource location response + Previous-->>Proxy: 8. SIP Redirect + Proxy->>New: 9. SIP Invite + Note over New: Locate EF B's serving node + New->>Overlay: 10. SIP Invite + +``` + +Y.2083(14)\_F7-12 + +Sequence diagram showing the process where a previous serving node locates a new serving node for EF A. The diagram involves EF A, Proxy node (SCF, RLF), Previous serving node (SCF, RLF), New serving node (SCF, RLF), and Overlay. The sequence of events is: 1. EF A's serving node changed; 2. SIP Invite (to EF B) from EF A to Proxy node; 3. SIP Invite from Proxy node to Previous serving node; 4. Resource location query from Previous serving node to Overlay; 5. Resource location query from Overlay to New serving node; 6. Resource location response from New serving node to Overlay; 7. Resource location response from Overlay to Previous serving node; 8. SIP Redirect from Previous serving node to Proxy node; 9. SIP Invite from Proxy node to New serving node; 10. SIP Invite from New serving node to Overlay. A box labeled 'Locate EF B's serving node' is shown within the New serving node's lifeline. + +**Figure 7-12 – Previous serving node locates the new serving node** + +- 1) EF A's serving node changed due to node joining or leaving; +- 2) EF A sends a SIP invite request to its proxy node in order to establish session with EF B; +- 3) Since the proxy node has no information about the change of EF A's serving node, it will forward the request to the previous serving node; +- 4-7) The previous serving node finds that it no longer serves EF A. Then it initiates a resource location query in the overlay to obtain EF A's current serving node; +- 8) The previous serving node returns a SIP Redirect message which includes the address of the current serving node to the proxy node; +- 9) EF A's proxy node forwards the SIP invite request to the new serving node; +- 10) EF A's new serving node locates EF B's serving node and forwards the SIP invite request to EF B's serving node. + +##### 7.2.3.2 Proxy node locates the new serving node + +![Sequence diagram showing the flow for a proxy node locating a new serving node. The diagram involves five entities: EF A, Proxy node (SCF, RLF), Previous serving node (SCF, RLF), Overlay (RLFs), and New serving node (SCF, RLF). The process starts with EF A sending a SIP Invite to the Proxy node. The Proxy node forwards it to the Previous serving node. The Previous serving node returns a SIP Failure message. The Proxy node then initiates a Resource location query to the Overlay, which forwards it to the New serving node. The New serving node returns a Resource location response to the Overlay, which then forwards it to the Proxy node. Finally, the Proxy node forwards the SIP Invite to the New serving node, which then locates EF B's serving node and sends a SIP Invite to it.](365b54f616aff249b4e6c0edafdcb9b3_img.jpg) + +``` + +sequenceDiagram + participant EFA as EF A + participant Proxy as Proxy node +(SCF, RLF) + participant Previous as Previous serving node +(SCF, RLF) + participant Overlay as Overlay +(RLFs) + participant NewServing as New serving node +(SCF, RLF) + + Note over Proxy, Previous: 1. EF A's serving node changed + EFA->>Proxy: 2. SIP Invite (to EF B) + Proxy->>Previous: 3. SIP Invite + Previous-->>Proxy: 4. SIP Failure + Note over Proxy, Overlay, NewServing: 5. Resource location query + Proxy->>Overlay: 5. Resource location query + Overlay->>NewServing: 6. Resource location query + NewServing-->>Overlay: 7. Resource location response + Overlay-->>Proxy: 8. Resource location response + Proxy->>NewServing: 9. SIP Invite + Note over NewServing: Locate EF B's serving node + NewServing->>NewServing: 10. SIP Invite + +``` + +Y.2083(14)\_F7-13 + +Sequence diagram showing the flow for a proxy node locating a new serving node. The diagram involves five entities: EF A, Proxy node (SCF, RLF), Previous serving node (SCF, RLF), Overlay (RLFs), and New serving node (SCF, RLF). The process starts with EF A sending a SIP Invite to the Proxy node. The Proxy node forwards it to the Previous serving node. The Previous serving node returns a SIP Failure message. The Proxy node then initiates a Resource location query to the Overlay, which forwards it to the New serving node. The New serving node returns a Resource location response to the Overlay, which then forwards it to the Proxy node. Finally, the Proxy node forwards the SIP Invite to the New serving node, which then locates EF B's serving node and sends a SIP Invite to it. + +**Figure 7-13 – Proxy Node locates the new serving node** + +Proxy node locates the new serving node flow, shown in Figure 7-13, is described as follows: + +- 1) EF A's serving node changed due to node joining or leaving; +- 2) EF A sends an SIP invite request to its proxy node in order to establish a session with EF B; +- 3) EF A's proxy node forwards the request to the previous serving node; +- 4) The previous serving node finds that it no longer serves EF A, then it returns a SIP failure message which notifies EF A that its serving node has changed; +- 5-8) The proxy node initiates a resource location query in the overlay to obtain EF A's new serving node; +- 9) EF A's proxy node forwards the SIP invite request to the new serving node; +- 10) EF A's new serving node locates EF B's serving node and forwards the SIP invite request to EF B's serving node. + +# 8 Overload control considerations in MMTel + +When an overload happens, the overloaded node can be offloaded by using a backup node or by adding a new node when all the backup nodes are unavailable to offload the traffic. This clause describes these procedures only in the context of recommended solutions. + +### 8.1 Overload control flows by using a backup node + +When using a backup node, the backup node will ask for permission to handle the calls which should be handled by the overloaded node. The way of asking for permission can be proactive or reactive; proactive means that the backup node asks for permission in advance, while reactive means that the backup node asks for permission when new call arise. + +#### 8.1.1 Proactively overload control flows + +##### 8.1.1.1 Offloading by a backup node + +This procedure applies when the serving node is overloaded; it chooses an available backup node and offloads its traffic to it. + +This procedure, shown in Figure 8-1, describes the offloading flow of an overloaded node. + +![Sequence diagram illustrating the offloading flow of an overloaded node to a backup node.](4b87467ad9642943235f48f7d4b59449_img.jpg) + +The diagram shows the interaction between three nodes: Overload node, Backup node A, and Backup node B (being overloaded). Each node has SCF and RLF components. The flow is as follows: + +1. Load sharing request: Overload node sends to Backup node B. +2. Load sharing refuse: Backup node B sends back to Overload node. +3. Load sharing request: Overload node sends to Backup node A. +4. Check the backup user profile range: Backup node A performs a self-action. +5. Permission request: Backup node A sends to Overload node. +6. Set flags for the users who have no on-going sessions: Overload node performs a self-action. +7. Permission response: Overload node sends to Backup node A. +8. Ready to serve for these users indicated in the permission response: Backup node A performs a self-action. +9. Some on-going sessions completed: Overload node performs a self-action. +10. Store request: Overload node sends to Backup node A. +11. Store response: Backup node A sends back to Overload node. + +Y.2083(14)\_F8-1 + +Sequence diagram illustrating the offloading flow of an overloaded node to a backup node. + +**Figure 8-1 – Overload control by informing backup node to offload on overloaded node** + +- 1) If the serving node is overloaded, it sends a load sharing request message to one of its backup nodes (e.g., backup node B); +- 2) If backup node B cannot support the request, it refuses the offload request; + +NOTE – The serving node may have more than one backup node, and if one of the backup nodes whose load is close to a threshold or has already reached it, it should refuse the load sharing request. + +- 3) The serving node chooses another backup node (e.g., backup node A) and sends it a load sharing request message; +- 4) If backup node A is not overloaded, it checks its backup user profile range; +- 5) Backup node A sends a permission request to the overloaded serving node with a request to serve all the users whose user profiles are stored in the backup nodes; +- 6) The overloaded serving node sets flags for the users who have no on-going sessions indicating they will be served by the backup node. The flags may include the address of the backup node; + +- 7) The overloaded serving node sends a permission response to the backup node which includes the user identities the backup node should be responsible for; +- 8) The backup node is ready to serve the users indicated in the permission response; +- 9-11) When on-going sessions have finished on the serving node, and it is still overloaded, the serving node transfers the profiles of the users whose sessions have just finished to the backup node and those users will be served in the backup nodes after their user profiles have transferred. + +##### 8.1.1.2 Session establishment during offloading + +Figure 8-2 shows the session establishment procedure after the overloaded node has offloaded part of the user profile to its backup nodes as described in clause 8.1.1.1. + +![Sequence diagram showing session establishment procedure on an overloaded node with pre-informing backup node. The diagram involves three nodes: Upstream node (SCF, RLF), Serving node (SCF, RLF), and Backup node (SCF, RLF).](26d664119ad25250780f554633444e54_img.jpg) + +``` + +sequenceDiagram + participant Upstream as Upstream node +SCF | RLF + participant Serving as Serving node +SCF | RLF + participant Backup as Backup node +SCF | RLF + + Note over Upstream, Serving: Serving node is overloaded, and it is known by upstream node + Note over Upstream: 1. Upstream node selects +backup node based on +overload control algorithm + Upstream->>Upstream: 2. INVITE (to user A) + Upstream->>Backup: 3. INVITE (to user A) + Note over Backup: 4. Judge whether it can +take charge of user A + rect rgb(255, 255, 255) + Note right of Backup: Option 1: + Backup->>Backup: 5. INVITE (to user A) + end + rect rgb(255, 255, 255) + Note right of Backup: Option 2: + Backup->>Serving: 5. INVITE (to user A) + end + +``` + +Y.2083(14)\_F8-2 + +Sequence diagram showing session establishment procedure on an overloaded node with pre-informing backup node. The diagram involves three nodes: Upstream node (SCF, RLF), Serving node (SCF, RLF), and Backup node (SCF, RLF). + +**Figure 8-2 – Session establishment procedure on overloaded node with pre-informing backup node** + +- 1) The serving node which is responsible for user A's profile is overloaded and the overload status of the serving node is known by the upstream node. According to the overload control mechanism, the upstream node selects the backup node(s) of the serving node using the overlay algorithm; + +NOTE 1 – Based on the load information that is carried in the keep-alive messages (i.e., the heartbeat message), the upstream node can be aware of the overload status of the serving node. + +NOTE 2 – If the serving node has more than one backup node and each backup node is only responsible for some of the users, the upstream node should be aware of the range of users which each backup node is responsible for. There may be different approaches, e.g., exchange keep-alive message between the upstream node and the downstream node which carries the range information among several backup nodes. Another method is that the upstream node could calculate the target backup node of the serving node by using the global unified routing algorithm. + +- 2) The upstream node receives an invite message designated to user A; +- 3) The upstream node forwards the invite message to the backup node; +- 4) The backup node judges whether user A should be taken charge of based on the range information it received from the overloaded serving node; + +There will be two possibilities depending on whether user A is under the control of the backup node. Following are the flows for the two different cases. + +Option 1: + +- 5) The backup node finds itself responsible for user A, and then the backup node will handle the invite message. + +Option 2: + +- 5) If the backup node is not responsible for user A, it forwards the invite message to the overloaded serving node and the serving node will handle the invite message; + +#### 8.1.2 Reactive overload control flows + +Figure 8-3 shows the session establishment procedure. When the target serving node is overloaded, the overloaded node prepares to offload to the backup nodes after it receives the session establishment requests. + +![Sequence diagram showing session establishment procedure on an overloaded node without pre-informing the backup node. The diagram involves three nodes: Upstream node (SCF, RLF), Serving node (SCF, RLF), and Backup node (SCF, RLF). The process starts with the upstream node receiving an INVITE for user A. It then selects a backup node based on an overload control algorithm and forwards the INVITE. The serving node asks the backup node for permission. The backup node responds with a permission response, indicating it is ready to serve. Two options are shown: Option 1, where the backup node sends an INVITE to user A, and Option 2, where the backup node forwards the INVITE back to the serving node.](20136850feb70fd71c7d41cdae203ebb_img.jpg) + +``` + +sequenceDiagram + participant Upstream as Upstream node +(SCF, RLF) + participant Serving as Serving node +(SCF, RLF) + participant Backup as Backup node +(SCF, RLF) + + Note over Upstream: Serving node is overloaded, and it is known by upstream node + Upstream->>Serving: 1. INVITE (to user A) + Note over Upstream: 2. Upstream node selects backup node based on overload control algorithm + Upstream->>Backup: 3. INVITE (to user A) + Backup->>Serving: 4. Ask for permission + Note over Serving: 5. Set flags for the users who has no on-going sessions + Serving->>Backup: 6. Permission response + Note over Backup: 7. Ready to serve for these users indicated in the permission response + + Option 1: + Backup->>UserA: 8. INVITE (to user A) + + Option 2: + Backup->>Serving: 8. INVITE (to user A) + +``` + +Y.2083(14)\_F8-3 + +Sequence diagram showing session establishment procedure on an overloaded node without pre-informing the backup node. The diagram involves three nodes: Upstream node (SCF, RLF), Serving node (SCF, RLF), and Backup node (SCF, RLF). The process starts with the upstream node receiving an INVITE for user A. It then selects a backup node based on an overload control algorithm and forwards the INVITE. The serving node asks the backup node for permission. The backup node responds with a permission response, indicating it is ready to serve. Two options are shown: Option 1, where the backup node sends an INVITE to user A, and Option 2, where the backup node forwards the INVITE back to the serving node. + +**Figure 8-3 – Session establishment procedure on overloaded node without pre-informing backup node** + +- 1-2) The serving node which is responsible for user A is overloaded, and the overload status of the serving node was known by the upstream node; the upstream node receives a invite message designated to user A, according to the overload control mechanism; the upstream node selects a backup node of the serving node using the overlay algorithm; +- 3) The upstream node forwards the invite message to the backup node; + +- 4) The backup node receives the invite message, then sends a permission request message to the overloaded serving node for permission to serve all the users whose user profiles are stored as backup in it; +- 5) The overloaded serving node sets flags for these users who have no on-going sessions and indicates that they will be served by the backup node; + +NOTE – The flags may include the address of the backup node. If the serving node has more than one backup node, the flags will be synchronized to all backup nodes. When the serving node is in full-load state it cannot reply to any messages, so the backup node may refuse the invite according to local policy when time has expired. + +- 6) The overloaded serving node sends a response to the backup node which includes the user identities the backup node should be responsible for; +- 7) The backup node is ready to serve the users indicated in the permission response; + +There will be two possibilities depending on whether user A is served by the backup node. Following are the flows for the two different cases. + +Option 1: + +- 8) The backup node finds it is responsible for user A and it will handle the invite message. + +Option 2: + +- 8) If the backup node is not responsible for user A, it forwards the invite message to the overloaded serving node and the serving node will handle the invite message. + +#### 8.1.3 User profile synchronization after overloaded node recovery + +This procedure, shown in Figure 8-4, applies when the serving node has recovered from an overloaded state. + +![Sequence diagram showing user profile synchronization flow after overloaded node recovery between an Overload node and two Backup nodes (A and B).](db5ab5d386827a5d5f5fad0f45612b90_img.jpg) + +``` + +sequenceDiagram + participant ON as Overload node (SCF, RLF) + participant BA as Backup node A (SCF, RLF) + participant BB as Backup node B (SCF, RLF) + + Note over ON: 1. Serving node has recovered from overload state + ON->>BA: 2. Recovery + ON->>BB: 2. Recovery + BA->>ON: 3. User profile + BB->>ON: 3. User profile + Note over ON: 4. Update the user profile and record the user identities being served by the backup nodes + ON->>BA: 5. Store response + ON->>BB: 5. Store response + Note over BA: 6. Some on-going sessions are completed + BA->>ON: 7. User profile + Note over ON: 8. Update the user profile + ON->>BA: 9. Store response + +``` + +The diagram illustrates the synchronization process. The Overload node (containing SCF and RLF) recovers from its overloaded state. It sends 'Recovery' messages to both Backup node A and Backup node B. Both backup nodes respond with 'User profile' information. The Overload node updates its profile and records the user identities being served by the backup nodes, then sends 'Store response' messages to both backup nodes. Later, when some on-going sessions are completed at Backup node A, it sends another 'User profile' message to the Overload node. The Overload node updates its profile again and sends a final 'Store response' message to Backup node A. + +Sequence diagram showing user profile synchronization flow after overloaded node recovery between an Overload node and two Backup nodes (A and B). + +Y.2083(14)\_F8-4 + +**Figure 8-4 – User profile synchronization flow after overloaded node recovery** + +- 1) The serving node has recovered from an overloaded state; +- 2) The recovered node sends a message with recovery information to all its backup nodes in order to get the user profiles which may be updated during the overloading period; +- 3) The backup nodes acknowledge the recovery messages by transferring the updated user profiles to the serving node. The message also includes information about the identifiers of those users being served by the backup nodes; +- 4) The serving node receives and stores the latest user profiles, and records the identifies of those users being served by the backup nodes; +- 5) The serving node sends the store response to the backup nodes; +- 6-7) After the on-going sessions have finished on the backup nodes, the backup nodes send the user profiles which are updated in the on-going sessions to the serving node; +- 8) The serving node receives and stores the latest user profile; +- 9) The serving node sends the store response to the backup nodes. + +### **8.2 Overload control by initiating a node joining** + +If all the backup nodes are not available to offload the traffic for the serving node, a joining node will be added to offload the traffic. The procedures for node joining are illustrated in clause 7.2.1. + +## **9 Supplementary services support** + +There is no difference between NGN IMS and DSN in supporting supplementary services and services interaction which provides the relationship between different services. Detailed definition and description of the supplementary services are specified in [ITU-T Y.2211]. In DSN MMTel, the SCF in the serving node with user profile is aware of the supplementary service subscription of a user and provides access to the supplementary services. The SCF works in conjunction with the specified application server to provide the supplementary service to the user. + +## **10 Mobility support** + +According to [ITU-T Y.2206], mobility in DSN can be categorized as terminal mobility and personal mobility. Terminal mobility is the ability of a terminal to access DSN services from different locations while in motion, and the capability of the network to identify and locate that terminal. Personal mobility is the ability of a user to access DSN services at any terminal on the basis of a personal identifier, and the capability of the network to provide those services delineated in the user's service profile. + +Basically, there is no difference between NGN IMS and DSN in mobility support. + +Detailed definition and description of the terminal mobility are specified in [ITU-T Q.1706], [ITU-T Q.1707], [ITU-T Q.1708] and [ITU-T Q.1709]. + +Detailed definition and description of the personal mobility are specified in [ITU-T Q.1706], [ITU-T Q.1707]. + +## **11 Interworking** + +Under the control of SCF, DSN can reuse the gateway functions (e.g., IBG-FE, TMG-FE, SG-FE) defined in NGN to interwork with networks including DSN, NGN, PSTN/ISDN, etc. + +## **12 Charging** + +[ITU-T Y.2233] provides charging functions which can be used by DSN MMTel. The DSN node and interfaces between DSN MMTel system and charging system should follow the principles in [ITU-T Y.2233]. + +## **13 Security considerations** + +Security considerations are not addressed in this Recommendation. + +## **14 Network management** + +[ITU-T M.3060] contains the management requirements, general principles and architectural requirements for managing NGNs to support business processes to plan, provision, install, maintain, operate and administer NGN resources and services. The management requirements for MMTel identified in this clause can be viewed as specialized functions of the network management function (NMF) block defined in [ITU-T M.3060]. + +[ITU-T Y.2173] specifies requirements, reference measurement network model, high-level and functional architectures, and procedures for performance measurement management. Data collection and measurement functions, such as configuration data collection, fault information collection, performance data collection and MMTel service QoS measurement can be viewed as specialized functions of NGN performance measurement defined in [ITU-T Y.2173]. + +# Bibliography + +- [b-ITU-T Y Suppl.10] ITU-T Y-series Recommendations – Supplement 10 (2010), *ITU-T Y.2000-series – Supplement on distributed service network (DSN) use cases*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2121-200801-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2121-200801-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..964e53125c954da93d990e1c216a1dbdda7b7927 --- /dev/null +++ b/marked/Y/T-REC-Y.2121-200801-I_PDF-E/raw.md @@ -0,0 +1,1412 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.2121 + +(01/2008) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Quality of Service and +performance + +# --- **Requirements for the support of flow-state-aware transport technology in NGN** + +Recommendation ITU-T Y.2121 + +![ITU logo](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue. To the right of the globe, the words "International Telecommunication Union" are written in a smaller blue font. + +ITU logo + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2121** + +# **Requirements for the support of flow-state-aware transport technology in NGN** + +## **Summary** + +Recommendation ITU-T Y.2121 specifies the requirements for the support of the flow-state-aware (FSA) transfer capability in a next generation network (NGN). The FSA transfer capability provides QoS controls that operate on a per-flow basis, allowing flows to receive different treatment depending on signalled parameters. These parameters are requested using in-band signalling. The parameters contained in these signals are included in the "flow state" maintained on each flow at each FSA node. + +Service options that may be selected include requested support of the highest available end-to-end (or FSA edge-to-edge) rate for data transfer. Another option is immediate transmission, wherein a flow may start or assume a new rate immediately on the understanding that the network is required to provide a guaranteed rate as soon as possible. This is required to be provided when network resources permit. Yet another option is for a negotiated guaranteed rate. These services are targeted at access scenarios where media flows may result in temporary congestion and where best effort would not act selectively on the last few flows that had contributed to the onset of congestion. These services may also be applied to flow aggregates, providing the possibility of highest available rate between the aggregation end-points or the option of supporting immediate aggregate rate changes that act in conjunction with per-flow controls. + +### **Source** + +Recommendation ITU-T Y.2121 was approved on 25 January 2008 by ITU-T Study Group 13 (2005-2008) under the Recommendation ITU-T A.8 procedure. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2008 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|-------------------------------------------------------------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Overview ..... | 4 | +| 6 Requirements ..... | 6 | +| 6.1 Dynamic provisioning requests from an FSA signalling edge function..... | 6 | +| 6.2 Network and FSA signalling edge function responses to flow-state-aware requests ..... | 9 | +| 6.3 Signalling requirements ..... | 10 | +| 6.4 Admission decision ..... | 14 | +| 6.5 General architectural requirements on the management of transport connections carrying flow-state-aware traffic and other traffic ..... | 14 | +| 6.6 Security considerations and requirements ..... | 15 | +| Annex A – Dynamic provisioning requests from an FSA signalling edge function..... | 16 | +| A.1 Negotiations for a user-end-system without signalling capability ..... | 16 | +| A.2 Authorization ..... | 16 | +| A.3 Service context ..... | 17 | +| Annex B – Signalling requirements ..... | 19 | +| B.1 Second QoS structure attached ..... | 19 | +| B.2 Authorization information attached ..... | 19 | +| B.3 Flow aggregation request ..... | 19 | +| B.4 FSA node operation ..... | 19 | +| Appendix I – Supplementary information on information exchanges via requests from an FSA signalling edge function and associated responses..... | 20 | +| I.1 Flow identifier ..... | 20 | +| I.2 In-band signalling negotiations ..... | 20 | +| I.3 Preference indicator request ..... | 21 | +| I.4 Authentication ..... | 21 | +| I.5 Priority of packet discard, including service context use of preference indicator values..... | 23 | +| I.6 Congestion notification ..... | 23 | +| Appendix II – Supplementary information to signalling requirements ..... | 24 | +| II.1 Recognition of QoS signalling packets ..... | 24 | +| II.2 Form of QoS information ..... | 24 | +| II.3 Performance requirements for requests and responses..... | 24 | +| II.4 Release of resources no longer required..... | 25 | +| II.5 QoS signalling parameters..... | 25 | + +| | Page | +|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------| +| II.6 Service contexts..... | 25 | +| II.7 Preference indicator..... | 26 | +| II.8 Delay priority..... | 26 | +| II.9 Burst tolerance..... | 26 | +| II.10 Flow identifier fields ..... | 26 | +| Appendix III – Illustrative QoS support for different preference indicator values..... | 28 | +| III.1 Preference resolution for maximum rate (MRS) flows ..... | 28 | +| III.2 Preference resolution for available rate (ARS) flows..... | 28 | +| Appendix IV – Supplementary information relating to requirements on the management
of transport connections carrying flow-state-aware traffic and other traffic..... | 29 | +| IV.1 General architectural assumptions..... | 29 | +| IV.2 General issues on the management of access links shared by FSA and
non-FSA traffic..... | 30 | +| IV.3 Combined flow-level and aggregate flow-level FSA controls ..... | 33 | +| Appendix V – Example implementation principles associated with FSA nodes..... | 38 | +| Appendix VI – Out-of-band signalling with a central admission entity ..... | 40 | +| Bibliography..... | 42 | + +# Recommendation ITU-T Y.2121 + +# Requirements for the support of flow-state-aware transport technology in NGN + +# 1 Scope + +This Recommendation provides flow-state-aware requirements in support of per-flow service options providing for edge-to-edge QoS and transport resource control (including resource reservation and admission control) in next generation networks (NGNs). The pertinent protocol specifications and measurement requirements will be described in separate Recommendations. Note that network management functionality is outside the scope of this Recommendation. Also out of scope are any edge functions at network domain boundaries needed for interworking QoS support between FSA and non-FSA networks. Similarly, out of scope are any edge functions at network domain boundaries needed for interworking between two FSA networks, where one uses in-band signalling exclusively for all FSA service support, and the other uses out-of-band signalling for resource reservation and clear-down coupled with in-band signalling to establish the agreed flow state in the involved FSA nodes. Administrations may require operators and service providers to take into account national regulatory and national policy requirements in implementing this Recommendation. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.1221] Recommendation ITU-T Y.1221 (2002), *Traffic control and congestion control in IP-based networks*. +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2006), *Functional requirements and architecture of the NGN release 1*. +- [ITU-T Y.2111] Recommendation ITU-T Y.2111 (2006), *Resource and admission control functions in Next Generation Networks*. + +# 3 Definitions + +This Recommendation defines the following terms: + +- 3.1 aggregation end-point:** An end-point within the network which attaches or deletes the common flow aggregate identifiers to ensure commencement/cessation of common routing and QoS treatment of packets. This end-point also initiates/terminates in-band signalling to control flow state information retained for treatment of the flow aggregate. +- 3.2 available rate service (ARS):** The name of one of the flow-state-aware (FSA) transport services. ARS is primarily for applications that can flexibly adapt to the current available capacity and can quickly adjust their sending rate as the available capacity changes. +- 3.3 flow:** A unidirectional sequence of packets with the property that, along any given network link, a flow identifier has the same value for every packet. + +**3.4 flow aggregate:** A hierarchical flow construct that is associated with a group of flows. The carried flows may extend beyond the flow aggregate. Except for the end nodes, flow aggregate forwarders in general do not know that they are carrying flows within the flow aggregate. All packets belonging to a given flow aggregate are commonly routed between aggregation end-points. + +**3.5 flow admission control:** The determination, for authorized requests, of whether or not to accept a given flow. + +**3.6 flow identifier:** A vector comprising the values of a number of elements taken from the IP, TCP/UDP header fields, encapsulation header, and label fields attached to a packet. The flow identifier for a flow within a single FSA network is unique. Clause II.10 describes some examples of suitable identifiers purely for information and as an aid to understanding. + +**3.7 flow state:** A set of values stored per flow identifier at each flow-state-aware node. This set of values determines controls applied on a per-flow basis, dealing with forwarding rate, delay and congestion recovery. + +**3.8 flow-state-aware node:** A network node that is capable of maintaining flow state and applying per-flow QoS controls, based on recognizing flow identifier and associated signals. + +**3.9 flow-state-aware signalling edge function:** A function that provides the origin and/or termination of the flow-state-aware end-to-end signalling path, and participates in requests and responses on behalf of a user-end-system (UES) application or management action. It may be located, for example, in the UES or at a network edge node where it serves as the signalling end-point of multiple users and associated applications. Alternatively, it may be located at an aggregation end-point where it supports the signalling requirements of flow aggregates. Out of scope is a network domain edge function required for interworking QoS support between FSA and non-FSA networks. Similarly, out of scope is a network domain edge function that may be required when two FSA networks interwork, where one uses in-band signalling exclusively for all FSA service support, and the other uses out-of-band signalling for resource reservation and clear-down coupled with in-band signalling to establish the agreed flow state in the involved FSA nodes. + +**3.10 guaranteed rate service (GRS):** The name of one of the flow-state-aware (FSA) transport services. GRS is for applications that require guaranteed bandwidth for the duration of the flow. + +**3.11 in-band signalling:** A mode of signalling where the signalling messages are within the flow of the data packets, and follow a path that is tied to the data packets. Signalling messages are routed only through nodes that are in the data path. + +**3.12 maximum rate service (MRS):** The name of one of the flow-state-aware (FSA) transport services. MRS is for applications that want packet loss characteristics to be sufficient for streamed services as soon as possible but are unwilling to wait or be rejected by network admission control if network resource for this target QoS is not available immediately. + +**3.13 out-of-band signalling:** A mode of signalling where the signalling messages are not in the same flow of the data packets, and may follow a different path to the data packets and are routed to one or more nodes that are not in the data path. + +**3.14 preference indicator:** A parameter used to determine whether to admit a flow in case of network overload. In a network overload state, the flow with the lower preference indicator value may be rejected while the one with higher preference indicator value may still be admitted. + +**3.15 QoS structure:** The block of QoS signalling information in a signalling packet. + +**3.16 variable rate service (VRS):** The name of one of the flow-state-aware (FSA) transport services. VRS is for applications that want an ARS and can flexibly take advantage of additional available capacity, but with a minimum capacity consistent with MRS transport characteristics, allowing the option of immediate transmission at or above this minimum rate. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|-------------------------------------------------| +| AAA | Authentication, Authorization and Accounting | +| ACK | Acknowledge (TCP response) | +| ANF | Access Node Function | +| ABR | Available Bit Rate | +| ARS | Available Rate Service | +| ATM | Asynchronous Transfer Mode | +| BA | Behaviour Aggregate | +| BRAS | Broadband Remote Access Server | +| Diffserv | Differentiated Services | +| DSL | Digital Subscriber Line | +| DoS | Denial of Service | +| eFSA | egress FSA | +| FR | Fixed Rate | +| FSA | Flow-State-Aware | +| GRS | Guaranteed Rate Service | +| GRE | Generic Routing Encapsulation | +| iFSA | ingress FSA | +| IPv4 | Internet Protocol version 4 | +| IPv6 | Internet Protocol version 6 | +| L2TP | Layer 2 Tunnelling Protocol | +| LAC | Layer 2 Tunnelling Protocol Access Concentrator | +| LNS | Layer 2 Tunnelling Protocol Network Server | +| LSP | Label Switched Path | +| MPLS | Multi-Protocol Label Switching | +| MRS | Maximum Rate Service | +| NACF | Network Attachment Control Function | +| NAT | Network Address Translator | +| NGN | Next Generation Network | +| NNI | Network-Network Interface | +| NR | Network Rate | +| PDA | Personal Digital Assistant | +| PD-FE | Policy Decision Functional Entity | +| PE-FE | Policy Enforcement Functional Entity | +| PPP | Point-to-Point Protocol | +| PT | Payload Type | + +| | | +|------|-------------------------------------------------------------| +| QoS | Quality of Service | +| PHB | Per-Hop Behaviour | +| RACF | Resource and Admission Control Function | +| RM | Resource Management | +| RTP | Real-time Transport Protocol | +| SCF | Service Control Function | +| SIP | Session Initiation Protocol | +| SYN | Initiation Flag of Transmission Control Protocol connection | +| TCP | Transmission Control Protocol | +| UDP | User Datagram Protocol | +| UES | User-End-System | +| UNI | User-Network Interface | +| VP | Virtual Path | +| VRS | Variable Rate Service | + +# 5 Overview + +To meet specific network performance requirements, a network operator needs to implement capabilities such as those specified in [ITU-T Y.1221], which now includes clause 6.5 describing a conditionally dedicated bandwidth transfer capability. + +To implement this transfer capability as defined in [ITU-T Y.1221], a network needs to provide specific user plane functionality at the UNI and NNI. This Recommendation specifies the flow-state-aware (FSA) requirements for such functionality. + +Appendix V provides example implementation principles associated with FSA nodes purely for information and as an aid to understanding. + +In terms of QoS aspects of flow-state-aware transfer, a network may be provisioned to meet performance requirements either statically or dynamically. The provisioning would be applied on a per-flow basis. This Recommendation defines the requirements for such provisioning. + +Static network provisioning is typically performed by a network management system. Static provisioning takes into account both overall network performance requirements and performance requirements for individual customers based on traffic contracts between the customer and the network operator. + +Dynamic network provisioning at a UNI and/or NNI node allows the ability to dynamically request a traffic contract for an IP flow (as defined in [ITU-T Y.1221]) from a specific source node to one or more destination nodes. In response to the request, the network determines if resources are available to satisfy the request and provision the network. Clause 6.5 of [ITU-T Y.1221] describes the case of dynamic provisioning within a flow-state-aware network, initiated by a flow-state-aware source node. + +QoS requirements (as would be applied to services supported by flow-state-aware transfer) go beyond just the delay and loss that can occur in the transport of IP packets. The requirements include: + +- bandwidth/capacity needed by the application, and +- the priority that bandwidth is maintained during congestion and is restored after various failure events. + +To achieve the required QoS for FSA transfer, networks must incorporate the following functions: + +- 1) Functions supporting the FSA packet forwarding behaviours that are applied per flow. +- 2) Flow admission control recognizing and processing requests for associated FSA transport services. +- 3) Functions supporting the signalling for allocating necessary resources for each flow. + +Figure 1 shows the main functions which are involved in establishing and ceasing FSA transfer and ensuring the correct provisioning of resources to meet QoS objectives. + +![Figure 1: Overview of FSA functions. The diagram illustrates the functional architecture of FSA transfer. On the left, 'Non-FSA end-system functions' connect to 'End-system FSA functions', which include an 'FSA signalling edge function' and 'FSA QoS functions'. These connect to a 'UNI' (User Network Interface). From the UNI, a 'Data path and in-band signals' line leads to 'FSA forwarding functions (FSA node)', which includes 'FSA QoS functions' and 'In-band signal processing functions'. Above the UNI, two ovals represent 'Service control functions as described in [ITU-T Y.2111]' and 'Resource and admission control functions as described in [ITU-T Y.2111]', connected to the UNI via 'Out-of-band signals'. Below the UNI, an 'Aggregation end-point function' connects to a 'Flow aggregate' cylinder, which then connects to an 'FSA node' (represented by a green and grey rectangle). The FSA node connects to another 'Flow aggregate' cylinder, which finally connects to a 'To/from far-end aggregation end-point function, via NNI(s) if required'. A reference 'Y.2121(08)_F01' is located at the bottom right of the diagram.](5a4e62bead259c258d069fd3663ea670_img.jpg) + +Figure 1: Overview of FSA functions. The diagram illustrates the functional architecture of FSA transfer. On the left, 'Non-FSA end-system functions' connect to 'End-system FSA functions', which include an 'FSA signalling edge function' and 'FSA QoS functions'. These connect to a 'UNI' (User Network Interface). From the UNI, a 'Data path and in-band signals' line leads to 'FSA forwarding functions (FSA node)', which includes 'FSA QoS functions' and 'In-band signal processing functions'. Above the UNI, two ovals represent 'Service control functions as described in [ITU-T Y.2111]' and 'Resource and admission control functions as described in [ITU-T Y.2111]', connected to the UNI via 'Out-of-band signals'. Below the UNI, an 'Aggregation end-point function' connects to a 'Flow aggregate' cylinder, which then connects to an 'FSA node' (represented by a green and grey rectangle). The FSA node connects to another 'Flow aggregate' cylinder, which finally connects to a 'To/from far-end aggregation end-point function, via NNI(s) if required'. A reference 'Y.2121(08)\_F01' is located at the bottom right of the diagram. + +**Figure 1 – Overview of FSA functions** + +Two alternative methods of signalling are shown in Figure 1. One method uses in-band signalling exclusively, the other method uses out-of-band signalling for resource reservation and clear-down coupled with in-band signals to establish agreed flow state in each FSA node. Definitions of the terms "in-band signalling" and "out-of-band signalling" are included in this Recommendation to describe the meaning of such terms when linked to the concept of a flow rather than pre-established channels designated for signalling or content transport. It is a network operator or service provider choice on what options are supported, but any FSA network shall be capable of at least passing every type of FSA in-band signal transparently to allow interoperation with networks that exclusively use such signals. + +The requirements in this Recommendation cover the following areas: + +- Requirements associated with flow-state-aware dynamic provisioning requests initiated by a flow-state-aware signalling edge function, for example located in a UES. See clause 6.1. +- Resource modification. See clause 6.1. +- Response to flow-state-aware requests. See clause 6.2. +- iFSA function answer to network response to flow-state-aware requests. See clause 6.2. +- Form of a verifiable flow-state-aware request. See clause 6.3 +- Request performance requirements (e.g., negotiation delays). See clause 6.3. +- Release of resources no longer required. See clause 6.3. +- Error reporting. See clause 6.3. + +- Preference indicator resolution. See clause 6.4. +- Parameters and values for transport connections. See clause 6.5. +- Security considerations and requirements. See clause 6.6. + +# **6 Requirements** + +All of the requirements are numbered consecutively across all subordinate clauses using the format R-#. + +### **6.1 Dynamic provisioning requests from an FSA signalling edge function** + +#### **6.1.1 Flow identifier** + +- R-1) Signalling from the FSA signalling edge function is required to always carry the flow identifier. +- R-2) The flow identifier is required to be used at each flow-state-aware node along the data path to recognize which data packets belong to which flow. +- R-3) Aggregation end-points are required to be able to create a flow aggregate identifier and notify the next FSA signalling nodes about the flow aggregate identifier. + - Aggregation end-points are required to be able to aggregate selected flows into fewer flow aggregates, based on some criteria such as the FSA transport services parameters (see clauses 6.1.4, 6.1.6 and 6.1.7) and the path in the network. +- R-4) Aggregation end-points are required to be able to change the flow aggregate identifier to which a flow belongs. + - For example, if aggregation is based on a common preference indicator value (see clause 6.1.4) and a flow violates the contract, it causes an automatic reallocation of a flow to a different aggregate. + +Further information on the flow identifier is provided in clause I.1. This is purely for information and as an aid to understanding. + +#### **6.1.2 Signalling negotiations** + +- R-5) For applications on UESs with an FSA signalling edge function and wanting service to be supported via an FSA transport service, the FSA signalling edge function is required to forward an in-band signalling request across the user-network interface whenever a new flow is starting. + - All other per-flow negotiations involving signals to or from an FSA signalling edge function, such as response, confirmation and close, may be conducted using either in-band signalling or out-of-band signalling. In-band signalling is recommended as the default for all negotiations between an FSA signalling edge function and one or several FSA nodes in the end-to-end data path (see also clause 5). +- R-6) For UES's not capable of, or not willing to, support flow-state-aware signalling, an ingress edge node may provide the option that it generates flow-state-aware signalling requests on behalf of the UES. In this case, the edge node performs the FSA signalling edge function. +- R-7) If a UES without the FSA signalling capability wants this option to be actively supported, it is required to register for the FSA transport services with information of its device type if such information has not been pre-configured. The method for registration is for further study. +- R-8) The ingress edge nodes may provide the option of alternative choices of pre-defined parameters to be used in the request signal and may determine whether a flow should belong to a specific choice within such alternatives. + +- R-9) The ingress edge nodes may determine the FSA parameters by mapping from the IP level flow descriptor, which is distributed by a central admission entity such as the RACF through the authorization and admission procedure. +- R-10) In order to perform signalling requests on behalf of an end-system, an edge node should maintain the registered users for future active identification, by means suitable for each network. +- R-11) The edge node may aggregate the flows into a flow-aggregate if appropriate. +- R-12) Edge nodes should be able to aggregate signalling messages of end-to-end flows into aggregated signalling messages, and de-aggregate the aggregated signalling messages into signalling messages of the end-to-end flows. In order to do this, edge nodes should be able to: +- set an indication in every signalling packet that downstream FSA nodes may ignore such packets but transparently forward them; + - remove this indication at any downstream FSA node where end-to-end signalling packets are to be restored. + +See also clauses A.1 and I.2. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.1.3 Requested rate** + +- R-13) The new flow request is required to specify the requested rate. + +#### **6.1.4 Preference indicator** + +Preference indicator values may be used by different network operators for the development of different service propositions. The policy associated with a preference indicator value depends on the service context (see also clause 6.2.6). + +- R-14) The new flow request is required to specify a preference indicator value. +- R-15) A well-known value is required to be used in a request signal to signify to downstream FSA nodes that the flow is a flow aggregate containing multiple flows of different preference indicator values. + +See also clause I.3. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.1.5 Authorization and enforcement** + +- R-16) The new flow request may contain authorization information. +- R-17) It is required that QoS-related transport resources are not provided for new flow-state-aware requests unless they can be associated with an authorization. +- R-18) If the request is admitted, admission decisions are enforced as follows: +- The ingress edge node, which performs signalling on behalf of registered UESs, is required to map the traffic descriptors distributed by a central admission entity to the FSA parameters, prior to sending the request. + - Policy enforcement is required to occur for all resource requests related to a guaranteed rate (GRS) or maximum rate (MRS) flow request (see clause 6.1.6). + - Policy enforcement is required to occur for all resource requests related to the MRS component of a variable rate (VRS) flow, i.e., for resource requests related to the minimum rate of a VRS flow (see clause 6.1.6). + +See also clause A.2. + +#### 6.1.6 FSA transport service requirements + +##### R-19) Available rate (ARS) + +The FSA signalling edge function is required to initiate and then frequently repeat a request, consistent with the requirements listed in clauses 6.1.1, 6.1.2 and 6.1.3, such that: + +- each such request is required to include the requested rate whose value is pre-configured. For FSA signalling edge functions in the UES, the configured value for the requested rate is recommended to take account of the highest rate that the source application can sustain, as well as entitlement captured in service profile information; +- the rate of sending data is required to be controlled by the source to be always less than the latest offered rate (as provided to the source, utilizing the response requirement listed in clause 6.2.4). If the sending rate is sustained at a value above the offered rate, packet discards may be applied; +- the signalling edge function is required to always update the source with the latest offered rate. + +See also clause A.3.1. + +##### R-20) Guaranteed rate (GRS) + +- In this context, the required response to the signal for a new flow with a requested rate, as described further in the requirements listed in clauses 6.2.3 and 6.2.4 below, indicates either: rejection of the flow or acceptance of the flow with an assignment of the flow to the "discard last" packet discard priority (see clause 6.2.2). +- If the sending rate is sustained at a value above the guaranteed rate (the requested rate), packet discards may be applied. + +See also clause A.3.2. + +##### R-21) Maximum rate (MRS) + +- In this service context, the required response to the requested rate indicates either rejection of the flow or acceptance of the flow with conditional guarantee of the requested rate in accordance with the principles of clause 6.5 of [ITU-T Y.1221]. +- In the case where the in-band signalling response is used, MRS is required to support user applications transmitting immediately after sending an in-band request signal. This is termed the "immediate transmission" option. However, this is subject to authorization and also subject to the flow rejection requirements discussed in clause 6.2.3. +- Where the immediate transmission option is supported, applications can transmit at any rate up to the requested rate specified in the in-band new flow request signal. If the sending rate is sustained at a level above this rate, packet discards may be applied. +- Where the immediate transmission option is not supported, applications are recommended to wait for an in-band response signal (see clause 6.3) prior to entering the data transmission phase. + +See also clause A.3.3. + +##### R-22) Variable rate (VRS) + +- The initial requested rate (consistent with the requirements listed in clauses 6.1.1, 6.1.2 and 6.1.3) is required to be interpreted as the minimum rate. In other words, policing is required to never reject packets sent at or below this rate, subject to authorization and subject to the rejection requirements in clause 6.2.3. +- Subsequent request signals that follow the initial request signal are required to be interpreted as requests for bandwidth over and above this minimum rate. The additional + +bandwidth is required to be assigned to a flow through the available rate transport service. + +- The policed rate is recommended to be updated following each ARS request/response but is required to never be set to a rate less than the rate specified in the minimum rate requested. + +See also clause A.3.4. + +#### **6.1.7 Resource modification** + +- R-23) Resource modification request is recommended to be done through in-band signalling as a default. It is required to further contain the requested rate, preference indicator value and service context. +- R-24) For the ARS and VRS context, the source is required to wait for the network response to the requested rate before changing its sending rate upwards. + +## **6.2 Network and FSA signalling edge function responses to flow-state-aware requests** + +### **6.2.1 Requiring the flow identifier to reference the per-node flow state** + +- R-25) Each accepted flow identifier is required to be assigned a flow state, including a packet discard priority value, at each FSA node along the data path. + +#### **6.2.2 Packet discard priority assignment requirements** + +- R-26) The packet discard priority is not included in signalling information. +- R-27) The packet discard priority is required to allow for the possibility of distinguishing between at least two values, namely "discard first" and "discard last". + +#### **6.2.3 Flow rejection response** + +- R-28) The flow rejection response may be conveyed through in-band or out-of band signalling. In-band signalling is recommended to be the default. +- R-29) The rejection response is recommended to be used to reject any flow according to network operator policies. + +#### **6.2.4 Flow acceptance response to requested rate** + +- R-30) The acceptance response is required to confirm that all FSA nodes along the edge-to-edge route have either accepted or modified the requested rate from the source (or otherwise the rejection response is required to be sent). +- R-31) The acceptance response may be an in-band signal or an out-of-band signal. In-band signalling is recommended to be the default. + +#### **6.2.5 Flow acceptance response to preference indicator** + +- R-32) The acceptance response is required to confirm that all FSA nodes along the edge-to-edge route have either accepted or modified the requested value for preference indicator from the source (or otherwise the rejection response is required to be sent). + +#### **6.2.6 Priority of packet discard, including service context use of the preference indicator** + +- R-33) Flows in the "discard last" state are required to always have priority with respect to the available buffer capacity. +- R-34) When congestion conditions are such that congestion persists even after the removal of packets of all flows with the "discard first" priority, the network should re-mark additional flows as "discard first", starting in order from the lowest preference indicator value. +- R-35) For any service contexts, it may be possible (subject to network operator conditions) for a UES to establish a pre-assigned requested rate for any preference indicator value. + +See also clause I.5. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.2.7 Congestion notification** + +- R-36) An FSA node is required to send a congestion notification signal to the iFSA function (from any congested network node) as determined by: +- Whether congestion conditions require that the ARS flow rate be immediately reduced to avoid packet discards. + - Whether congestion conditions are so severe that it may be desirable to suppress the sending of congestion notifications if they would exacerbate the problem. The mechanisms for achieving this are for further study. +- R-37) The congestion notification signal is required to be sent to the eFSA function if the congested network node can only communicate control signals in the direction of the flow forwarding path. After receiving the congestion notification, the eFSA function is required to forward the message to the iFSA function, using either in-band or out-of-band signalling. +- R-38) This congestion notification signal may be sent using either in-band or out-of-band signalling. In-band signalling is recommended to be the default. +- R-39) It is required that a congestion notification signal is not generated within a congested FSA node for the purposes of forwarding to and notifying an end-system of packet losses. Detection of packet losses in end-systems shall be provided for by the applications themselves and/or protocols operating at the end-to-end level. + +See also clause I.6. The information added in this appendix is purely for information and as an aid to understanding. + +## **6.3 Signalling requirements** + +#### **6.3.1 Form of flow-state-aware signalling packets** + +- R-40) Signalling packets are required to be uniquely marked so that the FSA signalling edge functions and the FSA nodes can easily recognize them. +- R-41) Data packets are required to be uniquely marked so that they are recognizable as data packets under FSA forwarding treatment. + +See also clauses II.1 and II.2. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.3.2 Performance requirements for requests and responses** + +- R-42) Signalling exchanges are required to be completed fast enough so as to meet the needs of frequent ARS rate adjustments during the lifetime of a flow and to meet the needs of the MRS immediate transmission option. + +See also clause II.3. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.3.3 Release of resources no longer required for GRS** + +- R-43) For obtaining the exact start time for the utilization of resources, an in-band confirmation signal may be sent from the FSA signalling edge function in the iFSA (i.e., the edge function that sent the initial request), so that all nodes in the path know the final capacity that is agreed upon. +- R-44) For obtaining the exact ending time for the utilization of resources, an in-band "close" signal may be sent from the FSA signalling edge function in the iFSA to ensure all nodes know that the capacity can be released. + +See also clause II.4. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.3.4 Protection against lost signalling packets** + +Requirements R-45 and R-46 follow from the observation that, for all services, it is important that the sender know if the initial signalling packet was lost. + +- R-45) If a response is required and is not received within a predetermined retransmission time-out period, the iFSA function may send a second request. +- R-46) For GRS, to ensure against lost in-band signals (if sent) conveying either a "confirmation" or "close" indication, the FSA signalling edge function in the eFSA (which may be in the UES) is required to resend the response if data arrives before a confirmation is received and is required to send an in-band confirmation signal to a received in-band "close" signal. + +#### **6.3.5 Service contexts** + +- R-47) The service context information is recommended to be included in all request, response and confirmation signals. +- R-48) There are four service contexts: GRS, MRS, VRS and ARS. Each service context is required to have a code. + +##### **GRS** + +- R-49) When the destination receives a GRS request, it is required to send a response back to the iFSA function with the requested rate received or, if desired, a lower rate. +- R-50) The initiating FSA signalling edge function is required to send a confirmation after receiving the response telling all FSA nodes the final agreement. +- R-51) The eFSA function is required to confirm the close to ensure that there are no lost close packets. +- R-52) The iFSA function is required to send an additional close signal (see clause 6.3.8) after a short timeout has elapsed indicating either the close signal or its confirmation has been lost. + +##### **MRS** + +- R-53) The sender need not wait for a response and can send at the requested rate immediately after the request. +- R-54) The eFSA function is required to send a response reflecting the rate received, or a lower rate if desired. +- R-55) No confirmation is required. + +##### **VRS** + +- R-56) The initial minimum rate request and response is required to be treated like an MRS request. +- R-57) The eFSA function is required to send a response with a rate no higher than received. +- R-58) No confirmation is required. + +##### **ARS** + +- R-59) The iFSA function is recommended to send a request with a requested rate set to the maximum rate that can be supported by the end equipment or application. +- R-60) The FSA nodes are required to forward the request with the rate reduced to a rate they can support. +- R-61) The destination is required to return the rate value received or some lower rate to the iFSA function in a response packet. + +- R-62) The sender is required to conform to the offered rate received in the response. +- R-63) Frequently the iFSA function may send a new request to see if a higher rate is available. +- R-64) The network FSA nodes may send to the iFSA function signalling packets specifying a new lower rate. +- R-65) No confirmation is required. + +See also clause II.6. The information added in this appendix is purely for information and as an aid to understanding. + +#### 6.3.6 Preference indicator + +- R-66) This parameter is recommended to be included in all requests, responses and confirmation signals. + +See also clause II.7. The information added in this appendix is purely for information and as an aid to understanding. + +#### 6.3.7 Delay priority + +- R-67) This parameter is required to be included in all requests, responses and confirmations. + +See also clause II.8. The information added in this appendix is purely for information and as an aid to understanding. + +#### 6.3.8 Signalling type + +- R-68) Every QoS signalling packet is required to specify the signalling type. + +- R-69) There are at least five types of in-band signalling packets as follows: + +- **Request:** The start of the signalling process is a request packet. A signalling code point is required to indicate a request. +- **Response:** When the eFSA function receives a request packet which may have been modified by the network, it is recommended that it returns a response packet containing all the requested parameters and how they have been modified. A signalling code point is required to indicate a response. +- **Confirm:** For GRS there needs to be a confirm packet. A signalling code point is required to indicate a confirm. A confirm packet is required to be used to confirm the GRS response packet including setting the fixed rate (FR) indication, as further illustrated for information purpose in clause II.5.2. This ensures all FSA nodes know the final rate. A confirm packet is also required to be used after the GRS close packet to ensure that all FSA nodes actually received the close and remove any guarantees. +- **Renegotiate:** A signalling code point is required to indicate a renegotiate. Depending upon the application, the iFSA function may wish to try for a different or higher rate, preference, delay priority or burst tolerance. To do this and minimize confusion for the FSA nodes and the eFSA function, it is important to use a different code rather than "request". Thus renegotiate requests a new QoS for the ongoing flow. It should be noted that increasing the delay priority may cause out of order packets due to the queue change, and thus this type of change would be at the sender's risk. +- **Close:** For GRS, all the FSA nodes in the path must be informed that the reserved bandwidth can be released. A signalling code point is required to indicate a close. For MRS, ARS and VRS, the FSA nodes shall time out the flow if no packets are seen for a given period. + +In conjunction with a central admission entity such as the RACF, response, confirmation, and close may be omitted. See also Appendix VI. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.3.9 Signalling aggregation indication** + +- R-70) **Ignore indication.** An ignore indication is required to be included within every signalling packet. This indication enables aggregated signalling, such that the end-to-end signalling messages are hidden from (ignored by) the core nodes. The edge nodes of an aggregation region are required to set this indication to show whether to ignore signalling by downstream nodes. + +#### **6.3.10 Charging direction indication** + +- R-71) In order to allow services where the flow is paid for by the receiver, it is required that there be a signalling code point to indicate the charging direction. This indication could be set by the iFSA function. If configuration or policy associated with the eFSA function conflicts with the indicated charging direction, the response from the eFSA function may clear the indication and such a conflict between requests and responses may be treated as appropriate to network policy (e.g., revert to sender is charged). This means that all flows are required to be identified as to the paying party. + +#### **6.3.11 QoS structure extension** + +- R-72) It is required that any QoS signalling packet carries an indication that enables an outgoing request for a flow in one direction to be included in the same signalling packet that carries a response in the opposite direction, where these both relate to flows between the same two end-points. + +See also clause B.1. + +#### **6.3.12 Authorization information attached** + +- R-73) It is required that there is an indication within a signalling packet that authorization information is present. + +See also clause B.2. + +#### **6.3.13 Flow aggregation request** + +- R-74) It is required that a request signal carries an indication allowing FSA nodes to recognize that the request relates to a flow aggregation. + +See also clause B.3. + +#### **6.3.14 Burst tolerance** + +- R-75) It is required that there is some tolerance to rates that exceed the requested rate for a short duration. A parameter defining such a tolerance is required to be included in all requests, responses and confirmations. + +See also clause II.9. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.3.15 QoS approval indication** + +- R-76) An FSA node is required to set the QoS approval indication if it has approved the request from a flow. +- R-77) An FSA node may clear this indication to inform the iFSA and/or eFSA functions that the request is not approved. + +#### **6.3.16 FSA signalling edge function** + +- R-78) The eFSA function is required to create and send a response to a request to show the acceptance or rejection of a flow request, or modify the request so that it can be accepted. +- When the iFSA function receives a response that indicates a modified request, it may notify the application. + +#### **6.3.17 FSA node requirements** + +##### **6.3.17.1 FSA node operation** + +- R-79) The ingress edge FSA node is required to be responsible for checking an attached authorization indication and also for determining if the preference indicator value requested is authorized for this user. +- R-80) All FSA nodes receiving a flow request are required to check their available capacity and resources and adjust downward the requested rates, delay priority, preference indicator value, and burst tolerance requested to what they believe they can support with reasonable assurance. +- R-81) For available rate (ARS) and variable rate (VRS) services, any FSA node along the path may send a message indicating that the rate needs to be lowered. +- It is recommended for this message to go to the iFSA function, but if this is difficult, it is required to be sent to the terminating FSA signalling edge function which is required to then send a response to the iFSA function. + +See also clause B.4. + +## **6.4 Admission decision** + +This clause defines minimum requirements for managing the admission decision process. + +#### **6.4.1 Admission decision for maximum rate (MRS) flows** + +- R-82) The decision process is required to be fast enough to support the immediate transmission capability, taking account of preference indicator value and available capacity. + +See also clause III.1. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.4.2 Admission decision for available rate (ARS) flows** + +- R-83) The decision process is required to be capable of supporting frequent rate update requests on each ARS flow. + +See also clause III.2. The information added in this appendix is purely for information and as an aid to understanding. + +#### **6.4.3 Admission decision for variable rate (VRS) flows** + +- R-84) VRS flows are expected to be treated like ARS flows except for their minimum guaranteed capacity which is required to be treated like MRS. Thus, the admission decision for VRS flows is a combination of the one for the MRS and the one for the ARS. + +#### **6.4.4 Admission decision for guaranteed rate (GRS) flows** + +- R-85) Total capacity assigned for GRS flows on a port is required to be checked before the admission decision. + +## **6.5 General architectural requirements on the management of transport connections carrying flow-state-aware traffic and other traffic** + +- R-86) Flow-state-aware QoS controls are required to be agnostic to the underlying transport technology. +- R-87) A given network link (between two network nodes) may be configured so that it is not dedicated to carrying flow-state-aware traffic only. + +See also clause IV.1. The information added in this appendix is purely for information and as an aid to understanding. + +## 6.6 Security considerations and requirements + +- R-88) **Authentication:** User authentication is addressed in clause 6.1.5. FSA nodes within a domain may authenticate to peer FSA nodes within the domain. FSA nodes communicating as peers across a domain boundary should authenticate with each other. +- R-89) **Authorization:** Authorization is addressed in clause 6.1.5. +- R-90) **Data confidentiality:** It is required that no additional data confidentiality requirements are imposed through the use of flow-state-aware transport technology. It is required that, in the case where user flows have data confidentiality requirements and invoke ARS, MRS, VRS or GRS, the parameters describing the in-band request signal are not encrypted. +- R-91) **Data integrity:** Flow-state-aware parameters may be protected against unauthorized modification while in transit. Flow-state-aware parameter requests may be protected against replay attacks, in conjunction with data integrity protection binding a set of flow-state-aware parameters to a specific flow. +- R-92) **Accountability:** It is recommended that flow-state-aware service invocations are logged, including the identity of the entity requesting the service, the actual service request, and actual service granted. +- R-93) **Availability/accessibility:** Flow-state-aware services are required to respect the priority preference of each authenticated entity in making admission decisions. +- R-94) **Privacy:** It is recommended that flow-state-aware services ensure the privacy of user-specific policy profiles defining QoS parameter limits and privileges. +- R-95) **Protection against network attacks, from within or outside:** It is recommended that flow-state-aware services include mechanisms to protect against malformed service invocations and to mitigate denial of service (DoS) attacks. + +## Annex A + +## Dynamic provisioning requests from an FSA signalling edge function + +(This annex forms an integral part of this Recommendation) + +### A.1 Negotiations for a user-end-system without signalling capability + +This clause references requirements in clause 6.1.2. + +With respect to requirement R-8, as stated there, the edge nodes may have pre-defined parameters. Each new flow may be monitored, and if the flow under observation reaches some threshold that determines which parameter choice to use, the node generates an in-band signalling request. This starts negotiation for the flow. + +Thus, if a data packet from a registered UES is received, the edge node records the flow identifier as an 'unidentified flow identifier' and monitors for the unidentified flows. If conditions are met (parameters are set *a priori*), the edge node puts the unidentified flow into the 'identified flow' list with proper request items a UES would request (requested rate, preference indicator value, and service context), and then performs signalling as a UES with flow-state-aware capability would do. The signalling functions further required are performed by the edge node. The edge node may aggregate the flow into a flow-aggregate if appropriate. + +### A.2 Authorization + +According to the principles of [ITU-T Y.2111], the following requirements may be derived for the authorization of flow-state-aware in-band request signals while recognizing the fast processing nature of services created by FSA nodes. It is based on a "two-phase scheme" as described in [ITU-T Y.2111]: authorization is performed in one step (see Figure A.1), followed by reservation and commitment in another step (see Figure A.2). + +Before the UES forwards the in-band signal associated with a new flow request, it first initiates the QoS authorization procedure. This procedure (see Figure A.1) may be triggered by a service-establishment signalling message (e.g., a SIP invite message) that in turn instigates an SCF request to the PD-FE. The PD-FE may, as a result, generate an authorization token as optional for a given service and send it to the SCF. The SCF may forward the authorization token in the service signalling message to the UES (see Figure A.1). + +![Sequence diagram showing the SCF-requested QoS initial authorization procedure between UES, PD-FE, and SCF.](04dc3838022e96d8d5548bb1b777b38c_img.jpg) + +``` +sequenceDiagram + participant UES + participant PD-FE + participant SCF + Note over SCF: 1. Trigger + SCF->>PD-FE: 2. Resource initiation request (authorization) + Note over PD-FE: 3. Authorize QoS resource + PD-FE->>SCF: 4. Resource authorization response (authorization token) + SCF->>UES: 5. SCF service signalling (authorization (token)) +``` + +The diagram illustrates the SCF-requested QoS initial authorization procedure. It involves three entities: UES (User-End-System), PD-FE (PD-Function-Edge), and SCF (Service-Context-Function). The process begins with a '1. Trigger' event at the SCF. This triggers a '2. Resource initiation request (authorization)' message from the SCF to the PD-FE. The PD-FE then performs a local action '3. Authorize QoS resource'. Following this, the PD-FE sends a '4. Resource authorization response (authorization token)' message back to the SCF. Finally, the SCF sends a '5. SCF service signalling (authorization (token))' message to the UES. The diagram is labeled 'Y.2121(08)\_FA.1' at the bottom right. + +Sequence diagram showing the SCF-requested QoS initial authorization procedure between UES, PD-FE, and SCF. + +Figure A.1 – SCF-requested QoS initial authorization procedure + +![Sequence diagram showing the resource reservation procedure following a UES request. The diagram involves three entities: UES, PE-FE, and PD-FE. The process starts with 'Path-coupled QoS signalling' between UES and PE-FE. Then, a '1. Trigger' occurs at PE-FE. This is followed by a '2. Resource decision request' from PE-FE to PD-FE. PD-FE then performs a '3. Policy decision'. Next, a '4. Resource decision response' is sent from PD-FE back to PE-FE. Finally, another 'Path-coupled QoS signalling' occurs between UES and PE-FE. The diagram is labeled Y.2121(08)_FA.2.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +``` + +sequenceDiagram + participant UES + participant PE-FE + participant PD-FE + + UES <--> PE-FE : Path-coupled QoS signalling + Note over PE-FE: 1. Trigger + PE-FE->>PD-FE: 2. Resource decision request + Note over PD-FE: 3. Policy decision + PD-FE-->>PE-FE: 4. Resource decision response + UES <--> PE-FE : Path-coupled QoS signalling + +``` + +Y.2121(08)\_FA.2 + +Sequence diagram showing the resource reservation procedure following a UES request. The diagram involves three entities: UES, PE-FE, and PD-FE. The process starts with 'Path-coupled QoS signalling' between UES and PE-FE. Then, a '1. Trigger' occurs at PE-FE. This is followed by a '2. Resource decision request' from PE-FE to PD-FE. PD-FE then performs a '3. Policy decision'. Next, a '4. Resource decision response' is sent from PD-FE back to PE-FE. Finally, another 'Path-coupled QoS signalling' occurs between UES and PE-FE. The diagram is labeled Y.2121(08)\_FA.2. + +**Figure A.2 – Resource reservation procedure following a UES request** + +### A.3 Service context + +This clause references requirements in clause 6.1.6. + +Figure A.3 summarizes the grouping of new flow requests and responses into service contexts. This greatly increases the utility of the flow-state-aware capability as supported through the underlying requests and responses related to [ITU-T Y.1221]. + +| Requests and responses used for ARS | Requests and responses used for GRS | Requests and responses used for MRS | Requests and responses used for VRS | +|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------|-------------------------------------|-------------------------------------| +| Basic requests and responses of clause 6.5 of [ITU-T Y.1221], dealing with the association of a flow state with a flow identity, together with a requested maximum rate and preference indicator. | | | | + +**Figure A.3 – Service options** + +#### A.3.1 Available rate (ARS) + +Utilizing the service context rules of clause 6.1.6, the transfer capability described in clause 6.5 of [ITU-T Y.1221] provides support for an available rate service (ARS), similar to that described in clause 6.2.4 of [b-ITU-T I.371]. In [b-ITU-T I.371] it is stated that, in ABR, the UES regularly polls the network for the currently available bandwidth by sending resource management (RM) cells conveying a requested rate to the network. RM cells are a form of in-band signal. + +#### A.3.2 Guaranteed rate (GRS) + +This service context (termed the guaranteed rate or GRS context) may be offered for applications requiring guaranteed bandwidth for the entire duration of the flow. Additional requirements apply to this service to ensure the reservation is aborted if not all nodes can support the request and to ensure that clear down of reservations is completed successfully at the end of the flow. + +#### A.3.3 Maximum rate (MRS) + +In effect the service offer is that the requested flow may proceed, with this "as soon as possible" condition on meeting the loss component of the requirement. We term this the maximum rate service (MRS). As stated in clause 6.5.2 of [ITU-T Y.1221], while in "discard first" status, a flow may be subject to a higher probability of packet discards during moments of congestion. It is up to the application to choose to terminate the flow or continue and compensate for any bursts or losses as and when they occur. + +#### **A.3.4 Variable rate (VRS)** + +The service context rules of clause 6.1.6 may be offered as a service that supports applications that require a minimum rate and have some degree of elasticity above this minimum. + +# **Annex B** + +## **Signalling requirements** + +(This annex forms an integral part of this Recommendation) + +### **B.1 Second QoS structure attached** + +This clause references requirement R-72. + +When the eFSA function (which may be in the end-system) receives a QoS signalling request and desires to establish a return connection, it may proceed as follows. This FSA signalling edge function may send both a response to the request and also a QoS signalling request for the opposite direction in the same packet. This fits ideally into the normal TCP start-up handshake where the first packet is a SYNC and would include the forward request, the next packet is the SYNC/ACK which would contain the forward response and the reverse request, and the third packet is an ACK which would carry the reverse response. + +### **B.2 Authorization information attached** + +This clause references requirement R-73. + +It is important to allow a cryptographic authorization header to be attached to each flow request so that the network can verify the user and the user's privileges. + +### **B.3 Flow aggregation request** + +This clause references requirement R-74. + +There is a strong need in all networks for flow aggregation which groups and maps some of the flows into a smaller set of flow aggregates. With the full capabilities of the signalling available to specify the flow aggregate, a flow aggregate may be one of GRS, MRS, VRS or ARS, with any rate, preference indicator, and delay priority desired. It may utilize encapsulating IP header (IPv4 or IPv6), MPLS label, VLAN ID, or the likes to specify the destination such that, with this header, the flow aggregate could be routed across any transport network to its destination. At the egress FSA node, a flow aggregate would be terminated and all the traffic inside the flow aggregate directed to the specified address. A signalling edge function may request flow aggregation. + +### **B.4 FSA node operation** + +This clause references requirements in clause 6.3.17.1. + +With reference to these requirements, when a compliant FSA node receives an in-band signalling packet, it is required to inspect the QoS structure to determine what action it needs to take, if any. If this is a new flow, it is required to check the capacity of the output port and determine what rate it can accept. + +Note that, with respect to requirement R-80, it is not necessary for FSA nodes to guarantee support under all possible conditions, only that they have high confidence that they can support the resulting request under normal operating conditions. + +## Appendix I + +## Supplementary information on information exchanges via requests from an FSA signalling edge function and associated responses + +(This appendix does not form an integral part of this Recommendation) + +### I.1 Flow identifier + +[ITU-T Y.1221] describes the combination of parameters "source IP address", "destination IP address", "source and destination port numbers", "protocol" and "experimental/Diffserv value" as a basis for a flow identifier. + +Requirement 1 is derived from clause 6.5.1 of [ITU-T Y.1221], where it can be inferred that signalling from the FSA signalling end function always carries flow identifier information that is the same as that carried in the header of each data packet of the flow. This information about the flow identifier is required to be used at each flow-state-aware node along the data path to recognize which data packets belong to which flow. + +Ingress edge nodes may support the option to aggregate selected flows into fewer flow aggregates, based on some criteria such as the service context (see clause 6.1.6), the preference indicator value (see clause 6.1.4), and the path in the network. + +An alternative method for carrying the flow identifier, or especially for carrying a flow aggregate identifier, may be through the multi-protocol label switching (MPLS) label. [b-RFC 3270] describes two standard methods to map the Diffserv behaviour aggregates (BAs) onto MPLS label switched paths (LSPs). + +For networks without MPLS functions, an encapsulating protocol (e.g., IP in IP encapsulation [b-RFC 2003] or generic routing encapsulation (GRE) [b-RFC 2748]) header with IPv4 address may be used as the identifier for flow aggregates within a single administrative network domain. + +### I.2 In-band signalling negotiations + +Requirement R-5, while not fully explained in clause 6.5.1 of [ITU-T Y.1221], supports the signalling performance requirement R-42. It also facilitates service options such as available rate as discussed further in clause 6.1.6. + +Again referring to requirement R-5, there is a reference to the same terminology in clause 6.5.1 of [ITU-T Y.1221], i.e., that there is an in-band signal. + +Requirement R-7 envisages an edge node that is used for flow negotiations on behalf of a UES. To perform this function, the edge node may utilize information about the UESs that was obtained during registration. The following steps describe this in more detail: + +- 1) UES registers itself for flow identification with its IP address to an edge node. Or an access node (e.g., access node function (ANF) in access transport) registers its attached UESs for the flow identification with their IP addresses and end nodes information to an edge node. +- 2) The UES information may be terminal type (if the terminal is a user terminal), or application type (if the terminal is an application server). +- 3) The edge node stores the IP address and end node information. +- 4) When this edge node receives a packet with an unknown identifier from a registered UES, it retrieves the UES registration information. It may monitor the flow for additional information to determine the flow characteristics and perform signalling as necessary. + +The following are a few examples of possible end nodes which would benefit from active flow identification. + +- VoIP terminals. +- Mobile handheld devices (including cellular phones, PDAs, etc.): Traffic from such terminals may be either voice, streaming video, or message (text or multimedia). The voice and streaming video are with distinct encoding rates. If an end node registers as a mobile handheld device, the edge node may utilize this information together with information obtained by monitoring a few packets to determine the characteristics of the flow. +- Media streaming servers: If such a server is the source of consecutive packets with a relatively regular interval, the edge node may infer that the flow is a media stream. The encoding rate information may be retrieved from information stored during registration. +- Emergency services-related equipments: Light-weight emergency or military equipments may not have the capability to support flow-state-aware signalling. Registration information may enable a node to assign such equipment the pertinent service contexts, rates and priorities. + +One of the possible ways to expedite the identification is to look at the upper layer header (e.g., RTP payload type (PT) field in the header), only when the end node of the packet is configured to be registered. The PT field provides detailed information on whether the flow contains audio or video, the type of encoding, and the encoding rate. + +### **I.3 Preference indicator request** + +The higher preference indicator values may be reserved for such purposes as emergency services and military commands, etc. + +### **I.4 Authentication** + +The following service scenarios illustrate authentication aspects of flow-state-aware transport and service. + +#### **Scenario 1: Mobile user access** + +With reference to Figure I.1, a mobile user access scenario is shown. For example, a terminal (end-A) could connect to a public WLAN hotspot (node 1 of Figure I.1). It may establish an IPsec tunnel to an IPsec gateway (node 2) to access enterprise services. However, assuming IPv4 is used, flow-state-aware QoS controls cannot be applied to the QoS experience obtained along the IPsec tunnel. If IPsec is used, there is no way for the FSA nodes to recognize the flow since the ports and protocol are hidden. Thus with IPsec and IPv4, the protocol cannot be used and only Diffserv is available. IPsec can be used with IPv6 and FSA protocols. + +With IPv4, to make use of flow-state-aware QoS, end-A may make use of split IPsec tunnelling, whereby: + +- non-FSA traffic destined to the service provider domain is sent via IPsec, +- flow-state-aware traffic bypasses IPsec. + +Thus, in Figure I.1, the FSA IPv4 end-A is shown gaining access to an FSA content services platform (e.g., a content distribution and delivery platform) that is accessible from a flow-state-aware node 1. + +![Figure I.1 – Scenario 1: Mobile user access. This diagram shows a network architecture for mobile user access. On the left, 'FSA End-A' is connected via 'WLAN' to 'Node 1', which contains an 'FSA' block. Node 1 has a green arrow pointing to 'AAA'. An 'IPsec tunnel' connects Node 1 to 'Node 2', which contains an 'IPsec GW' block. Node 2 also has a green arrow pointing to 'AAA'. A dashed line connects the 'FSA' block in Node 1 to an oval labeled 'FSA content services'. The identifier 'Y.2121(08)_Fl.1' is at the bottom right.](8c348bf9c2c81b018017ae1d19506a9a_img.jpg) + +Figure I.1 – Scenario 1: Mobile user access. This diagram shows a network architecture for mobile user access. On the left, 'FSA End-A' is connected via 'WLAN' to 'Node 1', which contains an 'FSA' block. Node 1 has a green arrow pointing to 'AAA'. An 'IPsec tunnel' connects Node 1 to 'Node 2', which contains an 'IPsec GW' block. Node 2 also has a green arrow pointing to 'AAA'. A dashed line connects the 'FSA' block in Node 1 to an oval labeled 'FSA content services'. The identifier 'Y.2121(08)\_Fl.1' is at the bottom right. + +**Figure I.1 – Scenario 1: Mobile user access** + +#### Scenario 2: Broadband access + +Figure I.2 shows end-A connected over DSL to a BRAS. This BRAS acts as an LAC and forwards the traffic by using L2TP to a second BRAS acting as an LNS. Node 1 may issue a RADIUS request to obtain attributes for the tunnel to be established (e.g., [b-RFC 2868]). The second BRAS terminates the PPP state machine and may issue a RADIUS request to perform user authentication. Policy enforcement is generally only done in node 2. Part of that policy enforcement could be a flow aggregate with associated control that manages downstream traffic (towards end-A) at the point where it is aggregated and manages upstream requested rate (GRS, MRS or VRS) requests and ARS-controlled back-pressure. + +An alternative arrangement is shown in Figure I.3. Here, the L2TP tunnel is replaced by a flow-state-aware flow aggregate. The objective is to handle any packet discards, either upstream or downstream at the flow aggregate entrance. For example, the sudden insertion of an upstream emergency call may cause this. + +![Figure I.2 – Broadband services via an L2TP tunnel. This diagram illustrates broadband access via an L2TP tunnel. 'End-A' is connected via 'DSL' to 'Node 1', labeled 'BRAS acting as an LAC'. Node 1 has a green arrow pointing to 'AAA (for tunnel attributes)'. A dashed line labeled 'L2TP' connects Node 1 to 'Node 2', labeled 'LNS'. Node 2 has a green arrow pointing to 'AAA (for user authentication)' and contains a yellow box labeled 'Flow-state-aware tunnel control'. A dashed line connects Node 2 to an oval labeled 'Services'. The identifier 'Y.2121(08)_Fl.2' is at the bottom right.](759c7d62402f0b4651ddce292be5bdef_img.jpg) + +Figure I.2 – Broadband services via an L2TP tunnel. This diagram illustrates broadband access via an L2TP tunnel. 'End-A' is connected via 'DSL' to 'Node 1', labeled 'BRAS acting as an LAC'. Node 1 has a green arrow pointing to 'AAA (for tunnel attributes)'. A dashed line labeled 'L2TP' connects Node 1 to 'Node 2', labeled 'LNS'. Node 2 has a green arrow pointing to 'AAA (for user authentication)' and contains a yellow box labeled 'Flow-state-aware tunnel control'. A dashed line connects Node 2 to an oval labeled 'Services'. The identifier 'Y.2121(08)\_Fl.2' is at the bottom right. + +**Figure I.2 – Broadband services via an L2TP tunnel** + +![Figure I.3 – Flow aggregate with FSA outer header established by in-band signals between nodes 1 and 2. This diagram shows an alternative broadband access arrangement. 'End-A' is connected via 'DSL' to 'Node 1', labeled 'BRAS'. Node 1 has a yellow box labeled 'FSA encapsulated'. A dashed line connects Node 1 to 'Node 2'. Node 2 has a green arrow pointing to 'AAA (for user authentication)' and is connected to an oval labeled 'Services'. The identifier 'Y.2121(08)_Fl.3' is at the bottom right.](805c475f0859e607af0530ba43194bf1_img.jpg) + +Figure I.3 – Flow aggregate with FSA outer header established by in-band signals between nodes 1 and 2. This diagram shows an alternative broadband access arrangement. 'End-A' is connected via 'DSL' to 'Node 1', labeled 'BRAS'. Node 1 has a yellow box labeled 'FSA encapsulated'. A dashed line connects Node 1 to 'Node 2'. Node 2 has a green arrow pointing to 'AAA (for user authentication)' and is connected to an oval labeled 'Services'. The identifier 'Y.2121(08)\_Fl.3' is at the bottom right. + +**Figure I.3 – Flow aggregate with FSA outer header established by in-band signals between nodes 1 and 2** + +Network management commands are used to trigger nodes 1 and 2 to exchange in-band flow-state-aware signals. These establish, say, a flow aggregate with GRS service context including a defined capacity (requested rate). All IP packets from end-A or from "services" are encapsulated with an outer packet header bearing the flow identifier of the aggregate flow. Flow-state-aware packets sent by end-A are QoS-managed along the aggregate flow at node 1. Similarly, flow-state-aware "services" packets are managed along the aggregate flow at node 2. + +### **I.5 Priority of packet discard, including service context use of preference indicator values** + +This clause references requirements in clause 6.2.6. + +Typically, a flow with a high preference indicator value may be established even when network capacity is already fully loaded with flows of lower preference priorities. + +For example, an MRS flow with a high preference indicator value could be established for emergency services, where transmission could begin immediately, without even waiting for a network response, provided the authorization was accepted. This would be one possible service context. Another context may allow parental configuration of content so that certain types of content or certain user identities determine the preference indicator value. + +Therefore, two parameters (preference indicator and packet discard priority) determine the probability of packet discard. The relationship between the nodal behaviours and these parameters in flow-state-aware network nodes are as follows: + +- Admission decisions are not governed by packet discard priority. But newly admitted flows are usually marked as "discard first". Depending upon policy, some newly admitted flows (for example, those with a high preference indicator value) may be immediately marked "discard last". +- Packet discard (buffer management) decisions are governed by packet discard priority, but this may be influenced by preference indicator as follows: + - when packet discard is necessary, if there are packets with "discard first" priority, drop those packets; + - if buffer congestion persists, remark additional flows with the lowest preference indicator values as "discard first". + +### **I.6 Congestion notification** + +This clause references requirements in 6.2.7. + +It is desirable that the implementation has queue buffers that are large enough to absorb the remaining round-trip delay prior to the rate reduction. + +# Appendix II + +## Supplementary information to signalling requirements + +(This appendix does not form an integral part of this Recommendation) + +### II.1 Recognition of QoS signalling packets + +This clause references requirement R-40. + +There is always a need to identify some in-band signalling packets. However, in-band signalling need only be done at the start of a flow. + +The exact method for identification of data packets is for further study. + +### II.2 Form of QoS information + +This clause references requirement R-40. + +The requirement R-40 follows from the fact that data packets, by chance, could include information that looks similar to the information in a signalling packet. Therefore, a unique marking for signalling packets is required. + +FSA nodes should be able to read and modify a QoS structure within a signalling request and, if used, a response, confirmation or close in real time at any port speed. Port speeds are never faster than the logic speeds currently possible for simple operations such as reading and/or writing packets into memory, checking sum checks, operating linked lists, reading and interpreting fixed length fields, etc. Usually, the serial input stream is first converted to a parallel word stream so that standard CMOS logic can keep up. Thus, so long as the QoS structure follows some simple rules, any port speed currently feasible for high speed FSA nodes could be processed. + +The following text illustrates an example implementation, not the only implementation, facilitating fast processing. + +**II.2.1** All information fields are in a fixed location in the QoS structure. + +**II.2.2** All numerical values which need to be treated as a number are structured as an integral number of bytes and are byte aligned. + +- If the number is 2 bytes, it is dual byte aligned and if 4 bytes it is quad byte aligned. This is because the parallel input stream in IP is quad byte aligned and it would require more steps to shift and mask to find a value. + +**II.2.3** IP protocols also works with 8-byte boundaries and thus the total QoS structure is a multiple of 8 bytes. + +- Also, the number of 8-byte groups required is as small as possible to reduce overhead and processing. + +**II.2.4** Since overhead is of great importance, options within the QoS structure may be packed to a byte. + +### II.3 Performance requirements for requests and responses + +This clause references requirement R-42. + +The immediate transmission option relies on the fast establishment of flow state at every FSA node such that, in the extreme, the request packet arrives at an FSA node and is immediately followed by the first data packet of the flow. + +### **II.4 Release of resources no longer required** + +This clause references requirements in clause 6.3.3. + +An FSA node may need to reject new traffic when too many absolute capacity guarantees are no longer required but are not yet released. + +### **II.5 QoS signalling parameters** + +Clauses II.5.1 and II.5.2 provide information for illustrative purposes relating to an example implementation, not the only implementation. + +#### **II.5.1 IPv6 header** + +The QoS structure in IPv6 may be chosen to be a hop-by-hop option. + +#### **II.5.2 Rates** + +**II.5.2.1** As an example implementation, two rates may be utilized, one that is network-selected (network rate or NR) and one that is an application requirement (fixed rate or FR). NR would be used where the application requires to send buffered data where the rate may vary (typically TCP). FR would be used where a fixed rate must be available at all times. + +**II.5.2.2** These may have multiple uses and may be used together so as to support the four types of service (GRS, MRS, ARS and VRS). As an example: + +**II.5.2.2.1 GRS:** The GRS could use the FR field to specify the requested rate with the NR field set to zero. + +**II.5.2.2.2 MRS:** The MRS could use the FR field to specify the requested rate with the NR field set to zero. + +**II.5.2.2.3 ARS:** The ARS could use the NR rate to specify the requested rate, setting the NR rate to the maximum rate that the application or computer can support. The FR field could be set to zero. + +**II.5.2.2.4 VRS:** The VRS could use the NR plus FR rates to specify the requested rate. The FR portion could carry the minimum required rate (lowest value) for the flow. The NR rate could be set as in the ARS service (see clause II.5.2.2.3). + +**II.5.2.3** The lowest rate may be low enough that the FSA node would not find any significant value in reserving or managing a flow to a lower rate. + +- The lowest rate could be 1 kbit/s. + +**II.5.2.4** Zero may be represented since NR or FR may be zero. + +### **II.6 Service contexts** + +This clause references requirements in clause 6.3.5. + +#### **GRS** + +Guaranteed rate has the most stringent requirement and is for the equivalent of a leased line where the rate is permanent until closed. + +GRS requires commitments from FSA nodes even in the absence of traffic. + +#### **MRS** + +The second type of flow is maximum rate where a network timeout after a period of no data is sufficient. MRS may be used for video, voice or other streaming media whenever the QoS requirement is for low loss and low delay variance, but where such requirements allow for a network-conditional guarantee that facilitates immediate transmission. The conditional guarantee is + +that the network is required to support the loss/delay QoS targets as soon as possible, while allowing the immediate transmission to continue. + +#### **ARS** + +This service is typically used for TCP flows but can be used with any protocol. It offers an available rate that can be immediately supported across the network. + +#### **VRS** + +This service offers a minimum rate with the conditional guarantee and immediate transmission characteristics of MRS. Additionally, it allows an application to exploit the latest available rate so that it may send at a higher rate but need never send at a lower rate than the MRS value. For example, a stock trade may be required to be transacted or reported in some known and acceptable time but faster is better. + +### **II.7 Preference indicator** + +This clause references requirement R-66. + +The preference indicator is a parameter used to determine which flows should be admitted in the case of a network overload. The overload could be on an access line that has too many video requests, or it could be due to trunk or network equipment failures. This type of capability is necessary as the network moves toward streaming media flows (GRS and MRS) and away from available rate flows. It has always been implemented in telephone and military networks. However, since the Internet was mostly TCP to start, it has not been required or standardized before. Now it is required. The number of preference priorities needs to be sufficient for the multiple military and civilian emergency systems, corporate priorities, and home priorities. Assigning the preference codes is beyond the scope of these requirements but the number of levels needs to be set. + +### **II.8 Delay priority** + +This clause references requirement R-67. + +Although absolute delay is not controllable in a network due to the speed of light, delay variance or jitter can be controlled and may have different requirements for different services. Typically, video and voice require lower delay variance than file transfer but there may be many other services with many different requirements. + +### **II.9 Burst tolerance** + +This clause references requirements R-75. + +The rates negotiated in GRS, MRS, VRS and ARS are maximum rates and the UES is free to send at lower rates. But if the transmission rate momentarily exceeds the agreed rate, it is typical in packet networks to include some burst tolerance. + +### **II.10 Flow identifier fields** + +This clause references requirements in clause 6.1.1. + +#### **IPv6 flow identifier field** + +The following is an example implementation for illustrative purposes. In IPv6, the 20-bit sender flow label may be used as part of the vector of parameters that identify the correct flow from a response packet. The triplet source address, destination address and the flow label could together identify a flow. The response has the same source and destination address (reversed) but the sender's flow label is still required to identify the matching request. Thus, in this example, there would be a 20-bit source flow label field in the response packet. The eFSA function fills this in from the request. + +#### **IPv4 flow identifier fields** + +The following is an example implementation for illustrative purposes. In IPv4, if unencrypted, the source address, destination address, source port, destination port and protocol could define the flow. When the eFSA function sends a response, these fields are all in the packet although source and destination are reversed. Thus, the sender needs no extra information to identify the flow. It may be noted that most senders are behind NAT devices and the source address and source port have been changed, perhaps several times, by the time the eFSA function gets the request. However, they are all restored by the time the response gets to the iFSA function. Thus, no extra issues are raised by NAT. + +However, if the iFSA function moves (mobile user), the eFSA function will not recognize the new source address and source port. Nor does the iFSA function know what the source address and port were that the eFSA function recorded. Therefore, in order to support mobility of the source, a simple solution is for the eFSA function to copy the source address and source port it receives in the request into the response. The iFSA function could save this information as the identifier of the flow. Then when the iFSA function moves, it makes a new QoS request and includes the saved original source address and port in the request instead of zero in these fields. The network treats this as a new request and times out the old one. However, the eFSA function can see that these fields are not zero and match up the original source address and port with ongoing flows and thus determine that this is a continuation of the flow. + +An example implementation could utilize two fields for IPv4, the "original source address" (32 bits) and the "original source port" (16 bits). Since IPv6 requires 32 bits of header information, this space can be used for the IPv4 original source address. Then the IPv4 original source port can be placed in the same 20-bit space that IPv6 requires for the source flow label. + +# **Appendix III** + +## **Illustrative QoS support for different preference indicator values** + +(This appendix does not form an integral part of this Recommendation) + +### **III.1 Preference resolution for maximum rate (MRS) flows** + +This clause references requirement R-82. + +The preference indicator value of a newly admitted MRS flow may alter the QoS support of MRS flows which have lower preference indicator values. If necessary, when there is insufficient capacity to support all MRS flows, some or all of the flows with lower preference indicator values may continue to transmit as in the case of the immediate transmission option. For such flows, the network is required to revert to the conditional guarantee that loss/delay targets are supported as soon as possible. + +### **III.2 Preference resolution for available rate (ARS) flows** + +This clause references requirement R-83. + +With ARS traffic (typically TCP), the network decides on the rate it could support for each flow. There may be different classes of ARS traffic where some flows are permitted more capacity, but within a class it is assumed that the goal would be for rate equality or fairness. When a new ARS flow is received, the network equipment would examine the available capacity for the class and assign what it believed was a fair rate to the flow. Typically, the process would allow the total ARS traffic in the class to utilize as much of the class capacity as is presumed to be safe and thus most of the time there would be a preference decision to be considered. + +Requirement R-83 does not specify how much more or less capacity is given to flows of different preference indicator values, and that may well be a function that the network operator may wish to control. This requirement however leads to a very simple process, the preference indicator value can be converted to a weight by a function or a table lookup so that a weight is determined for each flow. Then each new flow could be assigned a weighted fraction of the total capacity. One measurement is required, the sum of the flow weights in process. The new flow would then receive its weight times the total safe capacity divided by the sum of the active flow weights. This is one solution that illustrates how a large number of separate preference indicator values could be supported without the computation and memory requirements increasing with the number of such values. + +## Appendix IV + +## Supplementary information relating to requirements on the management of transport connections carrying flow-state-aware traffic and other traffic + +(This appendix does not form an integral part of this Recommendation) + +### IV.1 General architectural assumptions + +This clause references requirements in clause 6.5 + +The main requirement is that flow-state-aware QoS controls are agnostic to the underlying transport technology. This can be Ethernet, ATM or any other choice of the network provider, and may be a mixture of different transport technologies at different locations. + +#### Additional assumptions + +A given network link (between two network nodes) may not be dedicated to carrying flow-state-aware traffic only. + +Where a given network link is carrying a mixture of flow-state-aware traffic and other traffic, the FSA node may assume that part of the capacity of that link is guaranteed to be available for flow-state-aware traffic. The role of FSA QoS control should be to control the utilization of that capacity among the competing flows taking account of FSA services (ARS, MRS, VRS, GRS). The network may achieve capacity guarantees in various ways, including: + +- IP-layer scheduling functions to manage and limit the capacity available to the non-FSA traffic, together with FSA QoS controls to limit the capacity available to the FSA traffic. Note that this method may allow for the dynamic "borrowing" of unused capacity by either FSA or non-FSA traffic as discussed in the next bullet. +- FSA management of link capacity does not imply a dedicated FSA management function per link. For example, consider the broadband access scenario shown in Figures IV.1 and IV.2. These illustrate an arrangement where a single FSA access QoS functional entity is capable of managing both DSL and Ethernet link capacity limits. Clearly the scale capabilities of this arrangement will be vendor-specific. In the case of Figure IV.2, the FSA access QoS management functional entity is shown as being combined with an Ethernet VLAN switch. Of course, these two functions could also be split. The main difference with Figure IV.1 is that all traffic, FSA and non-FSA, passes through FSA QoS control management. The non-FSA traffic is either passed transparently or managed, e.g., throttled (as necessary), if the network provider chooses to offer such a service. +- Figures IV.1 and IV.2 also illustrate the requirement that FSA management of link capacity is required to take into account the capacity reserved on that link for non-FSA traffic on both the DSL and Ethernet links, i.e.,: + - the non-FSA traffic within (in the scenario of Figures IV.1 and IV.2) an Ethernet VLAN carrying a mix of FSA and non-FSA traffic, or + - the additional non-FSA traffic on the physical link towards an access node, in dedicated non-FSA VLANs. + +Note that, within a single VLAN, dynamic "borrowing" of capacity between FSA and non-FSA traffics may be performed by the FSA access QoS functional entity. + +![Figure IV.1: FSA control of some of the access VLANs. This diagram shows a network topology where an Access node (yellow box) is connected to a Core edge (orange box) and an Ethernet switch (green box). A DSL line (blue line) enters the Access node. The Ethernet switch is connected to the Core edge and an FSA QoS control block (teal box). Two paths are indicated: 'Non-FSA VLAN paths' (orange arrow) and 'FSA VLAN paths' (purple arrow). The FSA VLAN paths show traffic from the DSL line passing through the Access node, then through the Ethernet switch, and finally through the FSA QoS control block before reaching the Core edge. The Non-FSA VLAN paths show traffic bypassing the FSA QoS control block. The diagram is labeled Y.2121(08)_FIV.1.](e451401f8fa77b466f401d5fce15b26c_img.jpg) + +Figure IV.1: FSA control of some of the access VLANs. This diagram shows a network topology where an Access node (yellow box) is connected to a Core edge (orange box) and an Ethernet switch (green box). A DSL line (blue line) enters the Access node. The Ethernet switch is connected to the Core edge and an FSA QoS control block (teal box). Two paths are indicated: 'Non-FSA VLAN paths' (orange arrow) and 'FSA VLAN paths' (purple arrow). The FSA VLAN paths show traffic from the DSL line passing through the Access node, then through the Ethernet switch, and finally through the FSA QoS control block before reaching the Core edge. The Non-FSA VLAN paths show traffic bypassing the FSA QoS control block. The diagram is labeled Y.2121(08)\_FIV.1. + +**Figure IV.1 – FSA control of some of the access VLANs** + +![Figure IV.2: FSA IP-layer inspection and management of all access links. This diagram shows a network topology where an Access node (yellow box) is connected to a Core edge (orange box) and an Ethernet switch (green box). A DSL line (blue line) enters the Access node. The Ethernet switch is connected to the Core edge and an FSA QoS control block (teal box). Two paths are indicated: 'FSA VLAN paths' (purple arrow) and 'Non-FSA VLAN paths' (orange arrow). The FSA VLAN paths show traffic from the DSL line passing through the Access node, then through the Ethernet switch, and finally through the FSA QoS control block before reaching the Core edge. The Non-FSA VLAN paths show traffic bypassing the FSA QoS control block. The diagram is labeled Y.2121(08)_FIV.2.](1142ba0197b158bb198186fe8baccc32_img.jpg) + +Figure IV.2: FSA IP-layer inspection and management of all access links. This diagram shows a network topology where an Access node (yellow box) is connected to a Core edge (orange box) and an Ethernet switch (green box). A DSL line (blue line) enters the Access node. The Ethernet switch is connected to the Core edge and an FSA QoS control block (teal box). Two paths are indicated: 'FSA VLAN paths' (purple arrow) and 'Non-FSA VLAN paths' (orange arrow). The FSA VLAN paths show traffic from the DSL line passing through the Access node, then through the Ethernet switch, and finally through the FSA QoS control block before reaching the Core edge. The Non-FSA VLAN paths show traffic bypassing the FSA QoS control block. The diagram is labeled Y.2121(08)\_FIV.2. + +**Figure IV.2 – FSA IP-layer inspection and management of all access links** + +### **IV.2 General issues on the management of access links shared by FSA and non-FSA traffic** + +With reference to Figure IV.3 below, an access link is shown with downstream traffic being forwarded on to it from an edge FSA node. The downstream traffic consists of both FSA and non-FSA components. + +Figure IV.3 shows a grooming process that consists of two stages. Stage 1 is the separate grooming of FSA flows (with the non-FSA traffic by-passing this stage). Stage 2 is the grooming of the FSA traffic with the non-FSA traffic. + +It will be appreciated that this description of a two-stage process could be realized without actually implementing two physically separate stages. The description has been chosen for clarification of QoS management, and not to suggest any particular implementation. + +Similarly, although Figure IV.3 shows both FSA and non-FSA capabilities in an edge FSA node, this does not suggest an actual implementation. The stage 1 function could be implemented within the edge FSA node or external to it. + +In more detail, stage 1 may groom traffic for one or several Ethernet VLANs or ATM VPs according to different policies, including: + +- Provider-specific requirements on preference indicator handling. +- Aggregate maximum rate limit per VLAN or VP and UES maximum rate limit for downstream traffic. +- A multiple-provider shared access with an overall maximum rate limit and with equal or preferential policies on ARS rate allocation or MRS discard first. + +![Figure IV.3: Conceptual 2-stage grooming of FSA + non-FSA for a shared access link. The diagram shows an 'Edge router' box containing two stages. 'Stage 1: FSA aggregation' is a yellow box with an orange inner box. 'Stage 2: FSA + non-FSA' is a green box. Arrows show traffic flow: 'Non-FSA traffic' enters from the right, goes through Stage 1, then Stage 2, and finally exits to the left as 'Access link (showing the downstream aggregate flow)'. The label 'Y.2121(08)_FIV.3' is at the bottom right.](f57c7b37d7a05a99618104f390089f03_img.jpg) + +Figure IV.3: Conceptual 2-stage grooming of FSA + non-FSA for a shared access link. The diagram shows an 'Edge router' box containing two stages. 'Stage 1: FSA aggregation' is a yellow box with an orange inner box. 'Stage 2: FSA + non-FSA' is a green box. Arrows show traffic flow: 'Non-FSA traffic' enters from the right, goes through Stage 1, then Stage 2, and finally exits to the left as 'Access link (showing the downstream aggregate flow)'. The label 'Y.2121(08)\_FIV.3' is at the bottom right. + +**Figure IV.3 – Conceptual 2-stage grooming of FSA + non-FSA for a shared access link** + +As shown in Figure IV.4 below, stage 1 grooms the FSA traffic into virtual access links corresponding to one or several different access products. In addition, several of these virtual access links may share a single physical access link. The method of sharing may allow: + +- strict adherence to the maximum rate on each of these virtual access links; +- a virtual access link borrows unused physical link capacity (in terms of what is pre-set as the notional physical link capacity assigned for stage 1). It returns to its guaranteed maximum rate as other virtual links demand more. + +In the simplest of these cases (strict adherence to each assigned maximum rate), the stage 1 grooming process: + +- manages ARS rate shares within any virtual link on the basis of the available maximum rate of that virtual link, subtracting any GRS or MRS discard last rates from the total available; +- manages MRS packet discards to ensure strict adherence to the maximum rate. + +In the alternative case, MRS packet discards may be reduced if there is some unused physical capacity. An alternative, and possibly more complex, arrangement would allow ARS rates to exploit the unused capacity and rapidly relinquish it as demands from other virtual links increase. + +![Figure IV.4: FSA traffic groomed into different virtual access links at stage 1. The diagram shows a stack of horizontal bars representing virtual access links. The bars are colored: dark blue (Product type 1), light green (Product type 3), grey (Product type 2), and red (Product type 4). A curved arrow labeled 'Managed notional physical link limit' spans across the stack. Arrows point to the top and bottom of the stack, labeled 'Max rate 1' and 'Max rate n' respectively. A vertical orange bar on the right is labeled 'Stage 1'. The label 'Y.2121(08)_FIV.4' is at the bottom right.](6be06b7dc72bb42afcb3465394667c3b_img.jpg) + +Figure IV.4: FSA traffic groomed into different virtual access links at stage 1. The diagram shows a stack of horizontal bars representing virtual access links. The bars are colored: dark blue (Product type 1), light green (Product type 3), grey (Product type 2), and red (Product type 4). A curved arrow labeled 'Managed notional physical link limit' spans across the stack. Arrows point to the top and bottom of the stack, labeled 'Max rate 1' and 'Max rate n' respectively. A vertical orange bar on the right is labeled 'Stage 1'. The label 'Y.2121(08)\_FIV.4' is at the bottom right. + +**Figure IV.4 – FSA traffic groomed into different virtual access links at stage 1** + +The stage 2 grooming process forwards these virtual access links onto a number of physical access links, combining this traffic with the non-FSA traffic. Prior to stage 2, the non-FSA traffic may also + +be groomed into one or several virtual access links per physical access link (e.g., associated with one or several Ethernet VLANs). + +If the FSA traffic is groomed into Ethernet VLANs at stage 1 and if the non-FSA traffic has also been groomed into Ethernet VLANs, then stage 2 grooming could be performed by an Ethernet switch. In this case, for QoS reasons, there should be strict adherence to the maximum rate of each virtual access link. Where several virtual access links share the same physical access link, the sum of their maximum rates should be managed to be less than the physical link capacity. + +On the other hand, it was noted that one type of access product may borrow unused capacity and may temporarily exceed its guaranteed maximum rate. To perform stage 2 grooming in this case, it is necessary to take account of congestion. One option is to perform stage 2 grooming in the edge FSA node. Another possibility is to perform this function in an external function that may or may not be FSA-capable (if the latter, then this external function may also simultaneously perform stage 1 – see, for example, Figure IV.2). + +#### IV.2.1 Case 1: FSA-aware stage 2 + +Consider Figure IV.5, which shows the case of an FSA-aware stage 2. It is assumed that any reduction in bandwidth available to a virtual access link at the output of stage 2 may not immediately cause a reduction in the output load from stage 1. Therefore, on an FSA virtual access link that is allowed to borrow unused bandwidth above its guaranteed maximum, the simplest procedure is: + +- stage 2 allows unused capacity to be used for forwarding packets of this virtual access link, but reduces the aggregate forwarding rate to the guaranteed maximum rate when necessary; +- MRS "discard first" packets may be discarded if there are too many packets waiting to be forwarded at stage 2; +- the sum of the rates of all GRS flows added to the sum of MRS flows in "discard last" state (including the MRS component of VRS) should not exceed the guaranteed maximum rate of the virtual access link; +- stage 2 should reduce ARS rates as appropriate when it is necessary to reduce the aggregate rate of the virtual access link to its guaranteed maximum rate. + +Therefore, stage 2 supports all guaranteed bandwidth flows (whether in FSA or non-FSA virtual access links). This is provided that the call acceptance process does not allow any guaranteed bandwidth flow to be accepted if it should cause a virtual access maximum rate to be exceeded (and provided the sum of the set of maximum rates does not exceed a physical link rate). + +![Figure IV.5: Case 1 – FSA-aware stage. The diagram shows a data flow from right to left. On the far right, a horizontal line represents the input. This line enters an orange box labeled 'Stage 1: FSA aggregation'. The output of Stage 1 is a horizontal line that enters a green box labeled 'Stage 2: FSA-aware'. Below this line, the text 'Non-FSA traffic' is written. The output of Stage 2 is a horizontal line that exits the green box to the left. This line is labeled 'Access link (showing the downstream aggregate flow)'. A callout arrow points to the boundary between Stage 1 and Stage 2 with the text 'Scheduler supports guaranteed maximum rate of any virtual access link (both for FSA and non-FSA traffic)'. In the bottom right corner of the diagram area, the text 'Y.2121(08)_FIV.5' is present.](896e86ed12aff206d302c64f2e3091fa_img.jpg) + +Figure IV.5: Case 1 – FSA-aware stage. The diagram shows a data flow from right to left. On the far right, a horizontal line represents the input. This line enters an orange box labeled 'Stage 1: FSA aggregation'. The output of Stage 1 is a horizontal line that enters a green box labeled 'Stage 2: FSA-aware'. Below this line, the text 'Non-FSA traffic' is written. The output of Stage 2 is a horizontal line that exits the green box to the left. This line is labeled 'Access link (showing the downstream aggregate flow)'. A callout arrow points to the boundary between Stage 1 and Stage 2 with the text 'Scheduler supports guaranteed maximum rate of any virtual access link (both for FSA and non-FSA traffic)'. In the bottom right corner of the diagram area, the text 'Y.2121(08)\_FIV.5' is present. + +**Figure IV.5 – Case 1 – FSA-aware stage** + +#### IV.2.2 Case 2: Non-FSA-aware stage 2 + +This case requires more complexity in the marking of packets so that stage 2 correctly discards excess packets when it has to limit the virtual access link to its guaranteed maximum rate. One possibility is that MRS "discard first" packets are marked differently to MRS "discard last" packets + +(requiring the marking to be changed on a flow if the "discard first" state changes to "discard last"). Then stage 2 operates as follows: + +- stage 2 allows unused capacity to be used for forwarding packets of this virtual access link, but reduces the aggregate forwarding rate to the guaranteed maximum rate when necessary; +- packets appropriately marked for discard are required to be discarded if there are too many packets waiting to be forwarded at stage 2; +- the sum of the rates of all GRS + ARS flows added to the sum of VRS + MRS flows in "discard last" state should not exceed the guaranteed maximum rate of the virtual access link. + +This implies that only MRS "discard first" packets are exploiting the excess unused capacity on the physical link. With these restrictions, the same statement may be made that a non FSA-aware stage 2 supports all guaranteed bandwidth flows (whether in FSA or non-FSA virtual access links). Again, this is provided that the call acceptance process does not allow any guaranteed bandwidth flow to be accepted if it should cause a virtual access maximum rate to be exceeded (and provided the sum of the set of maximum rates does not exceed a physical link rate). + +### **IV.3 Combined flow-level and aggregate flow-level FSA controls** + +It may be anticipated that network providers may want to combine FSA controls at the flow level and aggregate flow level. This creates the opportunity of providing variable-rate aggregation products that are adapted to the needs of the service providers and their customers. + +The following text describes examples of variable rate aggregation products for the purposes of clarifying requirements only: + +- products that connect between (see Figure IV.6): + - an access product service edge point, carrying traffic to/from a service provider point of presence; + - an access product service edge point, carrying traffic to/from a given set of user-end-systems; +- connecting between the service edge points of access products that carry traffic to/from enterprise sites (see Figure IV.7); +- assigning capacity to the aggregate based on the latest available rate, where the flow level consists of only a set of ARS flows that share this capacity on a basis that recognizes preference indicator values (see Figure IV.8); +- assigning capacity to the aggregate based on a minimum (MRS-requested) rate plus an available rate top-up. Here the set of flows can be MRS, VRS and ARS and, again, the capacity sharing of the top-up portion recognizes preference indicator values (see Figure IV.9); +- assigning capacity (perhaps to cover sudden needs) based on a new MRS-requested aggregate rate while recognizing that this new rate may not be instantly available. However it is required to be made available as soon as possible and, meanwhile, the policed rate is required to be adjusted to the new need. Here the flow level consists of a set of MRS flows only, and discard control again recognizes preference indicator values (see Figure IV.10); +- assigning capacity based on a new GRS-requested aggregate rate, with the possibility that this request may be rejected. Accepted requests may remove some of the capacity available to other services and trigger flow-level controls to operate and modify, for example, ARS rates (again taking preference indicator values into account). (see Figure IV.11). + +![Diagram of FSA variable capacity controls supporting the connection between a service provider and specified user-end-systems.](5eb69662cc4fa7d0d49b4eb22951c204_img.jpg) + +The diagram illustrates a network architecture for FSA variable capacity controls. It features two identical FSA edge components, each consisting of a green box labeled 'FSA edge' and an orange box below it. A dashed line connects the two green boxes, labeled 'Variable-rate for aggregate and flow-level'. Below the left FSA edge, an orange box labeled 'Service provider point of presence' is connected to the orange box of the FSA edge by a solid line. An arrow points from this orange box to the green box, labeled 'Service edge point of access product'. Below the right FSA edge, a grey box labeled 'End users' is connected to the orange box of the FSA edge by a solid line. An arrow points from this grey box to the green box, labeled 'Service edge point of UES access product'. A curved dashed line connects the two green boxes, passing above the dashed line connecting them. + +Y.2121(08)\_FIV.6 + +Diagram of FSA variable capacity controls supporting the connection between a service provider and specified user-end-systems. + +**Figure IV.6 – FSA variable capacity controls supporting the connection between a service provider and specified user-end-systems** + +![Diagram of Enterprise site-to-site FSA controlled variable capacity.](e151d3468319b81f042ca232c4d82e4b_img.jpg) + +The diagram illustrates a network architecture for enterprise site-to-site FSA controlled variable capacity. It features two identical FSA edge components, each consisting of a green box labeled 'FSA edge' and an orange box below it. A dashed line connects the two green boxes, labeled 'Variable-rate for aggregate and flow-level'. Below the left FSA edge, a green box labeled 'Entreprise site "A"' is connected to the orange box of the FSA edge by a solid line. An arrow points from this green box to the green box, labeled 'Service edge point of access product for enterprise site A'. Below the right FSA edge, a green box labeled 'Entreprise site "B"' is connected to the orange box of the FSA edge by a solid line. An arrow points from this green box to the green box, labeled 'Service edge point of access product for enterprise site B'. A curved dashed line connects the two green boxes, passing above the dashed line connecting them. + +Y.2121(08)\_FIV.7 + +Diagram of Enterprise site-to-site FSA controlled variable capacity. + +**Figure IV.7 – Enterprise site-to-site FSA controlled variable capacity** + +![Diagram of ARS flows within an ARS aggregate access showing flow-level and dynamic rate control blocks.](9a5927586a691c4908aa2cf98bd47ebb_img.jpg) + +Logical-level coupling of flow-level and dynamic aggregate rate controls + +Available aggregate capacity + +ARS flow + +ARS flow + +ARS flow + +Flow-level control + +Aggregate flow dynamic rate control (showing its logical separation from flow level controls) + +ARS aggregate rate requests/responses (signalling) + +Y.2121(08)\_FIV.8 + +The diagram illustrates the logical-level coupling between flow-level and dynamic aggregate rate controls for an ARS aggregate access. It features two green rectangular blocks. The left block, labeled 'Flow-level control', receives three horizontal arrows from the left, each labeled 'ARS flow'. Above this block is the text 'Available aggregate capacity' with a downward arrow pointing to the top of the block. The right block, labeled 'Aggregate flow dynamic rate control (showing its logical separation from flow level controls)', receives a single horizontal arrow from the right. Above this block is the text 'ARS aggregate rate requests/responses (signalling)' with a double-headed horizontal arrow. A dashed curved arrow connects the top of the 'Flow-level control' block to the top of the 'Aggregate flow dynamic rate control' block, labeled 'Logical-level coupling of flow-level and dynamic aggregate rate controls'. A solid horizontal arrow points from the right side of the 'Flow-level control' block to the left side of the 'Aggregate flow dynamic rate control' block. + +Diagram of ARS flows within an ARS aggregate access showing flow-level and dynamic rate control blocks. + +**Figure IV.8 – ARS flows within an ARS aggregate access** + +![Diagram of ARS, VRS and MRS flows within a VRS aggregate access showing flow-level and dynamic rate control blocks.](95e259e8cb3519025066052af263f8c0_img.jpg) + +Logical-level coupling of flow-level and dynamic aggregate rate controls + +Available aggregate capacity + +ARS flow + +VRS flow + +MRS flow + +Flow-level control + +Aggregate flow dynamic rate control (showing its logical separation from flow-level controls) + +VRS aggregate rate requests/responses (signalling) + +Y.2121(08)\_FIV.9 + +The diagram illustrates the logical-level coupling between flow-level and dynamic aggregate rate controls for a VRS aggregate access. It features two green rectangular blocks. The left block, labeled 'Flow-level control', receives three horizontal arrows from the left, labeled 'ARS flow', 'VRS flow', and 'MRS flow' from top to bottom. Above this block is the text 'Available aggregate capacity' with a downward arrow pointing to the top of the block. The right block, labeled 'Aggregate flow dynamic rate control (showing its logical separation from flow-level controls)', receives a single horizontal arrow from the right. Above this block is the text 'VRS aggregate rate requests/responses (signalling)' with a double-headed horizontal arrow. A dashed curved arrow connects the top of the 'Flow-level control' block to the top of the 'Aggregate flow dynamic rate control' block, labeled 'Logical-level coupling of flow-level and dynamic aggregate rate controls'. A solid horizontal arrow points from the right side of the 'Flow-level control' block to the left side of the 'Aggregate flow dynamic rate control' block. + +Diagram of ARS, VRS and MRS flows within a VRS aggregate access showing flow-level and dynamic rate control blocks. + +**Figure IV.9 – ARS, VRS and MRS flows within a VRS aggregate access** + +![Diagram illustrating MRS flows within an MRS aggregate, showing logical-level coupling of flow-level and dynamic aggregate rate controls. The diagram is divided into two main sections: a top section for the 'Aggregate flow sending edge' and a bottom section for the 'Aggregate flow receiving edge'. Each section features a 'Local flow-level discard control' block on the left and an 'Aggregate flow' block on the right. In the top section, three 'MRS flow' arrows enter the local block, which is also influenced by 'Available aggregate capacity'. A solid arrow labeled 'iFSA' connects the local block to the aggregate block. A dashed arrow labeled 'MRS aggregate rate requests/responses (signalling)' points from the aggregate block back to the local block. In the bottom section, three 'MRS flow' arrows exit the local block. A solid arrow labeled 'Receiving FSA edge' connects the aggregate block to the local block. A dashed arrow labeled 'MRS aggregate rate requests/responses (signalling)' points from the aggregate block back to the local block. A dashed curved arrow at the top indicates 'Logical-level coupling of flow-level and dynamic aggregate rate controls' between the two sections. On the right, a box contains 'FSA core functions (if deployed) responsive to aggregate flow signalling' and 'FSA core functions (if deployed) operating local flow-level discard control', connected by a downward arrow. A dashed line connects the aggregate blocks of both sections to this box. The reference 'Y.2121(08)_FIV.10' is at the bottom right.](0b7849dae424b0dd33e6386d2384643a_img.jpg) + +Diagram illustrating MRS flows within an MRS aggregate, showing logical-level coupling of flow-level and dynamic aggregate rate controls. The diagram is divided into two main sections: a top section for the 'Aggregate flow sending edge' and a bottom section for the 'Aggregate flow receiving edge'. Each section features a 'Local flow-level discard control' block on the left and an 'Aggregate flow' block on the right. In the top section, three 'MRS flow' arrows enter the local block, which is also influenced by 'Available aggregate capacity'. A solid arrow labeled 'iFSA' connects the local block to the aggregate block. A dashed arrow labeled 'MRS aggregate rate requests/responses (signalling)' points from the aggregate block back to the local block. In the bottom section, three 'MRS flow' arrows exit the local block. A solid arrow labeled 'Receiving FSA edge' connects the aggregate block to the local block. A dashed arrow labeled 'MRS aggregate rate requests/responses (signalling)' points from the aggregate block back to the local block. A dashed curved arrow at the top indicates 'Logical-level coupling of flow-level and dynamic aggregate rate controls' between the two sections. On the right, a box contains 'FSA core functions (if deployed) responsive to aggregate flow signalling' and 'FSA core functions (if deployed) operating local flow-level discard control', connected by a downward arrow. A dashed line connects the aggregate blocks of both sections to this box. The reference 'Y.2121(08)\_FIV.10' is at the bottom right. + +**Figure IV.10 – MRS flows within an MRS aggregate** + +It may be noted in Figure IV.10 that each FSA node is making a local decision about the rate that could be supported on reception of an MRS aggregate rate increase request. Unlike ARS, the sending end may immediately send at the new requested aggregate rate. However, network providers may choose to prevent any sending node from increasing a rate beyond some pre-determined maximum rate or beyond some pre-determined maximum allowable percentage increase above a current rate. Other policy options may be applied. + +![Diagram illustrating the logical-level coupling of flow-level and dynamic aggregate rate controls. It shows two green blocks: 'Flow-level control' on the left and 'Aggregate flow dynamic rate control' on the right. Four input flows (ARS, VRS, MRS, GRS) enter the first block. A solid arrow connects the two blocks. A dashed arrow labeled 'Available aggregate capacity' points from the top of the first block to the top of the second. Another dashed arrow labeled 'GRS aggregate rate requests/responses (signalling)' points from the top of the second block to the right. The second block has an output arrow to the right.](798679874d1c29f8343506a156c79d7e_img.jpg) + +Logical-level coupling of flow-level and dynamic aggregate rate controls + +Available aggregate capacity + +ARS flow + +VRS flow + +MRS flow + +GRS flow + +Flow-level control + +Aggregate flow dynamic rate control (showing its logical separation from flow-level controls) + +GRS aggregate rate requests/responses (signalling) + +Y.2121(08)\_FIV.11 + +Diagram illustrating the logical-level coupling of flow-level and dynamic aggregate rate controls. It shows two green blocks: 'Flow-level control' on the left and 'Aggregate flow dynamic rate control' on the right. Four input flows (ARS, VRS, MRS, GRS) enter the first block. A solid arrow connects the two blocks. A dashed arrow labeled 'Available aggregate capacity' points from the top of the first block to the top of the second. Another dashed arrow labeled 'GRS aggregate rate requests/responses (signalling)' points from the top of the second block to the right. The second block has an output arrow to the right. + +**Figure IV.11 – GRS negotiated aggregate rate changes** + +# Appendix V + +## Example implementation principles associated with FSA nodes + +(This appendix does not form an integral part of this Recommendation) + +The principles below describe an example implementation, not the only possible implementation of an FSA node: + +- 1) The FSA node determines the identifier of each QoS signalled flow. +- 2) Having identified a flow, some memory of the flow is required. This memory may be as little as a saved hash entry and a bit to indicate if the flow is "discard last" or "discard first". It may also contain the QoS information for the flow that was in the initial in-band signalling packet. +- 3) The FSA node also needs to be monitoring the loading of the port on which the flow is exiting the FSA node. From this load information, it must determine what capacity is available for a new flow. There are many techniques for doing this and deciding what rate an ARS flow may have or if a MRS flow should be "discard first", "discard last", or must be denied altogether. +- 4) The FSA node only needs to route this first packet of the flow to determine what route it should take, what QoS it should have, and if it is subject to denial of service (DoS). +- 5) Once a flow has been accepted at a rate, if the rate is saved in the state information, then the flow may be policed to that rate. If no rate information is kept, the policing could be based on the total port load and, for ARS, this plus the number of flows may be sufficient. For GRS the rate is required since the total commitment must be controlled. For MRS and the MRS portion of VRS, the rate would need to be saved if per-flow policing is required, but if only flow acceptance is needed then the "discard first" bit would be sufficient. +- 6) The flow entries need to be cleared out if no packets arrive for a period, thus there also needs to be a time stamp for the last packet arrival. + +Figure V.1 shows an example implementation of an FSA node where the data flow follows the path through the switching logic and the first packet is routed with normal L3 FSA node logic. + +![Block diagram of an FSA node implementation showing data flow from input transceiver through flow lookup, switching, and output transceiver.](a5184899f915014fa38608754efcc9c7_img.jpg) + +``` +graph TD; In[Input port transceiver] --> FL[Flow lookup, shaping and policing]; FL <--> S3[Standard L3 routing]; FL <--> SM[Flow state memory]; FL --> S[Switching]; S --> OFM[Output flow management]; OFM --> Out[Output port transceiver]; Out --> Y2121[\"Y.2121(08)_FV.1\"]; +``` + +The diagram illustrates the data flow within an FSA node. It starts with an 'Input port transceiver' at the bottom, which feeds into a 'Flow lookup, shaping and policing' block. This block has bidirectional connections to 'Standard L3 routing' (above) and 'Flow state memory' (to the left). The 'Flow lookup, shaping and policing' block then feeds into a 'Switching' block. The 'Switching' block feeds into an 'Output flow management' block, which in turn feeds into an 'Output port transceiver'. Finally, the 'Output port transceiver' has a downward arrow pointing to the reference 'Y.2121(08)\_FV.1'. + +Block diagram of an FSA node implementation showing data flow from input transceiver through flow lookup, switching, and output transceiver. + +**Figure V.1 – Example implementation illustrating an FSA node** + +Once the packet is identified with a flow record which includes the agreed rate, the flow can be policed and thus the total output load on a port controlled to any desired loading. New flows can be accepted by examining the remaining capacity and assigning a rate to the flow. MRS flows may be controlled not to exceed some load limit, but if too many arrive, they could be accepted as "discard first" or rejected if necessary. Thus, the ability to support the envisioned QoS signalling protocol only requires a modest memory and logic capability which need not add any significant cost to the FSA node, and in fact saves cost by reducing the routing logic. + +**Appendix VI** + +**Out-of-band signalling with a central admission entity** + +(This appendix does not form an integral part of this Recommendation) + +Under assumption that a central admission entity such as RACF performs the admission function accurately, the messaging overhead for the response and the confirmation is not required. This we call the simplified FSA signalling. + +The simplified FSA signalling can further benefit by combining with the proxy signalling. In this case, any registered UES for FSA treatment, without having the FSA signalling capability, can simply initiate a call. Then through the call-level authorization and admission process, the IP-level traffic parameters (e.g., RACF traffic descriptor) are notified to the RACF. The RACF then distributes the traffic descriptor to the appropriate ingress edge node, which is the signalling proxy. The proxy maps the IP-level traffic descriptor distributed by the RACF to the FSA parameters, prior to sending the start packet. The UESs then do not have to register the individual FSA parameters to the proxy. The simplified signalling procedure is depicted in Figure VI.1. + +![Figure VI.1 – Simplified signalling procedure](a14ef8a0fbd175ce9b6d24cca8328ecd_img.jpg) + +Detailed description of Figure VI.1: The diagram shows the interaction between several entities: UES (User Equipment Station), SCF (Service Control Function), NACF (Network Attachment Control Function), and RACF (Resource and Admission Control Function). Below them is a 'Flow aggregation network' consisting of several FSA (Flow State Aware) nodes and an nFSA node leading to the 'core'. The signalling steps are numbered: 1. Service request from UES to SCF. 2. Resource request from SCF to RACF. 3. Policy and resource check within RACF. 4. Subscription check between RACF and NACF. 5. Resource commitment and flow descriptor distribution from RACF to the first FSA node (ingress edge node). 6. Resource confirm from RACF to SCF. 7. Service acceptance from SCF to UES. 8. Start packet and subsequent data packets from UES through the FSA nodes. + +``` + +sequenceDiagram + participant UES + participant SCF + participant RACF + participant NACF + participant FSA as Ingress FSA Node + participant Network as Flow Aggregation Network + + UES->>SCF: 1. Service request + SCF->>RACF: 2. Resource request + Note over RACF: 3. Policy and resource check + RACF<->>NACF: 4. Subscription check + RACF->>FSA: 5. Resource commitment and flow descriptor distribution + RACF->>SCF: 6. Resource confirm + SCF->>UES: 7. Service acceptance + UES->>Network: 8. Start packet and subsequent data packets + +``` + +**Figure VI.1 – Simplified signalling procedure** + +Figure VI.1 – Simplified signalling procedure + +- 1) A UES requests a service for a call. +- 2) The SCF requests for available resource to the RACF. +- 3) The RACF checks the applicable policy to the call, thus to the flow, then checks for the available resources in the network. +- 4) The RACF also checks for the subscription status. +- 5) Upon passing the checks, the RACF decides to admit and commit resource to the call. The RACF also distributes the IP-level flow descriptor. If any of the ingress edge nodes work as a signalling proxy, then such an edge node maps the IP level flow descriptor into the FSA QoS parameters such as service context, burst tolerance and delay priority. Those FSA parameters are stored in the ingress edge node. +- 6) The RACF then confirms the available resource. +- 7) The SCF notifies the UES of the service acceptance. + +40 Rec. ITU-T Y.2121 (01/2008) + +- 8) The UES generates the in-band FSA request signal. Every FSA in the path recognizes it, and stores the FSA parameters for the flow. If the ingress edge node performs as a proxy, the UES just transmits the ordinary data packet. The ingress edge node realizes the first data packet sent from the UES and generates the start packet using the FSA parameter mapped from the IP-level flow descriptor. + +It is likely that the central admission entity examines only the requested data rate of a flow, which corresponds to the requested rate in FSA. Other parameters such as preference indicator, service context, burst tolerance and delay priority can be inferred from the IP-level flow descriptor received from the central admission entity. + +In summary, the negotiation procedure can be through the complete in-band signalling (including the response and the confirmation) or the in-band signalling plus the authorization signalling to the central admission entity. In the latter case, the start packet can be generated at the ingress edge node by mapping the central admission entity IP level descriptor (such as RACF traffic descriptor) to FSA parameters. + +## Bibliography + +- [b-ITU-T I.371] ITU-T Recommendation I.371 (2004), *Traffic control and congestion control in B-ISDN*. +- [b-IETF RFC 2003] IETF RFC 2003 (1996), *IP encapsulation within IP*. +<> +- [b-IETF RFC 2748] IETF RFC 2748 (2000), *The COPS (Common Open Policy Service) Protocol*. +<> +- [b-IETF RFC 2868] IETF RFC 2868 (2000), *RADIUS Attributes for Tunnel Protocol Support*. +<> +- [b-IETF RFC 3270] IETF RFC 3270 (2002), *Multi-Protocol Label Switching (MPLS) Support of Differentiated Services*. +<> + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | 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b/marked/Y/T-REC-Y.2213-200809-I_PDF-E/raw.md @@ -0,0 +1,951 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2213 + +(09/2008) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Service aspects: Service +capabilities and service architecture + +--- + +**NGN service requirements and capabilities for +network aspects of applications and services +using tag-based identification** + +Recommendation ITU-T Y.2213 + +![ITU logo](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, followed by "International Telecommunication Union" in a smaller font. + +ITU logo + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +## NEXT GENERATION NETWORKS + +| | | +|-----------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2213** + +# **NGN service requirements and capabilities for network aspects of applications and services using tag-based identification** + +## **Summary** + +Recommendation ITU-T Y.2213 describes high-level service requirements and NGN capability requirements needed to support applications and services using tag-based identification. Several examples of applications and services using tag-based identification are also described with scenarios. The scope of this Recommendation is limited to applications and services using tag-based identification and they are distinguished by the following three mandatory elements: ID tag, ID terminal and identifier. + +## **Source** + +Recommendation ITU-T Y.2213 was approved on 12 September 2008 by ITU-T Study Group 13 (2005-2008) under Recommendation ITU-T A.8 procedure. + +### **Keywords** + +Bar code, capabilities, capability requirements, ID tag, ID terminal, identifier, identifier resolution, RFID, service requirements and tag-based identification. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2009 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|-------------------------------------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Conventions ..... | 4 | +| 6 Tag-based identification applications and services description and high-level
reference service architecture ..... | 4 | +| 6.1 Basic characteristics of tag-based identification applications and services ... | 4 | +| 6.2 Impact of tag-based identification applications and services on the
network..... | 5 | +| 6.3 Reference service architecture model..... | 5 | +| 7 Service requirements of tag-based identification applications and services ..... | 6 | +| 7.1 Multi-identifier interpretation requirements..... | 6 | +| 7.2 Identifier resolution ..... | 6 | +| 7.3 ID terminal and ID tag management ..... | 7 | +| 7.4 Content distribution control..... | 7 | +| 7.5 Privacy management ..... | 7 | +| 7.6 Location-based services support..... | 8 | +| 7.7 Service quality control..... | 8 | +| 7.8 Application transaction and traffic requirements ..... | 8 | +| 8 NGN capabilities for tag-based identification applications and services ..... | 8 | +| 8.1 Requirements for extensions or additions to NGN release 1 capabilities ..... | 9 | +| 8.2 Requirements supported by existing NGN release 1 capabilities ..... | 10 | +| Appendix I – Non-NGN high-level service requirements ..... | 11 | +| I.1 General requirements for identifiers..... | 11 | +| I.2 Requirements for identification of identifier schemes ..... | 11 | +| I.3 Requirements related to application data encoding..... | 11 | +| I.4 Requirements for identification service interworking..... | 12 | +| I.5 Requirements for location information management..... | 12 | +| I.6 Requirements related to management of application mobility..... | 12 | +| I.7 Requirements related to traceability..... | 12 | +| I.8 Requirements related to identifier filtering ..... | 13 | +| Appendix II – Classification of tag-based identification applications and services ..... | 14 | +| II.1 Overview of tag-based identification applications and services ..... | 14 | +| II.2 Classification of tag-based identification applications and services ..... | 15 | +| II.3 Examples of tag-based identification applications and services ..... | 15 | + +| | Page | +|---------------------------------------------------------------------------------------------|-------------| +| II.4 Evaluation of tag-based identification applications and services..... | 16 | +| Appendix III – Example scenarios of tag-based identification applications and services..... | 20 | +| III.1 Closed-domain tag-based identification applications and services..... | 20 | +| III.2 B2B tag-based identification applications and services ..... | 21 | +| III.3 B2C tag-based identification applications and services ..... | 22 | +| III.4 B2B2C tag-based identification applications and services ..... | 23 | +| III.5 C2C tag-based identification applications and services ..... | 24 | +| Bibliography ..... | 25 | + +## Introduction + +Numerous applications have already incorporated identifiers to support differentiated services, where identifiers are mainly used for logical identification. Emerging applications, whose examples are described in Appendices II and III, require also that logical identification be associated with physical objects. This Recommendation expects that a relationship between physical and logical objects is maintained and assumes that applications and services using tag-based identification are based on such a relationship. This relationship makes a wide variety of business opportunities available: for example, passport numbers may be applied to physical objects for identification and each physical object, i.e., passport, may be associated with a logical object such as a text content, application program, mobile executable code, or data record. + +Applications and services using tag-based identification adopted and deployed widely in various business fields have used identifiers as a means for identifying physical and logical objects. Consequently, their market volume is being expanded dramatically. In addition to use cases of identifier in business fields, physical and logical objects with an identifier can enable applications and services using tag-based identification in consumer fields as well. + +Existing applications and services using tag-based identification have been exploited in business-to-business (B2B) fields, but currently they are expanding to business-to-consumer (B2C) and business-to-business-to-consumer (B2B2C) fields as shown in clause II.3. Both B2B and B2C/B2B2C tag-based identification applications and services basically have similar service requirements. Additionally, B2C/B2B2C-specific service requirements and related challenges for NGN are also examined in this Recommendation, such as privacy management, identifier resolution, management, etc. + +Identifier information in such applications and services using tag-based identification works as the key information used to retrieve related contents, execute certain application programs, point to a specific information resource, make an association with a specific object, and so on. The identification feature supporting hyperlink-like access will enable NGN applications and services to be performed and provided to consumers in easier and more convenient ways. For example, consumers do not have to type a URL in a phone user interface because the tag-based identification supports that automatically. + +Since a number of applications and services using tag-based identification are expected to be deployed widely in NGN, the NGN architecture framework and the NGN functional entities have to support them. + + + +## Recommendation ITU-T Y.2213 + +## NGN service requirements and capabilities for network aspects of applications and services using tag-based identification + +## 1 Scope + +This Recommendation covers extensions to NGN release 1 capabilities in order to support tag-based identification applications and services in the NGN environment and builds upon [b-ITU-T Y.Sup1] and [ITU-T Y.2201]. + +The scope of this Recommendation is limited to tag-based identification applications and services distinguished by the following three mandatory elements: ID tag, ID terminal and Identifier. These applications and/or services use identifiers only read from ID tags by ID terminals. + +This Recommendation covers: + +- description and scope of tag-based identification applications and services with some example scenarios; +- high-level service requirements of tag-based identification applications and services; and +- extended or new NGN capabilities based on the high-level service requirements. + +Functional requirements and related NGN architecture extensions for support of the described capabilities are out of scope of this Recommendation. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T X.668] Recommendation ITU-T X.668 (2008) | ISO/IEC 9834-9:2008, *Information technology – Open Systems Interconnection – Procedures for the operation of OSI Registration Authorities: Registration of object identifier arcs for applications and services using tag-based identification.* + +[ITU-T Y.2201] Recommendation ITU-T Y.2201 (2007), *NGN release 1 requirements.* + +[ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1.* + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application network interface (ANI)** [b-ITU-T Y.2012]: Interface which provides a channel for interactions and exchanges between applications and NGN elements. The ANI offers capabilities and resources needed for realization of applications. + +**3.1.2 end user** [b-ITU-T M.3050.1]: The actual user of the products or services offered by the enterprise. The end user consumes the product or service. + +**3.1.3 identifier** [b-ITU-T Y.2091]: A series of digits, characters and symbols or any other form of data used to identify subscriber(s), user(s), network element(s), function(s), network entity(ies) providing services/applications, or other entities (e.g., physical or logical objects). Identifiers can be used for registration or authorization. + +NOTE – Identifiers can be either public to all networks, shared between a limited number of networks or private to a specific network (private identifiers are normally not disclosed to third parties). + +**3.1.4 name** [b-ITU-T Y.2091]: The identifier of an entity (e.g., subscriber, network element) that may be resolved/translated into an address. + +**3.1.5 service** [b-ITU-T Z.100]: A set of functions and facilities offered to a user by a provider. + +**3.1.6 user** [b-ITU-T Y.2091]: It can be an end user, a person, a subscriber, a system, an equipment, a terminal (e.g., FAX, PC), a (functional) entity, a process, an application, a provider, or a corporate network. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 associated information:** The information which is associated with an identifier. + +NOTE – Example associated information instances are URL, URN, IP address, E.164 number, etc. + +**3.2.2 B2B tag-based identification applications and services:** This term refers to tag-based identification applications and services based on business relationships which involve exchanges of identification information between business partners. + +**3.2.3 B2B2C tag-based identification applications and services:** This term refers to tag-based identification applications and services based on integrated business relationships of B2B and B2C which involve exchanges of identification information. + +**3.2.4 B2C tag-based identification applications and services:** This term refers to tag-based identification applications and services based on business relationships which involve exchanges of identification information between business and consumer. + +**3.2.5 C2C tag-based identification applications and services:** This term refers to tag-based identification applications and services based on business relationships which involve exchanges of identification information between consumers. + +**3.2.6 forward identifier resolution:** A function to resolve an identifier into an associated information. + +**3.2.7 identifier resolution:** A function to resolve an identifier into associated information (see "Forward identifier resolution") and vice versa (see "Reverse identifier resolution"). + +**3.2.8 identifier scheme:** It is a numbering scheme that specifies the format and structure of the identifiers used within that scheme. + +**3.2.9 ID tag:** A physical object which stores one or more identifiers and optionally application data such as name, title, price, address, etc. + +NOTE – It may have a communication capability with an ID terminal depending on implementations. + +**3.2.10 ID terminal:** A device with a data reading and optional writing capability which reads (and optionally writes) identifier(s) and optionally application data from/into an ID tag. + +NOTE – The data reading (and optionally writing) capability depends on implementations. + +**3.2.11 reverse identifier resolution (or backward identifier resolution):** A function to resolve an associated information into a corresponding identifier. It is the reverse operation of the forward identifier resolution. + +**3.2.12 tag-based identification:** The process of specifically identifying a physical or logical object from other physical or logical objects by using identifiers stored on an ID tag. + +**3.2.13 tag-based identification applications and services:** Applications and services which use tag-based identification. + +**3.2.14 tag-terminal interface:** A communication interface between ID tag and ID terminal. The ID terminal reads identifier(s) and optionally application data from the ID tag and/or writes them into the ID tag. + +NOTE – The interface medium may be infrared, RF, camera, optical scanner, and galvanic current. Communication techniques depend on the interface medium. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|--------------------------------------------------------| +| 1D | 1-Dimension | +| 2D | 2-Dimension | +| ANI | Application Network Interface | +| B2B | Business-to-Business | +| B2B2C | Business-to-Business-to-Consumer | +| B2C | Business-to-Consumer | +| C2C | Consumer-to-Consumer | +| DB | Database | +| DNS | Domain Name System | +| ENUM | TElephone NUmber Mapping | +| FAX | Facsimile | +| GPS | Global Positioning System | +| ID | Identification | +| IP | Internet Protocol | +| IrDA | Infrared Direct Access | +| ISBN | International Standard Book Number | +| LAN | Local Area Network | +| MAC | Medium Access Control | +| NGN | Next Generation Network | +| OECD | Organisation for Economic Co-operation and Development | +| OID | Object Identifier | +| PC | Personal Computer | +| PII | Personally Identifiable Information | +| POS | Point Of Sale | +| QoS | Quality of Service | +| RF | Radio Frequency | +| RFID | Radio Frequency Identification | + +| | | +|-----|-------------------------------| +| SCM | Supply Chain Management | +| TCP | Transmission Control Protocol | +| TTI | Tag Terminal Interface | +| UNI | User Network Interface | +| URI | Uniform Resource Identifier | +| URL | Uniform Resource Locator | +| URN | Uniform Resource Name | +| WAP | Wireless Application Protocol | + +## **5 Conventions** + +None. + +# **6 Tag-based identification applications and services description and high-level reference service architecture** + +There are many applications and services which use identifiers over various operation layers. Here are examples: MAC address is a data link layer identifier; IP is a network layer identifier; port number is a transport layer identifier; cookie identifiers associated with web applications are session layer identifiers; and passport numbers are application layer identifiers. + +This Recommendation does not cover all the applications and services using identifiers but is limited to applications and services using tag-based identification. Clause 6.1 describes the basic characteristics of tag-based identification applications and services covered in this Recommendation. Clause 6.2 describes some expected impacts on NGN. Clause 6.3 describes a high-level reference service architecture model. + +### **6.1 Basic characteristics of tag-based identification applications and services** + +Use of identifiers in this Recommendation involves consideration of the following four elements: + +- identifier; +- ID tag; +- ID terminal; and +- associated information. + +Every tag-based identification application and service is described using the following three mandatory elements: Identifier; ID tag; and ID terminal. Applications and services which are not based on these three elements are out of scope of this Recommendation. The associated information element is optional. + +Using this approach, RFID is a wireless communication technology used to transmit the identifiers stored in an RFID tag to an RFID terminal. Where the RFID tag is an ID tag, the RFID terminal is an ID terminal, the identifier stored in the RFID tag is just an identifier, and the information associated with the identifier is associated information. + +#### **6.1.1 Identifier** + +The identifier is described in clause 3. + +#### **6.1.2 ID tag** + +The identifier is required to be stored on the ID tag. The ID tag, which acts as a storage medium, is required to be read by the ID terminal. Examples of ID tags are 1D or 2D barcode tags, smartcards and RFID tags. + +#### **6.1.3 ID terminal** + +The ID terminal is required to read the identifier stored on the ID tag and the identifier is required to be transmitted to the ID terminal. The ID terminal is required to have a data reader. Examples of data reading techniques are RF, camera, optical scanner, IrDA, galvanic wire-line, manual key-in, etc. + +Additionally, the ID terminal may have a capability to write identifier(s) and optionally application data on ID tags. + +#### **6.1.4 Associated information** + +The identifier may be associated with application/service-related information. Such associations may be maintained by a directory service. An identifier may have multiple associations. + +### **6.2 Impact of tag-based identification applications and services on the network** + +According to the assumption of growth of telecommunications data traffic, transactions are expected to increase significantly when wide adoption of tag-based identification applications and services are achieved. On the other hand, even though total traffic will show dramatic growth during the course of dissemination of broadband services, traffic generated by tag-based identification applications and services will make up only small part of the total traffic. That is, tag-based identification applications and services will show a tremendous number of transactions but with a relatively small amount of traffic. Such transaction increases have various impacts on NGN. + +Network resource management is necessary to cope with such transaction increases generated by tag-based identification applications and services, and to avoid access concentration on specific resources, in addition to the appropriate traffic management of NGN. + +### **6.3 Reference service architecture model** + +Tag-based identification applications and services are provided through NGN as shown in Figure 1. Three interfaces called TTI, UNI and ANI are involved; however, the TTI is out of scope of NGN. Tag-based identification applications and services are provided to end users through the following three operations with the above interfaces: identifier reading, forward identifier resolution and information access from ID terminal's point of view. + +An ID terminal reads identifier(s) from an ID tag via TTI. It requests forward identifier resolution(s) and receives corresponding associated information. If the associated information received is a URL, the ID terminal accesses the information content pointed by the URL. Thus, the forward identifier resolution is followed by a content retrieval operation through NGN. + +![Figure 1 – Reference service architecture model. The diagram illustrates the architecture of a tag-based identification system. On the left, a 'Tag' with an 'id' is connected to an 'ID terminal' via a 'TTI' (Tag Terminal Interface). The 'ID terminal' contains a 'Network attachment' block with four components: 'Reader1' (r-id), 'Reader2' (r-id), 'Writer' (w-id), and 'Others' (o-id). This terminal connects to the 'NGN Scope' via a 'UNI' (User Network Interface). The 'NGN Scope' is a large dashed box containing two main strata: the 'Service stratum' (yellow) with 'Application support functions & service support functions' and 'Service control functions', and the 'Transport stratum' (green) with 'Transport control functions' and 'Transport functions'. The 'NGN Scope' connects to an 'ID terminal' on the right via an 'ANI' (Application Network Interface). A legend at the bottom left defines the identifiers: id (identifier), r-id (reader identifier), w-id (writer identifier), o-id (others' identifier), TTI (Tag Terminal Interface), UNI (User Network Interface), and ANI (Application Network Interface). The reference Y.2213(08)_F01 is noted at the bottom right.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +id identifier +r-id reader identifier +w-id writer identifier +o-id others' identifier +TTI Tag Terminal Interface +UNI User Network Interface +ANI Application Network Interface + +Y.2213(08)\_F01 + +Figure 1 – Reference service architecture model. The diagram illustrates the architecture of a tag-based identification system. On the left, a 'Tag' with an 'id' is connected to an 'ID terminal' via a 'TTI' (Tag Terminal Interface). The 'ID terminal' contains a 'Network attachment' block with four components: 'Reader1' (r-id), 'Reader2' (r-id), 'Writer' (w-id), and 'Others' (o-id). This terminal connects to the 'NGN Scope' via a 'UNI' (User Network Interface). The 'NGN Scope' is a large dashed box containing two main strata: the 'Service stratum' (yellow) with 'Application support functions & service support functions' and 'Service control functions', and the 'Transport stratum' (green) with 'Transport control functions' and 'Transport functions'. The 'NGN Scope' connects to an 'ID terminal' on the right via an 'ANI' (Application Network Interface). A legend at the bottom left defines the identifiers: id (identifier), r-id (reader identifier), w-id (writer identifier), o-id (others' identifier), TTI (Tag Terminal Interface), UNI (User Network Interface), and ANI (Application Network Interface). The reference Y.2213(08)\_F01 is noted at the bottom right. + +**Figure 1 – Reference service architecture model** + +## 7 Service requirements of tag-based identification applications and services + +The following are high-level service requirements for tag-based identification applications and services. These requirements identify the required extensions to the set of NGN release 1 capabilities. Requirements in Appendix I do not impact NGN capabilities and they are provided for informative purposes in order to develop tag-based identification applications and services over the NGN environment. + +### 7.1 Multi-identifier interpretation requirements + +An identifier constituted by sub-identifier elements is required to be interpreted into sub-identifiers by its structure information. An ID terminal is required to contain the structure information of the supported identifiers. + +Tag-based identification applications and services have the following requirement to support multi-identifier interpretation: + +- identifier structure information may be provided to an ID terminal. + +### 7.2 Identifier resolution + +Tag-based identification applications and services have the following identifier resolution requirements: + +- 1) it is recommended to provide forward identifier resolution from an identifier to associated information; +- 2) support of a reverse identifier resolution from associated information to a corresponding identifier may be provided (see Note 1); + +NOTE 1 – The reverse identifier resolution provides a means to find a specific identifier of an object and its location in the physical world, from the associated information of the object. This is like searching for a book and its location in a library by using the library catalogue. + +- 3) it is recommended to support one-to-one association between an identifier and associated information; + +- 4) support of one-to-many associations between an identifier and associated information instances may be provided (see Note 2); + +NOTE 2 – The one-to-many associations enable different usages of an identifier among users of the identifier. For example, manufacturers may use identifiers for production planning and material/parts inventory control while retailers may use the same identifiers for store inventory management, out of stock alerts, anti-theft, etc., and consumers may use the same identifiers for product information retrieval. + +- 5) different associated information for an identifier may be resolved according to usage context of the identifier, for example, who/when/where/why, which is called context-dependent forward identifier resolution (see Note 3). + +NOTE 3 – Even though the same identifiers may be read by different users, each user is expecting different services and/or different information. Different services and different information are usually managed by different resources in different network locations. Therefore, the context-dependent forward identifier resolution is necessary to support this scenario. This forward identifier resolution will respond with different network addresses according to the context even though the same identifier is read. + +### **7.3 ID terminal and ID tag management** + +Tag-based identification applications and services have the following requirements for remote management of ID terminals and ID tags: + +- 1) it is recommended to manage ID terminals so as to read identifiers and relevant information from ID tags; +- 2) it is recommended to manage some types of ID tags' operation mode (e.g., active RFID tags may be booted up and/or put in sleeping mode remotely); +- 3) it is recommended to manage ID terminal and ID tag aspects such as: + - radio operations; + - networking operations; + - software update; + - time synchronization; + - device identifiers (e.g., r-id, w-id and o-id in Figure 1); + - identifier structure information; + - filtering rules update; and + - location registration and management; +- 4) when ID terminals and ID tags are managed locally, ID terminals and ID tags may report management information such as that related to the aspects listed above. + +### **7.4 Content distribution control** + +Tag-based identification applications and services have the following requirement for content distribution control: + +- it is recommended that facilities for control of information content distribution be supported (to accommodate possible commercial, regulatory and privacy requirements). + +### **7.5 Privacy management** + +Some of the NGN services may have privacy impact for the users. Privacy invasions caused by usage of identifiers, ID tags and ID terminals may be summarized as follows: association threats, location threats, and information leakage threats. As an example, RFID technology may facilitate access to information pertaining to the merchandise that individuals wear and/or carry, and may + +create an opportunity for abuse of this information such as tracking an individual's location or invading his/her privacy. + +Tag-based identification applications and services have the following requirements: + +- 1) it is recommended to meet the guidelines described in [b-OECD-Privacy-Protection]; +NOTE 1 – National situations may add other guidelines and obligations. +- 2) it is recommended to provide a privacy protection capability as specified in [ITU-T Y.2201]; +- 3) it is recommended to manage PII protection policies in consistency with the general approach for security in NGN [ITU-T Y.2701]; and +- 4) the security approach for support of tag-based identification applications and services is recommended to be consistent with the general approach for security in NGN [ITU-T Y.2701]. + +NOTE 2 – As the variety of NGN services is very wide, it is not possible to define good practices for all the possible situations. Furthermore, privacy impacts of a particular service may not be obvious. So, it is recommended to do a privacy impact assessment to identify privacy risks and take measures to mitigate them. + +### **7.6 Location-based services support** + +Tag-based identification applications and services have the following requirements: + +- 1) location information of ID terminal and/or ID tag is recommended to be registered (either statically or dynamically); +- 2) location information of ID terminal and/or ID tag may be provided if requested by tag-based applications and services. + +### **7.7 Service quality control** + +There are many tag-based identification applications and services for business and consumer purposes. Some of them can be combined and interworked via various business agreements and partnerships. Such tag-based identification applications and services may have different service quality requirements. + +Tag-based identification applications and services have the following requirement on service quality control: + +- it is recommended to provide different service qualities according to service quality requirements. + +### **7.8 Application transaction and traffic requirements** + +Tag-based identification applications and services place the following requirements on both NGN and application/service provider's resources: + +- 1) it is required to manage the transaction volume generated by tag-based identification applications and services; and +- 2) it is recommended to be able to avoid access concentration to single resources. + +## **8 NGN capabilities for tag-based identification applications and services** + +Tag-based identification applications and services use NGN release 1 capabilities but require some extended or new capabilities. The requirements given below are provided from a high-level perspective and are not intended to constitute precise functional requirements for NGN entities. + +### **8.1 Requirements for extensions or additions to NGN release 1 capabilities** + +Based on the high-level service requirements described in clause 7, this clause specifies requirements for extensions or additions to NGN release 1 capabilities. + +#### **8.1.1 Multi-identifier interpretation** + +Based on the service requirements in clause 7.1, the following requirements are required to support the multi-identifier interpretation: + +- 1) NGN is required to support the OID-based identification scheme specified by [ITU-T X.668] in order to distinguish identifier schemes unambiguously for tag-based identification applications and services; and +- 2) NGN may provide structure information of identifier schemes. + +#### **8.1.2 Identifier resolution** + +Based on the service requirements in clause 7.2, the following requirements are recommended to support identifier resolution capabilities of NGN: + +- 1) NGN is recommended to provide forward identifier resolution; +- 2) NGN may provide reverse identifier resolution; +- 3) NGN may provide identifier resolution of multiple associations between an identifier and multiple associated information instances; +- 4) NGN may provide context-dependent forward identifier resolution, depending on usage context of identifiers; +- 5) NGN identifier resolution is recommended to scale in order to handle increased demand for identifier resolutions; and +- 6) NGN identifier resolution is prohibited from being affected by a single point of failure. + +#### **8.1.3 Privacy management** + +Based on the service requirements in clause 7.5, tag-based identification applications and services place the following requirement on NGN: + +- NGN is recommended to adopt good privacy practices and provide a PII protection capability. + +This capability is recommended to be consistent with the general approach for security in NGN [ITU-T Y.2701]. + +#### **8.1.4 Content distribution control** + +Based on the service requirements in clause 7.4, tag-based identification applications and services place the following requirement on NGN for control of content distribution: + +- NGN is recommended to support capability for content distribution control. + +#### **8.1.5 Device management** + +Based on the service requirements in clause 7.3, following requirements are recommended to support remote device management of ID terminals and ID tags: + +- 1) NGN is recommended to support remote device management of ID terminal and ID tag aspects such as those listed in clause 7.3; and +- 2) NGN may receive updated management information of ID terminal and ID tag aspects such as those listed in clause 7.3. + +#### **8.1.6 Profile management** + +##### **8.1.6.1 User profile** + +Based on the service requirements in clause 7.5, tag-based identification applications and services may use NGN release 1 user profile management capability with some extensions of user profile attributes as follows: + +- NGN is recommended to support user profile management satisfying privacy management requirements. + +##### **8.1.6.2 Device profile** + +Based on the service requirements in clause 7.3, tag-based identification applications and services may use NGN release 1 device profile management capability with some extensions of device profile attributes as follows: + +- NGN is recommended to support device profile management enabling remote management of ID terminal and ID tag aspects such as those listed in clause 7.3. + +#### **8.1.7 Quality of service** + +The transaction and traffic-related requirements in clause 7.8 place these additional requirements on NGN QoS capabilities: + +- 1) NGN is required to support QoS capabilities to sustain the transaction volume caused by tag-based identification applications and services; and +- 2) NGN is recommended to support QoS capabilities to be able to avoid access concentration to single resources (e.g., identifier resolution). + +### **8.2 Requirements supported by existing NGN release 1 capabilities** + +Based on the high-level service requirements described in clause 7, this clause specifies requirements supported by existing NGN release 1 capabilities. + +#### **8.2.1 Service quality control** + +The service quality control requirement specified in clause 7.7 is supported by existing NGN release 1 QoS capabilities. + +#### **8.2.2 Location management** + +NGN release 1 provides location management capability which determines and reports information regarding the location of users and devices within NGN. + +The requirements in clause 7.6 are supported by existing NGN release 1 location management capability. + +# Appendix I + +## Non-NGN high-level service requirements + +(This appendix does not form an integral part of this Recommendation) + +This appendix describes high-level service requirements which enable new application/service provider functions and which will not affect the functional capabilities of the NGN. These requirements apply to tag-based identification applications and services. [b-ITU-T F.771] includes some service requirements from the point of view of multimedia information access. + +### I.1 General requirements for identifiers + +An identifier is a fundamental component of tag-based identification applications and services. Applications and services may be triggered by identifiers. Identifiers have the following requirements: + +- 1) identifiers are required to be unique, i.e., the identifier scheme is required to allow for uniqueness of identifiers; +- 2) identifiers may have a life time; +NOTE – The lifetime requirement depends on applications and services. +- 3) identifiers may be managed by an identifier lifecycle management capability; +- 4) identifiers may be validated. For example, life time or revocation of identifiers may require validation of the identifiers; +- 5) identifiers may be used for registration or authorization [b-ITU-T Y.2091]; +- 6) identifiers may be either "public to all networks", "shared between a limited number of networks", or "private to a specific network" [b-ITU-T Y.2091]; and +- 7) an identifier may be used by more than one application/service. + +### I.2 Requirements for identification of identifier schemes + +Identifiers may be assigned using different identifier schemes and the identifiers created are required to allow for unique identification of the scheme used to create the identifier. + +ID terminals of tag-based identification applications and services have the following requirement: + +- identifiers assigned by a certain identifier scheme are required to be distinguishable from identifiers assigned by other identifier schemes, because NGN may handle various identifier schemes. + +### I.3 Requirements related to application data encoding + +Identifier information may be encoded optionally with other application data like title, name, price, etc., into an ID tag. The following requirement allows for application data processing: + +- application data is required to be encoded in a standardized way on ID tags that are used by tag-based identification applications and services. + +For example, tag-based identification service providers can be retail shops, pubs, restaurants, taxi drivers associations, museums, galleries, movie production companies, and so on. They may want to provide enhanced and differentiated services to their consumers, which might require varying amounts of information to be captured as application data items, e.g., price, name, title, or location to be stored locally on the ID tag. To make this possible, application data needs to be stored in a standardized format (e.g., [b-ISO/IEC 15961] and [b-ISO/IEC 15962]). + +### **I.4 Requirements for identification service interworking** + +Various tag-based identification applications and services have already been deployed with their own service network and without cooperative relationships because an identifier has been implemented in various fashions (e.g., ID tag types such as 1D or 2D barcode, RFID tags, contact or contactless smart cards) and service networks have been established separately. The following requirements are intended to facilitate interworking among these service networks: + +- an interworking capability is recommended to be provided to allow interworking of different tag-based identification applications and services. + +Following example application cases are possible: + +- B2C tag-based identification applications and services can be combined with B2B into B2B2C application and service models. +- Bar code-triggered and RFID-triggered tag-based identification applications and services might be established independently but they may correspond to the same object. Integration requires interworking between these two tag-based identification applications and services. + +### **I.5 Requirements for location information management** + +Location-based application models need location information. In particular, they need location information with regard to a device. For example, applications may require ID terminal location information or ID tag location information, and will know who is to use this location information. + +With regard to use of location information, the ID terminal and ID tag locations can be usually assumed as being the same, because the user has to read ID tags usually within a few metres at a maximum. However, how to get the location information for the ID terminal and ID tag is different because: + +- 1) user location, that is an ID terminal location, can be provided with an accuracy to about 10 metres by using GPS-based solutions; to a few hundreds of metres by using cell information from cellular networks; and variable accuracy depending on access network technologies used, as specified in [ITU-T Y.2201]; and +- 2) ID tag location may be included in the ID tag itself, or retrieved from a service provider via an identifier. + +### **I.6 Requirements related to management of application mobility** + +Tag-based identification applications and services have the following management of application mobility requirement: + +- application mobility is recommended to be provided among different tag-based identification applications and services, because an ID tag might be moved among them with a requirement that their communication associations be retained. + +Application mobility means a communication association is handed over to other applications. A typical example is given for a transportation application. A sophisticated transportation system may charge for a single fare for the route from A to C via B where two transportation fare applications are associated from A to B and B to C. So, the association of a fare application between A and B has to be handed over to the other fare application between B and C in order to support the single fare association. + +### **I.7 Requirements related to traceability** + +Traceability relates to object traceability and usage traceability. The object traceability can be seen as syntactic tracking of an object so every read point during the life time of the object can be traced regardless of application-perspective usages. + +The usage traceability can be seen as semantic tracking of an object so how the object has been treated and what the object has been used for could be traced. + +Tag-based identification applications and services have the following traceability-related requirements: + +- it is recommended to provide the information on what ID terminals have read an ID tag for an object; and +- it is recommended to provide the information on what tag-based identification applications and services have read an ID tag for an object. + +### **I.8 Requirements related to identifier filtering** + +Tag-based identification applications and services have the following filtering requirements: + +- users, applications modules, middleware functions, or lower-layer read functions do not have to process unnecessary ID tags or identifier schemes. Proper filtering is recommended to be provided. + +## Appendix II + +## Classification of tag-based identification applications and services + +(This appendix does not form an integral part of this Recommendation) + +This appendix describes an application and service trend toward the social infrastructure, classification of relevant applications and services and some typical applications and service examples. It also describes how to identify tag-based identification applications and services that are covered by this Recommendation, by evaluating them with respect to the key elements identified in clause 6.1. + +### II.1 Overview of tag-based identification applications and services + +Tag-based identification applications and services have already been widely adopted as business applications since its innovation. Recently, B2B tag-based identification applications and services have rapidly evolved. + +![Diagram illustrating the development model of tag-based identification applications and services, showing the progression from Core region to Business region to Social infrastructure, with various applications and services categorized by Necessity, Convenience, and Safety.](5793a44ffdadd039928e2f9fe6daae06_img.jpg) + +The diagram illustrates the development model of tag-based identification applications and services, showing the progression from Core region to Business region to Social infrastructure. The model is divided into three main regions: Core region (red), Business region (blue), and Social infrastructure (green). A large green arrow points from the Core region towards the Social infrastructure, indicating the direction of development. + +**Core region (red):** This region is associated with the 'Necessity' category. It includes applications such as Manufacturing, Shipping, Inventory, Auto-check, Anti-theft, and Use by date management. A callout box provides an example: 'A certain company's case' showing 'Theft 1~3.5%' and 'Out of stock 10~11%', concluding that 'Tag-based identification prevents 100 million USD loss'. + +**Business region (blue):** This region is associated with the 'Convenience' category. It includes applications such as SCM, Advertisement comparison, Web site linkage, Electronic catalog, Multi-function remote controller, and Name card management. A callout box states: 'Tag-based identifications for the merchandise management are used for the other purposes of the specific users.' + +**Social infrastructure (green):** This region is associated with the 'Safety' category. It includes applications such as Recall alert, Automatic material search, Lost and found, Recycle enhancement, Environment management, and Baggage control. A callout box states: 'ID tags are attached to almost everything, then, services for general public are created. (e.g., services by municipal government)'. + +The diagram also shows a progression of applications from left to right: Manufacturing → Shipping → Inventory → Auto-check → Anti-theft → Use by date management → Advertisement comparison → Web site linkage → Electronic catalog → Multi-function remote controller → Name card management → Recall alert → Automatic material search → Lost and found → Recycle enhancement → Environment management → Baggage control. + +Y.2213(08)\_FII.1 + +Diagram illustrating the development model of tag-based identification applications and services, showing the progression from Core region to Business region to Social infrastructure, with various applications and services categorized by Necessity, Convenience, and Safety. + +**Figure II.1 – Tag-based identification application development toward social infrastructure** + +Figure II.1 shows a development model of tag-based identification applications and services from an application perspective. B2B applications are realized at first because they may be expected to justify the large investment of the initial implementations. An industrial entity (in many cases, the manufacturer of an object) starts the assignment of identifier to an object and the attachment of an ID tag to that object. For example, many entities are going to use the same identifier and ID tag for different purposes throughout the supply chain management (SCM). Manufacturers use these identifiers and ID tags for production control; transport companies for shipping control; wholesalers for inventory control; and retailers for inventory control; auto check-out; and anti-theft measures, respectively. This "core region" of tag-based identification applications adopted by a relevant industry is facilitated by the business necessity. + +Once ID tags for objects are widely adopted by industries and resolving functions from identifiers to services and relevant databases are commonly used, many new derivatives of the "core region" applications are created by third parties for B2C/B2B2C applications; these are identified as "Business Region" in Figure II.1. The same identifiers and ID tags applied by the industrial entities + +(i.e., manufacturers) are not only used for the primary industrial purposes (e.g., SCM), but also for the benefits of consumers (e.g., electronic information (instruction manual and/or catalogue) delivery of the product triggered by an identifier, home delivery management of the physical object, and so on). The convenience for consumers becomes the driving force for these new B2C/B2B2C applications. + +In the further adoption of tag-based identification applications, it works for the improvement of social benefit. For example, information on the hazardous material used in consumer products is easily obtained by knowledge of the identifiers, which promotes enhancement of recycling and reduction of the environmental burden by the proper disposal by consumers. Tag-based identification applications are also quite effective for recall alerts and collection of the recalled products. In addition, ID tag-equipped "smart medicine" enables automatic alarms, when any ill effects occur with simultaneous usage of two medicines. In this stage, tag-based identification applications are incorporated into the social infrastructure. + +Throughout the development to the wider usage of the tag-based identification applications and services in Figure II.1, interoperability among B2B and B2C/B2B2C tag-based identification applications and services is an essential issue and the same or interoperable technical standards are utilized by multiple entities for multiple purposes. + +### **II.2 Classification of tag-based identification applications and services** + +Tag-based identification applications and services can be classified according to two viewpoints: business relationships and usage types. + +From the business relationship viewpoint, tag-based identification applications and services can be classified into closed domain, B2B, B2C, B2B2C and C2C categories. + +From the usage type viewpoint, tag-based identification applications and services can be classified into reader-based and tag-based categories. The tag-based category does not apply to B2B applications. + +The reader-based type refers to the case where a user terminal is equipped with an identifier reader which is used to read an identifier from an ID tag. But the tag-based type refers to the case where a user terminal has an attached ID tag and other readers read an identifier from the terminal's ID tag. + +### **II.3 Examples of tag-based identification applications and services** + +The feature of identification has been used in a barcode form for a long time for business purposes in retail shops, logistics, automotive and aviation, pharmaceutical industries, inventory management, manufacturing and processing, supply chain management, transportation, etc. + +Such identification is used: + +- to identify products at retail shops; and +- to identify and route products, monitor delivery paths of products, exchange product-related information between business partners, and so on. + +The former type corresponds to a single enterprise scope without exchanging real-time business information between business partners. So, it can be just called a tag-based identification business application. Typical examples include: + +- inventory management; +- security and access control; +- agriculture; +- library; +- parking management. + +The latter type corresponds to a business relationship among multiple business partners. So, it can be called a B2B tag-based identification application because identification information is exchanged in a B2B manner. Typical examples include: + +- supply chain management; +- food chain management; +- manufacturing and processing; +- transport and logistics; +- pharmaceutical industry. + +Additionally identifier users may be human consumers. Information services and value-added services may be provided to consumers when the identifier information is processed. Such tag-based identification applications are called B2C tag-based identification applications. Examples of these include: + +- personal welfare and safety; +- sports and leisure; +- bus and subway route search; +- advertisement and detail information retrieval; +- on-line shopping; +- payment; +- drug safety; +- location-based information service. + +Additionally a business partnership may integrate B2B with B2C applications so that B2B2C business associations may be developed. Examples of B2B2C tag-based identification applications include: + +- food chain information service; +- home delivery service; +- product origin check. + +Moreover C2C applications are also possible. A typical example is the case where a cell phone user uses his cell phone, which contains both an ID terminal and an ID tag, to read an identifier and application data from other cell phones. For example, one of two movie tickets, which a man bought and of which associated data was stored in his cell phone, could be transferred to a cellular phone of his girl friend. In this example, a movie ticket transfer can be performed directly between two terminals without the use of any network communication. Additionally, a movie ticket exchanged and displayed on a receiver's screen can have embedded advertisement information content which was provided via a network operation. Resultant applications will depend on implementations. So, C2C interactions may also be involved in, and require network functions. + +Example scenarios of tag-based identification applications and services are described in Appendix III. + +### **II.4 Evaluation of tag-based identification applications and services** + +This clause provides examples of how to evaluate applications and services in the context of the key elements, so as to determine if they are covered by this Recommendation. + +**Table II.1 – Evaluation of tag-based identification applications and services** + +| Application or service | Evaluation in the context of the key elements | +|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +|

General telecommunication service in which an E.164 identifier for the called party is used.

|

Identifier: E.164

ID tag: Not applicable: the identifier is stored in human brain, a phone book, an electronic form, or otherwise.

ID terminal: Applicable: it is the telephone. The identifier is transmitted via manual key-in or dialing at the telephone.

Associated information: Applicable: an E.164 identifier can be mapped to a set of information resources via the ENUM technique so that an identifier resolution process may be followed.

Conclusion: [Invalid] As all of the three mandatory features are not present, it is not a tag-based service.

| +|

In the above service scenario an old father uses an identifier reader-equipped phone or terminal; an ID tag embedding an E.164 phone number for his son is affixed to a photograph for the son; he aims or touches his phone or ID terminal at/to the photograph; and then he gets an automated calling to his son.

|

Identifier: E.164

ID tag: Applicable: an ID tag containing the identifier is affixed to the photograph.

ID terminal: Applicable: it is the phone or the ID terminal. The identifier is transmitted via RF, camera, or other identifier reading techniques to the phone or terminal.

Associated information: Not applicable.

Conclusion: [Valid] As all of the three mandatory elements are present, it is a tag-based service.

| +|

Internet network equipment use the IP addressing scheme to identify a termination point of datagram routing, resulting in distinguishing an IP network node over the global Internet.

|

Identifier: IP address

ID tag: Not applicable: the identifier is stored at network equipment.

ID terminal: Not applicable: the identifier is transmitted on-line between network equipment, not between ID tag and ID terminal.

Associated information: Applicable: IP addresses can be mapped to domain names and DNS provides resolution of their mapping relationships.

Conclusion: [Invalid] As both an ID tag and an ID terminal are not involved, it is not a tag-based application.

| +|

TCP/IP applications use the IP and port addressing scheme to identify a transport end point.

|

Identifier: A pair of IP/port of source and destination nodes

ID tag: Not applicable: the identifiers are stored in running application programs in computer systems.

ID terminal: Not applicable: the identifiers are transmitted on-line between the application programs, not between ID tag and ID terminal.

Associated information: Not applicable.

Conclusion: [Invalid] As both an ID tag and an ID terminal are not involved, it is not a tag-based application.

| + +**Table II.1 – Evaluation of tag-based identification applications and services** + +| Application or service | Evaluation in the context of the key elements | +|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +|

Web browsers use cookie identifiers to identify a semantic association over TCP connections in networked computer systems.

|

Identifier: Cookie number

ID tag: Not applicable: the identifier is stored in running application programs in computer systems.

ID terminal: Not applicable: the identifier is transmitted on-line between the application programs, not between ID tag and ID terminal.

Associated information: Not applicable.

Conclusion: As both an ID tag and an ID terminal are not involved, it is not a tag-based application.

| +|

Book applications use ISBN (International Standard Book Number) to identify books.

|

Identifier: ISBN

ID tag: Applicable: the identifier is stored mostly at a cover page of book in a barcode form.

ID terminal: Applicable: the identifier is transmitted via an optical scanner, that is, ID terminal.

Associated information: Applicable: the identifier is related to an information resource. An identifier resolution between them is required via a query process with a database system or via a communication protocol with a remote directory service.

Conclusion: [Valid] As all of the mandatory elements are present, it is a tag-based application.

| +|

Many applications use URI (Uniform Resource Identifier) to identify a network resource with describing access protocol, transport point, access authority, network and file system location, and query and fragment information.

|

Identifier: URI: URI itself can be used as an identifier.

ID tag: Not applicable: the identifier is stored in running application programs in computer systems.

ID terminal: Not applicable: the identifier is transmitted on-line between the application programs.

Associated information: Not applicable: the identifier is self-descriptive by the URI specification.

Conclusion: [Invalid] As all of the mandatory elements are not present, it is not a tag-based application.

| +|

The government uses an identifier scheme to identify their people.

|

Identifier: Passport number, for example.

ID tag: Applicable: the identifier is stored on a cover page in the passport.

ID terminal: Applicable: the identifier is transmitted via an optical scanner

Associated information: Applicable: an identifier resolution is required via a query process with a database system or via a communication protocol with a remote directory service.

Conclusion: [Valid] As all of the mandatory elements and other optional elements as well are present, it is a tag-based application.

| + +**Table II.1 – Evaluation of tag-based identification applications and services** + +| Application or service | Evaluation in the context of the key elements | +|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Every network node uses a MAC address to identify network nodes within a LAN scope. | Identifier: MAC address
ID tag: Not applicable: the identifier is stored in node systems.
ID terminal: Not applicable: the identifier is transmitted on-line between the node systems.
Associated information: Not applicable.
Conclusion: [Invalid] As all of the mandatory elements are not present, it is not a tag-based application. | +| NOTE – "[Valid]" means the application or service is considered as a tag-based identification application or service by the evaluation result, and "[Invalid]" means the opposite case. | | + +## Appendix III + +## Example scenarios of tag-based identification applications and services + +(This appendix does not form an integral part of this Recommendation) + +### III.1 Closed-domain tag-based identification applications and services + +The following tag-based identification applications operate within an enterprise scope which is not limited geographically. So they can work in a closed domain of a nation-wide or global enterprise network. The enterprise scope means identification operations are not associated with outer parties as shown in Figure III.1. + +A company installs multiple ID terminals within its factory. A proprietary inventory management system within a small work domain, for example, a library, can use this network configuration. + +![Figure III.1: Small scale enterprise-scope configuration. The diagram shows an ID tag on the left emitting radio waves towards two ID terminals. These terminals are connected to a central cloud labeled 'Local network'. This network is then connected to a computer system consisting of a monitor, keyboard, and mouse, which is also linked to a 'Local DB' (database) represented by a cylinder icon. The label 'Y.2213(08)_FIII.1' is located at the bottom right of the diagram.](705ee99c3c44fd2a1ea6a3348ce8878f_img.jpg) + +Figure III.1: Small scale enterprise-scope configuration. The diagram shows an ID tag on the left emitting radio waves towards two ID terminals. These terminals are connected to a central cloud labeled 'Local network'. This network is then connected to a computer system consisting of a monitor, keyboard, and mouse, which is also linked to a 'Local DB' (database) represented by a cylinder icon. The label 'Y.2213(08)\_FIII.1' is located at the bottom right of the diagram. + +**Figure III.1 – Small scale enterprise-scope configuration** + +An enterprise network can be expanded nationwide in a closed domain as shown in Figure III.2. + +![Figure III.2: Large scale enterprise-scope configuration. The diagram shows an ID tag on the left emitting radio waves towards two ID terminals. These terminals are connected to a central cloud labeled 'Local/Global network'. This network is connected to two computer systems, each with a monitor and keyboard. Each computer system is linked to a 'Middleware' block, represented by a grey arrow pointing right. These middleware blocks are then connected to a large vertical purple box labeled 'Enterprise system'. Inside this box are several stacked light blue boxes representing different system components: 'Transport Mgmt', 'Warehouse Mgmt', 'Order Mgmt', 'Visibility system', 'Production scheduling', 'POS', 'Shelf inventories', and 'Enterprise system' at the bottom. The label 'Y.2213(08)_FIII.2' is located at the bottom right of the diagram.](9ee1a10ae91d4878e24b2e7dbaa95c2e_img.jpg) + +Figure III.2: Large scale enterprise-scope configuration. The diagram shows an ID tag on the left emitting radio waves towards two ID terminals. These terminals are connected to a central cloud labeled 'Local/Global network'. This network is connected to two computer systems, each with a monitor and keyboard. Each computer system is linked to a 'Middleware' block, represented by a grey arrow pointing right. These middleware blocks are then connected to a large vertical purple box labeled 'Enterprise system'. Inside this box are several stacked light blue boxes representing different system components: 'Transport Mgmt', 'Warehouse Mgmt', 'Order Mgmt', 'Visibility system', 'Production scheduling', 'POS', 'Shelf inventories', and 'Enterprise system' at the bottom. The label 'Y.2213(08)\_FIII.2' is located at the bottom right of the diagram. + +**Figure III.2 – Large scale enterprise-scope configuration** + +#### III.1.1 Inventory management + +A simple inventory management system is installed in a warehouse stocked with materials for manufacturing or products for sale. ID tags can be attached to item-level end products, packaged boxes, transport packages, and freight containers. Such managed objects have a transport route made by conveyer belts, transport robots, forklifts, etc. ID terminals are installed at control and monitoring points in transport routes and read identifiers from managed objects. This system allows + +every incoming and outgoing object to be tracked automatically and shortages of materials can be prevented. + +Usually such inventory management does not operate solely within the warehouse but typically interworks with other business application systems such as procurement, sales, manufacturing, transportation, etc., as shown in Figure III.2. Using these applications, a manufacturer can enjoy better performance of its business operations. + +#### III.1.2 Parking management + +A parking lot may adopt a tag-based parking management for parking fee, parking permit, etc. ID tags are attached to cars and an ID terminal at a gate reads identifier information from ID tags. Then the cars can be identified and parking fees can be calculated according to parking times. Entrance control also is possible with the tag-based parking management application. + +A parking business company may have to handle multiple parking lots distributed in a city or nation where network functions will be needed. + +### III.2 B2B tag-based identification applications and services + +Most existing tag-based identification applications and services correspond to the B2B type and have used identification information in a barcode form. But RF-based identification, called RFID, has been evolved dramatically with low cost solutions and is being adopted for various business applications. + +A typical B2B network configuration can be depicted as shown in Figure III.3. In this case, the large scale enterprise-scope configuration is expanded to other business partners that may have their own distributed work forces. Thus, multiple networked enterprise networks are combined and then a globally networked B2B business partnership is made where identifiers are required to be globally unique. + +![Figure III.3 – Globally networked B2B configuration model. The diagram illustrates a globally networked B2B configuration model. It features two identical local network clusters on either side, each containing 'Local network' clouds, 'ID application systems' (represented by server and laptop icons), and wireless communication symbols. These local networks are connected to a central 'NGN' (Next Generation Network) cloud. Above the NGN cloud is an 'ID resolution system' icon. The diagram is labeled 'Y.2213(08)_FIII.3' at the bottom center.](f2ea0f64a770b22b902820457d262265_img.jpg) + +Y.2213(08)\_FIII.3 + +Figure III.3 – Globally networked B2B configuration model. The diagram illustrates a globally networked B2B configuration model. It features two identical local network clusters on either side, each containing 'Local network' clouds, 'ID application systems' (represented by server and laptop icons), and wireless communication symbols. These local networks are connected to a central 'NGN' (Next Generation Network) cloud. Above the NGN cloud is an 'ID resolution system' icon. The diagram is labeled 'Y.2213(08)\_FIII.3' at the bottom center. + +**Figure III.3 – Globally networked B2B configuration model** + +#### III.2.1 Supply chain management + +The supply chain management has a huge business flow with various business partners. So, application scenarios could be realized in a variety of implementation cases. The following chain is a simple case. + +A company manufactures home appliances to which ID tags are attached and transports them to its warehouse in which inventory management is performed. A wholesale company orders a set of appliance goods. The manufacturer transports them from its warehouse to a warehouse of the wholesale company and then sends the wholesale company a message containing the following: the shipment notice, identifiers for the shipped appliances (read by ID terminals at the warehouse gate of the manufacturer), the volume shipped, the driver's information, etc. Such transportation is usually provided by a transport business company between the manufacturer and the wholesale company. At an entrance gate of the warehouse of the wholesale company, ID terminals read ID + +tags from the appliance goods off loaded from a freight container and an SCM application of the wholesale company gathers all identifiers and analyses them to determine whether all the goods have arrived or not. Then the wholesale company responds with a reception notice to the transport company and the manufacturer. + +In this scenario, identification information is exchanged between the manufacturer and transporter, the transporter and wholesaler, and the manufacturer and wholesaler in a mesh relationship. The more business partners involved, the more such chained relationships are created. + +#### III.2.2 Manufacturing and production management + +A manufacturer needs various materials to make goods at a factory and the materials are usually supplied by business partners. ID tags are affixed to materials and boxes of packaged materials in a transport unit. A supplier's ID terminals read identifiers from the materials and boxes at the originating shipping location. The supplier sends the identifiers to the manufacturer and the manufacturer receives them. ID terminals of the manufacturer read identifiers from the materials and/or transport boxes off loaded from a freight container and the manufacturer analyses the identifiers to determine whether all items were received or not. Received materials will go into a warehouse and sometime later will go out to manufacturing lines consisting of a set of conveyer belts. Materials should be routed to a proper conveyer belt. ID terminals at routing points read identifiers from the materials and provide appropriate signals to routing devices. + +### III.3 B2C tag-based identification applications and services + +Figure III.4 shows a B2C network configuration model. Consumer terminals are connected to the service provider network which maintains and provides information contents to consumers. The information contents may be made by the service provider or content providers which are established into a logically single business domain. So the B2C model is realized as shown in Figure III.4. + +![Figure III.4 – Globally networked B2C configuration model. The diagram illustrates a network architecture where consumer terminals (represented by a mobile phone and a laptop) connect to a Service provider cloud. The Service provider cloud contains an ID resolution system and WAP/Web servers. This Service provider cloud is connected to a central NGN (Next Generation Network) cloud, which also contains an ID resolution system. The NGN cloud is then connected to a Content providers cloud, which contains WAP/Web servers. Arrows indicate the flow of data and connectivity between these components.](6470d350326789d5306eabcb76533951_img.jpg) + +Figure III.4 – Globally networked B2C configuration model. The diagram illustrates a network architecture where consumer terminals (represented by a mobile phone and a laptop) connect to a Service provider cloud. The Service provider cloud contains an ID resolution system and WAP/Web servers. This Service provider cloud is connected to a central NGN (Next Generation Network) cloud, which also contains an ID resolution system. The NGN cloud is then connected to a Content providers cloud, which contains WAP/Web servers. Arrows indicate the flow of data and connectivity between these components. + +**Figure III.4 – Globally networked B2C configuration model** + +In the B2C model, an ID terminal may be equipped additionally with an ID tag with which different types of tag-based identification applications and services can be provided as in clause III.3.3. User property is dynamic for consumer applications because service targets are human end users, but it is static for business applications because service targets are business logics of the business applications. Such different user properties produce different service characteristics as follows: + +- Within a B2B environment, application information is exchanged between application systems in standardized procedures, methods, presentation styles, data structures and formats, etc., which keep used for a long time. Then an automated work process can be provided. Such service property requires a formatted data syntax which should not be changed frequently. +- Within a B2C environment, information is exchanged between business application and human. Since human users are arbitrary and may have different feelings and requirements, + +an agreement on service procedures, methods, presentation styles, data structures and formats, etc., is almost impossible. So a service provider chooses a way to adapt them and provides resulting contents to end users. The contents, however, might be changed frequently by trend, culture, events, accidents, news, etc. + +#### III.3.1 Bus and subway route search + +A bus passenger reads ID tags attached to bus stop signs, gets aware of his location from the tags, inserts his destination at an input interface, and then acquires the optimum route via subways and/or buses to the destination. If he is at an inappropriate location to take a bus or subway, he gets directions on how to go to the proper location as well as the optimum route. + +#### III.3.2 Mobile shopping + +A consumer looks around a shopping mall to buy something. His cell phone equipped with an ID terminal reads ID tags attached to a shelf or items for buying and presses "order" using a shopping application user interface. In the end, he pays for chosen items as in on-line shopping. The mall packs and delivers the ordered items to his pre-registered postal address. + +#### III.3.3 Tag-based payment + +This application is a use case of payment based on ID tag, ID terminal and identifier. + +When a passenger gets on a bus, he places his ID tag-attached terminal near a bus fare device and pays for the bus fare. The fare system may be connected to the network or work in the batch mode for further work flow processing. A detail payment process depends on implementations but an identifier of the passenger is transmitted to the fare device all the time. + +### III.4 B2B2C tag-based identification applications and services + +This type of applications is a combined case between B2B and B2C applications as shown in Figure III.5. A B2B domain in the right side of Figure III.5 is connected to the B2C domain in the left side. Information resources made by the B2B domain are transmitted to the B2C domain by which they may be processed and/or upgraded for an enhanced service and then provided to consumers. The broker/gateway could be inserted into the B2C domain for intermediary proxy services such as identifier resolution, media transformation, content translation, filtering, etc. + +![Figure III.5 – Globally networked B2B2C configuration model. The diagram illustrates a globally networked B2B2C configuration model. On the left, a 'Service provider' cloud contains 'WAP/Web servers' and a 'Broker/Gateway'. A mobile phone is shown communicating with the service provider. In the center is the 'NGN' (Next-Generation Network) cloud, which contains an 'ID resolution system'. On the right, a 'Local network' cloud contains 'ID application systems' and is connected to the NGN. Arrows indicate data flow: from the service provider to the NGN, from the NGN to the local network, and from the local network back to the NGN. A small label 'Y.2213(08)_FIII.5' is located below the NGN cloud.](f64e1e0997695248c0cd4122c5b1a170_img.jpg) + +Y.2213(08)\_FIII.5 + +Figure III.5 – Globally networked B2B2C configuration model. The diagram illustrates a globally networked B2B2C configuration model. On the left, a 'Service provider' cloud contains 'WAP/Web servers' and a 'Broker/Gateway'. A mobile phone is shown communicating with the service provider. In the center is the 'NGN' (Next-Generation Network) cloud, which contains an 'ID resolution system'. On the right, a 'Local network' cloud contains 'ID application systems' and is connected to the NGN. Arrows indicate data flow: from the service provider to the NGN, from the NGN to the local network, and from the local network back to the NGN. A small label 'Y.2213(08)\_FIII.5' is located below the NGN cloud. + +**Figure III.5 – Globally networked B2B2C configuration model** + +#### III.4.1 Food chain information service + +In case of vegetable goods, a tag-based distribution application scenario involving vegetable farms to wholesale markets or vegetable stores is very similar to the previous B2B cases. As before, business-oriented information including identifiers read from ID tags is exchanged between and used by business partners. + +In B2B2C models, a single business corporation can care for both B2B and B2C applications or another business company provides B2C services by inter-operation with B2B applications by a business partnership contract. + +At a vegetable store, a consumer browses vegetables to find better quality goods and his cell phone equipped with an ID terminal reads an identifier from a chosen vegetable to check the place of origin, harvest date, quality certification, etc. Then he can decide to buy better vegetables with such information which is prepared by a contracted business operation between B2B and B2C domains. + +#### **III.4.2 Home delivery service** + +This is a kind of postal service. A consumer asks a post office to send a postal package to someone. The office affixes an ID tag for delivery control in various transportation networks where many transportation agents may be involved with reading and using identifiers for routing decisions for proper delivery. That is, identification information is used in a B2B domain. + +The sender reads an identifier from a receipt issued by the post office and checks delivery status for the postal package. A post man delivers the package to a receiver and his information terminal equipped with an ID terminal reads the identifier from the delivered package and sends a delivery confirmation message to the sender. + +### **III.5 C2C tag-based identification applications and services** + +#### **III.5.1 Business card exchange** + +The consumer-to-consumer relationship can be realized by an intervention of business domains or a direct connection between consumers. It depends on implementations. + +A user terminal may have ID terminal as well as ID tag. That is, it works sometimes as a terminal and sometimes as a tag. When a user meets someone for the first time, he aims his terminal at or touches it to the other person's terminal to read identification information consisting of identifier, name, contact address, etc. Using this process business card information can be exchanged. + +## Bibliography + +- [b-ITU-T F.771] Recommendation ITU-T F.771 (2008), *Service description and requirements for multimedia information access triggered by tag-based identification*. +- [b-ITU-T M.3050.1] Recommendation ITU-T M.3050.1 (2004), *Enhanced Telecom Operations Map – The business process framework*. +- [b-ITU-T X.501] Recommendation ITU-T X.501 (2005) | ISO/IEC 9594-2:2005, *Information technology – Open Systems Interconnection – The Directory: Models*. +- [b-ITU-T Y.Sup1] ITU-T Y-series Recommendations – Supplement 1 (2006), *ITU-T Y.2000 series – Supplement on NGN release 1 scope*. +- [b-ITU-T Y.2012] Recommendation ITU-T Y.2012 (2006), *Functional requirements and architecture of the NGN release 1*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2007), *Terms and definitions for Next Generation Networks*. +- [b-ITU-T Z.100] Recommendation ITU-T Z.100 (2002), *Specification and Description Language (SDL)*. +- [b-ISO/IEC 15961] ISO/IEC 15961 (2004), *Information technology – Radio frequency identification (RFID) for item management – Data protocol: application interface*. +<[http://www.iso.org/iso/iso\\_catalogue/catalogue\\_tc/catalogue\\_detail.htm?csnumber=30528](http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=30528)> +- [b-ISO/IEC 15962] ISO/IEC 15962 (2004), *Information technology – Radio frequency identification (RFID) for item management – Data protocol: data encoding rules and logical memory functions*. +<[http://www.iso.org/iso/iso\\_catalogue/catalogue\\_tc/catalogue\\_detail.htm?csnumber=30529](http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=30529)> +- [b-OECD-Privacy-Protection] OECD (1980), *OECD Guidelines on the Protection of Privacy and Transborder Flows of Personal Data*. +([http://www.oecd.org/document/18/0,2340,en\\_2649\\_34255\\_1815186\\_1\\_1\\_1\\_1,00.html](http://www.oecd.org/document/18/0,2340,en_2649_34255_1815186_1_1_1_1,00.html)) + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of 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+SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Service aspects: Service +capabilities and service architecture + +# --- **NGN capability requirements to support the multimedia communication centre service** + +Recommendation ITU-T Y.2216 + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +| | | +|-----------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Future networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **Recommendation ITU-T Y.2216** + +# **NGN capability requirements to support the multimedia communication centre service** + +## **Summary** + +The objective of Recommendation ITU-T Y.2216 is to identify and describe the service requirements of the multimedia communication centre (MCC) service and related extended or new NGN capability requirements. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2216 | 2010-03-16 | 13 | + +## **Keywords** + +Capability requirements, MCC service, NGN. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2010 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|----------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Terms defined elsewhere ..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Conventions ..... | 3 | +| 6 Description of the MCC service ..... | 3 | +| 7 Service requirements ..... | 5 | +| 7.1 Communication requests queuing ..... | 5 | +| 7.2 Communication control operations for MCC agents..... | 5 | +| 7.3 Management operations for supervisors..... | 6 | +| 7.4 Charging ..... | 7 | +| 7.5 Quality of service ..... | 7 | +| 7.6 MCC agent management ..... | 7 | +| 7.7 Video sharing between MCC agents and customers ..... | 7 | +| 7.8 Video conferencing ..... | 7 | +| 7.9 Web and application collaboration..... | 8 | +| 7.10 User context information ..... | 8 | +| 7.11 Communication congestion handling ..... | 8 | +| 8 NGN capability requirements ..... | 9 | +| 8.1 MCC application support ..... | 9 | +| 8.2 MCC media resource management ..... | 11 | +| 8.3 MCC communication control ..... | 12 | +| 8.4 MCC codec support..... | 13 | +| 8.5 MCC quality of service management..... | 13 | +| 9 Security considerations ..... | 13 | + + + +# Recommendation ITU-T Y.2216 + +# NGN capability requirements to support the multimedia communication centre service + +# 1 Scope + +The objective of this Recommendation is to identify and describe the service requirements of the multimedia communication centre (MCC) service and related extended or new NGN capability requirements. + +The scope of this Recommendation includes: + +- description of the MCC service; +- service requirements of the MCC service; +- NGN capability requirements to support the MCC service. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +| | | +|-------------------------|----------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T G.711] | Recommendation ITU-T G.711 (1988), Pulse code modulation (PCM) of voice frequencies. | +| [ITU-T G.722.2] | Recommendation ITU-T G.722.2 (2003), Wideband coding of speech at around 16 kbit/s using Adaptive Multi-Rate Wideband (AMR-WB). | +| [ITU-T G.723.1] | Recommendation ITU-T G.723.1 (2006), Dual rate speech coder for multimedia communications transmitting at 5.3 and 6.3 kbit/s. | +| [ITU-T G.729 – Annex A] | Recommendation ITU-T G.729 – Annex A (2006), Reduced complexity 8 kbit/s CS-ACELP speech codec. | +| [ITU-T H.263] | Recommendation ITU-T H.263 (2005), Video coding for low bit rate communication. | +| [ITU-T H.264] | Recommendation ITU-T H.264 (2005), Advanced video coding for generic audiovisual services. | +| [ITU-T M.3050.1] | Recommendation ITU-T M.3050.1 (2007), Enhanced Telecom Operations Map (eTOM) – The business process framework. | +| [ITU-T Y.2012] | Recommendation ITU-T Y.2012 (2006), Functional requirements and architecture of the NGN release 1. | +| [ITU-T Y.2201] | Recommendation ITU-T Y.2201 (2009), Requirements and capabilities for ITU-T NGN. | + +| | | +|-----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.2233] | Recommendation ITU-T Y.2233 (2008), Requirements and framework allowing accounting and charging capabilities in NGN . | +| [ITU-T Y.2701] | Recommendation ITU-T Y.2701 (2007), Security requirements for NGN release 1 . | +| [ITU-T Y.2702] | Recommendation ITU-T Y.2702 (2008), Authentication and authorization requirements for NGN release 1 . | +| [ATIS.3GPP.26.071V600-2006] | 3GPP TS 26.071 V6.0.0 (2004), Mandatory speech CODEC speech processing functions; AMR speech CODEC; General description . | +| [GB/T20090.2] | GB/T20090.2-2006 (2006), Information Technology – Advanced Coding of Audio and Video Part 2: Video . | +| [ISO/IEC 14496-2] | ISO/IEC 14496-2:2004, Information Technology – Coding of audio-visual objects – Part 2: Visual . | +| [TIA-127-C] | TIA-127-C (2007), Enhanced Variable Rate Codec, Speech Service Options 3, 68, and 70 for Wideband Spread Spectrum Digital Systems . | + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 customer** [ITU-T M.3050.1]: The customer buys products and services from the enterprise or receives free offers or services. A customer may be a person or a business. + +NOTE – In MCC service, the customers can experience advanced customer services offered by enterprises communicating through the NGN. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 enterprise:** The enterprise is responsible for delivering products and services to the customer. + +NOTE – In MCC service, by using the multimedia communication centre capabilities provided by NGN, each enterprise can provide its own advanced customer services, like business consultation, sales promotion, etc. + +**3.2.2 MCC agent:** An MCC agent is a NGN end-user who acts as an enterprise's agent in the MCC service. The MCC agent uses an NGN terminal to communicate with customers and perform communication control operations, such as holding or transferring communications, etc. + +**3.2.3 MCC applications:** MCC applications are a set of applications provided and deployed by an enterprise in order to support its MCC service offer to its customers. + +NOTE – The MCC applications organize and manage the mechanisms set and controlled by each enterprise in the MCC service. For example, the mechanisms can allow policy control of communication requests queuing, and management of media resources, etc. MCC applications interact with NGN entities to provide MCC service to customers. + +**3.2.4 MCC service:** A service that enables customers to have multimedia communications through the NGN with enterprises by multiple means and that provides advanced features for the customer-enterprise interaction. + +NOTE – The multiple means can be multimedia conversational communications, web and application collaboration, content pushing and sharing, etc. Advanced features include enhanced communication control, communication queuing, etc. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations: + +| | | +|--------|--------------------------------------| +| AMR | Adaptive Multi-Rate | +| AMR-WB | Adaptive Multi-Rate Wideband | +| ANI | Application Network Interface | +| ASR | Automatic Speech Recognition | +| AVS | Audio Video coding Standard | +| DTMF | Dual Tone Multi-Frequency | +| EVRC | Enhanced Variable Rate Codec | +| IM | Instant Message | +| IVR | Interactive Voice Response | +| IVVR | Interactive Voice and Video Response | +| MCC | Multimedia Communication Centre | +| MPEG-4 | Moving Picture Experts Group 4 | +| NAPT | Network Address Port Translation | +| NAT | Network Address Translation | +| NGN | Next Generation Network | +| NNI | Network-Network Interface | +| QoS | Quality of Service | +| TTS | Text to Speech | +| UNI | User to Network Interface | + +## **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the Recommendation. + +## **6 Description of the MCC service** + +The MCC service provides customers with a way to access information services or customer services of an enterprise. Through the MCC service, all communication requests to one enterprise + +can be centralized and managed efficiently so that enhanced customer services can be provided. Customers can communicate with the enterprise's MCC agents and/or interactive voice response/interactive voice and video response (IVR/IVVR) system using multiple media. The MCC service also allows enterprises to provide product support or manage information inquiries from customers, as well as to make telemarketing, sales, etc. via outgoing communications. + +Figure 1 shows an overview of the MCC service and the relationship between the various roles in the MCC service. These roles include enterprises, MCC agents, MCC applications, the NGN provider, and customers. + +In particular, in Figure 1: + +- the "partnership relationship" between enterprises and the NGN provider means that enterprises use the multimedia communication centre capabilities offered by the NGN provider; +- the "business relationship" between enterprises and customers means that enterprises provide the customer service through the MCC service, e.g., enterprises do marketing and interact with customers, and customers get product information from the enterprises; +- the "network-end user relationship" between the NGN provider and customers means that customers are the end users of the NGN. + +![Figure 1 – MCC service overview diagram. A large light-green oval contains three main components: 'Enterprises' at the top, 'NGN provider' at the bottom-left, and 'Customers' at the bottom-right. The 'Enterprises' box contains two sub-boxes: 'MCC agents' (purple) and 'MCC applications' (orange). Three orange curved arrows connect these components in a cycle: one from 'Enterprises' to 'NGN provider' labeled 'Partnership relationship', one from 'Enterprises' to 'Customers' labeled 'Business relationship', and one from 'NGN provider' to 'Customers' labeled 'Network-end user relationship'. The text 'MCC service' is centered within the oval.](daa4a6fa7e2ba1954258f86b4928eb32_img.jpg) + +Figure 1 – MCC service overview diagram. A large light-green oval contains three main components: 'Enterprises' at the top, 'NGN provider' at the bottom-left, and 'Customers' at the bottom-right. The 'Enterprises' box contains two sub-boxes: 'MCC agents' (purple) and 'MCC applications' (orange). Three orange curved arrows connect these components in a cycle: one from 'Enterprises' to 'NGN provider' labeled 'Partnership relationship', one from 'Enterprises' to 'Customers' labeled 'Business relationship', and one from 'NGN provider' to 'Customers' labeled 'Network-end user relationship'. The text 'MCC service' is centered within the oval. + +**Figure 1 – MCC service overview** + +In summary, the MCC service is provided to customers through the support of an NGN provider, enterprise MCC agents and enterprise MCC applications. + +Some features and examples of MCC service operations are given below: + +Each enterprise deploys a number of MCC agents. In case none of the MCC agents is available to answer to a communication request, the MCC service supports the communication request waiting + +in queuing lines. Different types of communication requests are queued in different queuing lines associated to different groups of agents. For example, a customer's communication request for product purchase is queued in the queuing line associated to the group of MCC agents in charge of product sales. Each enterprise may have several groups of MCC agents in charge of different types of communication requests from customers. + +MCC agents may be managed by supervisors. Through their monitoring terminals, the supervisors can monitor the communications between the MCC agents and the customers. The supervisors can also perform some other management operations, such as recording the communications between the MCC agents and the customers, intercepting the communications being handled by MCC agents, and taking over the communications. + +The communications can also involve customers and IVR/IVVR equipment. When a customer initiates a communication, a series of interactive responses are automatically provided to him/her. The responses can use audio, video, picture or other types of media. After the customer presses specific keys on his/her terminal, the media stops playing and the process moves into the next step set up by the enterprise, such as routing the communication to the corresponding MCC agent. The interactive process can also be simplified by using automatic speech recognition (ASR). Some advanced specialized resources, such as text to speech (TTS), voice recordings, etc., can be also provided for an enhanced customer experience. + +## **7 Service requirements** + +### **7.1 Communication requests queuing** + +In the MCC service, queuing of the communication requests is needed. For example, when ten customers are communicating simultaneously with an enterprise that has only five MCC agents, five of the customers have to wait in the queuing line. As soon as any MCC agent is free, the first request in the queuing line will be distributed to the MCC agent. + +An enterprise can have several queuing lines. The queuing lines are associated with different groups of MCC agents. For example, communication requests for the purchase of products will be queued up in the queuing line that is associated to the group of MCC agents in charge of product sales. + +Queuing lines are organized according to different policies, such as the first-come-first-served customer priority. Due to the different requirements of enterprises, policies have to be able to be different from one enterprise to another, i.e., each enterprise can configure and manage its own queuing line policies. + +The MCC service has the following requirements: + +- 1) It is required to queue up the incoming communication requests according to the different policies. +- 2) It is required to provide capabilities for enterprise access to configuration and management of its queuing lines and associated policies. +- 3) It is required to distribute the communication requests to the proper MCC agents. + +### **7.2 Communication control operations for MCC agents** + +An MCC agent can perform some communication control operations after a communication has been set up, like holding the communication, transferring the communication, parking the communication, disconnecting the communication and consulting the communication. It can also push multi-media content to the customers, such as voice, video, text, etc. + +NOTE 1 – Parking a communication means that the MCC agent puts the communication on hold. This MCC agent is then no longer associated with this communication, which can be retrieved by other MCC agents. + +NOTE 2 – Consulting a communication means that the MCC agent puts the communication on hold and, launches another communication with another MCC agent or IVR/IVVR or any other NGN end-user. Then the customer cannot hear/see the communication between the MCC agent and the new "consulted" party. + +The MCC service has the following requirements: + +- 1) It is required to provide MCC agents with the capability to disconnect, hold, park and transfer an established communication. +- 2) It is required to provide MCC agents with the capability to perform consultation operations. An MCC agent may perform the following types of consultation operations: + - communicate with another MCC agent; + - communicate with an IVR/IVVR system; + - communicate with any other NGN end user. +- 3) It is required to provide MCC agents with the capability to transfer the communication to multiple types of destinations, including: another MCC agent, the IVR/IVVR, the queuing lines and any end users in the NGN. +- 4) It is required to provide MCC agents with the capability to push multi-media content to customers. +- 5) It is required to support multiple simultaneous active sessions between a customer and an MCC agent. After a session has been established between a customer and an MCC agent, another session can be launched by the customer or the MCC agent according to the communication requirements. While establishing this latter session, special resources may be applied according to the communication requirements. + +### **7.3 Management operations for supervisors** + +The MCC agents' activities, including the communications with customers, are under the management of supervisors. Supervisors can record, monitor, join and intercept communications. + +In the MCC service, two monitoring patterns may be supported: the conferencing monitoring pattern and the direct monitoring pattern, as described below. + +- *Conferencing monitoring pattern* + +When the monitoring request is received, a conference among the supervisor, the monitored MCC agent and the customer is created and the supervisor can hear/see the communication between the monitored MCC agent and the customer. +- *Direct monitoring pattern* + +When the monitoring request is received, the monitored MCC agent's terminal initiates the monitoring function, then the terminal sends the communication between the monitored MCC agent and the customer to the supervisor's terminal in real-time fashion, and the supervisor experiences the received communication. + +The MCC service has the following requirements: + +- 1) It is required to support recording the voice/video of the communication between an MCC agent and a customer. +- 2) It is required to support supervisors to monitor, join and intercept the ongoing communication handled by other MCC agents. +- 3) It is recommended to support coaching for MCC agents. When an MCC agent is communicating with a customer, a supervisor can hear/see the communication between the MCC agent and the customer and at the same time the supervisor has a separate communication channel with the MCC agent to support the MCC agent. The customer cannot have access to the communication between the supervisor and the MCC agent. + +### **7.4 Charging** + +Enterprises have to be charged by the NGN provider for using NGN resources. There are several policies to charge enterprises, including according to the number of the enterprise's MCC agents, according to the number of the enterprise's incoming/outgoing communications and according to the number of times the enterprise's advertisements are played. + +The MCC service has the following requirement: + +- 1) It is required to support multiple charging policies for enterprises. + +NOTE – This requirement is supported by the capabilities defined in [ITU-T Y.2233]. + +### **7.5 Quality of service** + +The quality of service (QoS) of the MCC service needs to be carefully managed. Usually, the MCC service is used by enterprises to provide product support and respond to information inquiries from consumers. If the MCC service is not supported with sufficient QoS, then the business of the enterprises may be impacted. + +The MCC service has the following requirement: + +- 1) It is recommended to provide multiple QoS levels of MCC service to enterprises. + +NOTE – Resource allocation for each enterprise depends on the QoS level assigned to the enterprise. + +### **7.6 MCC agent management** + +The MCC agents of an enterprise are often divided into several groups according to the different services provided by the MCC agents. Thus, an enterprise can have several groups of MCC agents. MCC agents are managed through their attributes, e.g., the information on the group of MCC agents, etc. + +The MCC service has the following requirement: + +- 1) It is required to support MCC agent management. + +### **7.7 Video sharing between MCC agents and customers** + +Video sharing allows one or more MCC agents and one or more customers to watch a video clip at the same time. For example, during a voice communication between an MCC agent and a customer, if the customer/agent cannot communicate appropriately with the other side, he/she can use video sharing to play a video clip to the other side. After sharing the video, they can continue talking. + +The MCC service has the following requirement: + +- 1) It is required to support video sharing among one or more MCC agents and one or more customers. + +### **7.8 Video conferencing** + +Three or more parties, which include at least one MCC agent acting as a sponsor, can communicate by video conference. The sponsor of the conference can see all the parties on his/her screen. The sponsor has the right to invite other customers into the conference as well as to release their participation from the conference. The sponsor can record videos of (part of) the conference. + +Moreover, subconferencing may be used: two or more participants communicate in a main conference, while two or more of them also communicate in a private conference and can still hear/see the main conference in the background. However, the other participants in the main conference cannot hear/see the private conference. + +The MCC service has the following requirements: + +- 1) It is required to support video conferencing, which includes at least one MCC agent among the conference participants. +- 2) Subconferencing can optionally be supported. + +### **7.9 Web and application collaboration** + +Web and application collaboration allow an MCC agent to interact with a customer or another MCC agent via multiple types of collaboration: + +- web collaboration implements collaboration through a web browser; +- application collaboration implements collaboration through other means except web browsing, e.g., application collaboration via the use of instant messages (IM), file transfer, whiteboard sharing, etc. + +The MCC service has the following requirements: + +- 1) It is recommended to provide MCC agents or customers with the capability to initiate web and application collaboration anytime during the communication. +- 2) It is recommended to support information sharing in the process of web and application collaboration. +- 3) It is recommended to support MCC agents' awareness of users' context information when launching web and application collaboration. + +### **7.10 User context information** + +In the MCC service, when a customer makes an incoming communication or an MCC agent makes an outgoing communication, the MCC applications acquire the customer's user context information. The customer's user context information includes the customer's communication state information (e.g., busy, mobile phone not in service etc.), the customer's specific context information (e.g., at lunch, in a meeting, etc.) and the customer's location information. For the incoming communication requests, they are distributed to the appropriate MCC agents according to the user context information. For example, if the enterprise's MCC agents are located in different places, when a customer initiates a communication request to the enterprise, this communication request might be handled by the nearest MCC agent. For outgoing communications, by using the customer's user context information, MCC agents can determine when and how to make an outgoing communication to the customers. + +The MCC service has the following requirements: + +- 1) It is required to support distribution of the incoming communication requests to the appropriate MCC agents according to the customers' user context information. +- 2) It is required to provide MCC agents with the capability to make outgoing communications according to customers' user context information. +- 3) It is required to support access to customers' user context information by MCC agents and MCC applications. + +### **7.11 Communication congestion handling** + +In the MCC service, when communication congestion occurs because of resource limitations to handle the communication, the communication is rejected and an appropriate notification is sent to the NGN. The NGN plays an appropriate announcement to customers trying to access the service. + +- 1) It is recommended to support a communication congestion handling mechanism in the MCC service. + +## 8 NGN capability requirements + +This clause describes capability requirements additional to those in [ITU-T Y.2201] for the support of the MCC service in NGN. + +The MCC service requires interaction between the NGN and MCC applications. NGN is deployed and managed by the NGN provider, while MCC applications are deployed and managed by the enterprises. + +Figure 2 shows the capability groupings for support of the MCC service (shown using hatched boxes) positioned within the NGN architecture overview [ITU-T Y.2012]. + +![Figure 2: Capability groupings for support of the MCC service. The diagram illustrates the NGN architecture overview, showing the interaction between MCC applications and the NGN service stratum and transport stratum. The NGN is divided into three main layers: the Service stratum (green), the Transport stratum (yellow), and the Management functions (purple). The Service stratum contains MCC application support (hatched), MCC communication control (hatched), and MCC quality of service management (hatched). The Transport stratum contains MCC codec support (hatched). The Management functions layer includes End-user functions (MCC agents and customers) and Other networks. The diagram shows the flow of control (dashed lines), media (dotted lines), and management (dashed lines) between these components. The ANI (Application Network Interface) connects MCC applications to the Service stratum. The UNI (User Network Interface) connects End-user functions to the Transport stratum. The NNI (Network Network Interface) connects Other networks to the Transport stratum. The MCC media resource management (hatched) is a vertical component spanning the Service and Transport strata. The legend indicates: Control (dashed line), Media (dotted line), and Management (dashed line).](75f0cb39f1cd165dfe4a6aa6c4d9388d_img.jpg) + +Legend: + +- Control (dashed line) +- Media (dotted line) +- Management (dashed line) + +Figure 2: Capability groupings for support of the MCC service. The diagram illustrates the NGN architecture overview, showing the interaction between MCC applications and the NGN service stratum and transport stratum. The NGN is divided into three main layers: the Service stratum (green), the Transport stratum (yellow), and the Management functions (purple). The Service stratum contains MCC application support (hatched), MCC communication control (hatched), and MCC quality of service management (hatched). The Transport stratum contains MCC codec support (hatched). The Management functions layer includes End-user functions (MCC agents and customers) and Other networks. The diagram shows the flow of control (dashed lines), media (dotted lines), and management (dashed lines) between these components. The ANI (Application Network Interface) connects MCC applications to the Service stratum. The UNI (User Network Interface) connects End-user functions to the Transport stratum. The NNI (Network Network Interface) connects Other networks to the Transport stratum. The MCC media resource management (hatched) is a vertical component spanning the Service and Transport strata. The legend indicates: Control (dashed line), Media (dotted line), and Management (dashed line). + +Y.2216(2010)\_F02 + +**Figure 2 – Capability groupings for support of the MCC service** + +### 8.1 MCC application support + +#### 8.1.1 Communication request queuing + +According to the service requirements in clause 7.1, the NGN has to support queuing up the incoming communication requests according to the queuing policies. Moreover, the MCC service has to support queuing up all kinds of communication requests, including web and application collaboration communication requests. The NGN also has to provide capabilities for enterprise access for configuring and managing the enterprise's queuing lines associated policies. + +These service requirements are implemented by MCC application support capabilities of the NGN service stratum through the interactions via ANI with MCC applications. Through the interactions, MCC application support capabilities get the policies of queuing lines from MCC applications, + +while MCC applications also get the information and status of the queuing lines from MCC application support capabilities. + +In order to support the MCC service, the NGN has the following communication request queuing requirements: + +- 1) The NGN is required to support the interactions for communication request queuing between MCC applications and MCC application support capabilities. +- 2) The NGN is required to support queuing of the incoming communication requests according to queuing policies. +- 3) The NGN is required to support queuing of multiple communication requests from one single customer. +- 4) The NGN is required to support queuing of the incoming communication requests according to the customer's user-context information so that the communication requests will be distributed to the appropriate MCC agents. +- 5) The NGN is recommended to support queuing of web and application collaboration communication requests initiated by the customer. + +#### **8.1.2 Communication request distribution** + +According to the service requirements in clause 7.1, communication requests are distributed to the proper MCC agents. In single session communications, once one of the proper MCC agents is free, his/her availability is notified to the MCC applications, and then the MCC applications request the MCC application support capabilities to pick up one of the communication requests in the queuing lines and perform the processing in order to distribute the communication request to the MCC agent. On the other hand, in multiple-session communications, the requests of the following sessions will be directly distributed to the same MCC agent (the one involved in the already established session(s)). + +These service requirements are implemented by MCC application support capabilities of the NGN service stratum through the interactions via ANI with MCC applications. Through the interactions, MCC application support capabilities will be requested by MCC applications to distribute the communication requests to the proper MCC agents. + +In order to support the MCC service, the NGN has the following communication request distribution requirements: + +- 1) The NGN is required to support the interactions for communication request distribution between MCC applications and MCC application support capabilities. +- 2) The NGN is required to support multiple session communications from a single customer to be distributed directly to the same MCC agent without waiting time. +- 3) The NGN is recommended to support web and application collaboration communication requests to be distributed directly to the appropriate MCC agents without waiting time. + +#### **8.1.3 Communication control operations for MCC agents** + +According to the service requirements in clause 7.2, the NGN is required to provide MCC agents with the capability to disconnect, hold, park, transfer and consult an established communication. The MCC agents perform these communication control operations by accessing the MCC applications through the interface between MCC agents and MCC applications. Then MCC applications notify MCC application support capabilities in order to complete the communication control operations for MCC agents. + +These service requirements are implemented by MCC application support capabilities of the NGN service stratum through the interactions via ANI with MCC applications. Through the interactions, + +MCC application support capabilities will be requested by MCC applications to complete the communication control operations for MCC agents. + +In order to support the MCC service, the NGN has the following communication control requirements: + +- 1) The NGN is required to support the interactions for communication control operations of MCC agents between MCC applications and MCC application support capabilities. +- 2) In case of multiple session communications between one customer and one MCC agent, the NGN is required to support any of the sessions of the multiple session communications to be interrupted without affecting the other ongoing sessions. +- 3) The NGN is required to provide MCC agents with the capability to perform communication control operations according to customers' user context information. +- 4) The NGN is required to provide MCC agents with the capability to inquire customers' user context information. +- 5) The NGN is recommended to provide MCC agents with the capability to extend an existing one-to-one communication to a conference by initiating communication(s) towards other customers or MCC agents. + +#### **8.1.4 MCC agents' terminal management** + +MCC agents' terminals are managed by MCC application support capabilities. An identification is assigned to an MCC agent's terminal, and the MCC agent registers the terminal to the MCC application support capabilities using the assigned identification. + +In order to support the MCC service, the NGN has the following MCC agents' terminal management requirement: + +- 1) The NGN is required to support identification assignment and registration for MCC agents' terminals. + +#### **8.1.5 Web and application collaboration handling** + +In order to support the MCC service, the NGN has the following web and application collaboration handling requirement: + +- 1) The NGN is recommended to support interactions between the web and application collaboration functions and MCC application support capabilities to establish web and application collaboration communications. + +#### **8.1.6 Communication congestion handling** + +In order to support the MCC service, the NGN has the following communication congestion handling requirement: + +- 1) The NGN is recommended to support the MCC application support capabilities' notification to the NGN service control function when communication congestion occurs in the MCC service. + +### **8.2 MCC media resource management** + +The MCC service can provide various media resources to customers, like IVR/IVVR, ASR, TTS, announcement playing, recording resources, etc. For different enterprises, the mechanisms of managing these media resources are different. The mechanisms of media resource management are provided by MCC applications, and are set and managed by the enterprises themselves. So the MCC applications need to interact with the media resource management in NGN. In order to support the MCC service, the NGN has the following media resource management requirement: + +- 1) The NGN is required to support an interface between MCC applications and the NGN to manage media resources. + +In addition, in order to support the MCC service, the NGN has other media resource management requirements as follows: + +- 2) The NGN is required to support NAT/NAPT between the media resources in NGN and MCC applications. +- 3) The NGN is required to support video-related operations, including lip synchronization (synchronization between video and voice), video corruption (returning the specific cause of failure when a video communication fails). +- 4) The NGN is required to support media stream control by customers, including video pausing, stopping, replaying, slowing and speeding, etc. +- 5) The NGN is required to support DTMF recognition when media is played to the customers. +- 6) The NGN is required to support playing media to all or part of the participants during a conference. +- 7) The NGN is recommended to support multiple audio formats: AMR/AMR2 [ATIS.3GPP.26.071V600-2006], [ITU-T G.711], [ITU-T G.723.1], [ITU-T G.729 – Annex A], AMR-WB [ITU-T G.722.2], EVRC/EVRC-B [TIA-127-C]. +- 8) The NGN is recommended to support media forking in a conference. +NOTE – In this Recommendation, media forking means that the sponsor in the conference can hear/see the voice/video from all the other participants, but the other participants can only hear/see the voice/video from the sponsor. +- 9) The NGN is recommended to support distributed media resource deployment and enable customers to communicate with the appropriate media resources when they experience the MCC service. + +### **8.3 MCC communication control** + +#### **8.3.1 Communication control operations for MCC agents** + +According to the requirements in clauses 7.2 and 8.1.3, NGN has the following requirements of communication control operations for MCC agents in order to support the MCC service: + +- 1) The NGN is required to support communication control to disconnect, hold, park, transfer and consult a communication according to the request from MCC application support capabilities. +- 2) The NGN is recommended to support the correlation of sessions for multiple session communications involving one customer. + +#### **8.3.2 Management operations for supervisors** + +According to the service requirements in clause 7.3, supervisors manage MCC agents. + +In order to support the MCC service, the NGN has the following requirements of management operations for supervisors: + +- 1) The NGN is required to support the capability of media recording. +- 2) The NGN is required to support the capability of monitoring communications. +- 3) In case of a multiple session communication between one customer and a single MCC agent, the NGN is required to support any session of the multiple session communication to be monitored and recorded. +- 4) The NGN is required to support the capability of joining communications. +- 5) The NGN is required to support the capability of interrupting communications. + +- 6) The NGN is recommended to support the capability of MCC agent coaching. +- 7) The NGN can optionally support the capability of direct monitoring. + +#### **8.3.3 Communication routing** + +The NGN has the following requirement in order to support the MCC service: + +- 1) The NGN is required to support the capability of routing communications according to customers' user context information. + +### **8.4 MCC codec support** + +In order to support the MCC service when different types of codecs are used, the NGN has the following requirements for codec support: + +- 1) The NGN is recommended to support audio transcoding between AMR [ATIS.3GPP.26.071V600-2006], EVRC/EVRC-B [TIA-127-C], [ITU-T G.711], [ITU-T G.723.1] and [ITU-T G.729 – Annex A]. +- 2) The NGN is recommended to support video transcoding between MPEG-4 advanced simple profile [ISO/IEC 14496-2], [ITU-T H.263], [ITU-T H.264] and AVS [GB/T20090.2]. + +### **8.5 MCC quality of service management** + +The MCC service is recommended to provide multiple QoS levels to enterprises. In order to support the MCC service, the NGN has the following quality of service management requirement: + +- 1) The NGN is recommended to support resource allocation for enterprises according to the required different QoS levels. + +## **9 Security considerations** + +The security requirements for the MCC service are addressed by the security requirements for NGN in [ITU-T Y.2701] and the authentication and authorization requirements for NGN in [ITU-T Y.2702]. No additional security requirements have been identified for the MCC service. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2240-201104-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2240-201104-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..4eeaac5b5206b8759bbed62ca4d54b562f1f8423 --- /dev/null +++ b/marked/Y/T-REC-Y.2240-201104-I_PDF-E/raw.md @@ -0,0 +1,2087 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2240 + +(04/2011) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Service aspects: Service +capabilities and service architecture + +# --- **Requirements and capabilities for next generation network service integration and delivery environment** + +Recommendation ITU-T Y.2240 + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-----------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Smart ubiquitous networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| Future networks | Y.3000–Y.3099 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.2240 + +# Requirements and capabilities for next generation network service integration and delivery environment + +## Summary + +Recommendation ITU-T Y.2240 provides requirements and capabilities for a service integration and delivery environment in NGN (NGN-SIDE) in order to support the following main functionalities in the NGN-SIDE ecosystem: + +- integration of resources from different domains (e.g., telecommunication domain (fixed and mobile networks), broadcasting domain, internet domain or content provider domain) over NGN; +- adaptation and abstraction of resources from different domains; +- resource brokering for mediation among applications and resources; +- support of application development environment for application developers; +- support of different service interfaces across ANI, UNI, SNI and NNI for exposure of NGN-SIDE capabilities and access to resources in different domains; +- provision of mechanisms for the support of diverse applications including cloud services, machine to machine, and ubiquitous sensor network applications; +- provision of mechanisms for the support of applications making usage of context based information; +- provision of mechanisms for content management. + +## History + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2240 | 2011-04-22 | 13 | + +## Keywords + +Adaptation, API, brokering, NGN, NGN-SIDE, resources, resource adaptation, SDP, service creation, service delivery, service delivery management, service enablers, service execution, service integration. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2012 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|--------------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 3 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 5 | +| 6 | NGN-SIDE ecosystem..... | 5 | +| | 6.1 NGN-SIDE users ..... | 6 | +| | 6.2 NGN-SIDE provider..... | 6 | +| | 6.3 NGN-SIDE resource providers..... | 7 | +| 7 | NGN-SIDE functional framework..... | 7 | +| | 7.1 NGN-SIDE layered view..... | 7 | +| | 7.2 NGN-SIDE functional view ..... | 8 | +| 8 | NGN-SIDE requirements..... | 11 | +| | 8.1 Applications related requirements..... | 11 | +| | 8.2 NGN-SIDE integration related requirements ..... | 12 | +| | 8.3 NGN-SIDE adaptation related requirements..... | 14 | +| | 8.4 NGN-SIDE security related requirements..... | 15 | +| 9 | NGN-SIDE capabilities ..... | 15 | +| | 9.1 NGN-SIDE capabilities related to the NGN-SIDE integration layer..... | 15 | +| | 9.2 NGN-SIDE capabilities related to the NGN-SIDE adaptation layer..... | 20 | +| 10 | NGN-SIDE interfaces requirements ..... | 25 | +| | 10.1 NGN-SIDE positioning within the NGN reference architecture..... | 25 | +| | 10.2 NGN-SIDE interfaces..... | 27 | +| 11 | Security considerations ..... | 30 | +| | Annex A – Relationship between capabilities of NGN-SIDE and [ITU-T Y.2234]
capabilities ..... | 31 | +| | Appendix I – Business deployment scenarios in the NGN-SIDE ecosystem..... | 35 | +| | I.1 Actors mapping to business roles ..... | 35 | +| | I.2 Business deployment scenarios ..... | 36 | +| | Appendix II – Application scenarios involving NGN-SIDE ..... | 39 | +| | II.1 Third-party application scenario "Book a trip" ..... | 39 | +| | II.2 NGN-SIDE in-house application scenario "Enhanced Conference" ..... | 41 | +| | II.3 M2M/USN application scenarios ..... | 43 | +| | Appendix III – Cloud services and supporting role played by NGN-SIDE..... | 45 | +| | III.1 NGN-SIDE support of cloud software as a service..... | 45 | + +| | Page | +|-------------------------------------------------------------------------------------------|-------------| +| III.2 NGN-SIDE support of cloud platform as a service..... | 45 | +| III.3 NGN-SIDE support of cloud infrastructure as a service ..... | 46 | +| III.4 NGN-SIDE support of communications as a service ..... | 46 | +| III.5 NGN-SIDE support of network as a service ..... | 46 | +| Appendix IV – Survey of API related standardization efforts..... | 47 | +| IV.1 Open mobile alliance (OMA) ..... | 47 | +| IV.2 GSM association (GSMA) ..... | 49 | +| IV.3 Java Community Process..... | 51 | +| IV.4 Wholesale Applications Community (WAC)..... | 51 | +| IV.5 World Wide Web Consortium (W3C)..... | 52 | +| IV.6 Organization for the advancement of structured information standards
(OASIS)..... | 57 | +| IV.7 Open Grid Forum (OGF)..... | 58 | +| IV.8 Distributed Management Task Force (DMTF)..... | 58 | +| IV.9 Storage Networking Industry Association (SNIA)..... | 59 | +| Bibliography..... | 60 | + +# Introduction + +NGN-SIDE main objectives, characteristics and features are as follows: + +- NGN-SIDE supports a multi-fold telecommunication business model and is paving the way for a comprehensive eco-system for all the stakeholders in the NGN value chain; +- NGN-SIDE puts NGN providers in the centre to control the whole NGN value chain and provides numerous opportunities for NGN providers to enhance NGN end-users access to applications; +- NGN-SIDE provides an environment that enables the development of applications that fully leverage underlying NGN and non-NGN resources such as: + - enabling developers to create compelling applications that take full advantage of a variety of resources such as service enablers, network capabilities, device enablers, content, other applications; + - providing access to a wide range of tools and technologies that can be used to develop rich applications. + +NGN-SIDE can be viewed as the next generation service delivery platform (SDP), which is, in the context of this Recommendation, targeted for NGN, but whose framework can conceptually be applicable to other telecommunication environments (e.g., mobile networks). + + + +## Recommendation ITU-T Y.2240 + +# Requirements and capabilities for next generation network service integration and delivery environment + +# 1 Scope + +The objective of this Recommendation is to provide requirements and capabilities for a service integration and delivery environment (SIDE) in NGN (NGN-SIDE) in order to support the following main functionalities in the NGN-SIDE ecosystem: + +- integration of resources from different domains (e.g., telecommunication domain (fixed and mobile networks), broadcasting domain, internet domain or content provider domain) over NGN; +- adaptation, including abstraction and virtualization, of resources from different domains; +- resource brokering for mediation among applications and resources; +- support of the application development environment for application developers; +- support of different service interfaces across ANI, UNI, SNI and NNI for exposure of NGN-SIDE capabilities and access to resources in different domains; +- provision of mechanisms for the support of diverse applications including cloud services, machine-to-machine, and ubiquitous sensor network (USN) applications; +- provision of mechanisms for the support of applications making usage of context based information; +- provision of mechanisms for content management. + +In this Recommendation, clause 6 provides an overview of the NGN-SIDE ecosystem, clause 7 describes the NGN-SIDE functional framework, clause 8 identifies NGN-SIDE requirements, clause 9 describes NGN-SIDE capabilities, clause 10 provides NGN-SIDE interface requirements, clause 11 provides security considerations and Annex A provides relationship between capabilities of NGN-SIDE and [ITU-T Y.2234]. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T X.805] Recommendation ITU-T X.805 (2003), *Security architecture for systems providing end-to-end communications*. +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [ITU-T Y.2201] Recommendation ITU-T Y.2201 (2009), *Requirements and capabilities for ITU-T NGN*. +- [ITU-T Y.2221] Recommendation ITU-T Y.2221 (2010), *Requirements for support of ubiquitous sensor network (USN) applications and services in the NGN environment*. + +- [ITU-T Y.2233] Recommendation ITU-T Y.2233 (2010), *Requirements and framework allowing accounting and charging capabilities in NGN*. +- [ITU-T Y.2234] Recommendation ITU-T Y.2234 (2008), *Open service environment capabilities for NGN*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [ITU-T Y.2702] Recommendation ITU-T Y.2702 (2008), *Authentication and authorization requirements for NGN release 1*. +- [ITU-T Y.2704] Recommendation ITU-T Y.2704 (2010), *Security mechanisms and procedures for NGN*. +- [ITU-T Y.2720] Recommendation ITU-T Y.2720 (2009), *NGN identity management framework*. +- [ITU-T Y.2721] Recommendation ITU-T Y.2721 (2010), *NGN identity management requirements and use cases*. +- [ITU-T Y.2722] Recommendation ITU-T Y.2722 (2011), *NGN identity management mechanisms*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application** [b-ITU-T Y.101]: A structured set of capabilities, which provide value-added functionality supported by one or more services. + +**3.1.2 application network interface (ANI)** [ITU-T Y.2012]: An interface which provides a channel for interactions and exchanges between applications and NGN elements. The ANI offers capabilities and resources needed for the realization of applications. + +**3.1.3 application programming interface (API)** [b-ITU-T I.312]: An API provides a set of interfaces from an application environment to an execution environment. The execution environment provides services to the application environment. + +**3.1.4 functional architecture** [ITU-T Y.2012]: A set of functional entities and the reference points between them used to describe the structure of an NGN. These functional entities are separated by reference points, and thus, they define the distribution of functions. + +**3.1.5 functional entity** [ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +**3.1.6 next generation network (NGN)** [b-ITU-T Y.2001]: A packet-based network able to provide telecommunication services and able to make use of multiple broadband, QoS-enabled transport technologies and in which service-related functions are independent from underlying transport-related technologies. It enables unfettered access for users to networks and to competing service providers and/or services of their choice. It supports generalized mobility which will allow consistent and ubiquitous provision of services to users. + +**3.1.7 NGN service stratum** [b-ITU-T Y.2011]: This refers to that part of the NGN which provides the user functions that transfer service-related data and the functions that control and manage service resources and network services to enable user services and applications. + +**3.1.8 NGN transport stratum** [b-ITU-T Y.2011]: That part of the NGN which provides the user functions that transfer data and the functions that control and manage transport resources to carry such data between terminating entities. + +**3.1.9 ubiquitous sensor network** [ITU-T Y.2221]: A conceptual network built over existing physical networks which make use of sensed data and provide knowledge services to anyone, anywhere and at anytime, and where the information is generated by using context awareness. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 machine-to-machine applications:** Applications enabled by the communications between two or more machines that need limited or no direct human intervention. + +**3.2.2 NGN service integration and delivery environment (NGN-SIDE):** An open environment in NGN integrating resources from different domains and delivering integrated services to applications over NGN. + +NOTE – These domains include, but are not limited to, telecommunication domain (e.g., fixed and mobile networks), Internet domain, broadcasting domain and content provider domain. + +**3.2.3 service enabler:** A function or closely related set of functions made available over one or more well-defined interfaces to other consuming software applications. + +NOTE 1 – A service enabler may support end-user services, provide operations functionality, or be used directly by other service enablers. Service enablers generally utilize underlying resources to perform their tasks and have interfaces for their own lifecycle management. + +NOTE 2 – An example of functionality that a service enabler may provide is a location service or a fault management service. + +NOTE 3 – In the context of NGN-SIDE, a service enabler is made available over well-defined interfaces to be used by NGN-SIDE users (e.g., application providers), including its usage as resource abstracted by NGN-SIDE (e.g., an underlying NGN service enabler [ITU-T Y.2201]). + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|------------------------------------------------------------| +| ANI | Application Network Interface | +| API | Application Programming Interface | +| BCAST | Broadcasting | +| BPEL | Business Process Execution Language | +| CaaS | Communications as a Service | +| CAMEL | Customized Applications for Mobile networks Enhanced Logic | +| CP | Content Provider | +| CPU | Central Processing Unit | +| CRBT | Customized Ring Back Tone | +| DM | Device Management | +| DRM | Digital Rights Management | +| DVB | Digital Video Broadcasting | +| IaaS | Infrastructure as a Service | +| ID | Identifier | + +| | | +|----------|--------------------------------------------------| +| IdM | Identity Management | +| IMS | IP Multimedia Subsystem | +| IN | Intelligent Network | +| INAP | Intelligent Network Application Part | +| IP | Internet Protocol | +| IPTV | IP Television | +| ISDN | Integrated Services Digital Network | +| IT | Information Technology | +| J2EE | Java2 Enterprise Edition | +| J2SE | Java2 Standard Edition | +| JAIN | Java APIs for Integrated Networks | +| JDBC | Java Data Base Connectivity | +| JMS | Java Message Service | +| JTAPI | Java Telephony Application Program Interface | +| LCS | Location Service | +| M2M | Machine-to-Machine | +| MBMS | Multimedia Broadcast and Multicast Service | +| MMS | Multimedia Messaging Service | +| NaaS | Network as a Service | +| NGN | Next Generation Network | +| NGN-SIDE | NGN Service Integration and Delivery Environment | +| NGSI | Next Generation Service Interface | +| NNI | Network to Network Interface | +| OSA | Open Service Access | +| OSE | Open Service Environment | +| PaaS | Platform as a Service | +| PIM | Personal Information Management | +| PLMN | Public Land Mobile Network | +| PSA | Parlay Service Access | +| PSTN | Public Switched Telephone Network | +| QoS | Quality of Service | +| REST | Representational State Transfer | +| RSS | Really Simple Syndication | +| SaaS | Software as a Service | +| SDK | Software Development Kit | +| SDP | Service Delivery Platform | +| SDPaaS | Service Delivery Platform as a Service | + +| | | +|------|----------------------------------------------| +| SIDE | Service Integration and Delivery Environment | +| SLA | Service Level Agreement | +| SMS | Short Message Service | +| SNI | Service Network Interface | +| SOA | Service Oriented Architecture | +| SOAP | Simple Object Access Protocol | +| STB | Set-Top-Box | +| UDH | User-Data Header | +| UDP | User Datagram Protocol | +| UE | User Equipment | +| UNI | User Network Interface | +| URL | Uniform Resource Locator | +| USN | Ubiquitous Sensor Network | +| WAP | Wireless Application Protocol | +| WIN | Wireless Intelligent Network | +| XaaS | Everything as a Service | +| XML | Extensible Markup Language | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement needs not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +The keywords "application(s)", "service enabler(s)", "computing", "storage", "connectivity", "network capability(ies)", and "content" refer to specific types of resource as described in clause 7.1. + +# 6 NGN-SIDE ecosystem + +The NGN service integration and delivery environment (NGN-SIDE) aims to support an ecosystem for all the stakeholders in the NGN value chain. + +Figure 6-1 shows the key business roles involved in the NGN-SIDE ecosystem and the business relationships among them. + +NOTE 1 – Some business deployment scenarios of the NGN-SIDE ecosystem, including description of relevant actors, are described in Appendix I. + +![Diagram illustrating the business role relationships in the NGN-SIDE ecosystem. The diagram shows three main components connected vertically: NGN-SIDE users (top), NGN-SIDE provider (middle), and NGN-SIDE resource providers (bottom). The NGN-SIDE users cloud contains Application providers, Application developers, and Other NGN-SIDE users. The NGN-SIDE provider is a central blue oval. The NGN-SIDE resource providers cloud contains Content providers, Other resource providers, Application providers, and Service enabler providers. Vertical lines connect the top cloud to the middle oval, and the middle oval to the bottom cloud.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Y.2240(11)\_F6-1 + +Diagram illustrating the business role relationships in the NGN-SIDE ecosystem. The diagram shows three main components connected vertically: NGN-SIDE users (top), NGN-SIDE provider (middle), and NGN-SIDE resource providers (bottom). The NGN-SIDE users cloud contains Application providers, Application developers, and Other NGN-SIDE users. The NGN-SIDE provider is a central blue oval. The NGN-SIDE resource providers cloud contains Content providers, Other resource providers, Application providers, and Service enabler providers. Vertical lines connect the top cloud to the middle oval, and the middle oval to the bottom cloud. + +**Figure 6-1 – Business role relationships in the NGN-SIDE ecosystem** + +NOTE 2 – Although NGN-SIDE resource providers and NGN-SIDE users are part of the NGN-SIDE ecosystem, they are external to NGN-SIDE itself. The following clauses describe the different key business roles involved in the NGN-SIDE ecosystem, i.e., NGN-SIDE users, NGN-SIDE provider, and NGN-SIDE resource providers. + +## 6.1 NGN-SIDE users + +The NGN-SIDE users use the services offered by the NGN-SIDE provider, including resource exposure. Resources exposed by the NGN-SIDE provider to a NGN-SIDE user include NGN-SIDE provider's and NGN-SIDE resource providers' exposed resources. NGN-SIDE users include the following specific roles: + +- application provider: in the perspective of NGN-SIDE user, the role which uses capabilities and resources exposed by the NGN-SIDE provider for offering application(s) to customers; +- application developer: the role which uses capabilities and resources exposed by the NGN-SIDE provider for developing applications; +- other NGN-SIDE users: other roles (e.g., other service providers) which use capabilities and resources exposed by the NGN-SIDE provider. + +NOTE – An NGN-SIDE user can also be an NGN-SIDE resource provider. For example, this can be the case for an application provider (see clause 6.3). + +## 6.2 NGN-SIDE provider + +The NGN-SIDE provider manages the NGN-SIDE ecosystem. In particular, the NGN-SIDE provider performs the following main functions: + +- access and integration of resources provided by NGN-SIDE resource providers; + +- support and control of the service integration and delivery infrastructure; +- offering of services, including resource exposure, to NGN-SIDE users. + +## 6.3 NGN-SIDE resource providers + +The NGN-SIDE resource providers provide resources to the NGN-SIDE provider. NGN-SIDE resource providers include the following specific roles: + +- content provider: the role that is responsible for providing content to the NGN-SIDE provider according to commercial agreements; +- application provider: the role that is responsible for providing application(s) as resource(s) to the NGN-SIDE provider; +- service enabler provider: the role that is responsible for providing service enabler(s) to the NGN-SIDE provider; +- other NGN-SIDE resource providers: other roles that provide resources to the NGN-SIDE provider (e.g., providers of network capabilities, providers of computing, connectivity, storage resources). + +NOTE – A NGN-SIDE resource provider can also be a NGN-SIDE user. For example, this can be the case for an application provider (see clause 6.1). + +# 7 NGN-SIDE functional framework + +## 7.1 NGN-SIDE layered view + +Figure 7-1 shows the layered view of NGN-SIDE. + +![Figure 7-1: NGN-SIDE layered view diagram showing three stacked layers: NGN-SIDE user layer (top, grey), NGN-SIDE layer (middle, green), and NGN-SIDE resource layer (bottom, white).](c67d21fb3d9042e88cdc669f071b4e7c_img.jpg) + +``` + +graph TD + A[NGN-SIDE user layer] --- B[NGN-SIDE layer] + B --- C[NGN-SIDE resource layer] + +``` + +Y.2240(11)\_F7-1 + +Figure 7-1: NGN-SIDE layered view diagram showing three stacked layers: NGN-SIDE user layer (top, grey), NGN-SIDE layer (middle, green), and NGN-SIDE resource layer (bottom, white). + +**Figure 7-1 – NGN-SIDE layered view** + +The layered view of NGN-SIDE includes the following layers: + +- the NGN-SIDE user layer, which uses the services offered by the NGN-SIDE layer, including resource exposure. It includes users accessing the NGN-SIDE, such as applications and other users. Applications include the following: a) NGN UE hosted applications, hosted in the NGN end user domain; b) Third-party applications, hosted by NGN-SIDE users (e.g., application providers); and c) NGN-SIDE in-house applications, hosted by the NGN-SIDE provider. Application scenarios involving NGN-SIDE are described in Appendix II; +- the NGN Service Integration and Delivery Environment layer (NGN-SIDE), which corresponds to NGN-SIDE; +- the NGN-SIDE resource layer, which includes resources accessible by NGN-SIDE, such as applications, service enablers, network capabilities, connectivity, computing, storage, and content. + +## 7.2 NGN-SIDE functional view + +Figure 7-2 shows a functional view of NGN-SIDE according to the layers in Figure 7-1. + +![Figure 7-2 – NGN-SIDE functional view diagram](0f985b39edc1d52ba3600c438bc8f0a5_img.jpg) + +The diagram illustrates the functional view of NGN-SIDE, organized into four main layers connected by a central vertical line: + +- NGN-SIDE user layer:** Contains a box labeled "Applications". +- NGN-SIDE layer:** This layer is divided into two sub-layers: + - NGN-SIDE integration layer:** Contains three columns of functional blocks: + - Column 1: Application development support, Resource repository, Testing environment, and Service creation. + - Column 2: Access control, Service orchestration, Resource registry, Service dispatcher, Policy decision, Resource manager, and Service execution. + - Column 3: Policy management, Content management, Charging, Management of role related information, Application provisioning, Context management, and Service delivery management. + - NGN-SIDE adaptation layer:** Contains a "Resource brokering" block at the top, and two "Adaptors" blocks below it: "Adaptors for NGN" and "Adaptors for non-NGN". +- NGN-SIDE resource layer:** Contains two boxes: "Resources offered by NGN" and "Resources offered by non-NGN". + +Y.2240(11)\_F7-2 + +Figure 7-2 – NGN-SIDE functional view diagram + +**Figure 7-2 – NGN-SIDE functional view** + +As shown in Figure 7-2 the NGN-SIDE layer is comprised of the following two layers: + +- NGN-SIDE integration layer; +- NGN-SIDE adaptation layer. + +#### 7.2.1 NGN-SIDE integration layer + +In order to reduce the complexity of integrating resources, the NGN-SIDE integration layer provides a unified way for the NGN-SIDE users to access the resources offered by NGN and non-NGN. + +As shown in Figure 7-2, the NGN-SIDE integration layer supports the following functional groups: + +- service creation functional group; +- service execution functional group; +- service delivery management functional group. + +The following clauses provide a description of the functional groups supported by the NGN-SIDE integration layer. + +##### **7.2.1.1 Service creation functional group** + +The service creation functional group provides capabilities to realize an application development environment for application developers. This functional group includes the following capabilities: + +- the application development support which is responsible for providing secure access to NGN-SIDE capabilities and resources from NGN-SIDE resource providers, secure storage of developers' applications, access to the testing environment and various application developer's support functions and mechanisms such as development management tools or API definitions. The application development support capability also provides design tools which are responsible for service creation according to application requirements; +- the resource repository which is responsible for providing resource information reusable to develop new applications; +- the testing environment which is responsible for providing an application simulation environment to verify if a new application can work correctly. + +##### **7.2.1.2 Service execution functional group** + +The service execution functional group provides capabilities to support the service execution environment. The service execution functional group processes service requests received from the NGN-SIDE user layer and as a result, sends back responses to the NGN-SIDE user layer. While processing the service requests, service execution invokes the NGN-SIDE adaptation layer for requested resources. This functional group includes the following capabilities: + +- The access control which provides functions related to control and manage access to NGN-SIDE by applications and translates standardized or proprietary APIs and protocols across different NGN-SIDE service interfaces. +NOTE 1 – NGN-SIDE service interfaces are described in clause 10.2. +NOTE 2 – Access control is only applicable during application execution. +- The service dispatcher which provides the following functionalities: + - a) API and protocol transformation from applications to common message structure; + - b) business event handling; + - c) message routing and exchange to or from NGN-SIDE users; + - d) coordination policy enforcement based on interaction with policy decision for service level monitoring such as QoS control. +- The service orchestration which is responsible for: + - a) composing service logic in static and dynamic mode; + - b) executing the service logic. +- The policy decision which provides policy decision making for access control, resource consumption, application schedule and traffic control functions according to the service level agreements (SLAs) between NGN-SIDE users and NGN-SIDE resources. Other capabilities interact with the policy decision capability to acquire policy decision results, and then enforce the policies accordingly. + +- The resource registry which provides mechanisms to register or de-register, discover, and ensure governance of resources. Resource registry maintains a catalogue of the description of the resources available. At run-time, the resource registry is accessed to locate the resources. +- The resource manager which performs the controlling function for the pool of resources hosted by the NGN-SIDE provider. The resource manager also assigns the required resources to NGN-SIDE in-house applications. + +NOTE 3 – The role of the resource manager in managing resources external to the NGN-SIDE provider is for further study. + +##### **7.2.1.3 Service delivery management functional group** + +The service delivery management functional group provides capabilities to realize the management of different aspects, provisioning of applications and charging for ensuring proper functioning of the service creation and service execution functional groups and providing associated delivery functionalities. This functional group includes the following capabilities: + +- the policy management which provides support for managing, including storing of agreed policies. Policies include SLAs between NGN-SIDE users and NGN-SIDE resources and end-user's preferences. The policy management capability synchronizes policy related information with the policy decision capability; +- the management of role-related information which provides centralized access, and management of information related to the different NGN-SIDE roles; +- the content management which provides mechanisms to handle content for its appropriate access by NGN-SIDE users; +- the charging capability which coordinates charging for NGN-SIDE, including the triggering (online and offline) of all charging events during service delivery, interacting as appropriate with the NGN accounting and charging capabilities [ITU-T Y.2201]; +- the application provisioning which provides deployment mechanisms for NGN-SIDE in-house applications in a secure way; +- the context management which collects context information and exposes context information to other entities in a secure way. + +#### **7.2.2 NGN-SIDE adaptation layer** + +NGN-SIDE adaptation layer includes resource brokering and resource adaptors. + +The resource brokering mediates among resources and applications located in NGN-SIDE resource layer and NGN-SIDE user layer respectively. + +Upon requests received from the NGN-SIDE integration layer, the resource brokering identifies the appropriate resource from the NGN-SIDE resource layer. + +Upon requests received from the NGN-SIDE resource layer, the resource brokering identifies the appropriate application in the NGN-SIDE user layer. + +The resource brokering also interacts with the NGN-SIDE integration layer (i.e., policy decision) to enforce the resource related policies such as scheduling of resources. + +The resource adaptors include adaptors for NGN and adaptors for Non-NGN. + +The resource adaptors perform adaptation of resources from the NGN-SIDE resource layer, i.e., resources from NGN and Non-NGN, based on NGN-SIDE integration layer's request as a result of its processing of the service request. The resource adaptors perform adaptation of control plane and media plane related resources. + +# 8 NGN-SIDE requirements + +This clause describes NGN-SIDE requirements. + +## 8.1 Applications related requirements + +A. NGN-SIDE is required to support mechanisms for application provisioning, addressing and routing: + +- 1) NGN-SIDE is required to provide mechanisms to publish an NGN-SIDE in-house application so that it can be accessible from various domains. + +NOTE 1 – This may include publishing a domain name for Internet domain, assigning a special access number (e.g., an ITU-T E.164 number) for telecommunication domain; + +- 2) NGN-SIDE is required to support standard addressing mechanisms for applications (e.g., URL or ITU-T E.164 address); +- 3) NGN-SIDE is required to provide a mechanism to send requests originated from NGN-SIDE or resources to applications, and vice versa. + +B. NGN-SIDE is required to provide mechanisms to support ubiquitous sensor network (USN) applications [ITU-T Y.2221] and machine-to-machine (M2M) applications as defined in clause 3. + +C. NGN-SIDE is recommended to provide mechanisms to support the following cloud service categories: + +- 1) application services (SaaS); +- 2) platform services (PaaS); +- 3) communication services (CaaS); +- 4) resource services (IaaS); +- 5) network services (NaaS). + +NOTE 2 – Details about cloud service categories can be found in Appendix III. + +D. NGN-SIDE is recommended to enable applications and functionalities supported by NGN-SIDE as a cloud service (SDPaaS). + +NOTE 3 – SDPaaS can be viewed as the capability provided to the users of cloud services to use applications and functionalities supported by NGN-SIDE as well as the capability provided to a provider of cloud services to deploy, control and manage NGN-SIDE functionalities. + +E. NGN-SIDE can optionally provide the following functionalities to support cloud services: + +- 1) mediation functionalities between users of cloud services (as NGN-SIDE users) and providers of cloud services (as NGN-SIDE resource providers). These mediation functionalities include SLA negotiation, monitoring, security, screening, adaptation, provisioning and integration of cloud services; + +F. NGN-SIDE can optionally be deployed, as internal resources and functionalities, in a distributed fashion using cloud computing mechanisms (e.g., virtualization, distributed file system, distributed cache or distributed database). + +NOTE 4 – This deployment can provide IaaS support by the NGN-SIDE infrastructure itself. + +NOTE 5 – An overview of characteristics and models of cloud computing technology and the relationship of these models with NGN-SIDE are described in Appendix III. + +## **8.2 NGN-SIDE integration related requirements** + +- A. NGN-SIDE is required to provide an open environment for the integration of resources from different domains: +- 1) NGN-SIDE is required to support integration of resources supplied by the same NGN-SIDE resource provider and from different NGN-SIDE resource providers; + - 2) NGN-SIDE is recommended to support the composition of resources offered by the NGN-SIDE provider as well as resources offered by different NGN-SIDE resource providers; + - 3) NGN-SIDE is required to provide standardized mechanisms to access the resources located in different NGN-SIDE resource providers; + - 4) NGN-SIDE is recommended to provide an abstract standardized description of resources located in different NGN-SIDE resource providers; + - 5) NGN-SIDE is required to provide NGN-SIDE users with a physical location independent resource identification scheme for accessing the resources exposed by NGN-SIDE. +- B. NGN-SIDE is required to support features for a configurable, manageable, scalable and reliable service execution environment: +- 1) NGN-SIDE is required to provide mechanisms for SLA control according applications' SLAs; + - 2) NGN-SIDE is required to support traffic control related functions based on applications' SLAs for the invocation of resources offered by NGN-SIDE resource providers; + - 3) NGN-SIDE is required to support service level monitoring functions and resource monitoring functions (e.g., monitoring of resources' availability, devices' overload, network congestion level) for resources offered by NGN-SIDE resource providers; + - 4) NGN-SIDE is required to provide functions for application execution's scalability and reliability; + - 5) NGN-SIDE is required to support virtualization mechanisms to expose connectivity, computing and storage resources. +- C. NGN-SIDE is required to provide access control: +- 1) NGN-SIDE is required to support access from applications to NGN-SIDE functionalities and to exposed resources in a secure and controlled way. +- D. NGN-SIDE is required to support charging functionalities related to resource consumption and application usage. +- E. NGN-SIDE is required to support service orchestration features as follows: +- 1) NGN-SIDE is required to support static service orchestration according to the pre-defined service logic; + - 2) NGN-SIDE is required to support a mechanism to select the appropriate resource responding to dynamic context information changes such as those of end user context, device context, network context; + - 3) NGN-SIDE is required to support a mechanism to generate a service logic meeting the NGN-SIDE user's demand (e.g., cost and execution requirements); + - 4) NGN-SIDE is required to support a mechanism for adaptive orchestration to ensure the application's reliability when some resources are not available. + +- F. NGN-SIDE is required to support mechanisms for resource registration, discovery and routing: +- 1) NGN-SIDE is required to provide mechanisms for resource registration, including a standard schema for registration-oriented resource description, including unique resource identification and resource addressing; + - 2) NGN-SIDE is required to provide a routing mechanism to locate the required resources and establish a path to access the resources. +- G. NGN-SIDE is required to provide the following content handling mechanisms: +- 1) NGN-SIDE is required to provide real-time content recording, processing, including encryption, decryption, content protection and digital rights management (DRM); + - 2) NGN-SIDE is required to provide content delivery mechanisms; + - 3) NGN-SIDE is required to provide content storage, caching, adaptation (including codec conversion, format conversion). +- H. NGN-SIDE is required to support an agile service creation environment: +- 1) NGN-SIDE is required to use a standard schema for uniform service creation-oriented resource description within NGN-SIDE; + - 2) NGN-SIDE is required to support at least one standardized description language for service logic (i.e., the logic of the services to be provided by NGN-SIDE); + - 3) NGN-SIDE is required to support mechanisms to notify application developers about the availability of new or updated resources; + - 4) NGN-SIDE is required to support the application testing environment for application developers; + - 5) NGN-SIDE is required to support online and offline design tools for application developers; + - 6) NGN-SIDE is required to support mechanisms for the creation of personalized applications based on the end-user's context information, including language, location, presence and other customized information; + - 7) NGN-SIDE is required to support the protection of property rights in terms of ownership and usage for both application developer and NGN-SIDE. +- I. NGN-SIDE is required to support application developer related requirements: +- 1) NGN-SIDE is required to support the application developer's management including the developer's registration, auditing, authentication and authorization; + - 2) NGN-SIDE is required to support various charging modes (e.g., revenue sharing or quota limitation) for application developers. +- J. NGN-SIDE is required to support service delivery management functionalities as follows: +- 1) NGN-SIDE is required to support mechanisms for context management as follows: + - NGN-SIDE is recommended to support standardized data format and semantics of context information following [ITU-T Y.2201]; + - NGN-SIDE is recommended to manage context entities related information and access to context information (e.g., operations of registration, query, subscription, notification, update and availability discovery ) in NGN and non-NGN; + - NGN-SIDE is recommended to support security and reliability for context information following [ITU-T Y.2201]; + - NGN-SIDE is recommended to support charging function based on context information following [ITU-T Y.2201]. + +- 2) NGN-SIDE is required to support charging features as specified in [ITU-T Y.2233], including event-based online/offline charging. +- 3) NGN-SIDE is required to support mechanisms for the management of role-related information as follows: + - NGN-SIDE is required to support the management (i.e., add, modify, delete, operations) of role-related information by the NGN-SIDE provider; + - NGN-SIDE is required to support the management (i.e., add, modify, delete operations) of subscription related information between different roles by the NGN-SIDE provider; + - NGN-SIDE is recommended to support the policy-based access of NGN-SIDE role related information; + - NGN-SIDE is recommended to support policy based access of application end users' subscription related information. +- 4) NGN-SIDE is required to support mechanisms for content management as follows: + - NGN-SIDE is required to support content profiling to handle content according to content usage in different NGN-SIDE users' environments; + - NGN-SIDE is required to support the extraction of appropriate information (e.g., size, type or publisher) from content; + - NGN-SIDE is required to support content dispatching to content storage resources. + +## **8.3 NGN-SIDE adaptation related requirements** + +- A. NGN-SIDE is required to support adaptation for exposure of resources, including virtualized resources from different domains as follows: + - 1) NGN-SIDE is required to support mechanisms to expose telecommunication domain resources. This includes mechanisms to expose NGN capabilities, including NGN service enablers, as specified in [ITU-T Y.2201]; + NOTE – NGN service enablers are a subset of the NGN capabilities specified in [ITU-T Y.2201]. + - 2) NGN-SIDE is required to support mechanisms to expose Internet domain resources; + - 3) NGN-SIDE is required to support mechanisms to expose broadcasting domain resources; + - 4) NGN-SIDE is required to support exposure of composite resources, such as composite applications and services, offered by a given NGN-SIDE resource provider; + - 5) NGN-SIDE is required to support the exposure of legacy services (e.g., PSTN/IN based services); + - 6) NGN-SIDE is recommended to support the exposure of contents offered by NGN-SIDE resource providers. +- B. NGN-SIDE is required to support brokering of NGN and non-NGN resources offered by different NGN SIDE resource providers in a secure and controllable way as follows: + - 1) The resource brokering is required to manage interactions among all available resources, including cloud resources, offered by different NGN-SIDE resource providers; + - 2) The resource brokering is required to take into account context information (including end user's context information) when selecting a resource to fulfill a request from the NGN-SIDE integration layer. + +## **8.4 NGN-SIDE security related requirements** + +A. NGN-SIDE is required to support the following: + +- 1) NGN-SIDE is required to fulfill the NGN security requirements according to [ITU-T Y.2201], [ITU-T Y.2701] and [ITU-T Y.2702]; +- 2) NGN-SIDE is required to support security mechanisms according to [ITU-T Y.2704] for the following dimensions: access control, authentication, authorization, non-repudiation, data confidentiality, communication security, data integrity, availability and privacy; +- 3) When NGN-SIDE is not supported by the NGN provider, NGN-SIDE is required to fulfill general security requirements according to [ITU-T X.805] dimensions; +- 4) NGN-SIDE is required to provide a security environment for the NGN-SIDE user, so that the NGN-SIDE user can set up a trust domain for context aware applications; +- 5) NGN-SIDE is required to provide a privacy schema to enable the NGN-SIDE user's protection for access and selection of NGN-SIDE user related context information; +- 6) NGN-SIDE is required to have mechanisms to manage, control and distribute context related information, according to the NGN-SIDE provider's privacy policies and related agreements with NGN-SIDE users and the NGN-SIDE resource providers supplying context information; +- 7) NGN-SIDE is recommended to provide identity management support to NGN-SIDE users via integration of NGN identity management network based capabilities according to [ITU-T Y.2201], [ITU-T Y.2720], [ITU-T Y.2721] and [ITU-T Y.2722] with Identity Management capabilities provided by applications and/or other resources. + +# **9 NGN-SIDE capabilities** + +This clause describes the capabilities of NGN-SIDE according to the NGN-SIDE layered view. + +Part of the functionalities provided by NGN-SIDE is supported via the capabilities identified in [ITU-T Y.2234]. Specific relationships between the capabilities defined in this Recommendation and the capabilities defined in [ITU-T Y.2234] are provided in Annex A. + +## **9.1 NGN-SIDE capabilities related to the NGN-SIDE integration layer** + +#### **9.1.1 Application development support** + +This capability enables application developers to develop applications using resources exposed by NGN-SIDE. + +An application developer can develop applications using online or offline design tools. + +In the online application development mode, the application developer interacts with the application development support and develops applications using online tools accessible via the application development support. + +In the offline application development mode, the application developer uses offline tools (e.g., software development kits (SDKs), plug-ins) via the application development support and develops applications. + +NOTE – SDKs are used to facilitate the development of applications by application developers. + +The following types of SDK are considered: + +- device SDK, which provides a set of development tools for the creation of UE hosted applications residing on UEs; + +- network SDK, which provides a set of development tools for the creation of applications (third-party applications or NGN-SIDE in-house applications). + +The application development support capability is required to: + +- provide an easy and secure access to resource repository; +- provide developers' applications with customer and contextual data to deliver an enhanced user experience; +- support integrated development management tools; +- provide access to the application developers' community; +- support access to the testing environment; +- support purchasing and payment mechanisms as well as revenue sharing models; +- provide support functionality for secure storage of developers' applications; +- provide rules, guidelines, sample applications and API definitions for rapid application development; +- support the collection and exposure of customer's feedback and ratings about applications; +- support security mechanisms to assure protection of intellectual property. + +### **9.1.2 Resource repository** + +The resource repository capability is required to provide functionalities for the storage of information related to the registered resources. Information related to the registered resources includes various suitable packaging tools (e.g., Java SDK, .NET SDK and Eclipse) for application developers. + +The resource repository capability is recommended to: + +- provide a version management mechanism to allow registered resource automatic upgrade; +- provide a common mechanism to interact with the resource registry capability for cooperation on resource related information retrieval and storage. + +#### **9.1.3 Testing environment** + +This capability provides a testing environment to application developers to allow testing of application operation (e.g., support of application tracing, debugging). + +The testing environment capability: + +- can optionally support tools and capabilities for simulation of NGN-SIDE capabilities as appropriate for testing; +- is recommended to not impact the operations of NGN-SIDE; +- is recommended to support resource simulation by NGN-SIDE itself within the testing environment. + +#### **9.1.4 Access control** + +The access control capability provides translation of APIs and protocols across different NGN-SIDE service interfaces as well as access from applications to functionalities or resources exposed by NGN-SIDE. + +The access control capability is required to support the following functionalities: + +- API and protocol translation between different service interfaces and NGN-SIDE; +- authentication of NGN-SIDE users requesting usage of exposed functionalities or resources; + +- policy-based authorization of NGN-SIDE users requesting usage of exposed functionalities or resources; +- handling and relaying of service requests or events from applications or resources towards NGN-SIDE; +- handling and relaying of responses from applications or resources; +- triggering of charging events for applications accessing functionalities or resources exposed by NGN-SIDE. + +#### 9.1.5 Service orchestration + +This capability is required to provide mechanisms for: + +- composing resources (resources provided by the NGN-SIDE provider as well as registered resources from other domains) to create new composite resources; +- executing composite resources. + +Composing resources is the process of generation of the service logic (i.e., the logic of the service to be provided by NGN-SIDE) taking into account the requirements from the end-user (user of the application), including the consideration of context information, and dynamic changes of resources. + +Executing composite resources includes parsing and running the service logic. + +NOTE – The execution process also includes ensuring reliability and continuity of the service to be provided by NGN-SIDE, when a resource to be composed is not available (e.g., the resource hosting device is powered off or its connection to NGN-SIDE is broken). + +#### 9.1.6 Resource registry + +This capability provides the functionalities related to the registration, deregistration, discovery, and governance of resources offered by NGN-SIDE resource providers. Registration-oriented resource descriptions, including unique resource identification and resource addressing, are published in resource registry. + +This capability defines a mechanism for a resource of an NGN-SIDE resource provider to be registered within NGN-SIDE, so that this resource can be located and accessed by applications. + +The resource registry capability provides the following functionalities: + +- The resources offered to NGN-SIDE by NGN-SIDE resource providers are required to be registered in the resource registry. The resource registry is required to support resource update as well as resource deregistration. +- When there is a resource deregistration request (e.g., if a resource is not needed anymore), the resource registry capability is required to ensure the application running instances' reliability. +- The resource registry capability is required to provide a resource discovery mechanism which allows NGN-SIDE users (e.g., applications) to choose an appropriate resource. Resources are discovered based on static configuration and dynamic information. + +NOTE – The static information used for selection may include user identity information (e.g., user name or binding address) which is generally invariable; the dynamic information used for selection may include other user information, such as user's presence and location, user's access network bandwidth, which is subject to change. + +- The resource registry capability is required to provide resource governance in terms of the management of all registered resources, including resource life cycle management, resource portfolio management, resource performance monitoring. For example, when a resource is updated, the resource registry capability is responsible for updating the resource repository and the application running instances about this update. + +#### **9.1.7 Service dispatcher** + +This capability provides unified message routing and message exchange mechanisms within NGN-SIDE. + +The message routing mechanisms provide route calculation for requests and responses between NGN-SIDE users and NGN-SIDE resource providers. Message routing can be based on various criteria, e.g., context, policies. + +The message exchange mechanisms control the message flow between NGN-SIDE users and NGN-SIDE resource providers. + +The service dispatcher interacts with policy decision to enforce policies for service level monitoring such as QoS control. + +The service dispatcher also provides API and protocol transformation from applications to common message structure and business event handling and vice versa. + +The service dispatcher capability is required to: + +- support the exchange and routing of messages between NGN-SIDE users and NGN-SIDE resource providers. This includes support of message flows involving multiple application providers; +- interact with policy decision to enforce policies for service level monitoring such as QoS control; +- support API and protocol transformation from applications to common message structure, and handling of business events, and vice versa. + +#### **9.1.8 Policy decision** + +The policy decision provides the policy decision making function and interacts with other capabilities to provide the policy decision results for policy enforcement. The policy decision capability is required to: + +- synchronize policy related information with the policy management capability; +- interpret policy rules provided by the policy management capability; +- interact with other capabilities (e.g., service dispatcher, resource brokering) for policy decisions, according to policy related information. + +#### **9.1.9 Resource manager** + +The resource manager performs the controlling functions for all resources in order to satisfy the application's requirements. During the deployment of NGN-SIDE in-house applications, the application provisioning capability communicates with the resource manager which assigns the resources (including computing, connectivity, and storage) internal to NGN-SIDE according to the application's requirements (SLAs) and the NGN-SIDE provider's policies. The resource manager capability is required to assign the resources (including computing, connectivity, and storage) internal to NGN-SIDE according to the application's requirements (SLAs) and the NGN-SIDE provider's policies. + +#### **9.1.10 Policy management** + +The policy management capability provides the management of policies [ITU-T Y.2201], used for access, provisioning, logging and management of resources. The policy management capability is required to provide policy management functionalities, including storing policy related information such as SLAs between NGN-SIDE users and NGN-SIDE resources and end-user's preferences provided by end users at subscription time. + +#### 9.1.11 Content management + +Content can be provided as resources to NGN-SIDE by different NGN-SIDE resource providers (e.g., content providers and end users). The content management capability is required to provide the following functionalities: + +- extraction of appropriate information (including size, type, publisher, location) from content, enabling the NGN-SIDE provider to ensure the integrity of the content itself; +- profiling of content as appropriate to enable its delivery to different NGN-SIDE users' environments, such as content for specific applications (e.g., WAP applications, CRBT applications, web applications), content for specific end-user equipment, content for specific end-user locations; +- dispatching of content to content storage resources in order to expose content to applications. + +NOTE – Content storage resources can be supported within NGN-SIDE or outside of NGN-SIDE. + +#### 9.1.12 Charging + +This capability coordinates charging for NGN-SIDE, interacting as appropriate with the NGN accounting and charging capabilities [ITU-T Y.2201]. The charging capability is required to support charging modes and mechanisms as specified in [ITU-T Y.2233], including: + +- support of revenue sharing among the various actors involved in the NGN-SIDE ecosystem (e.g., support of individual application developers); +- support of event-based online or offline charging in the NGN-SIDE ecosystem. + +#### 9.1.13 Management of role-related information + +The management of role-related information capability makes role-related information available to other NGN-SIDE capabilities (e.g., to access control for role authentication and authorization). + +Role-related information includes basic information for all roles (e.g., NGN-SIDE user – resource provider relationship), role specific information (e.g., preference profiles), subscription related information (e.g., end user-application provider subscription relationship information for in-house applications). The management of role related information capability: + +- is required to provide policy-based access and centralized management (i.e., add, modify or delete operations) of role-related information, including information on role inter-relationship, concerning the different roles involved in the NGN-SIDE ecosystems; +- can optionally support storage of role-related information. + +#### 9.1.14 Application provisioning + +The application provisioning capability is used for the deployment of applications in a secure way by the NGN-SIDE provider when they are available for deployment. + +NOTE – This capability is used for NGN-SIDE in-house applications. This capability provides application packaging, publishing, deployment, lifecycle management and monitoring functions. The application provisioning capability is required to provide: + +- a standard format for application packaging, including directory structure, compression format, configuration format; +- a standard schema for application provisioning; +- a publishing mechanism to make an application accessible in different domains, e.g., assigning a domain name to the application for Internet user access, assigning an SMS access code for PLMN user access; +- a deployment mechanism which allows the assignment of an application server in the NGN-SIDE provider domain for application hosting; + +- access means for control of application lifecycle, including application setup, revocation, update, version management and tracing log. + +#### **9.1.15 Context management** + +The context management capability collects, aggregates and manages context information related to different context sources, exposing context information, including to other NGN-SIDE entities, according to the NGN-SIDE provider's policies. + +Context information includes different types of context related information such as service, end-user, device and network context: + +- the service context may include service availability, service QoS, service performance; +- the end-user context may include the end-user's identity, end-user's presence, end-user's end location, end-user's preferences and end-user's social status; +- the device context may include device status (e.g., device's presence, device's capabilities) and device's runtime parameters (e.g., CPU, memory, load, performance); +- the network context may include network conditions (e.g., bandwidth, traffic, topology) and network performance. + +The context management capability is required to: + +- collect and aggregate context information related to different context sources; +- expose context information, including to other NGN-SIDE capabilities, according to the NGN-SIDE provider's policies. + +### **9.2 NGN-SIDE capabilities related to the NGN-SIDE adaptation layer** + +#### **9.2.1 Resource brokering** + +This capability provides the interaction between applications and resources for the downward invocation of resources and the upward triggering of applications. It also interacts with the NGN-SIDE integration layer capabilities (e.g., policy decision) to enforce the resource related policies such as scheduling of resources. The resource brokering capability provides the following functionalities: + +- For the downward request from the application side, the resource brokering is required to interact with policy decision in order to decide which resources should be invoked among the candidate resources and to mediate among the resources according to the context information (e.g., end-user's preferences, resource conditions, device status). +- For the upward request from the resource side, the resource brokering is required to control the application's trigger sequence and mediate among the applications and resources according to policies (including the NGN-SIDE provider's policies, context information, and application provider's policies). +- The resource brokering is recommended to provide brokering of cloud resources from a single or multiple domains. + +NOTE – Details about requirements for support by the resource brokering of cloud resources are out of scope of this Recommendation. + +#### **9.2.2 Adaptors** + +The resources offered by NGN-SIDE resource providers may vary, based on the underlying resource technology used by the NGN-SIDE resource providers. This makes it difficult for application developers to develop new applications based on direct usage of such diverse and complex underlying resources. + +The NGN-SIDE adaptation layer adapts resources offered by NGN-SIDE resource providers such as their own service logic and service control, and related protocols, in order to provide uniformly adapted resources (e.g., control and media format) for interaction with the NGN-SIDE integration layer. NGN-SIDE resource providers use standardized or proprietary interfaces called "NGN-SIDE resource interfaces" (clause 10.2) to offer resources to NGN-SIDE. These interfaces are adapted by NGN-SIDE. + +The NGN-SIDE adaptation layer provides adaptation capabilities, called adaptors, hiding the details of the resources in the NGN-SIDE resource layer as shown in Figure 9-1. + +![Figure 9-1: Adaptation of resources in NGN-SIDE. The diagram shows a layered architecture. At the top is the 'Application layer'. Below it is the 'NGN-SIDE integration layer'. Inside the integration layer is the 'Resource brokering' layer. Below resource brokering is the 'NGN-SIDE adaptation layer', which contains five boxes: 'Adaptors for NGN domain', 'Adaptors for Internet domain', 'Adaptors for other domains (broadcasting, etc.)', 'Adaptors for other telecommunication domains (i.e., PSTN/IN, PLMN)', and 'Adaptors for content provider domain'. Below the adaptation layer is the 'NGN-SIDE resource layer', which contains five boxes: 'Resources offered by NGN domain', 'Resources offered by Internet domain', 'Resources offered by other domains (broadcasting, etc.)', 'Resources offered by other telecommunication domains (i.e., PSTN/IN, PLMN)', and 'Resources offered by content provider domain'. Vertical lines connect the Application layer to the integration layer, the integration layer to the adaptation layer, and the adaptation layer to the resource layer.](dcb5711d118ae6753b0e12f86eda37db_img.jpg) + +Y.2240(11)\_F9-1 + +Figure 9-1: Adaptation of resources in NGN-SIDE. The diagram shows a layered architecture. At the top is the 'Application layer'. Below it is the 'NGN-SIDE integration layer'. Inside the integration layer is the 'Resource brokering' layer. Below resource brokering is the 'NGN-SIDE adaptation layer', which contains five boxes: 'Adaptors for NGN domain', 'Adaptors for Internet domain', 'Adaptors for other domains (broadcasting, etc.)', 'Adaptors for other telecommunication domains (i.e., PSTN/IN, PLMN)', and 'Adaptors for content provider domain'. Below the adaptation layer is the 'NGN-SIDE resource layer', which contains five boxes: 'Resources offered by NGN domain', 'Resources offered by Internet domain', 'Resources offered by other domains (broadcasting, etc.)', 'Resources offered by other telecommunication domains (i.e., PSTN/IN, PLMN)', and 'Resources offered by content provider domain'. Vertical lines connect the Application layer to the integration layer, the integration layer to the adaptation layer, and the adaptation layer to the resource layer. + +**Figure 9-1 – Adaptation of resources in NGN-SIDE** + +The NGN-SIDE adaptation layer includes adaptors for resources available in the NGN-SIDE resource layer. The adaptors perform adaptation at both control plane and media plane level. + +Figure 9-2 shows the approach for adaptation of resources offered by the NGN-SIDE resource layer. + +![Figure 9-2: Resource adaptation in NGN-SIDE. The diagram shows two hierarchical layers. The top layer, 'Abstracted applications', contains 'Abstracted applications', 'Abstracted service enablers', 'Abstracted network capabilities', 'Abstracted content', 'Other abstracted resources (abstracted IdM resources, abstracted USN resources, abstracted M2M resources, etc.)', 'Virtualized connectivity', 'Virtualized computing', and 'Virtualized storage'. The bottom layer, 'Applications', contains 'Applications', 'Service enablers', 'Network capabilities', 'Content', 'Other resources (IdM resources, USN resources, M2M resources, etc.)', 'Connectivity', 'Computing', and 'Storage'. A vertical line connects the two layers, indicating abstraction and mapping.](11edb7fcedf09ac6a817f8d7b8c61eec_img.jpg) + +Y.2240(11)\_F9-2 + +Figure 9-2: Resource adaptation in NGN-SIDE. The diagram shows two hierarchical layers. The top layer, 'Abstracted applications', contains 'Abstracted applications', 'Abstracted service enablers', 'Abstracted network capabilities', 'Abstracted content', 'Other abstracted resources (abstracted IdM resources, abstracted USN resources, abstracted M2M resources, etc.)', 'Virtualized connectivity', 'Virtualized computing', and 'Virtualized storage'. The bottom layer, 'Applications', contains 'Applications', 'Service enablers', 'Network capabilities', 'Content', 'Other resources (IdM resources, USN resources, M2M resources, etc.)', 'Connectivity', 'Computing', and 'Storage'. A vertical line connects the two layers, indicating abstraction and mapping. + +**Figure 9-2 – Resource adaptation in NGN-SIDE** + +Resources shown in Figure 9-2 such as service enablers, network capabilities, applications, connectivity, computing, storage, content and other resources (including USN resources and M2M resources), can be offered by NGN or non-NGN. + +NGN-SIDE is required to abstract connectivity, computing and storage resources by using virtualization mechanisms. + +NGN-SIDE is required to abstract network capabilities, service enablers, applications, content and other resources by using a standardized description mechanism, i.e., common message structure, common media format, unique mapping scheme between resources and common message structure. + +NGN-SIDE is recommended to support the adaptation of resources to support M2M applications, including: + +- support of M2M adaptors for accessing M2M devices (e.g., directly or via M2M gateways) [b-ETSI-102.689]. +NOTE 1 – NGN-SIDE acts in this approach as middleware for M2M (resources for support of M2M applications are abstracted in NGN-SIDE); +- support of M2M adaptors for accessing M2M related resources. +NOTE 2 – NGN-SIDE acts in this approach as a mediator between M2M applications and M2M middleware. + +NGN-SIDE is recommended to support the adaptation of resources to support USN applications [ITU-T Y.2221], including: + +- support of USN adaptors for accessing sensor networks (e.g., directly or via USN gateways). +NOTE 3 – NGN-SIDE acts in this approach as USN middleware (NGN capabilities for support of USN applications [ITU-T Y.2221] are abstracted in NGN-SIDE); +- support of USN adaptors to USN middleware as described in [ITU-T Y.2221]. +NOTE 4 – NGN-SIDE acts in this approach as a mediator between USN applications and USN middleware. NGN-SIDE is recommended to support adaptation of resources to support the various cloud service categories, including support of adaptors for accessing cloud resources (including connectivity, computing, and storage). The following clauses provide details about adaptors for resources offered by NGN and Non-NGN. + +##### 9.2.2.1 Adaptors for resources offered by NGN + +Figure 9-3 shows the approach for adaptation of resources specifically offered by NGN. + +![Figure 9-3: Adaptation examples of resources offered by NGN. The diagram shows two hierarchical levels. The top level is a large box containing two sub-boxes. The left sub-box is labeled 'Adaptors for NGN capabilities' and contains six smaller boxes: 'Adaptor for messaging', 'Adaptor for context awareness', 'Adaptor for presence', 'Adaptor for location', 'Adaptor for session', and 'Adaptors for other NGN capabilities'. The right sub-box is labeled 'Adaptors for other NGN resources'. The bottom level is a similar large box. The left sub-box is labeled 'NGN capabilities' and contains six smaller boxes: 'Messaging', 'Context awareness', 'Presence', 'Location', 'Session', and 'Other NGN capabilities'. The right sub-box is labeled 'Other NGN resources'. A vertical line connects the two large boxes.](dcf37c460c66ec011dbe6ca08de44ff9_img.jpg) + +Y.2240(11)\_F9-3 + +Figure 9-3: Adaptation examples of resources offered by NGN. The diagram shows two hierarchical levels. The top level is a large box containing two sub-boxes. The left sub-box is labeled 'Adaptors for NGN capabilities' and contains six smaller boxes: 'Adaptor for messaging', 'Adaptor for context awareness', 'Adaptor for presence', 'Adaptor for location', 'Adaptor for session', and 'Adaptors for other NGN capabilities'. The right sub-box is labeled 'Adaptors for other NGN resources'. The bottom level is a similar large box. The left sub-box is labeled 'NGN capabilities' and contains six smaller boxes: 'Messaging', 'Context awareness', 'Presence', 'Location', 'Session', and 'Other NGN capabilities'. The right sub-box is labeled 'Other NGN resources'. A vertical line connects the two large boxes. + +**Figure 9-3 – Adaptation examples of resources offered by NGN** + +NOTE – NGN resources include NGN capabilities, as described in [ITU-T Y.2201], and other NGN resources. + +Figure 9-3 shows only some examples of NGN capability adaptors. The actual scope of adaptation depends on the NGN-SIDE provider's policies and, in case the NGN-SIDE provider and the NGN provider are distinct, on the agreements with the NGN provider. + +NGN-SIDE is recommended to provide adaptors for at least the following service enablers [ITU-T Y.2201]: + +- message handling; +- presence; +- location management; +- session handling; +- accounting and charging. + +##### 9.2.2.2 Adaptors for resources offered by non-NGN + +Figure 9-4 shows the approach for adaptation of resources specifically offered by non-NGN. + +![Diagram illustrating adaptation examples of resources offered by Non-NGN. The diagram shows two main sections connected by a vertical line. The top section is a large box containing four sub-boxes, each representing a domain: 'Adaptors for telecommunication domain' (with SMS, MMS, IN, and other telecommunication resources), 'Adaptors for Internet domain' (with e-mail, search, map, and other Internet resources), 'Adaptors for content provider domain' (with media and other content resources), and 'Adaptors for broadcasting domain' (with DVB and other broadcasting resources). The bottom section is a similar large box containing four sub-boxes representing the actual resources: 'Telecommunication domain' (SMS, MMS, IN, other telecommunication resources), 'Internet domain' (e-mail, search, map, other Internet resources), 'Content provider domain' (Media, other content resources), and 'Broadcasting domain' (DVB, other broadcasting resources).](692541e65db4dc852988ce77ebb60ce5_img.jpg) + +Diagram illustrating adaptation examples of resources offered by Non-NGN. The diagram shows two main sections connected by a vertical line. The top section is a large box containing four sub-boxes, each representing a domain: 'Adaptors for telecommunication domain' (with SMS, MMS, IN, and other telecommunication resources), 'Adaptors for Internet domain' (with e-mail, search, map, and other Internet resources), 'Adaptors for content provider domain' (with media and other content resources), and 'Adaptors for broadcasting domain' (with DVB and other broadcasting resources). The bottom section is a similar large box containing four sub-boxes representing the actual resources: 'Telecommunication domain' (SMS, MMS, IN, other telecommunication resources), 'Internet domain' (e-mail, search, map, other Internet resources), 'Content provider domain' (Media, other content resources), and 'Broadcasting domain' (DVB, other broadcasting resources). + +Y.2240(11)\_F9-4 + +**Figure 9-4 – Adaptation examples of resources offered by Non-NGN** + +NGN-SIDE supports the adaptation of telecommunication domain resources, Internet domain resources, broadcasting domain resources and content provider domain resources. + +- A. In order to access resources from the telecommunication domain, NGN-SIDE is: + - i) required to provide adaptors for the following resources: + - SMS resources; + - MMS resources; + - LCS resources; + - WAP gateway resources. + - ii) recommended to provide adaptors for the following resources: + - intelligent network resources (e.g., adaptation for INAP, WIN, CAMEL based interfaces); + - IMS based network resources. +- B. In order to access resources from the Internet domain, NGN-SIDE is recommended to provide adaptors for at least the following Internet resources: + - Internet e-mail resources; + - file transfer resources; + - search resources; + - RSS resources + - map resources; + - web services resources; + - social network services resources. + +- C. In order to support adaptation for content provider domain, NGN-SIDE is recommended to provide content adaptation for different content types, and support of format adaptation, codec adaptation, and code and packaging adaptation according to the corresponding standards: +- format adaptation provides data conversion from one coding format to another one as per context (e.g., binary coding to text coding); + - codec adaptation provides media translation from one codec format to another one (e.g., ITU-T G.711 codec format to ITU-T G.729 codec format); + - code and packaging adaptation provides file and packaging format adaptation (e.g., bitmap to gif, rar to zip). +- NOTE – Content can be adapted from different sources, such as directly from a content provider or indirectly from a content delivery service provider. +- D. In order to access resources from broadcasting domain, NGN-SIDE is recommended to provide adaptors for the corresponding resources, including adaptation for enablers from DVB, OMA and 3GPP (e.g., OMA BCAST [b-OMA-BCAST] or 3GPP MBMS [b-3GPP-MBMS]). +- E. NGN-SIDE is recommended to provide adaptors for streaming resources from different domains. +- F. In order to access cloud resources, NGN-SIDE is recommended to provide adaptors for the cloud resources. + +# **10 NGN-SIDE interfaces requirements** + +## **10.1 NGN-SIDE positioning within the NGN reference architecture** + +Figure 10-1 shows the NGN-SIDE positioning within the NGN reference architecture [ITU-T Y.2012]. + +![Figure 10-1 – NGN-SIDE positioning within the NGN reference architecture](183007754364096b2d89f42200cf870f_img.jpg) + +The diagram illustrates the NGN-SIDE positioning within the NGN reference architecture. At the top is an 'Applications' block connected via an 'ANI' (Application Network Interface) line. Below this is the 'Service stratum' (green box) containing the 'NGN-SIDE layer'. Inside the NGN-SIDE layer are sub-blocks: 'Services creation', 'Services execution', and 'Services delivery management' within an 'NGN-SIDE integration layer'; 'Resource brokering'; and 'Adaptors' within an 'NGN-SIDE adaptation layer'. To the left of the service stratum are 'IdM functions' and 'End-user functions'. To the right are 'Functions from other service providers' (connected via 'SNI') and 'Functions from other networks' (connected via 'NNI'). Below the service stratum is the 'Transport stratum' (yellow box) containing 'Transport control functions' and 'Transport functions'. A vertical 'Management functions' bar (pink) is on the far left. The diagram uses a legend to define line types: dashed black for 'Control except SIDE', solid blue for 'Media', dashed pink for 'Management', dashed yellow for 'IdM', dotted green for 'Control for SIDE', and solid green for 'Media for SIDE'. + +Figure 10-1 – NGN-SIDE positioning within the NGN reference architecture + +**Figure 10-1 – NGN-SIDE positioning within the NGN reference architecture** + +The NGN-SIDE functional components are positioned inside the NGN service stratum. The NGN-SIDE adaptation layer enables the abstraction of resources, including the resources of the NGN transport stratum (e.g., transport control functions and transport functions related resources) and the NGN service stratum (e.g., service control functions and content delivery functions related resources). + +NOTE 1 – This Recommendation assumes one single NGN-SIDE per NGN domain. + +"Control for SIDE" in Figure 10-1 represents the control level interfaces between NGN-SIDE and relevant entities outside the NGN service stratum. In particular: + +- "Control for SIDE" at the ANI between applications and NGN-SIDE represents the interface to third-party applications. +- "Control for SIDE" at the NNI between other networks and NGN-SIDE represents the interface to other networks (e.g., to access NGN-SIDE in another NGN, resources in other networks). +- "Control for SIDE" at the UNI between end-user functions and NGN-SIDE, represents the interface to end-user functions (e.g., to access resources located in the end-user side, to expose NGN-SIDE capabilities to applications in the end-user side). + +26 Rec. ITU-T Y.2240 (04/2011) + +- "Control for SIDE" at the SNI between other service providers and NGN-SIDE represents the interface to other service providers (e.g., content providers). + +"Media for SIDE" in Figure 10-1 represents the media level interfaces between NGN-SIDE and relevant entities outside the NGN service stratum. + +NOTE 2 – "Control for SIDE" and "Media for SIDE" interfaces between NGN-SIDE and NGN service stratum are implicit but not shown in Figure 10-1. In line with [ITU-T Y.2012], it is possible for identity management (IdM) functions to reside in different planes (e.g., user, control and management) and different strata of the architecture (e.g., service stratum and transport stratum). Although IdM functions are shown in Figure 10-1 as a stand-alone group of functions, this is not intended to impose any implementation design or restrictions for IdM functions. + +NGN-SIDE may provide support for IdM (e.g., IdM related to NGN-SIDE users, NGN-SIDE resource providers and NGN-SIDE provider). In particular, NGN-SIDE capabilities such as resource registry, resource repository, access control, management of role-related information may provide support for IdM mechanisms [ITU-T Y.2722]. + +In addition, NGN-SIDE may also provide adaptation of IdM resources (via appropriate adaptors), including NGN IdM resources, and may also expose IdM resources to NGN-SIDE users. Although management functions are shown in Figure 10-1 as a stand-alone group of functions, this is not intended to impose any implementation design or restrictions for management functions. In particular, NGN-SIDE supports some management functions in the service delivery management functional group. + +## **10.2 NGN-SIDE interfaces** + +The NGN-SIDE interfaces extend the NGN interfaces [ITU-T Y.2012], i.e., ANI, UNI, SNI, and NNI, for its interaction with NGN-SIDE users and NGN-SIDE resource providers. + +The NGN-SIDE interfaces can be categorized as follows: + +- NGN-SIDE resource interfaces; +- NGN-SIDE service interfaces. + +As far as the interfaces among NGN-SIDE internal capabilities, this Recommendation does not identify reference points among NGN-SIDE internal capabilities. However, it is not precluded that NGN-SIDE uses standard interfaces among NGN-SIDE internal capabilities, in order to facilitate NGN-SIDE internal capabilities' reusability, portability, accessibility. + +### **10.2.1 NGN-SIDE resource interfaces** + +Figure 10-2 shows interaction between NGN-SIDE and resources from NGN-SIDE resource providers. In this perspective, NGN-SIDE consumes resources offered by NGN-SIDE resource providers. + +NGN-SIDE resource interfaces refer to the standardized or proprietary interfaces exposed by NGN-SIDE resource providers. NGN-SIDE adapts these interfaces to access resources as described in clause 9.2.2. + +NOTE – This Recommendation assumes that NGN-SIDE accesses resources via standardized or proprietary interfaces. Mapping between resource interfaces and NGN interfaces [ITU-T Y.2012] is not provided in this Recommendation. + +![Figure 10-2: Interaction between NGN-SIDE and resources. The diagram shows a green rounded rectangle labeled 'NGN-SIDE' at the top. Below it, a vertical line labeled 'Resources interfaces' connects to a larger rounded rectangle labeled 'Resources'. Inside the 'Resources' box, there are six smaller rounded rectangles arranged in two rows: 'IdM', 'PRES', 'SMS' in the top row, and 'LOC', 'MMS', and three dots '...' in the bottom row. The reference 'Y.2240(11)_F10-2' is at the bottom.](e451401f8fa77b466f401d5fce15b26c_img.jpg) + +Figure 10-2: Interaction between NGN-SIDE and resources. The diagram shows a green rounded rectangle labeled 'NGN-SIDE' at the top. Below it, a vertical line labeled 'Resources interfaces' connects to a larger rounded rectangle labeled 'Resources'. Inside the 'Resources' box, there are six smaller rounded rectangles arranged in two rows: 'IdM', 'PRES', 'SMS' in the top row, and 'LOC', 'MMS', and three dots '...' in the bottom row. The reference 'Y.2240(11)\_F10-2' is at the bottom. + +**Figure 10-2 – Interaction between NGN-SIDE and resources** + +### 10.2.2 NGN-SIDE service interfaces + +This section identifies the NGN-SIDE service interface requirements in terms of APIs, related protocols and technologies across NGN ANI, UNI, SNI, and NNI. Figure 10-3 shows a high level view of the relationship of NGN-SIDE with NGN ANI, UNI, SNI, and NNI. + +![Figure 10-3: Service interfaces supported by NGN-SIDE. The diagram shows a large green rounded rectangle labeled 'NGN-SIDE' in the center. Above it, three white rounded rectangles represent 'UE hosted applications', 'Third party applications', and 'Other service providers (e.g., content provider)'. Vertical lines connect these to the NGN-SIDE box, labeled 'UNI', 'ANI', and 'SNI' respectively. To the right, a vertical rounded rectangle labeled 'Other networks' is connected to the NGN-SIDE box by a dashed line labeled 'NNI'. The reference 'Y.2240(11)_F10-3' is at the bottom right.](1cac1845cf99a3f64ae00cd2bb4f9ed7_img.jpg) + +Figure 10-3: Service interfaces supported by NGN-SIDE. The diagram shows a large green rounded rectangle labeled 'NGN-SIDE' in the center. Above it, three white rounded rectangles represent 'UE hosted applications', 'Third party applications', and 'Other service providers (e.g., content provider)'. Vertical lines connect these to the NGN-SIDE box, labeled 'UNI', 'ANI', and 'SNI' respectively. To the right, a vertical rounded rectangle labeled 'Other networks' is connected to the NGN-SIDE box by a dashed line labeled 'NNI'. The reference 'Y.2240(11)\_F10-3' is at the bottom right. + +**Figure 10-3 – Service interfaces supported by NGN-SIDE** + +NGN-SIDE service interfaces support: + +- NGN UE hosted applications, which access NGN-SIDE via UNI [ITU-T Y.2012]; +- Third-party applications, which access NGN-SIDE via ANI [ITU-T Y.2012]; +- NGN-SIDE in-house applications, which may access NGN-SIDE via ANI [ITU-T Y.2012], but access via proprietary interfaces is not precluded. + +NGN-SIDE is recommended to implement standardized APIs, protocols, and technologies to realize the service exposure towards applications. + +NOTE – Appendix IV provides an overview of API related efforts in the standardization arena. + +##### 10.2.2.1 General requirements of NGN-SIDE service interfaces + +NGN-SIDE is required to provide NGN-SIDE users with access to NGN-SIDE via the NGN-SIDE service interfaces (i.e., ANI, UNI, NNI, SNI) for usage of the services offered by the NGN-SIDE provider. + +The NGN-SIDE integration layer processes the service request received from the invoked NGN-SIDE service interface according to the service request's communication needs. The NGN-SIDE adaptation layer is invoked according to the service request's processing results in order to provide adaptation for the requested resource and then the service response is sent to the NGN-SIDE service interface. + +NGN-SIDE is recommended to expose standardized APIs to enable support of the different cloud service categories, including: + +- application services (SaaS); +- platform services (PaaS); + +- communication services (CaaS); +- resource services (IaaS); +- network services (NaaS). + +NOTE 1 – Support of the different cloud service categories through exposure of standardized APIs at the different NGN-SIDE service interfaces is for further study. + +NOTE 2 – In order to support the different cloud service categories, NGN-SIDE can offer, but is not limited to, cloud APIs as specified in [b-OGF-OCCI], [b-DMTF-OVF] and [b-SNIA-CDMI]. + +NOTE 3 – Support of APIs listed in the following subclauses across other NGN-SIDE service interfaces is not precluded. + +##### **10.2.2.2 Service interface requirements across ANI** + +NGN-SIDE ANI service interface is required to provide the interaction between applications and NGN-SIDE. The service requests initiated by applications are sent to the NGN-SIDE integration layer via ANI. + +NGN-SIDE is recommended to support standardized APIs at the ANI for exposing NGN-SIDE resources to applications. + +NOTE – NGN-SIDE can support, but is not limited to, the following APIs across ANI: + +- Parlay service access (PSA) APIs [b-OMA-PSA] [b-3GPP 29.199]; +- Parlay APIs [b-3GPP 29.198]; +- next generation service interfaces (NGSI) APIs [b-OMA-NGSI]; +- RESTful bindings for Parlay X web services (ParlayREST) APIs (See [b-OMA-ParlayREST1.0] and [b-OMA-ParlayREST2.0]); +- GSMA One APIs [b-GSMA-OneAPI] [b-OMA-PXPROF]; +- J2SE APIs, J2EE APIs, JAIN APIs, JTAPI, JDBC APIs, JMS APIs, IMS services APIs, IMS communication enablers (ICE) [b-JCP-JSR]; +- social networks service APIs [b-Twitter], [b-Facebook]. + +##### **10.2.2.3 Service interface requirements across UNI** + +NGN-SIDE is recommended to support standardized APIs at the UNI for exposing NGN-SIDE resources and functions to applications whose application logic is located in the NGN end user functions (e.g., NGN UE hosted applications). + +NOTE – NGN-SIDE can support, but is not limited to, the following APIs across UNI: + +- WAC/OMTP (Wholesale Application Community/Open Mobile Terminal Platform)'s BONDI APIs [b-OMTP-BONDI]; +- WAC/JIL (Wholesale Application Community/Joint Innovation Lab) Widget System Handset APIs [b-JIL-API]; +- W3C's WebApps (web applications) APIs and widgets [b-W3C-WebApps]; +- W3C's DAP (device API and policy) [b-W3C-DAP]; +- W3C's UWA (ubiquitous web applications) [b-W3C-UWA]; +- OMA CSEA(client-side enabler API) [b-OMA-CSEA]; +- HTML5 and Xhtml5 [b-W3C-HTML5]; +- Java Micro Edition JSRs [b-Java ME-JSR]. + +##### **10.2.2.4 Service interface requirements across NNI** + +NGN-SIDE NNI service interface is used to provide interaction with other NGN-SIDEs, NGNs and non-NGNs. + +The following service interfaces are relevant for the interaction of NGN-SIDE with other domains at NNI level: + +- service interface between two distinct NGN-SIDEs (that is, located in two distinct NGN domains); +- service interface between NGN-SIDE and other NGNs which have no NGN-SIDE support; +- service interface between NGN-SIDE and Non-NGNs. + +NGN-SIDE is recommended to support standardized protocols and APIs at the NNI for exposing NGN-SIDE resources and functions to other networks. + +NOTE – NNI Interworking with other (non-NGN) telecommunication domain networks (PSTN, PLMN) follows the existing NGN related NNI specifications (NGN-SIDE is not directly involved in this interworking scenario). + +##### **10.2.2.5 Service interface requirements across SNI** + +NGN-SIDE is recommended to support standardized protocols and APIs at the SNI for exposing NGN-SIDE resources to other service providers (e.g., such as content providers, data information providers and application service providers). + +NOTE – NGN-SIDE can support, but is not limited to, the following protocols, APIs and technologies across SNI: + +- some parlay service access (PSA) APIs (for both control and media), including "Multimedia streaming control", "Multimedia multicast session management", "Content management" [b-OMA-PSA] and [b-3GPP 29.199]; +- Protocols and APIs for IPTV service support [b-ITU-T Y.1910]. + +# **11 Security considerations** + +The security requirements of NGN-SIDE are provided in clause 8. + +# **Annex A** + +## **Relationship between capabilities of NGN-SIDE and [ITU-T Y.2234] capabilities** + +(This annex forms an integral part of this Recommendation.) + +Figure A.1 shows the relationship between the OSE capabilities defined in [ITU-T Y.2234] and the NGN-SIDE capabilities defined in this Recommendation. + +NOTE – In Figure A.1, relationships between OSE [ITU-T Y.2234] and NGN-SIDE capabilities are highlighted using arrows. + +![Figure A.1: Relationship between ITU-T Y.2240 and ITU-T Y.2234 capabilities. The diagram shows the NGN-SIDE architecture layers and their mapping to OSE capabilities.](5eb69662cc4fa7d0d49b4eb22951c204_img.jpg) + +``` + +graph TD + subgraph NGN_SIDE_layer [NGN-SIDE layer] + subgraph UserLayer [NGN-SIDE user layer] + Applications_User[Applications] + end + + subgraph IntegrationLayer [NGN-SIDE integration layer] + subgraph ServiceCreation [Service creation] + AppDev[Application development support] + ResRepo[Resource repository] + TestEnv[Testing environment] + end + subgraph ServiceExecution [Service execution] + AccCtrl[Access control] + ServOrch[Service orchestration] + ResReg[Resource registry] + ServDisp[Service dispatcher] + PolDec[Policy decision] + ResMan[Resource manager] + end + subgraph ServiceDelivery [Service delivery management] + PolMan[Policy management] + ContMan[Content management] + Charging[Charging] + RoleMan[Management of role related information] + AppProv[Application provisioning] + CtxMan[Context management] + end + end + + subgraph AdaptationLayer [NGN-SIDE adaptation layer] + ResBrok[Resource brokering] + AdaptNGN[Adaptors for NGN] + AdaptNonNGN[Adaptors for Non-NGN] + end + + subgraph ResourceLayer [NGN-SIDE resource layer] + ResNGN[Resources offered by NGN] + ResNonNGN[Resources offered by Non-NGN] + end + end + + subgraph OSE [OSE] + Applications_OSE[Applications] + ServMan[Service management - Note 1] + ServComp[Service composition] + ServDev[Service development support - Note 1] + ServDisc[Service discovery] + ServReg[Service registration] + PolEnf[Policy enforcement - Note 3] + ServCoord[Service coordonation] + Interwork[Interworking with service creation environnemts - Note 4] + end + + Applications_User --> IntegrationLayer + IntegrationLayer --> AdaptationLayer + AdaptationLayer --> ResourceLayer + + %% Connections to OSE + Applications_OSE --- ServMan + Applications_OSE --- ServComp + IntegrationLayer -.-> OSE + AdaptationLayer -.-> Interwork + +``` + +The diagram illustrates the relationship between ITU-T Y.2240 (NGN-SIDE) and ITU-T Y.2234 (OSE) capabilities. It is structured into several layers and components: + +- NGN-SIDE user layer:** Contains 'Applications'. +- NGN-SIDE integration layer:** A large green box containing three main functional groups: + - Service creation:** Includes 'Application development support', 'Resource repository', and 'Testing environment'. + - Service execution:** Includes 'Access control', 'Service orchestration', 'Resource registry', 'Service dispatcher', 'Policy decision', 'Resource manager', and 'Service execution'. + - Service delivery management:** Includes 'Policy management', 'Content management', 'Charging', 'Management of role related information', 'Application provisioning', and 'Context management'. +- NGN-SIDE adaptation layer:** Contains 'Resource brokering', 'Adaptors for NGN', and 'Adaptors for Non-NGN'. +- NGN-SIDE resource layer:** Contains 'Resources offered by NGN' and 'Resources offered by Non-NGN'. +- OSE (Open Service Environment):** A separate box on the right containing various capabilities: + - Service management (Note 1) + - Service composition + - Service development support (Note 1) + - Service discovery + - Service registration + - Policy enforcement (Note 3) + - Service coordonation + - Interworking with service creation environnemts (Note 4) + +Figure A.1: Relationship between ITU-T Y.2240 and ITU-T Y.2234 capabilities. The diagram shows the NGN-SIDE architecture layers and their mapping to OSE capabilities. + +Y.2240(11)\_FA.1 + +NOTE 1 – It is for further study whether the OSE [ITU-T Y.2234] service management capability relates to other NGN-SIDE capabilities. + +NOTE 2 – It is for further study whether the OSE [ITU-T Y.2234] service development support capability relates to other NGN-SIDE capabilities. + +NOTE 3 – The OSE policy enforcement capability as described in [ITU-T Y.2234] relates to the NGN-SIDE policy decision and policy management capabilities. It is for further study whether the OSE [ITU-T Y.2234] policy enforcement capability also relates to the policy enforcement in NGN-SIDE as realized by the NGN-SIDE service dispatcher and resource brokering capabilities. + +NOTE 4 – The OSE [ITU-T Y.2234] capability for "Interworking with service creation environments" can be conceptually realized by using NGN or non-NGN adaptors with the collaboration of other capabilities in NGN-SIDE. With such adaptors, resources created in other service environments such as IN resources, IMS resources can be made available to NGN-SIDE. Once adapted, these resources can be used in the same way as any other resources in NGN-SIDE, i.e., be used by service creation, service execution and service delivery management functional groups. Therefore although not shown in Figure A.1, the OSE [ITU-T Y.2234] capability for "Interworking with service creation environments" also relates to other NGN-SIDE capabilities. + +**Figure A.1 – Relationship between ITU-T Y.2240 and ITU-T Y.2234 capabilities** + +Table A.1 provides details about the mapping between the NGN-SIDE capabilities and the capabilities defined in [ITU-T Y.2234]. It is worth to note this mapping is a capability level mapping, in line with the scope of this Recommendation. + +**Table A.1 – Details about the mapping between ITU-T Y.2240 and ITU-T Y.2234 capabilities** + +| ITU-T Y.2240 capabilities | ITU-T Y.2234 capabilities | Main additional functions in ITU-T Y.2240 not covered in [ITU-T Y.2234] | +|----------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Access control | Part of "Service management" | Access control additionally provides other functionalities including:
  • – access control for resources offered by non-NGN;
  • – API and protocol translation between different service interfaces and NGN-SIDE.
| +| Service orchestration | Service composition | Service orchestration additionally covers:
  • – service logic composition for resources offered by non-NGN
| +| Resource registry | Service discovery, Service registration, part of "Service coordination", part of "Service development support", and part of "Service management" | Resource registry additionally covers:
  • – registration of resources offered by non-NGN
| +| Application provisioning | No equivalent capability | As specified in clause 9 | +| Resource brokering | Part of "Service coordination" | Resource brokering additionally supports:
  • – brokering for Non-NGN resources and cloud resources;
  • – brokering for applications triggering based on events from underlying resources
| +| Policy decision | Part of "Policy enforcement" | Policy decision additionally supports:
  • – synchronization of policy related information with other capabilities
| +| Service dispatcher | No equivalent capability | As specified in clause 9 | +| Application development support | No equivalent capability | As specified in clause 9 | +| Resource repository | No equivalent capability | As specified in clause 9 | +| Testing environment | No equivalent capability | As specified in clause 9 | +| Policy management | Part of "Policy enforcement" | Policy management additionally supports:
  • – management and storing of policy rules
| +| Content management | No equivalent capability | As specified in clause 9 | +| Charging | No equivalent capability | As specified in clause 9 | +| Management of role-related information | No equivalent capability | As specified in clause 9 | +| Context management | No equivalent capability | As specified in clause 9 | +| Resource manager | No equivalent capability | As specified in clause 9 | + +**Table A.1 – Details about the mapping between ITU-T Y.2240 and +ITU-T Y.2234 capabilities** + +| ITU-T Y.2240
capabilities | ITU-T Y.2234
capabilities | Main additional functions in ITU-T Y.2240
not covered in [ITU-T Y.2234] | +|--------------------------------------------|--------------------------------------|------------------------------------------------------------------------------------| +| Adaptors for NGN | No equivalent capability
(Note) | As specified in clause 9 | +| Adaptors for
non-NGN | No equivalent capability
(Note) | As specified in clause 9 | +| NOTE – See also Figure A.1 and its Note 4. | | | + +## Appendix I + +## Business deployment scenarios in the NGN-SIDE ecosystem + +(This appendix does not form an integral part of this Recommendation.) + +This appendix identifies business deployment scenarios in the NGN-SIDE eco-system. Firstly, identification of typical actors (not an exhaustive set) is provided based upon business roles identified in clause 6 of this Recommendation. Secondly, business deployment scenarios are provided. + +### I.1 Actors mapping to business roles + +The following identifies different actors of the NGN-SIDE ecosystem and the business roles that they can play: + +- The "NGN provider" actor. In the context of NGN-SIDE, the "NGN provider" actor plays the role of NGN-SIDE resource provider (e.g., for resources such as NGN capabilities, NGN service enablers). Depending on the business scenario, the "NGN provider" actor can also play the role of NGN-SIDE provider. If playing the role of NGN-SIDE provider, the "NGN provider" actor can also play the roles of application developer and application provider for NGN-SIDE in-house applications. +- The "integration provider" actor. The "Integration provider" actor plays the role of NGN-SIDE provider; Depending on the business scenario, the "integration provider" can also play the role of application provider. +- The "third-party application provider" actor. The "third-party application provider" actor plays the role of application provider but is distinct from the NGN provider (although it may be a different NGN provider). Examples of third-party application providers include end-users, web-based application providers. + +NOTE 1 – The "third-party application provider" actor can also play the role of application developer or NGN-SIDE resource provider. + +- The "third-party resource provider" actor. The "third-party resource provider" actor plays the role of NGN-SIDE resource provider but is distinct from the NGN provider (although it may be a different NGN provider). Examples of third-party resource providers include PLMN providers, PSTN and ISDN providers, application providers, other NGN providers, end-users. + +NOTE 2 – The "third-party resource provider" actor can also play the role of application provider. + +- The "content provider" actor. The "content provider" actor plays the role of content provider, but is distinct from the NGN provider. Examples of such providers include IPTV content providers, end users. +- The "Third-party application developer" actor. The "third-party application developer" actor plays the role of application developer, but is distinct from the NGN provider. Examples of third-party application developers include end users. + +NOTE 3 – The "third-party application developer" actor can also play the role of application provider. + +NOTE 4 – End-users may include NGN end users and end users from other domains. + +### I.2 Business deployment scenarios + +This clause identifies business deployment scenarios where the NGN-SIDE provider role is played by either the "NGN provider" actor or the "integration provider" actor as described in clause I.1. + +NOTE – In the following figures: + +- actors are represented using yellow coloured rounded boxes; +- the NGN-SIDE provider role is represented using blue coloured ovals; +- roles other than the NGN-SIDE provider role are represented using grey coloured ovals. + +Figure I.1 illustrates an example of business deployment scenario where the NGN provider plays the role of NGN-SIDE provider. + +![Figure I.1: NGN provider as NGN-SIDE provider. The diagram shows a central 'NGN-SIDE provider' (blue oval) connected to various actors. At the top, 'NGN-SIDE users' include 'Application developer' and 'Application provider' (grey ovals) within 'Third party application developer' and 'Third party application provider' (yellow rounded boxes). At the bottom, 'NGN-SIDE resource providers' include 'Content provider', 'Service enabler provider', and 'Third party resource provider' (grey ovals) within yellow rounded boxes. In the center, an 'Integration provider' (yellow rounded box) contains 'Resource provider (in-house)' and 'Resource provider (NGN capabilities)' (grey ovals). All actors are connected to the central 'NGN-SIDE provider'.](0c80c383f76034e117adf5e5eaadaaf3_img.jpg) + +Y.2240(11)\_Fl.1 + +Figure I.1: NGN provider as NGN-SIDE provider. The diagram shows a central 'NGN-SIDE provider' (blue oval) connected to various actors. At the top, 'NGN-SIDE users' include 'Application developer' and 'Application provider' (grey ovals) within 'Third party application developer' and 'Third party application provider' (yellow rounded boxes). At the bottom, 'NGN-SIDE resource providers' include 'Content provider', 'Service enabler provider', and 'Third party resource provider' (grey ovals) within yellow rounded boxes. In the center, an 'Integration provider' (yellow rounded box) contains 'Resource provider (in-house)' and 'Resource provider (NGN capabilities)' (grey ovals). All actors are connected to the central 'NGN-SIDE provider'. + +**Figure I.1 – NGN provider as NGN-SIDE provider** + +In the scenario shown in Figure I.1, in addition to the NGN-SIDE provider role, the "NGN Provider" actor is also playing the role of NGN-SIDE resource provider for the resources it owns as well as the role of an application provider since providing so-called "NGN-SIDE in-house applications". In addition, since playing the role of NGN-SIDE provider, the "NGN provider" actor can: + +- access and integrate resources of actors such as "content provider" and "third-party resource provider"; +- expose NGN-SIDE capabilities and resources to actors such as "third-party application developer" and "third-party application provider". + +Figure I.2 illustrates an example of business deployment scenario where an "integration provider" actor (distinct from the "NGN provider") plays the role of NGN-SIDE provider. + +![Diagram illustrating the NGN-SIDE provider as an integration provider. The diagram shows a central 'Integration provider' box (yellow) containing an 'NGN-SIDE provider' oval (blue). Above the central box are three 'NGN-SIDE users' boxes (yellow), each containing an 'Application developer' or 'Application provider' oval (brown) and labeled 'Third party application developer' or 'Third party application provider'. Below the central box are four 'NGN-SIDE resource providers' boxes (yellow), each containing a 'Resource provider (NGN capabilities)', 'Application provider', 'Service enabler provider', or 'Application provider' oval (brown), and labeled 'NGN provider', 'Content provider', 'Third party resource provider', or 'Third party resource provider'. Lines connect the central box to all surrounding boxes.](878d9539700bd792e7d12ad6f1203c5d_img.jpg) + +**NGN-SIDE users** + +**Integration provider** +**NGN-SIDE provider** + +**NGN-SIDE resource providers** + +Y.2240(11)\_FI.2 + +Diagram illustrating the NGN-SIDE provider as an integration provider. The diagram shows a central 'Integration provider' box (yellow) containing an 'NGN-SIDE provider' oval (blue). Above the central box are three 'NGN-SIDE users' boxes (yellow), each containing an 'Application developer' or 'Application provider' oval (brown) and labeled 'Third party application developer' or 'Third party application provider'. Below the central box are four 'NGN-SIDE resource providers' boxes (yellow), each containing a 'Resource provider (NGN capabilities)', 'Application provider', 'Service enabler provider', or 'Application provider' oval (brown), and labeled 'NGN provider', 'Content provider', 'Third party resource provider', or 'Third party resource provider'. Lines connect the central box to all surrounding boxes. + +**Figure I.2 – NGN-SIDE provider as an integration provider +(distinct from NGN provider)** + +In the scenario shown in Figure I.2, since playing the role of NGN-SIDE provider, the "integration provider" actor can: + +- access and integrate resources of actors such as "NGN provider", "content provider" and "third-party resource provider"; +- expose NGN-SIDE capabilities and resources to actors such as "third-party application developer" and "third-party application provider". + +Figure I.3 illustrates an example of business deployment scenario where the "integration provider" actor also plays the role of application provider. This scenario is similar to the scenario shown in Figure I.2 but allows the "integration provider" to be an application provider. + +![Diagram illustrating the NGN-SIDE provider as an integration provider and application provider. The diagram shows NGN-SIDE users at the top, connected to a central NGN-SIDE provider box. This box is also connected to NGN-SIDE resource providers at the bottom. The central box is labeled 'Integration provider' and contains an 'Application provider' and the 'NGN-SIDE provider'.](0a42e05c07941450f34e4f7117725834_img.jpg) + +NGN-SIDE users + +- Third party application developer:** Contains an oval labeled "Application developer". +- Third party application provider:** Contains an oval labeled "Application provider". +- Third party application provider:** Contains an oval labeled "Application provider". + +**Integration provider:** A central yellow box containing: + +- An oval labeled "Application provider". +- A blue oval labeled "NGN-SIDE provider". + +NGN-SIDE resource providers + +- NGN provider:** Contains an oval labeled "Resource provider (NGN capabilities)". +- Content provider:** Contains an oval labeled "Application provider". +- Third party resource provider:** Contains an oval labeled "Service enabler provider". +- Third party resource provider:** Contains an oval labeled "Application provider". + +Y.2240(11)\_FI.3 + +Diagram illustrating the NGN-SIDE provider as an integration provider and application provider. The diagram shows NGN-SIDE users at the top, connected to a central NGN-SIDE provider box. This box is also connected to NGN-SIDE resource providers at the bottom. The central box is labeled 'Integration provider' and contains an 'Application provider' and the 'NGN-SIDE provider'. + +**Figure I.3 – NGN-SIDE provider as an integration provider and application provider** + +# Appendix II + +## Application scenarios involving NGN-SIDE + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides application scenarios involving NGN-SIDE. + +### II.1 Third-party application scenario "Book a trip" + +| | | +|--------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| NGN-SIDE users | 1) Application called "Book a trip" provided by a "third-party application provider" actor named 'Travel Agency A'. | +| NGN-SIDE resources | 1) MMS resources provided by an NGN provider called 'Network Operator A'.
2) Application called "Booking & Info" provided by a "third-party resource provider" actor named 'Booking Agency A'. This application returns the flight and the hotel reservation reference number, related tourist information.
3) Application called "Weather Info" provided by a "third-party resource provider" actor referred as 'Meteorological agency'. This application provides the weather report associated with a specific location.
4) Application called "Map" provided by a "third-party resource provider" actor named 'Map Resource Provider'. This application returns the map data. | +| Actors | 1) 'End-user A': the end-user of the Application called "Travel agency";
2) 'Network Operator A': the NGN provider who provides the MMS service to end-user A;
3) 'Booking Agency A': the NGN-SIDE resource provider who registers the exposed application "Booking & Info" to NGN-SIDE;
4) 'Map resource provider': the NGN-SIDE resource provider who registers the exposed application "Map" to NGN-SIDE;
5) 'Meteorological Institute': the NGN-SIDE resource provider who registers the application "Weather Info" as a resource in NGN-SIDE;
6) 'Travel Agency A': the third-party application provider who provides the application named "Book a trip". | +| Analysis of the usage model | | +| Main objective of the scenario in terms of usage model | This scenario shows how NGN-SIDE can support third-party applications. | +| NGN-SIDE key features | 1) Third-party deploys an application over NGN-SIDE which is accessed by the end-user using MMS resources.
2) NGN-SIDE provides a way for third-party applications to access the resources registered in NGN-SIDE. | + + + +| | | +|--------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Benefits for relevant business roles |
  1. 1) NGN-SIDE benefits the third-party resource providers providing controlled, managed and secure means to access to their own resources and thus generating revenues related to the use of these resources.
  2. 2) NGN-SIDE benefits the application providers providing single access means to discover NGN-SIDE exposed resources that can be used for developing applications and also providing a flexible and simple way to deploy an application which makes usage of resources from different domains.
  3. 3) NGN-SIDE benefits the NGN provider providing a service integration and delivery environment in an efficient and economical way.
| +| Derived NGN-SIDE requirements | The NGN-SIDE requirements which can be derived from this application scenario are described in clause 8.1 (requirements A.2 and A.3) and clause 8.2 (requirements F.1 and F.2). | + +### II.2 NGN-SIDE in-house application scenario "Enhanced Conference" + +| | | +|--------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| NGN-SIDE user(s) | 1) NGN-SIDE in-house application. | +| NGN-SIDE resources |
  1. 1) Video conference resources which provide the video conference related capabilities including initiating a video conference, inviting a user to join a conference, and recording a conference.
  2. 2) IPTV resources which provide IPTV related capabilities including EPG capability and streaming capability.
  3. 3) Mobile streaming resources which provide mobile streaming related capabilities including streaming capability and management capability.
| +| Actors |
  1. 1) 'End-user A': end-user who pays a 4 persons' video conference and invite his or her team to join the video-conference.
  2. 2) 'End-user B': end-user who is a member of End-user A's team but not involved in the video-conference.
  3. 3) 'End-user C': end-user who is a member of End-user A's team, and who is participating to the video-conference.
  4. 4) 'End-user D': end-user who is a member of End-user A's team, and who is participating to the video-conference.
  5. 5) 'End-user E': end-user who is a member of End-user A's team, and who is participating to the video-conference.
  6. 6) 'End-user F': end-user who is a member of End-user A's team, and who is participating to the video-conference.
  7. 7) 'Network operator A': the resource provider providing IPTV, video-conference and mobile streaming resources.
  8. 8) 'Application developer A': the application developer accessing NGN-SIDE resources (from 'Network operator A') to build a new NGN-SIDE in-house application.
| +| Analysis of the usage model | | +| Main objective of the scenario in terms of usage model | NGN-SIDE supports a convergent application which uses resources from multiple domains (IPTV resources, Video conference resources, Mobile streaming resources). | +| NGN-SIDE key features |

NGN-SIDE provides the following content handling mechanisms:

  • – NGN-SIDE provides real-time content recording, and processing.
  • – NGN-SIDE provides content delivery mechanisms.
  • – NGN-SIDE provides content storage and adaptation (including codec conversion, format conversion).
| + +![Figure II.2 – NGN-SIDE in-house application scenario 'Enhanced Conference'. The diagram illustrates the architecture and interactions for an enhanced conference application. Key components include: End-user A (initiator), Application provider, Application portal, NGN-SIDE (containing Resource registry, Context management, Service orchestration, Service dispatcher, Storage capability, Content adaptation capability, and Adaptor), Telecommunication (containing Mobile streaming capability and Mobile streaming resource), and various end-users (C, D, F, E) using different devices (mobile phone, STB). Numbered arrows (1-10) indicate the sequence of operations: 1. Resource registration; 2. Application publication; 3. User request; 4. Notification; 5. User response; 6. Invitation; 7. Service orchestration; 8. Content adaptation; 9. Resource selection; 10. Streaming.](cc98b584f9b31fe69948e3fa65a3ba69_img.jpg) + +Figure II.2 – NGN-SIDE in-house application scenario 'Enhanced Conference'. The diagram illustrates the architecture and interactions for an enhanced conference application. Key components include: End-user A (initiator), Application provider, Application portal, NGN-SIDE (containing Resource registry, Context management, Service orchestration, Service dispatcher, Storage capability, Content adaptation capability, and Adaptor), Telecommunication (containing Mobile streaming capability and Mobile streaming resource), and various end-users (C, D, F, E) using different devices (mobile phone, STB). Numbered arrows (1-10) indicate the sequence of operations: 1. Resource registration; 2. Application publication; 3. User request; 4. Notification; 5. User response; 6. Invitation; 7. Service orchestration; 8. Content adaptation; 9. Resource selection; 10. Streaming. + +Y.2240(11)\_FII-2 + +**Figure II.2 – NGN-SIDE in-house application scenario "Enhanced Conference"** + +- 1) The resources (mobile streaming resource, video conference resource, EPG and streaming resources) are registered in the NGN-SIDE by 'Network operator A'. +- 2) A NGN-SIDE in-house application called "Enhanced Conference" is published on the Application portal making use of the resources offered by NGN-SIDE, e.g., mobile streaming resource, EPG resource, IPTV streaming resource, video conference resource, storage resource, content adaptation resource and context management resource. +- 3) 'End-user A' orders a video conference through the application portal facilities. 'End-user A' invites his or her team including 'End-user C', 'End-user D', and 'End-user F' to join the conference and invites 'End-user B' and 'End-user E' to watch the live conference. +- 4) When the conference is successfully created, the "Enhanced Conference" application sends a conference notification to the different end-users invited to participate in the conference. NGN-SIDE then selects the method used for notification (e.g., SMS, IM, E-mail or the initiation of a call) according to the end-users' presence and preference using the NGN-SIDE "management of role related information" capability and the context management capability. +- 5) 'End-user C', 'End-user D' and 'End-user F' receive the invitation and join the conference. +- 6) 'End-user B', using a mobile phone, receives the invitation from "Enhanced Conference" application, which notifies whether 'End-user B' wants to watch the live meeting. +- 7) 'End-user E', using a set top box (STB) to watch TV, receives the invitation from "Enhanced Conference" application, which notifies whether 'End-user E' wants to watch the live meeting. + +| | | +|--------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

8) When 'End-user B' and 'End-user E' select 'Yes', the "Enhanced Conference" application uses the storage capability offered by NGN-SIDE to record the meeting.

9) The "Enhanced Conference" application requests NGN-SIDE to convert the real-time media from the format used in the video conference to a mobile streaming format to 'End-user B'. Once done, the Mobile streaming system then streams the video meeting to 'End-user B'.

10) The "Enhanced Conference" application requests NGN-SIDE to convert the real-time media from the video conference format to an IPTV streaming format compatible with 'End-user E' terminal capabilities. 'End-user E' receives a notification, and a new channel related to the conference appears on his or her STB's service guide (EPG). 'End-user E' then selects the live meeting.

| +| Benefits for relevant business roles |

Without NGN-SIDE, the deployment of this application would be very complex and the video conference would have to connect to each system (e.g., mobile streaming system, IPTV system).

1) NGN-SIDE acts for access control and service integration.

2) NGN-SIDE also provides application specific capabilities, including media control, storage and content adaptation functions.

| +| Derived NGN-SIDE requirements | The NGN-SIDE requirements which can be derived from this application scenario are described in clause 8.2 (requirements G.1, G.2 and G.3). | + +### II.3 M2M/USN application scenarios + +| | | +|--------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| NGN-SIDE users | 1) M2M/USN NGN-SIDE in-house application | +| NGN-SIDE Resources |

1) USN resources including USN gateways and USN middleware.

2) M2M resources including M2M gateways and M2M core.

| +| Actors |

1) 'Customer A': end user of the M2M/USN in-house application.

2) 'Operator A': actor playing the role of NGN-SIDE provider;

3) 'Application developer': actor developing the new NGN-SIDE in-house application;

4) 'M2M Provider': actor providing M2M resources to NGN-SIDE;

5) 'USN Provider': actor providing M2M resources to NGN-SIDE.

| +| Analysis of the usage model | | +| Main objective of the scenario in terms of usage model | NGN-SIDE supports M2M and USN applications which use resources from multiple domains (including M2M and USN resources). | +| NGN-SIDE key features | NGN-SIDE provides a set of capabilities to support different M2M and USN applications; NGN-SIDE supports adaptation of M2M and USN resources. | + +| | | +|---------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +|

Scenario description

|

Image: Figure II.3 – M2M/USN application scenario in NGN-SIDE. The diagram illustrates the interaction between various components in an NGN-SIDE environment. At the top, 'Customer A' and 'Application developer' are shown. The 'NGN-SIDE' cloud contains 'Application provisioning', 'Application development support', 'Service orchestration', 'Service dispatcher', and 'Resource registry'. 'Adaptors' connect these to external 'M2M/USN application' and 'USN middleware'. Below, the 'M2M core' and 'USN core' are shown, with 'M2M devices' (wireless and wired) and 'USN devices' (mobile, RFID, sensor networks) connected via 'M2M gateways' and 'USN gateways'. Numbered arrows (1-4) indicate the flow of operations described in the text.

Y.2240(11)_FII-3

| +| |

Figure II.3 – M2M/USN application scenario in NGN-SIDE

  1. 1) NGN-SIDE registers M2M resources from the 'M2M provider' and USN resources from the 'USN provider'.
  2. 2) 'Application developer' develops a new NGN-SIDE in-house application using the NGN-SIDE service creation environment and the registered M2M resources, USN resources and other NGN-SIDE resources.
  3. 3) 'Customer A' signs a contract with the NGN-SIDE provider to purchase this new M2M/USN in-house application.
  4. 4) The application invokes M2M provider's resources through M2M gateways or M2M core, USN provider's resources through USN gateways or USN middleware.
| +|

Benefits for relevant business roles

|
  1. 1) NGN-SIDE can make use of M2M/USN resources which can be combined with other NGN-SIDE resources to support different M2M and USN applications.
| +|

Derived NGN-SIDE requirements

|

The NGN-SIDE requirement which can be derived from this application scenario is described in clause 8.1 (requirement 'B').

| + +## **Appendix III** + +## **Cloud services and supporting role played by NGN-SIDE** + +(This appendix does not form an integral part of this Recommendation.) + +Cloud computing characteristics and models are currently under study in the ITU-T Study Groups. + +Everything as a service (XaaS), broad term that embraces all the cloud computing based service categories, is a concept of resource outsourcing at different levels. + +The main objective of this appendix is to provide an overview about how NGN-SIDE can support different cloud service categories. + +Further studies and developments are required to specify the details of cloud services support by NGN-SIDE as well as the possible roles of NGN-SIDE in a cloud ecosystem. + +XaaS includes the following major cloud service categories: + +- software as a service (SaaS); +- platform as a service (PaaS); +- infrastructure as a service (IaaS); +- communications as a service (CaaS); +- network as a service (NaaS). + +### **III.1 NGN-SIDE support of cloud software as a service** + +Cloud software as a service (SaaS) is the capability provided to the cloud service user to use the cloud service provider's applications running on a cloud infrastructure. + +NOTE – All applications have the common characteristic to be non real time and may be of different kinds, including multimedia telephony services, IT applications and may be accessible from different user devices. The cloud service user does not manage or control the underlying cloud infrastructure with the possible exception of limited user-specific application configuration settings. + +The NGN-SIDE application provisioning capability allows publication of NGN-SIDE in-house applications. Applications can be offered by NGN-SIDE as SaaS, and NGN-SIDE users can invoke these applications through the NGN-SIDE platform. + +### **III.2 NGN-SIDE support of cloud platform as a service** + +Cloud platform as a service (PaaS) is the capability provided to the cloud service user to deploy onto the cloud infrastructure user-created or acquired applications developed using platform tools supported by the cloud service provider. + +NOTE – Platform tools may include programming languages and tools for application development, interface development, database development, storage and testing. The cloud service user does not manage or control the underlying cloud infrastructure, but has control over the deployed applications and possibly application hosting environment configurations. + +The NGN-SIDE integration layer's functionalities (e.g., service creation functional group, service execution functional group and service delivery management functional group) can be offered by NGN-SIDE as PaaS. + +The PaaS service offered by NGN-SIDE allows developers to develop their applications and upload them via the NGN-SIDE application development support capability to NGN-SIDE, which provides an execution environment for the applications. + +### **III.3 NGN-SIDE support of cloud infrastructure as a service** + +Cloud infrastructure as a service (IaaS) is the capability provided by the cloud service provider to the cloud service user to provision processing, storage, intra-cloud network connectivity services (e.g., VLAN, firewall, load balancer, application acceleration), and other fundamental computing resources of the cloud infrastructure where the cloud service user is able to deploy and run arbitrary application. + +NOTE 1 – The cloud service user does not manage or control the resources of the underlying cloud infrastructure but has control over operating systems, deployed applications, and possibly limited control of select networking components (e.g., host firewalls). + +The IaaS service can be provided to NGN-SIDE users by usage of NGN-SIDE provider's resources and/or NGN-SIDE resource providers' resources from NGN and other domains. + +NOTE 2 – A cloud computing compatible approach (e.g., virtualization, distributed file system, distributed dispatch, distributed cache, distributed database, search engine) can be used to manage NGN-SIDE provider's resources; + +NOTE 3 – The NGN-SIDE resource brokering capability can be used to manage NGN-SIDE resource providers' resources (e.g., connections, computing, storage) in a cloud computing compatible approach. + +### **III.4 NGN-SIDE support of communications as a service** + +Cloud communications as a service (CaaS) is the capability provided to the cloud service user to use communication and collaboration services. + +NOTE – Communication and collaboration services include IMS based services, voice over IP, instant messaging, video conferencing, for both fixed and mobile devices. CaaS may be seen as a specific type of SaaS. + +The NGN-SIDE application provisioning capability allows publication of NGN-SIDE in-house applications. + +Applications can be offered by NGN-SIDE as CaaS, and NGN-SIDE users can invoke these applications through the NGN-SIDE platform. + +### **III.5 NGN-SIDE support of network as a service** + +Cloud network as a service (NaaS) is the capability provided to the cloud service user to use transport connectivity services or inter-cloud network connectivity services. + +NOTE 1 – NaaS services include flexible and extended VPN, bandwidth on demand, end-to-end SLA/QoS, cloud backup. NaaS can be seen as a specific type of IaaS. + +The NaaS service can be provided to NGN-SIDE users by usage of NGN-SIDE provider's resources or NGN-SIDE resource providers' resources from NGN and other domains. + +NOTE 2 – A cloud computing compatible approach (e.g., virtualization, distributed file system, distributed dispatch, distributed cache, distributed database, search engine) can be used to manage NGN-SIDE provider's resources. + +NOTE 3 – The NGN-SIDE resource brokering capability can be used to manage NGN-SIDE resource providers' resources (e.g., connections, computing, storage) in a cloud computing compatible approach. + +## Appendix IV + +## Survey of API related standardization efforts + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides a survey of API related standardization efforts. + +NOTE – The content of this appendix is derived from publicly available documents from relevant standards development organizations (SDOs). + +### IV.1 Open mobile alliance (OMA) + +This clause identifies the open mobile alliance (OMA) initiatives in the area of APIs. + +#### IV.1.1 OMA NGSI + +The main objective of the OMA next generation service interface (NGSI) enabler is to define a set of new services for deployment across individual, corporate and general societal user communities. NGSI stimulates the usage of various service enablers into new services and applications. + +OMA NGSI key features include call enhancements, identity control, preferences, enhanced conference experience, multimedia list handling, access to service provider data, service recommendations, and context management. The NGSI V1\_0 APIs include: + +- NGSI-1 – Generic Data Management Interface +- NGSI-2 – Generic Data Change Notification Interface +- NGSI-3 – Address List Change Notification Interface +- NGSI-4 – Call Control Extension Interface +- NGSI-5 – Call Notification Extension Interface +- NGSI-6 – Call Handling Extension Interface +- NGSI-7 – Multimedia Conference Extension Interface +- NGSI-8 – Multimedia List Handling Interface +- NGSI-9 – Context Entity Discovery Interface +- NGSI-10 – Context Information Interface +- NGSI-11 – Service Registration Interface +- NGSI-12 – Service Discovery Interface +- NGSI-13 – Identity Resolution Interface +- NGSI-14 – Identity Management Interface + +For details, the latest OMA NGSI drafts are available at: + +<[http://member.openmobilealliance.org/ftp/Public\\_documents/ARCH/Permanent\\_documents/](http://member.openmobilealliance.org/ftp/Public_documents/ARCH/Permanent_documents/)> + +#### IV.1.2 OMA Parlay REST + +The OMA Parlay REST API specifications under development are intended to define RESTful bindings for Parlay X web services. Until now, the work has progressed on the following APIs: + +- ThirdPartyCall [b-OMA- ParlayREST2.0] +- TerminalStatus [b-OMA- ParlayREST2.0] +- TerminalLocation [b-OMA- ParlayREST2.0] +- ShortMessaging [b-OMA- ParlayREST2.0] +- Payment [b-OMA- ParlayREST2.0] + +- MultiMediaMessaging [b-OMA- ParlayREST2.0] +- CallNotification [b-OMA- ParlayREST2.0] +- AudioCall [b-OMA- ParlayREST2.0] +- DeviceCapabilities [b-OMA- ParlayREST2.0] +- Presence [b-OMA- ParlayREST2.0] +- AddressListManagement [b-OMA- ParlayREST2.0] + +For details, the latest OMA REST drafts are available at: + +<[http://member.openmobilealliance.org/ftp/Public\\_documents/ARCH/Permanent\\_documents/](http://member.openmobilealliance.org/ftp/Public_documents/ARCH/Permanent_documents/)> + +#### IV.1.3 OMA CSEA + +OMA Client-Side Enabler API (CSEA) defines the enabler requirements for Javascript-callable API's for web applications to access a set of OMA enablers in the following two work areas: + +- OMA enablers focused on access to content, as a typical web application need, initially limited to DCD (Dynamic Content Delivery) and Push); +- OMA enablers supplementing the web application experience with key capabilities enabling application personalization and contextualization (initially limited to DPE (Device Profile Evolution)). + +The scope of this work is being limited to requirements specification in order to allow OMA to define the requirements and determine a roadmap for realization of the requirements through specific API's. + +For details, the latest OMA CSEA Candidates are available at: + +<[http://member.openmobilealliance.org/ftp/Public\\_documents/CD/Permanent\\_documents/](http://member.openmobilealliance.org/ftp/Public_documents/CD/Permanent_documents/)> + +#### IV.1.4 OMA PSA + +3GPP, jointly with the Parlay Group and ETSI, developed application programming interfaces (APIs) for open service access (OSA). 3GPP CT5 closed on June 2008 and the work was transferred to open mobile alliance (OMA), Architecture (ARC) parlay service access (PSA) group. The OMA ARC PSA group is now responsible for the completion of the Parlay/Parlay X Release 8 work. + +The Parlay API specification ([b-3GPP TS 29.198]) is structured in the following Parts: + +| | | | +|-----------|----------|--------------------------------------------------------| +| 29.198-1 | Part 1: | Overview | +| 29.198-2 | Part 2: | Common Data Definitions | +| 29.198-3 | Part 3: | Framework | +| 29.198-4 | Part 4: | Call Control Service Capability Feature (SCF) | +| 29.198-5 | Part 5: | User Interaction Service Capability Feature (SCF) | +| 29.198-6 | Part 6: | Mobility Service Capability Feature (SCF) | +| 29.198-7 | Part 7: | Terminal Capabilities Service Capability Feature (SCF) | +| 29.198-8 | Part 8: | Data Session Control Service Capability Feature (SCF) | +| 29.198-9 | Part 9: | Generic Messaging SCF, NOTE- specification withdrawn | +| 29.198-10 | Part 10: | Connectivity Manager Service Capability Feature (SCF) | +| 29.198-11 | Part 11: | Account Management Service Capability Feature (SCF) | + +| | | | +|-----------|----------|-----------------------------------------------------------------------------| +| 29.198-12 | Part 12: | Charging Service Capability Feature (SCF) | +| 29.198-13 | Part 13: | Policy Management Service Capability Feature (SCF) | +| 29.198-14 | Part 14: | Presence and Availability Management (PAM) Service Capability Feature (SCF) | +| 29.198-15 | Part 15: | Multi-media Messaging (MM) Service Capability Feature (SCF) | +| 29.198-16 | Part 16: | Service Broker Service Capability Feature (SCF) | + +The Parlay X API specification (PSA 1.0, [b-3GPP TS 29.199]) is structured in the following Parts: + +| | | | +|-----------|----------|-----------------------------------------------| +| 29.199-1 | Part 1: | "Common" | +| 29.199-2 | Part 2: | "Third party call" | +| 29.199-3 | Part 3: | "Call Notification" | +| 29.199-4 | Part 4: | "Short Messaging" | +| 29.199-5 | Part 5: | "Multimedia Messaging" | +| 29.199-6 | Part 6: | "Payment" | +| 29.199-7 | Part 7: | "Account management" | +| 29.199-8 | Part 8: | "Terminal Status" | +| 29.199-9 | Part 9: | "Terminal location" | +| 29.199-10 | Part 10: | "Call handling" | +| 29.199-11 | Part 11: | "Audio call" | +| 29.199-12 | Part 12: | "Multimedia conference" | +| 29.199-13 | Part 13: | "Address list management" | +| 29.199-14 | Part 14: | "Presence" | +| 29.199-15 | Part 15: | "Message Broadcast" | +| 29.199-16 | Part 16: | "Geocoding" | +| 29.199-17 | Part 17: | "Application driven Quality of Service (QoS)" | +| 29.199-18 | Part 18: | "Device Capabilities and Configuration" | +| 29.199-19 | Part 19: | "Multimedia streaming control" | +| 29.199-20 | Part 20: | "Multimedia multicast session management" | +| 29.199-21 | Part 21: | "Content management" | +| 29.199-22 | Part 22: | "Policy" | + +For details, specifications are available at: <> + +### IV.2 GSM association (GSMA) + +The GSM association (GSMA) OneAPI is an initiative to define a commonly supported API to allow mobile (and other network) operators to expose useful network information and capabilities to Web application developers. It aims to reduce the effort and time needed to create applications and content that is portable across mobile operators. The project aims to reuse existing standards (or a proper subset thereof) as well as advise standards bodies as to what web developers expect from + +network operator APIs, so that such standards can evolve accordingly. The project is a work in progress. + +For details, the latest drafts are available at: + +<> + +#### **IV.2.1 Version 1.0 APIs/ OMA PXPROF** + +The following APIs are OMA candidate releases (PXPROF: OneAPI Profile of the Parlay X SOAP Web Services V1.0). GSMA will reuse the following OMA candidate release APIs for the GSMA version 1.0 APIs: + +- SMS RESTful API – send and receive SMS via your application; +- MMS RESTful API – send and receive MMS via your application; +- Location RESTful API – get the location of one or more mobile network users; +- Payment RESTful API – charge mobile network users for your services. + +NOTE – A minor change from the original OMA API is implemented in GSMA version 1.0. + +#### **IV.2.2 Version 0.91 beta APIs** + +##### a) RESTful APIs: + +- SMS RESTful API v0.91 +- MMS RESTful API v0.91 +- Location RESTful API v0.91 +- Payment RESTful API v0.91 + +##### b) Web Services APIs: + +- SMS Web Service API +- MMS Web Service API +- Location Web Service API +- Payment Web Service API + +#### **IV.2.3 Phase 2 APIs** + +OneAPI 2.0: + +- APIs to make delivery of video content to user equipment (UE). This includes functions for: + - Data Connection profile to identify bearer and network; + - Remaining Credits Look-Up to see if the user can afford the stream; + - Determining the supported video codecs on the handset. +- In-app billing; +- Click-to-call to set up calls between two or more people; +- Call notification where a web application can be informed of events in a phone call (caller busy, diverts). + +#### **IV.2.4 Phase 3 APIs** + +OneAPI 3.0: + +- SMS triggering via user-data header (UDH) and other triggering or provisioning technologies such as USSD; +- QoS to ensure a good quality, jitter-free video stream between a web server and handset. + +### IV.3 Java Community Process + +The Java Community Process (JCP) is the mechanism for developing standard technical specifications for Java technology [b-JCP-JSR]. + +JSRs by Platform are JSRs relate to one or more of the Java platforms, including Java Enterprise Edition, Java Standard Edition and Java Micro Edition: + +- The Java Enterprise Edition offers APIs and tools for developing multitier enterprise applications. The JSRs in this list are part of the Java EE platform as component or umbrella JSRs. +- The Java Standard Edition offers APIs and tools for developing desktop and server-side enterprise applications. The JSRs in this list are part of the Java SE platform as component or umbrella JSRs. +- The Java Micro Edition specifically addresses the vast consumer space, which covers the range of extremely tiny commodities such as smart cards or a pager all the way up to the set-top box, an appliance almost as powerful as a computer. + +JSRs by Technology: + +- OSS/J (Operations Support System through Java) is providing a set of APIs focused on operations and business support systems for service provider networks. +- JAIN (Java APIs for Integrated Networks) is providing a set of APIs focused on emerging network protocols and architectures driven by convergence of traditional telecommunications and IPs networks. +- XML(Extensible Markup Language) is a universal syntax for describing and structuring data independent from the application logic. Several JSRs focus on developing Java technology APIs specifically targeted at building XML-based applications. + +For details, the latest JSRs are available at: <> + +### IV.4 Wholesale Applications Community (WAC) + +#### IV.4.1 WAC/OMTP + +The wholesale applications community (WAC)/open mobile terminal platform (OMTP) BOND I initiative is addressing the way in which the existing Web 2.0 environment is moved onto mobile devices. Mobile devices offer new capabilities to Web service developers which make them very desirable, but present new security issues. BOND I uses Web technologies and builds upon them to provide new APIs to key mobile phone functionalities like contacts, calendar, messaging location. + +BOND I API Specification version 1.1 approved Release defines the composite specifications to allow Web applications (widget and Web pages) to interoperate over BOND I defined execution environment (widget runtime and Web user agent). BOND I API Features v1.1: + +1. The BOND I module +2. The Application Launcher module: applauncher +3. The Messaging module: messaging +4. The User Interaction module: ui +5. The File System module: filesystem +6. The Gallery module: gallery +7. The Device Status module: devicestatus +8. The Application Configuration module: appconfig +9. The Geolocation module: geolocation +10. The Camera module: camera + +11. The Telephony module: telephony +12. The PIM module: pim +13. The Contact module: contact +14. The Calendar module: calendar +15. The Task module: task + +For details, the latest APIs are available at: <>. + +#### **IV.4.2 WAC/JIL** + +The WAC/JIL (Joint Innovation Lab) API provides a mechanism to access services available on the handset. Access to these services is via a semi-object-oriented paradigm in which functions and parameters are accessed via objects that correspond to the handset. + +The WAC/JIL API provides access to handset services in the following categories: + +- Telephony: for initiating phone calls and accessing call records +- PIM: for accessing contacts and calendar information +- Multimedia: for accessing multi-media capabilities such as the camera +- Device: for accessing information about the phone, including the file system +- Messaging: for sending SMS, MMS, and email messages and accessing messages on the phone + +Access to these categorized services is via a JavaScript object-containment name spacing mechanism. In this mechanism, all services are accessed via a hierarchical identification scheme in which the widget object is the top-level entry point. For details, the latest APIs are available at: . + +### **IV.5 World Wide Web Consortium (W3C)** + +#### **IV.5.1 W3C Web Applications** + +The mission of the Web Applications Working Group [b-W3C-WebApps], part of the Rich Web Client Activity, is to provide specifications that enable improved client-side application development on the Web, including specifications both for application programming interfaces (APIs) for client-side development and for markup vocabularies for describing and controlling client-side application behaviour. + +The target environments for the Web Applications Working Group's deliverables include desktop and mobile browsers as well as non-browser environments that make use of Web technologies. The group seeks to promote universal access to Web applications across a wide range of devices and among a diversity of users, including users with particular accessibility needs. The APIs must provide generic and consistent interoperability and integration among all target formats, such as HTML, XHTML, and SVG. + +The working group is focusing on the following deliverables: + +- A. Asynchronous DOM Mutation Notification (ADMN): +a performance-sensitive asynchronous mechanism to provide script notifications of changes to the DOM, such as the addition, removal, or alteration of elements, attributes, and text content, to replace DOM Mutation Events. +- B. Clipboard Operations for the Web 1.0: Copy, Paste, Drag and Drop (ClipOps): +a detailed model for rich clipboard operations in User Agents, with consideration for different environments; this may be developed as part of the HTML5 specification. + +- C. Database and Offline Application APIs: +a set of objects and interfaces for client-side database functionality. Currently, the following specifications comprise the WebApps Database APIs: +- Web Storage: an API for persistent data storage of key-value pair data in Web clients. + - Indexed Database API: an API for a database of records holding simple values and hierarchical objects. + - Programmable HTTP Caching and Serving: an API for off-line serving of requests to HTTP resources using static and dynamic responses. + - Web SQL Database: an API for storing data in databases that can be queried using a variant of SQL. +- D. Document Object Model (DOM): +a set of specifications defining objects and interfaces for interaction with a document's tree model. These deliverables include: +- DOM Level 3 Events: A generic platform- and language-neutral event system which allows registration of event handlers, describes event flow through a tree structure, and provides basic contextual information for each event. + - DOM Level 4 Core: A platform- and language-neutral interface that allows programs and scripts to dynamically access and update the content, structure, and style of documents, with specific considerations for the browser-based Web platform. +- E. File API: +an API for representing file objects in Web applications, as well as programmatically selecting them and accessing their data. This may include file writing and file system APIs. This replaces the File Upload specification. +- F. Progress Events: +event types used for monitoring the progress of uploads and downloads. +- G. Selectors API, Level 1 and Level 2: +an interface for matching and retrieving Element nodes in a DOM according to flexible criteria. +- H. Server-Sent Events: +an API for opening an HTTP connection for receiving push notifications from a server in the form of DOM events. The API is designed such that it can be extended to work with other push notification schemes such as Push SMS. +- I. Secure Cross-Domain Resource Sharing: +mechanisms for selective and secure cross-domain scripting. For more details, see the WebApps WG Comparison of CORS and UMP. Currently, there are two different specifications for defining proposed mechanisms: +- Cross-Origin Resource Sharing, extending the design of the Same Origin Policy. + - Uniform Messaging Policy, describing a mechanism upon which a variety of access-control mechanisms can be implemented. +- J. Web Interface Definition Language (Web IDL): +language bindings and types for Web interface descriptions. +- K. Web Messaging: +a secure messaging system to allow discovery of and communication between cross-domain documents, including `postMessage` and `MessageChannel`. + +- L. Web Sockets API: +an API that enables Web pages to use the Web Sockets protocol for two-way communication with a remote host. +- M. Web Workers: +an API that allows Web application authors to spawn background workers running scripts in parallel to their main page, allowing for thread-like operation with message-passing as the coordination mechanism. +- N. Widgets: +a set of specifications that describe various aspects of widgets, interactive single purpose applications for displaying and/or updating local data or data on the Web, packaged in a way to allow a single download and installation on a user's machine or mobile device. Currently, the following specifications comprise Widgets: + - Widgets Packaging and Configuration: a packaging format and configuration format for widgets. + - The Widget Interface: APIs to store preferences and access widget package metadata. + - Widgets Digital Signature: a means for widget packages to be digitally signed using a custom profile of the XML-Signature Syntax and Processing Specification. + - Widgets Updates: a version control model that allows widgets to be kept up-to-date over [HTTP]. + - Widgets Access Request Policy: a means to request access to URI-identifiable resources (e.g., resources on the Web). + - Widgets URI Scheme: a URI scheme for use inside widgets or other such applications of Web technology that do not run on the Web. + - Widgets View Mode: a media feature and API related to presentation mode. + - Widgets Embedding: a mechanism to allow embedding of packaged applications within other Web content, such as referencing via the HTML object element. +- O. XML Binding Language (XBL2): +a language and set of APIs to allow for rich real-time transformations of documents +- P. XMLHttpRequest (XHR), Level 1 and 2: +an API for client-server data transfer to specify what is currently implemented and to extend its capabilities. + +For details, the latest APIs are available at: <>. + +#### IV.5.2 W3C DAP + +The mission of the Device APIs and Policy Working Group [b-W3C-DAP] is to create client-side APIs that enable the development of Web applications and Web widgets that interact with device services such as calendar, contacts, or camera. Additionally, the group focuses on producing a framework for the expression of security policies that govern access to security-critical APIs. + +The working group is focusing on the following specifications: + +- A set of Personal Information Management (PIM) APIs that includes: + - Calendar API, an API to access a calendar service (e.g., to add an entry, to edit an entry, to delete an entry) + - Tasks API, an API to access a personal task management or organizer service (e.g., to add, edit, delete a task) + +- Contacts API, an API to access a contacts or address book service (e.g., to add an entry, to edit an entry, to delete an entry) +- Camera API, an API to manage a device's camera (e.g., to take a picture); +- Messaging API, an API to access a message service (e.g., to create a message, to send a message, to delete a message). The API is agnostic to the underlying messaging service (e.g., e-mail, SMS, MMS); +- System Information and Events API, an API to access various system services (e.g., battery level, network status); +- FileSystem API, an API to access the file system and perform basic operations (Create, Read, Update, Delete) and more complex operations (e.g., mount, unmount) – this API is developed in coordination with the Web Applications Working Group File Upload specification; +- Application Launcher API, an API to discover, identify and launch the platform's native applications; +- Application Configuration API, an API to manage application settings and user preferences; +- User Interaction API, a set of APIs that gives a widget or website far better control of how it manifests itself on different platforms. This is intended to include minimize/maximize functions, window size, alerting mechanisms; +- Communication Log API, an API to access information about past communication events, such as sent emails, SMS, MMS, call events; +- Gallery API, an API to manage the local media file storage; +- Security Policy Framework, to express security policies that govern access of Web applications and widgets to security-critical APIs, including: + - Identification of APIs; + - Identification of Web Applications and Widgets; + - Definition of a policy description language for security policies; + - Expression of security policies that govern access of Web applications and widgets to security-critical APIs. + +For details, the latest APIs are available at: <>. + +#### IV.5.3 W3C UWA + +The UWA Working Group [b-W3C-UWA] focuses on extending the Web to enable distributed applications of many kinds of devices including sensors and effectors. Application areas include home monitoring and control, home entertainment, office equipment, mobile and automotive. + +The working group is focusing on the following specifications: + +- Recommendations + - Composite Capability/Preference Profiles (CC/PP): Structure and Vocabularies 1.0 +A CC/PP profile is a description of device capabilities and user preferences. This document describes the structure of a CC/PP profile and shows how vocabularies for these capabilities are used. +- Candidate Recommendations + - Delivery Context Client Interfaces (DCCI) +DCCI defines a framework for client-side access to a hierarchy of device properties together with a means to set event handlers for notifications of changes to property values. W3C Candidate Recommendation published in December 2007. + +- Content Selection for Device Independence (DISelect) 1.0 +This document defines a markup for selecting between versions of content. W3C Candidate Recommendation published in July 2007. +- Delivery Context: XPath Access Functions 1.0 +This document defines a suite of XPath functions for access to the delivery context. W3C Candidate Recommendation published in July 2007. +- Composite Capability/Preference Profiles (CC/PP): Structure and Vocabularies 2.0 (CC/PP 2.0) +This working draft updates the CC/PP 1.0 Recommendation by making it in line with the latest revision of RDF, and ensures its interoperability with OMA's UAProf2. +- Delivery Context Ontology +It describes an OWL ontology for device properties as a basis for adaptation to the context in which an application is executed. +- Device Independent Authoring Language (DIAL) +This working draft describes a markup language for the filtering and presentation of Web page content available across different delivery contexts. +- Content Selection (DISelect) Primer 1.0 +- Core Presentation Characteristics: Requirements and Use Cases +This working draft describes the requirements for core presentation characteristics and covers a number of use cases. +- Working Group Notes + - Authoring Techniques for Device Independence +This provides a summary of several techniques and best practices that website authors and solution providers may employ when creating and delivering content to a diverse set of access mechanisms. + - Device Independence Principles +This discusses the general principles associated with device independence. + - Authoring Challenges for Device Independence +This discusses the challenges associated with authoring materials that can be accessed by a wide range of device with very different capabilities. It includes a set of high level requirements for systems that support device independence. + +For details, the latest APIs are available at: . + +#### IV.5.4 HTML5 and XHTML5 + +HTML5 is a standard for structuring and presenting content on the World Wide Web. The new standard incorporates features like video playback and drag-and-drop that have been previously dependent on third-party browser plug-ins such as Adobe Flash, Microsoft Silverlight, and Google Gears. + +HTML5 specifies scripting application programming interfaces (APIs). There are also new APIs, such as: + +- The canvas element for immediate mode 2D drawing. See Canvas 2D API Specification 1.0 specification +- Timed media playback +- Offline storage database (offline Web applications). See Web Storage + +- Document editing +- Drag-and-drop +- Cross-document messaging. See HTML5 Web Messaging <> +- Browser history management +- MIME type and protocol handler registration. +- Microdata. See HTML Microdata <> + +HTML5 has both a regular text/html serialization and an XML serialization, which is known as XHTML5. In addition to the markup language, the specification includes a number of application programming interfaces. The Document Object Model is extended with APIs for editing, drag-and-drop, data storage and network communication. + +For details, the latest HTML5 specifications are available at: <>. + +### **IV.6 Organization for the advancement of structured information standards (OASIS)** + +Organization for the advancement of structured information standards (OASIS) standards [b-OASIS] are mostly related to basic service oriented architecture (SOA) and web services (WS) technologies. Although OASIS has no specific activities regarding the development of APIs, the text below is provided for general information. + +OASIS produces web services standards along with standards for security, e-business and standardization efforts in the public sector and for application-specific markets. + +OASIS continues to develop and enhance standards for some of the essential underpinnings of web services, such as managing distributed services, implementing service registry and security, and, at a higher level, for implementing business processes. The web services description language (WSDL) [b-W3C-WSDL] developed in OASIS is typically used to express the web services descriptions and interface syntax. + +As well, some standard languages such as in particular business process execution language (BPEL) [b-OASIS-WS-BPEL] are developed by OASIS. BPEL can be used to compose web services although initial BPEL specification is not suitable for composing web services to be used in conjunction with telecommunication services, due to its poor real time and asynchronous support as well as lack of support of some important features such as availability, reliability, security. OASIS is defining (within its open composite services architecture (Open CSA) member section) a collection of standards and related items to allow for pre-defined building of services from sub components, including "on-the-fly" runtime assembly. The Open CSA member section advances open standards that simplify SOA application development. OASIS is defining (within its WS discovery and WS devices profile (WS-DD) Technical Committee): + +- A lightweight dynamic discovery protocol to locate Web services that composes with other web service specifications. +- A binding of SOAP to user datagram protocol (UDP), including message patterns, addressing requirements, and security considerations. +- A profile of web services (WS) protocols consisting of a minimal set of implementation constraints to enable secure WS messaging, discovery, description, and eventing on resource-constrained end-user domain. + +OASIS is considering (within its IDtrust Technical Committee) to address the issue related to the exchange of common reputation data for social networking and trust establishment. The aim is to focus on common data format for social networking. + +OASIS is trying to realize the full advantages of SOA to the telecommunications industry (within its telecommunications services member section (OASIS Telecom)). OASIS Telecom was chartered with a clear focus on telecommunication services in a SOA framework. The specific telecommunications related issues that the OASIS Telecom is addressing include: + +- security (incremental security in a telecommunication environment); +- SLAs, including mechanisms to predict the composite SLA associated with an aggregate service that may include multiple SOA components; +- service availability and reliability models for composed services, in particular for mission-critical telecommunication services. + +### **IV.7 Open Grid Forum (OGF)** + +#### **IV.7.1 OGF OCCI** + +The Open Grid Forum (OGF) open cloud computing interface (OCCI) working group will deliver an API specification for remote management of cloud computing infrastructure, allowing for the development of interoperable tools for common tasks including deployment, autonomic scaling and monitoring. The scope of the specification will be all high level functionality required for the life-cycle management of virtual machines (or workloads) running on virtualization technologies (or containers) supporting service elasticity. + +The new API for "IaaS" is allowing: + +- consumers to interact with cloud computing infrastructure on an ad-hoc basis (e.g., deploy, start, stop, restart); +- integrators to offer advanced management services; +- aggregators to offer a single common interface to multiple providers; +- providers to offer a standard interface that is compatible with available tools; +- vendors of grids and clouds to offer standard interfaces for dynamically scalable service delivery in their products. + +### **IV.8 Distributed Management Task Force (DMTF)** + +#### **IV.8.1 DMTF VMAN** + +The distributed management task force, virtualization management initiative (DMTF VMAN Initiative) includes a set of specifications that address the management lifecycle of a virtual environment. VMAN's open virtualization format (OVF) specification provides a standard format for packaging and describing virtual machines and applications for deployment across heterogeneous virtualization platforms. VMAN's profiles standardize many aspects of the operational management of a heterogeneous virtualized environment. + +The key properties of the format are as follows: + +- optimized for distribution; +- optimized for a simple, automated user experience; +- supports both single VM and multiple; +- portable VM packaging; +- vendor and platform independent; +- extensible – OVF is immediately useful and extensible; +- localizable – OVF supports user-visible descriptions in multiple locales. + +The DMTF's Open Cloud Standards Incubator focuses on standardizing interactions between cloud environments by developing cloud resource management protocols, packaging formats and security mechanisms to facilitate interoperability. + +The Open Cloud Standards Incubator addresses the following aspects of the lifecycle of a cloud service: + +- description of the cloud service in a template; +- deployment of the cloud service into a cloud; +- offering of the service to consumers; +- consumer entrance into contracts for the offering; +- provider operation and management of instances of the service; +- removal of the service offering. + +### **IV.9 Storage Networking Industry Association (SNIA)** + +#### **IV.9.1 SNIA CDMI** + +Storage networking industry association (SNIA) leads the storage industry worldwide in developing and promoting standards, technologies, and educational services to empower organizations in the management of information. + +The cloud storage initiative (CSI) is promoting the adoption of cloud storage as a new delivery model that provides elastic, on-demand storage billed only for what is used. + +The cloud data management interface (CDMI) defines the functional interface that applications will use to create, retrieve, update and delete data elements from the cloud. As part of this interface the client will be able to discover the capabilities of the cloud storage offering and use this interface to manage containers and the data that is placed in them. In addition, metadata can be set on containers and their contained data elements through this interface. This interface is also used by administrative and management applications to manage containers, accounts, security access and monitoring and billing information, even for storage that is accessible by other protocols. The capabilities of the underlying storage and data services are exposed so that clients can understand the offering. + +# Bibliography + +- [b-ITU-T I.312] Recommendation ITU-T I.312/Q.1201 (1992), *Principles of intelligent network architecture*. +- [b-ITU-T Y.101] Recommendation ITU-T Y.101 (2000), *Global Information Infrastructure terminology: Terms and definitions*. +- [b-ITU-T Y.1910] Recommendation ITU-T Y.1910 (2008), *IPTV functional architecture*. +- [b-ITU-T Y.2001] Recommendation ITU-T Y.2001 (2004), *General overview of NGN*. +- [b-ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-3GPP 29.198] 3GPP 29.198 (2009-12), *Open Service Access (OSA); Application Programming Interface (API), Parts 1-16, V9.0.0*. +- [b-3GPP 29.199] 3GPP 29.199 (2009-12), *Open Service Access (OSA); Parlay X Web Services, Parts 1-22, V9.0.0*. +- [b-3GPP-MBMS] 3GPP TS 26.346 V9.4.0 (2010-09), *Third Generation Partnership Project; Technical Specification Group Services and System Aspects; Multimedia Broadcast/Multicast Service (MBMS); Protocols and codecs (Release 9)*. +- [b-DMTF-OVF] Distributed Management Task Force (2010), *Open Virtualization Format DSP0243 Version: 1.1.0*. +- [b-ETSI-102.689] ETSI TS 102 689 V1.1.1 (2010), *Machine-to-Machine communications (M2M); M2M service requirements*. +- [b-Facebook] Facebook API documentation. +<> +- [b-GSMA-OneAPI] GSMA OneAPI specifications. +<> +- [b-Java ME-JSR] Java Micro Edition Java Specification Requests (JSRs). +<> +- [b-JCP-JSR] Java Community Process (JCPSM) Java Specification Requests (JSRs). <> +- [b-JIL-API] JIL (2010), *JIL Widget System High Level Technical Specification Handset APIs Version: 1.2.2*. +- [b-OASIS] OASIS <> +- [b-OASIS-WS-BPEL] OASIS Standard (April 2007), *Web Services Business Process Execution Language Version 2.0*. +<> +- [b-OGF-OCCI] Open Grid Forum Open Cloud Computing Interface (OCCI) working group Specification documents. +<> + +| | | +|-----------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [b-OMA-BCAST] | OMA Mobile Broadcast Service V1.1 (2010).
< http://www.openmobilealliance.org/technical/release_program/bcast_V1_1.aspx > | +| [b-OMA-PSA] | OMA Parlay Service Access V1.0 (2010).
< http://www.openmobilealliance.org/Technical/release_program/psa_v1_0.aspx > | +| [b-OMA-NGSI] | OMA Parlay Service Access V1.0 (2011).
< http://www.openmobilealliance.org/Technical/release_program/ngsi_v1_0.aspx > | +| [b-OMA-ParlayREST1.0] | OMA (2010-07), RESTful bindings for Parlay X Web Services (ParlayREST), V1.0 . | +| [b-OMA-ParlayREST2.0] | OMA (2010-12), RESTful bindings for Parlay X Web Services (ParlayREST), V2.0 . | +| [b-OMA-PXPROF] | OMA (2010-06), OneAPI Profile of the Parlay X SOAP Web Services V1.0 . | +| [b-OMA-CSEA] | OMA (2010-07), Client-Side Enabler API V1.0 – Status: Candidate Enabler. | +| [b-OMTP-BONDI] | OMTP (2010-02), BONDI API Specification – Version 1.1 Candidate . | +| [b-SNIA-CDMI] | Storage Networking Industry Association (2010-04), Cloud Data Management Interface . | +| [b-Twitter] | Twitter API documentation.
< http://dev.twitter.com/doc > | +| [b-W3C-WebApps] | W3C Web Applications (WebApps) Working Group API Specifications and Widget Specifications website.
< http://www.w3.org/2008/webapps/wiki/PubStatus > | +| [b-W3C-DAP] | W3C Device APIs Working Group Specifications.
< http://www.w3.org/2009/dap/ > | +| [b-W3C-UWA] | W3C Ubiquitous Web Applications (UWA) Working Group Specifications.
< http://www.w3.org/2007/uwa/docs/ > | +| [b-W3C-HTML5] | W3C (10 June 2008), HTML 5 A vocabulary and associated APIs for HTML and XHTML . | +| [b-W3C-WSDL] | W3C (26 June 2007), Web Services Description Language (WSDL), Version 2.0 Part 0 = Prime, W3C Recommendation .
< http://www.w3.org/TR/wsdl20-primer/ > | + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2242-201812-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2242-201812-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..90db13c0c8e2b95e2c69b972635864c7dddeb961 --- /dev/null +++ b/marked/Y/T-REC-Y.2242-201812-I_PDF-E/raw.md @@ -0,0 +1,642 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2242 + +(12/2018) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Next Generation Networks – Service aspects: Service +capabilities and service architecture + +# --- **Service function chaining in mobile networks** + +Recommendation ITU-T Y.2242 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-----------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3999 | +|-----------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.2242 + +# Service function chaining in mobile networks + +## Summary + +Recommendation ITU-T Y.2242 specifies a method of coordinating existing and ongoing works on service function chaining in mobile networks (specified in [IETF RFC 7665], [IETF RFC 8300] and [b-ONF TS-027]) by introducing a chain orchestrator as a new entity. + +NOTE – [b-3GPP TS 23.203] is another well-known specification on service function chaining. + +Recommendation ITU-T Y.2242 also covers the case when relevant network functions are virtualized. + +Recommendation ITU-T Y.2242 aims to describe the requirements, architecture, functional entities, reference points and information flows of service function chaining in mobile networks. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2242 | 2018-12-14 | 13 | 11.1002/1000/13804 | + +## Keywords + +Chain orchestrator, mobile network, service function chaining + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2019 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Convention..... | 3 | +| 6 | Introduction..... | 3 | +| 7 | Requirements for service function chaining in a mobile network..... | 4 | +| | 7.1 Requirements for orchestration of service function chains at a practical
service level..... | 4 | +| | 7.2 Requirements for definition and enforcement of a service function
chaining policy ..... | 4 | +| | 7.3 Requirements for management of service function chaining ..... | 4 | +| | 7.4 Requirements for lifecycle management of a service function path ..... | 4 | +| | 7.5 Requirements for reliability, flexibility and scalability of service function
chaining ..... | 5 | +| 8 | Architecture, functional entities and reference points for service function chaining
in a mobile network ..... | 5 | +| | 8.1 Architecture ..... | 5 | +| | 8.2 Functional entities ..... | 6 | +| | 8.3 Reference points ..... | 8 | +| 9 | Information flows for service function chaining in mobile network..... | 8 | +| | 9.1 Creation of a new chain ..... | 8 | +| | 9.2 Update a chain ..... | 9 | +| 10 | Security considerations ..... | 11 | +| | Bibliography..... | 12 | + + + +# Recommendation ITU-T Y.2242 + +# Service function chaining in mobile networks + +# 1 Scope + +This Recommendation specifies a method of coordinating existing and ongoing works on service function chaining in mobile networks (specified in [IETF RFC7665], [IETF RFC 8300] and [b-ONF TS-027]) by introducing a chain orchestrator as a new entity. + +The Recommendation also covers the case when relevant network functions are virtualized. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [ITU-T Y.3150] Recommendation ITU-T Y.3150 (2018), *High-level technical characteristics of network softwarization for IMT-2020*. +- [IETF RFC 7665] IETF RFC 7665 (2015), *Service function chaining (SFC) architecture*. +- [IETF RFC 8300] IETF RFC 8300 (2018), *Network service header (NSH)*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 functional entity** [b-ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +**3.1.2 network softwarization** [b-ITU-T Y.3100]: An overall approach for designing, implementing, deploying, managing and maintaining network equipment and/or network components by software programming. + +NOTE – Network softwarization exploits the nature of software such as flexibility and rapidity all along the lifecycle of network equipment and/or components, for the sake of creating conditions that enable the re-design of network and services architectures, the optimization of costs and processes, self-management and bring added values in network infrastructures. + +**3.1.3 orchestration** [b-ITU-T Y.3100]: In the context of IMT-2020, the processes aiming at the automated arrangement, coordination, instantiation and use of network functions and resources for both physical and virtual infrastructures by optimization criteria. + +**3.1.4 service function** [b-ITU-T Y-Sup.41]: A function, specifically representing network service function, that is responsible for specific treatment of received packets other than the normal, standard functions of an IP router (e.g., IP forwarding and routing functions) on the network path between a source host and destination host. + +**3.1.5 service function chain** [b-ITU-T Y-Sup.41]: A chain that defines an ordered set of abstract service functions and ordering constraints that must be applied to packets and/or frames and/or flows selected as a result of classification and/or policy. + +**3.1.6 service function chaining** [b-ITU-T Y-Sup.41]: A mechanism of building service function chains and forwarding packets/frames/flows through them. + +**3.1.7 service function path** [b-ITU-T Y-Sup.41]: A path that defines an ordered set of specific instantiations of service functions that packets and/or frames and/or flows must visit within a specific service function chain. + +NOTE – A service function path is determined among the relevant service function paths within a specific service function chain, satisfying capacity and QoS requirements of service functions and their connecting links. There is typically a 1: n relationship between a service function chain and a service function path. + +**3.1.8 service routing** [b-ITU-T Y.2085]: A unified service supporting platforms built on DSN. It supplies the service registration, publication, discovery, triggering and access mechanisms, and enhanced capabilities to optimize the service provision. + +**3.1.9 user plane** [b-ITU-T Y.1714]: This refers to the set of traffic forwarding components through which traffic flows. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|-----------------------------------------------| +| ACK | Acknowledgement | +| APN | Access Point Name | +| DPI | Deep Packet Inspection | +| DSN | Distributed Service Networking | +| IMT-2020 | International Mobile Telecommunication 2020 | +| IP | Internet Protocol | +| IP-CAN | Internet Protocol-Connectivity Access Network | +| NSH | Network Service Header | +| OTT | Over The Top | +| PDN | Packet Data Network | +| SDN | Software-Defined Network | +| SFC | Service Function Chain | +| SFP | Service Function Path | +| UE | User Equipment | +| UP | User Plane | +| UPF | User Plane Function | +| URL | Uniform Resource Locator | + +# 5 Convention + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "is not recommended" indicate a requirement which is not recommended but which is not specifically prohibited. Thus, conformance with this specification can still be claimed even if this requirement is present. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Introduction + +With the popularity of mobile devices and the rise of cloud-based over-the-top (OTT) services and content distribution, service provider networks need to transform their functionalities and capabilities. Service providers need networks to become more agile and efficient to address the challenges brought by the exponential growth of bandwidth, and also hope to open up new markets shared by innovative services and new business models. Network softwarization has become the technological choice for mobility, virtualization and cloud services [ITU-T Y.3150]. + +At present, the mobile network needs to provide users with personalized services, e.g., video optimization, web cache, HTTP header enhancement, network acceleration and load balancing. In the existing deployment of the mobile network, network topologies of network services are relatively static and they are not flexible to add or remove personalized services. + +Service function chaining has been proposed to meet traffic handling needs of different users when service providers are in a network environment that combines the mobile and cloud networks [b-3GPP TS 23.203]. There is high demand in the mobile user access environment. A service function chaining system analyses different types of services and processes traffic sequentially. The system imposes a down flow control strategy for controlling the flow through a controller, and controls the service function chain (SFC) flow of various traffic streams. Service function chaining provides an elastic and automatic service deployment mechanism. Personalized services can be flexibly orchestrated into SFCs meeting the needs of different users. At the same time, service function chaining reduces deployment costs, increases network traffic processing capacity and improves the utilization rate of network resources. + +The following items should be considered and included (although this list is not exhaustive): + +- key functional requirements and management requirements of service function chaining in a mobile network; +- the architectural framework, key functionalities and reference points of service function chaining in the mobile network. + +# **7 Requirements for service function chaining in a mobile network** + +Service function chaining in a mobile network will enable operators to orchestrate an SFC at a practical service level, manage each service function path (SFP) related to the SFC, define and enforce a service steering policy and charge a third party. + +## **7.1 Requirements for orchestration of service function chains at a practical service level** + +The mobile network is required to have the capability to orchestrate and define an SFC that is an ordered set of service functions. Traffic flow must go through them according to traffic steering policies. + +## **7.2 Requirements for definition and enforcement of a service function chaining policy** + +The mobile network is required to have the capability to define and modify a service function chaining policy that defines a way to steer traffic in service function chaining. + +NOTE 1 – The SFC may contain third party service functions. + +The mobile network is required to support a chaining policy that differentiates the treatment of traffic depending on sessions, direction of traffic and user equipment (UE). + +NOTE 2 – A chaining policy contains the characteristic information of the SFC. + +## **7.3 Requirements for management of service function chaining** + +The mobile network is required to have the capability to manage service function chaining. + +Third parties can optionally create one or more logical SFCs to meet the needs of multiple service function flows. + +The basic management functions of service function chaining are required to include creating, viewing, modifying and deleting SFCs. + +- 1) Creating SFC: Specify the source address and destination address, and add predefined network function nodes sequentially. +- 2) Viewing SFC: Display the names, network function nodes, status (pending, approved, rejected or enabled), and running time of SFCs. +- 3) Modifying SFC: Modify a defined SFC, including increasing or deleting physical nodes in the chain or change the chain node order. +- 4) Deleting SFC: Delete a logical SFC. + +The mobile network is recommended to have the capability to orchestrate service functions that are provided by a third party. + +The mobile network is recommended to have the capability to expose management capability to the third party through a unified interface under the control of mobile network operators. + +The third party can optionally orchestrate service functions (i.e., modifying or viewing existing SFCs). + +### **7.4 Requirements for lifecycle management of a service function path** + +The mobile network is required to have the capability to create a SFP that is an ordered set of instantiated service functions, which a traffic flow must visit within a specific SFP (i.e., an SFP is an actual forwarding path as an instantiation of an SFC). + +The mobile network is required to have the capability to monitor the current status of each SFP, and dynamically update the SFP based on certain policies. + +The mobile network is required to have the capability to remove any existing SFP. + +### **7.5 Requirements for reliability, flexibility and scalability of service function chaining** + +The mobile network is required to have the capability for redundancy, fault tolerance and restoration capacity for service function chaining. + +The mobile network is required to have the flexibility to enhance service performance and scalability for service function chaining. + +# **8 Architecture, functional entities and reference points for service function chaining in a mobile network** + +### **8.1 Architecture** + +Service function chaining in a mobile network includes two functional areas: a management and control area and a data-forwarding area. + +The management and control area provides the following functions: + +- Policy control of traffic steering: defines and updates a traffic steering policy per UE or per flow. +- Traffic classifier: classifies the traffic based on steering policy and assist the management and control area to realize traffic forwarding or routing based on a pre-defined SFP. +- Chain orchestrator: defines and updates an SFC. +- Controller function: defines and updates the routing/switching rules of SFCs, and monitor the availability of each SFC. + +A service function chaining rule is determined among the relevant service function chaining rules within a specific service function chaining policy, defining a way to steer traffic in service function chaining (i.e., A service function chaining rule is a part of a service function chaining policy). + +The data-forwarding area provides the following functions: + +- service routing/switching function: performs traffic routing/switching based on service function chaining policies; +- service functions: value-added service functions provided by operators or a third party, e.g., video optimizer, uniform resource locator (URL) filter and firewall. + +NOTE – Service functions can be virtualized [b-ITU-T Y.3011]. + +See Figure 1. + +![Figure 1 – Network architecture for service function chaining in a mobile network](36ac3e730a00d3f42d3400f5709f641a_img.jpg) + +The diagram illustrates a network architecture for service function chaining (SFC) in a mobile network. It is divided into two main logical areas: a 'Management and control area' (outlined in red) and a 'Data forwarding area' (outlined in blue). + +- Management and control area:** Contains the 'Chain orchestrator' at the top, which connects to the 'Controller' and 'Policy control'. 'Policy control' connects to the 'Uplink classifier' and 'Downlink classifier'. The 'Controller' connects to the 'Service routing/switching' layer. +- Data forwarding area:** Shows traffic flow from 'Mobile access' through 'Traffic 1' and 'Traffic 2' into the 'Mobile network UP function' (part of the 'Mobile core network'). From there, traffic enters the 'Service routing/switching' layer consisting of 'Service router 1', 'Service router 2', and 'Service router 3'. Each router is linked to a corresponding 'Service function': 'Video optimizer', 'URL filter', and 'Firewall'. After processing, traffic passes through a 'Downlink classifier' to the 'Service provider'. + +Figure 1 – Network architecture for service function chaining in a mobile network + +Figure 1 – Network architecture for service function chaining in a mobile network + +There are two service chain routing specifications. The first uses a software-defined network (SDN) OpenFlow [b-ONF TR-027] to configure an SDN switch or a router to achieve traffic routing based on chain information. The second uses a network service header (NSH) [IETF RFC 7665], [IETF RFC 8300] that includes SFP information to achieve traffic routing by enhancing the switch or router to support NSH processing. + +There are two kinds of service routing mechanism to be used according to each specification mentioned in the previous paragraph. If NSH is used to realize service routing, it can carry policy information from an uplink classifier to a downlink classifier. In this case, no interface between a policy control and the downlink classifier is needed. If SDN technology is used to realize the service routing, an interface between the policy control and the downlink classifier is needed, which allows the downlink classifier to obtain the service routing policy for downstream traffic. + +**8.2 Functional entities** +**8.2.1 Chain orchestrator** + +To create an SFC, a chain orchestrator: + +- performs the orchestration of services functions: designs which service functions are included in an SFC, while defining the sequence of the service functions in the SFC if the SFC contains more than one service function; +- assigns a chain identifier to the designed chain; +- requests a controller to create, update, delete or monitor SFPs by transferring chain information to the controller to manage SFPs after creating the SFC; +- sends SFC information created by the chain orchestrator to a policy control and sends a request to the policy control to create a new chain policy with chain rules that can include the identifier of the SFC. + +To update an SFC, a chain orchestrator: + +- gathers SFP status information from the controller when the SFC requires updating or deletion, and modifies or deletes the SFC based on the status of the existing SFC; + +6 Rec. ITU-T Y.2242 (12/2018) + +- designs which service functions are included in the updated SFC, while defining the sequence of service functions in the updated SFC if the SFC contains more than one service function; +- assigns a new chain identifier to the updated chain; +- requests a controller to update, delete or monitor SFPs by transferring the updated chain information to the controller to manage new SFPs after the SFC is updated; +- sends an updated request to policy control to update a chain policy. + +#### **8.2.2 Policy control function** + +The policy control function: + +- obtains the current status, time information, UE network information and some other related information about the SFC; +- creates, updates or deletes a chain policy according to the information obtained in the previous entry; +- transfers the chain policy to an uplink classifier or a downlink classifier to enforce the chain policy and steer the traffic; +- transfers the updated chain policy to the classifiers to let them update the path; +- defines and updates load balancing and optimization rules for the SFC (e.g., an instruction for bypassing the service function when it is unavailable in the SFC). + +#### **8.2.3 Controller** + +The policy controller: + +- monitors routers, switches and network service servers connected with routers or switches under automatic control; +- enables SFPs based on chain information. + +#### **8.2.4 Classifier** + +The classifier: + +- obtains the chain policy from the policy control function; +- (an uplink classifier) receives chain policies created by the policy control and transfers the policies to a mobile network user plane (UP) function; +- (an uplink classifier) provides SFC-related information to a downlink classifier by adding the information to an upstream flow or providing the information to the policy control that transfers the information to the downlink classifier; +- (a downlink classifier) receives a downstream flow, applies the SFC rule to the flow to steer the flow going through the related service functions, and receives the SFC rule from the policy control function or the uplink classifier. + +NOTE – Classifiers can be deployed either in an International Mobile Telecommunication 2020 (IMT-2020) advanced packet data network (PDN) gateway or IMT-2020 network user plane function (UPF) or outside PDN gateway. + +#### **8.2.5 Mobile network user plane function** + +The mobile network UPF: + +- identifies a data flow to be processed and routes the flow in mobile core networks to a corresponding SFC according to the SFC rule information in the chain policy. + +### 8.3 Reference points + +See Figure 2. + +![Figure 2: Reference points of service function chaining in a mobile network. The diagram shows a network architecture with the following components and interactions: Chain orchestrator (top), Policy control, Service function, Controller, Uplink classifier, Service routing function, Downlink classifier, Mobile access, and Service provider. Reference points C1, C2, C3, C4, and C5 are indicated. C1 connects Chain orchestrator and Policy control. C2 connects Chain orchestrator and Controller. C3 connects Policy control and Downlink classifier. C4 connects Policy control and Uplink classifier. C5 connects Controller and Service routing function. Bidirectional arrows show interactions between Mobile access and Uplink classifier, Uplink classifier and Service routing function, Service routing function and Downlink classifier, and Downlink classifier and Service provider. Unidirectional arrows show interactions from Chain orchestrator to Policy control and Controller, and from Service function to Service routing function.](4ee27dbf5ef12e7b58b0ef0937bc5a5e_img.jpg) + +Y.2242(18)\_F02 + +Figure 2: Reference points of service function chaining in a mobile network. The diagram shows a network architecture with the following components and interactions: Chain orchestrator (top), Policy control, Service function, Controller, Uplink classifier, Service routing function, Downlink classifier, Mobile access, and Service provider. Reference points C1, C2, C3, C4, and C5 are indicated. C1 connects Chain orchestrator and Policy control. C2 connects Chain orchestrator and Controller. C3 connects Policy control and Downlink classifier. C4 connects Policy control and Uplink classifier. C5 connects Controller and Service routing function. Bidirectional arrows show interactions between Mobile access and Uplink classifier, Uplink classifier and Service routing function, Service routing function and Downlink classifier, and Downlink classifier and Service provider. Unidirectional arrows show interactions from Chain orchestrator to Policy control and Controller, and from Service function to Service routing function. + +**Figure 2 – Reference points of service function chaining in a mobile network** + +#### 8.3.1 Reference point C1 + +A policy control function interacts with a chain orchestrator via the reference point C1 to get the SFC information created by the chain orchestrator and sends the response to the chain orchestrator. + +#### 8.3.2 Reference point C2 + +A controller interacts with the chain orchestrator via the reference point C2 to get the SFC information created by the chain orchestrator to enable a SFP and sends the response to the chain orchestrator. + +#### 8.3.3 Reference point C3 + +A downlink classifier interacts with the policy control function via the reference point C3 to receive the chain rules from the policy control function or transferred by way of the policy control function from an uplink classifier, and sends the response to the policy control function, then applies a service chain rule to the flow. + +#### 8.3.4 Reference point C4 + +The uplink classifier interacts with the policy control function via the reference point C4 to receive the chain rules created by the policy control function and provides the chain-related information to the policy control function, which transfers the information to the downlink classifier. + +#### 8.3.5 Reference point C5 + +The controller interacts with service routing functions to send the SFP information to enable the SFP, and get the information of switches or /routers under the control of the controller. + +# 9 Information flows for service function chaining in mobile network + +## 9.1 Creation of a new chain + +See Figure 3. + +![Sequence diagram showing the creation of a new chain between Chain orchestrator, Policy control, UP function (mobile network), Controller, and Service router.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +``` + +sequenceDiagram + participant CO as Chain orchestrator + participant PC as Policy control + participant UP as UP function (mobile network) + participant C as Controller + participant SR as Service router + + CO->>C: 1. Enable a new chain + C->>SR: 2. Configure the routing rule + SR-->>C: 3. Ack the completion of configuration + C-->>CO: 4. Ack of the new chain + CO->>PC: 5. Create chain policy + PC->>UP: 6. Enable the chain policy + UP-->>PC: 7. Ack + PC-->>CO: 8. Ack the completion of creation + +``` + +Y.2242(18)\_F03 + +Sequence diagram showing the creation of a new chain between Chain orchestrator, Policy control, UP function (mobile network), Controller, and Service router. + +**Figure 3 – Creation of a new chain** + +The main steps for a new SFC are as follows. + +1 A chain orchestration creates a new SFC and asks a controller to enable a new SFP(s). + +The creation of the SFC will include the following features. + +- The service functions that are included in the SFC. +- The routing order in the service function, if the SFC is composed of more than one service function. + +2 The controller configures the related service routers with the forwarding rules. + +3 Service routers reply to the controller with an acknowledgement (ACK) completion. + +4 The controller replies to the chain orchestration with an ACK completion. + +5 After the creation of the new SFC, the chain orchestration sends a request to a policy control function to create a new chain policy with chain rules. Chain rules can include the identifier of a traffic flow, service characteristics, the identifier of Internet protocol-connectivity access network (IP-CAN) connectivity, the SFC identifier and the permission status plus whether it enables the deep packet inspection (DPI) of the downlink classifier or directly includes traffic match information (e.g., IP five tuples). The traffic identifier can be derived from the traffic match information in a mobile UP function. + +Service characteristics can be application layer match information (e.g., URL). The IP-CAN connectivity identifier can be access point name (APN) information in IMT-2020 networks, which can be preconfigured. The identifier of the SFC is used to steer the matched traffic along the SFP. + +6 The policy control notifies the mobile UP function of the new chain policy for the target flows. When the traffic flow comes into the mobile UP function, the mobile UP function detects and matches it with the service chain rules and steers the traffic along the corresponding SFP. + +7 The mobile UP function replies to the policy control with an ACK completion. + +8 The policy control replies to the chain orchestration with an ACK completion. + +## 9.2 Update a chain + +See Figure 4. + +![Sequence diagram showing the steps for updating a chain policy between four entities: Controller, Chain orchestrator, Policy control, and UP function (mobile network) and uplink/downlink classifier.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +``` + +sequenceDiagram + participant Controller + participant Chain orchestrator + participant Policy control + participant UP function as UP function (mobile network) and uplink/downlink classifier + + Controller->>Chain orchestrator: 1. Notify the status of chain + Chain orchestrator-->>Controller: 2. Ack + Chain orchestrator->>Controller: 3. Update the chain path + Controller-->>Chain orchestrator: 4. Ack + Chain orchestrator->>Policy control: 5. Update the chain policy + Policy control->>UP function: 6. Update the chain policy + UP function-->>Policy control: 7. Ack + Policy control-->>Chain orchestrator: 8. Ack + +``` + +Sequence diagram showing the steps for updating a chain policy between four entities: Controller, Chain orchestrator, Policy control, and UP function (mobile network) and uplink/downlink classifier. + +Y.2242(18)\_F04 + +**Figure 4 – Update chain policy** + +The main steps for updating an SFC are as follows. + +- 1 A controller collects the status of an SFC. If there is a problem, the controller notifies a chain orchestrator with the status of the SFC. +- 2 The chain orchestrator replies to the controller with an ACK completion. +- 3 The chain orchestrator decides to update the SFC or SFP based on the status of the existing SFC or SFP, and send an update request to the controller. + +The modification of the SFC or SFP will include the following features: + +- The service functions that are included in the SFC or SFP. +- The routing order in the service function, if the SFC or SFPs is/are composed of more than one service function. + +- 4 The controller replies to the orchestrator with an ACK completion after the controller finishes updating the SFC or SFPs. + +- 5 The chain orchestrator sends an update request to a policy control function. The policy control updates a chain policy based on one or more pieces of information (i.e., current status, time information, UE network information or other related information about the existing SFC) it obtains. + +Status information may include SFC availability information, availability information of the value-added service functions in SFC, manageable flow size and latency of the value-added service functions in SFC. + +The UE network information may include UE location information and flow destination. + +When obtaining status information, the policy control first sends the subscription of the SFC status information for status monitoring. The status information of the current SFC will then be sent to the policy control. + +When updating a chain policy, there are several possibilities for the update, as follows. + +- For a chain policy based on status and time information, the policy control updates the chain policy according to the flow status in a different time period. +- For a chain policy based on status and UE network information, the policy control updates the chain policy according to different location of the UE and flow destination. + +- For a chain policy based on time and UE network information, the policy control updates the chain policy according to the location of the UE in a different time period and the flow destination. +- For a chain policy based on status, time and UE network information, the policy control updates the chain policy according to the different location of the UE in a different time period and the different flow destination. +- 6 A mobile UP function updates a routing rule or path based on the updated chain policy from the policy control function. + +After getting the chain policy, the classifier will find the pending flow based on the service chain rule information in the policy, and then guide the pending flow to the corresponding SFC. + +The service chain rule information will include one or more of the following information types: + +- user flow identifier; +- service characteristics; +- downlink DPI status (whether started); +- SFC identifier. + +For an uplink flow, the service chain rule information will first classify the uplink information and select an SFC identifier for the flow, then append the selected SFC information on the flow and guide the flow to the corresponding SFC. + +Based on the uplink flow information, the classifier will, as a preliminary, determine and retain the downlink flow characteristic and the SFC identifier. + +For a downlink flow, if DPI is needed, the classifier will first detect the downlink flow, determine the flow characteristic and then map the detection result with the rule information or selected characteristic according to the rule information. Then the classifier will select the SFC identifier based on the preliminarily determined flow characteristic from the uplink flow information and the determined downlink flow characteristic after DPI, and guide the flow to the corresponding SFC based on the identifier. If DPI is not needed, the classifier will select and append the SFC identifier based on the preliminarily determined flow characteristic and SFC identifier from the uplink flow, then guide the downlink flow to the corresponding SFC based on the identifier. + +After the flow has been handled by all the value-added service functions, the SFC identifier will be deleted by the classifier. + +- 7 The mobile UP function replies to the policy control function with an ACK completion. +- 8 The policy control function replies to the policy chain orchestrator with an ACK completion. + +# 10 Security considerations + +This Recommendation is recognized as an enhancement of IP-based mobile networks. Thus, it is assumed that security considerations in general are based on the security of IP-based networks, which are required to follow the security considerations specified in clauses 7 and 8 of [ITU-T Y.2701]. + +## Bibliography + +- [b-ITU-T Y.1714] Recommendation ITU-T Y.1714 (2009), *MPLS management and OAM framework*. +- [b-ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [b-ITU-T Y.2085] Recommendation ITU-T Y.2085 (2016), *Distributed service networking service routing*. +- [b-ITU-T Y.3011] Recommendation ITU-T Y.3011 (2012), *Framework of network virtualization for future networks*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y-Sup.41] ITU-T Y series Recommendations – Supplement 41 (2016), *ITU-T Y.2200-series – Deployment models of service function chaining*. +- [b-3GPP TS 23.203] 3GPP TS 23.203 V14.6.0 (2018), *Technical Specification Group Services and System Aspects; Policy and charging control architecture*. +- [b-ONF TS-027] ONF TS-027 (2015), *L4-L7 service function chaining architecture*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information 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sha256:650d479c798b11547475b1ac7ed2c7143cf63e842d8051cae9868a2fa01a274a +size 55242 diff --git a/marked/Y/T-REC-Y.2244-201912-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2244-201912-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..c84eb7d1b31ba9c1b6f7d7b43eec27e9df96ef37 --- /dev/null +++ b/marked/Y/T-REC-Y.2244-201912-I_PDF-E/raw.md @@ -0,0 +1,795 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.2244 + +(12/2019) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Next Generation Networks – Service aspects: Service +capabilities and service architecture + +# --- **Service model for a cultivation plan service at the pre-production stage** + +Recommendation ITU-T Y.2244 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-----------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3499 | +|-----------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.2244 + +# Service model for a cultivation plan service at the pre-production stage + +## Summary + +A cultivation plan service at the pre-production stage is critical in that it supports decision making of agricultural producers by providing relevant information such as predicted crop production or expected profits for consulting or other agricultural information. A service model is required to derive necessary service features that support these aims. Therefore, Recommendation ITU-T Y.2244 describes the service model for a cultivation plan service including reference architecture, service requirements, and related capabilities.. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2244 | 2019-12-14 | 13 | 11.1002/1000/14126 | + +## Keywords + +Cultivation plan service, pre-production stage. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|---------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Concept of cultivation plan service at the pre-production stage..... | 3 | +| 7 | Service requirements for cultivation plan service ..... | 4 | +| | 7.1 Requirements for measured data ..... | 5 | +| | 7.2 Requirements for log data ..... | 5 | +| | 7.3 Requirements for expertise data ..... | 5 | +| | 7.4 Requirements for data analysis..... | 5 | +| | 7.5 Requirements for cultivation plan consultation..... | 5 | +| 8 | Reference architecture for Cultivation Plan Service ..... | 6 | +| | 8.1 Data collection function ..... | 7 | +| | 8.2 Data analysis function ..... | 8 | +| 9 | Network capabilities ..... | 9 | +| 10 | Service scenarios ..... | 9 | +| 11 | Security considerations..... | 10 | +| | Appendix I – An example of big data analysis for profit prediction ..... | 11 | +| | Appendix II – Examples of detailed information flows for service scenarios..... | 13 | +| | II.1 Service scenario for agricultural information enquiry..... | 13 | +| | II.3 Service scenario for agricultural information update ..... | 15 | +| | Bibliography..... | 18 | + + + +# Recommendation ITU-T Y.2244 + +# Service model for a cultivation plan service at the pre-production stage + +# 1 Scope + +This Recommendation covers, for a cultivation plan service at the pre-production stage, the following: + +- service requirements; +- reference architecture; +- service scenarios. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2701] ITU-T Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [ITU-T Y.4401] ITU-T Recommendation Y.4401/Y.2068 (2015), *Functional framework and capabilities of the Internet of things*. +- [ITU-T Y.4806] ITU-T Recommendation Y.4806 (2017), *Security capabilities supporting safety of the Internet of things*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 agricultural producer** [b-ITU-T Y.4450]: The service role that actually produces agricultural products to be supplied to distributors or consumers. + +**3.1.2 big data** [b-ITU-T Y.3600]: A paradigm for enabling the collection, storage, management, analysis and visualization, potentially under real-time constraints, of extensive datasets with heterogeneous characteristics. + +NOTE – Examples of datasets characteristics include high-volume, high-velocity, high-variety, etc. + +**3.1.3 Internet of things (IoT)** [b-ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +**3.1.4 machine learning (ML)** [b-ITU-T Y.3172]: Processes that enable computational systems to understand data and gain knowledge from it without necessarily being explicitly programmed. + +**3.1.5 service user** [b-ITU-T T.135]: A person, an organization or any intermediate entity using the services provided by a service provider. + +**3.1.6 smart farming service provider** [b-ITU-T Y.4450]: The service role that provides the requested smart farming services, such as providing a portal or consulting based on data gathered from agricultural fields, to requesting users. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 agricultural information:** All information regarding agricultural processes, such as raw data from farm fields, markets, yearly log data and expertise information. + +**3.2.2 agricultural information repository:** An information repository that holds all information including measured data from farm fields and markets, log data, and expertise data, predicted or calculated information relevant to smart farming to support cultivation plan consultation for service users. + +**3.2.3 big data analysis:** Scrutiny performed on massive volume of data with the purpose of obtaining meaningful results, such as trends or preferences. + +**3.2.4 cultivation plan:** A scheme of service users' decisions on every aspects of agricultural production, such as selected crops, seeding time and seeding amount, before cultivation starts. + +**3.2.5 data accumulation functional entity:** A functional entity that collects log data from an environment monitoring function and a knowhow base management function to provide cultivation plan consultation and related information to service users. + +**3.2.6 data analysis function:** A function that analyses collected data by analytical means such as big data analysis or machine learning, and produces meaningful results to help the consultation process. + +**3.2.7 data collection function:** A function that collects measured data, log data, expertise data through functional entities inside itself. + +**3.2.8 environment monitoring functional entity:** A functional entity that collects cultivation data (e.g., temperature, humidity and pH), market status data (stock amount, price of crops and market demand), and production cost data (e.g., water usage, power usage and payroll information) for data analysis to be used for cultivation plan consultation. + +**3.2.9 expertise data:** Values gathered from skilled service users, experts, service user communities that will help cultivation. + +**3.2.10 knowhow base management functional entity:** A functional entity that gathers expertise data from experts, skilled service users or service user communities to provide cultivation plan consultation and related information to service users. + +**3.2.11 log data:** Values tracked from past consultation, past cultivation records, final profits per variety of crop, etc. + +**3.2.12 measured data:** Values recorded from sensors or measurement facilities, or gathered from agricultural product markets or distribution networks, or government agencies or statistic offices including cultivation data, market status data, production cost data. + +**3.2.13 plan consulting function:** A function that interacts with service users, farmers or enterprises to help service users to make decisions by providing relevant information or analysed results to resolve their concerns. + +**3.2.14 service provider:** An organization owning or controlling one or more systems and using them to provide services. + +NOTE – Based on [b-ITU-T T.135]. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +5G            Fifth Generation + +| | | +|--------|----------------------------------------------| +| AAA | Authentication, Authorization and Accounting | +| DRM | Digital Rights Management | +| IoT | Internet of Things | +| IP | Internet Protocol | +| LoRa | Long Range | +| ML | machine learning | +| NB-IoT | Narrowband IoT | +| NGN | Next Generation Network | + +# 5 Conventions + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "can optionally," "could" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +In the body of this document, the words shall, shall not, should, and may sometimes appear, in which case they are to be interpreted, respectively, as is required to, is prohibited from, is recommended, and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative are to be interpreted as having no normative intent. + +# 6 Concept of cultivation plan service at the pre-production stage + +Smart farming at the pre-production stage is critical, because it aims to increase the final profit to the agricultural producer. An agricultural producer's plan at the pre-production stage on crop type, seeding time and seeding area can result in success or failure after cultivation. These decisions on a cultivation plan can be based on agricultural information or cultivation plan consultation provided by service providers. Therefore, a cultivation plan service can help agricultural producers with cultivation plans by providing agricultural information or cultivation plan consultation, as appropriate. Agricultural information is provided to service users when agricultural producers decide the cultivation plan. Alternatively, cultivation plan consultation is provided to service users when service providers decide the cultivation plan. These aspects of a cultivation plan service are shown in Figure 1. + +![Conceptual diagram for a cultivation plan service at the pre-production stage. The diagram shows two main components: 'Service users' and 'Service providers', connected by a 'Network'. The 'Service users' box contains 'Planning before cultivation' (with a speech bubble), 'Farmers' (with a person and cow icon), and 'Enterprises' (with a factory icon). The 'Service providers' box contains 'Big data analysis' (in a red box), 'Agricultural information repository' (a blue cylinder), and 'Measured data', 'Log data', and 'Expertise data' (with three dots between them). A dashed arrow labeled 'Cultivation plan consultation/ agricultural information' points from the 'Service providers' to the 'Service users'. A solid double-headed arrow connects the 'Service users' and 'Service providers' through the 'Network' cloud at the bottom. The identifier 'Y.2244(19)_F01' is at the bottom right.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Conceptual diagram for a cultivation plan service at the pre-production stage. The diagram shows two main components: 'Service users' and 'Service providers', connected by a 'Network'. The 'Service users' box contains 'Planning before cultivation' (with a speech bubble), 'Farmers' (with a person and cow icon), and 'Enterprises' (with a factory icon). The 'Service providers' box contains 'Big data analysis' (in a red box), 'Agricultural information repository' (a blue cylinder), and 'Measured data', 'Log data', and 'Expertise data' (with three dots between them). A dashed arrow labeled 'Cultivation plan consultation/ agricultural information' points from the 'Service providers' to the 'Service users'. A solid double-headed arrow connects the 'Service users' and 'Service providers' through the 'Network' cloud at the bottom. The identifier 'Y.2244(19)\_F01' is at the bottom right. + +**Figure 1 – Conceptual diagram for a cultivation plan service at the pre-production stage** + +Cultivation plan consultation can be provided based on big data analysis by collecting measured data, log data and expertise data via a network. Big data in the agricultural information repository are analysed by applying available analysis methods. The analysed results then need to be provided to the service users. The following information from the agricultural information repository can be provided to help service users to make decisions: + +- current status of the cultivation for the intended types of the crops; +- expected monthly and yearly weather; +- market status of the intended types of the crops; + +In addition, service providers could provide cultivation plan consultation to service users on the following items: + +- Suggested types of the crop for seeding; +- Suggested time for seeding; +- Suggested area for seeding; +- Expected amount of production from the minimum to the maximum; +- Expected profits from the minimum to the maximum; + +The big data analysis in Figure 1 utilizes various types of data such as production cost, market status and cultivation to provide the expected profit or other information for cultivation plan consultation. This analysis requires a model, such as machine learning (ML) or regression process, for prediction and calculation that inputs the production cost, market status and cultivation data. The output of the analysis is used as input for cultivation plans. + +Clause 7 describes service requirements for cultivation plan service at the pre-production stage that take these aspects into account. + +## **7 Service requirements for cultivation plan service** + +Various types of data are required to support the cultivation plan service. Three types of such data are shown in Figure 1: measured data; log data; and expertise data. These data types must be classified more in detail to cope with various consulting demands and necessity of various agricultural information. Considering these various data types, it is required to have service requirements as follows: + +### **7.1 Requirements for measured data** + +Cultivation Plan Service demands the following requirements for gathering measured data: + +- cultivation data from various sensors or measurement facilities located at the farms or measuring fields are required to be delivered to the agricultural information repository of service provider via any means in the network side; +- market status data from various sources related with agricultural product markets or distribution networks are required to be delivered to the agricultural information repository of service provider via any means in the network side; +- production cost data from various sources related with government agencies or statistic offices are required to be delivered to the agricultural information repository of service provider via any means in the network side; +- the means to deliver all types of data to the agricultural information repository of service provider are recommended to support capabilities described in clause 9. + +### **7.2 Requirements for log data** + +Cultivation plan service demands the following requirements for manoeuvring log data: + +- log data of consultation, past cultivation records, final profits per variety of crop, etc. from the agricultural information repository can optionally be updated when any changes occur at or any input are delivered to the agricultural information repository; +- log data from the agricultural information repository can optionally be applied to data analysis function for feedback from the previous consultation cases via any means in the network side. + +### **7.3 Requirements for expertise data** + +Cultivation plan service demands the following requirements for managing expertise data: + +- expertise data from various sources such as skilled service users, experts, service user communities, etc. are required to be delivered to the agricultural information repository of service provider via any means in the network side; +- expertise data can optionally be delivered to the agricultural information repository for establishing agricultural information base via any means in the network side. + +### **7.4 Requirements for data analysis** + +Big data analysis demands the following requirements for dealing with various data types: + +- cultivation data stored in the agricultural information repository are required to be provided for predicting production results such as crop production amount; +- production cost and market status data in the agricultural information repository are required to be provided for calculating required target values; +- calculated or predicted results are required to be provided for cultivation plan consultation. + +### **7.5 Requirements for cultivation plan consultation** + +Cultivation plan service demands the following requirements for delivering consultation contents including analysed results: + +- analysed results such as crop production, profit per agricultural producer, etc. are required to be delivered to the service users; +- any data or contents requested by service users are required to be delivered to the service users. + +Classification and types of the data for cultivation plan service are listed in Table 1. + +**Table 1 – Classification and types of data for a cultivation plan service** + +| Types | | Attributes | Usages | +|----------------|----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------| +| Measured data | Cultivation data |
  • – Cultivating area
  • – Growth cycle
  • – Status of growth (colour, size, No. of leaves, etc.)
  • – Predicted climate data (temperature, humidity, etc.)
  • – Soil data (soil nitrogen concentration, vapour concentration, pH, etc.)
  • – Cultivation methods (hydroponics, soil cultivation, transplantation, direct planting, etc.)
  • – etc.
|
  • – Grasping the current status of the crop cultivation
| +| | Market status data |
  • – Stock amount
  • – Price of crops
  • – Market demand
  • – etc.
|
  • – Aligning with the market trends
| +| | Production cost data |
  • – Power usage
  • – Water usage
  • – Fertilizer usage
  • – Worker salary
  • – etc.
|
  • – Grasping the total production cost
| +| Log data | |
  • – Past consultation
  • – Past cultivation records
  • – Yearly final profits per variety of crop,
  • – etc.
|
  • – Grasping the total Feedback from the previous consulting cases, etc.
| +| Expertise data | |
  • – Expected production per cultivation area
  • – Expected profit per cultivation area
  • – Necessities for biennial cultivation
  • – etc.
|
  • – Establishing agricultural information base, etc.
| + +An example of data usage for big data analysis is given in Appendix I. + +# 8 Reference architecture for Cultivation Plan Service + +Considering the service requirements in the previous clause, the required functions, i.e., data collection function, data analysis function, and plan consulting function, for cultivation plan service are defined as shown in Figure 2. + +The data collection function consists of environment functional entity, data accumulation functional entity, and knowhow base management functional entity. The environment monitoring functional entity gathers and delivers measured data including cultivation data such as temperature, humidity and pH. The measured data also include market status and production cost. The data accumulation functional entity gathers all information related to past service processes, such as the past cultivation records and final profits per variety of crop, to form log data. The knowhow base management + +functional entity gathers and delivers expertise data from experts, skilled service users or service user communities. All gathered information is stored in the agricultural information repository, then transferred to the data analysis function, which analyses the gathered data and produces meaningful results that will help the service process. The agricultural information repository and related surrounding functions are required to have their security ensured, especially for data transferred and processed in these functions. Analysed results are transferred to the plan consulting function that interacts with service users or agricultural producers, who enquire about agricultural information or request cultivation plan consultation via a network owned by a network provider to help them to make decisions. + +![Figure 2 – Reference architecture for a cultivation plan service at the pre-production stage. The diagram shows a Service provider box containing a Plan consulting function, a Data analysis function (with Prediction and Calculation functional entities), and an Agricultural information repository. A Data collection function (with Environment monitoring, Data accumulation, and KnowHow base Mgmt. functional entities) feeds into the repository. Service users interact with the Plan consulting function via a Network, sending requests/inquiries and receiving decisions and cultivation plan consultations. The repository also receives measured data, log data, and expertise data from the data collection function.](4e4be0bd8b235167902f2c03e41da651_img.jpg) + +``` + +graph TD + subgraph Service_provider [Service provider] + PCF[Plan consulting function] + subgraph Data_analysis_function [Data analysis function] + PFE[Prediction functional entity] + CFE[Calculation functional entity] + PFE <--> CFE + end + ARI[(Agricultural information repository)] + subgraph Data_collection_function [Data collection function] + EME[Environment monitoring entity] + DAFE[Data accumulation functional entity] + KBMFE[KnowHow base Mgmt. functional entity] + end + PCF --> Data_analysis_function + Data_analysis_function --> ARI + ARI --> PCF + Data_collection_function --> ARI + end + + ARI -- Measured data --> EME + ARI -- Log data --> DAFE + ARI -- Expertise data --> KBMFE + + EME --> DAFE + DAFE --> KBMFE + + KBMFE --> ARI + + subgraph Network [Network] + SU[Service users] + end + + SU -- Request/inquiry --> PCF + PCF -- Cultivation plan consultation/agricultural information --> SU + SU -- Request/inquiry --> Network + Network --> PCF + Network --> ARI + Network --> EME + Network --> DAFE + Network --> KBMFE + +``` + +Y.2244(19)\_F02 + +Figure 2 – Reference architecture for a cultivation plan service at the pre-production stage. The diagram shows a Service provider box containing a Plan consulting function, a Data analysis function (with Prediction and Calculation functional entities), and an Agricultural information repository. A Data collection function (with Environment monitoring, Data accumulation, and KnowHow base Mgmt. functional entities) feeds into the repository. Service users interact with the Plan consulting function via a Network, sending requests/inquiries and receiving decisions and cultivation plan consultations. The repository also receives measured data, log data, and expertise data from the data collection function. + +**Figure 2 – Reference architecture for a cultivation plan service at the pre-production stage** + +The functions shown in the Figure 2 are explained in the clauses 8.1 to 8.3. + +### 8.1 Data collection function + +The data collection function collects all types of data listed in Table 1. These collected data will be transferred to an agricultural information repository and used for big data analysis. The data collection function consists of the functional entities specified in clauses 8.1.1 to 8.1.3. + +#### 8.1.1 Environment monitoring functional entity + +The environment monitoring functional entity carries out the following functionalities: + +- gathering data like cultivation data measured from agricultural fields (e.g., climate data, soil data and production cost data ( water usage, power usage)); +- gathering statistical data like market status data from the corresponding agencies (e.g., stock amount and price of crops); +- updating measured data in the agricultural information repository. + +#### **8.1.2 Data accumulation functional entity** + +The data accumulation functional entity carries out the following functionalities: + +- capturing log data from previous consultation cases; +- collecting and maintaining log data, such as past cultivation records and final profits per variety of crop. + +#### **8.1.3 Knowhow base management functional entity** + +The knowhow base management functional entity carries out the following functionalities: + +- gathering expertise data from experts, skilled service users or service user communities; +- updating expertise data in the agricultural information repository. + +### **8.2 Data analysis function** + +The data analysis function receives all relevant data from an agricultural information repository and applies big data to analyse them. Analysing the data collected requires a clear description to provide meaningful results, such as expected profit or expected production, to agricultural producers at the pre-production stage. Hence, the data analysis function consists of a calculation functional entity and a prediction functional entity as shown in Figure 2. The prediction functional entity and calculation functional entity can interact or intercommunicate to produce final results. An example of data analysis for profit prediction is given in Appendix I. + +#### **8.2.1 Prediction functional entity** + +The prediction functional entity carries out the following functionalities: + +- potential delivery of cultivation data (cultivating area, climate data, soil data, cultivation method, etc.) stored in the agricultural information repository to this functional entity for the prediction of production results, such as crop production amount; +- optional application of any means to predict production results, i.e., ML and statistical regressions, to this functional entity; +- delivery of predicted results to a plan consulting function or calculation functional entity. + +#### **8.2.2 Calculation functional entity** + +The calculation functional entity carries out the following functionalities: + +- potential delivery of production cost data (power usage, water usage, fertilizer usage, worker salary, etc.) and market status data (stock amount, market demand, price of crops, etc.) in the agricultural information repository to this functional entity for the calculation of the required target values; +- production of required results, calculated by any means according to the corresponding formulas, from input from the agricultural information repository or prediction functional entity; +- delivery of calculated results to the plan consulting function or prediction functional entity. + +### **8.3 Plan consulting function** + +The plan consulting function carries out the following functionalities: + +- receiving enquiries from service users such as agricultural producers or distributors; +- composing and delivering cultivation plan consultation contents after processing the analysed results; +- inclusion of cultivation plan consultation contents potentially including: + - recommended types of crop for seeding; + +- recommended time for seeding; +- recommended area for seeding; +- current status of cultivation of intended types of the crop; +- expected monthly and yearly weather; +- expected amount of production from minimum to maximum; +- expected profits from minimum to maximum. + +The plan consulting function can estimate crop production or profit from the data analysis function, as shown in the example given in Appendix I. + +## 9 Network capabilities + +The high-level network capabilities for the support of a cultivation plan service are as follows. + +- *End-to-end connectivity over interconnected networks*: It is critical to develop a solution to provide end-to-end connectivity between relevant users or terminals over interconnected heterogeneous networks such as next generation networks (NGNs), other networks based on the Internet protocol (IP), broadcasting networks, mobile or wireless networks (fifth generation (5G) [b-ETSI TS 137], narrowband IoT (NB-IoT), long range (LoRa) [b-ETSI TR 103]) and public switched telephone network or integrated services digital networks. +- *Networking capabilities*: Provision of relevant control functions of network connectivity and transport resource control functions, mobility management or authentication, authorization and accounting (AAA) [b-ITU-T Y-Sup.3]. +- *IoT service providers offer products and services to end users with wide area embedded connectivity*. To ensure quality and reliability of services, they also need to ensure quality and reliability of embedded network connectivity of each IoT device. With 10s or 100s of 1 000s of deployed devices, it is difficult to monitor and manage network connectivity manually by enterprise customers and IoT service providers through traditional customer care services provided by network operators. An IoT transport network is recommended to have a solution for efficient and scalable operation and maintenance. +- *Big data*: A large amount of data will be transferred from those sensors and cameras to the IoT platform. All data will undergo collection, transfer, pre-processing, storage and analysis. ML finds insights hidden in IoT data without explicitly being told where to look or what to conclude, resulting in better, faster discoveries and action. + +## 10 Service scenarios + +A cultivation plan service can be provided in various ways. Appendix II provides examples of detailed information flows associated with the following service scenarios. + +- *Agricultural information enquiry*: To support agricultural producers who want to grasp the exact status of the agricultural field at the pre-production stage by providing agricultural information for a plan to cultivate. +- *Cultivation plan consultation*: To support agricultural producers to make a decision on a cultivation plan at the pre-production stage. +- *Agricultural information update*: To update the agricultural information repository to the latest version for a more effective cultivation plan with benefits to service users who contribute to this update. + +## **11 Security considerations** + +This Recommendation is recognized as an enhancement to IP-based networks. Thus, it is assumed that security considerations are in general based on the security of IP-based networks and thus conformity to the security considerations identified in clauses 7 and 8 of [ITU-T Y.2701] is required. The data in an agricultural information repository should be treated as public information to be secured. In addition, it is also required to consider the security of agricultural data collected and processed with the capabilities of [ITU-T Y.4401] and [ITU-T Y.4806]. + +## Appendix I + +### An example of big data analysis for profit prediction + +(This appendix does not form an integral part of this Recommendation.) + +In this example, the data analysis function includes a profit calculation functional entity and a production prediction functional entity, which can have ML and regression processes internally for predicting crop production. The production prediction functional entity demands cultivation data, including: + +- cultivated area; +- climate data; +- soil data; +- cultivation method. + +Profit calculation functional entity demands market status data, including: + +- stock amount; +- market demand; +- price of crops. + +The profit calculation functional entity also demands production cost data, including: + +- power usage; +- water usage; +- fertilizer usage; +- worker salary. + +Figure I.1 shows the architecture of big data analysis from the aspect of providing expected profit and predicted production of crop values. + +![Architecture diagram for big data analysis for profit prediction values. It shows data flow from an Agricultural information repository to a Data analysis function, which then outputs to a Plan consulting function.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +The diagram illustrates the architecture for big data analysis for profit prediction values, organized into three main components: the Agricultural information repository, the Data analysis function, and the Plan consulting function. + +**Agricultural information repository** (represented by a cylinder) contains three categories of data: + +- Market status data**: Stock amount, Market demand, Price of crops, and other related data (indicated by vertical dots). +- Production cost data**: Power usage, Water usage, Fertilizer usage, Worker salary, and other related data (indicated by vertical dots). +- Cultivation data**: Cultivating area, Climate data, Soil data, Cultivation method, and other related data (indicated by vertical dots). + +**Data analysis function** (represented by a rounded rectangle) contains two functional entities: + +- Profit calculation functional entity**: Receives input from Market status data and Production cost data. It outputs the **Expected profit**. +- Production prediction functional entity**: Receives input from Cultivation data. It outputs the **Predicted production**. + +The **Plan consulting function** (represented by a rounded rectangle) receives the **Expected profit** and **Predicted production** outputs from the Data analysis function. + +Y.2244(19)\_FI.1 + +Architecture diagram for big data analysis for profit prediction values. It shows data flow from an Agricultural information repository to a Data analysis function, which then outputs to a Plan consulting function. + +**Figure I.1 – An architecture of big data analysis for profit prediction values** + +# Appendix II + +## Examples of detailed information flows for service scenarios + +(This appendix does not form an integral part of this Recommendation.) + +### II.1 Service scenario for agricultural information enquiry + +Agricultural producers may wish to estimate the status of an agricultural field at the pre-production stage using agricultural information that will be used to plan the crop. It is therefore possible that agricultural information enquiries would be the most frequently required service at the pre-production stage. Figure II.1 shows the information enquiry workflow. + +![Sequence diagram showing the information flow for an agricultural information enquiry between four entities: Service user, Plan consulting function, Data analysis function, and Agricultural information repository.](898fb89a50d9ec1dfb4e425c816976a7_img.jpg) + +``` +sequenceDiagram + participant SU as Service user + participant PCF as Plan consulting function + participant DAF as Data analysis function + participant AIR as Agricultural information repository + + SU->>PCF: 1) Service request + PCF->>PCF: 2) AAA procedure + PCF->>SU: 3) Service granted + SU->>PCF: 4) Service type for information inquiry + PCF->>DAF: 5) Information inquiry + DAF->>AIR: 6) Check information availability + AIR-->>DAF: 8) Searched information + DAF-->>PCF: 10) Service information + PCF-->>SU: 12) Service response + PCF->>PCF: 11) Service format aligning + DAF->>DAF: 9) Compliance checking + AIR-->>AIR: 7) Information searching +``` + +Y.2244(19)\_FII.1 + +Sequence diagram showing the information flow for an agricultural information enquiry between four entities: Service user, Plan consulting function, Data analysis function, and Agricultural information repository. + +**Figure II.1 – Information flow for an agricultural information enquiry** + +The following assumptions are made: + +- 1) the service user is subscribed to a smart farming service provider and will be charged on a usage basis by each service provider; +- 2) digital rights management (DRM) processing for licence transaction between service providers is hidden; +- 3) the flows shown in Figure II.1 are at high level and not meant to show actual protocol procedures. + +Descriptions of flow follow: + +- 1) the service user requests agricultural information by service user activity for service activation; +- 2) the plan consulting function then carries out the AAA procedure for the requesting service user; +- 3) if the AAA result is OK, the plan consulting function then sends to the service user a service granted message – otherwise, it sends a service rejected message; +- 4) after receiving a service granted message, the service user sends a service type for information enquiry including the service type that the service user wants; +- 5) the plan consulting function forwards the information enquiry to the data analysis function; + +- 6) the data analysis function then checks data availability in the agricultural information repository; +- 7) the agricultural information repository queries the appropriate data for the requested check; +- 8) the agricultural information repository returns data retrieved to the data analysis function; +- 9) the data analysis function checks compliance of the information returned; +- 10) the data analysis function delivers the compliance-checked information to the plan consulting function; +- 11) the plan consulting function aligns the format of the information received to prepare the response; +- 12) the plan consulting function sends a service response message with the service contents including the information requested. + +### II.2 Service scenario for cultivation plan consultation + +The cultivation plan might be the most important to the people involved in the farming fields at the pre-production stage. Therefore, the cultivation plan consultation will be very helpful for them to make a decision at the pre-production stage regarding the following issues: + +- types of crop for seeding; +- time for seeding; +- area for seeding; +- expected amount of production from minimum to maximum; +- expected profits from minimum to maximum. + +In the process of service provision, service users can get additional information to inform their decisions as follows: + +- expected monthly and yearly weather; +- expected amount of production from minimum to maximum; +- expected profits from minimum to maximum. + +The information flow for this service scenario is shown in Figure II.2. + +![Sequence diagram showing the information flow for cultivation plan consultation between four entities: Service user, Plan consulting function, Data analysis function, and Agricultural information repository.](e636d7ccca0ad14c6b95201404324823_img.jpg) + +``` + +sequenceDiagram + participant S as Service user + participant P as Plan consulting function + participant D as Data analysis function + participant A as Agricultural information repository + + S->>P: 1) Service request + Note over P: 2) AAA procedure + P->>S: 3) Service granted + S->>P: 4) Consultation type + P->>D: 5) Required data inquiry + D->>A: 6) Check data availability + Note over A: 7) Data searching + A->>D: 8) Searched data + Note over D: 9) Data analysis for consultation + D->>P: 10) Analysed results + Note over P: 11) consultation contents arrangement + P->>S: 12) Consultation contents + +``` + +The diagram illustrates the sequence of messages in a cultivation plan consultation service. It involves four participants: Service user, Plan consulting function, Data analysis function, and Agricultural information repository. The process begins with a service request from the user to the plan consulting function, followed by an AAA procedure and a service grant. The user then provides a consultation type to the plan consulting function, which sends a required data inquiry to the data analysis function. The data analysis function checks data availability in the agricultural information repository, which performs data searching and returns searched data. The data analysis function then performs data analysis for consultation and sends analysed results to the plan consulting function. Finally, the plan consulting function arranges consultation contents and sends the consultation contents back to the service user. + +Sequence diagram showing the information flow for cultivation plan consultation between four entities: Service user, Plan consulting function, Data analysis function, and Agricultural information repository. + +**Figure II.2 – Information flow for cultivation plan consultation** + +The following assumptions are made: + +- 1) the service user is subscribed to a smart farming service provider and will be charged on a usage basis by each service provider; +- 2) DRM processing for licence transaction between service providers is hidden; +- 3) the flows shown in Figure II.2 are at high level and not meant to show actual protocol procedures. + +Descriptions of flow follow: + +- 1) the service user requests cultivation plan consultation by service user activity for service activation; +- 2) the plan consulting function then carries out the AAA procedure for the requesting service user; +- 3) if the AAA result is OK, the plan consulting function then sends to the service user a service granted message – otherwise, it sends a service rejected message; +- 4) after receiving a service granted message, the service user sends a consultation type for data enquiry including the service type that the service user wants (consultation type is chosen by the service user, and can include a recommendation for crop type, seeding time, area or profit prediction); +- 5) the plan consulting function forwards the required data enquiry to the data analysis function; +- 6) the data analysis function then checks data availability in the agricultural information repository; +- 7) the agricultural information repository queries the appropriate data for the requested check; +- 8) the agricultural information repository returns data retrieved to the data analysis function; +- 9) the data analysis function analyses the searched data by various means; +- 10) the data analysis function delivers the analysed results to the plan consulting function; +- 11) the plan consulting function formats the analysed results to produce the consultation contents; +- 12) the plan consulting function sends the consultation contents to the service user. + +### **II.3 Service scenario for agricultural information update** + +Agricultural information must be updated to the latest version for more effective cultivation plan service. Service users with expertise data can contribute to this update in exchange for the benefit of service use. + +The information flow for this service scenario is shown in Figure II.3. + +![Sequence diagram showing information flow for an agricultural information update between four entities: Service user, Plan consulting function, Data analysis function, and Agricultural information repository.](e69b9188aa2c14ec6b21c83f711fef65_img.jpg) + +``` + +sequenceDiagram + participant SU as Service user + participant PCF as Plan consulting function + participant DAF as Data analysis function + participant AIR as Agricultural information repository + + SU->>PCF: 1) Service request + activate PCF + PCF->>DAF: 2) AAA procedure + deactivate PCF + PCF->>DAF: 3) Update effect inquiry + activate DAF + DAF->>AIR: 4) Check update space + deactivate DAF + AIR->>SU: 4) Service granted + deactivate AIR + SU->>PCF: 5) Update information + activate PCF + PCF->>AIR: 6) Updating + deactivate PCF + AIR->>DAF: 7) Update complete + deactivate AIR + DAF->>SU: 8) Access the value of update + deactivate DAF + SU->>DAF: 9) Update results + deactivate SU + +``` + +Y.2244(19)\_FII.3 + +Sequence diagram showing information flow for an agricultural information update between four entities: Service user, Plan consulting function, Data analysis function, and Agricultural information repository. + +**Figure II.3 – Information flow for an agricultural information update** + +The following assumptions are made: + +- 1) the service user is subscribed to a smart farming service provider and will be rewarded on the update after assessing its value; +- 2) DRM processing for licence transaction between service providers is hidden; +- 3) the flows shown in Figure II.3 are at high level and not meant to show actual protocol procedures. + +Descriptions of flow follow: + +- 1) the service user requests agricultural information update by service user activity for service activation – this request includes summary of information update that the service user will submit (the update can be one of agricultural knowhow, such as procedures, timing or amounts for fertilization and pesticides.); +- 2) the plan consulting function then carries out the AAA procedure for the requesting service user; +- 3) if the AAA result is OK, the plan consulting function then enquires about the effect of the update on the data analysis function and if the result is under the predefined level, goes to step 9 – if the AAA result is not OK, it sends a service rejected message to the service user; +- 4) the data analysis function then checks the storage space in the agricultural information repository – if there is space available for the update, a service granted message is transferred to the service user; +- 5) after receiving the service granted message, the service user sends update information including summary of information update that the service user will submit (update information can be one of agricultural knowhow, such as procedures, timing or amounts for fertilization and pesticides.); +- 6) the agricultural information repository updates the data entries with the received update information; +- 7) the agricultural information repository returns an update complete message to the data analysis function; +- 8) the data analysis function assesses the value of the update and decides the level of reward; +- 9) the data analysis function delivers the update results including the rewards to the service user. + +## Bibliography + +- [b-ITU-T T.135] ITU-T Recommendation T.135 (2007), *User-to-reservation system transactions within T.120 conferences*. +- [ITU-T Y.3172] ITU-T Recommendation Y.3172 (2019), *Architectural framework for machine learning in future networks including IMT-2020*. [b-ITU-T Y.3600] ITU-T Recommendation Y.3600 (2015), *Big data – Cloud computing based requirements and capabilities*. +- [b-ITU-T Y.4000] ITU-T Recommendation Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [b-ITU-T Y.4450] ITU-T Recommendation ITU-T Y.4450/Y.2238 (2015), *Overview of Smart Farming based on networks*. +- [b-ITU-T Y-Sup.3] ITU-T Y-series Recommendations – Supplement 3 (2008), *ITU-T Y.2000-series – Supplement on service scenarios for convergence services in a multiple network and application service provider environment*. +- [b-ETSI TR 103] ETSI TR 103 526, V1.1.1 (2018), *System reference document (SRdoc); Technical characteristics for low power wide area networks chirp spread spectrum (LPWAN-CSS) operating in the UHF spectrum below 1 GHz*. +- [b-ETSI TS 137] ETSI TS 137 141, V15.8.0 (2019), *Digital cellular telecommunications system (Phase 2+) (GSM); Universal mobile telecommunications system (UMTS); LTE; 5G; NR, E-UTRA, UTRA and GSM/EDGE; Multi-standard radio (MSR) base station (BS) conformance testing*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | 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b/marked/Y/T-REC-Y.2250-202404-I_PDF-E/raw.md @@ -0,0 +1,673 @@ + + +# Recommendation + +## **ITU-T Y.2250 (04/2024)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Next Generation Networks – Service aspects: +Interoperability of services and networks in NGN + +--- + +**Requirements and framework of human-oriented message service for smart learning in future networks** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of things and smart cities + +| | | +|--------------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.2250 + +# Requirements and framework of human-oriented message service for smart learning in future networks + +## Summary + +Recommendation ITU-T Y.2250 specifies the requirements of human-oriented message service in the context of interaction between the service user and smart learning devices. Based on these requirements, a framework of the human-oriented message service for smart learning is developed. The requirements and framework provide a convenient and simple implementation for the message interaction between the service user and the smart learning devices in future networks. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.2250 | 2024-04-29 | 13 | 11.1002/1000/15865 | + +## Keywords + +Message service, network, requirements, smart learning devices. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-------------------------------------------------------------------------------------------------|------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview of HoMS for smart learning in future network ..... | 2 | +| 6.1 Background and motivation ..... | 2 | +| 6.2 Concept of HoMS..... | 3 | +| 7 Requirements of HoMS for smart learning in future networks ..... | 4 | +| 7.1 The service requirements for HoMS ..... | 4 | +| 7.2 The network requirements of HoMS ..... | 8 | +| 7.3 The devices management requirements of HoMS..... | 8 | +| 8 Framework of HoMS for smart learning in future networks..... | 9 | +| 8.1 Identity assignment entity..... | 10 | +| 8.2 Message storage entity ..... | 10 | +| 8.3 Message data processing entity ..... | 11 | +| 8.4 Device management entity ..... | 11 | +| 8.5 Smart learning content material interface entity ..... | 12 | +| 8.6 SL device server interface entity ..... | 12 | +| 9 Security considerations for HoMS..... | 12 | +| Appendix I – Use cases and procedure of human-oriented message service for smart learning ..... | 14 | +| I.1 Procedure of HoMS for smart learning ..... | 14 | +| I.2 Contact the printer to print files by human-oriented message service ..... | 15 | +| Bibliography..... | 17 | + + + +# Recommendation ITU-T Y.2250 + +# Requirements and framework of human-oriented message service for smart learning in future networks + +# 1 Scope + +This Recommendation specifies the requirements and framework of human-oriented message service in the context of interaction between the service user and smart learning devices in future networks. + +The scope of this Recommendation includes: + +- Concept of human-oriented message service for smart learning; +- Requirements of human-oriented message service for smart learning; +- Framework of human-oriented message service for smart learning. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T E.101] Recommendation ITU-T E.101 (2009), *Definitions of terms used for identifiers (names, numbers, addresses and other identifiers) for public telecommunication services and networks in the E-series Recommendations.* +- [ITU-T Y.2241] Recommendation ITU-T Y.2241 (2017), *Service framework to support web objects based ubiquitous self-directed learning.* +- [ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things.* + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 device** [ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.2 mobile device** [b-ITU-T X.1087]: A small, hand-held computing device with a subscriber identity module (SIM) card, typically having a display screen with touch input and/or a miniature keyboard and is not heavy. + +**3.1.3 service user** [b-ITU-T T.135]: A person, an organization or any intermediate entity using the services provided by a service provider. + +**3.1.4 ubiquitous self-directed learning (uSDL)** [ITU-T Y.2241]: A self-directed learning (SDL) process in a ubiquitous computing environment. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 human-oriented message service (HoMS):** A service that supports intelligent message interaction between the service user and smart learning devices by providing human semantic recognition and learning materials coordination. + +**3.2.2 smart learning device (SL device):** Devices that carry out educational functions, fostering interactive and personalized learning experiences. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|--------------------------------| +| AI | Artificial Intelligence | +| APP | Application Platform | +| AR | Augmented Reality | +| ASR | Automatic Speech Recognition | +| COD | Content Objects Database | +| HoMS | Human-oriented Message Service | +| IoT | Internet of things | +| MSISDN | Mobile Subscriber ISDN Number | +| NLG | Natural Language Generation | +| NLU | Natural Language Understanding | +| SL | Smart Learning | +| SMS | Short Message Service | +| SOC | State of Charge | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement needs not be present to claim conformance. + +The keywords "can optionally" and "may" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Overview of HoMS for smart learning in future network + +## 6.1 Background and motivation + +For smart learning (SL) in the future network, there will be a substantial number of interactions between human and smart learning devices, such as classroom speakers, library printers, educational robots, digital blackboards, and learning-enhanced augmented reality (AR) glasses. Since these smart + +learning devices (SL devices) are controlled through different application platforms (APP), service users are often required to install multiple APPs to control each SL device. However, it is difficult and inconvenient for learners who lack professional knowledge, especially for young children to manage different APPs directly. Furthermore, the current message interactions between service users' mobile devices and the SL devices are not human-oriented. The messages initiated by the SL devices are difficult to understand for humans without data processing and artificial intelligence (AI) transformation. Similarly, human commands expressed within the message cannot be directly accepted by the SL devices. Therefore, it is necessary to enhance the message service capability on the network side to facilitate human-oriented message interaction between service users and the SL devices. This improvement would enable more intuitive and user-friendly control and communication, enhancing the overall learning experience in the smart learning environment. + +## 6.2 Concept of HoMS + +The human-oriented message service (HoMS) provides intelligent message interaction between service user mobile device and smart learning devices by providing human semantic recognition and learning materials coordination. The conceptual diagram of HoMS is shown in Figure 6-1. + +The service users of HoMS include learners, teachers, and various other individuals seeking smart learning services. They utilize their mobile devices to both send and receive human-oriented messages, facilitating communication and interaction with the SL devices. + +The HoMS platform serves as a central hub for receiving human-oriented message requests sent by various sources, including the service user's mobile device, SL devices and SL device service platforms. HoMS is to process and facilitate message analysis and forwarding services to ensure effective exchange of information and efficient services. + +The SL device service platform refers to the application platform to which the SL devices are connected and managed. This platform facilitates the intelligent integration and management of the SL devices including SL devices management, SL devices data collection, SL devices operation status monitoring, SL device maintenance management, and other aspects. + +The SL devices refer to the Internet of things (IoT) devices and other devices equipped with communication capabilities that provide intelligent learning services for learners, teachers, and other service users. Examples of SL devices include classroom speakers, library printers, educational robots, learning-enhanced AR glasses and more. + +![Conceptual diagram of human-oriented message service for smart learning (HoMS). The diagram shows three main components: 'Smart learning service users' (containing Teacher and Learners), 'HoMS platform' (a central blue cylinder), and 'Smart learning devices service platform' (containing two server icons). These are connected to the 'IMT-2020 network' (a grey cloud at the bottom). Solid blue double-headed arrows connect the users to the HoMS platform, the HoMS platform to the service platform, and the service platform to the smart learning devices. A red dashed arrow labeled 'Human-oriented message' points from the smart learning devices back to the users. The smart learning devices are represented by icons of a watch, game controller, robot, clock, and AR glasses. The reference 'Y.2250(24)' is in the bottom right corner.](0b87abe67b21a93777287649c33e755d_img.jpg) + +Conceptual diagram of human-oriented message service for smart learning (HoMS). The diagram shows three main components: 'Smart learning service users' (containing Teacher and Learners), 'HoMS platform' (a central blue cylinder), and 'Smart learning devices service platform' (containing two server icons). These are connected to the 'IMT-2020 network' (a grey cloud at the bottom). Solid blue double-headed arrows connect the users to the HoMS platform, the HoMS platform to the service platform, and the service platform to the smart learning devices. A red dashed arrow labeled 'Human-oriented message' points from the smart learning devices back to the users. The smart learning devices are represented by icons of a watch, game controller, robot, clock, and AR glasses. The reference 'Y.2250(24)' is in the bottom right corner. + +**Figure 6-1 – Conceptual diagram of human-oriented message service for smart learning** + +# **7 Requirements of HoMS for smart learning in future networks** + +## **7.1 The service requirements for HoMS** + +According to the message initiator and message receiver of the message, the HoMS service model is divided into five categories: + +- The human-oriented message is transmitted from the service user's mobile device to the SL device; +- The human-oriented message is transmitted from the SL device to the service user's mobile device; +- The human-oriented message is transmitted from one service user's mobile device to another service user's mobile device; +- The human-oriented message is transmitted from the SL device to the HoMS platform; +- The human-oriented message is transmitted from the HoMS platform to the SL device or service user or the SL device service platform. + +The following clauses define the service requirements for each message model. + +### **7.1.1 Service requirements for messages transmitted from the service user's mobile device to the SL device** + +It is required that the human-oriented message is sent from the service user's mobile device to the SL device. + +It is recommended that the recipient within the human-oriented message is represented by the identity of the SL device. + +It is recommended that the service users use the mobile device's short message service (SMS) interface to contact multiple SL devices without the need to install additional SL device service platforms that control the SL devices. + +It is required that the message content supports various media types, including text, image, audio, video, files, and geolocation. + +It is recommended that both the contents and the command expression within the human-oriented message are edited and expressed in human natural language on the service user's mobile device. The command expression serves to record the service user's text input and voice input through the service user's mobile device, which can reflect the service user's control intention towards the SL devices. Service users are relieved from the necessity of composing control commands in machine languages to control the SL devices. + +It is required that the identity of the SL device and the identity of the service user be encrypted during transmission. + +It is required the HoMS platform supports the semantic recognition capabilities to identify the service user's semantics based on the message content. + +It is required to carry out semantic recognition capability to determine the target SL device with which the service user wishes to interact with, and to analyse what specific operation the service user wishes the SL device to execute. + +It is recommended that natural language understanding (NLU) techniques are applied for identifying the text messages, automatic speech recognition (ASR) techniques are applied for identifying the audio messages, and image artificial intelligence (AI) recognition models are applied for recognizing the image content in messages. + +It is recommended to establish the control command knowledge graph for each SL device. + +The control command knowledge graph is recommended to contain information about the relationship between the service user's command expression and the SL device's control command. + +It is recommended to apply AI models to analyse the SL device's control command knowledge graphs and service user's command expression in order to achieve the SL device's control command. + +It is recommended to provide real-time feedback on message delivery status. + +NOTE 1 – This includes notifications for successful deliveries, failures, or instances where message delivery is temporarily suspended. + +In cases of delivery failure, the HoMS is recommended to provide clear indications of failure reasons. + +It is recommended that the HoMS platform sends one confirmation message to the service user mobile device before transmitting the control command to the SL device in order to ensure accuracy. + +It is recommended that the confirmation message content includes both the identified user intention and a description of the control commands for SL devices. + +It is recommended that the service user is capable of verifying the accuracy of the identified user intention and control command description within the confirmation message and then send back a response message from a mobile device to the HoMS as confirmation. + +It is required that the HoMS platform generates the SL device's control command and transmits it to the target SL device to realize control over the SL device based on the semantic recognition of the human-oriented message. + +It is required that the SL device's control command be transferred from the HoMS platform to the address identifier of the target SL devices service platform first, and then the SL devices service platform transfers the control command to the SL device. + +It is recommended that educational learning content materials be stored on the educational content objects database (COD) [ITU-T Y.2241]. The learning materials includes image content, video content, audio content, text content, etc. + +It is recommended that the HoMS platform supports interaction with the *ubique* learning system educational COD when the service user expresses in the message access to the learning materials stored on the educational COD. + +It is recommended that the HoMS is capable of discerning service priority where multiple service users concurrently send messages to control a single SL device. + +It is recommended to advise the service users to re-describe the content and resend the message if the service user's intention cannot be recognized and understood by the HoMS platform. + +In scenarios where the capabilities of HoMS do not align with the specific requirements of a service user, the HoMS platform is recommended to send one message in order to notify the user that the requested service cannot be supported. + +It is recommended to support the storage of messages if the terminated SL device is off-line or unavailable. + +NOTE 2 – If the service user wishes to resend the human-oriented message to the SL device, then the stored message is recommended to be triggered manually. This proactive approach ensures that no communication is lost. + +It is recommended that the HoMS provides multi-device message content synchronization. If the user logs in to the new mobile devices, the message history content is required to be synchronized between multi-devices after user permission. + +It is recommended that the HoMS platform engages in an analysis requests inconsistency when the HoMS platform receives multiple concurrent requests from different service users to control the same SL device. + +It is recommended that the HoMS platform undertakes comprehensive coordination and moderation of the service request rather than directly forwarding these requests to the respective SL device server platforms. The following features are recommended to be considered: + +It is recommended to consider the user profile and optimize the control of the SL device to accommodate the comfort learning needs of all users. + +NOTE 3 – When multiple learners express a desire to adjust the brightness of lighting within a classroom in the human-oriented message, the HoMS platform, situated on the network side, is recommended to gather information such as the seat position, the eyes vision, the age, or any other pertinent characteristic of these learners. Subsequently, the HoMS platform intelligently predicts and recommends an appropriate brightness level for the lighting. + +It is recommended to consider the service priority of service users and carry out differentiated control priority over SL devices to promote effective smart learning. + +NOTE 4 – In situations when controlling the digital blackboard, the service priority of the teacher is higher than the learners. When several learners and teachers express a desire to remark something on the digital blackboard in the human-oriented messages concurrently, the HoMS platform on the network side should prioritize the teacher's request and ensure its prompt transmission to the digital blackboard service platform. This prioritization guarantees that the teacher has the necessary remark access to facilitate effective teaching. + +It is recommended to consider the smart learning environment when adjusting the SL devices and ensure the environment is conducive to effective teaching and learning experiences. + +NOTE 5 – In the context of adjusting the brightness of a digital notebook, the HoMS platform situated on the network side is recommended to analyse the ambient lighting conditions within the entire classroom. Following this analysis, the HoMS platform predicts the optimal brightness level of the notebook. Subsequently, the HoMS platform transmits this predicted brightness request to the digital notebook service platform. + +### **7.1.2 Service requirements for messages transmitted from the SL device to the service user's mobile device** + +It is required that the message is sent from the SL device to the service user's mobile device. + +It is recommended that the sender within the HoMS message is represented by the identity of the SL device or the alias name of the SL device. + +It is required that the SL device is capable of reporting data and giving feedback to the related SL device service platform based on the command expression requested in the message. + +NOTE 1 – As an illustration, when a user requests information about a printer error reason, the printer transmits the error code to the printer service platform, which has the capability to manage and control the printer. This allows the HoMS to provide the user with the specific error details they are seeking. + +It is required that the SL device service platforms are capable of interacting with the HoMS platform in order to transmit the feedback data reported by the SL devices to the HoMS platform. + +According to the service users' request, the HoMS platform is recommended to utilize natural language generation (NLG) to translate the feedback data initially expressed in the machine languages into human natural language. + +It is required that the HoMS platform forwards the translated feedback data to the service user's mobile device. + +It is required that the HoMS messages displayed on the service users' mobile devices are expressed in human natural language. + +It can optionally support sending suggestion lists from SL devices to the service users. + +The suggestion list can optionally offer a variety of choices to service users in order to provide clear, straightforward options. + +NOTE 2 – For instance, if a learner wearing AR equipment experiences visual fatigue, the learner sends a human-oriented message to the AR equipment to adjust the resolution. The AR equipment responds to a message containing the suggestion list containing different resolution settings, allowing the learner to choose a suitable resolution from the provided choices. + +It is recommended to transmit the message containing the selected suggestion from the SL device to the HoMS platform. + +The HoMS platform is recommended to identify the suggested choice and relay the command to the relevant SL device service platform for controlling the SL devices according to the service user's selection. + +### **7.1.3 Service requirements for messages transmitted from a service user's mobile device to another service user's mobile device** + +It is required that the message sender is the service user's mobile device, and the message receiver is another service user's mobile device. + +It is required that service users are able to send both point-to-point message and group message to other service users through the HoMS. + +It is recommended that the HoMS platform is capable of recognizing the identity of the message receiver as the user's mobile device mobile subscriber ISDN number (MSISDN) [ITU-T E.101]. + +It is recommended that the HoMS platform is capable of transmitting the message to the receiver directly without identifying the service user's semantics or intent within the message. + +It is recommended that the message content supports audio call messages. + +### **7.1.4 Service requirements for messages transmitted from the SL device to the HoMS platform** + +It is required that the message sender is the SL device and the recipient is the HoMS platform. + +It is required that the SL device is capable of reporting SL device status data to the relevant SL device service platform that controls this SL device. + +It is required that the SL device service platform transfers SL device status data to the HoMS platform immediately once they receive the device status data. + +It is recommended that the SL device status data includes but is not limited to the current geographic location, network connection status, operation status, or the remaining power of the SL device. + +The SL device status data reporting period is recommended to be flexible and adjustable. + +NOTE – Some SL devices have limited computing and storage capabilities, and the power supply unit's life cycle is short. Therefore, it is recommended that the SL device status data reporting period should be as long as possible, to save the power consumption and data flow consumption of the SL device. + +Based on the SL device status, the HoMS platform is recommended to assess and inform service users whether the SL device can provide services normally. + +### **7.1.5 Service requirements for messages transmitted from the human-oriented message service platform** + +It is required that the HoMS platform is capable of sending broadcast message in order to handle massive communications efficiently without long latency. + +It is required that the broadcast message is initiated by the HoMS platform. + +It is required that the broadcast message receivers can be service users' mobile device, SL devices or the SL device service platform. + +The broadcast message received by the learner, teacher or other service users' mobile device is required to be expressed in human natural languages. + +To prevent malicious attacks, it is required that only authorized administrators have the ability to send broadcast messages. + +## **7.2 The network requirements of HoMS** + +It is required to provide a safe and stable network access service for service users to utilize HoMS. + +It is recommended that the payload size of the human-oriented message can be optimized to ensure efficient multimedia file transformation capability. + +It is recommended that the network latency of human-oriented message transmission is capable of supporting multiple delay capabilities for different scenarios. For emergency broadcast messages and real time control messages, the network is recommended to support ultra-low latency transmission. + +It is recommended that the network reliability of human-oriented message transmission is capable of supporting multiple reliability capabilities for different scenarios. For remote-control messages, the network is recommended to support extremely high reliability. + +It is recommended that the control plane resource should be lightweight to minimize power consumption and data flow on the SL devices. + +It is recommended to support extremely high resource efficiency for large scale connections. + +It is required that the network between the HoMS platform and service user mobile devices be accessible. + +It is required that the network between the HoMS platform and the SL device service platforms be interoperable. + +It is required that the HoMS platform provide an interface with the core network. + +## **7.3 The devices management requirements of HoMS** + +Direct interaction with the communication network: Devices are able to gather and upload information directly (i.e., without using gateway capabilities) to the communication network and can directly receive information (e.g., commands) from the communication network [ITU-T Y.4000]. + +It is required that the SL device is capable to register with the HoMS platform and get its identity. + +The identity of the SL device is required to be searched by all authorized service users. + +It is recommended that the SL devices report status to the HoMS platform within specific intervals. The SL device status report encompasses vital information, including but not limited to network connectivity, geographical location, stage of charge (SOC), any fault status, etc. + +It is required that the SL devices implement a licensing mechanism that defines which service users have permission to control this SL device through human-oriented messages. + +It is required that the HoMS is capable of controlling the message and call notification intelligently, to reduce the notification frequency and avoid disturbing other learners. + +It is recommended to place multiple devices that are accessed via the same MSISDN into one cluster. + +It is recommended to provide SL device cluster management and set message service notifications priority and call service notifications priority for service users. + +It is recommended that the HoMS platform obtains the message service notification priority and call service notification priority for all devices in the device cluster when receiving messages and calls from other devices. + +It is recommended for the HoMS platform to transmit the message request or call request to the SL device with the higher service notification priority according to the service notification priority information. + +It is recommended that the HoMS platform evaluates whether to continue transmitting the message request or call request to the SL device with a lower notification priority based on the status of the SL device with a higher notification priority. + +NOTE – This evaluation aims to reduce the notification frequencies and minimize disturbances. + +It is recommended to forward the message request and call request to the SL device with lower service notification priority, even when the SL device with higher service notification priority is involved. These conditions include: + +- When the SL device with higher service notification priority is disconnected from the network. +- When the SL device with higher service notification priority shuts down or is out of service. +- When the SL device with higher service notification priority has no responses or answers. +- When the SL device with higher service notification priority rejects the message request and call request initiatively. In addition, the SL device with higher service notification priority and the mobile device with lower service notification priority are in different locations. + +It is recommended not to forward the message request and call request to the low priority SL device when the high priority SL device meets any of the following conditions: + +- The SL device with higher service notification priority has responses for the received message/call. +- The SL device with higher service notification priority rejects the message/call request. In addition, both the SL device with higher service notification priority and the SL device with lower service notification priority are in the same locations. + +It is recommended that the HoMS platform is capable of judging whether the message request and call request received on the SL device with higher service notification priority is actively rejected by the service user or not. + +It is recommended that the SL devices report message rejection and call rejection actions to the HoMS platform. + +When a message or call rejection is received from an SL device with higher service notification priority, the HoMS is recommended to conclude that the rejection was initiated by the service user. + +It is recommended that the HoMS platform appropriately reroute the request to the SL device with lower service notification priority if a rejection is confirmed to be user-initiated. + +If the HoMS platform does not receive any message rejection and call rejection request from the SL device with higher service notification priority within a certain time slot, the HoMS platform is recommended to conclude that the rejection of the message/call was not initiated by the service user but due to technical issues or network failures. + +If no rejection is detected, the HoMS platform is recommended to explore alternative options to ensure that the message or call reaches its intended recipient, such as forwarding it to the lower priority SL device. + +# **8 Framework of HoMS for smart learning in future networks** + +The framework of HoMS for smart learning is shown in Figure 8-1. The HoMS framework mainly consists of an identity assignment entity, message storage entity, message data processing entity, SL device management entity and interfaces between COD and SL device servers. The network interface and communication principle between the SL devices and the related SL device platform adheres to + +the IoT communication framework defined by [ITU-T Y.4000], ensuring robust and standardized connectivity. The network interface and communication principle between service users and the HoMS platform leverages the IMT-2020 network standards, as specified in [b-ITU-T Y.3104] and [b-ITU-T Y.3108]. The network connection between the HoMS platform and the SL devices service platforms is interconnected. This Recommendation defines the entities in the solid line blocks. + +![Figure 8-1: The framework of HoMS for smart learning in future networks. The diagram shows a 'Service user' (dashed box) containing a 'Mobile device' and 'IMT-2020' connected to the 'HoMS platform' (solid box). The HoMS platform contains six modules: 'Message storage', 'Message data processing', 'Identity assignment', 'Interface of learning material COD', 'Device management', and 'Interface of SL device server'. The HoMS platform is connected to 'SL devices service platforms' (solid box) which are connected to three 'SL device' boxes (A, B, and C, dashed boxes). A reference 'Y.2250(24)' is at the bottom right.](5cab96b2d23174c25919840ecd50aa48_img.jpg) + +``` + +graph LR + subgraph Service_user [Service user] + MD[Mobile device] + IMT2020[IMT-2020] + end + subgraph HoMS_platform [HoMS platform] + MS[Message storage] + MDP[Message data processing] + IA[Identity assignment] + ILM[Interface of learning material COD] + DM[Device management] + ISLDS[Interface of SL device server] + end + subgraph SL_devices_service_platforms [SL devices service platforms] + SLA[SL device A] + SLB[SL device B] + SLC[SL device C] + end + + Service_user <--> HoMS_platform + HoMS_platform <--> SL_devices_service_platforms + SL_devices_service_platforms --- SLA + SL_devices_service_platforms --- SLB + SL_devices_service_platforms --- SLC + +``` + +Y.2250(24) + +Figure 8-1: The framework of HoMS for smart learning in future networks. The diagram shows a 'Service user' (dashed box) containing a 'Mobile device' and 'IMT-2020' connected to the 'HoMS platform' (solid box). The HoMS platform contains six modules: 'Message storage', 'Message data processing', 'Identity assignment', 'Interface of learning material COD', 'Device management', and 'Interface of SL device server'. The HoMS platform is connected to 'SL devices service platforms' (solid box) which are connected to three 'SL device' boxes (A, B, and C, dashed boxes). A reference 'Y.2250(24)' is at the bottom right. + +**Figure 8-1 – The framework of HoMS for smart learning in future networks** + +## 8.1 Identity assignment entity + +In line with the requirements defined in clause 7, the identity assignment entity is responsible for assigning identification to SL devices and maintaining a record of their corresponding service platform address information. It ensures that human-oriented messages are delivered to the intended devices and ensure a smooth system operation. It encompasses the following functionalities: + +- Assigning identifier: This entity assigns a globally unique, anonymous, and revocable identifier to each SL device. The identifier is used to differentiate and identify each SL device within the HoMS and enabling precise targeting of human-oriented messages. +- Storing SL devices information: The entity is responsible for storing relevant information about the SL devices, including SL devices service platform address information. Additionally, it establishes and maintains the SL device identity mapping, which associates the SL device identity with its corresponding service platform address information (physical and logical address information). +- Searching for target devices: When the human-oriented message request is received, the identity assignment entity conducts a search within the device relationship, mapping to identify the target SL device's identity and its associated service platform address information. This process ensures that the message is directed to the intended device accurately. + +## 8.2 Message storage entity + +In line with the requirements defined in clause 7, the message storage entity carries out functionalities as follows: + +- Cloud storage and synchronization: This entity provides a mechanism for storing, synchronizing, and backing up human-oriented message resources and user data. It leverages cloud-based storage solutions to ensure that these resources and data are securely stored and accessible from multiple devices and locations. This functionality enables users to access their messages and data from different devices and ensures that their information is safely stored in case of device loss or failure. +- Quick retrieval: It facilitates efficient uploading and downloading of message content and user data. By offering quick retrieval capabilities, service users can conveniently access their messages and data, enabling seamless communication and efficient management of information. + +## 8.3 Message data processing entity + +In line with the requirements defined in clause 7, the message data processing entity carries out functionalities as follows: + +- Human-oriented message content analysis: This entity involves the use of AI models to analyse the messages or input from service users. Its primary functionality is to recognize the semantics and intent within the messages, thus providing a more human-oriented response to the service users. It goes beyond simple keyword matching and aims to comprehend the service user's needs and context. +- Human-oriented message content generation: This entity performs the conversion of natural language control commands into machine operation instructions. It also involves translating structured data or machine language-based operation commands into understandable human language using NLG techniques. This ensures that the responses are user-friendly and easy to understand. +- Distributed message actions or commands: Once the human-oriented message content analysis is complete and human-friendly responses are generated, this entity distributes the requisite actions or commands to the related SL devices services platform. Through communication with these platforms, it ensures the execution of necessary actions, thereby fulfilling the user's request based on a comprehensive analysis. +- User profile management: This entity collects user characteristics and preferences to predict their service requests more accurately. + +## 8.4 Device management entity + +In line with the requirements identified in clause 7, the device management entity is responsible for managing the complete life cycle of SL devices, including provisioning, configuration, monitoring, and maintenance. Its main functionalities include: + +- SL devices provisioning management: This entity manages the process of adding new SL devices to the system. It includes tasks such as SL device registration, authentication and authorization. This entity also maintains a repository of knowledge graphs detailing the capabilities of each SL device. +- Configuring and updating SL devices: This entity ensures the correct configuration of SL devices. It creates and manages clusters for multiple SL devices. This management includes adding, removing, and updating SL devices as required. +- Monitoring SL devices: The entity monitors the behaviour of SL devices to detect abnormalities, analyse performance metrics, and spotting potential technical issues. Its functionality also includes generating alerts or notifications for timely intervention. +- Coordination and moderation: Device management entity intelligently analyses incoming requests from different service users who are controlling the same device. It evaluates these requests for consistency and determines whether to coordinate or moderate the requests based on the predefined requirements. The entity also coordinates and moderates service requests based on user profiles, service priority, and other features. It intelligently matches the suitable SL devices for each user and coordinates requests to ensure efficient use of the HoMS system resources. +- Service notification priority management: When a service user initiates a human-oriented message/call to an SL device within the cluster, the entity obtains the human-oriented message/call service notification priority of all SL devices in a cluster and maintains this information, and then uses the service priority information to determine the SL device with the higher service notification priority. + +## 8.5 Smart learning content material interface entity + +The smart learning content material interface entity is responsible for managing the delivery of learning material to learners through various devices and platforms. Its main functionalities include: + +- Smart learning material management: This entity provides the interface to get access to the COD and enables the management of learning materials such as texts, images, audio, and videos through human-oriented message. It also allows service users to edit the contents of the learning materials using human-oriented message and enhance accessibility and navigation for learners. By enabling content modification, this entity empowers educators and content creators to tailor the learning material to better suit the diverse needs of the learners. +- Content distribution and delivery: This entity allows for the distribution and delivery of learning materials to learners through the human-oriented message across different channels, including mobile devices and SL devices. + +## 8.6 SL device server interface entity + +The SL device server interface entity is a component that connects SL device service platforms with the HoMS platform. It helps to provide a seamless and secure learning experience for the HoMS platform to get access to multiple SL device service platforms, enabling them to access learning content and interact with the HoMS platform from anywhere, anytime. Its main functionalities include: + +- SL device management: The entity establishes and manages connections between the HoMS platform and various SL device servers. It enables SL device service platforms to access the COD and interact with the HoMS platform. +- User authentication: The entity is responsible for authentication of SL device service platforms, ensuring that only authorized entities gain access to the HoMS platform. It also manages the permissions and access levels of SL device service platforms, controlling their interaction with different aspects of the HoMS platform. +- Data synchronization: The entity is responsible for synchronizing data between the HoMS platform and the connected SL devices service platforms. It ensures that the data input by learners on their devices is accurately and immediately updated within the HoMS platform, fostering a dynamic and responsive learning environment. +- SL device security: The entity enhances the security of the HoMS platform by implementing security measures such as encrypting the data transmitted between SL device service platforms and the HoMS platform, monitoring access activity, and ensuring system integrity. + +# 9 Security considerations for HoMS + +By addressing these security considerations below, the HoMS can provide a secure and confidential communication platform for users. + +**Data confidentiality:** Implement data protection measures to protect sensitive information from unauthorized disclosure. + +**User authentication and access control:** Implement user authentication mechanisms to ensure that only authorized individuals can access the human-oriented message service. Additionally, enforce access control policies to restrict users' access to appropriate human-oriented message content and features based on their roles and permissions. This ensures protection from unauthorized access. + +**Message encryption:** Employ end-to-end encryption for human-oriented messages transmitted between users' devices and the HoMS platform. + +Secure transmission channels: Utilize secure protocols for data transmission between users' mobile device, the HoMS platform and the SL device service platforms. + +Application security: Employ secure coding practices and conduct regular security assessments of the human-oriented message service application. This helps identify and mitigate any vulnerabilities that could be exploited by attackers to gain unauthorized access or compromise the system. + +Threat detection and monitoring: Implement real-time monitoring of access logs, and system logs to identify and respond to any suspicious or malicious behaviour promptly. + +# Appendix I + +## Use cases and procedure of human-oriented message service for smart learning + +(This appendix does not form an integral part of this Recommendation.) + +## I.1 Procedure of HoMS for smart learning + +(1) SL device network connection: + +The SL device (the light in a classroom): Fulfill the network authentication and registration. + +The HoMS platform-identity assignment entity: Assign the identity to the light. The light within the classroom gets its identity. + +(2) Learner A and learner B simultaneously adjust the classroom light intensity: + +Learner A initiates one new human-oriented message by typing or searching the SL device identity in the message receiver bar. Learner A sends one message to the light, with the content presented in either text or audio format, for instance, "Please increase the brightness of the light". + +Learner B sends one human-oriented message to the light, with the content presented in either text or audio format, for instance, "I think the light is too bright". + +(3) The messages sent by learner A and learner B are transferred to the HoMS platform for AI analysis. + +The HoMS platform analysis the message content. Based on the semantic recognition result, the HoMS platform will get learners' intentions: + +| The message sender | The SL device to be controlled | The control intention | +|--------------------|--------------------------------|------------------------| +| Learner A | Light in the classroom | Enhance the brightness | +| Learner B | Light in the classroom | Lower the brightness | + +Since the learners' commands are opposite, the HoMS platform carried out AI models to analyse learner A and learner B's features and the smart learning environment comprehensively. Factors considered include: + +- Seat position of learner A and learner B. +- Visual acuity of their eyes. +- Brightness of the computer screen. +- The overall brightness of the classroom. + +The HoMS platform decides on a moderate intensity of light that caters to the different needs of the two learners. + +(4) The HoMS platform then communicates with the service platform that controls the classroom lights and conveys the control command to adjust the light intensity to a specific level. The control command will be expressed in machine language, for instance, < service= turned on, data: "entity\_id: light. 007, brightness\_pct=20%" >. + +(5) The light service platform receives a control command from the HoMS platform, followed by transmitting machine instructions to control the light remotely. As a result, the classroom light is adjusted to the specified intensity level, satisfying the preferences of both learner A and learner B. + +(6) The HoMS platform applies natural language generation (NLG) or AI dialogue models to generate the natural language response. These responses are sent as a suggestion list to learner A and learner B. On the mobile devices, learners will be presented with a suggestion choice list: "If the + +brightness is suitable for you?" Allowing them to select their preferred brightness level based on the suggestions, ensuring that the chosen brightness is suitable for their needs. + +![Figure I.1 shows two mobile device screens illustrating a human-oriented message service for controlling classroom light brightness. The left screen, labeled 'Learner A mobile device', shows a message from 'Receiver: Classroom Light No.3' asking 'Please turn up the brightness of the light.' Below it, a response bubble says 'The light brightness has been adjusted. Is the brightness suitable for you now?' with 'Yes' and 'No' buttons. The right screen, labeled 'Learner B mobile device', shows a message from 'Receiver: Classroom Light No.3' saying 'I think the light is too bright.' Below it, a response bubble asks 'Do you want the light to be darker?' with 'Yes' and 'No' buttons. Both screens show a status bar at the top with the time 15:23 and signal/battery icons. A small blue bar is visible at the bottom of the right screen.](3376f33dd811eb3e39ff47117c958ed9_img.jpg) + +Figure I.1 shows two mobile device screens illustrating a human-oriented message service for controlling classroom light brightness. The left screen, labeled 'Learner A mobile device', shows a message from 'Receiver: Classroom Light No.3' asking 'Please turn up the brightness of the light.' Below it, a response bubble says 'The light brightness has been adjusted. Is the brightness suitable for you now?' with 'Yes' and 'No' buttons. The right screen, labeled 'Learner B mobile device', shows a message from 'Receiver: Classroom Light No.3' saying 'I think the light is too bright.' Below it, a response bubble asks 'Do you want the light to be darker?' with 'Yes' and 'No' buttons. Both screens show a status bar at the top with the time 15:23 and signal/battery icons. A small blue bar is visible at the bottom of the right screen. + +**Figure I.1 – The message example for multiple learners control the brightness of the classroom light by HoMS** + +## I.2 Contact the printer to print files by human-oriented message service + +(1) SL device (the printer in a library) reports its status data to the SL device service platform (printer server), and then the printer server forwards the status data to the HoMS platform. For instance, if the printer's ink volume is depleted, it triggers a status update indicating that the printer ink volume is empty, so the library printer is out of service currently. The service status of this SL device on the HoMS platform indicates that it is currently out of service. + +(2) Learner C sends a human-oriented message to the printer in the library, with the content presented in either format of text or audio. For instance, "I need to print the mathematics notebook assigned by the mathematics teacher today". + +(3) The message sent by learner C will be transferred to the HoMS platform for AI analysis. The HoMS platform discerns the learner C's intention: + +| The message sender | The SL device to be controlled | The control intention | +|--------------------|--------------------------------|-------------------------------------------------------------------------------------------------------------------------------| +| Learner C | Printer in the library | Print a document. The document is stored on the ubique learning system. The file name includes "mathematics notebook". | + +(4) The HoMS platform applies NLG to generate a response message, which is sent to learner C: "The printer is out of service; would you like to check other printers nearby?" The message also includes the suggested choice list showing "Yes" and "No". + +(5) In case learner C replies "No", then the HoMS platform will not transmit the printing control command to the printer service platform. + +(6) In case learner C replies "Yes", then the HoMS platform proceeds to recommend an alternative printer nearby and provides the identity of this new printer. + +(7) Learner C then sends one new human-oriented message to the new printer and the HoMS platform applies the AI analysis to extract the semantics from learner C's message. The HoMS platform searches the learning materials stored on the educational content objects database (COD) of a self-directed *ubique* learning system. It predicts the most relevant files that learner C wants printed based on the file name keywords, context analysis and knowledge graph. + +- (8) The HoMS platform applies the natural language generation (NLG) to compose a response message and sends it to learner C. The message also includes the suggestion choices list with the predicted file name. When learner C receives that message with the suggestion list, the learner can confirm which file they want to print. Subsequently, the HoMS platform sends a print property suggestion choice list to learner C, allowing learner C to confirm details, such as the copy numbers, print colour, pages, and other property settings. +- (9) After learner C confirms their print settings, the HoMS platform communicates with the service platform that controls this new printer and sends the print control command. +- (10) The service platform of the new printer receives the print control command sent from the HoMS platform and then controls the new printer to print the notebook assigned by the mathematics teacher. + +# Bibliography + +- [b-ITU-T T.135] Recommendation ITU-T T.135 (2007), *User-to-reservation system transactions within T.120 conferences.* +- [b-ITU-T X.1087] Recommendation ITU-T X.1087 (2016), *Technical and operational countermeasures for telebiometric applications using mobile devices.* +- [b-ITU-T Y.3104] Recommendation ITU-T Y.3104 (2018), *Architecture of the IMT-2020 network.* +- [b-ITU-T Y.3108] Recommendation ITU-T Y.3108 (2019), *Capability exposure function in IMT-2020 networks.* + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and 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+|--------------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Smart ubiquitous networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| Future networks | Y.3000–Y.3099 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2281** + +# **Framework of networked vehicle services and applications using NGN** + +## **Summary** + +Recommendation ITU-T Y.2281 describes the framework of networked vehicle services and applications in the context of next generation networks (NGN). This Recommendation identifies the relationship between NGN and a networked vehicle as well as requirements taking into consideration the necessity of supporting networked vehicle services and applications using NGN. In addition, a framework architecture of NGN-capable networked vehicle and intelligent transport systems (ITS) infrastructure is described to support the communication features of an NGN harmonized with the networked vehicle. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2281 | 2011-01-28 | 13 | + +## **Keywords** + +ITS, networked vehicle, NGN, vehicle communication. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2011 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|--------------------------------------------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 4 | +| 6 | High-level view of a networked vehicle..... | 4 | +| 7 | Services and communication features of networked vehicles ..... | 5 | +| | 7.1 Networked vehicle services and applications..... | 5 | +| | 7.2 Communications features ..... | 6 | +| | 7.3 Relationship between networked vehicle services and applications with
communication features..... | 7 | +| 8 | Requirements for networked vehicle services and applications using NGN..... | 8 | +| | 8.1 Requirements for a networked vehicle communicating with ITS
infrastructure..... | 8 | +| | 8.2 NGN requirements for networked vehicle services and applications ..... | 12 | +| 9 | Framework architecture of the networked vehicle and ITS infrastructure ..... | 14 | +| | 9.1 Reference architecture of the NGN-capable networked vehicle and ITS
infrastructure..... | 14 | +| | 9.2 Overview architecture of the NGN-capable networked vehicle and ITS
infrastructure..... | 16 | +| 10 | Security considerations ..... | 16 | +| | Appendix I – Use cases of networked vehicle services and applications using NGN..... | 17 | +| | Appendix II – Comparison between ITS station reference architecture and NGN
functional architecture ..... | 19 | +| | II.1 Features and detailed functions of ITS station reference architecture ..... | 19 | +| | II.2 Analysis between two architectural models ..... | 20 | +| | II.3 Features and functions for a networked vehicle ..... | 22 | +| | Bibliography..... | 24 | + +## **Introduction** + +A vehicle is one of the important components utilizing network capabilities in terms of vehicle to infrastructure (V2I), vehicle to vehicle (V2V) and vehicle to home (V2H) communications. In that context, a networked vehicle can cooperate with next generation networks (NGNs) to support more advanced services and applications such as road safety applications, road traffic related applications, multimedia services and location-based implementation of these services. + +# Recommendation ITU-T Y.2281 + +# Framework of networked vehicle services and applications using NGN + +# 1 Scope + +This Recommendation describes a framework for networked vehicle services and applications assuming operation in an area where telecommunication services are provided by NGN. This Recommendation identifies features and requirements for the provision of networked vehicle services and applications using NGN. This Recommendation also provides a framework architecture to support these features and requirements. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [ITU-T Y.2201] Recommendation ITU-T Y.2201 (2009), *Requirements and capabilities for ITU-T NGN*. +- [ITU-T Y.2291] Recommendation ITU-T Y.2291 (2011), *Architectural overview of next generation home networks*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [ITU-T Y.2702] Recommendation ITU-T Y.2702 (2008), *Authentication and authorization requirements for NGN release 1*. +- [ITU-R M.1453-2] Recommendation ITU-R M.1453-2 (2005), *Intelligent transport systems – Dedicated short range communications at 5.8 GHz*. +- [ITU-R M.1457-9] Recommendation ITU-R M.1457-9 (2010), *Detailed specifications of the terrestrial radio interfaces of International Mobile Telecommunications-2000 (IMT-2000)*. +- [ETSI EN 302 665] ETSI EN 302 665 V1.1.1 (2010), *Intelligent Transport Systems (ITS); Communications Architecture*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 functional entity** [ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +**3.1.2 intelligent transport systems (ITS)** [b-ITU-R Handbook]: ITS is defined as systems utilizing the combination of computers, communications, positioning and automation technologies to improve the safety, management and efficiency of terrestrial transport systems. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 infrastructure:** The basic facilities and systems comprised of network nodes (i.e., switches and/or routers) and the means to connect them (i.e., wired (cable or fibre) or wireless) for the purpose of communication between two end-points. + +**3.2.2 networked vehicle:** A vehicle capable of providing communication between entities within the vehicle as well as between entities within the vehicle and ITS infrastructure or other communication networks such as NGN using various access technologies. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|--------------------------------------------| +| ABS | Automatic Break System | +| AM | Amplitude Modulation | +| ANI | Application to Network Interface | +| API | Application Programming Interface | +| CALM | Communication Access to Land Mobile | +| DMB | Digital Multimedia Broadcasting | +| DRM | Digital Rights Management | +| DSRC | Dedicated Short Range Communications | +| DVB-T | Digital Video Broadcasting – Terrestrial | +| DVD | Digital Versatile Disc | +| ECM | Engine Control Module | +| ECU | Electronic Control Unit | +| FM | Frequency Modulation | +| FMC | Fixed Mobile Convergence | +| GNSS | Global Navigation Satellite System | +| GPS | Global Positioning System | +| H2V | Home to Vehicle | +| ICT | Information and Communication Technologies | +| IMT | International Mobile Telecommunications | +| ISDN | Integrated Services Digital Network | +| ITS | Intelligent Transport Systems | +| IVN | In-Vehicle Network | +| MAC | Media Access Control | +| MM | Multifunction Mobile | + +| | | +|-------|-----------------------------------------| +| MP3 | Moving Picture 3 (digital audio format) | +| NAPT | Network Address Port Translation | +| NAT | Network Address Translation | +| NGN | Next Generation Networks | +| NNI | Network to Network Interface | +| OBD | On Board Diagnostics | +| OBU | On Board Unit | +| OEM | Original Equipment Manufacturer | +| PDA | Personal Digital Assistant | +| PSTN | Public Switched Telephone Network | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| RFID | Radio Frequency Identification | +| RTK | Real-Time Kinematic | +| SMS | Short Message Service | +| SNI | Server to Network Interface | +| SNMP | Simple Network Management Protocol | +| SP | Service Platform | +| SPI | Service Programming Interface | +| SRC | Seamless Radio Connectivity | +| TCM | Transmission Control Module | +| TCP | Transmission Control Protocol | +| UDP | User Datagram Protocol | +| UNI | User to Network Interface | +| USB | Universal Serial Bus | +| UWB | Ultra-Wideband | +| V2G | Vehicle to Grid | +| V2H | Vehicle to Home | +| V2I | Vehicle to Infrastructure | +| V2I2V | Vehicle to Infrastructure to Vehicle | +| V2V | Vehicle to Vehicle | +| VGP | Vehicle Gateway Platform | +| VoD | Video on Demand | +| VPN | Virtual Private Network | +| WLAN | Wireless Local Area Network | + +# **5 Conventions** + +In this Recommendation, the "I" in the keywords "V2I" and "V2I2V" stands for ITS infrastructure. + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "is not recommended" indicate a requirement which is not recommended but which is not specifically prohibited. Thus, conformance with this Recommendation can still be claimed even if this requirement is present. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +# **6 High-level view of a networked vehicle** + +Intelligent transport systems (ITS) provide capabilities, using information and communication technologies (ICT), to support safe and efficient use of transport infrastructure and transport means (e.g., car, train, plane or ship) for transportation of goods and humans. + +A vehicle (i.e., bus, car, lorry (truck) or van), which is one of the most dominant means of transportation, is either moving or stationary. + +A moving vehicle requires various capabilities including the support of networked vehicle services and applications such as road safety, traffic status, automatic toll road billing and emergency information. The support of such networked vehicle services and applications normally requires the use of communication capabilities supported by telecommunication infrastructures such as NGN, dedicated short range communication (DSRC) [ITU-R M.1453-2] or IMT-2000 [ITU-R M.1457-9]. Considering the importance of such communications to/from a networked vehicle, QoS/QoE, security and mobility, together with other factors, should be supported by the above-mentioned networking infrastructures. + +A stationary vehicle requires, from time-to-time, static operation such as maintenance and/or upgrade of devices. While in a stationary mode, networked vehicle communication generally needs support from residential home networks (e.g., that of the vehicle owner) and/or other networks (e.g., that of a repair workshop). + +Thus, key features of NGN such as fixed mobile convergence (FMC) support providing QoS and security play an important role. Figure 6-1 shows a high-level conceptual view of the relationship between a networked vehicle and external networks using NGN capabilities. In this figure, a networked vehicle is composed of personal devices and on-board equipments, etc. Roadside station and central station (e.g., traffic information centre) are examples of elements within ITS infrastructure. + +![Figure 6-1: High-level view of a networked vehicle using NGN capabilities. The diagram shows a 'Networked vehicle' box containing 'Personal devices' and 'On-Board equipments'. This box is connected to a central 'NGN' oval. Below the vehicle box is the 'ITS infrastructure' box, which includes a 'Roadside station' and a 'Central station (traffic info. centre)'. To the right of the NGN oval is the 'External networks' box, which includes 'Internet', 'Home', and 'Repair workshop'. A dashed line connects the vehicle box to the ITS infrastructure box. The label 'Y.2281(11)_F6-1' is at the bottom right.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Figure 6-1: High-level view of a networked vehicle using NGN capabilities. The diagram shows a 'Networked vehicle' box containing 'Personal devices' and 'On-Board equipments'. This box is connected to a central 'NGN' oval. Below the vehicle box is the 'ITS infrastructure' box, which includes a 'Roadside station' and a 'Central station (traffic info. centre)'. To the right of the NGN oval is the 'External networks' box, which includes 'Internet', 'Home', and 'Repair workshop'. A dashed line connects the vehicle box to the ITS infrastructure box. The label 'Y.2281(11)\_F6-1' is at the bottom right. + +**Figure 6-1 – High-level view of a networked vehicle using NGN capabilities** + +# 7 Services and communication features of networked vehicles + +## 7.1 Networked vehicle services and applications + +From the service and application aspects related to a networked vehicle, the following perspective can be considered: + +- 1) **Vehicle maintenance-oriented services/applications (SA-1):** The primary objective of these services/applications is the management of the vehicle itself. Possible vehicle management-oriented services/applications include: + - Remote vehicle diagnosis: This service/application supports the remote monitoring of the vehicle status based on the status of the relevant vehicle devices and management of internally controlled and monitored diagnostics. Security and privacy protection of remotely monitored vehicle information is recommended to be ensured. + - Vehicle data/software provisioning and update +- 2) **Road safety services/applications (SA-2):** The primary objective of these services/applications is the improvement of road safety. However, it is recognized that in improving road safety these services/applications may offer secondary benefits which are not directly associated with road safety. These services/applications are built upon the reporting of road-related situations such as vehicle accidents or vehicle malfunctioning. Possible co-operative road safety services/applications include: + - "Driving assistance – Co-operative awareness" covers use cases such as 'Emergency vehicle warning', 'Slow car warning', 'Intersection collision warning' [b-ETSI TR 102 638]; + - "Driving assistance – Road Hazard Warning" covers use cases such as 'Collision risk warning', 'Wrong way driving warning', 'Vehicle accident', 'Traffic condition warning', 'Road adhesion', 'Road visibility', etc. [b-ETSI TR 102 638]. + +- 3) **Passenger-oriented services/applications (SA-3):** The primary objective of these services/applications is to provide passengers in the vehicle with telecommunication-oriented services/applications such as interpersonal conversational services, audiovisual services (e.g., IPTV services), informational services (e.g., about the presence of locally based services or/and points of interest), access to Internet. + - These services/applications are provided using devices either already built in the vehicle and/or temporarily operated within a vehicle through communication inside the vehicle or to/from outside the vehicle. The vehicle owner can download or upload multimedia data through a head unit (i.e., built-in on-board unit (OBU)) with networking capability or personal stations such as a smart phone. +- 4) **Traffic efficiency services/applications (SA-4):** The primary objective of these services/applications is the improvement of traffic flow. However, it is recognized that improving traffic flow may offer secondary benefits not directly associated with traffic management. These services/applications provide for collecting and delivering of real-time traffic information by exchanging vehicle probe data periodically among vehicles and traffic information centres. The time stamp, the vehicle speed and location are some of the core elements of vehicle probe data, and should be transmitted to the centre in predetermined time periods. Possible applications include: + - "Speed management" covering use cases such as 'Regulatory/contextual speed limits' and 'Traffic light optimal speed advisory' [b-ETSI TR 102 638]; + - "Co-operative navigation" covering use cases such as 'Traffic information and recommended itinerary', 'Enhanced route guidance and navigation' and 'Limited access warning and detour notification' [b-ETSI TR 102 638]. +- 5) **Vehicle-oriented services/applications (SA-5):** The primary objective of these services/applications is the support of vehicle logistics and freight-oriented applications. These applications include applications such as fleet management and vehicle parking management applications. + +### 7.2 Communications features + +Two types of communications are considered, within a networked vehicle and to/from outside a networked vehicle: + +- 1) **Communication inside a networked vehicle:** This is a case in which communications are made inside a networked vehicle. The following types of communication can be distinguished: + - **Communication among objects which are equipped components of a networked vehicle:** This is the case where objects of a networked vehicle (such as engine control module (ECM), transmission control module (TCM), automatic break system (ABS)) communicate among themselves and/or communicate with a central vehicle control/monitoring platform. + - **Communication with devices temporarily operating within a networked vehicle:** This is the case of any devices temporarily operating in a networked vehicle (typically devices belonging to passengers such as a smart phone, an MP3 player or a personal digital assistant (PDA)). These devices may communicate among themselves and/or with equipment of the networked vehicle (such as a car radio, or a TV set). +- 2) **Communication from/to outside of a networked vehicle:** This is the case where communication is established between a given networked vehicle and other objects located outside of the networked vehicle. The following types of communication can be distinguished: + +- **Vehicle-to-vehicle (V2V) communication:** This is relevant both to ad hoc communication and communication through various mobile access networks. This communication occurs between a networked vehicle and another networked vehicle to propagate safety critical information within a short period of time while the networked vehicle is moving. V2V communication is classified into two categories. One is direct communication between moving networked vehicles by using point-to-point, point-to-multipoint, or multi-hop routing. The other is vehicle to infrastructure to vehicle (V2I2V) multi-hop communication having more than two-hops by way of either a roadside station or a mobile network infrastructure. V2V direct communication mode is out of scope of this Recommendation. +- **Vehicle-to-infrastructure (V2I) communications:** This relates to communication between a networked vehicle and an ITS infrastructure through networks such as NGN, international mobile telecommunications (IMT)-2000, wireless local area network (WLAN), or dedicated short range communications (DSRC). +- **Vehicle-to-home (V2H) communications:** This relates to communications between a networked vehicle and a residential home network through networks such as NGN. When the networked vehicle is parked in a home, the networked vehicle could be treated as an element of the home network. There are two cases: one is for handling it as the owner's home device (i.e., belonging to the same owner as the home), and the other is to treat it as a visiting device (i.e., the one that does not belong to the owner of the home, but which is allowed as a visitor). +- **Vehicle-to-grid (V2G) communications:** This relates to communications between a networked vehicle and utility grids for smart charging. Ethernet over power-line adapter or IMT-2000/DSRC can be used for this type of communication. + +## 7.3 Relationship between networked vehicle services and applications with communication features + +A key aspect of a networked vehicle is its ability to communicate while transporting persons or goods. Therefore, at a given time, a networked vehicle can be considered as a moving equipment and/or device. In addition, a networked vehicle may also stay in a specific place such as in a car park or garage for a certain period of time. In this situation, a networked vehicle can also be considered as a fixed equipment and/or device. + +Based on whether the network vehicle is a moving vehicle or a stationary vehicle (as described in clause 6), Table 7-1 provides the summary of the relationship between networked vehicle services and the applications described in clause 7.1 with communication features identified in clause 7.2. + +**Table 7-1 – Relationship between networked vehicle services and applications with communication features** + +| Situation of networked vehicle | Communication aspects | | | | | +|--------------------------------|-----------------------------|-----------------------------------------|-----------------|------------------------------|------------| +| | Inside vehicle | | Outside vehicle | | | +| | Between on-board equipments | Between a vehicle and temporary devices | V2V | V2I | V2H/V2G | +| Moving vehicle | SA-1, SA-2 | SA-1, SA-3 | SA-2 | SA-1, SA-2, SA-3, SA-4, SA-5 | SA-1, SA-3 | +| Stationary vehicle | SA-1, SA-3 | SA-3 | N/A | SA-1, SA-3, SA-5 | SA-1, SA-3 | +| N/A = Not Applicable | | | | | | + +From these key communication aspects, a networked vehicle can be considered as follows: + +- a fast moving 'terminal and/or residential home network' interacting with several end devices; +- a service platform which monitors/controls the networked vehicle operation (including remote operation) and also supports multimedia services and applications by passengers such as video on demand (VoD), music within a networked vehicle; +- a communication platform for V2V, V2I and V2H communications. + +Those features are the basic input for the requirements identified in clause 8. + +# **8 Requirements for networked vehicle services and applications using NGN** + +A networked vehicle is a vehicle with various devices, including those belonging to the vehicle occupants. It should be possible to connect to a networked vehicle through various networks, including NGN. This clause identifies requirements of networked vehicle services and applications using NGN. + +## **8.1 Requirements for a networked vehicle communicating with ITS infrastructure** + +#### **8.1.1 General requirements** + +This clause identifies requirements for a networked vehicle in terms of general aspects of telecommunication. + +##### - **Maintenance of positioning information** + +A networked vehicle is required to maintain positioning information obtained from the global navigation satellite system (GNSS) or other sources. Requirements include: + +- i) collection and management of the networked vehicle's positioning information calculated from various sources such as a GNSS receiver (i.e., real-time kinematic (RTK)), a wireless network (e.g., WLAN, ZigBee, ultra-wideband (UWB)) and sensors (e.g., Gyro, radio frequency identification (RFID), accelerometer); +- ii) periodic reception of positioning information, and transmission of information either periodically, based on position triggers or as a response to a server application request. + +##### - **Ad hoc network connectivity** + +Networked vehicle occupant devices connect smoothly to the networked vehicle. + +- i) a networked vehicle is required to support ad hoc network connectivity with networked vehicle occupant devices such as an MP3 player, a PDA, a mobile phone, etc., for various value-added services (e.g., user's operation via the mobile phone, multimedia sharing, the user's phone address book); +- ii) a networked vehicle is recommended to support multiple communication interfaces such as Bluetooth, ZigBee, and WLAN. + +##### - **IPv6 support** + +- i) A networked vehicle is required to support IPv4 and is recommended to support IPv6 packet delivery over ITS communication. + +##### - **Network management** + +- i) A networked vehicle is required to have network management functionality in order to differentiate services according to the networked vehicle's priority in terms of services. + +##### - **Operational requirements** + +- i) A networked vehicle is required to handle multiple clients for the on-board diagnostics (OBD) system, to minimize the risk of collisions (i.e., send multiple requests at the same time). + +#### 8.1.2 Service and application aspects requirements + +##### - **Use of networked vehicle data and ITS infrastructure** + +Devices can receive the input from in-vehicle controls and restrict access to vehicle/nomadic devices, depending on authorization. + +- i) A networked vehicle is required to collect in-vehicle electronic control unit (ECU) and sensor data as well as to translate it into a standardized format for the purposes of networked vehicle services and applications. + +#### 8.1.3 Communication aspects requirements + +##### - **Seamless access to networks** + +Since a communication link is continuously changing due to the mobility of a networked vehicle, enabling seamless access to networks requires autonomous switching between the "best" available communication systems at the current time and location. Therefore, the following measures are required to support seamless access: + +- i) a networked vehicle is required to have interfaces to one or more wide area networks such as NGN, and one or more ad hoc networks for networked vehicles including short range radio communication; +- ii) since NGN supports multiple access technologies and mobility as basic functionality, a networked vehicle is required to provide the capability for initiating end-user functions to access the NGN services and the management of IP connectivity. + +##### - **Security** + +Security is an issue because of complex technologies and sharing of sensitive information of a networked vehicle. Information of a networked vehicle should be protected from any malicious use such as invoking of malfunction, abuse of private information, etc. Therefore, the following steps are identified as requirements to support security: + +- i) A networked vehicle is required to keep security through protocols and cryptographic mechanisms deployed in the components of the vehicle. + +##### - **Latency** + +Vehicle safety applications allow a degree of latency depending on safety services requirements and on the network characteristics. Safety applications as 'pre-crash warning' or 'lane changing assistance' require real-time communication processing with accompanying vehicles. To exchange the emergency information and invoke safety critical controls for the networked vehicle or alert the driver, low latency communication should be supported. On the contrary, safety services as a moving road work and an approaching emergency networked vehicle can tolerate seconds of latency. + +- i) A networked vehicle supporting stringent safety applications is required to support low latency communication to exchange emergency warning information within a certain period of time (e.g., end-to-end latency $\leq 100$ ms) to assure the reliability of communication with nearby moving vehicles. + +##### - **Beaconing of vehicle information** + +A networked vehicle providing safety applications could gather its own vehicle information and transmit the information to its neighbouring networked vehicles through beacons. Vehicle information includes globally unique networked vehicle's identifier (e.g., MAC address), location, speed, etc. The beacon protocol is applied between networked vehicles and also between a networked vehicle and a roadside station to exchange positions of nearby moving vehicles. + +- i) a networked vehicle is required to transmit vehicle information periodically to its neighbouring networked vehicles; +- ii) a networked vehicle is required to be able to receive vehicle information periodically from its neighbouring networked vehicles. It is also required to maintain its neighbouring networked vehicles' information. The roadside station is recommended to be able to receive/transmit networked vehicles' beacon information. + +##### - **Multi-hop communication** + +In case of beaconing of vehicle information, it is necessary to extend the original emergency messages' propagation range. To do so, it is recommended to devise a multi-hop communication technique. By means of the multi-hop communication, a networked vehicle can communicate with another networked vehicle which is outside of its propagation range. + +- i) a networked vehicle and a roadside station exchange probe data collected from each networked vehicle and roadside sensors. The traffic and road status information is propagated to networked vehicles by using multi-hop communication; +- ii) a networked vehicle is required to support multi-hop communication with hop count parameters depending on the distance from an "event" or "time" since the event may be just as relevant. + +##### - **Vehicle ad hoc routing** + +To support multi-hop communication, a message should be forwarded from a networked vehicle to other networked vehicles based on the routing schemes. A number of ad hoc routing algorithms can be applied application by application. + +- i) A networked vehicle is required to support ad hoc routing for the following purposes: + - to exchange the networked vehicle's positioning information with the neighbouring networked vehicles; + - to deliver advanced traffic information to the networked vehicles that follow; + - to receive traffic/roadside information from the infrastructure. + +##### - **Network address translation** + +NGN is required not to preclude solutions for access of a networked vehicle to an NGN with network address translation (NAT)/network address port translation (NAPT) and firewalls in the user environment where the assignment of IP addresses to networked vehicle can optionally be done by the user network. These addresses need not be routable in the NGN. + +A networked vehicle's access to the NGN is required to support the following configurations: + +- i) direct connectivity and interaction between the networked vehicle and the NGN; +- ii) indirect connectivity and interaction between individual devices in a networked vehicle and the NGN. + +##### - **Vehicle-to-home (V2H) communication** + +The requirements for a networked vehicle's access to the home network are as follows: + +- i) A networked vehicle's access to the home network is recommended to be enabled by access services provided within the home network (locally and/or through interconnected NGN). +- ii) A networked vehicle's access to the home network is recommended to support: + - security, management and QoS for interoperability with home networks; + - device provisioning and service configuration including remote access. + +#### **8.1.4 Accessibility requirements** + +Accessibility is required to ensure that the specified services and features are also usable as much as possible by people with disabilities. This clause describes accessibility requirements for networked vehicle services and features by applying the checklist defined in [b-ITU-T Technical Paper]. + +- Control of devices through a user interface + - i) A networked vehicle is recommended to have a multi-modal interface controlling the ITS infrastructure for driving assistance. +- Control of services + - i) A networked vehicle is recommended to have alternative ways to control networked vehicle services and applications. For example, real-time traffic information obtained from a roadside station can change the driving route guided from ITS infrastructure under a co-operative system. +- Media transport + - i) a networked vehicle is recommended to support text transport properties to present various safety/infotainment messages and alarms to drivers; + - ii) a networked vehicle is recommended to support audio transport properties to present various safety messages and alarms to drivers; + - iii) a networked vehicle is recommended to support video transport properties to present multimedia traffic information and record the scene of accidents. +- Media entry by the user + - i) Video entry properties are recommended to be selected so that it is possible to present video with network supported quality for multimedia traffic information. This property is recommended to be selected so that it is possible to record video pre/post scene of accidents and incidents automatically. + +- Media presentation to the user + - i) a networked vehicle is recommended to support various ways of presenting information according to the user (or passenger) situation such as text and graphic (including multimedia) presentations for a person with hearing difficulties, and sound and vocal presentation of information for a person with visual difficulties; + - ii) a networked vehicle, when provided with the above media presentation requirement, is required to support emergency information following the above media presentation to the user (or passenger) in the networked vehicle. +- User and device profile management + - i) A networked vehicle is recommended to support the user and device profile management. The profiles should themselves be configurable, or be configured through exterior sources such as NGN or personal devices to assist disabled people. +- Video resolution for sign language and lip reading + - i) A networked vehicle is recommended to support a high quality video resolution for sign language and lip reading good visual reproduction of movements [b-ITU-T H-Sup.1]. + +### 8.2 NGN requirements for networked vehicle services and applications + +NGN is recommended to allow the simultaneous use of multiple types of access technologies by a single networked vehicle. Therefore, the coordination of the multiple connections is required for networked vehicle services and applications from the network point of view. + +It should be noted that it is not intended to preclude the attachment of terminal equipment which could enable interface adaptation to varying user requirements, including the needs of people with disabilities, using commonly provided user interface devices. + +#### - **Maintenance of positioning information** + +Since positioning information is essential for networked vehicle services and applications, the networked vehicle is recommended to maintain the positioning information obtained from GNSS or other sources. + +- i) NGN is recommended to support network-based positioning when a networked vehicle requests its own positioning information to a location server in the core network. + +#### - **IPv6 support** + +- i) NGN is recommended to support IPv6 network access for the roadside station and the OBU in a networked vehicle. + +NOTE 1 – NGN domains may support user equipment using IPv4 only, IPv6 only, or both at the user-network interface. + +NOTE 2 – In NGN, it is assumed that IPv6-based user equipment can also support IPv4 at the user-network interface. + +#### - **Network management** + +- i) NGN is recommended to support network management (e.g., simple network management protocol (SNMP)) with roadside station for exchange of network-attached devices conditions that need administrative attention. + +#### - **Use of networked vehicle data and ITS infrastructure** + +The OBU located within a networked vehicle can receive input from in-vehicle controls and restrict access to personal station, depending on authorization. + +- i) NGN is required to support secure transmission of networked vehicle data by using advanced security mechanisms such as confidentiality, anonymity, and traceability. + +#### - **Priority** + +A networked vehicle is required to support a priority scheme by the type of service and also the type of client for the networked vehicle. + +For this purpose, the following steps are identified as NGN requirements: + +- i) NGN is required to support "Prioritization" of networked vehicle transmission requests in two different levels: 'Concurrent channel access requests' within a single device' and 'Concurrent medium access requests among different devices'; + - Concurrent channel access: Prioritization among networked vehicle applications which request channel access concurrently; + - Concurrent medium access: Prioritization among networked vehicle stations which try to access the physical communication channel simultaneously. +- ii) NGN is required to provide negotiation mechanisms between the networked vehicle and NGN to ensure the end-to-end networked vehicle service/application with different priorities. + +NOTE 3 – As an example, signalling an airbag deployment in a traffic accident should have a higher priority than downloading an entertainment video. + +NOTE 4 – Service/application priority should be identified by means of QoS and security control. + +#### - **QoS** + +QoS can be a key criterion for choosing an available network by the user policy according to charging, network environments such as different access interfaces. Therefore, the following steps are identified as requirements: + +- i) NGN is required to support per-flow, per-session, and per-service-class QoS control granularity for the networked vehicle. +- ii) NGN is required to support mechanisms prioritizing the delivery of emergency telecommunications of the networked vehicle and vehicle control information. + +#### - **Location-based services** + +NGN is required to be able to receive location information, GNSS-based or network-based, of a networked vehicle in real time, as well as to manipulate this information dynamically in order to implement location-based services. Location information of the networked vehicle can be optionally provided upon request by an authorized service provider. + +#### - **Network address translation** + +NGN is required not to preclude solutions for access of a networked vehicle to an NGN with NAT/NAPT and firewalls in the user environment where the assignment of IP addresses to the networked vehicle can optionally be done by the user network. These addresses need not be routable in the NGN. + +#### - **Accessibility** + +- i) Control of devices through a user interface: + - NGN is recommended to support bidirectional connectivity to the networked vehicle to support the multi-modal commands for driving assistance. For example, the name of the driving destination can be input to the navigation system through the communication network with the help of an assistant in the service centre while driving. +- ii) Control of services: + - NGN is recommended to support bidirectional connectivity to the networked vehicle to support the control of services for driving assistance. + +#### iii) NGN requirements on accessibility [ITU-T Y.2201]: + +Users with disabilities have a general need to be provided with means to control and use terminals and services in alternative ways and modes, suiting varied capabilities and preferences. Such requirements are best met by the inclusive design of the general provision of terminals and services. + +- NGN is required to provide the means needed for the invocation of relay services. Relay services translate between various modes of telecommunication that are of interest for people with disabilities (e.g., sign language, lip reading, text, voice). Invocation of relay services can optionally be based on user preferences, address resolution or user commands. +- NGN is required to have the capability to invoke relay services by either party in an emergency telecommunication. + +NOTE 5 – Other needs for users with disabilities to use emergency telecommunication services are handled in clause 20.4 of [ITU-T Y.2201]. + +# 9 Framework architecture of the networked vehicle and ITS infrastructure + +This clause specifies an overall framework architecture of the networked vehicle. + +Figure 9-1 shows a configuration model involving a networked vehicle including its communication types. The figure shows how networked vehicles relate to the ITS infrastructure and also to external networks such as a residential home network and an utility grid network for power distribution and transmission. + +![Figure 9-1: Overall configuration model of networked vehicle and ITS infrastructure. The diagram is divided into two main sections: 'Networked vehicle and ITS infrastructure using NGN' and 'External networks'. In the first section, a central cloud labeled 'NGN' is connected to 'ITS infrastructure (roadside station, central station)' on the left, 'Networked vehicle #1' and 'Networked vehicle #2' on the right, and 'V2I' and 'V2V' interfaces. In the second section, the 'NGN' cloud is connected to 'Residential home network' and 'Utility grid network' via 'V2H' and 'V2G' interfaces respectively. There are also three dots below the utility grid network, indicating other external networks. The label 'Y.2281(11)_F9-1' is at the bottom right.](e636d7ccca0ad14c6b95201404324823_img.jpg) + +Y.2281(11)\_F9-1 + +Figure 9-1: Overall configuration model of networked vehicle and ITS infrastructure. The diagram is divided into two main sections: 'Networked vehicle and ITS infrastructure using NGN' and 'External networks'. In the first section, a central cloud labeled 'NGN' is connected to 'ITS infrastructure (roadside station, central station)' on the left, 'Networked vehicle #1' and 'Networked vehicle #2' on the right, and 'V2I' and 'V2V' interfaces. In the second section, the 'NGN' cloud is connected to 'Residential home network' and 'Utility grid network' via 'V2H' and 'V2G' interfaces respectively. There are also three dots below the utility grid network, indicating other external networks. The label 'Y.2281(11)\_F9-1' is at the bottom right. + +**Figure 9-1 – Overall configuration model of networked vehicle and ITS infrastructure** + +While [ETSI EN 302 665] shows a peer-to-peer communication model using ITS-specific systems such as an ITS station router and ITS station gateways, it does not show how to use public communication networks such as NGN. Hence, this Recommendation identifies the use of NGN, thereby minimizing interoperability problems between peer-to-peer and public network scenarios. These interoperability features are especially important in the support of QoS, mobility and security with various multimedia services. + +## 9.1 Reference architecture of the NGN-capable networked vehicle and ITS infrastructure + +Based on the overall configuration model in Figure 9-1, it is possible to derive the reference architecture of the networked vehicle and ITS infrastructure. Figure 9-2 is a reference architecture model of the NGN-capable networked vehicle and ITS infrastructure based on the ITS station reference architecture model defined by [ETSI EN 302 665]. + +Functions for the support of networked vehicle services and applications are mapped into the ITS reference architecture which is defined in [ETSI EN 302 665]. The ITS reference architecture explains the generic functionalities that can be adopted in ITS stations. Figure II.1 shows the ITS station reference architecture defined in [ETSI EN 302 665]. + +![Figure 9-2: Reference architecture of NGN-capable networked vehicle and ITS infrastructure. The diagram shows a central stack of five layers: Applications, Serv/Appl support functions, Service control functions, Transport control functions, and Transport functions. Each layer contains specific functional blocks. The Applications layer includes 'Applications' (Road Safety, Traffic Effic., Others). Serv/Appl support functions includes 'Facilities' (Application support, Information support). Service control functions includes 'Facilities (Session/communication support)'. Transport control functions includes 'Networking and transport' and 'ITS TP/Local and GEO'. Transport functions includes 'Access' (Station-Ext.I/F, Station-Int.I/F). This central stack is flanked by 'Management' on the left and 'Security' on the right. At the bottom of each side are 'ITS specific' blocks. Bidirectional arrows connect the central layers to the side blocks. The entire architecture is titled 'NGN capable networked vehicle and ITS infrastructure'.](812e188283162af0b54fb3e30ffee51b_img.jpg) + +Y.2281(11)\_F9-2 + +Figure 9-2: Reference architecture of NGN-capable networked vehicle and ITS infrastructure. The diagram shows a central stack of five layers: Applications, Serv/Appl support functions, Service control functions, Transport control functions, and Transport functions. Each layer contains specific functional blocks. The Applications layer includes 'Applications' (Road Safety, Traffic Effic., Others). Serv/Appl support functions includes 'Facilities' (Application support, Information support). Service control functions includes 'Facilities (Session/communication support)'. Transport control functions includes 'Networking and transport' and 'ITS TP/Local and GEO'. Transport functions includes 'Access' (Station-Ext.I/F, Station-Int.I/F). This central stack is flanked by 'Management' on the left and 'Security' on the right. At the bottom of each side are 'ITS specific' blocks. Bidirectional arrows connect the central layers to the side blocks. The entire architecture is titled 'NGN capable networked vehicle and ITS infrastructure'. + +**Figure 9-2 – Reference architecture of NGN-capable networked vehicle and ITS infrastructure** + +The key features of the functions used in Figure 9-2, based on the ITS reference architecture in [ETSI EN 302 665], are as follows: + +- **Applications:** These functions manage networked vehicle services and applications with a function of classification, prioritization and channel assignment in the context of ITS communications. +- **Facilities:** These functions provide support to networked vehicle services and applications which can share generic functions and data such as session support. +- **Networking and transport:** These functions provide networking protocols such as GeoNetworking [b-ETSI TS 102 636], IPv6 networking and communication access to land mobile financial information exchange adapted for streaming (CALM FAST) and also provide TCP/UDP and dedicated ITS communication protocols. +- **Access:** These functions define the various access technologies which can be supported by the networked vehicle and ITS infrastructure. +- **Management:** These functions support management functions for congestion control, cross-interface, networking and application/service support. +- **Security:** These functions provide security functions for ITS communication protocol and applications. + +## 9.2 Overview architecture of the NGN-capable networked vehicle and ITS infrastructure + +[ITU-T Y.2012] specifies the NGN functional architecture and related functional entities. From the NGN's aspects, the NGN overview architecture consists of "End user functions", "Service stratum", "Transport stratum", "Management functions" and "NGN-based applications". The functions of the NGN-capable networked vehicle and ITS infrastructure, which is defined in clause 9.1, is located in the overview architecture, as shown in Figure 9-3. + +![Figure 9-3: Overview architecture of NGN-capable networked vehicle and ITS infrastructure in cooperation with NGN. The diagram shows the integration of vehicle-specific applications with the NGN core and other networks.](d53cd0fd1cf896a9353fd63de1505ba2_img.jpg) + +The diagram illustrates the functional architecture of an NGN-capable networked vehicle and ITS infrastructure. It is organized into several layers and components: + +- NGN-based applications (Top):** Includes "Vehicle specific applications" (highlighted in purple), "Multimedia", "IPTV", "LOC", and "IM/Presence". +- Interface:** The "ANI" (Application Network Interface) connects the applications to the NGN. +- NGN Core (Middle):** + - Serv/Appl support functions:** Includes "Service control functions" and "Service stratum". + - Transport control functions:** Includes "Transport functions" and "Transport stratum". +- Other networks (Right):** Connected to the NGN via the "NNI" (Network-to-Network Interface). +- NGN-capable networked vehicle and ITS infrastructure (Left):** This block represents the vehicle's internal functions, categorized into: + - Applications:** "Applications" (Road Safety, Traffic Effic., Others). + - Serv/Appl support functions:** "Facilities" (Application support, Information support). + - Service control functions:** "Facilities" (Session/communication support). + - Transport control functions:** "Networking and transport" (ITS TP/Local and GEO). + - Transport functions:** "Access" (Station-Ext.I/F, Station-Int.I/F). + - Management functions:** A vertical block on the far left. + - ITS specific:** Two yellow boxes, one on the left and one on the right of the vehicle infrastructure. + - Security:** A vertical block on the right side of the vehicle infrastructure. +- Interfaces:** + - UNI (User Network Interface):** Connects the vehicle infrastructure to the NGN. + - Management (dashed line):** Connects the Management functions block to the vehicle infrastructure. +- Legend:** + - Control: Solid line + - Media: Double line + - Management: Dashed line + +Y.2281(11)\_F9-3 + +Figure 9-3: Overview architecture of NGN-capable networked vehicle and ITS infrastructure in cooperation with NGN. The diagram shows the integration of vehicle-specific applications with the NGN core and other networks. + +**Figure 9-3 – Overview architecture of NGN-capable networked vehicle and ITS infrastructure in cooperation with NGN** + +In Figure 9-3, the networked vehicle related to the support of NGN capabilities is located in the end user functions. Vehicle-specific applications in the NGN-based applications are supported through the NGN for situations such as an emergency call or a public telecommunication. + +NOTE – The NGN-capable networked vehicle and ITS infrastructure are the end user function in the NGN perspective [b-ITU-T Y.2291], the residential home network is located in the 'Other networks' box in Figure 9-3. + +# 10 Security considerations + +Security is an important issue for a networked vehicle. Different levels of security requirements need to be applied according to the environment where the networked vehicle is located, for example, when it is moving or stationary in a home network environment. Security requirements identified in [ITU-T Y.2201], [ITU-T Y.2701] and [ITU-T Y.2702] are applicable whenever the networked vehicle operates in NGN environments. Other cases of security requirements are out of scope of this Recommendation. + +# Appendix I + +## Use cases of networked vehicle services and applications using NGN + +(This appendix does not form an integral part of this Recommendation.) + +For the development of NGN capabilities and functional model to support networked vehicle services and applications, it is useful to look at usage flows of networked vehicle services and applications as well as to identify relevant mechanisms. In this regard, this appendix introduces "Use cases of the networked vehicle" using the service configuration model, as shown in Figure I.1. + +![Figure I.1: Service configuration model of a networked vehicle. The diagram shows a 'Networked vehicle' box containing 'OEM devices', 'Equipped end user devices', and 'Passenger devices' on the left, connected to a 'Service platform' (with 'Communication platform' and 'Multimedia service platform') in the center. This is connected to an 'NGN' box, which is then connected to a list of services on the right: 'Vehicle related services', 'Public telecom service (inc. GPS, etc.)', 'Enterprise services', and 'Private services (inc. Home based services)'. All connections are bidirectional.](844077b3034f0030b404207db0ad76b4_img.jpg) + +Y.2281(11)\_FI-1-App-I + +Figure I.1: Service configuration model of a networked vehicle. The diagram shows a 'Networked vehicle' box containing 'OEM devices', 'Equipped end user devices', and 'Passenger devices' on the left, connected to a 'Service platform' (with 'Communication platform' and 'Multimedia service platform') in the center. This is connected to an 'NGN' box, which is then connected to a list of services on the right: 'Vehicle related services', 'Public telecom service (inc. GPS, etc.)', 'Enterprise services', and 'Private services (inc. Home based services)'. All connections are bidirectional. + +**Figure I.1 – Service configuration model of a networked vehicle** + +Taking into account the communication features and above service configuration model, following classification of use cases can be derived as shown in Figure I.2. + +![Figure I.2: Classification of use cases for communication of a networked vehicle. This diagram is similar to Figure I.1 but includes numbered use cases. On the left, 'OEM devices' is linked to use case ⑧, 'Equipped devices' to ④, and 'Passenger MM devices' to ④. On the right, services are linked to use cases: 'Vehicle-related services' to ①, 'Public telecom service (inc. GPS, 2G/3G, etc.)' to ② and ③, 'Enterprise services' to ⑤, and 'Private services (inc. Home-based services)' to ⑥ and ⑦. The central 'Service platform' and 'Communication networks' boxes are connected to these use cases via dashed lines.](86b4670fc1a5a694821ee92b99c1209a_img.jpg) + +Y.2281(11)\_FI-2-App-I + +Figure I.2: Classification of use cases for communication of a networked vehicle. This diagram is similar to Figure I.1 but includes numbered use cases. On the left, 'OEM devices' is linked to use case ⑧, 'Equipped devices' to ④, and 'Passenger MM devices' to ④. On the right, services are linked to use cases: 'Vehicle-related services' to ①, 'Public telecom service (inc. GPS, 2G/3G, etc.)' to ② and ③, 'Enterprise services' to ⑤, and 'Private services (inc. Home-based services)' to ⑥ and ⑦. The central 'Service platform' and 'Communication networks' boxes are connected to these use cases via dashed lines. + +**Figure I.2 – Classification of use cases for communication of a networked vehicle** + +Each use case is explained in Table I.1. + +**Table I.1 – Use cases of networked vehicle** + +| Use Case | Objectives | Examples | NGN/Networked vehicle supports | +|-----------------|--------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------| +| 1 | Monitoring, operation and maintenance of networked vehicle |
  • Monitoring of networked vehicle status by communication with OEM devices
  • Optimization of networked vehicle operation and maintenance
  • Upgrade of relevant drivers for OEM devices and networked vehicle support system (may be VGP)
|
  • Broadband with managed capability
  • Security
  • Mobility management
| +| 2 | Use of public telecom services by using equipped terminal devices |
  • Radio programmes over FM/AM
  • GPS services
  • Telephone voice services
  • Internet access services
  • TV over mobile (e.g., DMB/DVB-T etc.)
  • Other public services, as appropriate
|
  • Broadband
  • QoS
  • Security
  • Mobility management
| +| 3 | Use of public telecom services by using passenger-owned terminal devices | | | +| 4 | Sharing of resources and capabilities between equipped MM devices and passenger-owned MM devices |
  • Sharing music/video stored in passenger device(s) to vehicle music player (including the other direction)
  • Distributing video to the rear seat viewers and vice versa
  • Network gaming inside the networked vehicle (using vehicle equipped devices and passenger devices)
|
  • Mounting devices into VGP with open I/F
  • Content protection (e.g., DRM)
  • Content distribution
| +| 5 | Extension of business life while seated in a networked vehicle |
  • Use of company presence services (similar as Messenger)
  • Use of electronic signature to approve enterprise administration
|
  • VPN
  • Security
  • QoS
| +| 6 | Extension of home life while seated in a networked vehicle by using equipped devices |
  • Seamless use of personal/family scheduling
  • Seamless use of information from a networked vehicle to information stored in a home and vice versa
|
  • VPN
  • Security
  • Connectivity to home network
| +| 7 | Extension of home life while seated in a networked vehicle by using portable devices | | | +| 8 | Use of public telecommunication access network for less stringent safety services |
  • Change of road conditions
|
  • Security
  • Mobility management
| + +# Appendix II + +## Comparison between ITS station reference architecture and NGN functional architecture + +(This appendix does not form an integral part of this Recommendation.) + +## II.1 Features and detailed functions of ITS station reference architecture + +[ETSI EN 302 665] defines the ITS communication architecture using the following configuration and features of the ITS station reference architecture: + +![Diagram of the ITS station reference architecture showing Management, Applications, Facilities, Networking and transport, Access technologies, and Security components with their interconnections.](a0739aaf13fa5a632d4faa830f6b2708_img.jpg) + +The diagram illustrates the ITS station reference architecture. It is enclosed in a rectangular box with the title "ITS station reference architecture" at the top. Inside the box, there are six main components represented by gray rectangles. On the left is a large vertical rectangle labeled "Management". On the right is a large vertical rectangle labeled "Security". In the center, there are four horizontal rectangles stacked vertically: "Applications" at the top, followed by "Facilities", "Networking and transport", and "Access technologies" at the bottom. Bidirectional arrows connect "Management" to each of the four central components. Similarly, bidirectional arrows connect "Security" to each of the four central components. Additionally, bidirectional arrows connect the four central components to each other in a vertical stack: Applications to Facilities, Facilities to Networking and transport, and Networking and transport to Access technologies. + +Y.2281(11)\_FII-1-App-II + +Diagram of the ITS station reference architecture showing Management, Applications, Facilities, Networking and transport, Access technologies, and Security components with their interconnections. + +**Figure II.1 – ITS station reference architecture** + +ITS station reference architecture is the functionality contained in ITS stations which are part of ITS sub-systems such as personal ITS sub-system (e.g., in hand-held devices), central ITS sub-system (part of an ITS central system), vehicle ITS sub-system (in cars, trucks, etc., in motion or parked) and roadside ITS sub-system (on gantries, poles, etc.). ITS station is the functional entity specified by the ITS station reference architecture, and it is composed of six entities such as 'Access' representing OSI layers 1 and 2, 'Networking and Transport' representing layers 3 and 4, 'Facilities' representing layers 5, 6 and 7, 'Applications', 'Security' and 'Management'. + +Detailed functions in each layer have been also identified in [ETSI EN 302 665], as shown in Figure II.2. + +![Figure II.2 – ITS station reference architecture with detailed functions. The diagram shows a layered architecture with Applications, Facilities, Networking and transport, and Access layers, flanked by Management and Security functional areas. It includes various management information bases (MIBs) and a hardware security module (HSM).](cbdfdade780e677eb1c1aef3081ce9ef_img.jpg) + +The diagram illustrates the ITS station reference architecture with detailed functions, organized into four main layers: Applications, Facilities, Networking and transport, and Access. The architecture is flanked by two functional areas: Management and Security. + +- Applications Layer:** Contains three boxes: Road safety, Traffic efficiency, and Other applications. Below these are three ovals: MA (Management Applications), FA (Facilities Applications), and SA (Security Applications). +- Facilities Layer:** Contains three boxes: Application support, Information support, and Session/communication support. Below these are two ovals: MF (Management Facilities) and SF (Security Facilities). +- Networking and transport Layer:** Contains two boxes: ITS transport and TCP/UDP. Below these are four boxes: ITS local network, Geo-routing, Other protocols, and IPv6 + mobility extensions. Below these are two ovals: MN (Management Networking) and SN (Security Networking). +- Access Layer:** Contains two boxes: Station-external interfaces and Station-internal interfaces. Below these are five boxes: e.g., IR, MM, M5; e.g., GPS; e.g., Bluetooth; e.g., 2G/3G/...; and e.g., Ethernet. Below these are two ovals: MI (Management Interfaces) and SI (Security Interfaces). + +The Management functional area (left) includes a vertical bar labeled "Management information base (MIB)" and four boxes: Application management, Station management, Cross-layer management, and Regulatory management. The Security functional area (right) includes a vertical bar labeled "Security" and three boxes: Firewall and intrusion management, Authentication, authorization, profile management, and Security management information base (S-MIB) (identity, crypto-key and certificate management). A Hardware security module (HSM) is located at the bottom right. + +Arrows indicate data flow and interactions between components. For example, MA and FA are connected by a double-headed arrow. MF and SF are connected by a double-headed arrow. MN and SN are connected by a double-headed arrow. MI and SI are connected by a double-headed arrow. A long arrow at the bottom connects the MI and SI ovals, passing through the HSM. + +Y.2281(11)\_FII-2-App-II + +Figure II.2 – ITS station reference architecture with detailed functions. The diagram shows a layered architecture with Applications, Facilities, Networking and transport, and Access layers, flanked by Management and Security functional areas. It includes various management information bases (MIBs) and a hardware security module (HSM). + +**Figure II.2 – ITS station reference architecture with detailed functions** + +## II.2 Analysis between two architectural models + +An analysis of features and detailed functions, shown in clause II.1, reveals that the ITS station reference architecture has a structure quite similar to the functional architecture model of NGN, although some of the terminology ("Facilities", "Transport" and "Access technologies") in the ITS station reference architecture is used in a different way in NGN. Considering this different usage of terminology, this appendix shows a way to harmonize the ITS station reference architecture model into the functional architecture model of the networked vehicle over NGN, based on the analysis of features and detailed functions. Table II.1 shows a summary of the analysis between the ITS station reference architecture and the NGN functional architecture defined in [ITU-T Y.2012]. + +**Table II.1 – Features and comparison between ITS station reference architecture and NGN functional architecture** + +| ITS station reference architecture | Corresponding NGN functional architecture | Rationale | +|-------------------------------------------|-----------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Access technologies | Transport functions | Even called "Access technologies" but this part generally represents the transport function itself. NGN applies at "Station external IF" but not at "Station internal IF". | +| Networking and transport | Transport control functions | This generally handles networking protocols such as IPv6, TCP/UDP, etc., so it should correspond to "Transport control functions". | +| Facilities | Service control and service/application support functions | "Facilities" is the most difficult part to map because of the different usage of naming, but it is mainly involved in "session support" and "ITS application". Thus, this should correspond to "Service/application support functions" in NGN. | +| Applications | Applications | This part mainly involves providing ITS applications, so it corresponds to "Application functions" in NGN. | +| Management | Management | Mostly the same but need to consider ITS specific requirements should be considered. | +| Security | Security | Mostly the same but need to consider ITS specific requirements should be considered. | + +Based on Table II.1, a possible mapping of the ITS station reference architecture into the NGN functional architecture can be depicted, as shown in Figure II.3. + +![Figure II.3: Correspondence between the ITS station reference architecture and the functions of NGN functional architecture. The diagram shows two side-by-side block diagrams connected by a double-headed yellow arrow. The left diagram, titled 'ITS station reference architecture', shows a central stack of four boxes: 'Applications', 'Facilities', 'Networking and transport', and 'Access technologies'. These are flanked by two vertical bars labeled 'Management' on the left and 'Security' on the right. Double-headed arrows connect the central stack to the side bars, and vertical double-headed arrows connect the boxes in the stack. The right diagram, titled 'NGN corresponding functional architecture', shows a similar structure with a central stack of four boxes: 'Applications', 'Service/Application support functions', 'Transport control functions', and 'Transport functions'. These are also flanked by 'Management' and 'Security' side bars, with double-headed arrows indicating connections and internal relationships.](2ae3eae1bd80a90f192f568ae246a9a6_img.jpg) + +Y.2281(11)\_Fil-3-App-II + +Figure II.3: Correspondence between the ITS station reference architecture and the functions of NGN functional architecture. The diagram shows two side-by-side block diagrams connected by a double-headed yellow arrow. The left diagram, titled 'ITS station reference architecture', shows a central stack of four boxes: 'Applications', 'Facilities', 'Networking and transport', and 'Access technologies'. These are flanked by two vertical bars labeled 'Management' on the left and 'Security' on the right. Double-headed arrows connect the central stack to the side bars, and vertical double-headed arrows connect the boxes in the stack. The right diagram, titled 'NGN corresponding functional architecture', shows a similar structure with a central stack of four boxes: 'Applications', 'Service/Application support functions', 'Transport control functions', and 'Transport functions'. These are also flanked by 'Management' and 'Security' side bars, with double-headed arrows indicating connections and internal relationships. + +**Figure II.3 – Correspondence between the ITS station reference architecture and the functions of NGN functional architecture** + +One of the fundamental considerations is to address the support of ITS specific aspects driven by service requirements, operation, administration and management of ITS. When ITS specific services need NGN capabilities, NGN functions should be incorporated into ITS station features, as shown in Figure II.4. Most of the detailed functions in the ITS station reference architecture are well mapped with the relevant functions of the NGN functional architecture, except for "Information support", the role of which is not clear, and the difference between "Application support" and "Communication support". + +## **II.3 Features and functions for a networked vehicle** + +A networked vehicle should be operated as a part of ITS as well as a part of communication objects, used for public and private communication services and applications. This means that a networked vehicle should have enough capabilities to support ITS specific features and general communication features. Therefore, it is highly anticipated that combined (or harmonized) functions to support both features would be incorporated into a networked vehicle. + +In this regard, the ITS station reference architecture covers the ITS specific service features but not enough to support communication features, specifically the need to adopt capabilities from the communication functions to support mobility, security, management capability and connectivity. It is anticipated to use capabilities provided by NGN for such features rather than develop different functions because a networked vehicle is also a part of communication objects, whether it is moving or stationary. Therefore, functions for a networked vehicle, especially over the NGN environment, are harmonized using both the ITS station reference architecture and the NGN functional architecture, as shown in Figure II.4. + +![Figure II.4 – Arrangement of the relevant NGN functions into the ITS station reference architecture. The diagram shows a multi-layered architecture with Applications, Facilities, Networking and transport, and Access layers, all interconnected by Management and Security functions. Key components include MA, FA, SA, MF, NF, MN, SN, MI, SI, and MS, along with various management and security modules like NGN management, NGN security, and HSM.](69b7bd65e85cdef6fdd7fb0a8194257c_img.jpg) + +The diagram illustrates the arrangement of relevant NGN functions into the ITS station reference architecture. It is organized into four main functional layers, each with associated management and security components. + +- Applications Layer:** Includes Road safety, Traffic efficiency, Other applications, and Applications. It is managed by MA (Management Agent) and FA (Facilities Agent), and secured by SA (Security Agent). +- Facilities Layer:** Includes Application support, Information support, and Session/communication support. It is managed by MF (Management Function) and NF (Network Function), and secured by SF (Security Function). Key components include Serv. Appl. cont. and Serv. cont. +- Networking and transport Layer:** Includes ITS transport, TCP/UDP, ITS local network, Geo-routing, Other protocols, and IPv6 + mobility extensions. It is managed by MN (Management Node) and SN (Security Node). Key components include MMCF, NACF, and RACF. +- Access Layer:** Includes Station-external interfaces (e.g., IR, MM, M5) and Station-internal interfaces (e.g., GPS, BlueTooth, 2G/3G/..., Ethernet). It is managed by MI (Management Interface) and SI (Security Interface). Key components include NGN access and NGN security. + +The architecture is supported by two main functional areas: + +- Management:** Includes Management information base (MIB), NGN management, Station management, Cross-layer management, and Regulatory management. +- Security:** Includes Firewall and intrusion management, Authentication, authorization, profile management, Security management information base (S-MIB) (identity, crypto-key and certificate management), NGN security, and Hardware security module (HSM). + +Interconnections are shown between MA, FA, SA, MF, NF, MN, SN, MI, SI, and MS (Management and Security) components across the layers. + +Y.2281(11)\_FII-4-App-II + +Figure II.4 – Arrangement of the relevant NGN functions into the ITS station reference architecture. The diagram shows a multi-layered architecture with Applications, Facilities, Networking and transport, and Access layers, all interconnected by Management and Security functions. Key components include MA, FA, SA, MF, NF, MN, SN, MI, SI, and MS, along with various management and security modules like NGN management, NGN security, and HSM. + +**Figure II.4 – Arrangement of the relevant NGN functions into the ITS station reference architecture** + +# Bibliography + +- [b-ITU-T H-Sup.1] ITU-T H-series Recommendations – Supplement 1 (2009), *Application profile – Sign language and lip-reading real-time conversation using low bit rate video communication.* +- [b-ITU-T Technical Paper] ITU-T Technical Paper (2006), *Telecommunications Accessibility Checklist.* +- [b-ITU-T Y.2291] Recommendation ITU-T Y.2291 (2011), *Architectural overview of next generation home networks.* +- [b-ITU-R Handbook] ITU-R Handbook (2006), *Land Mobile (including Wireless Access) – Volume 4: Intelligent Transport Systems*, 109 p, +. +- [b-ITU-R M.1452-1] Recommendation ITU-R M.1452-1 (2009), *Millimetre wave radiocommunication systems for intelligent transport system applications.* +- [b-ETSI TR 102 638] ETSI TR 102 638 V1.1.1. (2009), *Intelligent Transport Systems (ITS); Vehicular communications; Basic Set of Applications; Definitions.* +- [b-ETSI TS 102 636] ETSI TS 102 636 (in force), *Intelligent Transport Systems (ITS); Vehicular communications; Geonetworking.* +- [b-ISO 21217] ISO 21217:2010, *Intelligent transport systems – Communications access for land mobiles (CALM) – Architecture.* +- [b-Intelligent] *Intelligent Transport Systems Standards* (2008), Artech House. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global 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**Requirements for virtualization of control network entities in next generation network evolution** + +Recommendation ITU-T Y.2320 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.2320 + +# Requirements for virtualization of control network entities in next generation network evolution + +## Summary + +Recommendation ITU-T Y.2320 provides requirements for virtualization of control network entities (VCN) in next generation network (NGN) evolution. The support of virtualization capabilities in NGN evolution – i.e., the application of virtualization techniques to NGN – enables a virtualized running environment (for control network entities) in NGN evolution. + +The requirements provided in this Recommendation include the requirements of virtual infrastructures, virtualized network entities, and VCN management systems. + +These requirements are built upon the virtualization scenarios provided in the appendix. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2320 | 2015-09-29 | 13 | 11.1002/1000/12583 | + +## Keywords + +Control network entity, management, network entity, VCN, virtualization, virtualization of control network entities, virtual infrastructure, virtual machine , virtual machine monitor, VM, VMM. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, i.e., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2016 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-----------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Requirements of VCN in next generation network (NGN) evolution..... | 3 | +| | 6.1 Virtual infrastructure related requirements ..... | 4 | +| | 6.2 VCNE related requirements ..... | 4 | +| | 6.3 VCN management system related requirements ..... | 4 | +| | Appendix I – Scenarios concerning virtualization of control network entities in NGN evolution ..... | 6 | +| | I.1 Auto-deployment of control network entity ..... | 6 | +| | I.2 Scaling ..... | 7 | +| | I.3 Self-healing..... | 8 | +| | I.4 Hardware change without interrupting the service..... | 9 | +| | I.5 Change of VCN system ..... | 10 | +| | I.6 Virtualized resource provision ..... | 11 | +| | Appendix II – Considerations concerning the virtualization of NGN entities..... | 12 | +| | II.1 The virtualization technology provides benefits to the NGN..... | 12 | +| | II.2 The implementation of virtualized NGN entities requires enhancements..... | 12 | +| | II.3 Virtualized NGN control network entities will co-exist with non-virtualized NGN entities..... | 12 | +| | II.4 The virtualization of NGN entities starts from the control network entities.. | 12 | +| | Bibliography..... | 13 | + + + +## Recommendation ITU-T Y.2320 + +# Requirements for virtualization of control network entities in next generation network evolution + +## 1 Scope + +This Recommendation provides requirements for virtualization of control network entities (VCN) in NGN evolution. The support of virtualization capabilities in NGN evolution – i.e., the application of virtualization techniques to NGN – enables a virtualized running environment (for control network entities) in NGN evolution. + +It is the common understanding that good performances can be achieved in network environments with virtualization of control network entities. + +The requirements provided in this Recommendation include the requirements of virtual infrastructures, virtualized network entities, and VCN management systems. These requirements are built upon the virtualization scenarios provided in Appendix I. + +Considerations concerning the virtualization of NGN entities are provided in Appendix II. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +None. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 live migration:** The process of moving a running virtual machine (VM) between different physical machines without interrupting the operating system and applications in the virtual machine. + +NOTE – Central processing unit (CPU), memory, storage, and network connectivity of the virtual machine are transferred from the original physical machine to the destination machine. + +**3.2.2 virtualized control network entity (VCNE):** A control network entity deployed on virtualized infrastructure (i.e., across one or multiple virtual machines (VMs)). + +NOTE – A VCNE is composed of one or several components, and each component is hosted by a virtual machine (VM) which provides the virtualized computation environment running over the physical resources. + +**3.2.3 virtualized control network entity descriptor (VCNED):** A configuration template that describes a virtualized control network entity (VCNE) in terms of its deployment and operational behaviour, and is used in the management of the lifecycle of a VCNE instance. + +NOTE – Some examples of the VCNE information elements include: + +- description of virtual resources; +- description of virtual machine (VM) configuration for the VMs pertaining to the VCNE; +- reference information of VM image(s); +- minimum and maximum number of VCNE instances which can be created to support scale out and scale in; +- VM initiation and termination workflow; +- connectivity of VMs for a specific VCNE in case multiple VMs are created. + +**3.2.4 virtualized control network entity package:** An archive that includes a virtualized control network entity descriptor (VCNE), the virtual machine (VM) image(s) associated with the virtualized control network entity (VCNE), as well as additional artefacts. + +NOTE – Artefacts can be used to check the integrity and to prove the validity of the archive. + +**3.2.5 virtual machine (VM):** The virtualized computation environment that behaves like a physical server. + +NOTE – A VM has all its ingredients (processor, memory, storage, and network) of a physical server and is generated by a virtual machine monitor (VMM). Virtual machines are capable of hosting a virtualized control network entity (VCNE) component. + +**3.2.6 virtual machine image:** A file that can be interpreted by a virtual machine monitor (VMM) as a system hard disk drive. + +NOTE – The operating system is pre-installed in the virtual machine (VM) image and, optionally, the control network entity software is pre-installed in the operating system. + +**3.2.7 virtual machine monitor (VMM):** The software function that partitions the underlying physical resources and initiates virtual machines. It is also known as a hypervisor. + +NOTE – This software may run either directly on top of the hardware (bare metal hypervisor) or on top of a hosting operating system (hosted hypervisor). + +**3.2.8 virtual machine template:** A file that describes the hardware configuration of a virtual machine. + +NOTE – The hardware configuration may describe the amount of CPU core, the number and speed of network interface cards (NICs), the size of the memory, the size of storage, etc. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|---------------------------------------------------| +| ATCA | Advanced Telecommunication Computing Architecture | +| CPCI | Compact Peripheral Component Interconnect | +| CPU | Central Processing Unit | +| FE | Functional Entity | +| NGN | Next Generation Network | +| NIC | Network Interface Card | +| P-CSC-FE | Proxy Call Session Control Functional Entity | +| S-CSC-FE | Serving Call Session Control Functional Entity | +| VCN | Virtualization of Control Network entities | +| VCNE | Virtualized Control Network Entity | +| VCNE D | VCNE Descriptor | + +| | | +|-----|-------------------------| +| VM | Virtual Machine | +| VMM | Virtual Machine Monitor | + +## 5 Conventions + +The following conventions apply in this Recommendation: + +**Affinity:** This term is used to describe the relationship among different VMs, i.e., whether the different VMs are located in the same physical server or not, whether the different VMs are located in the same rack or not, etc. + +**Network entity:** This term is intended as the practical, physical implementation of a single or a group of functional entities, as described in [ITU-T Y.2012], depending on the specific implementation and deployment policies. + +## 6 Requirements of VCN in next generation network (NGN) evolution + +The VCN system enables the VCN in NGN evolution. + +NOTE 1 – Appendix II provides considerations concerning the virtualization of NGN entities. + +Figure 1 shows the VCN system from a high level perspective: it includes the virtual infrastructure, the virtualized control network entities (VCNEs) running on the virtual infrastructure, and the VCN management system. + +![Figure 1: Overview of the VCN system. The diagram shows a stack of three 'Virtualized control network entity' boxes at the top. Below them is a 'Virtual infrastructure' box containing a 'Virtualization layer' and three resource blocks: 'Computing' (server racks), 'Storage' (cylinders), and 'Network' (switch and router). To the right is a 'VCN management system' box. The label 'Y.2320(15)_F01' is at the bottom right.](b28af4985cdef1e519e3aaf26561dcb3_img.jpg) + +The diagram illustrates the VCN system architecture. At the top, three overlapping boxes represent 'Virtualized control network entity'. Below these, a larger box labeled 'Virtual infrastructure' contains a 'Virtualization layer' and three resource components: 'Computing' (represented by server racks), 'Storage' (represented by two cylinders), and 'Network' (represented by a switch and a router). To the right of the virtual infrastructure is a separate box labeled 'VCN management system'. The label 'Y.2320(15)\_F01' is located at the bottom right of the diagram. + +Figure 1: Overview of the VCN system. The diagram shows a stack of three 'Virtualized control network entity' boxes at the top. Below them is a 'Virtual infrastructure' box containing a 'Virtualization layer' and three resource blocks: 'Computing' (server racks), 'Storage' (cylinders), and 'Network' (switch and router). To the right is a 'VCN management system' box. The label 'Y.2320(15)\_F01' is at the bottom right. + +**Figure 1 – Overview of the VCN system** + +The virtual infrastructure includes the hardware resources (computing, storage, and network resources) and the virtualization layer on top of them. The main functions of the virtualization layer are: + +- abstraction of the hardware resources and decoupling of the software from the underlying hardware; +- allocation of virtual resources from hardware (physical) resources; +- provision of virtual resources to the VCNE software for VCNE to execute on. + +NOTE 2 – The virtualization layer can be realized via a virtual machine monitor (VMM). + +A virtualized control network entity (VCNE) consists of one or more components. + +The VCN management system is used to support the virtualization capabilities of the VCN system (see scenarios in Appendix I). The VCN management system performs the management of the virtual infrastructure, including availability, allocation, release, fault, and performance management of + +virtualized resources, as well as fault, configuration, and performance management of physical facilities. It also performs the management of the virtualized control network entities, including lifecycle management of VCNEs such as VCNE on-boarding, instantiation, scaling and termination, as well as fault configuration and performance management of VCNE. + +### **6.1 Virtual infrastructure related requirements** + +The virtual infrastructure is required to: + +- support deployment of the VMs to physical server(s) according to the affinity policy defined in the VCNE descriptor (VCNED); +- support initiation and termination of VMs according to the virtual machine (VM) initiation and termination workflow defined in the VCNED; +- support resource usage monitoring for each of the VCNEs, every VM, and all physical servers; +- support live migration; +- provide shared storage for the VM images; +- support the automatic regeneration of VMs when active VMs crash; +NOTE – The crash of a VM may be caused by the crash of the host server, the related VMM, or the VM itself. When the crash is caused by the server or the VMM, the VCN system should support the VM regeneration on another server. When the crash is caused by the VM itself, the VM can be regenerated on the same server. +- be able to create or delete VMs; +- be able to adjust VM capacity (including computing, storage, and networking capacity). + +### **6.2 VCNE related requirements** + +In order to support the capabilities provided by virtualization, the software implementation requires adequate design enhancements. + +NOTE – The requirements of virtualized control network entities addressed in this Recommendation deal with the virtualization aspects of the control network entities, the aspects specific to each control network entity are out of the scope of this Recommendation. + +- a) VCNEs are required to support control network entity load monitoring and reporting to the management system. +- b) The VCNEs are required to support high availability. The following is required: + - i) Failure of part of the related VMs does not affect any function of the control network entity. + - ii) Adding new VMs does not affect any function of the control network entity. + - iii) Adjusting VM capacity (including computing, storage, and networking capacity) does not affect any function of the control network entity. + +### **6.3 VCN management system related requirements** + +The VCN management system is required to: + +- be able to trigger scaling based on control network entity load or virtual infrastructure resource usage; +- support the on-boarding of VCNE packages; +NOTE 1 – The VM images in the package can contain the software of control network entities, or only contain the operating system. +- be able to use VCNED for management of the lifecycle of VCNE instances; + +- support resource allocation for the virtualized control network entities according to their virtual resource requirements while the VCN system creates new virtualized control network entities; +- support resource recycling for the virtualized control network entities while, for example, the VCN system deletes existing virtualized control network entities, or removes VMs from virtualized control network entities, or reduces computing, storage, and networking capacity of VMs of virtualized control network entities, etc.; +- support prioritization of resource adjustment requests according to operation policy in order to manage potential resource adjustment conflicts; +- provide VM templates that satisfy different capacity requirements of different control network entities; +- perform the fault, configuration, and performance management of the physical facilities. + +NOTE 2 – The VM templates may be pre-designed based on the configuration of physical facilities and the capacity requirements of different control network entities. + +## Appendix I + +## Scenarios concerning virtualization of control network entities in NGN evolution + +(This appendix does not form an integral part of this Recommendation.) + +NOTE – Figure 1 is a basis for all scenarios described in this appendix. Details are introduced in the various subclauses in order to describe the specific aspects of each scenario. + +### I.1 Auto-deployment of control network entity + +#### Description + +Auto-deploying a VCNE means creating its software instance. The software instance can be deployed onto a single VM or multiple VMs. A VCNE descriptor is used as the reference to modify or complement the parameters in a VCNE instantiation request. The operator can deploy the network entities by delivering the VM images remotely. It is not necessary for operators to deploy the hardware and maintain the network element on-site. + +#### Pre-conditions + +The construction of the VCN system has been completed and the VM images have been stored in the VM image database which can be viewed and selected by the operators; the VCNE has been uploaded onto a repository. + +#### Operational flows + +![Diagram illustrating the Control network entity deployment process. An operator interacts with an Images database and a set of servers. The process involves selecting images, configuring VMs, and deploying them to servers, which then compose the control network entity.](af6be343f0c0a8f155f965dcf337b8af_img.jpg) + +The diagram illustrates the operational flow for deploying a control network entity. It shows an operator (laptop) interacting with an Images database (cylinder) and a set of servers (each containing a VM and VMM). The process is divided into three main steps: 1. Selects the desired images (from the database to the operator), 2. Configures the VMs (from the operator to the servers), and 3. Images and Configuration (from the database and operator to the servers). The servers are labeled 'Server' and contain 'VM' and 'VMM' components. Below the servers are a 'Storage device' (cylinder) and a 'Network device' (cube). A text box above the servers states: '4., 5., 6. The VMs are deployed, they start-up, and then compose the control network entity'. The diagram is labeled 'Y.2320(15)\_FI.1'. + +Diagram illustrating the Control network entity deployment process. An operator interacts with an Images database and a set of servers. The process involves selecting images, configuring VMs, and deploying them to servers, which then compose the control network entity. + +**Figure I.1 – Control network entity deployment** + +1. According to the VCNE descriptor, the operator reserves the needed virtual resources for creating VMs and selects the desired VM images from the VM image database. +2. The operator configures the VMs based on the VCNE descriptor. The configuration may include the virtual hardware, the IP addresses, and the affinity among different VMs. +3. The images and the corresponding VM configurations are delivered to the virtual infrastructure. +4. The VMs are deployed to the physical servers, and the location of the VMs conforms to the pre-defined affinity policy. +5. The VMs start up. The configuration (including the IP address and the virtual hardware, etc.) conforms to the pre-defined parameters. +6. The virtual machines compose the control network entity. + +NOTE – There are two options to construct the control network entity from the VMs. + +Option one: The software of the control network entity has been set-up in each VM image. After the VMs start-up, the software of the control network entity runs immediately, and those VMs compose the network entity. + +Option two: Only part of the software has been set up in one or more VM images (In most cases, the software is for the operation and maintenance to the control network entity, we can call it O&M sub-entity.), other VMs just run the operating system, those VMs will download the required software from the O&M sub-entity, set up the software, and then those VMs and the O&M VMs compose the control network entity. + +### I.2 Scaling + +#### I.2.1 Scale out (automatic and on-demand) + +##### Description + +In a telecommunication network with virtualized control network entities, scale out (or scale horizontally) means to add more VMs to one VCNE, either automatically by the VCN system when the total VM usage or the service load service load exceeds the pre-configured upper threshold for this VCNE, or on-demand when the operator expects a VM usage or the service load increases for this VCNE. The following scenario uses VM as a trigger. + +##### Pre-conditions + +The control network entity (i.e., proxy call session control functional entity (P-CSC-FE)) has been deployed in the VCN system. There are multiple VMs constructing the control network entity, each VM runs a piece of software and increasing or decreasing the amount of VMs can increase or decrease the capacity of the network entity. + +##### Operational flows + +![Diagram illustrating the general procedure for scaling out. The diagram shows two servers, each with a VMM and two VMs (VM1, VM2 on the left; VM3, VM4 on the right). A shared storage unit and a network device are also shown. Arrows indicate data flow between the servers, storage, and network device. The process is described in three steps: 1. Service load exceeds upper threshold, 2. New VM is generated, and 3. New VM takes part of the service load.](2e399449b7f62d40167a65ca88888917_img.jpg) + +``` +graph TD + subgraph Server1 [Server] + VMM1[VMM] + VM1[VM1] + VM2[VM2] + VM1 --- VMM1 + VM2 --- VMM1 + end + subgraph Server2 [Server] + VMM2[VMM] + VM3[VM3] + VM4[VM4] + VM3 --- VMM2 + VM4 -.- VMM2 + end + Storage((Shared storage)) + Net[Network device] + + Server1 <--> Storage + Server2 <--> Storage + Server1 <--> Net + Server2 <--> Net + + Step1[1. Service load exceeds upper threshold] --> Step2[2. New VM is generated] + Step2 --> Step3[3. New VM takes part of the service load] +``` + +3. New VM takes part of the service load. + +1. Service load exceeds upper threshold + +2. New VM is generated + +VM1 VM2 VMM Server + +VM3 VM4 VMM Server + +Shared storage Network device + +Y.2320(15)\_FI.2 + +Diagram illustrating the general procedure for scaling out. The diagram shows two servers, each with a VMM and two VMs (VM1, VM2 on the left; VM3, VM4 on the right). A shared storage unit and a network device are also shown. Arrows indicate data flow between the servers, storage, and network device. The process is described in three steps: 1. Service load exceeds upper threshold, 2. New VM is generated, and 3. New VM takes part of the service load. + +**Figure I.2 – General procedure for scaling out** + +1. The VM usage or the service load exceeds the pre-configured upper threshold. +2. The VCN system detects that the threshold is reached and a new VM is generated in the VCN system. The new VM runs a piece of the network entity software. +3. The new VM takes part of the service load. + +#### I.2.2 Scale in (automatic and on-demand) + +##### Description + +In a telecommunication network with virtualized control network entities, scale in means to remove existing VMs from one VCNE either automatically by the VCN system when the total VM usage or service load is below the pre-configured lower threshold for this control network entity, or on-demand when the operator expects a VM usage or service load decrease for this VCNE. The following scenario takes VM usage as example for the trigger. + +##### Pre-conditions + +The control network entity (i.e., P-CSC-FE) has been deployed in the VCN system. There are multiple VMs constructing the control network entity. Each VM runs a piece of software and increasing or decreasing the amount of VMs can increase or decrease the capacity of the network entity. + +##### Operational flows + +![Diagram illustrating the general procedure for scaling in. The diagram shows two servers, each with a VMM and VMs. VM1 and VM2 are on the left server, and VM3 is on the right server. VM3 is marked with a red 'X', indicating it is being shut down or deleted. Arrows show traffic flow from a network device to the servers and shared storage. The diagram is labeled with three steps: 1. Service load is below lower threshold, 2. VCN system stops the traffic going to VM3, and 3. VM3 is shut down or deleted.](1b5a812c8aa20fd5cba28e97001d32de_img.jpg) + +1. Service load is below lower threshold + +2. VCN system stops the traffic going to VM3 + +3. VM3 is shut down or deleted + +VM1 VM2 VM3 + +VMM VMM + +Server Server + +Shared storage Network device + +Y.2320(15)\_Fl.3 + +Diagram illustrating the general procedure for scaling in. The diagram shows two servers, each with a VMM and VMs. VM1 and VM2 are on the left server, and VM3 is on the right server. VM3 is marked with a red 'X', indicating it is being shut down or deleted. Arrows show traffic flow from a network device to the servers and shared storage. The diagram is labeled with three steps: 1. Service load is below lower threshold, 2. VCN system stops the traffic going to VM3, and 3. VM3 is shut down or deleted. + +**Figure I.3 – General procedure for scaling in** + +1. The VM usage or the service load is below the pre-configured lower threshold. +2. The VCN system detects the threshold is reached and it stops the traffic going to one of the VM (in this scenario, it is VM3). +3. When no traffic is handled by VM3, VM3 is shut down or deleted. + +NOTE 1 – If there are no more VMs running on a given server, the server can be powered off by the VCN system. + +NOTE 2 – Scaling includes scaling up and down; enhancing or reducing the configuration (i.e., computing, storage, and bandwidth) of VMs. Scaling up and down is not frequently used in the VCN. + +### I.3 Self-healing + +NOTE – In this scenario, self-healing supports the service continuity when part of the computing, network, or storage devices stop. + +#### Description + +When VMs crash (the reason may come from the hardware, VMM or VM itself), the same VM can be re-constructed automatically and immediately. This feature can be used to ensure the high reliability of control network entities from the perspective of the VMs. + +#### Pre-conditions + +Pre-conditions are that the control network entity has been deployed in the VCN system; images of the control network entities (i.e., P-CSC-FE) are stored in a shared storage. There may be multiple VMs composing the control network entity. To ensure the reliability, the VCN system is designed in a way that if part of the VMs crash, it does not influence the service. For example: + +- Two VMs form a pair, where one VM is the acting one which is the processing service, and another one is standing by. When the acting one crashes, the one which is standing by will take over the work and become the acting one. +- All the VMs form a pool, and they are all acting VMs. When part of the VMs crash, the running VMs will take over the work. + +![Diagram illustrating high reliability guaranteed by VM regeneration. The diagram shows three servers, each with a VMM and a VM. Server 1 has VM1 (crashed, marked with a red X). Server 2 has VM2 (stand-by). Server 3 has VM1 (regenerated). A shared storage and a network device are also shown. Arrows indicate data flow between the servers, shared storage, and network device. The process is numbered 1 to 5: 1. The acting VM crashes, 2. The stand-by VM takes over the work, 3. the VCN system detects the VM failure, 4. A new VM1 is regenerated, 5. Optional session synchronization.](7efae06af3af43ffe5d4b956a679cf54_img.jpg) + +3. the VCN system detects the VM failure + +1. The acting VM crashes + +2. The stand-by VM takes over the work + +4. A new VM1 is regenerated + +5. Optional session synchronization + +VM1, VM2, VMM, Server, Shared storage, Network device + +Y.2320(15)\_FI.4 + +Diagram illustrating high reliability guaranteed by VM regeneration. The diagram shows three servers, each with a VMM and a VM. Server 1 has VM1 (crashed, marked with a red X). Server 2 has VM2 (stand-by). Server 3 has VM1 (regenerated). A shared storage and a network device are also shown. Arrows indicate data flow between the servers, shared storage, and network device. The process is numbered 1 to 5: 1. The acting VM crashes, 2. The stand-by VM takes over the work, 3. the VCN system detects the VM failure, 4. A new VM1 is regenerated, 5. Optional session synchronization. + +**Figure I.4 – High reliability guaranteed by VM regeneration** + +The following flow, as seen in Figure I.4, illustrates the first example: + +1. One of the acting VMs crashes. +NOTE 1 – The crash may be caused by the failure of a physical server, VMM, or the VM itself. +2. The crash is detected and the stand-by VM takes over the work, becoming the acting VM. +NOTE 2 – Crash detection, and take over by the stand-by VM are both application-level issues. +3. The VCN system also detects the failure of VM and regenerates the same VM immediately and automatically on another physical server. +4. The new VM starts up and works as the stand-by VM. +5. Optionally, if service continuity is required, the sessions running in VM2 and subsequent newly created sessions need to be synchronized to the stand-by VM. + +### I.4 Hardware change without interrupting the service + +#### Description + +When one physical server (i.e., server A) needs to be changed or upgraded, the VMs running on the server can be live-migrated to one or more other physical servers. In this scenario, using server B as an example, after all the VMs have been migrated to server B, server A can be changed or upgraded. The VMs are later be migrated back from server B to server A. + +#### Pre-conditions + +Pre-conditions are that one or more VMs of some control network entity are running on server A. + +#### Operational flows + +![Diagram illustrating hardware change without interrupting the service. It shows two servers, Server A and Server B, each with a VM and a VMM. A shared storage and a network device are connected to both servers. The process involves: 1. Server A needs to be changed. 2. VM live migration from server A to server B. 3. Server A is changed. 4. VM live migration from server B to server A.](5cab96b2d23174c25919840ecd50aa48_img.jpg) + +4. VM live migration from server B to server A + +2. VM live migration from server A to server B + +3. Server A is changed + +1. Server A needs to be changed + +VM + +VMM + +Server A + +Server B + +Shared storage + +Network device + +Y.2320(15)\_FI.5 + +Diagram illustrating hardware change without interrupting the service. It shows two servers, Server A and Server B, each with a VM and a VMM. A shared storage and a network device are connected to both servers. The process involves: 1. Server A needs to be changed. 2. VM live migration from server A to server B. 3. Server A is changed. 4. VM live migration from server B to server A. + +**Figure I.5 – Hardware change without interrupting the service** + +1. Physical server A needs to be changed. +2. The VMs running on server A are live-migrated to server B. +NOTE – VM live migration requires that the image of the VM is stored in a shared storage which can be accessed from the original server and the destination server. +3. Server A is changed. +4. The VMs are migrated back from server B. + +### I.5 Change of VCN system + +#### Description + +When the VMs of some network elements running on one kind of VCN system need to be moved to another VCN system, the VMs should be able to run on the new VCN system. + +NOTE 1 – The VCN system includes the VMM and the management system of the VMM. + +#### Pre-conditions + +Pre-conditions are that the VMs of some network elements run on one kind of VCN system (i.e., VCN system 1). + +#### Operational flows + +![Diagram illustrating the change of VCN system. It shows two VCN systems, VCN system 1 and VCN system 2. VCN system 1 includes VM, VMM1, Server 1, and Management system 1. VCN system 2 includes VM, VMM2, Server 2, and Management system 2. The process involves: 1. VM needs to be moved to VCN system 2. 2. VM is shut down, the images and descriptions are delivered to VCN system 2. 3. VM runs on virtualization VCN system 2.](96b0240f56d14453b5da05ec30fd5c6e_img.jpg) + +1. VM needs to be moved to VCN system 2 + +3. VM runs on virtualization VCN system 2 + +2. VM is shut down, the images and descriptions are delivered to VCN system 2 + +VM + +VMM1 + +Server 1 + +Management system 1 + +VM + +VMM2 + +Server 2 + +Management system 2 + +Y.2320(15)\_FI.6 + +Diagram illustrating the change of VCN system. It shows two VCN systems, VCN system 1 and VCN system 2. VCN system 1 includes VM, VMM1, Server 1, and Management system 1. VCN system 2 includes VM, VMM2, Server 2, and Management system 2. The process involves: 1. VM needs to be moved to VCN system 2. 2. VM is shut down, the images and descriptions are delivered to VCN system 2. 3. VM runs on virtualization VCN system 2. + +**Figure I.6 – Change of VCN system** + +1. The VMs running on VCN system 1 need to be moved to VCN system 2. +NOTE 2 –VCN system 1 is replaced by VCN system 2. +2. The VMs should be shut down and the image and description of the VMs should be delivered to VCN system 2 by the management system 2. +NOTE 3 – Normally, live migration cannot be implemented between different VCN systems. +NOTE 4 – The description of a VM includes the information of the VM, such as the virtual hardware configuration and the VM image. +3. The VMs run on VCN system 2. + +### I.6 Virtualized resource provision + +#### Description + +According to the service capacity requirements (i.e., supporting 1 million subscribers at 0.1 erl) and the configuration of the physical server (i.e., the computing speed of the central processing unit (CPU)), the VCN system can provide appropriate VM templates from which the user can choose. This mechanism can enhance the efficiency of the deployment of control network entities. + +#### Pre-conditions + +The pre-conditions are that the user needs to deploy a control network entity with certain capacity requirements (i.e., a serving call session control functional entity (S-CSC-FE) which supports 1 million users at 0.1 erl) and that the VCN system has stored some different VM templates that can satisfy different capacity requirements. + +#### Operational flows + +![Diagram illustrating the operational flow for virtualized resource provision between a User and a VCN system.](36117e9cb27c58484cd8d3e5f9dc7ac3_img.jpg) + +``` + +sequenceDiagram + participant User + participant VCN as VCN system + User->>VCN: 1. Requires deploying a control network entity + VCN-->>User: 2. Offers one template or a combination of templates + Note over User: 3. Deploys the control network entity based on the provided template + +``` + +The diagram shows a User (represented by a person at a laptop) and a VCN system (represented by a box). The flow is as follows: + + +- The User sends a request to the VCN system: "1. Requires deploying a control network entity". +- The VCN system responds to the User: "2. Offers one template or a combination of templates". +- The User performs the final action: "3. Deploys the control network entity based on the provided template". + + The diagram is labeled Y.2320(15)\_FI.7 in the bottom right corner. + +Diagram illustrating the operational flow for virtualized resource provision between a User and a VCN system. + +**Figure I.7 – Virtualized resource provision** + +1. The user requires deploying a control network entity that should satisfy a given capacity. +2. The VCN system offers the most appropriate VM template (or a combination of different VM templates) which is able to satisfy the capacity requirements. +NOTE – If neither of the single VM templates can satisfy the required capacity, a combination of different VM templates may be provided. +3. The user then deploys the control network entity based on the provided VM template. + +## **Appendix II** + +## **Considerations concerning the virtualization of NGN entities** + +(This appendix does not form an integral part of this Recommendation.) + +### **II.1 The virtualization technology provides benefits to the NGN** + +The NGN functional specifications have essentially focused on the NGN functional reference architecture, the capabilities of the different functional entities (FEs) and the reference points between those FEs. + +The implementation aspects of the NGN (i.e., the hardware or the operating system) are out of the scope of the NGN functional specifications. From an implementation perspective, it has to be noted that the hardware infrastructure of the NGN functionalities is actually experiencing constant changes, from compact peripheral component interconnect (CPCI) devices or UNIX servers, to general purpose servers, such as advanced telecommunication computing architecture (ATCA) servers, and virtualization technologies have been introduced more and more. + +The virtualization of network entities can bring various benefits, such as quick deployment, energy saving, hardware sharing, etc. In such a virtualization perspective, the NGN functional architecture needs to be enhanced, i.e., the way to manage and allocate virtual and physical resources needs to be designed, and the interactions between network entities and virtualization infrastructure need to be considered. Accordingly, the virtualization functions, including virtual infrastructure functions and management functions, become an integral part of NGN evolution. + +### **II.2 The implementation of virtualized NGN entities requires enhancements** + +Virtualization does not imply modification of the functions of the NGN entities which are virtualized, such as session control of voice calls or mobility management. However, in order to support the capabilities provided by virtualization (i.e., adding or removing VMs in real-time), the software implementation of virtualized network entities requires adequate design enhancements. For example, the virtualized control network entities in a VCN system should support high availability, as well as enhanced load balancing and rebalancing capabilities (i.e., to adapt to VM changes, such as VM addition or removal for scaling). + +### **II.3 Virtualized NGN control network entities will co-exist with non-virtualized NGN entities** + +Virtualized NGN control network entities won't replace the non-virtualized NGN entities when they are deployed. In most cases, the VCN systems will work in hybrid networks composed of both non-virtualized entities and virtualized entities, and the VCN systems will have to comply with the architecture and interfaces of non-virtualized infrastructure. + +### **II.4 The virtualization of NGN entities starts from the control network entities** + +The VCN is the starting point for the support of virtualization capabilities in NGN evolution. It is commonly understood that good performance in network environments with VCNs can be achieved. + +## Bibliography + +- [b-ETSI GS NFV 001] ETSI GS NFV 001 V1.1.1 (Oct. 2013), *Network Functions Virtualisation (NFV); Use Cases*. +- [b-ETSI GS NFV 003] ETSI GS NFV 003 V1.2.1 (Dec. 2014), *Network Functions Virtualisation (NFV); Terminology for Main Concepts in NFV*. +- [b-ETSI GS NFV 004] ETSI GS NFV 004 V.1.1.1 (Oct. 2013), *Network Functions Virtualisation (NFV); Virtualisation Requirements*. +- [b-ETSI GS NFV-MAN 001] ETSI GS NFV-MAN 001 V1.1.1 (Dec. 2014), *Network Functions Virtualisation (NFV); Management and Orchestration*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2324-201912-I_PDF-E/0b87abe67b21a93777287649c33e755d_img.jpg b/marked/Y/T-REC-Y.2324-201912-I_PDF-E/0b87abe67b21a93777287649c33e755d_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..572b1f8c90b4c01445be9eaef94c23b273af98f3 --- /dev/null +++ b/marked/Y/T-REC-Y.2324-201912-I_PDF-E/0b87abe67b21a93777287649c33e755d_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:1a4712103bde5ddffec992dab953e2074575088b2e99c68a59ad425be355838f +size 74249 diff --git a/marked/Y/T-REC-Y.2324-201912-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg b/marked/Y/T-REC-Y.2324-201912-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..b251589cf40ace6dacc78699abda475ccc29cb4a --- /dev/null +++ b/marked/Y/T-REC-Y.2324-201912-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:f5a5181407216d035f79590e56aec9a16d90fff38afd14731b2addf225d041a7 +size 4098 diff --git a/marked/Y/T-REC-Y.2342-201912-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2342-201912-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..44d4fbc07396542f304acdb62f3482094fb76ebe --- /dev/null +++ b/marked/Y/T-REC-Y.2342-201912-I_PDF-E/raw.md @@ -0,0 +1,848 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2342 + +(12/2019) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Next Generation Networks – Enhancements to NGN + +# --- **Scenarios and capability requirements of blockchain in next generation network evolution** + +Recommendation ITU-T Y.2342 + +![ITU logo: A blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'.](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text "ITU" is written in a large, bold, blue font, and below it, the words "International Telecommunication Union" are written in a smaller, blue font. + +ITU logo: A blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'. + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | + +## **Enhancements to NGN** **Y.2300–Y.2399** + +| | | +|---------------------------------------------|---------------| +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +### CLOUD COMPUTING + +Y.3500–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.2342 + +# Scenarios and capability requirements of blockchain in next generation network evolution + +## Summary + +Recommendation ITU-T Y.2342 presents an analysis of the motivations and scenarios of blockchain used in the next generation network evolution (NGNe). The general high-level requirements of blockchain in NGNe are put forward. Detailed descriptions of the use cases are listed in the appendix. This Recommendation provides the framework of the blockchain for NGNe and specifies the capability requirements that meet the needs of next generation network (NGN) and the blockchain framework. The framework provided in this Recommendation is intended for NGNe as defined in Recommendation ITU-T Y.2340, however, it could be applied as appropriate to other types of telecom networks (e.g., IMT-2020 and Future Network). + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2342 | 2019-12-14 | 13 | 11.1002/1000/14128 | + +## Keywords + +Blockchain, consensus, decentralization, general framework, ledger, network evolution, next generation, smart contract. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|----------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Introduction of NGNe-BC ..... | 3 | +| | 6.1 Background and motivations ..... | 3 | +| | 6.2 NGNe-BC overview ..... | 4 | +| 7 | Scenarios and requirements of NGNe-BC..... | 5 | +| | 7.1 Scenario description ..... | 5 | +| | 7.2 General high-level requirements of NGNe-BC ..... | 6 | +| | 7.3 General requirements of NGNe..... | 8 | +| 8 | General framework and capability requirements of NGNe-BC ..... | 8 | +| | 8.1 General framework of NGNe-BC ..... | 8 | +| | 8.2 NGNe-BC application layer capability requirements..... | 9 | +| | 8.3 NGNe-BC platform layer capability requirements..... | 9 | +| | 8.4 NGNe-BC network layer capability requirements ..... | 11 | +| | 8.5 NGNe-BC infrastructure layer capability requirements..... | 11 | +| | 8.6 NGNe-BC management capability requirements..... | 11 | +| | 8.7 NGNe-BC Cross layer capability requirements ..... | 13 | +| 9 | Security consideration ..... | 14 | +| | Appendix I – Use Cases of NGNe-BC..... | 15 | +| | I.1 NGNe-BC use case of international roaming..... | 15 | +| | I.2 NGNe-BC use case of mobile number portability ..... | 16 | +| | I.3 NGNe-BC use case of data sharing..... | 18 | +| | I.4 NGNe-BC use case of network elements management..... | 20 | +| | I.5 NGNe-BC use case of MSISDN as a service ..... | 22 | +| | Bibliography..... | 24 | + + + +# Recommendation ITU-T Y.2342 + +# Scenarios and capability requirements of blockchain in next generation network evolution + +# 1 Scope + +This Recommendation provides the framework of the blockchain for next generation network evolution (NGNe) and specifies the capability requirements that meet the needs of next generation network (NGN) and the blockchain framework. This Recommendation covers the following aspects: + +- Motivations and scenarios of the blockchain in the next generation network evolution (NGNe). +- High-level requirements of the blockchain in the NGNe based on the scenarios. +- General framework and capability requirements of the blockchain in the NGNe. + +This Recommendation also provides an appendix describing: + +- Use cases of blockchain in the NGNe. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.2001] Recommendation ITU-T Y.2001 (2004), *General overview of NGN*. + +[ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. + +[ITU-T Y.2340] Recommendation ITU-T Y.2340 (2016), *Next generation network evolution phase 1 – Overview*. + +[ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 Next Generation Network (NGN)** [ITU-T Y.2001]: A packet-based network which is able to provide telecommunication services and able to make use of multiple broadband, QoS-enabled transport technologies and in which service-related functions are independent from underlying transport-related technologies. It enables unfettered access for users to networks and to competing service providers and/or services of their choice. It supports generalized mobility which will allow consistent and ubiquitous provision of services to users. + +**3.1.2 block** [b-ITU-T FG-DLT-D1.1]: Individual data unit of a blockchain, composed of a collection of transactions and a block header. + +NOTE – A block may be immutable and may be considered as the digital entity described in clause 3.2.2 in [b-ITU-T X.1255], however, it can be applied to other networks or other computational facilities. + +**3.1.3 blockchain** [b-ITU-T FG-DLT-D1.1]: A type of distributed ledger which is composed of digitally recorded data arranged as a successively growing chain of blocks with each block cryptographically linked and hardened against tampering and revision. + +**3.1.4 consensus** [b-ITU-T FG-DLT-D1.1]: Agreement that a set of transactions is valid. + +**3.1.5 consensus mechanism** [b-ITU-T FG-DLT-D1.1]: Rules and procedures by which consensus is reached. + +**3.1.6 distributed ledger** [b-ITU-T FG-DLT-D1.1]: A type of ledger that is shared, replicated, and synchronized in a distributed and decentralized manner. + +**3.1.7 participant** [b-ITU-T FG-DLT-D1.1]: An actor who can access the ledger: read records or add records to. + +**3.1.8 smart contract** [b-ITU-T FG-DLT-D1.1]: Program written on the distributed ledger system which encodes the rules for specific types of distributed ledger system transactions in a way that can be validated, and triggered by specific conditions. + +**3.1.9 transaction** [b-ITU-T FG-DLT-D1.1]: Whole of the exchange of information between nodes. A transaction is uniquely identified by a transaction identifier. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|---------|---------------------------------------------| +| API | Application Programming Interface | +| BC | Blockchain | +| CA | Certificate Authority | +| CDR | Call Detail Record | +| DCH | Data Clearing Houses | +| DDoS | Distributed Denial-of-Service | +| DLT | Distributed Ledger Technology | +| DNS | Domain Name System | +| HPMN | Home Public Mobile Network | +| KYC | Know Your Customer | +| MNO | Mobile Network Operator | +| MNP | Mobile Number Portability | +| MSISDN | Mobile Subscriber International ISDN Number | +| NGN | Next Generation Network | +| NGNe | Next Generation Network Evolution | +| NGNe-BC | NGNe-Blockchain | +| OTT | Over The Top | +| P2P | Peer to Peer | + +| | | +|------|-------------------------------------| +| PBFT | Practical Byzantine Fault Tolerance | +| PoS | Proof of Stake | +| PoW | Proof of Work | +| SIM | Subscriber Identification Module | +| SMS | Short Message Service | +| TAP | Transferred Account Procedures | +| TEE | Trust Execution Environment | +| VPMN | Visited Public Mobile Network | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +In the body of this document and its annexes, the words shall, shall not, should, and may sometimes appear, in which case they are to be interpreted respectively as, is required to, is prohibited from, is recommended, and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative are to be interpreted as having no normative intent. + +# 6 Introduction of NGNe-blockchain (NGNe-BC) + +## 6.1 Background and motivations + +Next generation network (NGN) [ITU-T Y.2012] is a packet-based network which is able to provide telecommunication services with decoupled service-related functions and underlying transport-related technologies. The NGN is naturally distributed both nationwide and worldwide. Equality and interconnection are the essential attributes between and even within the NGNs. However, due to the distrust between the NGN operators, centralized intermediary functions are deployed, such as the clearing houses for the international roaming mobile number portability database among the NGN operators and even the root domain name system (DNS) for interconnection and roaming. The centralized intermediary functions on one hand bring additional costs, and on the other hand lead to security issues for superimposing centralized functions over the distributed networks. In addition, the NGN has abundant network data resources which could be shared to improve and innovate the applications for the industry, however, it is hard to create the application ecosystem due to the distrust between the NGN operators and the application developers when making use of the network data. + +NGN evolution (NGNe) [ITU-T Y.2340] is a non-stop long-term project. The motivation for NGN evolution is to provide the enhanced capabilities to suit the new demands from industry based on the NGN infrastructure. It is a good opportunity for NGN to evolve towards a distributed and trusted network with equal rights among each NGN operators. The NGNe is expected to be enhanced in the following three aspects: 1) collaborative relationship among the NGNe; + +2) collaborative relationship between the NGNs and the industry participants; 3) collaborative relationship between the NGNe and the applications. Blockchain is considered as the candidate technology. + +The blockchain leverages the block-chain structure to store transactions and data in a decentralized way, and uses cryptography to ensure the security of the transmission and access. The blockchain could achieve consistent data records, anti-tampering/non-repudiation and failure-resistance. With the blockchain, applications can operate in a decentralized manner, without the need for a central authority and a trusted intermediary. Moreover, smart contract, a piece of self-executing program which resides on the blockchain, could provide distributed and automated workflows. The blockchain is not a specific technology, but a collection of technologies, such as cryptography, peer to peer (P2P), distributed system, distributed storage, consensus mechanisms, and so on. + +![Figure 1 – Blockchain overview. The diagram illustrates the blockchain architecture. The top part shows a peer-to-peer network of five nodes: Peer 1, Peer 2, Peer 3, Peer M, and Peer M+1. These nodes are interconnected in a mesh topology. A 'Smart contract' is shown as a blue square on Peer 3. Below the network is the 'Ledger', represented by a circle. The bottom part shows a sequence of three blocks: Block N+1, Block N, and Block N-1. Each block contains a 'Prev_Hash' field, a list of transactions (e.g., Transaction z, Transaction z+1 in Block N+1; Transaction y, Transaction y+1 in Block N; Transaction x, Transaction x+1 in Block N-1), and an ellipsis indicating more transactions. Arrows show the flow from Block N+1 to Block N to Block N-1, with an additional arrow pointing into Block N+1 from the left and out of Block N-1 to the right.](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +Figure 1 – Blockchain overview. The diagram illustrates the blockchain architecture. The top part shows a peer-to-peer network of five nodes: Peer 1, Peer 2, Peer 3, Peer M, and Peer M+1. These nodes are interconnected in a mesh topology. A 'Smart contract' is shown as a blue square on Peer 3. Below the network is the 'Ledger', represented by a circle. The bottom part shows a sequence of three blocks: Block N+1, Block N, and Block N-1. Each block contains a 'Prev\_Hash' field, a list of transactions (e.g., Transaction z, Transaction z+1 in Block N+1; Transaction y, Transaction y+1 in Block N; Transaction x, Transaction x+1 in Block N-1), and an ellipsis indicating more transactions. Arrows show the flow from Block N+1 to Block N to Block N-1, with an additional arrow pointing into Block N+1 from the left and out of Block N-1 to the right. + +**Figure 1 – Blockchain overview** + +As illustrated in Figure 1, the blockchain mainly comprises the blockchain ledger, the blockchain network and smart contract mechanism. The blockchain ledger is a chain of blocks which record the transactions (or data record entries). The block is the smallest storage unit, which is generated by the peer node after collecting and sequencing new transactions. To guarantee the immutability, usually the transactions are organized in the form of a Merkle hash tree and the root hash is included in each block head domain. Before adding a block to the blockchain ledger, a consensus process is needed among the peer nodes, such as proof of work (PoW), proof of stake (PoS) or practical byzantine fault tolerance (PBFT), etc. The blockchain network is a P2P network, which interconnects all peer nodes in a mesh network. The peer nodes broadcast and synchronize the transactions and blocks to achieve a consensus of the blockchain ledger. The smart contract mechanism provides the program to operate the data of the ledger and the execution environment for the program. The smart contracts can enable decentralized applications and services based on the data from the blockchain ledger. + +## 6.2 NGNe-BC overview + +NGNe-blockchain (NGNe-BC) is a specific blockchain which is utilized in NGNe, satisfying the specific requirements derived from the NGNe scenarios, such as reliability, privacy protection, supervision, etc. NGNe-BC supports the features of NGN/NGNe and has enhancements taking advantage of the blockchain concept and technologies. NGNe-BC comprises three types as follows: + +- **Public NGNe-BC:** a NGNe-BC which allows any participants to access the ledger for reading/writing the data records, operating the smart contract and carrying out the consensus. +- **Consortium NGNe-BC:** a NGNe-BC which only allows the approved participants to access the ledger for reading/writing the data records, operating the smart contracts and carrying out the consensus. + +NOTE 1 – The consortium NGNe-BC protects the data privacy of the participants depending on the policies. + +NOTE 2 – The consortium NGNe-BC may restrict the privileges of the participants to read/write the ledger data, and operate the smart contracts. + +- **Private NGNe-BC:** a NGNe-BC which only allows the approved participants in the same NGNe to access the ledger for reading/writing the data records, operating the smart contracts and optionally carrying out the consensus. + +The NGNe-BC is complementary to NGNe by providing the decentralized application capability. Figure 2 shows the relationship between the NGN and the NGNe-BC. The applications and services based on NGNe-BC may have impacts on different function domains of NGN, as shown in Figure 2 the shading of the colour represents the degree of influence in general terms, e.g., the dark colour means deep influence. Appendix I provides typical use cases of NGNe-BC. + +![Diagram of NGN architecture showing the relationship between NGNe-BC and NGN components. The diagram is titled 'NGN architecture' and shows a grid of components. A legend at the bottom indicates three levels of influence: Deep influence (dark orange), Medium influence (medium orange), and Slight influence (light orange).](8e14350b4b669119a3bdfca7869110ca_img.jpg) + +The diagram illustrates the NGN architecture and the influence of NGNe-BC on its components. The architecture is divided into two main sections: Management functions and Service/Transport stratum. The Management functions section includes IdM functions and End-user functions. The Service/Transport stratum section includes the Service stratum and Transport stratum. The diagram also shows Functions from other service providers and Functions from other network. The shading of the components indicates the degree of influence: Deep influence (dark orange), Medium influence (medium orange), and Slight influence (light orange). + +| Component | Influence Level | +|----------------------------------------|------------------| +| Management functions | Deep influence | +| IdM functions | Medium influence | +| End-user functions | Medium influence | +| Service stratum | Deep influence | +| Transport stratum | Slight influence | +| Functions from other service providers | Medium influence | +| Functions from other network | Medium influence | + +Legend: + +- Deep influence (Dark orange) +- Medium influence (Medium orange) +- Slight influence (Light orange) + +Y.2342(19)\_F02 + +Diagram of NGN architecture showing the relationship between NGNe-BC and NGN components. The diagram is titled 'NGN architecture' and shows a grid of components. A legend at the bottom indicates three levels of influence: Deep influence (dark orange), Medium influence (medium orange), and Slight influence (light orange). + +Figure 2 – Relationship of NGNe-BC with the NGN + +# 7 Scenarios and requirements of NGNe-BC + +## 7.1 Scenario description + +The NGNe-BC could be adopted in coupled applications and services in NGNe. These applications and services could be assigned to different areas, thus it is necessary to categorize the scenarios to summarize the requirements. Considering the NGNe-BC feature of enabling trust in a trustless environment, the scenarios are divided into four categories, i.e., within the NGNe, between NGNs, + +between NGNe and customers and between NGNe and other networks, based on the relationship between the NGNe-BC participants. + +### **7.1.1 Within the NGNe** + +In this scenario, the applications and services based on the NGNe-BC are mainly used for self enhancement and optimization of NGNe. Hence, the participants of the NGNe-BC are the entities within the NGNe, e.g., network entities or administration entities. The NGNe-BC could be a consortium NGNe-BC or private NGNe-BC since the participants needed to be approved to access the ledger. + +Appendix I.4 is an example of this type of scenario. Appendix I.3 also could be an example of this type of scenario if the participants are all entities in the NGNe. + +### **7.1.2 Between NGNs** + +Currently there are interoperability requirements between multiple NGNs. Taking the roaming and interconnection as an example, usually it is time costly to negotiate and to archive an agreement between the NGNs, and financially costly to settle up through a clearing house. The NGNe-BC is promising to develop the decentralized applications and services between NGNs both nationwide and globally to enhance the current systems. + +Furthermore, the NGNs naturally have the alliance attribute. This is because combined NGNs could serve more customers, which would generate new innovative services leveraging the NGNe-BC. + +The NGNe-BC would be a consortium NGNe-BC in this scenario where all participants are equal and permissioned. For efficient coordination, there is optionally a management union coexisting with and independent of the consortium NGNe-BC. + +Appendices I.1 and I.2 are examples of this type of scenario. + +### **7.1.3 Between NGNe and customers** + +The NGNe-BC could serve as an application infrastructure between NGNe and customers for sharing data and resources. For example, the customers could share the storage, bandwidth and even computing resources, thus the NGNe could distribute the applications, such as the video content, to the edge of the network to reduce the burden on the backbone network and having to settle and clear in close to real-time. Moreover, the customers not only refer to the personal customers but also the enterprise customers. The enterprise customers could share data with NGNe, e.g., the status information of NB-IoT smart parking lot, on the NGNe-BC infrastructure to incubate new business. + +In this scenario, the NGNe-BC could be a consortium NGNe-BC or a public NGNe-BC since the number of the participants joined in the NGNe-BC may be large. + +### **7.1.4 Between NGNe and other networks** + +Usually there is a data sharing demand between an NGNe and other networks, e.g., regulator/government networks, service provider networks and enterprise networks, etc. However, the data sharing demand is hindered by the lack of trust between the NGNe and other networks. + +The data could be shared unidirectionally by the NGNe, such as the data for lawful interception to the regulator or the authentication data to the service provider as described in Appendix I.5. The data such as the security vulnerability information could also be shared between the NGNe and other networks. + +In addition, the NGNe-BC could be used for data and record traceability when the NGNe and the other networks do not trust each other. + +In this scenario, the NGNe-BC would be mainly a consortium NGNe-BC. + +## **7.2 General high-level requirements of NGNe-BC** + +The general high-level requirements of NGNe-BC are put forward to satisfy the basic service implementing, operation and maintenance. + +### **7.2.1 Account and membership management** + +The NGNe-BC is required to support the account and membership management. The account management is responsible for recording the active status of the participants, and if applicable the ownership status. The membership management provides the functions of the member identification, access control, authorization and authentication management, etc. + +The account and membership management requirement is not only applicable for the consortium and private NGNe-BC but also for the public NGNe-BC for the operation and maintenance. + +### **7.2.2 Scalability** + +The NGNe-BC is required to provide sufficient scalability. + +In NGNe-BC, the NGNe-BC node is an entity to execute all or part of the NGNe-BC function. However, the function granularity of the NGNe-BC node depends on the implementation. The NGNe-BC node can join in and quit the NGNe-BC without degrading the read-write throughput and impacting the other NGNe-BC nodes. Moreover, the consensus mechanism in the NGNe-BC is pluggable, and the NGNe-BC nodes can be separated into different clusters using different consensus mechanisms. + +### **7.2.3 Maintenance management** + +The NGNe-BC is required to provide maintenance management capabilities to guarantee long-term stable operation of the services running over the NGNe-BC. + +- NGNe-BC node management +The NGNe-BC node management is required to have a global view of the NGNe-BC, such as the node number, node type, block generation status of the nodes, active status, node topology, etc. +Optionally, the NGNe-BC node management could be a centralized system coexisting with the NGNe-BC in parallel. +- Configuration management +The configuration management is required to provide the initial default and updated configuration information and parameters to the NGNe-BC nodes, such as the software version, the ledger setting, consensus module selection, and so on. +- Monitoring and alarm +The NGNe-BC is required to provide monitoring and alarm capabilities. The NGNe-BC could keep monitoring the node status, the broadcasted messages status, the block generation status, the throughput performance and other parameters. When a predefined abnormal situation occurs, the NGNe-BC could receive the alarm information. +- Block information query +The NGNe-BC is required to have the capabilities to query the block and transaction information, and to generate statistical results which could be used for the system operation. + +### **7.2.4 Auditability** + +The NGNe-BC is required to support data auditability to fulfil the regulation requirements. The NGNe-BC could provide the data operation record and log access in the condition of meeting the regulatory compliance. + +### 7.2.5 Failure and disaster recovery + +The NGNe-BC is required to have a failure and disaster recovery mechanism. + +It is necessary for the NGNe-BC to provide the disaster recovery system to guarantee uninterrupted service, e.g., the automatic recovery of the smart contract and the redundant backup of the data stored locality. + +It is also necessary for the NGNe-BC to resist risk caused by fault configuration and operation. The NGNe-BC is required to discover the abnormal behaviour node and recover in a timely fashion. + +### 7.2.6 Data privacy + +The NGNe-BC is required to provide a data privacy protection mechanism. The protection methods may be various and in different dimensions, e.g., isolating the NGNe-BC nodes and establishing multiple message broadcast channels for different services, data encryption between the participants. + +### 7.2.7 NGNe-BC smart contract management + +The NGNe-BC is required to provide smart contract management. In NGNe-BC, the NGNe-BC smart contract is a piece of program code which is recorded on NGNe-BC and can be self-executing based on the data of NGNe-BC ledger. The NGNe-BC applications are able to trigger the execution of NGNe-BC smart contracts. In this case, the NGNe-BC smart contract is a data reading/writing interface between the NGNe-BC applications and the ledger. + +It is necessary for the NGNe-BC smart contract to be identified, which includes the owner, version, function, the updated history, etc. To recover the service quickly from a failure, the NGNe-BC could maintain a smart contract depository. + +## 7.3 General requirements of NGNe + +Since the applications and services based on the NGNe-BC are derived from NGNe scenarios, the NGNe is taken as part of applications. + +The NGNe is required to provide a capability to read/write the application related data entries from/to the NGNe-BC ledger. + +The NGNe is required to provide a capability to invoke/enable/update/disable the smart contracts according to the application function requirements. + +The NGNe is required to provide a capability to integrate the NGNe-BC smart contracts to the workflow existed for backward compatibility. + +The NGNe is required to provide normalized data format for the transactions recorded in the ledger. + +# 8 General framework and capability requirements of NGNe-BC + +## 8.1 General framework of NGNe-BC + +![Diagram showing the framework of NGNe-BC. It consists of three main components: NGNe-BC management capability, NGNe-BC application layer capability, and NGNe-BC cross layer capability. The application layer capability is further divided into four sub-layers: platform layer, network layer, and infrastructure layer.](9db324c513563a95ae55c77f4462a969_img.jpg) + +| | | | +|-------------------------------|-----------------------------------------|--------------------------------| +| NGNe-BC management capability | NGNe-BC application layer capability | NGNe-BC cross layer capability | +| | NGNe-BC platform layer capability | | +| | NGNe-BC network layer capability | | +| | NGNe-BC infrastructure layer capability | | + +Diagram showing the framework of NGNe-BC. It consists of three main components: NGNe-BC management capability, NGNe-BC application layer capability, and NGNe-BC cross layer capability. The application layer capability is further divided into four sub-layers: platform layer, network layer, and infrastructure layer. + +Y.2342(19)\_F03 + +**Figure 3 – Framework of NGNe-BC** + +The general framework of NGNe-BC includes six capability sets, which are the infrastructure layer capability, network layer capability, platform layer capability, application layer capability, NGNe-BC management capability and cross layer capability as shown in Figure 3. + +- NGNe-BC infrastructure layer capability: the NGNe-BC infrastructure layer capability provides the resource required to deploy the NGNe-BC nodes. The resource includes the computation, storage and network. +- NGNe-BC network layer capability: the NGNe-BC network layer capability is responsible for the peer to peer communication which is used for ledger synchronization. In addition, the interaction between the NGNe-BC nodes, e.g., the ledger node and the smart contract execution node, relies on the network layer function. +- NGNe-BC platform layer capability: the NGNe-BC platform layer capability provides the basic functions of blockchain including the ledger, consensus mechanism, membership and smart contract. Furthermore, the platform layer provides the uniform interface to the application layer by encapsulating the call of reading/writing the ledger and initializing/invoking the smart contract. +- NGNe-BC application layer capability: the NGNe-BC application layer capability provides the applications and services derived from the NGNe. +- NGNe-BC management capability: the NGNe-BC management capability includes the management capabilities to operate the NGNe-BC and the applications established on the NGNe-BC. +- NGNe-BC cross layer capability: the NGNe-BC cross layer capability aims to implement the functions that need the cooperation of multiple layers. + +## **8.2 NGNe-BC application layer capability requirements** + +The NGNe-BC application layer capability provides specific services running over the NGNe-BC to the users, such as mobile number portability (MNP), the roaming settlement, etc. The services may make use of the NGNe-BC partially or adopt the NGNe-BC completely to establish the application architecture. The application layer is the source to read/write data from/to the NGNe-BC, and also the drive to carry out incentive if applicable. Generally, the application layer implements the service logic and completes the data processing. + +It is required to provide a capability for defining the data format stored in the NGNe-BC. + +It is required to provide a capability for coordinating the processing of the data stored in the NGNe-BC and other centralized database in the same service architecture. + +It is required to provide a capability for managing the secret key and encryption algorithm to guarantee the data privacy. + +It is required to provide the UI or wallet between the user and the NGNe-BC ledger, including account operation, authentication, asset operation and personal privacy data granted if applicable. + +## **8.3 NGNe-BC platform layer capability requirements** + +The NGNe-BC platform layer capability is the core in the NGNe-BC framework as it provides the basic service features and execution environment. There are multi-dimensional capabilities the platform layer provides such as the application programming interface (API) capability, membership capability, ledger capability, consensus capability and smart contract capability, etc. + +- API capability + +The API capability is the interface between the service and the NGNe-BC, which is the only method for the application layer accessing and managing the data in the ledger and the smart contracts. + +It is required to provide a capability for an encapsulated interface to the application layer for reading and writing the data from/to the ledger. + +It is required to provide a capability for an encapsulated interface to the application layer for deploying, initializing, invoking and updating the smart contracts. + +### - Membership capability + +The membership capability is responsible for the access control and authorization management of the NGNe-BC participants. + +It is required to provide a capability to grant and examine the authorization of the participant to read and write the ledger and query the account information. + +It is required to provide a capability to grant and examine the authorization of the participant to deploy, initialize, invoke and update the smart contracts. + +It is recommended to provide a capability to store the encryption/decryption key and execute an encryption/decryption algorithm to protect the data privacy. + +### - Ledger capability + +The ledger capability is mainly used for the data and transactions/records storage and validation. + +It is required to provide a capability to store the data and transactions/records in a blockchain structure to guarantee the integrity and time sequence. + +It is required to provide a capability to guarantee the data and transactions/records in a block are appropriately organized, e.g., the Merkle tree, to resist the tampering. + +It is required to provide a capability to validate the data stored in the ledger rapidly. + +It is required to provide a capability to query and locate a specific transaction/record from the ledger rapidly. + +### - Consensus capability + +The consensus capability implements the consensus mechanisms to guarantee the consistency of the ledger data stored in different NGNe-BC nodes. + +It is required to provide a consensus capability which is energy efficient to reduce the energy consumption. + +It is required to provide a consensus capability which could synchronize and validate the data or transactions/records and reach the consensus status rapidly in order to obtain a high performance. + +It is required to provide a consensus capability which is scalable for adding or reducing the consensus nodes without decreasing the system performance. + +It is required to provide a consensus capability which could maintain the system stability and correctness when the number of the malfunctioning or malicious nodes is less than a predefined proportion value. + +It is required to provide a consensus capability which could resist Sybil and distributed denial-of-service (DDoS) attack. + +It is required to provide a consensus capability which implements pluggable consensus algorithms. + +It is required to provide a consensus capability which could assign different consensus methods for different NGNe-BC network and NGNe-BC nodes. + +### - Smart contract capability + +The smart contract capability implements the smart contract execution environment and smart contract management. + +It is required to provide the execution environment which includes the computing resource, storage, I/O and network resource for the smart contracts. If applicable, the execution environment of the smart contracts is recommended to be the trust execution environment (TEE) to protect the sensitive data of the ledger. + +It is required to provide a capability to manage the deployment, termination and update of the smart contracts. + +It is required to provide a capability to check the execution status of the smart contracts. + +It is required to provide a capability to allow the smart contracts accessing to the ledger to obtain the data or update the data in the ledger according to the execution results of the smart contracts. + +It is required to provide a capability to deliver the event notification generated by the smart contracts to the application layer. + +It is required to provide a capability to suspend the smart contracts execution to resist resource occupation attacks. + +It is required to provide a capability to detect and find the vulnerabilities of the smart contracts. + +### - Interoperation capability + +The interoperation capability allows the NGNe-BC to obtain the necessary data from the source out of the ledger, e.g., leveraging the second layer protocols or oracle. + +It is required to provide a capability to interact with other blockchains and the off-chain data source. + +## **8.4 NGNe-BC network layer capability requirements** + +The NGNe-BC network layer capability implements the communications between the NGNe-BC nodes, mainly focusing on the network reachability and the message broadcast. + +It is required to provide a capability to build a P2P network for equal message dissemination among the NGNe-BC nodes. + +It is required to provide a capability to discover the NGNe-BC nodes automatically in a neighbourhood without the pre-configuration. + +It is required to provide a capability to maintain the system stability in case the NGNe-BC nodes are in and out frequently. + +It is required to provide a capability to evaluate the feasibility of providing a NGNe-BC node based on the consideration of not impacting other NGNe-BC nodes. + +## **8.5 NGNe-BC infrastructure layer capability requirements** + +The infrastructure layer capability is required to provide the computing/storage/networking resource for the NGNe-BC nodes. The computing/storage/networking resource could be physical or virtualized. + +It is required to provide a capability to recover from disaster and hardware/software malfunctions rapidly by triggering automated healing. + +It is required to provide a capability to be able to evaluate automated optimization results of the computing/storage/networking resource for the NGNe-BC nodes. + +It is recommended to provide specific capabilities which could accelerate the services deployment, such as database and encryption/decryption. + +## 8.6 NGNe-BC management capability requirements + +The management capability in the NGNe-BC framework includes multiple capabilities which help to maintain and monitor the operation of the NGNe-BC. The management capabilities could be deployed centralized or together with the NGNe-BC nodes. The management capabilities include the blockchain information inquiry capability, the topology view capability, the configuration management capability, the monitoring and alarm capability, the account management capability, the CA management capability, the IaaS resource management capability, which are important for the applications based on the NGNe-BC to guarantee the steady running and timely troubleshooting. + +### - Blockchain information inquiry capability + +The blockchain information inquiry capability is the interface for the operators of NGNe-BC services to view the status of the NGNe-BC. + +It is required to provide a capability to view all of the blocks and transaction information. + +It is required to provide a capability to search for and return the exact blocks and transactions based on keywords and the combination of the keywords. + +It is required to provide a capability to present or deliver the inquiry results to the operators. + +It is required to provide a capability to view all of the smart contract information. + +### - Topology view capability + +The topology view capability provides the NGNe-BC nodes topology and status view. + +It is required to provide a capability to collect the online/offline status of the NGNe-BC nodes and present the overall status view. + +It is recommended to provide a capability to generate a topology view of the NGNe-BC nodes based on the NGNe-BC node identities. + +### - Configuration management capability + +The configuration management capability provides the configuration function for the NGNe-BC node. + +It is required to provide a capability for manually configuring the NGNe-BC node, such as the network configuration, the consensus algorithm selection, the node identity and authorization and access configuration, etc. + +It is required to provide a capability for automatically configuring the NGNe-BC node, such as downloading and enabling the configuration profiles from a centralized node management entity. + +### - Monitoring and alarm capability + +The monitoring and alarm capability enables the operator and maintenance engineer of the NGNe-BC services to keep tracking the operating status of the system. + +It is required to provide a capability to monitor the NGNe-BC node operating status, such as the resource occupation status, the network connection status, etc. + +It is required to provide a capability to monitor the NGN-BC operating status, such as the generation rate of the block, the generation rate of the transaction, the message broadcasted status and so forth. + +It is required to provide a capability to monitor the service related operating status based on the NGN-BC, such as the reading/writing status from/to the ledger, the deployment status of the smart contract. + +It is required to provide a capability for an alarm based on monitoring depending on a predefined threshold. + +### - Account management capability + +The account management capability provides the account related management for the services based NGNe-BC. The account management module could be divided between the centralized part and the node accompanied part. + +It is required to provide a capability to create a new account and retrieve the account when the password/private key is lost for the participant. + +It is required to provide a capability to manage the account related parameters, such as the basic participant information, the access permission, the secret key for the data privacy protection and access permission, the smart contract updated record, the digital asset if applicable and so on. + +It is required to provide a capability to apply the Certificate Authority (CA) and update the access permission to inquire after some specific transaction data. + +It is required to provide a capability to allow deployment of the smart contract. + +### - CA management capability + +The CA management capability is responsible for the CA issue in the NGNe-BC. The CA management module could be logically deployed in a centralized way. + +It is required to provide a capability to issue the CA to the NGNe-BC nodes to access the NGNe-BC. + +### - IaaS resource management capability + +The IaaS resource management capability is required to provide a capability to allocate computing/storage/network resources according to demand to the NGNe-BC node. + +It is required to provide a capability to monitor the resource usage of the NGNe-BC node. + +## **8.7 NGNe-BC Cross layer capability requirements** + +The NGNe-BC cross layer capability is used to implement specific functions which need the cooperation of multiple layers in the NGNe-BC framework. The cross layer capability could include the privacy protection capability, the regulation capability, the policy capability and the big data/AI capability, etc. + +### - Privacy protection capability + +It is necessary to protect the privacy of the NGNe-BC participants to avoid exposing the sensitive data. + +It is required to provide a capability to allow the sensitive data to be read only by the participants authorized. + +It is required to provide a capability to broadcast the messages including the sensitive data among specific participants. + +It is required to provide a capability to leverage efficient security algorithms such as ring signature and zero knowledge proof to avoid the privacy data exposure. + +### - Regulation capability + +It is necessary to fulfil the audit requirements from the organizations and government. + +It is required to provide a capability to collect and deliver the operation logs, ledger data, smart contract logs and other information required according to the audit requirements. + +### - Policy capability + +The policy capability is utilized by the NGNe-BC to implement the intervention to the transaction and the smart contract execution. + +The policy module is required to provide a capability to mark the data storage in the NGNe-BC ledger for intervention according to the policies and regulations. + +- Big data/AI capability + +It is recommended to provide a capability to analyse the operation and maintenance data to optimize the performance of the NGNe-BC. + +# **9 Security consideration** + +This Recommendation is considered as an enhancement of NGNe, thus it supports the security features for NGN and follows the security considerations identified in [ITU-T Y.2701] and [ITU-T Y.2340]. In addition, since the NGNe-BC could be underlying technology for lot of applications, it is necessary for the NGNe-BC to meet the security requirements of the specific applications. + +# Appendix I + +## Use cases of NGNe-BC + +(This appendix does not form an integral part of this Recommendation.) + +## I.1 NGNe-BC use case of international roaming + +| | | +|-----------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | NGNe-BC use case of international mobile roaming | +| Description |

International mobile roaming is a service that allows mobile users to continue to use their mobile phone for voice, data and message services, while visiting another country. Traditionally, international mobile roaming needs to be negotiated by participating operators with an agreement to use data clearing houses (DCH) for accounting and billing purposes. There are some disadvantages of using DCH in practice:

  1. 1) Both home public mobile networks (HPMNs) and visited public mobile networks (VPMNs) have to pay hefty fees to DCH as the central authority to execute the contract for roaming services.
  2. 2) Roaming rated call detail records (CDRs) are exchanged in terms of transferred account procedures (TAP) files in offline mode which leads to delays in billing and hence revenue sharing among the roaming partners.
  3. 3) The dispute resolution processes are long because it is also executed offline by the DCH by validating the CDRs and contracts of both the partners.

However, the consortium NGNe-BC could be implemented between every pair of operators which have a roaming agreement. HPMN and VPMN could have an instantaneous settlement using blockchain-based smart contracts which take away the offline billing information exchange between roaming partners through DCH, resulting in great cost savings.

| +| Chain's type | Consortium NGNe-BC, which includes operators' accounting and billing nodes. | +| Pre-conditions (optional) | Participating operators' international mobile roaming CDR nodes have already joined the NGNe-BC. | +| Post-conditions (optional) | None. | +| Figure and operational flows (optional) |

Image: Diagram illustrating the NGNe-BC use case of international roaming. It shows two Mobile Network Operators (MNO A and MNO B) interacting via NGNe-BC nodes. CDR generators feed into these nodes, which then interact with smart contracts. The diagram includes a legend: CDR generator (purple square), NGNe-BC node (pink circle), and Smart contract (blue triangle).

The diagram illustrates the NGNe-BC use case of international roaming. It shows two Mobile Network Operators (MNO A and MNO B) interacting via NGNe-BC nodes. CDR generators feed into these nodes, which then interact with smart contracts. The diagram includes a legend: CDR generator (purple square), NGNe-BC node (pink circle), and Smart contract (blue triangle).

Y.2342(19)_FI.Tab1

| + +| | | +|----------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

Operational flows:

When the mobile subscriber roaming in a visited network uses the mobile services, it triggers the CDR Generator to generate CDR.

The CDR Generator broadcasts the CDR information as a transaction to the NGNe-BC node in its home realm, and triggers the execution of the smart contracts.

The smart contract verifies the CDR (e.g., the data format), and appends this CDR to the NGNe-BC ledger. Then the CDR is also synchronized to other NGNe-BC ledger nodes through the consensus procedure. The smart contract could have more functions such as real-time settlement and payment, and validation of usage in VPMN.

| +| Derived requirements |

Requirements for NGNe:

It is required that the NGNe provides the capability to identify international mobile roaming events, and send the CDR to the NGNe-BC ledger node.

It is required that the NGNe provides normalized data format for the transactions recorded in the ledger.

Requirements for NGNe-BC:

It is required that the NGNe-BC provides the smart contracts to implement the settlement.

It is required that the NGNe-BC provides the ledger to record the bills of the roaming.

It is required that the NGNe-BC provides the consensus mechanism to guarantee the consistent bill records.

It is required that the NGNe-BC provides sufficient reading/writing performance from/to the ledger.

| + +### I.2 NGNe-BC use case of mobile number portability + +| | | +|---------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | NGNe-BC use case of mobile number portability | +| Description |

Mobile number portability (MNP) is an important service in NGNe, which enables users to keep their mobile telephone number when changing from one mobile network operator to another. It is necessary to build an intermediary database for the mobile operators to synchronize the status of mobile numbers provisioned by the MNP service to provide the correct service routing. The intermediary database has direct impact on the basic telecommunication services of the mobile operator:

  1. 1) The intermediary database has the risk of single point failure.
  2. 2) Serial verification procedure for leveraging intermediary database means there is a long period for provisioning the MNP service.
  3. 3) For the 3rd party service providers, such as the Internet APPs, real-time synchronization of the mobile number status is important, e.g., when using the short message service (SMS) verification code.
  4. 4) The intermediary database needs a new operation and maintenance entity independent of any of the mobile operators.

Therefore, the MNP needs a database which could be accessed by multiple participants and meet the real-time synchronization of the mobile number status.

| +| Chain's type | Consortium NGNe-BC, which is built among multiple mobile operators supporting the MNP. The regulators and 3 rd party service providers could join the consortium NGNe-BC. | +| Pre-conditions (optional) |
  1. 1) The mobile network operators support the MNP service.
  2. 2) The regulator has the requirements to supervise the mobile number utilization.
  3. 3) The 3rd party service providers are sensitive to the reachability of the mobile subscribers via the mobile number.
| + +| | | +|-----------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Post-conditions (optional) | None. | +| Figure and operational flows (optional) |

Image: Diagram of the NGNe-BC architecture for Mobile Number Portability (MNP). It shows four main entities in dashed circles: 'The third party service providers' (top left), 'Regulator' (top right), 'Mobile operator A' (bottom left), and 'Mobile operator B' (bottom right). 'The third party service providers' has an 'APP' connected to a red 'Ledger node'. 'Regulator' has a 'Supervision APP' connected to a blue 'Consensus/ledger node'. Both 'Mobile operator A' and 'Mobile operator B' have 'Service networks' connected to blue 'Consensus/ledger nodes', and two white 'MNP service provision nodes' each. All four central nodes (three blue, one red) are interconnected in a mesh. A legend defines: Blue circle = Consensus/ledger node; Red circle = Ledger node; White circle = MNP service provision node; Blue + White + Red circles = Blockchain network.

Y.2342(19)_FI.Tab2

Operational flows:

  1. 1) A subscriber of the mobile operator A applies to provision the MNP service to change mobile network operator A to mobile network operator B at the MNP service provision node.
  2. 2) The MNP service provision node provides necessary transaction parameters including the mobile number, the account status, source mobile operator ID, targeted mobile operator ID, etc., to the consensus/ledger node.
  3. 3) The consensus/ledger nodes verify the MNP service application, record the transaction, consent the block and add the block to the ledger.
  4. 4) The service networks of mobile network operator A/B make use of the records in the distributed ledgers to route the calls and messages correctly for the mobile numbers ported.
  5. 5) The regulator could supervise the transactions and ledger. For specific transactions, the regulator could participant in the consensus based on the policies previously defined.
  6. 6) The 3rd party service providers could access the ledger maintained locally and keep up with statuses of the mobile number porting in real time, as the distributed ledgers are updated nearly at the same time in a consortium NGNe-BC.
| + +| | | +|----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Derived requirements |

Requirements for NGNe:

It is required that the NGNe provides the capability to record the MNP number and necessary transaction parameters to the NGNe-BC ledger.

Requirements for NGNe-BC:

It is required that the NGNe-BC provides the ledger to record the MNP numbers.

It is required that the NGNe-BC provides the consensus mechanism to guarantee the consistent record.

It is required that the NGNe-BC provides sufficient reading/writing performance from/to the ledger.

It is required that the NGNe-BC provides the smart contracts to implement the MNP numbers reading/writing.

It is required that the NGNe-BC provides the access control and membership management.

It is required that the NGNe-BC provides necessary privacy protection of the MNP data and regulation capability.

| +|----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| + +### I.3 NGNe-BC use case of data sharing + +| | | +|----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | NGNe-BC use case of data sharing | +| Description |

There is plenty of high value data in the operator networks, such as the identity, location, bill, terminal and access status data, etc. On one hand the data could be used in network optimization and service experience improvement for both the operators and over the top (OTT) service providers; on the other hand, the data could be exchanged and monetized for supporting credit investigation, risk management, marketing, and innovative services of the 3rd party.

However, the data is scattered in different domains of the operator network, e.g., BSS, OSS, core network, access network, which leads to the data islands and makes it hard to aggregate the different dimensions data. The centralized data sharing platform is not only costly, but also has security risk on managing the costumer's data and tracing the data transactions. Most importantly, the data sharing should have tight control on the privacy and sensitive data, by avoiding to access to the raw data itself.

The NGNe-BC could be a potential solution to build the data sharing platform. The data sharing platform based NGNe-BC would be a decentralized, secure and multi-party participated data marketplace, where the data is aggregated, shared, exchanged and monetized in a distributed manner.

| +| Chain's type | Consortium NGNe-BC, which includes the data providers, the data requesters and the regulators. | +| Pre-conditions (optional) |

1) The data providers and the data requesters have got the certificates from the regulator, and access to the NGNe-BC.

2) The data provider registers the data for sharing on the NGNe-BC, which could include the data characteristic description, the data format, the data digest, and also smart contract address processing the data requests and the reference of the data stored off-chain optionally.

| +| Post-conditions (optional) | None. | + +Figure and operational flows (optional) + +![Diagram of the Data sharing platform architecture and operational flows.](a74294f34a0c736b7ee0f5f0cdca7e28_img.jpg) + +The diagram illustrates the architecture of a Data sharing platform. At the center is a purple-bordered box labeled "Data sharing platform". Inside this box, there are four nodes: two purple squares representing "Ledger nodes" and two red circles representing "Consensus nodes". The Ledger nodes are connected to the Consensus nodes, and the Consensus nodes are interconnected with each other. A dashed oval encircles the Consensus nodes, with labels "Ledger Contract Membership" and "Consensus Membership" pointing to it. Outside the platform box, there are four entities: "Data provider" (top left and top right), "Data requestor" (bottom left), and "Regulator" (bottom right). Each entity is connected to a corresponding Ledger node within the platform. The "Data provider" entities are associated with a "Data for sharing" box. The "Data requestor" is associated with an "Application" box. The "Regulator" is associated with a "Regulator" box. A legend at the bottom identifies the symbols: a purple square for "Ledger node", a red circle for "Consensus node", and a blue triangle for "Smart contract". + +Diagram of the Data sharing platform architecture and operational flows. + +Y.2342(19)\_FI.Tab3 + +#### Operational flows: + +- 1) The data requestor inputs the keywords on the web client which connects to the ledger nodes to search the sharing data information, which could include the data characteristic description, the data format, the data digest, smart contract address, price, etc. The data requestor selects the data to purchase. +- 2) The data requestor accesses the smart contract deployed by the data provider for processing the shared data and applies for the data. +- 3) Depending on the data type, the smart contract may have different actions: + - i) For the static data without privacy and sensitive information, the smart contract may return the data reference directly; + - ii) For the static data with privacy and sensitive information, the smart contract only returns an analysis result but not the raw data, in this case, the data requestor need deploy a smart contract to execute the analysis; + - iii) For the dynamic data, the smart contract only returns an analysis result but not the raw data, in this case, the data requestor need deploy a smart contract to execute the analysis. +- 4) The smart contract returns the data or the analysis result, and completes the payment. The transaction is recorded in the NGNe-BC for auditability and traceability. The data sharing process completes. +- 5) For example, the finance company who provides loans online could be the potential data requestors. While the NGNe operators could be the data providers. The finance company raises the requests to the NGNe operators to evaluate the credit conditions of its customers based on the bills data of the subscribers leveraging specific analysis algorithms. The finance company pays for the data exchange to the NGNe operators. + +The data for sharing may be stored on-chain or off-chain depending on the data property and policies. The NGNe-BC provides the execution environment and computing resource for the smart contracts which could contain complex logic. + +| | | +|----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Derived requirements |

Requirements for NGNe:

It is required that the NGNe provides the capability to collect the data for sharing and record the data to the NGNe-BC ledger.

Requirements for NGNe-BC:

It is required that the NGNe-BC provides the ledger to record the data for exchange.

It is required that the NGNe-BC provides the consensus mechanism to guarantee the consistent record.

It is required that the NGNe-BC provides sufficient reading/writing performance from/to the ledger.

It is required that the NGNe-BC provides the smart contracts to implement the data entries reading/writing, and transaction billing if applicable.

It is required that the NGNe-BC provides the access control and membership management.

| +|----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| + +### I.4 NGNe-BC use case of network elements management + +| | | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | NGNe-BC use case of network elements management | +| Description |

In NGNe there are thousands of items of network equipment supplied by hundreds of manufacturers and retailers. As an important asset, it is necessary for the operators to manage the network equipment effectively and clearly.

It is necessary to keep consistency between the operators and the manufacturers on the records of the purchased network equipment to avoid disputes, especially when the equipment needs repair and replacement. The record could include pictures, certification, serial numbers, manufacturer identity, and so on.

In addition, the network equipment, both on the network side and on the subscriber side, should be traced in their lifecycle from being deployed to when they are removed from the network.

Leveraging NGNe-BC, each item of network equipment both in physical and virtual manner has a specific management thread to record the equipment characteristic and status such as deploying, relocating, changing and removing. That makes the network elements management transparent, traceable and trustworthy.

| +| Chain's type | Consortium NGNe-BC or private NGNe-BC, which includes the NGNe operators, the manufacturers and retailers. | +| Pre-conditions (optional) | The NGNe operators, the manufacturers and retailers have access to the NGNe-BC. | +| Post-conditions (optional) | None. | + +| | | +|------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +|

Figure and operational flows (optional)

|
Diagram showing the operational flows between Clients, NGNe-BC ledger nodes, and Smart contracts. Clients (Operator, Manufacturer, Retailer) interact with ledger nodes, which in turn interact with smart contracts. The ledger nodes are interconnected in a mesh topology. 
 graph TD     subgraph Nodes         N1(( ))         N2(( ))         N3(( ))         N4(( ))     end          N1 --- N2     N1 --- N3     N1 --- N4     N2 --- N3     N2 --- N4     N3 --- N4      Op1(( )) --> N1     Op2(( )) --> N1     Op3(( )) --> N2     Man(( )) --> N3     Ret(( )) --> N4      classDef nodeFill fill:#f9d5d5,stroke:#333,stroke-width:1px;     classDef clientFill fill:#a2b9d6,stroke:#333,stroke-width:1px;     class N1,N2,N3,N4 nodeFill;     class Op1,Op2,Op3,Man,Ret clientFill;

Y.2342(19)_FI.Tab4

Client    NGNe-BC ledger node    Smart contract

Operational flows:

  1. 1) The manufacturer and retailer record the purchased network equipment to the NGNe-BC through specific smart contracts leveraging the clients. The smart contract restricts the read privilege of the manufacturer and retailer. The information recorded includes the equipment characteristic such as serial number, manufacturer identity, certification, and so on.
  2. 2) The NGNe operator records the status of the network equipment deploying, relocating, changing and removing through smart contract leveraging the clients. The records would be shared between all the NGNe-BC ledger nodes.
  3. 3) The NGNe operator queries the network equipment by serial number or searches the network equipment by keywords using smart contract.
| +|

Derived requirements

|

Requirements for NGNe:

It is required that the NGNe provides the capability to record network elements and necessary transaction parameters to the NGNe-BC ledger.

Requirements for NGNe-BC:

It is required that the NGNe-BC provides the ledger to record the network elements.

It is required that the NGNe-BC provides the consensus mechanism to guarantee the consistent record.

It is required that the NGNe-BC provides sufficient reading/writing performance from/to the ledger.

It is required that the NGNe-BC provides the smart contracts to implement the data entries reading/writing.

It is required that the NGNe-BC provides the access control, membership management and authority management.

It is required that the NGNe-BC provides the scalability.

It is required that the NGNe-BC provides the account management.

| + +### I.5 NGNe-BC use case of MSISDN as a service + +| | | +|-----------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | NGNe-BC use case of MSISDN as a service | +| Description |

Digital identity is increasingly important on the Internet. Firstly, for the service providers, it is difficult and costly to develop new customers, especially when the service needs the customer to register and has know your customer (KYC) processes to prove the identity and credential of the customers. Secondly, for the customers, it can be a lot of trouble to remember dozens of account names and passwords. Currently, the service providers allow customers to leverage their accounts of Google, Facebook and Wechat to login and use the APPs, however these accounts may not have KYC processes, which may incur the risk of identity theft, fraudulent purchases and data theft.

Mobile subscriber international ISDN number (MSISDN) could be used as a digital identity, as it is unique globally and the customer is verified when applying to use the MSISDN. Based on the NGNe-BC, the NGNe operators could provide the MSISDN-as-a-service, which includes the mobile authentication and account information, etc., to the service providers.

| +| Chain's type | Consortium NGNe-BC, which includes the NGNe operators and service providers. | +| Pre-conditions (optional) |
  1. 1) The NGNe operator and the service providers have access to the NGNe-BC.
  2. 2) The NGNe operator has uploaded the raw data or the reference of data stored to the NGNe-BC. The data may include the subscriber identification module (SIM) authentication information and user data profile. Depending on the implementation, the reference of the data stored off-chain instead of the raw data could be uploaded. Multiple mobile network operators (MNOs) could share the same NGNe-BC.
| +| Post-conditions (optional) | None. | +| Figure and operational flows (optional) | Diagram of the NGNe-BC use case of MSISDN as a service. It shows an APP connected to a Service provider, which is connected to a network of four NGNe-BC ledger nodes (circles with triangles). An MNO is also connected to one of the ledger nodes. A legend indicates that a circle with a triangle represents an NGNe-BC ledger node and a triangle represents a Smart contract. The reference Y.2342(19)_Fl.Tab5 is also present.

Operational flows:

  1. 1) The APP accesses to the service provider with the MSISDN as the account name. The access authentication could be SIM-based if the SIM profile and algorithm could be accessed leveraging the smart contract on the NGNe-BC.
  2. 2) The service provider could query the user profile of the MSISDN through a smart contract if necessary, such as initial verification or dispute.
| + +| | | +|----------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

3) The service provider could generate a temporary token which is used for next login in a period after a successful authentication.

Depending on the implementation, the access authentication for the APP also can use SMS code.

| +| Derived requirements |

Requirements for NGNe:

It is required that the NGNe provides the capability to record n MSISDN related data to the NGNe-BC ledger.

Requirements for NGNe-BC:

It is required that the NGNe-BC provides the ledger to record MSISDN related data.

It is required that the NGNe-BC provides the consensus mechanism to guarantee the consistent record.

It is required that the NGNe-BC provides sufficient reading/writing performance from/to the ledger.

It is required that the NGNe-BC provides the smart contracts to implement the data entries reading/writing.

It is required that the NGNe-BC provides the access control, membership management and authority management.

It is required that the NGNe-BC provides the privacy protection.

It is required that the NGNe-BC provides the scalability.

| + +# Bibliography + +- [b-ITU-T X.1255] Recommendation ITU-T X.1255 (2013), *Framework for discovery of identity management information*. +- [b-ITU-T FG-DLT-D1.1] Technical Specification FG DLT D1.1 (2019), *Distributed ledger technology terms and definitions*. + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2345-202305-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2345-202305-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..43a37ffc0566c03b3cc92d8a6028e2fd0a2782c5 --- /dev/null +++ b/marked/Y/T-REC-Y.2345-202305-I_PDF-E/raw.md @@ -0,0 +1,588 @@ + + +# Recommendation + +## ITU-T Y.2345 (05/2023) + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Next Generation Networks – Enhancements to NGN + +--- + +## **Scenarios and requirements of network resource sharing based on distributed ledger technology** + +## ITU-T Y-SERIES RECOMMENDATIONS + +### Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|-------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.2345 + +# Scenarios and requirements of network resource sharing based on distributed ledger technology + +## Summary + +Recommendation ITU-T Y.2345 aims to provide the overview and general framework of the network resource sharing based on distributed ledger technology and specifies scenarios and capability requirements which are derived from use cases. + +## History 1 + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.2345 | 2023-05-14 | 13 | 11.1002/1000/15530 | + +## Keywords + +Distributed ledger technology, network resource sharing, requirements, scenarios. + +--- + +1 To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +# Table of Contents + +| | | Page | +|---|--------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of network resource sharing..... | 2 | +| | 6.1 Background..... | 2 | +| | 6.2 NRS-DLT ecosystem and roles ..... | 3 | +| 7 | General framework of network resource sharing based on distributed ledger technology..... | 5 | +| | 7.1 Network resource sharing based on distributed ledger technology ..... | 5 | +| | 7.2 High-level requirements of network resource sharing based on distributed ledger technology ..... | 6 | +| 8 | Capability requirements of network resource sharing based on distributed ledger technology..... | 7 | +| | 8.1 Resource sharing application layer..... | 7 | +| | 8.2 DLT enabling layer..... | 7 | +| | 8.3 Resource control layer ..... | 8 | +| | 8.4 Infrastructure layer ..... | 8 | +| | 8.5 Management-related capability requirements ..... | 9 | +| | Appendix I – Scenarios and use cases of network resource sharing based on distributed ledger technology..... | 11 | +| | Bibliography..... | 18 | + + + +# Recommendation ITU-T Y.2345 + +# Scenarios and requirements of network resource sharing based on distributed ledger technology + +# 1 Scope + +This Recommendation specifies the scenarios and capability requirements of network resource sharing based on distributed ledger technology. + +The scope of this Recommendation includes: + +- 1) Overview of network resource sharing. +- 2) General framework of network resource sharing based on distributed ledger technology. +- 3) Capability requirements of network resource sharing based on distributed ledger technology. +- 4) Scenarios and use cases of network resource sharing based on distributed ledger technology. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T X.1400] Recommendation ITU-T X.1400 (2020), *Terms and definitions for distributed ledger technology*. +- [ITU-T Y.2340] Recommendation ITU-T Y.2340 (2016), *Next generation network evolution phase 1 – Overview*. +- [ITU-T Y.2342] Recommendation ITU-T Y.2342 (2019), *Scenarios and capability requirements of blockchain in next generation network evolution*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 distributed ledger** [ITU-T X.1400]: A type of ledger that is shared, replicated, and synchronized in a distributed and decentralized manner. + +**3.1.2 smart contract** [ITU-T X.1400]: Program written on a distributed ledger system which encodes the rules for specific types of distributed ledger system transactions in a way that can be validated, and triggered by specific conditions. + +**3.1.3 transaction** [ITU-T X.1400]: Whole of the exchange of information between nodes. A transaction is uniquely identified by a transaction identifier. + +**3.1.4 entity** [b-ITU-T F.751.4]: Anything that has a separately identifiable existence (e.g., organization, person, group or device). An entity uses distributed ledger technology to solve the problem of its business or information systems. + +**3.1.5 participant** [b-ITU-T X.1405]: Entity who participates in the DLT system's decision making. For example, miners, validators, node owners, orders, voters, etc. + +**3.1.6 node** [ITU-T X.1400]: Device or process that participates in a distributed ledger network. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|---------------------------------------------| +| API | Application Programming Interface | +| CCPE | Computing Capabilities Provider at the Edge | +| DLT | Distributed Ledger Technology | +| HPC | High Performance Computing | +| ICT | Information and Communication Technologies | +| IoT | Internet of Things | +| NRB | Network Resource Broker | +| NRC | Network Resource Customer | +| NRNSM | Network Resource Node Service Maintainer | +| NRNSP | Network Resource Node Service Provider | +| NRP | Network Resource Provider | +| NSP | Node Service Provider | +| ProSe | Proximity-based Service | +| QoS | Quality of Service | + +# **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +# **6 Overview of network resource sharing** + +## **6.1 Background** + +Network resource sharing is the system that support the users of different networks to share the network resource among networks as business demands, including sharing computing, storage, connection and data resource. + +With the rapid evolution of 5G networks and IoT technology in recent years, an increasing number of devices are connected to the network, producing complex and enormous business demands, which need more flexible and efficient network resource support. Therefore, how to effectively promote network resource sharing to meet the demands of diversified services is a critical issue in the next generation network [ITU-T Y.2340]. + +Distributed ledger is a type of ledger that is shared, replicated and synchronized in a distributed and decentralized manner [ITU-T X.1400]. + +Distributed ledger technology (DLT) can record each transaction through distributed ledgers that are secured from tampering and revision. In a distributed ledger, the records, that are called blocks, are chained one by one using the cryptographic signature. To ensure the authenticity and integrity of the ledger, every record is provided a unique cryptographic signature and is time and date stamped. Only when the participants reach a consensus over the validity of a block, can the block be added in the distributed ledger. Beyond that, DLT has a unique token incentive model, which can increase the motivation of the participants on the chain, promote participants to jointly govern the network environment to achieve network resource sharing regularly, and further, enable users, contributors and regulators to achieve ecological balance. + +As one of the emerging technologies in recent years, DLT has core technical features such as smart contracts and distributed consensus, which can bring enhancement to network application scenarios in next generation networks as described in [ITU-T Y.2342]. + +NRS-DLT is distributed network resource sharing which supports traditional network system interaction and provides DLT related capabilities among various network entities by utilizing DLT as a data carrier for resource status, for allocating computing, storage and network resources of infrastructure layer and network layer to applications. + +## **6.2 NRS-DLT ecosystem and roles** + +This clause describes a network environment, called a NRS-DLT ecosystem, with roles and sub-roles. It also defines necessary activities for roles sharing resource based on DLT, as well as relationships between roles. + +The NRS-DLT ecosystem includes the following roles: + +- network resource node service provider (NRNSP); +- network resource node service maintainer (NRNSM); +- network resource provider (NRP); +- network resource broker (NRB); +- network resource customer (NRC); +- network operator (NO). + +The NRS-DLT ecosystem is shown in Figure 6-1. + +![Figure 6-1: The ecosystem of NRS-DLT. This diagram illustrates the interactions between five main components: Network resource provider, Network resource nodes service provider, Network resource nodes service maintainer, Network resource broker, and Network resource customer. The Network resource provider (NRP) at the top includes 'Resource debugging', 'Sharing regular', and 'Open resource sharing API regularly'. It connects via a bidirectional arrow to the Network resource nodes service provider (NRNSP) in the center. The NRNSP includes 'Nodes admittance', 'Regular decision', 'Anomaly detection', 'Consensus algorithm', and 'Nodes status monitoring'. To the left, the Network operator (NO) includes 'Network status monitoring' and connects to the NRNSP. Below the NRNSP, the Network resource nodes service maintainer (NRNSM) includes 'Anomaly detection', 'Nodes resource allocation', and 'Network status monitoring', also connected by a bidirectional arrow. To the right, the Network resource broker (NRB) includes 'Manage resource catalogs/metadata', 'Manage resource requirements', 'Manage resource status', 'Match requirements', and 'Resource allocation'. It connects to the NRNSP and the Network resource customer (NRC) at the bottom. The NRC is a simple box representing the end user.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 6-1: The ecosystem of NRS-DLT. This diagram illustrates the interactions between five main components: Network resource provider, Network resource nodes service provider, Network resource nodes service maintainer, Network resource broker, and Network resource customer. The Network resource provider (NRP) at the top includes 'Resource debugging', 'Sharing regular', and 'Open resource sharing API regularly'. It connects via a bidirectional arrow to the Network resource nodes service provider (NRNSP) in the center. The NRNSP includes 'Nodes admittance', 'Regular decision', 'Anomaly detection', 'Consensus algorithm', and 'Nodes status monitoring'. To the left, the Network operator (NO) includes 'Network status monitoring' and connects to the NRNSP. Below the NRNSP, the Network resource nodes service maintainer (NRNSM) includes 'Anomaly detection', 'Nodes resource allocation', and 'Network status monitoring', also connected by a bidirectional arrow. To the right, the Network resource broker (NRB) includes 'Manage resource catalogs/metadata', 'Manage resource requirements', 'Manage resource status', 'Match requirements', and 'Resource allocation'. It connects to the NRNSP and the Network resource customer (NRC) at the bottom. The NRC is a simple box representing the end user. + +Y.2345(23) + +**Figure 6-1 – The ecosystem of NRS-DLT** + +### 6.2.1 Network resource nodes service provider of NRS-DLT + +The NRNSP role provides the DLT infrastructure, which is the core of this ecosystem. The NRNSP could receive the resource API from the NRP and share to the NRC regularly, and record all the operations in the chain for tracing. The NRNSP's activities include: + +- DLT infrastructure construction, include consensus algorithm design, smart contract; +- Nodes admittance and nodes classification, such as consensus nodes, common nodes; +- Regular decision; +- Anomaly detection; +- Node status monitoring, such as computing resource status, node normal status, node activity. + +### 6.2.2 Network resource node service maintainer of NRS-DLT + +The network node service maintainer (NRNSM) role provides DLT network maintenance, which supports capabilities for breakdown maintenance, technical support, etc. The NRNSM's activities include: + +- Anomaly detection; +- Network status monitoring, such as computing resource status, node normal status, node activity, etc.; +- Node resource allocation: Through the result of node status monitoring feedback itself or by NRNSP, the NRNSM allocates and balances the resource among nodes. + +### 6.2.3 Network resource provider of NRS-DLT + +The NRP provides network resources, such as computing resources, storage resources, data resources and connection resources to the NRC. The NRP's activities include: + +- Resource debugging before sharing; +- Making the sharing strategy include sharing conditions, sharing ways, sharing time, etc.; +- Open resource sharing API, recorded by DLT, according to sharing strategy. + +### 6.2.4 Network resource customer of NRS-DLT + +The NRC is the end user or a system to use the results or services from the NRNSP to obtain the resource of the NRP. + +the NRC's activities include: + +- Requesting the network resource to the node service provider (NSP); +- Obtaining the network resource API from the NSP and using it regularly. + +### 6.2.5 Network operator of NRS-DLT + +The network operator (NO) is usually the telecom operator, whose function is providing the normal operation of the network. The NO's activities include: + +- Monitoring network status. + +### 6.2.6 Network resource broker of NRS-DLT + +The network resource broker (NRB) serves to connect the NRC and network resource service provider. The NRB can act as an open network resource mart and aim to collect and manage resource information and requirements, to help achieve accurate resource matching between the NRP and NRC. The NRB could interact with the NRNSP and NRC, and its activities include: + +- Providing a meta-information registry to the NRNSP for publishing network resources; +- Providing a service catalogue to the NRC for searching a usable network resource; +- Supporting requirements management for NRC; +- Interacting with the NRNSP to update network resource transaction and status information, such as the resource transaction amount, resource types involved in the transactions, etc.; +- Supporting interactive information security and credibility. + +# 7 General framework of network resource sharing based on distributed ledger technology + +## 7.1 Network resource sharing based on distributed ledger technology + +![Figure 7-1: General framework of network resource sharing based on distributed ledger technology. The diagram shows three 'Network resource node' boxes at the top, interconnected by bidirectional arrows. Below them is a 'Management' block containing four layers: 'Resource sharing application layer', 'DLT enabling layer', 'Resource control layer', and 'Infrastructure layer'. At the bottom of the 'Management' block is an oval labeled 'Network resource entity'. Arrows indicate bidirectional communication between the nodes and the 'Resource sharing application layer'.](ca7c7526ec57cd5a2f278c194c0a6a00_img.jpg) + +Y.2345(23) + +Figure 7-1: General framework of network resource sharing based on distributed ledger technology. The diagram shows three 'Network resource node' boxes at the top, interconnected by bidirectional arrows. Below them is a 'Management' block containing four layers: 'Resource sharing application layer', 'DLT enabling layer', 'Resource control layer', and 'Infrastructure layer'. At the bottom of the 'Management' block is an oval labeled 'Network resource entity'. Arrows indicate bidirectional communication between the nodes and the 'Resource sharing application layer'. + +**Figure 7-1 – General framework of network resource sharing based on distributed ledger technology** + +As shown in Figure 7-1, the framework of network resource sharing based on DLT involves multiple network resource nodes, which work together to promote network resource sharing. There are four layers in the framework of network resource sharing based on DLT: + +- The resource sharing application layer provides specific decentralized network resource sharing application, such as computing resource sharing resolution, data resource sharing, based on the smart contracts. +- The DLT enabling layer provides core features to support network resource sharing application layer services, including providing decentralized ledger storage, consensus mechanism and smart contract execution environment. +- The resource control layer provides asset control, network resource management, network resource breakage capability, etc., to support network resource allocation. +- The infrastructure layer provides support for access of various network resource entities which belong to different physical nodes. + +It is recommended to consider these four layers in network resource sharing based on DLT. For each layer, specific relevant use cases need to be devised to derive requirements for different aspects. + +It is recommended that these requirements be classifiable into high level requirements and capability requirements. + +## **7.2 High-level requirements of network resource sharing based on distributed ledger technology** + +### **7.2.1 Account management** + +It is required to provide valid account management mechanisms for NRS-DLT, including account generating, role assignment, identity authentication. Each participant, or user, of NRS-DLT will be provided an account with different authorities to act in different roles, e.g., resource provider, computing capability requester, system maintainer. + +### **7.2.2 Asset and resource control** + +It is required to provide asset and resource control mechanisms for NRS-DLT. Asset control enables each participant to manage and maintain their resources and transaction related activities directly, and resource control provides necessary resource registration, validation, reservation and dispatchment functions for resource capacity sharing. Asset and resource control should also ensure asset safety and data protection for each provider or requester and should be hot-pluggable. + +### **7.2.3 Scalability** + +It is required to support scalability, including: + +- Supporting the consensus mechanism of high scalability and efficiency; +- Supporting availability management mechanisms for consensus nodes and network resource service nodes, such as heartbeat monitoring mechanisms; +- Supporting system expansion, cross-system interaction and multisystem access. + +### **7.2.4 Intrusion prevention mechanism** + +It is required to provide intrusion prevention mechanisms such as network attack behaviour monitoring and malicious code detection, which should be set at key nodes (e.g., network resource service nodes and consensus nodes). + +It is required to upgrade and update intrusion prevention mechanisms regularly. + +### **7.2.5 Security mechanism** + +It is required to provide security protection for resource sharing, including data resource information protection, participants' identity information protection, sharing processes protection. + +It is required to provide failure detection mechanisms to automatically identify failed nodes to ensure DLT network security. + +### **7.2.6 Network management** + +It is required to provide network management mechanisms for NRS-DLT, including connection network management and blockchain network management, as follows: + +- Connection network management should monitor and record the connection performance and status of each participant to ensure effective resource sharing; +- Blockchain network management should monitor the operation status of the consensus process and smart contract, provide timely feedback and deal with problems, and ensure the stable operation of the blockchain network. + +# **8 Capability requirements of network resource sharing based on distributed ledger technology** + +## **8.1 Resource sharing application layer** + +### **8.1.1 Computing resource related capability requirements** + +It is required to provide a capability to record the attribute information of the computing resources on the distributed ledger. + +It is required to provide a capability to receive and record the resource requests from the NRC. + +It is required to provide a capability to record the computing resource sharing transaction on the distributed ledger. + +It is required to provide a capability to manage computing resource nodes and schedule computing resources between computing nodes. For example, the management capability will schedule more computing resources to consensus nodes to achieve an efficient consensus process. + +### **8.1.2 Billing related capability requirements** + +It is required to provide a capability to open/close payment channels. It will open payment channels after matching resources successfully, and close payment channels before allocating a token to guarantee mutual interest. + +It is required to provide a capability to calculate the cost of the resource sharing based on the quality of service (QoS) of the resource service, service time, etc. This capability will trigger a smart contract to complete the resource sharing settlement, and record settlement transaction on the distributed ledger. + +## **8.2 DLT enabling layer** + +### **8.2.1 Consensus mechanism capability requirements** + +It is required to provide the consensus mechanism for NRS-DLT. The consensus mechanism enables the guaranteeing of the consistent and authentic record of blockchain by consensus nodes. + +### **8.2.2 Smart contract capability requirements** + +It is required to support smart contracts for NRS-DLT to execute resource sharing transaction and settlement automatically. Smart contracts should keep status update records to meet security audit requirements. + +### **8.2.3 Incentive mechanism capability requirements** + +It is required to provide an incentive mechanism for NRS-DLT. An incentive mechanism, unique to the DLT, could stimulate more participants to join the NRS-DLT ecosystem, to promote network resource sharing. + +### **8.2.4 Cross-chain interaction capability requirements** + +It is recommended to provide a cross-chain interaction capability for NRS-DLT, which could extend the ecosystem of NRS-DLT, not only limited to network resource sharing between nodes on this chain, but also extended to the heterogeneous chains. + +### **8.2.5 DLT service support and management capability requirements** + +It is recommended to provide a capability to support more service nodes and support heterogeneous network resources. + +It is required to provide a capability to monitor and alert node service performance. + +## **8.3 Resource control layer** + +### **8.3.1 Resource control capability requirements** + +It is required to provide a capability to write/read data from NRS-DLT ledger rapidly and precisely to be used for resource registration and history traceability. + +It is required to provide a capability to validate the authenticity and availability of resources. + +It is required to provide a capability for invoke/query smart contracts for resource reserving, capability estimating, dispatching, plan generating, demand analysing etc. + +It is required to provide a capability to read/write data from/to other layers to receive and return data stably. Resources control layer and other layers should have full mutual access. + +It is required to provide a capability to the NRNSP for publishing network resources, including computing resources, edge resources, data resources, etc. + +### **8.3.2 Resource allocation capability requirements** + +It is required to provide a capability to analyse the requests of the NRC. + +It is required to provide a capability to recommend or match appropriate resources to the NRC. It will recommend or match network resources based on the analysis results of the NRC's requests to meet the service needs of multiple NRCs to the greatest extent possible. + +## **8.4 Infrastructure layer** + +### **8.4.1 Asset control capability requirements** + +It is required to provide a capability to manage users' resource related assets, including resource management and resources overview. + +NOTE – User resource related assets includes the resource providers' assets, such as the edge-computing resource or the storage resource, and the resource requesters' assets, such as the context data or the algorithm code. + +### **8.4.2 Network resource brokerage capability requirements** + +It is required to provide a capability to set the NRB in the edge of NRS-DLT for network resource scheduling. + +It is required to provide a capability to manage sharing resource information, including resource requirements, resource status and resource metadata. + +It is required to provide a capability for the NRB to match the requirements of NRC with registered resources. + +It is required to provide a capability to provide a network resource catalogue to the NRC. + +It is required to provide a capability to interact between ecosystem roles. For example, the NRB interact with the NRNSP for notifying the corresponding NRP to share a network resource to specific NRC, such as the edge-computing resource or data resource; the NRB forwards resource requests to the nearest NRNSP; interacts with the NRC to feedback resource status after the ensuring edge-computing resource; and interacts with the NRP to inform it to share a resource to the NRC after verifying user signatures. + +### 8.4.3 Network resource entity capability requirements + +It is required to provide a capability to network a resource entity for sharing computing, storage, connection, data and other resources. + +It is required to provide a capability to network a resource entity for invoking a smart contract to apply for computing, storage, connection, data and other resources. + +## 8.5 Management-related capability requirements + +In network resource sharing based on DLT, the system is required to provide management capabilities to ensure the normal operation of the sharing ecosystem, which includes node management, user identity management and sharing service management. + +According to the definition of ecosystem roles in clause 6, the NRNSP provides the DLT infrastructure and receives the resource API, which is required to provide node management, user management and sharing service management; and the NRNSM provides DLT network maintenance, supports capability for breakdown maintenance and technical support, which is required to provide node management and user management; and the NRB serves to connect between the NRC and NRP for resource sharing, which is required to provide sharing service management. + +![Diagram illustrating the relationship between management requirements and roles. The diagram shows three main roles: Network resource nodes service provider, Network resource nodes service maintainer, and Network resource broker. The Network resource nodes service provider and Network resource nodes service maintainer are connected by a double-headed vertical arrow. The Network resource nodes service provider is connected to the Network resource broker by a double-headed horizontal arrow. The Network resource nodes service maintainer is connected to the Network resource broker by a single-headed arrow pointing right. The Network resource broker is connected to the Network resource nodes service provider by a single-headed arrow pointing left. The Network resource broker is also connected to three management requirements: Node management (Access, permission, situation, etc.), User management (Identity, data encryption, key management, etc.), and Sharing service management (Sharing API, etc.).](a7c51c18111139f9aca2805114108565_img.jpg) + +``` +graph LR + NRNSP[Network resource nodes service provider] <--> NRNSM[Network resource nodes service maintainer] + NRNSP <--> NRB[Network resource broker] + NRNSM --> NRB + NRB --> NRNSP + NRB --> NM[Node management +(Access, permission, situation, etc.)] + NRB --> UM[User management +(Identity, data encryption, key management, etc.)] + NRB --> SSM[Sharing service management +(Sharing API, etc.)] +``` + +Diagram illustrating the relationship between management requirements and roles. The diagram shows three main roles: Network resource nodes service provider, Network resource nodes service maintainer, and Network resource broker. The Network resource nodes service provider and Network resource nodes service maintainer are connected by a double-headed vertical arrow. The Network resource nodes service provider is connected to the Network resource broker by a double-headed horizontal arrow. The Network resource nodes service maintainer is connected to the Network resource broker by a single-headed arrow pointing right. The Network resource broker is connected to the Network resource nodes service provider by a single-headed arrow pointing left. The Network resource broker is also connected to three management requirements: Node management (Access, permission, situation, etc.), User management (Identity, data encryption, key management, etc.), and Sharing service management (Sharing API, etc.). + +Y.2345(23) + +**Figure 8-1 – Relationship between management requirements and roles** + +### 8.5.1 Node security management capability requirements + +It is required to provide the node security management strategy to achieve security management and control for nodes access to ensure the normal operation of their NRS-DLT while users register to and join the sharing ecosystem. + +It is required to provide a capability to respond to the node registration request and acquire the information to register, including: node identity, registered roles, credit rating information and node permission information, and record it on the distributed ledger by smart contract. Nodes' permission in NRS-DLT should be determined by roles in ecosystem and credit rating information. For example, registering the role of the NRC could be given the rights to query resource catalogue and obtain according to the strategy, which has no authority to participate in consensus. And if users apply to register the role of the NRNSP, the system will give different permission with different credit rating; low credit ratings do not authorize participation in the consensus. + +It is required to provide a capability for dynamic evaluation and updating nodes' credit rating information by online duration, activity levels and historical action, ensuring the dynamic adjustment of permissions, which could be monitored by the NRNSP. If the nodes' credit rating information changes, the nodes permission information that control the nodes permission in NRS-DLT should be updated and recorded on the distributed ledger. For different business, the weight of these indicators could be adjusted by the NRNSP or node consensus. + +It is required to provide a capability for repair faulty nodes to restore resource sharing services in a timely manner. + +### **8.5.2 User management capability requirements** + +It is required to provide a capability for identity authentication and data encryption to ensure users' identity security. + +It is required to provide a key management mechanism to ensure the security of key storage for completing the public and private key encryption and authentication during the sharing. + +It is required to provide a capability of user access management to give users access to computing, storage, connection and data resources. + +It is required to provide a capability of user information management to provide a basis for user identity authentication, transaction traceability, transaction settlement, etc. + +### **8.5.3 Sharing service management capability requirements** + +It is required to provide a capability of network resource sharing API managements to ensure normal sharing in NRS-DLT. + +It is required to provide a capability to manage the list of the sharing service resources to maintain and update NRP resource information in a timely manner. + +# Appendix I + +## Scenarios and use cases of network resource sharing based on distributed ledger technology + +(This appendix does not form an integral part of this Recommendation.) + +**Table I.1 – Use case of edge-computing resource sharing based on NRS-DLT** + +| Title | Use case of edge-computing resource sharing based on NRS-DLT | +|-------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

With the development of 5G and edge computing, the need for computing capabilities of edge resources grows dramatically, as computing capabilities form the basis of ubiquitous computing. Hence, it is necessary to take good advantages of edge resources and share extra computing capabilities properly to help boost computing processes. However, centralized resource management systems fail to provide satisfying solutions:

  1. 1) Centralized management system may confront single point failure, which causes the computing resource sharing service to be unavailable.
  2. 2) The system operated by centralized mechanisms may have the risk of information leak.
  3. 3) Centralized architecture are insufficient for high performance computing (HPC) and distributed computing. A problem solver needs to use several centralized resource management systems to fulfil the computing capability requirements. This process can be error prone and costly – toward both money and energy.

In this case, NRS-DLT could be a potential solution for sharing the edge-computing resources. Based on distributed ledger technology, the NRS-DLT system is inherently suitable for HPC and distributed computing, and could manage, dispatch and share these computing resources at the edge automatically, instantly, uninterruptedly, safely and readily. Moreover, distributed architecture could easily build up trust between providers and users.

| +| Roles |

Computing capabilities provider at the edge (resource provider): The owner of the edge resources. Except for computing capabilities, the resource provider needs to provide necessary techniques such as device registration, device dispatch, device maintenance and so on.

Computing capabilities requester (resource requester): The purchaser of the computing capabilities at the edge.

NRS-DLT maintainer: The provider of NRS-DLT. The NRS-DLT maintainer should provide necessary capabilities, techniques, maintenances and functions of NRS-DLT under computing capabilities sharing of edge resources scenario.

| + +**Table I.1 – Use case of edge-computing resource sharing based on NRS-DLT** + +| Title | Use case of edge-computing resource sharing based on NRS-DLT | +|------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure and operational flows | Diagram of edge-computing resource sharing based on NRS-DLT. A central 'NRS-DLT system' represented by a dashed orange circle contains five 'Consensus nodes' (brown circles) connected in a pentagon shape. Surrounding this are four 'Ledger/client nodes' (orange squares), each associated with a 'Smart contract' (triangle). These nodes connect to four different types of 'Computing capabilities providers at the edge': 'Individual', 'Data centre', 'Cloud service provider', and 'Other resources', each represented by a blue grid of 'Computing devices'. At the top, a 'Computing capabilities requester' (blue circle) connects to the system via a smart contract and ledger node. A legend at the bottom defines the symbols: triangle for Smart contract, orange square for Ledger/client node, blue square for Computing devices, and brown circle for Consensus node. Reference: Y.2345(23).

Figure I.1 – Edge-computing resources sharing based on NRS-DLT

  1. 1) The resource provider should register all the edge resources with computing capabilities to the NRS-DLT system, and key configurations, including exact computing capabilities, network capabilities, identity information, should be clarified and their availability verified via smart contract.
  2. 2) The resource requester publicizes the demand of computing capabilities to the NRS-DLT system. The request should give an estimate of resources usage, algorithm, throughput, etc.
  3. 3) NRS-DLT uses a smart contract to analyse the exact demand of edge resources according to the request. The exact demand, or plan, should in detail include the requirement and framework of the algorithm, network usage, storage, the need of computing capabilities, and so on. Meanwhile, the estimate cost of the plan should be provided to the requester.
  4. 4) The resource requester chooses a plan to purchase, returns the decision back to NRS-DLT, and waits for the resources ready to use.
  5. 5) After receiving the decision from the requester, the NRS-DLT system uses a smart contract to complete the following steps:
    1. 1) The NRS-DLT system analyses the decision and prepares the resources, i.e., divides tasks into sub-tasks and assigns them to different providers.
    2. 2) Resource providers receive tasks/sub-tasks, then reserve and dispatch corresponding edge resources with computing capabilities. The NRS-DLT system will generate configurations of network, safety and resource, install requester's algorithms on these edge resources and give a link to access the resources.
    3. 3) The NRS-DLT system will send the link back to the requester. The requester uses the link to connect to and access purchased computing capabilities at the edge.
| + +**Table I.1 – Use case of edge-computing resource sharing based on NRS-DLT** + +| Title | Use case of edge-computing resource sharing based on NRS-DLT | +|----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

It is necessary to clarify that step 5 described above is only an implementing option for sharing the edge-computing resource. Depending on the application features and computing provision methods, there are different implementing methods, e.g., transferring the context data to the execution environment base on the serverless service.

6) After computing is done, linkage between the requester and provider is cut off, and all the computing capabilities at the edge will be returned. The whole process is recorded in the distributed ledger for auditability and traceability.

| +| Derived requirements |

Requirements for computing capabilities provider at the edge (CCPE):

It is required that the CCPE provide the capability to access resource control.

It is required that the CCPE provide the capability to register all the edge resources with computing capabilities and record the required parameter to the NRS-DLT ledger.

Requirements for the NRS-DLT:

It is required that NRS-DLT provide the ledger to record the resources.

It is required that NRS-DLT provide the consensus mechanism to guarantee the consistent record.

It is required that NRS-DLT provide sufficient reading/writing performance from/to the ledger.

It is required that NRS-DLT provide the smart contracts to implement data entries reading/writing.

It is required that NRS-DLT provide nodes management and access control.

It is required that NRS-DLT provide the scalability.

It is required that NRS-DLT provide necessary protection for user identity and data information by user management.

It is required that NRS-DLT provide asset control and resource control.

| + +**Table I.2 – Use case of cross-system network data resource sharing based on NRS-DLT** + +| Title | Use case of cross-system network data resource sharing based on NRS-DLT | +|-------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

With the development of a series of emerging technologies and significant growth of business demand, an increasing number of devices are connected to the future network, which produces an enormous amount of data. How to effectively promote the interconnection and comprehensive sharing of network data resources to meet the demands of diversified services is a critical issue in the future development of computer network technology.

Centralized data resource sharing fails to provide satisfying solutions for the following reasons:

  1. 1) Centralized sharing solutions may confront single point failure which causes data resources to be unavailable.
  2. 2) Network data is stored on the centralized server side, which may have unauthorized behaviour, leading to problems of data security.
  3. 3) The centralized data management agency has a heavy responsibility, data rights are difficult to distinguish and meanwhile it also has the risk of information leak.
  4. 4) Data sharing in a centralized way has low efficiency, such as, "one situation, one discussion" and centralized approval, which will affect the sharing process.

It is necessary to provide a suitable interconnection solution with high performance for ever-richer access and various networks to maximize the data value through efficient

| + +**Table I.2 – Use case of cross-system network data resource sharing based on NRS-DLT** + +| Title | Use case of cross-system network data resource sharing based on NRS-DLT | +|------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

sharing. Distributed network data resource sharing based on DLT provides a suitable management model to address single points of failure and trust problem among networks. The network data resource is the data resource that is transmitted and released by network; further, the network data resource includes non-sensitive data (public data) and semi-sensitive data (conditional sharing data) classified by sensitivity. Sensitive data involves a confidentiality clause and data protection, which is not circulated by the network generally, so it is not included in the network data resources.

| +| Roles |

Network data resource provider: the owner of the network data resources.

Network data resource requester: the purchaser of the network data resources.

NRS-DLT maintainer: the provider of NRS-DLT. The NRS-DLT maintainer should provide necessary capabilities, techniques, maintenances and functions of NRS-DLT under a scenario of network data sharing resources.

| +| Figure and operational flows |

Image: Figure I.2: Cross-system network data resources sharing based on NRS-DLT. The diagram shows a central NRS-DLT system (dashed oval) containing consensus nodes (blue circles) and smart contracts (blue triangles). It is connected to a DLT maintainer (blue square) at the top, a data resource provider (database and front-end processor) on the left, and a data resource requester (front-end processor and database) on the right. Two additional front-end processors are at the bottom. A legend defines the symbols: Consensus node (blue circle), Smart contract (blue triangle), Front-end processor (blue square), and Database (cylinder icon). The identifier Y.2345(23) is in the bottom right.

Figure I.2 – Cross-system network data resources sharing based on NRS-DLT

  1. 1) The network data resource provider should divide their own network data into two categories: public data and conditional sharing data, and clarify their sharing conditions, such as: the business relevance, business support of data resources and using time.
  2. 2) The metadata of network data resource is recorded by smart contract, then sharing conditions and resource locations are also recorded.
  3. 3) The resource requester publicizes the demand of network data resources, then query metadata of existing resources on the NRS-DLT, where metadata is a description of data resource items.
  4. 4) Apply for the data resources in NRS-DLT by smart contract, and provide key contents of using, include: purpose, time, etc.
  5. 5) NRS-DLT estimates the relevant usage condition automatically by smart contract, if the condition meets the requirements, NRS-DLT provides the data sharing interface (API) to the requester.
  6. 6) Within the allotted time, the resource requester uses data according to the sharing strategy. After using or after the allotted time, the sharing interface fails. The whole process is recorded in the distributed ledger for auditability and traceability.
| + +**Table I.2 – Use case of cross-system network data resource sharing based on NRS-DLT** + +| Title | Use case of cross-system network data resource sharing based on NRS-DLT | +|----------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Derived requirements |

Requirements for network data resource provider:

It is required that the provider ensures that metadata is consistent with the data in the database, so the requester could obtain the data according to the metadata.

It is required that the provider have the capability to access resource control.

Requirements for NRS-DLT:

It is required that NRS-DLT provide computing nodes and adjust node computing resources, for example, to adjust more computing resources to consensus nodes or provider.

It is required that NRS-DLT provide an alert service when nodes are short of computing resource.

It is required that NRS-DLT automatically identify failed nodes by node management to ensure DLT network security.

It is required that NRS-DLT provide sharing service management to manage the resource API from the NRP for resource sharing.

It is required that NRS-DLT provide cross-system interaction for achieving resource sharing between different platform, which can be achieved by building cross-platform DLT network nodes.

| + +**Table I.3 – Use case of proximity-based service (ProSe) based on NRS-DLT** + +| Title | Use case of proximity-based service (ProSe) based on DLT | +|-------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

With the popularity of various intelligent terminals and 5G and 6G wireless connection access, network connection capacity is undergoing explosive growth, the original connection mode is facing challenges, and improving cellular frequency reuse has become a new solution. 3GPP proposes ProSe (proximity service), a new technology that allows LTE terminals to communicate directly from device to device (D2D) by sharing the network resources without infrastructure. In short, it is a new way of connection between two peer-to-peer user nodes under the network resource sharing mode. How to achieve secure and fair sharing of network resources between two untrusted nodes (under a weak trust environment) is an existing challenge.

It is necessary to provide a suitable interconnection solution with high performance for ever-richer access and various networks to maximize network value through efficient sharing. Distributed ProSe based on DLT provides a suitable solution to address the trust and security problem in network resources sharing, to improve cellular frequency reuse.

| +| Roles |

Service node (ProSe provider): Contributor of the network resources.

User node (ProSe requester): Demander of the network resources.

Operator node (network resource administrator): Administrator of the network resource.

NRS-DLT maintainer: The provider of NRS-DLT. The NRS-DLT maintainer should provide necessary capabilities, techniques, maintenances and functions of NRS-DLT under scenario of network sharing resources.

| + +**Table I.3 – Use case of proximity-based service (ProSe) based on NRS-DLT** + +| Title | Use case of proximity-based service (ProSe) based on DLT | +|------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure and operational flows | Diagram of Proximity-based service (ProSe) based on NRS-DLT. A central blue oval represents the network area. Inside, a 'Service node' (phone with dollar sign) and 'User node2' (phone with dollar sign) are connected by a double-headed arrow labeled 'Network resource sharing'. A 'Smart contract' (blue triangle) is connected to both. A 'Consensus node' (chain icon) is also connected. A 'Gain' (star icon) is labeled 'X% gain'. A 'Traditional condition' (phone with dollar sign) is labeled 'User node1'. A 'Weak signal' (dashed line) connects the Service node to a tower. A legend at the bottom shows: Consensus node (chain icon), Smart contract (blue triangle), Gain (star icon). Y.2345(23) is in the bottom right corner.

Figure I.3 – Proximity-based service (ProSe) based on NRS-DLT

Mobile users can register as a service node to share mobile network resources for other mobile terminals, so as to obtain the token. At the same time, it can also be used as a user node to obtain network services and pay for the token.

  1. 1) Node registration: Mobile phone users can apply for and register as hotspot service nodes, that is, network data resource providers, so as to directly share 5G network resources for other mobile terminals and provide near field network services.
  2. 2) Identity authentication: NRS-DLT records the registered nodes, and the smart contract transmits them to the operator for identity information comparison and authentication.
  3. 3) Resource preparation: The certified service nodes join the resource sharing pool through the app and open the hot spots.
  4. 4) Recommendation of smart contract: According to the current network quality, waiting time and historical evaluation, the smart contract recommends appropriate service nodes to network resource user nodes.
  5. 5) Waiting for connection: The user node makes its own choice according to the recommendation of the smart contract, and pays the token to the service node according to the rules of the smart contract to obtain the network service.
  6. 6) Process record: Until disconnection, the smart contract records the network resource sharing to the NRS-DLT, including: service node, user node, usage duration, network quality evaluation.
  7. 7) Gain revenue: For the completed services, according to the service duration and charging rules, the operator pays token to the service node to encourage more mobile users to participate in the ProSe, which can drive efficient and reliable frequency resource reuse, and improve the capacity of the 5G connection system.
| + +**Table I.3 – Use case of proximity-based service (ProSe) based on NRS-DLT** + +| Title | Use case of proximity-based service (ProSe) based on DLT | +|----------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Derived requirements |
  • • Requirements for the ProSe provider:
    It is required that the ProSe provider ensure its identity is credible and verifiable.
    It is required that the ProSe provider provide stable services and not disconnect frequently.
  • • Requirements for the ProSe user:
    It is required that the ProSe user provide enough tokens to pay for the service.
  • • Requirements for the operator:
    It is required that the operator provide a database that contains identity information; in order to protect the data information, the database is stored locally and will be called by smart contract to comparison automatically.
    It is required that the operator provide the ability to monitor network resources.
  • • Requirements for NRS-DLT:
    It is required that NRS-DLT provide the smart contract with recording, settlement, recommending, query functions.
    It is required that NRS-DLT provide identity protection for contributors.
    It is required that NRS-DLT provide a token-based incentives mechanism to stimulate increased node participation in ProSe based on NRS-DLT.
| + +# Bibliography + +- [b-ITU-T F.751.4] Recommendation ITU-T F.751.4 (2022), *General framework for distributed ledger technology (DLT)-based invoices*. +- [b-ITU-T X.1405] Recommendation ITU-T X.1405 (2021), *Security threats and requirements for digital payment services based on distributed ledger technology*. +- [3GPP WI #580059] 3GPP WI #580059[Rel 12], *Proximity-based service*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2501-202109-I_PDF-E/1439cb942d9e363bbb3161b5540dd8c6_img.jpg b/marked/Y/T-REC-Y.2501-202109-I_PDF-E/1439cb942d9e363bbb3161b5540dd8c6_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..4026b46c0638ed8796f64baedbcd9641df474394 --- /dev/null +++ b/marked/Y/T-REC-Y.2501-202109-I_PDF-E/1439cb942d9e363bbb3161b5540dd8c6_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:9c2a51207cdb510483795a8bc3fd272d5055a7dc9155e75724dea525fb13302a +size 77686 diff --git 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+1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:466b0ea73fdc41da8d0713051d6ecdac174e4a609e62d269eb01d227ce47d7af +size 60557 diff --git a/marked/Y/T-REC-Y.2501-202109-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2501-202109-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..99d006282902017721b7beeb9606b20298819ede --- /dev/null +++ b/marked/Y/T-REC-Y.2501-202109-I_PDF-E/raw.md @@ -0,0 +1,492 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.2501 + +(09/2021) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Next Generation Networks – Computing power networks + +# --- **Computing power network – Framework and architecture** + +Recommendation ITU-T Y.2501 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | + +### **Computing power networks** **Y.2500–Y.2599** + +| | | +|--------------------------------|---------------| +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +### CLOUD COMPUTING + +### BIG DATA + +### QUANTUM KEY DISTRIBUTION NETWORKS + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.2501 + +# Computing power network – Framework and architecture + +## Summary + +Recommendation ITU-T Y.2501 describes the framework and architecture of the computing power network (CPN). This is a new type of network that realizes optimized resource allocation, by distributing computing, storage, network and other resource information of service nodes through a network control plane. It combines network context and user requirements to provide the optimal distribution, association, transaction and scheduling of computing, storage and network resources. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2501 | 2021-09-13 | 13 | 11.1002/1000/14768 | + +## Keywords + +Architecture, computing power network, framework. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2021 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|------|------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References ..... | 1 | +| 3 | Definitions ..... | 1 | +| 3.1 | Terms defined elsewhere ..... | 1 | +| 3.2 | Terms defined in this Recommendation ..... | 1 | +| 4 | Abbreviations and acronyms ..... | 1 | +| 5 | Conventions ..... | 2 | +| 6 | Background and motivations ..... | 2 | +| 6.1 | From the perspective of computing power resource consumers ..... | 2 | +| 6.2 | From the perspective of computing power resource providers ..... | 3 | +| 6.3 | From the perspective of network technology ..... | 3 | +| 6.4 | From the perspective of a business model ..... | 3 | +| 7 | Scenarios ..... | 4 | +| 7.1 | Scenarios of low latency ..... | 4 | +| 7.2 | Scenarios of high mobility ..... | 5 | +| 8 | Requirements of computing power network ..... | 5 | +| 9 | General framework of the computing power network ..... | 6 | +| 10 | Functional architecture of computing power network ..... | 7 | +| 10.1 | CPN resource layer ..... | 7 | +| 10.2 | CPN control layer ..... | 8 | +| 10.3 | CPN service layer ..... | 8 | +| 10.4 | CPN orchestration and management layer ..... | 9 | +| 11 | Security considerations ..... | 9 | + + + +# Recommendation ITU-T Y.2501 + +# Computing power network – Framework and architecture + +## 1 Scope + +This Recommendation provides the framework and architecture of the computing power network, specifies its functional entities and defines the functionalities of these functional entities, in addition this Recommendation also provides general scenarios, requirements and security considerations of the computing power network (CPN). + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. + +[ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +None. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +None. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|------------------------------------------| +| 5G | 5th-Generation | +| AI | Artificial Intelligence | +| CPN | Computing Power Network | +| OAM | Operation Administration and Maintenance | +| SDN | Software Defined Network | +| UPF | User Plane Function | +| V2X | Vehicle to X | +| vBRAS | virtual Broadband Remote Access Server | + +| | | +|------|------------------------------------| +| vCPE | virtual Customer Premise Equipment | +| VR | Virtual Reality | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended to" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +## 6 Background and motivations + +The computing power network (CPN) is a new type of network that realizes optimized resource allocation, by distributing computing, storage, network and other resource information of service nodes through a network control plane (such as a centralized controller, distributed routing protocol, etc.). CPN combines network context and user requirements to provide optimal distribution, association, transaction and scheduling of computing, storage and network resources. + +CPN provides technical opportunities within a certain business context. + +### 6.1 From the perspective of computing power resource consumers + +Demands for computing power are increasing day by day and ubiquitous computing power resources are needed. + +The market for computing-intensive services, such as the AI-based services is growing. The large-scale application of artificial intelligence (AI) algorithms across various industries requires a great amount of computing power resources. In this the age of cloud computing, the tendency is to build centralized computing power resources pools to solve this problem. However, in some new scenarios, these centralized pools do not satisfy requirements as appropriate computing power nodes need to be selected according to the service characteristics, price, and network conditions. An access control system based on face recognition, shown in Figure 6-1, serves to explain why ubiquitous computing power resources are needed. + +![Figure 6-1: Access control system based on face recognition. The diagram illustrates a workflow where a person's face is captured by an access control system, sent to a cloud computing center for AI training, and then used for face recognition at an edge office, with module updates being sent back to the cloud.](1c94fd3cebf58af136144f14160d128e_img.jpg) + +``` + +graph LR + User((User)) --> ACS[Access control system] + ACS -- "Face image" --> Cloud((Cloud computing centre)) + Cloud -- "AI training" --> Cloud + Cloud -- "Module updating" --> Edge[Edge office] + Edge -- "Face recognition" --> Edge + Edge -- "Recognition result" --> ACS + Edge -- "Face image" --> ACS + +``` + +The diagram shows a person interacting with an 'Access control system' (represented by a monitor and camera icon). A 'Face image' is sent from the system to a 'Cloud computing centre' (represented by a cloud icon). Inside the cloud, 'AI training' is performed. A 'Module updating' signal is sent from the cloud to an 'Edge office' (represented by a server rack icon). The 'Edge office' performs 'Face recognition'. A 'Recognition result' is sent back to the 'Access control system', and a 'Face image' is also sent from the 'Edge office' back to the 'Access control system'. + +Figure 6-1: Access control system based on face recognition. The diagram illustrates a workflow where a person's face is captured by an access control system, sent to a cloud computing center for AI training, and then used for face recognition at an edge office, with module updates being sent back to the cloud. + +**Figure 6-1 – Access control system based on face recognition** + +In this example, an AI training part can be deployed in centralized computing power pools, such as a cloud computing centre, to perform complex computing processes offline. However, in the reasoning phase, such as for instance, when recognizing a face to open a door, the latency factor should be considered. If the image or video information is sent to a cloud computing centre for processing, the waiting time may be too long to be practical. Consequently, services need to consider not only computing power resources but also the time for processing, the time for transmitting and the cost. For fully-centralized computing power resource pools, they cannot satisfy all requirements, while distributed computing power resource pools, such as edge computing nodes, have obvious advantages in bandwidth and latency, thus meeting the development requirements of future services. + +### **6.2 From the perspective of computing power resource providers** + +The construction costs of computing power resources per unit are decreasing. + +In accordance with Moore's Law, the performance of chips is improving, while the costs of computing power resources per unit are decreasing. Compared with the provision of electricity, the provision of computing power is relatively easy. In theory, as long as there is space and electricity and due compliance with fire safety regulations, all units or even individuals can build a computing power resource pool to provide computing resources for various services. However, the existing computing resources pools, self-built by enterprises, are geographically scattered, and their utilization is quite low. If all these resources could be used, it would generate more value and create more wealth for users and society. It is also noted that super-computing centres own a large amount of computing power resources, while users do not have a way to apply for these resources. Consequently, there is a need to find a new solution and technology system to realize computing power resources sharing. + +### **6.3 From the perspective of network technology** + +Network development has laid the foundation for the flexible provision of multi-party computing resources. + +For sharing of computing power resources, the accessibility of computing power resources needs to be considered first. With the development of network technologies such as 5G and software defined networks (SDNs) the network is now no longer a cause of bottlenecks. Users and computing power resources can be efficiently connected through networks. + +The isolated computing power pool is difficult to transform into a measurable and saleable commodity that can promote a sustainable development of the industry chain. With the development of new network technologies such as 5G, computing power resources can be connected in a simple, efficient, and low-cost way, and can be sold and used through a new business model. + +### **6.4 From the perspective of a business model** + +A new business model is necessary. + +How to integrate the resources of all parties, so that users can flexibly choose appropriate computing resources according to service requirements is problematic. Cloud computing providers need to employ a lot of people to negotiate with owners of computing power resources, sign and then execute service contracts in order to integrate the discrete computing power resources. In addition, operation and maintenance operations also require a great number of staff. This goes against their principles of minimalist operation and maintenance. Consequently, cloud service providers prefer to cooperate with enterprises with large amounts of resources rather than small companies or even individuals. + +It is hard for the owners of small and mid-sized computing resources pools to compete with large-scale cloud computing service providers. First of all, due to the limitations of their technical capabilities, the products and services that can be provided are quite limited. Secondly, limited by the size of their enterprises, their marketing efforts are limited, and it is therefore difficult to inform potential users of their resource information. + +With the support of new technologies, computing power resources information can be distributed through networks. A computing power transaction platform for resource providers and resource consumers could be provided. Through this computing power transaction platform, computing power providers and consumers do not need to be concerned about the transaction partners. The transaction platform shields the difference between the providers and the consumers. Providers and consumers do not perceive each other, and they can pay according to unified rules, forming a new resource transaction model. + +## **7 Scenarios** + +Computing power networks mainly work in two types of scenarios: the first type are low-latency scenarios represented by edge computing. In this kind of scenario, the computing power network needs to provide coordination between computing resources; the second type are high-mobility scenarios represented by live broadcast and vehicle to X (V2X). In this kind of scenario, the computing power network needs to provide flexible scheduling for services. + +### **7.1 Scenarios of low latency** + +The low latency requirement of edge computing needs the interworking of computing and network capabilities. Low latency is one of the most critical characteristics of edge computing, and it is also the key factor that distinguishes edge computing from cloud computing. In the edge computing scenario, clients have an urgent need for low latency, high computing capabilities and networking routing capabilities, which is already beyond the capabilities of traditional cloud service providers, and network capabilities have become a part of the cloud computing capabilities. Therefore, in addition to deploying computing nodes at the edge of the network, it also needs a 'computing-network interworking' reconstruction of the substrate network architecture. This reconstruction evolves the traditional network architecture mainly carrying north-south traffic to the new network architecture which can schedule flexibly taking into account latency and carry east-west traffic as well. + +The new application of edge computing needs 'cloud-network interworking' network architecture. For a typical AI application for example, AI reasoning needs low latency, therefore it should be deployed in edge computing nodes. While AI training can be deployed in a centralized cloud computing platform at low cost as it needs high computing capabilities but has no requirements on latency. However, the current edge computing solution generally follows the network construction scheme of traditional data centres. This network construction solution consists of two layers of switches (aggregation + access or Spine-Leaf architecture) and one layer of egress routers [ITU-T Y.2011] and [ITU-T Y.2012]. This kind of networking architecture increases the number of routes and devices of the edge computing nodes. It also increases the latency, and the latency is uncontrollable which is quite different from the expected indicators. + +Therefore, for AI applications, computing power network technology is needed to collect the resources and network information about each resource node, then, according to the service requirement, the AI training task with the heaviest computing needs can be deployed on the central cloud. The computing tasks such as feature extraction, template matching, and object recognition are dynamically offloaded to appropriate edge nodes. The terminal only needs to be responsible for target tracking and screen rendering and display to reduce the end-to-end latency. + +### 7.2 Scenarios of high mobility + +Services such as live broadcast for travel and V2X often have high mobility. In an example scenario of live broadcast, anchor X is conducting a travel live broadcast. During the live broadcast, the anchor needs to go to city B from city A and share the scenery along the way between city A and city B. Live broadcast services need to be able to provide scenery features, real-time interaction with the audience (such as barrage communication, voice and video connections, live streaming commerce, etc.). In the future, VR live broadcast will require stronger image rendering, greater computing power and lower latency. As the location of the anchor continues to change, using the same computing resources the change will increase as will the physical distance between the service and the computing resources, leading to increased latency. Therefore, the computing power network may select matching resources for users in real-time based on the location and resource conditions, so as to provide the accompanying resources and improve the user experience. As shown in Figure 7-1, when anchor X is in city A, resource pool N1 provides services, when anchor X is in city B, resource pool N2 provides services. + +![Figure 7-1 – Live broadcast scenario diagram showing a computing power network connecting resource pools to anchors in different cities.](e9314c83043183351ed74908e9bf2f90_img.jpg) + +The diagram illustrates a live broadcast scenario involving a central computing power network and three resource pools. The computing power network consists of six routers labeled R1, R2, R3, R4, R5, and R6, interconnected in a mesh topology. R2 is centrally located and connected to R1, R3, R4, and R5. R1 is connected to R2 and R3. R3 is connected to R1, R2, and R5. R4 is connected to R2 and R6. R5 is connected to R3 and R6. R6 is connected to R4 and R5. Three resource pools are represented by clouds containing server and storage icons: Resource pool N1 is connected to R1; Resource pool N2 is connected to R4; Resource pool N3 is connected to R5. Two anchors are shown: 'Anchor X' in 'City A' is connected to R2; 'Anchor X' in 'City B' is connected to R6. The diagram shows how the network can route traffic from different resource pools to the anchor as they move between cities. + +Y.2501(21) + +Figure 7-1 – Live broadcast scenario diagram showing a computing power network connecting resource pools to anchors in different cities. + +Figure 7-1 – Live broadcast scenario + +# 8 Requirements of computing power network + +Computing power networks are required to have the ability to allocate the computing power resources according to user requirements and adjust the allocation strategy with the change of requirements in a timely manner. Thus, the following requirements must be satisfied: + +- CPN is required to support computing power measurement for the quantification of computing power resources. In other words, CPN is required to provide unified description for computing power resources. +- CPN is required to have the capability to collect resources information. +- CPN is required to make resource allocation strategies for users according to user requirements. +- CPN is required to establish network connection between resource users and resource providers according to the resource allocation strategies. +- CPN is required to support resource transaction between resource users and resource providers. + +- CPN is required to support resource monitoring to update resource information in a timely manner. + +NOTE – The unified description refers to a set of measurement rules, according to which we can compare computing resources under certain conditions. It does not mean we need to give only one unit for all computing power resources. + +# 9 General framework of the computing power network + +A computing power network framework includes a computing power network consumer, a computing power network provider, a computing power network transaction platform, a computing power network control plane, a network operator, etc. An AI empowered platform can be linked according to services development requirements. The computing power network framework is shown in Figure 9-1. + +![Figure 9-1: Computing power network framework diagram. The diagram illustrates the architecture of a computing power network. At the top, an 'AI empowered platform' (represented by a server rack icon) connects via a downward arrow to the 'Computing power network transaction platform' (represented by a circular network icon). This transaction platform is also connected by horizontal arrows to the 'Computing power network consumer' (represented by a person icon) on the left and the 'Computing power network provider' (represented by a building icon) on the right. A dashed red line separates the upper management layer from the lower network layer. Below the dashed line, the 'Computing power network control plane' (represented by a server rack icon with up/down arrows) connects via a downward arrow to the 'Network operator' (represented by a complex network of nodes and links). The network operator layer includes various cloud computing nodes and server racks. The identifier 'Y.2501(21)' is located in the bottom right corner of the diagram area.](1439cb942d9e363bbb3161b5540dd8c6_img.jpg) + +Figure 9-1: Computing power network framework diagram. The diagram illustrates the architecture of a computing power network. At the top, an 'AI empowered platform' (represented by a server rack icon) connects via a downward arrow to the 'Computing power network transaction platform' (represented by a circular network icon). This transaction platform is also connected by horizontal arrows to the 'Computing power network consumer' (represented by a person icon) on the left and the 'Computing power network provider' (represented by a building icon) on the right. A dashed red line separates the upper management layer from the lower network layer. Below the dashed line, the 'Computing power network control plane' (represented by a server rack icon with up/down arrows) connects via a downward arrow to the 'Network operator' (represented by a complex network of nodes and links). The network operator layer includes various cloud computing nodes and server racks. The identifier 'Y.2501(21)' is located in the bottom right corner of the diagram area. + +**Figure 9-1 – Computing power network framework** + +- Computing power network consumer: Units or individuals who consume computing power resources and network resources. They make various requirements in terms of cost, performance and security according to their services. +- Computing power network provider: Refers to the units or individuals that can provide computing power resources. The computing resource pool can be a small-scale edge computing node, a large or medium-sized cloud computing node, a metropolitan computing node or a super-computing centre, etc. Therefore, the provider can be a telecommunication operator, a large cloud service provider, a small or medium-sized enterprise, a supercomputing centre, or even an individual. +- Computing power network transaction platform: A platform that allows computing power network providers and computing power network consumers to make transactions. It can be + +a public transaction, that is, the computing power network consumers know exactly who provides the computing power resources. It can also be an anonymous transaction meaning that the computing power network consumers do not need to know who the computing power network providers are, and the computing power network transaction platform is responsible for transaction reliability and computing security. In addition, on this transaction platform, not only computing resource transactions, but network resource transactions need to be completed at the same time according to location and service requirements. + +- Computing power network control plane: It collects computing power information, network information, etc., and sends this information to the computing power network transaction platform for computing power network consumers to select appropriate computing power resources and network resources, and then provides the computing power network consumers with the optimal computing power resource allocation and network connection solution. +- Network operator: An operator that provides connection services which connect users and computing power resources, and can provide different levels of connection services according to user requirements. +- AI empowered platform: As an additional module in the computing power network framework, it can provide computing power applications for computing power network consumers as well as AI-based auxiliary operations for computing power network providers. + +## 10 Functional architecture of computing power network + +The functional architecture of the computing power network is depicted in Figure 10-1. It consists of four layers which provide the aforementioned functionalities by interacting with each other. + +![Figure 10-1: Computing power network functional architecture diagram. The diagram shows three main layers on the left: CPN service layer, CPN control layer, and CPN resource layer, connected vertically by double-headed arrows. To the right is the CPN orchestration and management layer, connected to each of the three main layers by double-headed arrows. The CPN service layer contains Resource information processing, Billing, and Transaction process execution. The CPN control layer contains Resource information collection, Resource allocation, and Network connection scheduling. The CPN resource layer contains Computing resource, Network resource, Storage resource, and Service resource. The CPN orchestration and management layer contains CPN orchestrator, CPN security, Computing power modelling, and Computing power OAM. A small reference code Y.2501(21) is at the bottom right.](cab0834804fb031b43865554cc8d06ab_img.jpg) + +``` + +graph TD + subgraph Main_Layers [Main Layers] + direction TB + S[CPN service layer] <--> C[CPN control layer] + C <--> R[CPN resource layer] + end + + subgraph Management [CPN orchestration and management layer] + direction TB + O[CPN orchestrator] + SSec[CPN security] + CPM[Computing power modelling] + CPOAM[Computing power OAM] + end + + S <--> Management + C <--> Management + R <--> Management + + subgraph S_Box [CPN service layer] + RIP[Resource information processing] + B[Billing] + TPE[Transaction process execution] + end + + subgraph C_Box [CPN control layer] + RIC[Resource information collection] + RA[Resource allocation] + NCS[Network connection scheduling] + end + + subgraph R_Box [CPN resource layer] + CR[Computing resource] + NR[Network resource] + SR[Storage resource] + SRV[Service resource] + end + +``` + +Y.2501(21) + +Figure 10-1: Computing power network functional architecture diagram. The diagram shows three main layers on the left: CPN service layer, CPN control layer, and CPN resource layer, connected vertically by double-headed arrows. To the right is the CPN orchestration and management layer, connected to each of the three main layers by double-headed arrows. The CPN service layer contains Resource information processing, Billing, and Transaction process execution. The CPN control layer contains Resource information collection, Resource allocation, and Network connection scheduling. The CPN resource layer contains Computing resource, Network resource, Storage resource, and Service resource. The CPN orchestration and management layer contains CPN orchestrator, CPN security, Computing power modelling, and Computing power OAM. A small reference code Y.2501(21) is at the bottom right. + +**Figure 10-1 – Computing power network functional architecture** + +### 10.1 CPN resource layer + +CPN resource layer is where the resources reside that are provided by computing power network providers and network operators. This includes resources typically used in resource nodes (cloud + +computing node, edge computing node, etc.) such as computing resources (servers, etc.), network resources (switches, routers, etc.), storage resources (storage devices), and also the deployed services that run on the servers. In this layer, the resources are various, heterogeneous, and belong to many providers. Using unified identification can realize the unified authentication and resource scheduling of different vendors and heterogeneous computing power resources. + +### 10.2 CPN control layer + +The CPN control layer (realized by the CPN control plane) collects the information from the CPN resource layer, and sends it to a service layer for further processing. After receiving the processing results from the CPN service layer, the CPN control layer will pre-occupy the resources and establish a network connection. + +The computing power network control layer has three basic functions: resource information collection function, resource allocation function, and network connection scheduling function: + +- **Resource information collection function:** The computing power network control layer collects a variety of resource information, including but not limited to computing power resource information, network resource information, storage resource information, algorithm resource information, etc. and generates a resource information table. +- **Resource allocation function:** According to the CPN consumers requirement or processing results from the CPN service layer, the computing power network control layer checks the resource information table, then makes a resource allocation strategy and sends it to the CPN providers. A resource allocation strategy could be notifying the computing power network providers when and how many computing resources will be occupied, and refreshing their resource information. +- **Network connection scheduling function:** Network connection requirements are obtained according to the resource allocation strategy. Network connection requirements could include among which points the network connection should be established, the bandwidth of each network connection, and the quality of service needed to be provided. According to these network connection requirements, the corresponding network resources are scheduled, and the network connections are established. + +NOTE – The network connection here indicates not just traditional communication pipeline, it may also require the deployment of corresponding network elements, such as 5G user plane function (UPF), virtual broadband remote access server (vBRAS), virtual customer premise equipment (vCPE) and other access control network elements, according to network connection requirements. + +### 10.3 CPN service layer + +The CPN service layer can realize the functions of the CPN transaction platform mentioned in clause 9. The service layer supports the following functionalities: + +- **Resource information processing:** CPN service layer obtains various computing power resource information and network resource information from the computing power network control layer. According to user requirements and resource information, it provides optional resources and reasonable pricing based on the construction cost, maintenance cost, scarcity, and their competition relationships. +- **Billing:** Includes two kinds of bills. One is paying bills for computing power consumers according to the occupation statistics of computing power resources and network resources. The other is income bills for computing power providers and network operators according to the supplement of computing power resources and network resources. +- **Transaction process execution:** The transaction process is as follows: + - First, computing power network consumers input resource requirements or service requirements, such as resource location, latency, bandwidth, resource quantity. + +- Second, the computing power network transaction platform generates a resource view according to the user requirements and resource information received from the CPN control layer. In the resource view, it contains the optional resources as well as their price. +- Third, users choose the most suitable resources according to the resource view, and then make a transaction contract with providers. +- Then, the computing power network transaction platform sends the transaction information to the computing power network control layer, and updates the corresponding resource information. +- Finally, the computing power network transaction platform will monitor the resource usage until the end of the transaction contract. The computing power network transaction platform will then terminate the service and release the associated resources. + +Emerging technologies such as blockchain are recommended to be used in the service layer to realize new functions such as distributed ledgers and anonymous transactions. + +### **10.4 CPN orchestration and management layer** + +The CPN orchestration and management layer can realize orchestration, security, modelling, and operation administration and maintenance (OAM) functions for CPN: + +- The CPN orchestrator is in charge of the orchestration and management of CPN resources and services. +- CPN security module is responsible for applying security related controls to mitigate the security threats in CPN environments. +- Computing power modelling module is used to computing power modelling according to various services. +- Computing power OAM realizes the operation, administration and maintenance. + +# **11 Security considerations** + +The following are the security considerations for CPN: + +- 1) CPN is required to provide mechanisms to support trusted transactions. +- 2) CPN is required to provide mechanisms to ensure the security of applications published by third-parties. +- 3) CPN is required to provide security mechanisms to authorize and authenticate computing power providers. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2612-200901-I_PDF-E/84a1d09fb489061482111515543b60dc_img.jpg b/marked/Y/T-REC-Y.2612-200901-I_PDF-E/84a1d09fb489061482111515543b60dc_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..26a72dd44de480a4995dac72cdb17a7bbd1d45ed --- /dev/null +++ b/marked/Y/T-REC-Y.2612-200901-I_PDF-E/84a1d09fb489061482111515543b60dc_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:14fff9d308bd61efd553fd456cad4cb192081a94d33224e5b41fc8dfb39987f0 +size 6923 diff --git a/marked/Y/T-REC-Y.2613-201003-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2613-201003-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..abce4f3d681ed14c7abb97f62ca3a0d51e0808fd --- /dev/null +++ b/marked/Y/T-REC-Y.2613-201003-I_PDF-E/raw.md @@ -0,0 +1,1109 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.2613 + +(03/2010) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Future networks + +# --- **General technical architecture for public packet telecommunication data network** + +Recommendation ITU-T Y.2613 + +![ITU logo](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, with "International Telecommunication Union" in smaller blue text below it. + +ITU logo + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Future networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **Recommendation ITU-T Y.2613** + +# **General technical architecture for public packet telecommunication data network** + +## **Summary** + +Recommendation ITU-T Y.2613 specifies the technical architecture of a public packet telecommunication data network (PTDN) which can meet all the requirements described in Recommendation ITU-T Y.2601, including the format of the data link frame and network packet, as well as the OAM and interworking methods with other packet bearer networks. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2613 | 2010-03-16 | 13 | + +## **Keywords** + +FPBN, interworking, link layer, network layer, OAM, PTDN, routing. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2010 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|-----------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions and terms..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations..... | 2 | +| 5 Reference model ..... | 3 | +| 5.1 Connection-oriented mode ..... | 4 | +| 5.2 Connectionless mode..... | 5 | +| 6 Link layer..... | 5 | +| 6.1 Data framing..... | 5 | +| 6.2 Point-to-point multiplex ..... | 6 | +| 6.3 Frame format and field definitions ..... | 6 | +| 6.4 Control and management..... | 11 | +| 7 Network layer ..... | 12 | +| 7.1 Network address ..... | 12 | +| 7.2 Packet format and field definitions..... | 12 | +| 7.3 Control and management..... | 17 | +| 8 Access and interworking ..... | 17 | +| 8.1 Interworking ..... | 17 | +| 8.2 General functions..... | 18 | +| 8.3 Components..... | 19 | +| 9 OAM..... | 19 | +| 9.1 Connectionless mode..... | 19 | +| 9.2 Connection-oriented mode ..... | 20 | +| Bibliography..... | 22 | + + + +# Recommendation ITU-T Y.2613 + +# General technical architecture for public packet telecommunication data network + +# 1 Scope + +Public packet telecommunication data network (PTDN) is a packet data network designed for the NGN transport stratum, which should be secure, trustworthy, controllable, and manageable. It can meet all the requirements described in [ITU-T Y.2601]. This Recommendation defines the technical architecture of PTDN, including the format of the data link frame and network packet, as well as the OAM and interworking methods with other packet bearer networks. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T I.432] Recommendation ITU-T I.432 (1993), *B-ISDN user-network interface – Physical layer specification*. +- [ITU-T Q.921] Recommendation ITU-T Q.921 (1997), *ISDN user-network interface – Data link layer specification*. +- [ITU-T Y.2601] Recommendation ITU-T Y.2601 (2006), *Fundamental characteristics and requirements of future packet based networks*. +- [IEEE 802.3] IEEE 802.3 (in force), *Information technology – Telecommunications and information exchange between systems – local and metropolitan area networks – Specific requirements – Part 3: Carrier Sense Multiple Access with Collision Detection (CSMA/CD) Access method and Physical Layer Specifications*. + +# 3 Definitions and terms + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +- 3.1.1 address** [ITU-T Y.2601]: An address is the identifier for a specific termination point and is used for routing to this termination point. +- 3.1.2 control plane** [b-ITU-T Y.2011]: The set of functions that controls the operation of entities in stratum or layer under consideration, plus the functions required to support this control. +- 3.1.3 data plane** [b-ITU-T Y.2011]: The set of functions used to transfer data in the stratum or layer under consideration. +- 3.1.4 identifier** [ITU-T Y.2601]: An identifier is a series of digits, characters and symbols or any other form of data used to identify subscriber(s), user(s), network element(s), function(s), network entity(ies) providing services/applications, or other entities (e.g., physical or logical objects). + +NOTE – Identifiers can be used for registration or authorization. They can be either public to all networks, shared between a limited number of networks or private to a specific network (private identifiers are normally not disclosed to third parties). + +**3.1.5 management plane** [b-ITU-T Y.2011]: The set of functions used to manage entities in the stratum or layer under consideration, plus the functions required to support this management. + +**3.1.6 name** [b-ITU-T Y.2611]: A name is the identifier of an entity (e.g., subscriber, network element) that may be resolved/translated into an address. + +**3.1.7 user plane** [ITU-T Y.2601]: A classification for objects whose principal function is to provide transfer of end-user information: user information may be user-to-user content, or private user-to-user data. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following term: + +**3.2.1 public packet telecommunication data network (PTDN)**: A packet data network designed for the NGN transport stratum, which should be secure, trustworthy, controllable, and manageable, can meet all the requirements described in [ITU-T Y.2601]. PTDN is a hierarchical network, which can be subdivided into several network layers. + +# **4 Abbreviations** + +This Recommendation uses the following abbreviations: + +| | | +|-------|----------------------------------------------| +| BECN | Backward Explicit Congestion Notification | +| DLCI | Data Link Connection Identifier | +| FDI | Forward Defect Indication | +| FECN | Forward Explicit Congestion Notification | +| GFP | Generic Framing Procedure | +| HDLC | High-level Data Link Control | +| IP | Internet Protocol | +| IWF | InterWorking Function | +| LCN | Logical Channel Number | +| LC-ID | Logical Channel ID | +| OAM | Operation, Administration and Maintenance | +| PDN | Public packet Data Network | +| PTDN | Public packet Telecommunication Data Network | +| QoS | Quality of Service | +| TE | Terminal Equipment | +| URL | Uniform Resource Locator | +| VC | Virtual Circuit/Virtual Connection | + +# 5 Reference model + +The reference model of PTDN is shown in Figure 5-1. + +![Figure 5-1: Reference model of PTDN. The diagram illustrates a hierarchical network structure. At the top is the 'Core network' containing two SR (Service Router) nodes connected by a dashed line. Below it is the 'Aggregation network' with two SR nodes connected by a dashed line. At the bottom is the 'Access network' with two SR nodes connected by a dashed line. A central 'ADT' (Adaptation and Distribution Terminal) node is connected to the Access network SR nodes. 'ME' (Management Element) is connected to the Core network SR nodes via interface 'M'. 'ED' (Edge Device) is connected to the Access network SR nodes via interface 'R'. 'ED' is also connected to 'Other networks' and 'End system' via interface 'E'. The entire structure is labeled 'PTDN'. The diagram also shows 'Other networks' and 'End system' connected to the 'ED' nodes via interface 'E'.](562f471e8153729557e6a4ee6343c32c_img.jpg) + +Y.2613(2010)\_F5-1 + +Figure 5-1: Reference model of PTDN. The diagram illustrates a hierarchical network structure. At the top is the 'Core network' containing two SR (Service Router) nodes connected by a dashed line. Below it is the 'Aggregation network' with two SR nodes connected by a dashed line. At the bottom is the 'Access network' with two SR nodes connected by a dashed line. A central 'ADT' (Adaptation and Distribution Terminal) node is connected to the Access network SR nodes. 'ME' (Management Element) is connected to the Core network SR nodes via interface 'M'. 'ED' (Edge Device) is connected to the Access network SR nodes via interface 'R'. 'ED' is also connected to 'Other networks' and 'End system' via interface 'E'. The entire structure is labeled 'PTDN'. The diagram also shows 'Other networks' and 'End system' connected to the 'ED' nodes via interface 'E'. + +**Figure 5-1 – Reference model of PTDN** + +PTDN is a hierarchical network, which consists of access network, aggregation network, and core network. Moreover, access network, aggregation network and core network are hierarchical networks too, which can be subdivided into several network layers. + +SRs (PTDN nodes) connect each other by Interface R. + +MEs (management elements) connect to the SRs by Interface M. + +EDs (edge devices) are located on the boundary of PTDN. Through Interface E, an ED can serve as an adapter between the end systems or other networks (e.g., IP network, ATM network) and PTDN network. Thus above the EDs, there are the trustable network domains. EDs can also support the mobility of end systems or other networks. + +ADTs (address translators) are responsible for the mapping or translation of IP addresses (or other network addresses) to PTDN addresses. ADTs cooperate with EDs to achieve the activities of address mapping/translation by Interface T. + +PTDN supports connection-oriented mode and connectionless mode. + +## 5.1 Connection-oriented mode + +### 5.1.1 Control flow in connection-oriented mode + +In connection-oriented mode, the control flow can set up or tear down the virtual circuit for the data plane, as shown in Figure 5-2. + +![Diagram of control flow transportation in connection-oriented mode. It shows four nodes, each with three layers: Network layer, Link layer, and Physical layer. Control flow is indicated by double-headed arrows between corresponding layers of adjacent nodes: Network layer to Network layer, Link layer to Link layer, and Physical layer to Physical layer.](b8661c6c54f72ecc7ff6cb05e47b2891_img.jpg) + +``` +graph LR + subgraph Node1 + N1[Network layer] + L1[Link layer] + P1[Physical layer] + end + subgraph Node2 + N2[Network layer] + L2[Link layer] + P2[Physical layer] + end + subgraph Node3 + N3[Network layer] + L3[Link layer] + P3[Physical layer] + end + subgraph Node4 + N4[Network layer] + L4[Link layer] + P4[Physical layer] + end + N1 <--> N2 + N2 <--> N3 + N3 <--> N4 + L1 <--> L2 + L2 <--> L3 + L3 <--> L4 + P1 <--> P2 + P2 <--> P3 + P3 <--> P4 +``` + +Diagram of control flow transportation in connection-oriented mode. It shows four nodes, each with three layers: Network layer, Link layer, and Physical layer. Control flow is indicated by double-headed arrows between corresponding layers of adjacent nodes: Network layer to Network layer, Link layer to Link layer, and Physical layer to Physical layer. + +Where: $\longleftrightarrow$ control flow + +**Figure 5-2 – Control flow transportation in connection-oriented mode** + +### 5.1.2 Data flow in connection-oriented mode + +In connection-oriented mode, the data flows are forwarded in a logic channel in the link layer, as shown in Figure 5-3. + +![Diagram of data flow transportation in connection-oriented mode. It shows four nodes, each with three layers: Network layer, Link layer, and Physical layer. Data flow is indicated by a long double-headed arrow between the Network layers of the first and last nodes, and by double-headed arrows between corresponding layers of adjacent nodes: Link layer to Link layer and Physical layer to Physical layer.](b0211cee4b20034939d883ac0d70f696_img.jpg) + +``` +graph LR + subgraph Node1 + N1[Network layer] + L1[Link layer] + P1[Physical layer] + end + subgraph Node2 + L2[Link layer] + P2[Physical layer] + end + subgraph Node3 + L3[Link layer] + P3[Physical layer] + end + subgraph Node4 + N4[Network layer] + L4[Link layer] + P4[Physical layer] + end + N1 <--> N4 + L1 <--> L2 + L2 <--> L3 + L3 <--> L4 + P1 <--> P2 + P2 <--> P3 + P3 <--> P4 +``` + +Diagram of data flow transportation in connection-oriented mode. It shows four nodes, each with three layers: Network layer, Link layer, and Physical layer. Data flow is indicated by a long double-headed arrow between the Network layers of the first and last nodes, and by double-headed arrows between corresponding layers of adjacent nodes: Link layer to Link layer and Physical layer to Physical layer. + +Where: $\longleftrightarrow$ data flow + +**Figure 5-3 – Data flow transportation in connection-oriented mode** + +## 5.2 Connectionless mode + +### 5.2.1 Control flows in connectionless mode + +In connectionless mode, the control flows are forwarded per-hop in the control plane of the network layer according to the source address and destination address, as shown in Figure 5-4. + +![Diagram illustrating control flow transportation in connectionless mode. It shows four nodes, each with three layers: Network layer, Link layer, and Physical layer. Control flow is indicated by double-headed arrows between the Network layers of adjacent nodes, and single-headed arrows between the Link and Physical layers of each node.](5a4e62bead259c258d069fd3663ea670_img.jpg) + +The diagram shows four vertical rectangles representing nodes. Each node is divided into three horizontal sections: 'Network layer' at the top, 'Link layer' in the middle, and 'Physical layer' at the bottom. Between the 'Network layer' sections of adjacent nodes, there are double-headed horizontal arrows. Within each node, there are single-headed horizontal arrows pointing from the 'Link layer' to the 'Physical layer' and from the 'Physical layer' back to the 'Link layer'. + +Diagram illustrating control flow transportation in connectionless mode. It shows four nodes, each with three layers: Network layer, Link layer, and Physical layer. Control flow is indicated by double-headed arrows between the Network layers of adjacent nodes, and single-headed arrows between the Link and Physical layers of each node. + +Where: $\longleftrightarrow$ control flow + +**Figure 5-4 – Control flow transportation in connectionless mode** + +### 5.2.2 Data flow in connectionless mode + +In connectionless mode, data flows are forwarded per-hop in the data plane of the network layer according to the source address and destination address, as shown in Figure 5-5. + +![Diagram illustrating data flow transportation in connectionless mode. It shows four nodes, each with three layers: Network layer, Link layer, and Physical layer. Data flow is indicated by double-headed arrows between the Network layers of adjacent nodes, and single-headed arrows between the Link and Physical layers of each node.](c78c2eefd86269d1740ab85a916f24f2_img.jpg) + +The diagram is identical in structure to Figure 5-4, showing four nodes with 'Network layer', 'Link layer', and 'Physical layer' sections. However, the legend below indicates that the double-headed arrows between 'Network layer' sections represent 'data flow'. + +Diagram illustrating data flow transportation in connectionless mode. It shows four nodes, each with three layers: Network layer, Link layer, and Physical layer. Data flow is indicated by double-headed arrows between the Network layers of adjacent nodes, and single-headed arrows between the Link and Physical layers of each node. + +Where: $\longleftrightarrow$ data flow + +**Figure 5-5 – Data flow transportation in connectionless mode** + +# 6 Link layer + +The link layer is used to provide point-to-point multiplexing and/or packet encapsulation. In connection-oriented mode, data packets are encapsulated and multiplexed based on LC-ID. In connectionless mode, link layer only implements data packets encapsulation. + +## 6.1 Data framing + +The packets are encapsulated into a frame before forwarding. There are three methods of encapsulation: + +- 1) The flag sequence delimiter encapsulation: HDLC adopts this technology, the flag is 01111110. The data packet and upper control signalling will be carried between two flags. +- 2) Header error control, length delimiter encapsulation: GFP and ATM adopt this technology. Usage of this technology is described in clause 4.3 of [ITU-T I.432]. +- 3) Preamble and start frame delimiter encapsulation: The packets of Ethernet network will be encapsulated by this technology. Usage of this technology is described in [IEEE 802.3]. + +Any kind of the encapsulation methods can be adopted in PTDN. + +## 6.2 Point-to-point multiplex + +The link layer uses the logical channel for each pair to support point-to-point multiplexing. The logical channel should be identified by the logical channel number, i.e., logical channel ID (LC-ID). LC-ID is locally valid and used in the connection-oriented mode. + +## 6.3 Frame format and field definitions + +To help understand the structure of the link layer frame format, the flag sequence delimiter encapsulation is used as an example here. According to this method of encapsulation, the link layer frame of PTDN contains four parts: flag sequence, frame header, information section, and cyclic redundancy check (CRC). The link layer frame format is shown in Figure 6-1. + +![Diagram of the Link layer frame format. The top part shows a sequence of five fields: Flag sequence, Frame header, Information section, CRC, and Flag sequence. Below this, a detailed view of the Frame header shows it contains a Control field (8 bits) and an Information field.](7f17c430b9598e4d748a8041457810b3_img.jpg) + +The diagram illustrates the structure of a link layer frame. At the top, a horizontal bar is divided into five segments labeled 'Flag sequence', 'Frame header', 'Information section', 'CRC', and 'Flag sequence'. Below the 'Frame header' segment, a larger box provides a detailed view of its internal structure, showing a 'Control field (8 bits)' on the left and an 'Information field' on the right. Lines connect the 'Flag sequence' and 'Frame header' segments of the top bar to the corresponding parts of the detailed frame structure below. + +Diagram of the Link layer frame format. The top part shows a sequence of five fields: Flag sequence, Frame header, Information section, CRC, and Flag sequence. Below this, a detailed view of the Frame header shows it contains a Control field (8 bits) and an Information field. + +Figure 6-1 – Link layer frame format + +### 6.3.1 Flag sequence + +All frames start and end with the flag sequence consisting of one 0 bit followed by six contiguous 1 bits and one 0 bit. The flag preceding the frame header is defined as the opening flag. The flag following the cyclic redundancy check (CRC) field is defined as the closing flag. The closing flag may also serve as the opening flag of the next frame, in some applications. However, all receivers must be able to accommodate receipt of one or more consecutive flags. + +### 6.3.2 Frame header + +The frame header contains the control field. The control field identifies the type of frame which will be either a command or response. Three types of control field formats will be specified: information transfer format (I format), supervisory functions format (S format), and control functions format (C format). The control field formats are as shown in Figure 6-2: + +| Frame type | Command | Response | 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | +|---------------------------------|---------|----------|---|---|---|-----|---|---|---|---| +| Information transfer (I format) | I | | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | +| | UI | | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 1 | +| Supervisory (S format) | RR | RR | 0 | 0 | 0 | P/F | 0 | 0 | 0 | 1 | +| Link control (C format) | SABME | | 0 | 1 | 1 | P | 1 | 1 | 1 | 1 | +| | | DM | 0 | 0 | 0 | F | 1 | 1 | 1 | 1 | +| | DISC | | 0 | 1 | 0 | P | 0 | 0 | 1 | 1 | +| | | UA | 0 | 1 | 1 | F | 0 | 0 | 1 | 1 | +| | | FRMR | 1 | 0 | 0 | F | 0 | 1 | 1 | 1 | + +Figure 6-2 – Control field format + +**Poll/Final (P/F) bit:** The P/F bit serves a function in both command frames and response frames. In command frames, the P/F bit is referred to as the P bit. In response frames, it is referred to as the F bit. The P bit set to 1 is used by a data link layer entity to solicit (poll) a response frame from the peer data link layer entity. The F bit set to 1 is used by a data link layer entity to indicate the response frame transmitted as a result of a soliciting (poll) command. + +For the procedure for the use of the P/F bit, refer to clause 5 of [ITU-T Q.921]. + +#### **6.3.2.1 I format** + +The information transfer (I) format is used to perform the connection-oriented or connectionless information transfer between layer 3 entities. The connection-oriented information is carried by connection-oriented information transfer frame, and the connectionless information is carried by the connectionless information transfer frame. The connection-oriented and connectionless information transfer frame are identified by control field, e.g., if the information from other networks (e.g., IP network) is confirmed to be transferred by connection-oriented mode based on the access control table, the value of control field is set to '00000000'; if the information from other networks (e.g., IP network) is confirmed to be transferred by connectionless mode based on the access control table, the value of control field is set to '00000011'. + +#### **6.3.2.2 S format** + +The supervisory (S) format is used to perform data link supervisory control functions such as: indicating whether the link is ready or not. A timer is used to determine whether to send an S frame, the S frame is sent if the timer expires. If the value of this timer is set to 0, then the S frame does not have to be sent. The timer represents the maximum time allowed without frames being exchanged. The default value of the timer is 10 seconds. + +#### **6.3.2.3 C format** + +The control (C) format is used to provide additional data link control functions. The related commands and responses contain the SABME, DM, DISC, UA and FRMR. The detailed information is described in clause 6.4.3. + +#### **6.3.3 Information section** + +Information section of a frame, when present, follows the control field (see clause 6.3.2) and precedes cyclic redundancy check (see clause 6.3.4 below). The contents of the information section consist of an integer number of octets. Depending upon the transmission mode, the information section structure is also different. The structure of the connection-oriented information field is specified in clause 6.3.3.1, and the structure of the connectionless information field is specified in clause 6.3.3.2. + +#### **6.3.3.1 Connection-oriented information section** + +There are two types of frames in connection-oriented information section: data frame and control frame. Both types of frames are encapsulated as I format frame, and the value of the control field should be set to 00000000B. + +The connection-oriented frame structure is specified in Figure 6-3. The value of control field should be set 00000000B, and the connection-oriented information section contains the address field and the information subfield. + +![Diagram of the connection-oriented frame structure showing the hierarchy of fields from the frame level down to the address field level.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +The diagram illustrates the structure of a connection-oriented frame. It is organized into three hierarchical levels: + +- Top Level (Frame Structure):** A horizontal bar divided into five segments: '01111110', 'Frame head', 'Information section', 'CRC', and '01111110'. +- Second Level (Detailed Frame Fields):** A horizontal bar below the top level, connected by lines. It is divided into three segments: 'Control field 00000000' (connected to the first '01111110'), 'Address field (24 bits)' (connected to 'Frame head'), and 'Information subfield' (connected to 'Information section'). +- Third Level (Address Field Sub-fields):** A horizontal bar below the second level, connected by lines. It is divided into five segments: 'LC-ID (20 bits)', 'Reserved (1 bit)', 'OAM (1 bit)', 'FECN (1 bit)', and 'BECN (1 bit)'. These are all connected to the 'Address field (24 bits)' of the level above. + +Diagram of the connection-oriented frame structure showing the hierarchy of fields from the frame level down to the address field level. + +Y.2613(2010)\_F6-3 + +**Figure 6-3 – The connection-oriented frame structure** + +##### 6.3.3.1.1 Address field + +The address field contains the logical channel ID (LC-ID), Reserved, OAM indication, forward and backward explicit congestion notifications (FECN and BECN). The length of the address field is 24 bits. + +###### 6.3.3.1.1.1 Logical channel ID (LC-ID) field + +LC-ID identifies a logic channel in virtual circuit. LC-ID specifies a data link layer entity to/from which information is delivered/received and which is to be carried in frames by data link layer entities. The value of LC-ID is locally valid. The value of LC-ID is distributed by upper layer control signalling (e.g., [b-ITU-T Q.931]). The length of LC-ID field is 20 bits. + +###### 6.3.3.1.1.2 Reserved field + +The reserved field is set to 0. + +###### 6.3.3.1.1.3 OAM field + +The OAM field is used to indicate the OAM frame, this field is set to 1 to indicate the frame is an OAM frame; this field is set to 0 to indicate the frame is a user frame. The length of the OAM field is 1 bit. + +###### 6.3.3.1.1.4 Forward explicit congestion notification field (FECN) + +This field is set by a congested network to notify the user that congestion avoidance procedures should be initiated, where applicable, for traffic in the direction of the frame carrying the FECN indication. This field is set to 1 to indicate to the receiving end-system that the frames it receives have encountered congested resources. This field may be used by destination controlled transmitter rate adjustment. The length of FECN field is 1 bit. + +###### 6.3.3.1.1.5 Backward explicit congestion notification field (BECN) + +This field is set by a congested network to notify the user that congestion avoidance procedures should be initiated, where applicable, for traffic in the opposite direction of the frame carrying the BECN indicator. This field is set to 1 to indicate to the receiving end-system that the frames it transmits may encounter congested resources. This field may be used by source controlled transmitter rate adjustment. The length of BECN field is 1 bit. + +##### 6.3.3.1.2 Data frame structure + +If the value of LC-ID field is not equal to 0, the connection-oriented information frame is the data frame. The connection-oriented data frame structure is specified in Figure 6-4. + +![](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octet | | +|--------------------------------------|---|---|---|---------|---------|----------|----------|-------|-----------------| +| Flag(8) | | | | | | | | 1 | | +| Control field(8) | | | | | | | | 2 | | +| Upper LC-ID(8) | | | | | | | | 3 | } Address Field | +| Middle LC-ID(8) | | | | | | | | 4 | | +| Lower LC-ID(4) | | | | Rsvd(1) | OAM (1) | FECN (1) | BECN (1) | 5 | | +| Information subfield | | | | | | | | 6 | | +| | | | | | | | | N-3 | | +| Frame check sequence (FCS) 1st octet | | | | | | | | N-2 | | +| Frame check sequence (FCS) 2nd octet | | | | | | | | N-1 | | +| Flag(8) | | | | | | | | N | | + +**Figure 6-4 – Connection-oriented data frame structure** + +##### 6.3.3.1.3 Control frame structure + +If the LC-ID field is equal to 0, the connection-oriented information frame is the control frame. + +The OAM, FECN and BECN fields are meaningless in the control frame. They should be set to 0 for transmission, ignored on reception. The connection-oriented control frame structure is specified in Figure 6-5. + +![](9b6b5924b48bf2fd5f347f88f06f45b3_img.jpg) + +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octet | | +|--------------------------------------|---|---|---|---------|---|---|---|-------|-----------------| +| Flag(8) | | | | | | | | 1 | | +| 00000000B (Control field) | | | | | | | | 2 | | +| 00000000B (Upper LC-ID) | | | | | | | | 3 | } Address Field | +| 00000000B (Middle LC-ID) | | | | | | | | 4 | | +| 0000B (Lower LC-ID) | | | | Rsvd(1) | 0 | 0 | 0 | 5 | | +| Information subfield | | | | | | | | 6 | | +| | | | | | | | | N-3 | | +| Frame check sequence (FCS) 1st octet | | | | | | | | N-2 | | +| Frame check sequence (FCS) 2nd octet | | | | | | | | N-1 | | +| Flag(8) | | | | | | | | N | | + +**Figure 6-5 – Connection-oriented control frame structure** + +##### 6.3.3.1.4 Information subfield + +The information subfield consists of integer numbers of octets. + +#### 6.3.3.2 Connectionless information field + +The frames working in connectionless mode are encapsulated as UI frames whose control field value is equal to "00000011B". As an example using HDLC, the frame format in connectionless mode can be described as in Figure 6-6, where the flag field value should be equal to "01111110B": + +![Diagram of Figure 6-6 showing frame format in connectionless mode. It includes a top-level sequence of fields, an expanded view of the frame head and information field, and a detailed octet-by-octet table.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +| | | | | | +|----------|------------|-------------------|-----|----------| +| 01111110 | Frame head | Information field | CRC | 01111110 | +|----------|------------|-------------------|-----|----------| + + + +| | | +|-----------------------------|---------------------------------------------------| +| Control field
(C) 8 bits | Control and data packet in
connectionless mode | +|-----------------------------|---------------------------------------------------| + + + +| | | | | | | | | | +|--------------------------------------|---|---|---|---|---|---|---|-------| +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octet | +| Flag(8) | | | | | | | | 1 | +| Control(8) | | | | | | | | 2 | +| Reserved(8) | | | | | | | | 3 | +| Information subfield | | | | | | | | 4 | +| | | | | | | | | | +| | | | | | | | | N-3 | +| Frame check sequence (FCS) 1st octet | | | | | | | | N-2 | +| Frame check sequence (FCS) 2nd octet | | | | | | | | N-1 | +| Flag(8) | | | | | | | | N | + +Diagram of Figure 6-6 showing frame format in connectionless mode. It includes a top-level sequence of fields, an expanded view of the frame head and information field, and a detailed octet-by-octet table. + +**Figure 6-6 – Frame format in connectionless mode** + +Connectionless information field contains reserved field and information subfield. + +##### 6.3.3.2.1 Reserved field + +The reserved field will be defined and used in the future. Now its value should be set to 0. + +##### 6.3.3.2.2 Information subfield + +The information subfield consists of integer numbers of octets. The content of information subfield is network packet, including packet header and payload. + +### 6.3.4 Cyclic redundancy check (CRC) field + +The CRC field will be a 16-bit sequence. It will be the ones complement of the sum (modulo 2) of: + +- a) the remainder of $x^k$ ( $x^{15} + x^{14} + x^{13} + x^{12} + x^{11} + x^{10} + x^9 + x^8 + x^7 + x^6 + x^5 + x^4 + x^3 + x^2 + x + 1$ ) divided (modulo 2) by the generator polynomial $x^{16} + x^{12} + x^5 + 1$ , where $k$ is the number of bits in the frame existing between, but not including, the final bit of the opening flag and the first bit of the CRC, excluding bits inserted for transparency; and +- b) the remainder of the division (modulo 2) by the generator polynomial $x^{16} + x^{12} + x^5 + 1$ , of the product of $x^{16}$ by the content of the frame existing between, but not including, the final bit of the opening flag and the first bit of the CRC, excluding bits inserted for transparency. + +As a typical implementation at the transmitter, the initial content of the register of the device computing the remainder of the division is preset to all 1s and is then modified by division by the generator polynomial (as described above) on the address, control and information fields; the ones complement of the resulting remainder is transmitted as the 16-bit CRC. + +As a typical implementation at the receiver, the initial content of the register of the device computing the remainder is preset to all 1s. The final remainder, after multiplication by $x^{16}$ and then division (modulo 2) by the generator polynomial $x^{16} + x^{12} + x^5 + 1$ of the serial incoming protected bits and the CRC, will be 0001110100001111 ( $x^{15}$ through $x^0$ , respectively) in the absence of transmission errors. + +## **6.4 Control and management** + +According to Figure 6-2, the control field identifies the type of frame which is either a command or a response. Control and management command/response includes information transfer command, link supervisory command/response, and link control command/response. The details are as shown below. + +### **6.4.1 Information transfer command** + +The information transfer command is to transport data packet. In connection-oriented mode, the function of the transfer command is to encapsulate and multiplex data packets. In connectionless mode, the function of transfer command is to encapsulate data packets. + +### **6.4.2 Link supervisory command and response** + +The link supervisory command and response is used to perform data link supervisory control functions. + +### **6.4.3 Link control command and response** + +#### **6.4.3.1 Set asynchronous balanced mode extended (SABME) command** + +The SABME unnumbered command is used to start multiple frame acknowledged operation. + +A data link layer entity confirms acceptance of an SABME command by the transmission at the first opportunity of a UA response. The transmission of an SABME command indicates the clearance of all exception conditions. + +#### **6.4.3.2 Disconnect (DISC) command** + +The DISC unnumbered command is used to terminate the multiple frame operation. + +No information field is permitted with the DISC command. The data link layer entity receiving the DISC command confirms the acceptance of a DISC command by the transmission of a UA response. The data link layer entity sending the DISC command terminates the multiple frame operation when it receives the acknowledging UA or DM response. + +#### **6.4.3.3 Disconnected mode (DM) response** + +The DM unnumbered response is used by a data link layer entity to report to its peer that the data link layer is in a state such that multiple frame operation cannot be performed. No information field is permitted with the DM response. + +#### **6.4.3.4 Unnumbered acknowledgement (UA) response** + +The UA unnumbered response is used by a data link layer entity to acknowledge the receipt and acceptance commands (SABME or DISC). Received commands are not processed until the UA response is transmitted. No information field is permitted with the UA response. + +#### **6.4.3.5 Frame reject (FRMR) response** + +The FRMR unnumbered response may be received by a data link layer entity as a report of an error condition not recoverable by retransmission of the identical frame. + +- The receipt of a command or response that is undefined; +- The receipt of a frame with an information field which exceeds the maximum established length. + +# 7 Network layer + +The network layer is used to provide end-to-end communications. It is necessary to provide routing mechanisms to set up the end-to-end forwarding path. There are two types of modes supported in PTDN, the connectionless mode and the connection-oriented mode. + +In connectionless mode, a network node forwards packets according to the destination address based on the routing table. + +In the connection-oriented mode, a network node forwards data packets according to the virtual circuit. Control packet is forwarded according to the destination address. + +## 7.1 Network address + +In PTDN, network address is a kind of global public address, which can be used to implement the end-to-end data packets delivery. + +In the connection-oriented mode, network address can only be used in the control plane to establish a virtual circuit between the source and the destination, or to disconnect the existing virtual circuit. + +In connectionless mode, network address can be used in the control, management and data planes. In the control plane, network address is used to deliver control commands and responses. In the management plane, network address is used to deliver management commands and responses. Then in the data plane, data packets can be forwarded based on network address and the established routing table. + +In PTDN, network address structure is hierarchical, which at least includes Country ID, Region ID, Network Provider ID, and some extensive IDs. The length of PTDN address is variable. + +## 7.2 Packet format and field definitions + +### 7.2.1 Connectionless mode + +#### 7.2.1.1 Common fields + +The common fields should be included by all the PTDN packets, which contain version field, packet type field, address length field, source address field, and destination address field. The packet format is described in Figure 7-1. + +![Diagram of packet format in connectionless mode showing fields: Version, Packet type, Address length, Source address, and Destination address with bit positions and octet counts.](7b8b192e2853ef28d28eff0241ebe86b_img.jpg) + +The diagram illustrates the packet format for connectionless mode. It shows a sequence of fields with their corresponding bit positions and octet counts. The bit positions are labeled 8, 7, 6, 5, 4, 3, 2, and 1 from left to right. The fields are: Version (1 octet), Packet type (1 octet), Address length (1 octet), Source address (N\*1+1 octets), and Destination address (N\*1+1+1 octets). The total length of the packet is N\*1+1+1+1+1 octets. + +| Field | Bit Position | Octet Count | +|---------------------|--------------|-------------| +| Version | 8 | 1 | +| Packet type | 7 | 1 | +| Address length | 6 | 1 | +| Source address | 5 | N*1+1 | +| Destination address | 4 | N*1+1+1 | + +Diagram of packet format in connectionless mode showing fields: Version, Packet type, Address length, Source address, and Destination address with bit positions and octet counts. + +Figure 7-1 – Packet format in the connectionless mode + +NOTE 1 – The position of source address field and destination address field in the data packet, control packet and management packet are different. + +NOTE 2 – The length of source address field and destination address field is defined by the address length field. + +##### 7.2.1.1.1 Version field + +The version field is used to identify the version of the PTDN packet. Now the Version field is set to 1. The length of the field is 4 bits. + +##### 7.2.1.1.2 Packet type field + +The packet type field is used to distinguish the control packet, management packet and data packet. The length of the field is 2 bits. The value of the packet type field is as follows: + +- 00 reserved +- 01 control packet +- 10 management packet +- 11 data packet + +##### 7.2.1.1.3 Address length field + +The address length field is used to indicate the length of PTDN address. The address length field is 2 bits; the value of the address length is as follows: + +- 00 reserved +- 01 the length of address is 64 bits +- 10 the length of address is 96 bits +- 11 the length of address is 128 bits + +##### 7.2.1.1.4 Source address field + +The source address field is the source address of the PTDN network. The length of the source address is indicated by the address length field. + +##### 7.2.1.1.5 Destination address field + +The destination address field is the destination address of the PTDN network. The length of the destination address is indicated by the address length field. + +When the packet is the multicast data packet, the destination address field is a multicast address. + +#### 7.2.1.2 Data packet + +The data packet structure is described in Figure 7-2. + +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octet | | | | | | | | | | | | +|---------------------------------|--------------------------|-------------------------|---|---------------------|---|-------------------|---|-------|--|--|--|--|--|--|--|--|--|--|--| +| Version(4) | | | | Packet type(2) | | Address length(2) | | 1 | | | | | | | | | | | | +| VPN identifier (1) | Multicast identifier (1) | Class service stream(2) | | Reserved(4) | | | | 2 | | | | | | | | | | | | +| Upper Payload length(8) | | | | | | | | 3 | | | | | | | | | | | | +| Lower Payload length(8) | | | | | | | | 4 | | | | | | | | | | | | +| TTL(6) | | | | | | Protection(2) | | 5 | | | | | | | | | | | | +| Extension header identifier (1) | Reserved(3) | | | Upper VPN number(4) | | | | 6 | | | | | | | | | | | | +| Middle VPN number(8) | | | | | | | | 7 | | | | | | | | | | | | +| Lower VPN number(8) | | | | | | | | 8 | | | | | | | | | | | | +| Source address | | | | | | | | | | | | | | | | | | | | +| Destination address | | | | | | | | | | | | | | | | | | | | +| Payload | | | | | | | | | | | | | | | | | | | | + +**Figure 7-2 – Data packet structure** + +##### 7.2.1.2.1 VPN identifier field + +The VPN identifier field indicates the VPN packet. The VPN identifier field length is 1 bit. If the field is set to 1, the data packet is a VPN data packet. If it is set to 0, the data packet is not a VPN data packet. + +##### 7.2.1.2.2 Multicast identifier field + +The multicast identifier field indicates multicast packet. The length of multicast identifier field is 1 bit. If it is set to 1, the user packet is a multicast packet. If it is set to 0, the user packet is not a multicast packet. + +##### 7.2.1.2.3 Class service stream field + +The class service stream field is used to distinguish the different class service streams. The length of the field is 2 bits. There are four classes of service stream. + +- 00 highest class service (full resource guaranteed) +- 01 second high level class service (partial resource guaranteed) +- 10 third high level class service (partial resource guaranteed) +- 11 "best effort" service (no resource guaranteed) + +##### 7.2.1.2.4 Payload length field + +The payload length field is used to indicate payload length in octets. The length of the field is 16 bits. + +##### 7.2.1.2.5 TTL field + +The TTL field indicates the maximum time the user packet is allowed to remain in PTDN. If the value of the field is zero, the user packet must be discarded. The field is decremented by each network node when the packet passes through. The length of the TTL field is 6 bits. + +##### 7.2.1.2.6 Protection field + +The protection field is used to indicate classes of routes. The length of the protection field is 2 bits. There are four route classes: + +- 00 the main route +- 11 the first standby route +- 01 the second standby route +- 10 the dynamic route + +##### 7.2.1.2.7 Extension header identifier field + +The extension header identifier field indicates whether there is an extension packet header. If the value of the field is set to 0, there is no extension header. If the value of the field is set to 1, it indicates there is an extension header. The length of the extension header identifier field is 1 bit. + +###### 7.2.1.2.7.1 Extension packet format + +The extension packet format is described in Figure 7-3. + +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octet | | | | | | | | +|----------------|---------|---|---|---|---|---|---|-------|--|--|--|--|--|--|--| +| Next
Ext(1) | Type(7) | | | | | | | 1 | | | | | | | | +| Length(8) | | | | | | | | 2 | | | | | | | | +| Value | | | | | | | | 3 | | | | | | | | + +Figure 7-3 – Extension packet structure + +Next extension identifier (1 bit): + +=0 last extension packet; + +=1 more extension packet. + +Type(7 bits): The extension packet type. + +Length(8 bits): The length of the extension packet. + +Value: The maximum length is 256 bytes. + +###### 7.2.1.2.7.2 Fragment extension packet + +The fragment extension packet format is described in Figure 7-4. + +![](75e4b78ee25f885d73120e3066a5253e_img.jpg) + +| | | | | | | | | | +|--------------------|---------|-------|--------------------|---|---|---|---|-------| +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octet | +| Ext(1) | Type(7) | | | | | | | 1 | +| Length(8) | | | | | | | | 2 | +| Resv(2) | | MF(1) | Fragment offset(5) | | | | | 3 | +| Fragment offset(8) | | | | | | | | 4 | + +**Figure 7-4 – Fragment extension packet format** + +When the value of the type is equal to "0000100", it indicates that the extension packet is the fragment extension packet. + +Fragment offset (13 bits): A byte count from the start of the packet, the data packet is split only by the edge device. The middle transport device does not process the fragment packet. + +###### 7.2.1.2.7.3 OAM extension packet + +The OAM extension packet format is described in Figure 7-5. + +![](2876be3592c7b4878400b85f209b2b6a_img.jpg) + +| | | | | | | | | | +|--------------|---------|---|---|---|---|---|---|-------| +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octet | +| Ext(1) | Type(7) | | | | | | | 1 | +| Length(8) | | | | | | | | 2 | +| OAM messages | | | | | | | | .... | + +**Figure 7-5 – OAM extension packet format** + +When the value of the type is equal to "0000101", it indicates that the extension packet is the OAM extension packet. + +Length(8 bits): The length of OAM extension packet. + +OAM message: There are several types of OAM messages: Event indications, Loopback indication, and Performance indication. See clause 9. + +##### 7.2.1.2.8 Reserved field + +The field is reserved for future use, now its value is set to 0. + +##### 7.2.1.2.9 VPN number field + +VPN number field is used to identify a VPN. The VPN number is unique in PTDN. The length of the VPN number field is 20 bits. + +#### 7.2.1.3 Control packet + +The control packet structure is described in Figure 7-6: + +| | | | | | | | | | | | | +|------------------------------------------|---|---|---|-------------------------|---|----------------------------|---|--|--|--|--| +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | | | | | +| Version
(4 bits) | | | | Packet type
(2 bits) | | Address length
(2 bits) | | | | | | +| Message type (8 bits) | | | | | | | | | | | | +| Message length (16 bits) | | | | | | | | | | | | +| Source address (64, 96 or 128 bits) | | | | | | | | | | | | +| Destination address (64, 96 or 128 bits) | | | | | | | | | | | | +| Message content (variable) | | | | | | | | | | | | + +**Figure 7-6 – Control packet structure** + +A control packet is identified by setting the packet type field to "01". + +##### 7.2.1.3.1 Message type field + +The message type field is used to distinguish different types of messages that accomplish different control functions. + +##### 7.2.1.3.2 Message length field + +The message length field is used to describe the length of message content. + +##### 7.2.1.3.3 Message content field + +The message content field adopts the TLV format. + +#### 7.2.1.4 Management packet + +The management packet structure is described in Figure 7-7: + +| | | | | | | | | | | | | +|------------------------------------------|---|---|---|-------------------------|---|----------------------------|---|--|--|--|--| +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | | | | | +| Version
(4 bits) | | | | Packet type
(2 bits) | | Address length
(2 bits) | | | | | | +| Message type (8 bits) | | | | | | | | | | | | +| Message length (16 bits) | | | | | | | | | | | | +| Source address (64, 96 or 128 bits) | | | | | | | | | | | | +| Destination address (64, 96 or 128 bits) | | | | | | | | | | | | +| Message content (variable) | | | | | | | | | | | | + +**Figure 7-7 – Management packet structure** + +A management packet is identified by setting the packet type field to "10". + +##### 7.2.1.4.1 Message type field + +The message type field is used to distinguish different types of messages that accomplish different management functions. + +##### 7.2.1.4.2 Message length field + +The message length field in the header of management packet is used to describe the length of message content. + +##### 7.2.1.4.3 Message content field + +The message content field adopts the TLV format. + +### **7.2.2 Connection-oriented mode** + +#### **7.2.2.1 Data packet** + +In connection-oriented mode, data packets are transferred through the virtual circuits. See clause 6.3.3.1. + +#### **7.2.2.2 Control packet** + +Control packets in control plane are carried on the specific packet with LC-ID = 0, see clause 6.3.3.1.3. + +Control packets adopt TLV format. + +#### **7.2.2.3 Management packet** + +Management packets in management plane are carried on the specific virtual circuit. + +Management packets adopt TLV format. + +## **7.3 Control and management** + +In connection-oriented mode, middle PTDN nodes have only control plane and management plane in network layer. In connectionless mode, there are three planes in the network layer: data plane, control plane and management plane. + +The control plane of the network layer provides VPN and multicast control functions, such as establishment and removal. The management plane of the network layer provides device configuration, performance management, security, and so on. + +Detailed message definition will be defined by other Recommendations. + +## **8 Access and interworking** + +## **8.1 Interworking** + +The purpose of interworking between PTDN and PDN is to allow one or both of: + +- a) Transportation of PDN traffic over a PTDN network; and +- b) Customers on either type of network to communicate with one another. + +The need to transport PDN traffic over a PTDN network arises when network operators use a core PTDN infrastructure to provide multiple services. There is also a need for PTDN and PDN terminals to be able to communicate directly. + +Two interworking types between PTDN and PDN networks are defined; service interworking and network interworking. Service interworking applies when a PTDN terminal equipment (TE) interacts with an PDN terminal equipment (TE); the PTDN TE does not perform any PDN functions and the PDN TE does not perform any PTDN functions. All interworking is performed by an interworking function (IWF). + +In the case of network interworking, the PTDN will provide the transparent transport service for the other packet data network, as described in Figure 8-1, and the packet data network on the other side should be of the same type. + +![Figure 8-1: Network interworking diagram. A central oval labeled 'PTDN' is connected by solid lines to two ovals on either side, 'PDN A' and 'PDN B'. Vertical dashed lines separate the PTDN from the PDNs. Below 'PDN A' is a rectangle labeled 'TE A', and below 'PDN B' is a rectangle labeled 'TE B'. Solid lines connect each PDN to its respective TE.](c5452f95f3b28f1bfe29e84fbc2e1267_img.jpg) + +Figure 8-1: Network interworking diagram. A central oval labeled 'PTDN' is connected by solid lines to two ovals on either side, 'PDN A' and 'PDN B'. Vertical dashed lines separate the PTDN from the PDNs. Below 'PDN A' is a rectangle labeled 'TE A', and below 'PDN B' is a rectangle labeled 'TE B'. Solid lines connect each PDN to its respective TE. + +**Figure 8-1 – Network interworking** + +In the case of service interworking, the service provided by PTDN will interwork with the service provided by the other packet data network, as described in Figure 8-2. The establishment and release of interworking connections in the involved networks is carried out by the control plane (C-plane). Once a connection through the interworking function (IWF) has been established, either by the management plane (M-plane) or by the C-plane, the user data is then subject to the interworking rules of the data plane (D-plane). + +![Figure 8-2: Service interworking diagram. A central rectangle is divided into two horizontal sections: 'C Plane' (top) and 'D Plane' (bottom). Above this rectangle is the label 'IWF'. To the left of the rectangle is an oval labeled 'PTDN', and to the right is an oval labeled 'PDN'. Below 'PTDN' is a rectangle labeled 'PTDN Terminal A', and below 'PDN' is a rectangle labeled 'PDN Terminal B'. Solid lines connect each oval to its terminal and to both the C and D planes of the IWF. Dashed lines connect the C Plane of the IWF to the PTDN and PDN ovals.](ae53f90bb87d6d09e2d6b5278d7c338f_img.jpg) + +Figure 8-2: Service interworking diagram. A central rectangle is divided into two horizontal sections: 'C Plane' (top) and 'D Plane' (bottom). Above this rectangle is the label 'IWF'. To the left of the rectangle is an oval labeled 'PTDN', and to the right is an oval labeled 'PDN'. Below 'PTDN' is a rectangle labeled 'PTDN Terminal A', and below 'PDN' is a rectangle labeled 'PDN Terminal B'. Solid lines connect each oval to its terminal and to both the C and D planes of the IWF. Dashed lines connect the C Plane of the IWF to the PTDN and PDN ovals. + +**Figure 8-2 – Service interworking** + +## 8.2 General functions + +In the data plane, the main function is to encapsulate and decapsulate the packets according to the packet formats of the PTDN network or PDN network; then it can appropriately implement the mapping between the PTDN network address and PDN network address with the marking of the characteristic information fields in the packet header. For the network interworking, a nesting PTDN packet header should be encapsulated into the original PDN network packet header as defined in Figure 8-1. For the service interworking, however, the PDN packet headers should be appropriately mapped into the PTDN packet headers as defined in Figure 8-2. It requires that the traffic contracts and QoS commitments between the PDN network and the PTDN network should be taken into consideration in the forwarding process. If the traffic from PDN network to PTDN network exceeds what is required in traffic contracts, the IWF will become congested, and data will be discarded. + +The IWF should generate and monitor the OAM message. Any failure in the PTDN network must be detected by the IWF and may be mapped to the forward defect indication (FDI) syntax of the PDN network. + +In the control plane, the main function is to correctly generate and maintain the mapping address table between PDN network and PTDN network. + +## **8.3 Components** + +The IWF should include the control and management components and forwarding components. + +### **8.3.1 Control and management components** + +Control and management components should correctly generate and maintain the address mapping table, deal with the requests from edge devices locating the boundary between the PDN network and PTDN network at the same administrator domain, and then respond with the matching address mapping item. + +There may be two ways to generate the address mapping table. One way is that IWF learns the address mapping item by the active register. The other one is that IWF learns about it from other IWFs. + +A refresh mechanism is recommended to validate the item in the address mapping table. + +An aggregation mechanism is recommended to reduce the size of the address mapping table on the control entity. + +### **8.3.2 Forwarding components** + +Forwarding components should appropriately implement the mapping between the PDN network address and PTDN network address according to the address mapping table. Forwarding components can obtain the matching address mapping item by sending the requests to the control components at the same administrator domain. + +Caching mechanism is recommended to reduce the latency of searching the matching address mapping item. + +# **9 OAM** + +The OAM functions in PTDN include event indication, loopback and performance monitoring. + +The following clauses introduce different OAM procedures respectively in both the connection-oriented mode and the connectionless mode. + +## **9.1 Connectionless mode** + +### **9.1.1 OAM functions** + +The fixed routing in PTDN ensures OAM messages are delivered through the same path in both communication directions at the network layer. It allows any connection point between the two end-points to check and locate errors in both directions, and get performance parameters. + +#### **9.1.1.1 Event indications** + +When a network node notices that there is congestion or quality drop on a link, it should send an OAM event report to the routing system. After the routing system monitors the indication message, it may take related action according to the configuration, such as to initiate a process of a link switching. An event indication message is composed of an event type and the event occurrence location, etc. + +#### **9.1.1.2 Loopback indication** + +The network layer loopback is achieved by inserting a message that includes loopback information at a point and returned (or loopback) at another point along a fixed path. The loopback message loops at a certain point according to the system commands or the information in the loop message. + +The information carried in the loopback message includes flag fields, message fields related to the sender and receiver, the loop indication fields that indicate either loopback message or not, the loop location fields, etc. + +#### **9.1.1.3 Performance indication** + +Within the network layer, the end-to-end continuity check function is provided by sending continuity check packets periodically. + +The continuity check packets are not processed but transmitted at the middle network nodes. + +The performance monitoring at the end-to-end or at some segment monitors the performance, e.g., packet transmission delay is provided by inserting monitoring packets at the related end points or the end point of this segment. + +### **9.1.2 Carrier modes** + +The OAM messages are transmitted at the data plane or the control plane in the connectionless mode. + +### **9.1.3 OAM messages** + +OAM messages adopt the TLV format. There are several types of OAM messages: event indications, loopback indication, and performance indication. A different OAM function has a different OAM message format. The detailed message formats will be defined in future Recommendations. + +## **9.2 Connection-oriented mode** + +### **9.2.1 Functions** + +OAM messages are delivered through the virtual circuit (VC) in both communication directions. They allow any connection point between the two end-points to check and locate errors in both directions, and get performance parameters. + +#### **9.2.1.1 Event indications** + +When a network node notices that a packet transmission interface has failed or is congested, the network node will confirm the source address of the packet according to the failure information table and then send a failure report to the source end or routing system monitor. After the routing system monitor gets the indication message, it may take related action according to the configuration, such as to initiate a process of a link switch. The indication message should contain event type and the event occurrence location (node address and interface number). + +#### **9.2.1.2 Loopback indication** + +The data link layer loopback is achieved by inserting a message that includes loopback information at a point and returned (or loopback) at another point along a virtual circuit. The loopback message loops at a certain point according to the system commands or the information in the loop message. + +The information carried in the loopback message includes flag fields, message fields related to the sender and receiver, the loop indication fields that indicate either loopback message or not, the loop location fields, etc. + +#### **9.2.1.3 Performance indication** + +Within the data link layer, the logical channel status check function is provided by sending the status enquiry command periodically. The purpose of the logical channel status check is to indicate the status of existing logical channel at the interface. + +The performance monitoring at the logical channel or at some segment monitors the performance, e.g., frame transmission delay is provided by inserting monitoring frames at the related end points or the end point of this segment. + +### **9.2.2 Carrier modes** + +The OAM message is transmitted through a virtual circuit in the connection-oriented mode; it may be transmitted in a user data channel with a logical channel number (LC-ID) which is the same as that of the user frame; alternatively, it may be transmitted in a control channel. + +### **9.2.3 OAM messages** + +OAM messages adopt the TLV format. There are several types of OAM messages: event indications, loopback indication, and performance indication. A different OAM function has a different OAM message format. The detailed message formats will be defined in future Recommendations. + +# Bibliography + +The following documents contain information that may be valuable to the reader of this Recommendation. 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(2000), *International numbering plan for public data networks.* +- [b-ITU-T X.124] Recommendation ITU-T X.124 (1999), *Arrangements for the interworking of the E.164 and X.121 numbering plans for frame relay and ATM networks.* +- [b-ITU-T X.125] Recommendation ITU-T X.125 (1998), *Procedure for the notification of the assignment of international network identification codes for public frame relay data networks and ATM networks numbered under the E.164 numbering plan.* +- [b-ITU-T X.136] Recommendation ITU-T X.136 (1997), *Accuracy and dependability performance values for public data networks when providing international packet-switched services.* +- [b-ITU-T X.137] Recommendation ITU-T X.137 (1997), *Availability performance values for public data networks when providing international packet-switched services.* +- [b-ITU-T X.200] Recommendation ITU-T X.200 (1994) | ISO/IEC 7498-1:1994, *Information technology – Open Systems Interconnection – Basic Reference Model: The basic model.* +- [b-ITU-T X.212] Recommendation ITU-T X.212 (1995) | ISO/IEC 8886:1996, *Information technology – Open Systems Interconnection – Data Link service definition.* +- [b-ITU-T X.213] Recommendation ITU-T X.213 (2001) | ISO/IEC 8348:2002, *Information technology – Open Systems Interconnection – Network service definition.* +- [b-ITU-T X.323] Recommendation ITU-T X.323 (1988), *General arrangements for interworking between Packet-Switched Public Data Networks (PSPDNs).* +- [b-ITU-T X.371] Recommendation ITU-T X.371/Y.1402 (2001), *General arrangements for interworking between Public Data Networks and the Internet.* +- [b-ITU-T Y.1001] Recommendation ITU-T Y.1001 (2000), *IP framework – A framework for convergence of telecommunications network and IP network technologies.* +- [b-ITU-T Y.1231] Recommendation ITU-T Y.1231 (2000), *IP Access Network Architecture.* + +- [b-ITU-T Y.1251] Recommendation ITU-T Y.1251 (2002), *General architectural model for interworking*. +- [b-ITU-T Y.2001] Recommendation ITU-T Y.2001 (2004), *General overview of NGN*. +- [b-ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [b-ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [b-ITU-T Y.2611] Recommendation ITU-T Y.2611 (2006), *High-level architecture of future packet-based networks*. +- [b-ITU-T Y.2612] Recommendation ITU-T Y.2612 (2009), *Generic requirements and framework of addressing, routing and forwarding in future, packet-based networks*. +- [b-ISO/IEC 8802-3] ISO/IEC 8802-3:2000, *Information technology – Telecommunications and information exchange between systems – Local and metropolitan area networks – Specific requirements – Part 3: Carrier sense multiple access with collision detection (CSMA/CD) access method and physical layer specifications*. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2614-201108-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2614-201108-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..baba25d8a5e87c06a789f1cd13676fe4168a9171 --- /dev/null +++ b/marked/Y/T-REC-Y.2614-201108-I_PDF-E/raw.md @@ -0,0 +1,546 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.2614 + +(08/2011) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Smart ubiquitous networks + +# --- **Network reliability in public telecommunication data networks** + +Recommendation ITU-T Y.2614 + +![ITU logo](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, followed by "International Telecommunication Union" in a smaller font. + +ITU logo + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Smart ubiquitous networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| Future networks | Y.3000–Y.3099 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **Recommendation ITU-T Y.2614** + +# **Network reliability in public telecommunication data networks** + +## **Summary** + +Recommendation ITU-T Y.2614 identifies the objectives, architecture and mechanisms for network reliability in public packet telecommunication data networks (PTDNs), including a description of link protection, trail protection, network failure detection, protection switching trigger and protection coordination mechanisms. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2614 | 2011-08-06 | 13 | + +## **Keywords** + +FPBN, link protection, PTDN, reliability, trail protection. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2012 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|--------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Terms and definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Network reliability objectives..... | 3 | +| | 5.1 Switching time..... | 3 | +| | 5.2 Hold-off time ..... | 3 | +| | 5.3 Protection types ..... | 3 | +| | 5.4 Switching types ..... | 3 | +| | 5.5 Operation types..... | 3 | +| | 5.6 Manual protection..... | 4 | +| | 5.7 Switch initiation criteria ..... | 4 | +| 6 | Network reliability architecture ..... | 4 | +| | 6.1 Link protection ..... | 4 | +| | 6.2 Trail protection ..... | 4 | +| | 6.3 Switch types..... | 5 | +| | 6.4 Operation types..... | 5 | +| | 6.5 Network failure detection mechanism..... | 6 | +| | 6.6 Protection switching trigger mechanism ..... | 6 | +| 7 | Link protection ..... | 6 | +| 8 | Trail protection ..... | 6 | +| | 8.1 Dual path routing model..... | 7 | +| | 8.2 Shortest path routing model..... | 8 | +| | 8.3 Alternative routing model..... | 8 | +| 9 | Protection coordination mechanism ..... | 8 | +| 10 | Security considerations..... | 9 | +| | Appendix I – Ear decomposition ..... | 10 | +| | Bibliography..... | 11 | + +# Introduction + +Network reliability in public telecommunication data networks (PTDN) shall be provided using link protection and trail protection mechanisms. In both protection mechanisms, two of protection types, 1:1 and 1:n protection are considered. In the trail protection mechanism, three routing models can be implemented. + +Furthermore, three routing models, dual path routing model, shortest path routing model and alternative routing model, can be used to implement the trail protection in PTDN. + +- The dual path routing model pre-calculates two disjoint paths based on ear decomposition, to provide 1:1 protection, from the source node to the destination node based on the network topology and resource information. These are the working path and the protection path. +- The shortest path routing model and the alternative routing model work together to provide 1:n protection. +- The alternative routing model can provide 1:n protection by itself. It can calculate several paths. One of them works as the working path, while the remaining paths will be protection paths. + +# Recommendation ITU-T Y.2614 + +# Network reliability in public telecommunication data networks + +# 1 Scope + +This Recommendation identifies the objectives, architecture and mechanisms for network reliability in public packet telecommunication data networks (PTDNs), including a description of link protection, trail protection, network failure detection, protection switching trigger and protection coordination mechanisms. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2601] Recommendation ITU-T Y.2601 (2006), *Fundamental characteristics and requirements of future packet based networks*. +- [ITU-T Y.2611] Recommendation ITU-T Y.2611 (2006), *High-level architecture of future packet-based networks*. +- [ITU-T Y.2612] Recommendation ITU-T Y.2612 (2009), *Generic requirements and framework of addressing, routing and forwarding in future, packet-based networks*. +- [ITU-T Y.2613] Recommendation ITU-T Y.2613 (2010), *General technical architecture for public packet telecommunication data network*. + +## 3 Terms and definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 bidirectional protection switching** [b-ITU-T I.630]: A protection switching architecture in which, for a unidirectional failure, both directions (of the "trail", "subnetwork connection", etc.), including the affected direction and the unaffected direction, are switched to protection. + +**3.1.2 hold-off time** [b-ITU-T G.870]: The time between declaration of signal degrade or signal fail, and the initialization of the protection switching algorithm. + +**3.1.3 manual protection** [b-ITU-T M.2102]: Recovery is initiated by forced or manual switching to the alternative trail; return to original configuration is done by forced or manual switching to normal. + +**3.1.4 non-revertive (protection) operation** [b-ITU-T G.870]: A protection switching operation, where the transport and selection of the normal traffic signal does not return to the working transport entity if the switch requests are terminated. + +**3.1.5 protection switching** [b-ITU-T I.630]: A network survivability technique with dedicated protection resource allocation policy. + +**3.1.6 public packet telecommunication data network (PTDN)** [ITU-T Y.2613]: A packet data network designed for the NGN transport stratum, which should be secure, trustworthy, controllable, and manageable, can meet all the requirements described in [ITU-T Y.2601]. PTDN is a hierarchical network, which can be subdivided into several network layers. + +**3.1.7 revertive (protection) operation** [b-ITU-T G.870]: A protection switching operation, where the transport and selection of the normal traffic signal (service) always returns to (or remains on) the working transport entity if the switch requests are terminated; i.e., when the working transport entity has recovered from the defect or the external request is cleared. + +**3.1.8 switching time** [b-ITU-T G.870]: Time between the initialization of the protection switching algorithm and the moment the traffic is selected from the standby transport entity. + +**3.1.9 trail protection** [b-ITU-T G.780]: Normal traffic is carried over/selected from a protection trail instead of a working trail if the working trail fails, or if its performance falls below a required level. + +**3.1.10 unidirectional protection switching** [b-ITU-T I.630]: A protection switching architecture in which, for a unidirectional failure (i.e., a failure affecting only one direction of transmission), only the affected direction (of the "trail", "subnetwork connection", etc.) is switched to protection. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 1:1 protection:** A protection mechanism in which the traffic is sent only on the working path or on the protection path. + +**3.2.2 alternative routing model:** A routing model providing multiple paths between a source public packet telecommunication data network (PTDN) node and a destination PTDN node. + +NOTE – These paths are not required to be deterministic and unique. In this model, the sending path and the receiving path are not necessarily composed of the same nodes and links. + +**3.2.3 dual path routing model:** A routing model providing two totally disjoint paths between a source public packet telecommunication data network (PTDN) node and a destination PTDN node. + +NOTE – The two paths may not be the shortest paths. + +**3.2.4 link protection:** A point-to-point protection mechanism. + +NOTE – Protection switching and re-routing should not be initiated at the network layer unless link protection has failed. + +**3.2.5 shortest path routing model:** A routing model providing a deterministic and unique path, which is the shortest path from a source public packet telecommunication data network (PTDN) node to a destination PTDN node. + +NOTE – In this model, the path from the source node to the destination node results in the same as the path from the destination node to the source node. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|----------------------------------------------| +| IP | Internet Protocol | +| OAM | Operations, Administration and Maintenance | +| PTDN | Public packet Telecommunication Data Network | +| QoS | Quality of Service | +| SDH | Synchronous Digital Hierarchy | + +## **5      Network reliability objectives** + +This clause describes the network reliability objectives for a PTDN. + +### **5.1      Switching time** + +According to routing models supported in PTDN, service traffic can be switched from the working path to a protection path when a link or node fails. The switching time consists of two parts: one is the time that the node has received the notification message of network failure sent by the node nearest to the point of failure; the other is the time that protection switch has been completed from working path to protection path. + +In PTDN, switching time should be no more than 50 ms. + +### **5.2      Hold-off time** + +The PTDN is a layer network. A protection scheme is provided by each layer. So, the protection coordination between layers must be considered, in order to avoid back and forth protection switching. Hold-off time is useful for inter working of protection schemes. A hold-off timer is started when a defect condition is declared and its duration of the timer can be configured. When the hold-off timer expires, protection switching is initiated if a defect condition is still present at this point. Note that a defect condition does not have to be present for the entire duration of the hold-off period; only the state at the expiry of the hold-off timer is relevant. + +In a PTDN, the hold-off time should be larger than the switch time of the lower network layer. + +### **5.3      Protection types** + +The protection types can be either 1:1 protection type or 1:n protection type. Service traffic is transmitted either on the working path or on the protection path. In the 1:1 protection type, there are two disjoint paths between the source node and the destination node. One of them is the working path, the other one is the protection path. In the 1:n protection type, there are 1+ n paths between the source node and the destination node, one of them is the working path, the other n paths are protection paths. + +In PTDN, 1:1 protection type and 1:n protection type of trail protection are recommended. + +### **5.4      Switching types** + +There are two switching types, unidirectional switching and bidirectional switching. In unidirectional switching, the traffic sending path and the receiving path are different, so only the affected path is switched. In bidirectional switching, the traffic sending path and the receiving path usually are the same, so both paths can be switched. + +In PTDN, unidirectional protection switching and bidirectional protection switching are recommended to be provided. + +### **5.5      Operation types** + +There are two protection operation types, non-revertive operation type and revertive operation type. In non-revertive types, the service will not switch back to the working path when the working path is recovered. The service will be switched back to the working path only if the current protection path fails. In revertive types, the service will always switch back to the working path if the working path is recovered. + +In PTDN, revertive and non-revertive operation types should be provided. + +### 5.6 Manual protection + +In PTDN, automatic protection switching and manual protection switching are supported. The operator can make manual protection switching, with manual protection switching usually having a higher priority than automatic protection switching. + +### 5.7 Switch initiation criteria + +In PTDN, the following protection switching initiation criteria are supported: + +- externally initiated commands (e.g., in case of manual control); +- link or node on the working path fails, the protection path is ready and the hold-off timer has expired; +- the working path is recovered, in the revertive operation type. + +## 6 Network reliability architecture + +In PTDN, link protection and trail protection are required as follows: + +- 1:1 protection and 1:n trail protection shall be provided; +- unidirectional and bidirectional switching types shall be supported; and +- revertive and non-revertive operation shall be supported. + +### 6.1 Link protection + +A protection scheme is provided by each layer in PTDN which includes many layers. Link protection works on the link layer. Link protection is a point-to-point protection mechanism. Protection switching and rerouting should not be initiated at the network layer unless link protection has failed. + +The architecture for link protection is as shown in Figure 6-1. + +![Diagram of Link protection architecture showing two nodes connected by an aggregated link.](b10763be31553f31cbb795653b731a43_img.jpg) + +The diagram illustrates the link protection architecture. It shows two rectangular blocks representing 'node' at the ends of a horizontal line. This line is composed of multiple parallel lines, representing physical links. In the center of this line is an oval shape, which is labeled 'Aggregated link' with an arrow pointing to it. Below the diagram, the text 'Y.2614(11)\_F6-1' is visible. + +Diagram of Link protection architecture showing two nodes connected by an aggregated link. + +**Figure 6-1 – Link protection architecture** + +In PTDN, there are two mechanisms for service traffic distribution on the aggregated links: + +- 1) Traffic is distributed on all the aggregated physical links, but part of every link capability should be reserved, summing up to the capability of one or more links, for protection when one or more links break down. +- 2) One or more of the aggregated links do not transfer traffic unless one or more of the aggregated links break down. + +The end nodes of the aggregated links can detect the failure of certain physical link(s) and distribute the traffic on the failed link(s) to other physical links. + +### 6.2 Trail protection + +Trail protection is an end-to-end protection mechanism. At least two paths from the source node to the same destination node should be pre-calculated based on the network topology and resource information in PTDN. One is the working path, the other(s) are the protection path(s). + +Consecutive probe packets are used to detect defects of the working path or the protection path. When a network failure notification message has been received, service traffic should switch from the working path to the protection path when the hold-off timer has expired. + +The architecture for trail protection is shown in Figure 6-2. + +![Figure 6-2 – Trail protection architecture diagram. The diagram shows a dual-path network topology. On the left, a source node (hatched rectangle) connects to a 'Working path' and a 'Protection path'. Both paths consist of a series of 'Transfer nodes' (white squares). The paths converge at a destination node (hatched rectangle) on the right. A 'Protection switching function' (black rectangle) is located at the destination. A bracket below the paths indicates the 'Protection domain'. A legend at the bottom identifies the symbols: hatched rectangle for 'End node', white square for 'Transfer node', and black rectangle for 'Protection switching function'. The reference 'Y.2614(11)_F6-2' is in the bottom right corner.](e9314c83043183351ed74908e9bf2f90_img.jpg) + +Figure 6-2 – Trail protection architecture diagram. The diagram shows a dual-path network topology. On the left, a source node (hatched rectangle) connects to a 'Working path' and a 'Protection path'. Both paths consist of a series of 'Transfer nodes' (white squares). The paths converge at a destination node (hatched rectangle) on the right. A 'Protection switching function' (black rectangle) is located at the destination. A bracket below the paths indicates the 'Protection domain'. A legend at the bottom identifies the symbols: hatched rectangle for 'End node', white square for 'Transfer node', and black rectangle for 'Protection switching function'. The reference 'Y.2614(11)\_F6-2' is in the bottom right corner. + +**Figure 6-2 – Trail protection architecture** + +In PTDN, 1:1 protection type and 1:n protection type of trail protection should be provided. + +In the 1:1 protection type, the dual path routing model is applied, which will pre-calculate two disjoint paths based on ear decomposition. + +In 1:n protection type, there are two ways to implement: + +- 1) The shortest path routing model and the alternative routing model are applied together. The shortest path routing model will provide one working path and the alternative routing model will provide n protection paths. +- 2) The alternative routing model is applied to calculate several paths; one of them serves as the working path, the remaining paths will be protection paths. + +Consecutive probe packets are used to detect defects of a working or protection path. They are inserted at the source of the protection trail and detected and extracted at the sink of the protection trail. + +### 6.3 Switch types + +The protection switch types can be unidirectional switch types or bidirectional switch types. + +In PTDN, the sending path and receiving path are usually the same, if the route is calculated based on the shortest path routing model or the dual path routing model. In both of these cases, a bidirectional switch is applied. However, the sending path and receiving path may be different if the route is calculated based on an alternative routing model. In this case, a unidirectional switch is applied. + +### 6.4 Operation types + +The protection operation types can be a non-revertive operation type or a revertive operation type. + +In non-revertive operation types, after the protection switches from the working path to the protection path, the service traffic will not switch back to the working path when the working path is recovered. The service will be switched back to the working path only if the current protection path fails and the working path is recovered. + +In the revertive operation type, the service will always switch back to the working path if the working path is recovered. In PTDN, the revertive operation type is recommended. + +### **6.5 Network failure detection mechanism** + +There are two network failure detection mechanisms in PTDN. One is the link failure detection mechanism. It works at the link layer and detects in real time the status of a link by periodically transmitting link maintenance frames. The other is the trail failure detection mechanism. It works at the network layer and detects in real time the end-to-end connectivity by periodically transmitting OAM packets. + +### **6.6 Protection switching trigger mechanism** + +Protection switching action should be conducted when: + +- 1) initiated by operator control (e.g., manual switch, forced switch) without a higher priority switch request being in effect; +- 2) signal failure is declared on the working path, but not on the protection path, and the hold-off timer has expired; or +- 3) the wait-to-restore timer expires (revertive mode) and signal failure is not declared on the working path. + +# **7 Link protection** + +In PTDN, a pair of nodes can be connected by multiple physical links to enhance the bandwidths and reliability between them. Multiple physical links should be aggregated as one logical link when calculating the route, and service traffic should be balanced among the multiple physical links according to the link bandwidth. When one or many of the aggregation links fail, service traffic carried by failed link(s) should be transferred to other available links, not switched from working path to protection path unless link protection fails. + +In PTDN, link protection fails when: + +- 1) all aggregated physical links break down; +- 2) the capability of the remaining links cannot meet the requirements of traffic when one or several aggregated links break down. + +When link protection fails, a trail protection mechanism will be applied. + +# **8 Trail protection** + +To implement trail protection in PTDN, three routing models are used. These are dual path routing model, shortest path routing model and alternative routing model. + +In connectionless mode, a PTDN node determines the routing model based on the protection field's value, which consists of two bits in the packet header [ITU-T Y.2613]. When a network failure (link or node) occurs or the working paths recover, the value of the protection field is required to be modified. + +If the value of the protection field is "00", it means the shortest path routing model is applied. In this case, service traffic may be interrupted when a network failure (link or node) occurs, unless the alternative routing model is applied, in which case, the value of the protection field is required to be modified from "00" to "10". In the alternative routing model, network reachability can be guaranteed but QoS cannot be guaranteed. + +If the value of the protection field is "11" or "01", it means the dual path routing model is applied. In this case, service traffic will be switched from the working path to the protection path when network failure (link or node) occurs; or from the protection path to the working path when the working path is recovered in revertive operation type. Correspondingly, the value is required to be + +modified from "11" to "01" or from "01" to "11". It must be noted that QoS can be guaranteed only if the network resources of the working path and the protection path are exactly the same. + +### 8.1 Dual path routing model + +The dual path routing model pre-calculates two disjoint paths from the source node to the destination node based on the network topology and resource information. These are the working path and the protection path. Except for the source node and the destination node, there are other links or nodes common to the working path and the protection path. + +Two conditions should be met for network topology in the dual path routing model: + +- 1) every node in PTDN is connected to at least two other nodes; +- 2) every link in PTDN is a bidirectional link. + +Two completely disjoint directed diagrams (see Figure 8-1) can be achieved by ear decomposition. + +For more information about ear decomposition refer to Appendix I. + +![Figure 8-1: Ear decomposition in dual path routing model. The diagram shows a network topology with 10 nodes (0-9) and two disjoint paths (working and protection) between nodes 1 and 7.](3ad00ce93ad9dea9ee0f47535e5355e6_img.jpg) + +The diagram illustrates the ear decomposition of a network topology into two disjoint paths. The top part shows a network graph with 10 nodes (0-9) and their connections. A large blue arrow points down to two separate directed graphs, each representing a path between nodes 1 and 7. + +The left graph (red) shows a working path: 1 → 3 → 7. The right graph (purple) shows a protection path: 1 → 0 → 2 → 4 → 7. Both paths are disjoint except for the source and destination nodes. + +Y.2614(11)\_F8-1 + +Figure 8-1: Ear decomposition in dual path routing model. The diagram shows a network topology with 10 nodes (0-9) and two disjoint paths (working and protection) between nodes 1 and 7. + +**Figure 8-1 – Ear decomposition in dual path routing model** + +As shown in Figure 8-1, there are two disjoint paths between any two nodes. For example, there are two disjoint paths from node 1 to node 7. One is a working path along nodes 1, 3 and 7. The other is a protection path along nodes 1, 0, 2, 4 and 7. + +When the working path fails, the nearest node of this point of failure will send a network failure notification message to the source node. On receipt of the notification message, the source node will switch the traffic from the working path to the protection path. The value of the protection field in the packet header is required to be reset from "11" to "01". + +In revertive operation type, if the working path is recovered, service traffic will switch back to the working path; the value of the protection field in the packet header is required to be modified from "01" to "11". + +In non-revertive operation type, even if the working path is recovered, service traffic will not switch back to the working path unless the protection path fails. + +In the dual path routing model, QoS can be guaranteed when switched from the working path to the protection path or from the protection path to the working path if the network resources on the two paths are the same. + +### **8.2 Shortest path routing model** + +The shortest path routing model provides a deterministic and unique path, which is the shortest path from the source PTDN node to the destination PTDN node. In this model, the sending path and receiving path must be the same. When there are multiple connections between PTDN domains on the boundary of the domain, only one connection with the highest priority is active. + +The value of protection field in the packet header should be set "00" when a packet is transmitted using the shortest path routing model. + +The alternative routing model will be applied to provide network reachability in case the shortest path routing model fails. In this case, the value of the protection field in the packet header should be modified to "10" from "00". + +### **8.3 Alternative routing model** + +In the alternative routing model, many paths are pre-calculated and kept in a routing table; one of them is the working path. If the working path fails, the second route in the routing table will be active. These paths may not be the shortest, and the sending and receiving paths are not required to include the same nodes and links. The alternative routing model can be applied in two cases: + +- 1) The working path is the shortest path; the alternative routing model provides the protection path(s). + +The failure of a node or link, or topology changes may result in the failure of the working path. In this situation, the alternative path routing model will provide the protection path(s). In this case, the value of the protection field in the packet header is required to be modified to "00" from "01". + +- 2) Both the working path and the protection path(s) are provided by the alternative routing model. + +In the alternative routing model, the value of the protection field in the packet header should be set to "01". Many paths from the source node to the destination node will be pre-calculated and stored in the routing table, one of which is used as working path. When the working path fails, the protection path will be chosen from other paths in the routing table. In this case, the value of the protection field in the packet header should not be changed. + +In the alternative routing model, network reachability can be guaranteed, but QoS cannot be guaranteed. + +## **9 Protection coordination mechanism** + +If nodes are connected by multiple aggregated links, when one or many of the aggregated links fail, link protection should be applied first, and if link protection fails, trail protection should be initiated. + +Moreover, hold-off time should be provided between the layer protections to avoid back and forth protection switching. For example, if a PTDN is based on the transport network (e.g., SDH, WDM), PTDN protection switching should not be initiated unless the hold-off timer has expired and a defect condition (e.g., link or node failure in the transport layer network) is still present at this point. + +# **10 Security considerations** + +This Recommendation defines the mechanisms to produce one or several protection paths to protect the working path. The mechanisms are helpful to improve security of a PTDN. The reliability mechanisms described in this Recommendation assume that both working and protection paths are set up at the same time and in the same manner. Given that the setting of either path is performed by the normal PTDN procedures, no additional security risks specific to the reliability mechanisms described in this Recommendation are identified. + +In terms of instability when protection applies, a hold-off time and a protection coordination mechanism have already been considered in this Recommendation. + +# Appendix I + +## Ear decomposition + +(This appendix does not form an integral part of this Recommendation.) + +An ear decomposition $D=\{P_0;P_1;\dots;P_{r-1}\}$ of an undirected Graph $G=(V,E)$ is a partition of $E$ into an ordered collection of edge-disjoint simple paths $P_0;P_1;\dots;P_{r-1}$ , called ears, such that: + +- $P_0$ is a simple cycle. +- $P_i$ ( $i>0$ ) is a simple path with the end-points belonging to lower-numbered ears, and with no internal vertices belonging to lower-numbered ears. +- $P_i$ ( $i>0$ ) may also be a simple cycle. If it is a cycle consisting of only one edge, it is called a trivial ear. + +An ear decomposition is called open if and only if there is no cycle for $P_i$ ( $i>0$ ). + +In Figure I.1, the network topology on the left is decomposed into four ears, as shown on the right of Figure I.1. Among them, $P_0$ is a simple cycle composed of nodes 0, 1, 3 and 6; $P_1$ is composed of nodes 2, 4 and 7, with end-points 3 and 0 belonging to ear $P_0$ , which is a lower-numbered ear compared to $P_1$ ; $P_2$ is composed of nodes 5 and 8, with end-points 2 and 6 belonging to ears $P_1$ and $P_0$ respectively, which are lower-numbered ears compared to $P_2$ ; $P_3$ is composed of node 9, with end-points 7 and 8 belonging to ears $P_1$ and $P_2$ respectively, which are lower-numbered ears compared to $P_3$ . + +![Figure I.1: Ear decomposition of a graph. The left diagram, labeled 'Before ear decomposition', shows a graph with 10 nodes (0-9) and several edges. The right diagram, labeled 'After ear decomposition', shows the same graph with four ears highlighted: P0 (a cycle of nodes 0, 1, 3, 6), P1 (a path of nodes 2, 4, 7), P2 (a path of nodes 5, 8), and P3 (a single node 9).](cb4cfa42ce34febde7bdb882f3fc3094_img.jpg) + +Before ear decomposition + +After ear decomposition + +Y.2614(11)\_Fl.1 + +Figure I.1: Ear decomposition of a graph. The left diagram, labeled 'Before ear decomposition', shows a graph with 10 nodes (0-9) and several edges. The right diagram, labeled 'After ear decomposition', shows the same graph with four ears highlighted: P0 (a cycle of nodes 0, 1, 3, 6), P1 (a path of nodes 2, 4, 7), P2 (a path of nodes 5, 8), and P3 (a single node 9). + +**Figure I.1 – Ear decomposition** + +Ear decomposition exists if and only if the graph is 2-edge connected. In the PTDN, a 2-edge connected graph can provide protection for link failure and nodal failures. + +# Bibliography + +- [b-ITU-T G.780] Recommendation ITU-T G.780/Y.1351 (2010), *Terms and definitions for synchronous digital hierarchy (SDH) networks*. +- [b-ITU-T G.870] Recommendation ITU-T G.870/Y.1352 (2010), *Terms and definitions for optical transport networks (OTN)*. +- [b-ITU-T G.8131] Recommendation ITU-T G.8131/Y.1382 (2007), *Linear protection switching for transport MPLS (T-MPLS) networks*. +- [b-ITU-T I.322] Recommendation ITU-T I.322 (1999), *Generic protocol reference model for telecommunication networks*. +- [b-ITU-T I.630] Recommendation ITU-T I.630 (1999), *ATM protection switching*. +- [b-ITU-T M.2102] Recommendation ITU-T M.2102 (2000), *Maintenance thresholds and procedures for recovery mechanisms (protection and restoration) of international SDH VC trails (paths) and multiplex sections*. +- [b-ITU-T X.25] Recommendation ITU-T X.25 (1996), *Interface between Data Terminal Equipment (DTE) and Data Circuit-terminating Equipment (DCE) for terminals operating in the packet mode and connected to public data networks by dedicated circuit*. +- [b-ITU-T X.121] Recommendation ITU-T X.121 (2000), *International numbering plan for public data networks*. +- [b-ITU-T X.136] Recommendation ITU-T X.136 (1997), *Accuracy and dependability performance values for public data networks when providing international packet-switched services*. +- [b-ITU-T X.137] Recommendation ITU-T X.137 (1997), *Availability performance values for public data networks when providing international packet-switched services*. +- [b-ITU-T X.200] Recommendation ITU-T X.200 (1994) | ISO/IEC 7498-1:1994, *Information technology – Open Systems Interconnection – Basic Reference Model: The basic model*. +- [b-ITU-T X.212] Recommendation ITU-T X.212 (1995) | ISO/IEC 8886:1996, *Information technology – Open Systems Interconnection – Data Link service definition*. +- [b-ITU-T X.323] Recommendation ITU-T X.323 (1988), *General arrangements for interworking between Packet-Switched Public Data Networks (PSPDNs)*. +- [b-ITU-T X.371] Recommendation ITU-T X.371 (2001), *General arrangements for interworking between Public Data Networks and the Internet*. +- [b-ITU-T Y.1001] Recommendation ITU-T Y.1001 (2000), *IP framework – A framework for convergence of telecommunications network and IP network technologies*. +- [b-ITU-T Y.1251] Recommendation ITU-T Y.1251 (2002), *General architectural model for interworking*. +- [b-ITU-T Y.1720] Recommendation ITU-T Y.1720 (2006), *Protection switching for MPLS networks*. +- [b-ITU-T Y.2001] Recommendation ITU-T Y.2001 (2004), *General overview of NGN*. + +- [b-ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [b-ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2619-201805-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg b/marked/Y/T-REC-Y.2619-201805-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg new file mode 100644 index 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0000000000000000000000000000000000000000..9ceda973953d7f4a0f96450baf72ddf355712c7c --- /dev/null +++ b/marked/Y/T-REC-Y.2619-201805-I_PDF-E/raw.md @@ -0,0 +1,490 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2619 + +(05/2018) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Next Generation Networks – Packet-based Networks + +--- + +**Operation, administration and maintenance +functions and mechanisms for the public packet +telecommunication data network (PTDN)** + +Recommendation ITU-T Y.2619 + +# ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3999 | +|-----------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.2619 + +# Operation, administration and maintenance functions and mechanisms for the public packet telecommunication data network (PTDN) + +## Summary + +As one type of hierarchical packet data networks to meet requirements of future packet-based networks, the public packet telecommunication data network (PTDN) should provide operation, administration, and maintenance (OAM) functions as specified in Recommendation ITU-T Y.2613. Recommendation ITU-T Y.2619 specifies maintenance entities (MTEs), OAM functions, and common OAM mechanisms in PTDN. Recommendation ITU-T Y.2619 also defines OAM mechanisms, functions, and encapsulation specific to connectionless mode and connection-oriented mode. Some examples of encapsulation for OAM messages in different planes are given in an annex. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.2619 | 2018-05-29 | 13 | 11.1002/1000/13608 | + +## Keywords + +Event indication, loopback, OAM, public packet telecommunication data network (PTDN), trace. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2018 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Background..... | 2 | +| 7 OAM functions ..... | 3 | +| 7.1 Continuity check..... | 3 | +| 7.2 Connectivity verification ..... | 3 | +| 7.3 Event indication..... | 3 | +| 7.4 Performance measurement ..... | 3 | +| 8 OAM mechanisms ..... | 4 | +| 8.1 Loopback mechanism..... | 4 | +| 8.2 Trace mechanism..... | 4 | +| 8.3 Event indication..... | 5 | +| 9 OAM in connection-oriented mode ..... | 5 | +| 10 OAM in connectionless mode ..... | 5 | +| 10.1 OAM message encapsulation ..... | 5 | +| 10.2 Multicast OAM..... | 6 | +| 11 Security considerations ..... | 6 | +| Annex A – Examples of encapsulation of OAM packets in connectionless mode..... | 7 | +| Bibliography..... | 9 | + + + +# Recommendation ITU-T Y.2619 + +## Operation, administration and maintenance functions and mechanisms for the public packet telecommunication data network (PTDN) + +## 1 Scope + +This Recommendation specifies maintenance entities (MTEs), operation, administration and maintenance (OAM) functions, and common OAM mechanisms in the public packet telecommunication data network (PTDN). It also describes OAM mechanisms specific to connectionless mode and connection-oriented mode (specified in [ITU-T Y.2613]). + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.2613] Recommendation ITU-T Y.2613 (2010), *General technical architecture for public packet telecommunication data network (PTDN)*. + +[ITU-T Y.2616] Recommendation ITU-T Y.2616 (2014), *Interworking mechanisms in public packet telecom data networks*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 defect** [b-ITU-T I.113]: Limited interruption of the ability of an item to perform a required function. It may or may not lead to maintenance actions depending on the results of additional analysis. + +**3.1.2 failure** [b-ITU-T G.806]: The fault cause persisted long enough to consider the ability of an item to perform a required function to be terminated. The item may be considered as failed; a fault has now been detected. + +**3.1.3 public packet telecommunication data network (PTDN)** [ITU-T Y.2613]: A packet data network designed for the NGN transport stratum, which should be secure, trustworthy, controllable, and manageable, can meet all the requirements described in [b-ITU-T Y.2601]. PTDN is a hierarchical network, which can be subdivided into several network layers. + +**3.1.4 link** [b-ITU-T G.805]: A "topological component" which describes a fixed relationship between a "subnetwork" or "access group" and another "subnetwork" or "access group". + +**3.1.5 maintenance entity** [b-ITU-T G.8001]: The entity between two of the flow/connection points in a maintenance entity group. + +**3.1.6 connection oriented** [b-ITU-T E.417]: Connection-oriented refers to the transfer of information between two entities by first establishing a path (or connection) for the information transfer. The communication proceeds through three well-defined phases: connection establishment, information transfer, and connection release. The most common example of connection-oriented + +information transfer is a telephone call over a circuit-switched network. other examples of connection-oriented information exchange are networks based on [b-ITU-T X.25], frame relay (FR), transmission control protocol (TCP) and asynchronous transfer mode (ATM). + +**3.1.7 connectionless** [b-ITU-T E.417]: Connectionless refers to the transfer of information between two entities without first establishing a path (or connection) for the information transfer. Examples of connectionless transport include the Internet protocol (IP) and user datagram protocol (UDP). + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following term: + +**3.2.1 maintenance end point (MTEP)**: End point of a public packet telecommunication data network (PTDN) operation, administration and maintenance (OAM) exercise that is capable of initiating and terminating OAM messages for fault management and performance monitoring. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|--------------------------------------------------| +| ATM | Asynchronous Transfer Mode | +| FR | Frame Relay | +| ID | Identifier | +| IP | Internet Protocol | +| MTE | Maintenance Entity | +| MTEP | Maintenance End Point | +| NNI | Network-Network Interface | +| OAM | Operation, Administration and Maintenance | +| OAM-c | Operation, Administration and Maintenance-common | +| PTDN | Public packet Telecommunication Data Network | +| RTD | Round Trip Delay | +| TCP | Transmission Control Protocol | +| TLV | Type–Length–Value | +| UDP | User Datagram Protocol | +| UNI | User-Network Interface | +| VPN | Virtual Private Network | + +## **5 Conventions** + +None. + +## **6 Background** + +The PTDN can provide connection-oriented and connectionless transmission services [ITU-T Y.2613]. The MTEs can be links and connections in general. In the PTDN, MTEs are virtual circuits in connection-oriented mode, paths in connectionless mode, and links in both modes. + +The PTDN may contain multiple administrative domains. One end-to-end MTE can be segmented into access link MTE(s), intradomain MTE(s) and interdomain MTE(s). Figure 1 illustrates one end-to-end MTE that passes through two PTDN domains. PTDN OAM MTEs are the various MTEs involved between two user-network interfaces (UNIs), i.e., an access link MTE is not included in PTDN OAM MTEs. Usually OAM messages should be confined to an administrative domain. Therefore, a gateway function is needed to terminate and regenerate the OAM message when interworking with other administrative domains or networks [ITU-T Y.2616]. + +![Figure 1: Illustration of various maintenance entities. The diagram shows a network path from User 1 to User 2. User 1 is connected to PTDN 1 via a UNI (User-Network Interface). PTDN 1 is connected to PTDN 2 via an NNI (Network-Network Interface). PTDN 2 is connected to User 2 via a UNI. The path is segmented into several MTEs (Maintenance Termination Entities): Access link MTE (between User 1 and PTDN 1), Intra domain MTE (within PTDN 1), Inter domain MTE (between PTDN 1 and PTDN 2), Intra domain MTE (within PTDN 2), and Access link MTE (between PTDN 2 and User 2). A UNI-to-UNI MTE spans from the first UNI to the second UNI. An End-to-end MTE spans the entire path from User 1 to User 2. The diagram is labeled Y.2619(18)_F01.](acfc53eca625d62b38aa2563efa95c3e_img.jpg) + +Figure 1: Illustration of various maintenance entities. The diagram shows a network path from User 1 to User 2. User 1 is connected to PTDN 1 via a UNI (User-Network Interface). PTDN 1 is connected to PTDN 2 via an NNI (Network-Network Interface). PTDN 2 is connected to User 2 via a UNI. The path is segmented into several MTEs (Maintenance Termination Entities): Access link MTE (between User 1 and PTDN 1), Intra domain MTE (within PTDN 1), Inter domain MTE (between PTDN 1 and PTDN 2), Intra domain MTE (within PTDN 2), and Access link MTE (between PTDN 2 and User 2). A UNI-to-UNI MTE spans from the first UNI to the second UNI. An End-to-end MTE spans the entire path from User 1 to User 2. The diagram is labeled Y.2619(18)\_F01. + +**Figure 1 – Illustration of various maintenance entities** + +When intermediate nodes do not support PTDN OAM functions, they only forward the OAM messages like other packets or frames in the same paths or virtual circuits. If end nodes do not support PTDN OAM functions, they will drop these PTDN OAM messages. + +## 7 OAM functions + +The PTDN OAM functions include a continuity check, connectivity verification, event indication and some performance measurement functions. These functions are used to monitor and verify network availability and performance, and to help in the detection, notification, handling and diagnosis of defects and failures. + +### 7.1 Continuity check + +A continuity check provides continuous monitoring of the liveness of links, connections or paths. This function is used for fault management, performance monitoring, and link switching when some defects occur. + +### 7.2 Connectivity verification + +A connectivity verification provides on-demand or proactive connectivity verification among end points of an MTE. This can be achieved by using loopback and trace mechanisms. + +### 7.3 Event indication + +When a defect, failure or monitored event occurs, the detecting node sends indication OAM messages to other related nodes. When receiving these indication messages, the nodes do not send the same indication messages to the sending node. They take necessary actions, such as activating a backup path or link, to overcome the effect of the defect, failure or event. + +### 7.4 Performance measurement + +Based on a loopback mechanism, PTDN OAM functions provide simple performance measurements, such as frame/packet loss rate, latency and jitter. + +# **8 OAM mechanisms** + +This clause describes some common OAM mechanisms used in both connection-oriented and connectionless modes. These mechanisms are loopback, trace and event indication. + +### **8.1 Loopback mechanism** + +The loopback mechanism provides several capabilities, such as continuity check, connectivity verification, fault localization, round trip delay (RTD) measurement and delay variation measurements. + +The loopback mechanism uses loopback OAM messages. These messages can be initiated and inserted at an MTEP, transferred through an MTE and returned (or looped back) to the sending MTEP without taking the MTE out of service. + +For unidirectional paths in the PTDN, i.e., multicast paths, an extra return path is required to transfer looped back OAM messages (see clause 10.2). + +A loopback OAM message includes the following fields: + +- OAM message type, which indicates this is a loopback OAM message; +- sender's handle information, which is used by the sender to process the response OAM message, e.g., the sequence number used to correlate a loopback response against request; +- loopback indication, which indicates whether this message is looped back; +- loopback location information, which indicates which node should loopback this OAM message; +- return information, which is used to tell the sender about return result and return node information; +- additional type-length-value combinations (TLVs), which are used to provide more capabilities – the most often used TLV is timestamp TLV, which is used to calculate RTD by subtracting sending timestamp from receiving timestamp. + +### **8.2 Trace mechanism** + +The trace mechanism is used to identify and retrieve information about MTEPs on a path and to locate a fault when the path is unavailable. + +In the PTDN, the trace mechanism is similar to the loopback mechanism by sending trace OAM message with loopback location information specifying the destination MTEP. However, each intermediate node adds its node information to the OAM message, then forwards this OAM message. The destination MTEP adds its node information and sets a loopback indication field, then returns this OAM message to the source MTEP. When this OAM message returns to the source MTEP, it contains information about all nodes it has passed. + +For unidirectional paths in the PTDN i.e., multicast paths, extra return paths are required to return trace messages (see clause 10.2). + +A trace OAM message includes the following fields: + +- OAM message type, which indicates this is a trace OAM message; +- the sender's handle information; +- a loopback indication, which indicates whether this packet/frame is looped back; +- loopback location information, which indicates which node should loopback these OAM packets/frames; +- return information, which is used to tell the sender about the return result and return node information; + +- node information TLVs, which contain node information, such as identifier (ID) or address. + +### 8.3 Event indication + +The PTDN nodes use event indication to notify the peer MTEP(s) that some events have happened at the sender. For bidirectional paths or virtual circuits, event indication can be transmitted in the forward or backward direction. For unidirectional paths in the PTDN i.e., multicast paths, when an MTEP detects a defect and plans to notify an upstream MTEP, an extra return path is required (see clause 10.2). + +An event indication OAM message includes: + +- OAM message type, which indicates it is an event indication OAM message; +- an event field, which indicates the information of the defect or event; +- a location field, which indicates its occurrence location. + +## 9 OAM in connection-oriented mode + +In the connection-oriented mode, PTDN OAM is used to test and diagnose virtual circuits, and to measure their performance on an end-to-end or segment basis. These virtual circuits may be control/manage circuits or user data circuits. The PTDN OAM in connection-oriented mode includes functions, defined in clause 7, and uses mechanisms defined in clause 8. + +The encapsulation of PTDN OAM messages shall follow the link layer frame definitions, specified in clause 6 of [ITU-T Y.2613]. An OAM message is encapsulated in the frame payload, with the result that MTEPs in OAM messages, i.e., source MTEP and destination MTEP, are specified in the frame payload. + +As an OAM frame is inserted and transmitted in the same virtual circuit with other frames, so a field is needed to distinguish it from others. In this case, the OAM field in the frame header, specified in clause 6.3.3.1.1.3 of [ITU-T Y.2613], shall be set to 1 by the OAM frame initiator for identification of OAM frames. + +## 10 OAM in connectionless mode + +In connectionless mode, OAM is used to test and diagnose paths in a virtual private network (VPN) or multicast, and to measure their performance. OAM for VPN paths provides the same functions, defined in clause 7, and uses the same mechanisms defined in clause 8. However, paths in multicast are unidirectional, different mechanisms, specified in clause 10.2, will be used. + +### 10.1 OAM message encapsulation + +The encapsulation of PTDN OAM messages in connectionless mode shall be as specified in clauses 7.2 and 7.3 of [ITU-T Y.2613]. + +Similarly, OAM messages can be encapsulated in the packet payload with the result that the MTEP information is in the packet payload. In connectionless mode, when the source MTEP and destination MTEP are the same as the source and destination of the packet, respectively, then source and destination information contained in the packet header can be used as MTEP information instead. + +In the control or management plane, the specific value of the message type field in the packet header has to be specified to distinguish OAM messages from other control or management messages. Examples are given in Annex A. + +In the data plane, there shall be a 1-bit field in the packet header to distinguish OAM messages from user data packets. This 1-bit field is recommended to occupy 1 bit of reserved fields in the PTDN packet header specified in clause 7.2 of [ITU-T Y.2613]. An example is given in Figure A.3. + +### 10.2 Multicast OAM + +The PTDN multicast service is provided only in connectionless mode with point-to-multiple-points unidirectional paths. Multicast OAM is used to test and diagnose those paths, and to measure their performance one-by-one or on a tree basis. A multicast MTE, whose MTEPs are specified by a multicast address, has the following two differences from other MTEs: + +- it has more than one destination MTEP for loopback and trace; +- multicast paths are unidirectional; therefore, the extra reverse direction paths are needed to transfer the returned loopback and trace OAM messages, and to transfer event indication OAM messages to notify upstream MTEPs. + +These reverse direction paths, referred to as OAM common (OAM-c) paths, are not a part of multicast MTE. The control plane or a specific VPN, more practically, can be used to serve these reverse direction paths and to transmit these OAM messages, referred as OAM-c packets. Along OAM-c paths, intermediate nodes do not intercept and process, but only forward these OAM-c packets. + +#### 10.2.1 Loopback + +To verify connectivity of a multicast MTE, the source MTEP sends a loopback OAM message to all destination MTEPs specified by a multicast address. When a destination MTEP receives the loopback OAM message, it processes and sends this OAM message as an OAM-c packet on an OAM-c path. The source MTEP may receive more than one response, i.e., returned OAM messages, through OAM-c paths. Based on the received OAM-c packets, the source MTEP can obtain information about the multicast MTE. + +To maintain one of the paths in a PTDN multicast, the source MTEP can send a loopback OAM message to a specific destination MTEP by using the destination MTEP node address as destination and loopback MTEP. + +#### 10.2.2 Trace + +The trace mechanism is similar to the loopback mechanism specified in clause 10.2.1 except that: + +- along the MTE paths, each intermediate node adds its node information, such as node ID and address, into the OAM message, then forwards the OAM message; +- the destination nodes add their node information to the OAM messages, then encapsulate the messages into OAM-c packets, and transmit the messages along the OAM-c paths; +- the returned OAM-c packets contain information about nodes lying in the forwarding direction of the paths only. + +#### 10.2.3 Event indication + +The event indication mechanism is similar to the mechanism specified in clause 8.3, except that the backward indication OAM messages are encapsulated as OAM-c packets and transmitted along OAM-c paths. + +## 11 Security considerations + +OAM functions can enhance the security of the PTDN. For example, connectivity verification function or path detection function can detect misconfigured connections or wrongly delivered flows, therefore prevent user traffic from being exposed to unintended recipients. + +OAM functions of service providers or network operators do not allow messages originated from one network to get transmitted to other networks without going through the gateway function. Gateway function may contain additional security functions. + +## Annex A + +### Examples of encapsulation of OAM packets in connectionless mode + +(This annex forms an integral part of this Recommendation.) + +Figure A.1 illustrates encapsulation of an OAM message in the management plane. In this example, the management message with type value 0x8F is an OAM message. + +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octets | | | | | +|------------------------------------|---|---|---|-----------------------|---|-------------------|---|--------|--|--|--|--| +| Version(4) | | | | Packet type(2)
1 0 | | Address length(2) | | 1 | | | | | +| Message Type(8)
1 0 0 0 1 1 1 1 | | | | | | | | 2 | | | | | +| Upper Payload length(8) | | | | | | | | 3 | | | | | +| Lower Payload length(8) | | | | | | | | 4 | | | | | +| Source address* | | | | | | | | | | | | | +| Destination address* | | | | | | | | | | | | | +| Payload (OAM message) | | | | | | | | | | | | | + +\*Note: address has variable length. + +**Figure A.1 – An example of encapsulation for an OAM message in the management plane** + +Figure A.2 illustrates encapsulation of an OAM message in the control plane. In this example, the control message with type value 0xCF is an OAM message. + +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octets | | | | | +|------------------------------------|---|---|---|-----------------------|---|-------------------|---|--------|--|--|--|--| +| Version(4) | | | | Packet type(2)
0 1 | | Address length(2) | | 1 | | | | | +| Message Type(8)
1 1 0 0 1 1 1 1 | | | | | | | | 2 | | | | | +| Upper Payload length(8) | | | | | | | | 3 | | | | | +| Lower Payload length(8) | | | | | | | | 4 | | | | | +| Source address* | | | | | | | | | | | | | +| Destination address* | | | | | | | | | | | | | +| Payload (OAM message) | | | | | | | | | | | | | + +\*Note: address has variable length. + +**Figure A.2 – An example of encapsulation for an OAM message in the control plane** + +Figure A.3 illustrates encapsulation of an OAM messages in the user data plane. In this example, the first bit of Reserve(3) (specified in Figure 7.2 of [ITU-T Y.2613]) has been used as an OAM Flag and is set to 1. + +| | | | | | | | | | | | | | | | | | +|---------------------------------|--------------------------|--------------------------|----------------------|---|-------------------|---|---|--------|--|--|--|--|--|--|--|--| +| 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Octets | | | | | | | | | +| Version(4) | | | Packet type(2) | | Address length(2) | | | 1 | | | | | | | | | +| VPN identifier (1) | Multicast identifier (1) | Class service stream (2) | Reserve(4) | | | | | 2 | | | | | | | | | +| Upper Payload length(8) | | | | | | | | 3 | | | | | | | | | +| Lower Payload length(8) | | | | | | | | 4 | | | | | | | | | +| TTL(6) | | | | | Protection(2) | | | 5 | | | | | | | | | +| Extension header identifier (1) | OAM Flag (1) | Reserve (2) | Upper VPN number (4) | | | | | 6 | | | | | | | | | +| Middle VPN number (8) | | | | | | | | 7 | | | | | | | | | +| Lower VPN number (8) | | | | | | | | 8 | | | | | | | | | +| Source address* | | | | | | | | | | | | | | | | | +| Destination address* | | | | | | | | | | | | | | | | | +| Payload (OAM message) | | | | | | | | | | | | | | | | | + +\*Note: address has variable length. + +**Figure A.3 – An example of encapsulation of an OAM message in the data plane** + +## Bibliography + +- [b-ITU-T E.417] Recommendation ITU-T E.417 (2005), *Framework for the network management of IP-based networks*. +- [b-ITU-T G.805] Recommendation ITU-T G.805 (2000), *Generic functional architecture of transport networks*. +- [b-ITU-T G.806] Recommendation ITU-T G.806 (2012), *Characteristics of transport equipment – Description methodology and generic functionality*. +- [b-ITU-T G.8001] Recommendation ITU-T G.8001/Y.1354 (2016), *Terms and definitions for Ethernet frames over transport* +- [b-ITU-T I.113] Recommendation ITU-T I.113 (1997), *Vocabulary of terms for broadband aspects of ISDN*. +- [b-ITU-T Y.2601] Recommendation ITU-T Y.2601 (2006), *Fundamental characteristics and requirements of future packet based networks*. +- [b-ITU-T X.25] Recommendation ITU-T X.25 (1996), *Interface between Data Terminal Equipment (DTE) and Data Circuit-terminating Equipment (DCE) for terminals operating in the packet mode and connected to public data networks by dedicated circuit*. + + + + + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2702-200809-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2702-200809-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..d841958b562a0f1fa724c27aa57224f74a043479 --- /dev/null +++ b/marked/Y/T-REC-Y.2702-200809-I_PDF-E/raw.md @@ -0,0 +1,1995 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2702 + +(09/2008) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Security + +# --- **Authentication and authorization requirements for NGN release 1** + +Recommendation ITU-T Y.2702 + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2702** + +# **Authentication and authorization requirements for NGN release 1** + +## **Summary** + +Recommendation ITU-T Y.2702 specifies authentication and authorization requirements for next generation networks (NGNs). + +### **Source** + +Recommendation ITU-T Y.2702 was approved on 12 September 2008 by ITU-T Study Group 13 (2005-2008) under the WTSA Resolution 1 procedure. + +### **Keywords** + +Attributes, Authentication, Authorization, Identifiers, Identity Management (IdM), Next Generation Network (NGN), Privileges and Security. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +### INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2009 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|------------------------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Definitions from [ITU-T X.800] ..... | 2 | +| 3.2 Definitions from [ITU-T X.810] ..... | 2 | +| 3.3 Definitions from [ITU-T X.811] ..... | 2 | +| 3.4 Definitions from [ITU-T Y.2701] ..... | 3 | +| 3.5 Terms defined in this Recommendation..... | 3 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Reference models..... | 5 | +| 5.1 ITU-T X.811 authentication framework..... | 5 | +| 5.2 Authentication threats..... | 9 | +| 5.3 Authentication assurance..... | 11 | +| 5.4 Authorization and privilege management ..... | 13 | +| 5.5 End-to-end reference architectural model ..... | 13 | +| 5.6 Relationship with NGN architecture specified in [ITU-T Y.2012]..... | 14 | +| 6 General Requirements ..... | 16 | +| 7 Authentication and authorization of user for network access..... | 16 | +| 7.1 Description ..... | 16 | +| 7.2 General reference model..... | 17 | +| 7.3 Requirements..... | 20 | +| 8 Service NGN provider authentication and authorization of user for access to
service/application ..... | 23 | +| 8.1 Description ..... | 23 | +| 8.2 Requirements..... | 24 | +| 9 User authentication and authorization of NGN providers ..... | 27 | +| 9.1 Description ..... | 27 | +| 9.2 Objectives and requirements ..... | 27 | +| 10 NGN provider supported user peer-to-peer authentication and authorization..... | 28 | +| 11 Mutual network authentication and authorization ..... | 28 | +| 11.1 Description ..... | 28 | +| 11.2 Mutual network authentication requirements ..... | 29 | +| 12 NGN provider authentication and authorization of 3rd party service/application
provider..... | 30 | +| 12.1 Description ..... | 30 | +| 12.2 Requirements..... | 30 | +| 13 Use of 3rd party authentication and authorization service ..... | 31 | +| 13.1 Description ..... | 31 | + +| | Page | +|------------------------------------------------------------------------------------|-------------| +| 13.2 Requirements ..... | 31 | +| 14 Authentication and authorization of objects ..... | 31 | +| 14.1 Description ..... | 31 | +| 14.2 Requirements ..... | 32 | +| Appendix I – SAML use case ..... | 33 | +| I.1 Use of [b-ITU-T X.1141], Security Assertion Markup Language (SAML 2.0) ..... | 33 | +| I.2 Service/application authentication procedures ..... | 33 | +| I.3 Service/application authentication – Call flow examples ..... | 33 | +| I.4 Security of service/application authentication procedures and mechanisms ..... | 34 | +| Appendix II – ETS authentication and authorization ..... | 35 | +| II.1 Overview ..... | 35 | +| II.2 ETS user authentication and authorization ..... | 35 | +| II.3 NGN provider authentication and authorization for ETS ..... | 36 | +| II.4 ETS authentication and authorization use case examples ..... | 36 | +| Appendix III – 3GPP Generic bootstrapping architecture ..... | 41 | +| Appendix IV – Identity management (IdM) call flow examples ..... | 43 | +| IV.1 Overview ..... | 43 | +| IV.2 Call flow examples ..... | 43 | +| Bibliography ..... | 54 | + +## **Recommendation ITU-T Y.2702** + +# **Authentication and authorization requirements for NGN release 1** + +## **1 Scope** + +This Recommendation provides authentication and authorization requirements for next generation networks (NGN) based on [ITU-T Y.2012]. This includes requirements for authentication and authorization across the user-to-network interface (UNI), the network-to-network interface (NNI) and the application-to-network interface (ANI) as well as any entities internally with a network that may require authentication and authorization. The scope of this Recommendation includes: + +- 1) Authentication and authorization of user for network access (e.g., authentication and authorization of an end user device, a home network gateway, or an enterprise gateway to obtain access or attachment to the network) +- 2) Service provider authentication and authorization of user for access to service/application (e.g., authentication and authorization of a user, a device or a combined user/device where the authentication and authorization apply to NGN service/application access) +- 3) User authentication and authorization of Network (e.g., user authenticating the identity of the connected NGN network or of the service provider) +- 4) User peer-to-peer authentication and authorization (e.g., authentication and authorization of the called user (or terminating entity), authentication and authorization of the originating entity, or data origin authentication as network functions) +- 5) Mutual network authentication and authorization (e.g., authentication and authorization across NNI interface at the transport level, or service/application level) +- 6) Authentication and authorization of service/application provider +- 7) Use of 3rd party authentication and authorization service +- 8) Authentication of objects (e.g., application process, message content and data content identifiers). + +The items above include authentication of flows of the signalling, bearer and management traffic as applicable. + +In addition, this Recommendation also provides reference models for NGN authentication and authorization. + +NOTE 1 – NGN authentication and authorization is viewed as part of the broader topic of NGN identity management (IdM). Specifically, the authentication and authorization functions and capabilities described in this Recommendation should be used to support identity assurance capabilities for NGN IdM. + +NOTE 2 – In this Recommendation, the use of the term "user" is not intended to be restricted to a person. A user could be a person, groups, companies, or juridical entities. + +NOTE 3 – Authentication of an entity is not intended to indicate positive validation of a person. + +## **2 References** + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +| | | +|----------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T X.800] | Recommendation ITU-T X.800 (1991), Security architecture for Open Systems Interconnections for CCITT applications. | +| [ITU-T X.805] | Recommendation ITU-T X.805 (2003), Security architecture for systems providing end-to-end communications. | +| [ITU-T X.810] | Recommendation ITU-T X.810 (1995) ISO/IEC 10181-1:1996, Information technology – Open System Interconnection – Security framework for open systems: Overview. | +| [ITU-T X.811] | Recommendation ITU-T X.811 (1995) ISO/IEC 10181-2:1996, Information technology – Open System Interconnection – Security frameworks for open system: Authentication framework. | +| [ITU-T Y.2012] | Recommendation ITU-T Y.2012 (2006), Functional requirements and architecture of the NGN release 1. | +| [ITU-T Y.2201] | Recommendation ITU-T Y.2201 (2007), NGN release 1 requirements. | +| [ITU-T Y.2701] | Recommendation ITU-T Y.2701 (2007), Security requirements for NGN release 1. | + +## 3 Definitions + +### 3.1 Definitions from [ITU-T X.800] + +This Recommendation makes use of the following terms defined in [ITU-T X.800]: + +**3.1.1 authentication information:** Information used to establish the validity of a claimed identity. + +**3.1.2 authorization:** The granting of rights, which includes the granting of access based on access rights. + +**3.1.3 credential:** Data that is transferred to establish the claimed identity of an entity. + +**3.1.4 data origin authentication:** The corroboration that the source of data received is as claimed. + +**3.1.5 peer-entity authentication:** The corroboration that a peer entity in an association is the one claimed. + +### 3.2 Definitions from [ITU-T X.810] + +This Recommendation makes use of the following terms defined in [ITU-T X.810]: + +**3.2.1 trust:** Entity X is said to trust entity Y for a set of activities if and only if entity X relies upon entity Y behaving in a particular way with respect to the activities. + +**3.2.2 trusted third party:** A security authority or its agent that is trusted with respect to some security-relevant activities (in the context of a security policy). + +### 3.3 Definitions from [ITU-T X.811] + +This Recommendation makes use of the following terms defined in [ITU-T X.811]: + +**3.3.1 asymmetric authentication method:** A method of authentication, in which not all authentication information is shared by both entities. + +**3.3.2 authenticated identity:** A distinguishing identifier of a principal that has been assured through authentication. + +**3.3.3 authentication:** The provision of assurance of the claimed identity of an entity. + +**3.3.4 authentication certificate:** A security certificate that is guaranteed by an authentication authority and that may be used to assure the identity of an entity. + +**3.3.5 authentication exchange:** A sequence of one or more transfers of exchange authentication information (AI) for the purposes of performing an authentication. + +**3.3.6 authentication information (AI):** Information used for authentication purposes. + +**3.3.7 authentication initiator:** The entity that starts an authentication exchange. + +**3.3.8 claimant:** An entity which is or represents a principal for the purposes of authentication. A claimant includes the functions necessary for engaging in authentication exchanges on behalf of a principal. + +**3.3.9 claim authentication information (claim AI):** Information used by a claimant to generate exchange AI needed to authenticate a principal. + +**3.3.10 exchange authentication information (exchange AI):** Information exchanged between a claimant and a verifier during the process of authenticating a principal. + +**3.3.11 principal:** An entity whose identity can be authenticated. + +**3.3.12 symmetric authentication method:** A method of authentication in which both entities share common authentication information. + +**3.3.13 verification authentication information (verification AI):** Information used by a verifier to verify an identity claimed through exchange AI. + +**3.3.14 verifier:** An entity which is or represents the entity requiring an authenticated identity. A verifier includes the functions necessary for engaging in authentication exchanges. + +### **3.4 Definitions from [ITU-T Y.2701]** + +This Recommendation makes use of the following terms defined in [ITU-T Y.2701]: + +**3.4.1 border element:** Network element providing functions connecting different security and administrative domains. + +**3.4.2 corporate network:** A private network that supports multiple users and may be in multiple locations (e.g., an enterprise, a campus). + +**3.4.3 security domain:** A set of elements, a security policy, a security authority and a set of security-relevant activities in which the elements are managed in accordance with the security policy. The policy will be administered by the security authority. A given security domain may span multiple security zones. + +**3.4.4 terminal equipment border element:** Border element providing security functions between customer premises equipment and service provider network. + +### **3.5 Terms defined in this Recommendation** + +This Recommendation defines the following term: + +**3.5.1 service level agreement (SLA):** Formal agreement between two or more parties that is reached after a negotiating activity with the scope to define service characteristics, responsibilities and priorities of every part. A SLA may include statements about security, performance, tariffing and billing, service delivery and compensations. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +ACL          Access Control List + +| | | +|--------|----------------------------------------------------------| +| AI | Authentication Information | +| ANI | Application-to-Network Interface | +| AS | Application Server | +| BE | Border Element | +| BSF | Bootstrapping Server Function | +| B-TID | Bootstrapping Transaction Identifier | +| CSCF | Call Session Control Function | +| DSL | Digital Subscriber Loop | +| ENI | ETS National Implementation | +| ETS | Emergency Telecommunications Service | +| FE | Functional Entities | +| GAA | Generic Authentication Architecture | +| GBA | Generic Bootstrapping Architecture | +| GUSS | GBA User Security Settings | +| HSS | Home Subscriber System | +| HTTP | Hypertext Transfer Protocol | +| HTTPS | HTTP Security | +| IAD | Integrated Access Device | +| I-CSCF | Interrogating Call Session Control Function | +| ID-FF | Identity Federation Framework | +| IdM | Identity Management | +| IdP | Identity Provider | +| ID-WSF | Identity Web Services Framework | +| IMS | IP Multimedia Service | +| IP | Internet Protocol | +| ISDN | Integrated Services Digital Network | +| IWF | InterWorking Function | +| LUAD | Liberty enabled User Agent or Device | +| MAC | Media Access Control | +| MS | Media Server | +| NACF | Network Attachment Control Function | +| NAF | Network Application Function | +| NAP | Network Access Point | +| NGN | Next Generation Network | +| NNI | Network-to-Network Interface | +| OAM&P | Operations, Administration, Maintenance and Provisioning | +| OSI | Open System Interconnection | + +| | | +|--------|------------------------------------------| +| P-CSCF | Proxy Call Session Control Function | +| PES | PSTN/ISDN Emulation Service | +| PIN | Personal Identification Number | +| PKI | Public Key Infrastructure | +| PII | Personally Identifiable Information | +| PSK | Pre-shared Keys | +| RACF | Resource and Admission Control Function | +| RBAC | Role-Based Access Control | +| RP | Relying Party | +| RPH | Resource-Priority Header | +| RSVP | Resource Reservation Protocol | +| SAML | Security Assertion Markup Language | +| SASL | Simple Authentication and Security Layer | +| SBC | Session Border Controller | +| S-CSCF | Serving Call Session Control Function | +| SDP | Session Description Protocol | +| SIM | Subscriber Identification Module | +| SLA | Service Level Agreement | +| SLF | Subscriber Locator Function | +| SOAP | Simple Object Access Protocol | +| SP | Service Provider | +| SSOS | Single-Sign-On Service | +| TDR | Telecommunication for Disaster Relief | +| TE | Terminal Equipment | +| TE-BE | Terminal Equipment – Border Element | +| TLS | Transport Layer Security | +| UAI | User Authentication Interface | +| UE | User Equipment | +| UNI | User-to-Network Interface | +| URL | Uniform Resource Locator | +| WS | Web Server | +| XML | eXtensible Markup Language | + +## **5 Reference models** + +### **5.1 ITU-T X.811 authentication framework** + +This Recommendation makes use of the basic concepts of authentication described in [ITU-T X.811] as summarized below. + +#### 5.1.1 Basic concepts of authentication + +Authentication provides assurance of the claimed identity of an entity. Authentication is meaningful only in the context of a relationship between a principal and a verifier. Two important cases are: + +- the principal is represented by a claimant which has a specific communications relationship with the verifier (entity authentication); and +- the principal is the source of a data item available to the verifier (data origin authentication). + +Entity authentication provides corroboration of the identity of a principal, within the context of a communication relationship. The principal's authenticated identity is assured only when an authentication service is invoked. + +NOTE 1 – When using data origin authentication, it is also necessary to have adequate assurance that the data has not been modified. This may be accomplished by using an integrity service, for example: + +- by using environments in which data cannot be altered; +- by verifying that the data received matches a digital fingerprint of the data sent; +- by using a digital signature mechanism; or +- by using a symmetric cryptographic algorithm. + +NOTE 2 – The term "communications relationship" used in defining entity authentication may be interpreted in a broad way and could refer, for example, to an OSI connection, inter-process communication, or interaction between a user and a terminal. + +#### 5.1.2 Identifiers + +A principal is an entity whose identity can be authenticated. A principal has one or more distinguishing identifiers associated with it. Authentication services are used by an entity to verify purported identities of principals. A principal's identity which has been so verified is called an authenticated identity. Similarly, a principal whose identity has been verified is called an authenticated entity. + +Examples of principals that can be identified and hence authenticated are, but are not limited to: + +- human users; +- NGN providers; +- processes; +- real open systems; +- OSI layer entities; +- enterprises, and +- flows in the bearer, signalling and management traffic. + +Distinguishing identifiers are used to unambiguously claim an identity within a given security domain. Distinguishing identifiers distinguish a principal from others in the same domain, in one of two ways: + +- 1) by virtue of membership in a group of entities considered equivalent for purposes of authentication (in this case the entire group is considered to be one principal and has one distinguishing identifier); or +- 2) by identifying one and only one entity. + +When authentication takes place between different security domains, a distinguishing identifier may not be sufficient to unambiguously identify an entity, as different security domain authorities may use the same distinguishing identifiers. In this case, distinguishing identifiers have to be used in conjunction with a security domain identifier in order to provide an unambiguous identifier for the entity. + +![Figure 1: Example NGN identifiers. This diagram illustrates the NGN architecture across three strata: Applications, Service, and Transport. The Applications stratum includes Applications. The Service stratum includes Application support functions and service support functions, S. user profile functions, Other NGN service components, Service control functions, PSTN/ISDN emulation service component, and IP multimedia service component. The Transport stratum includes T. user profile functions, Network attachment control functions (NACF), Resource and admission control functions (RACF), Access network functions, Edge functions, and Core transport functions. External components include Legacy terminals, Legacy networks, Customer networks, NGN terminals, End-user functions, and Other networks. Red lines and circles highlight various identity-related components and their interconnections, with labels such as 'User identity data', 'Identities in NACF', 'User and terminal identities', 'Identities in common components for applications', 'Identities in common components for applications and service support', 'Identities in IMS and PES', 'Identity interoperability', and 'Identities in RACF'. A note at the bottom states: 'NOTE – Gateway (GW) may exist in either Transport stratum or End-user functions'. The reference 'Y.2702(08)_F01' is also present.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +NOTE – Gateway (GW) may exist in either Transport stratum or End-user functions + +Y.2702(08)\_F01 + +Figure 1: Example NGN identifiers. This diagram illustrates the NGN architecture across three strata: Applications, Service, and Transport. The Applications stratum includes Applications. The Service stratum includes Application support functions and service support functions, S. user profile functions, Other NGN service components, Service control functions, PSTN/ISDN emulation service component, and IP multimedia service component. The Transport stratum includes T. user profile functions, Network attachment control functions (NACF), Resource and admission control functions (RACF), Access network functions, Edge functions, and Core transport functions. External components include Legacy terminals, Legacy networks, Customer networks, NGN terminals, End-user functions, and Other networks. Red lines and circles highlight various identity-related components and their interconnections, with labels such as 'User identity data', 'Identities in NACF', 'User and terminal identities', 'Identities in common components for applications', 'Identities in common components for applications and service support', 'Identities in IMS and PES', 'Identity interoperability', and 'Identities in RACF'. A note at the bottom states: 'NOTE – Gateway (GW) may exist in either Transport stratum or End-user functions'. The reference 'Y.2702(08)\_F01' is also present. + +**Figure 1 – Example NGN identifiers** + +Identifiers used to identify a principal or entity might be used by the components and functional elements in the different stratum and layers of the NGN. Figure 1 shows example identifiers for NGN based on Figure 8 (NGN Components) of [ITU-T Y.2012]. + +Examples of typical distinguishing identifiers are: + +- directory names; +- network addresses; +- AP-titles and AE-titles; +- object identifiers; +- names of persons (unambiguous within the context of the domain); +- quintuples that contain: + - source IP address; + - destination IP address; + - source port number; + - destination port number; and + - protocol number. + +#### 5.1.3 Authentication entities + +The term "claimant" is used to describe the entity which is or represents a principal for the purposes of authentication. A claimant includes the functions necessary for engaging in an authentication exchange on behalf of a principal. + +The term "verifier" is used to describe the entity which is or represents the entity requiring an authenticated identity. A verifier includes the functions necessary for engaging in an authentication exchange to request verification of a claimed identity. + +An entity involved in mutual authentication will assume both claimant and verifier roles. + +The term "trusted third party" is used to describe a security authority or its agent, trusted by other entities with respect to security-related activities. In the context of this Recommendation, a trusted third party is trusted by a claimant and/or a verifier for the purposes of authentication. + +NOTE – A claimant or verifier may span multiple functional components, possibly residing in different open systems. + +#### 5.1.4 Authentication information + +The types of authentication information described in this standard are: + +- exchange authentication information (exchange AI); +- claim authentication information (claim AI); +- verification authentication information (verification AI). + +The term "authentication exchange" is used to describe a sequence of one or more transfers of exchange AI for the purposes of performing an authentication. + +Figure 2 illustrates the relationship among a claimant, a verifier, and a trusted third party. Figure 2 also illustrates the three types of authentication information that may make up an authentication exchange + +![Diagram illustrating the relationship between a Claimant, a Verifier, and a Trusted 3rd party (S) in an authentication exchange.](c036e2540a94b31357ceb0002f0cacab_img.jpg) + +The diagram illustrates the relationships between three entities: Claimant, Verifier, and Trusted 3rd party (S). The Claimant and Verifier are represented by light blue boxes, while the Trusted 3rd party (S) is represented by a purple box. Inside the Claimant box is a rounded rectangle labeled 'Claim AI'. Inside the Verifier box is a rounded rectangle labeled 'Verification AI'. Above the Claimant and Verifier boxes is a rounded rectangle labeled 'Exchange AI'. Dashed arrows show the flow of information: one from 'Exchange AI' to 'Claim AI', one from 'Exchange AI' to 'Verification AI', one from 'Claim AI' to 'Exchange AI', and one from 'Verification AI' to 'Exchange AI'. Below the Claimant and Verifier boxes is the Trusted 3rd party (S) box, which contains two rounded rectangles: 'Claim AI' and 'Verification AI'. Dashed arrows show the flow of information: one from 'Exchange AI' to the 'Claim AI' inside the Trusted 3rd party (S) box, and one from the 'Verification AI' inside the Trusted 3rd party (S) box to 'Exchange AI'. The text 'Y.2702(08)F\_02' is located at the bottom right of the diagram. + +Diagram illustrating the relationship between a Claimant, a Verifier, and a Trusted 3rd party (S) in an authentication exchange. + +**Figure 2 – Relationship between claimant, verifier and trusted third party** + +In some cases, in order to generate exchange AI, a claimant may need to interact with a trusted third party. Similarly, in order to verify exchange AI, a verifier may need to interact with a trusted third party. In these cases the trusted third party may hold verification AI related to a principal. + +It is also possible that a trusted third party is used in the transfer of exchange AI. Depending on the exchange, the third party may take on the role of a claimant relative to the verifier. + +The entities may also need to hold authentication information to be used in authenticating the trusted third party. + +#### 5.1.5 Multi-factor authentication + +Multi-factor authentication involves validating the authenticity of the identity of a principal by verifying multiple identifiers and attributes associated with the principal. Generally, multifactor authentication can be organized based on the following grouping of authentication attributes: + +- 1) something you are (e.g., physical or behavioural characteristics of an end user or customer's characteristic or attribute that is being compared such as typing patterns, voice recognition); + +- 2) something you have (e.g., a driver's licence, or a security token); +- 3) something you know (e.g., a password, pin number, security image). + +The most common example of a single-factor authentication key is a password (something you know). Sometimes passwords, by themselves, do not provide sufficient confidence in the identity of an entity, and stronger forms of authentication, involving other authentication keys, would be required for access to certain NGN resources, applications and services. This would depend on the risks associated with the likelihood of unauthorized entities obtain access to the NGN resources, applications and services. + +The authentication factors and keys should be selected based on the risks to be addressed. Specifically the impacts of unauthorized entities obtaining access to NGN resources, applications and services would have to be accessed to determine the required authentication. Example electronic authentication keys are: + +- passwords, +- hardware tokens, +- software tokens, +- one-time password device tokens. + +The use of passwords for authentication is widely established. The "password" is a secret that a claimant memorizes and uses to authenticate his or her identity. Passwords are typically character strings or images that the subscriber memorizes and must identify when presented along with other similar images. However, password systems are susceptible to many attacks. Additional protections for the communication channel can be used to protect the password, but this still does not prevent all attacks. + +Hardware tokens are specialized hardware devices that protect secrets (normally cryptographic keys) and perform cryptographic operations. Authentication is accomplished by proving possession of the device and control of the key. The cryptographic operations support authentication of both parties and the protection of the communication channel used for the authentication exchange. + +Software tokens are essentially software implementations of hardware tokens and share many of the advantages of hardware tokens (e.g., a cryptographic key that is typically stored on disk or some other media). The soft token key can be encrypted under a key derived from some activation data. Typically, the activation data is a password known only to the user, so a password is required to activate the token. Authentication is accomplished by proving possession and control of the key. As with hardware tokens, software tokens support authentication of both parties and protection of the communication channel used for the authentication exchange. + +One-time password device token is a personal hardware device that generates "one time" passwords for use in authentication. One-time password systems rely on a series of passwords generated using special algorithms. Each password of the series is called a one-time password as it is distinct from the others generated and can only be used once. A wide variety of one-time password systems exist that provide varying protection against attacks. + +### **5.2 Authentication threats** + +Authentication factors and keys can be attacked as follows: + +- 1) "Something you are" – replicating the customer's characteristic or attribute that is being compared (for example, fingerprints, typing patterns). +- 2) "Something you have" – obtaining or copying what the customer has. +- 3) "Something you know" – discovering what the customer knows. + +In general, authentication threats can be divided into threats that involve attacks against the authentication protocol, and other attacks that may reveal either token values, or compromise confidential information. + +Using multiple authentication factors improves security because multiple methods must be subverted. Using a hardware device (something you have) that is not easily copied also reduces the scope of an attack, as it is expected that the owner will notice the loss of the device. Authentication keys based on software or hardware tokens may be combined with activation data (e.g., a password) to implement two-factor authentication so that the authentication is not reliant on possession of the token alone. + +A customer may subvert the authentication system by deliberately divulging their one-factor authentication key to an accomplice and then denying it later, with the aim of repudiating subsequent successful authentications. The use of multiple authentication factors makes such a denial less credible and may deter such attacks. + +#### 5.2.1 Authentication protocol threats + +Example authentication protocol threats include: + +- 1) Eavesdroppers: + - eavesdroppers observing authentication protocol message exchanges for later analysis; + - eavesdroppers generally attempt to obtain tokens to pose as claimants. +- 2) Impostors: + - impostor claimants posing as subscribers to the verifiers to test guessed tokens or obtain other information about a specific subscriber; + - impostor verifiers posing as verifiers to legitimate subscriber claimants to obtain tokens that can then be used to impersonate subscribers to legitimate verifiers; + - impostor relying parties posing as the relying party system to verifiers to obtain sensitive user information. +- 3) Hijackers: + - hijackers who take over an authenticated session and pose as subscribers to relying parties to obtain sensitive information or input invalid information; + - hijackers who take over an authenticated session and pose as relying parties to verifiers to obtain sensitive information or output invalid information. + +These attacks may be mitigated in the following ways: + +- Requiring an element of freshness for each authentication to counters replay attacks. +- Eavesdropper and session hijacking attacks may be countered by using cryptography to protect the signalling channel (channel encryption) used for the authentication exchange (for example, TLS in anonymous mode). +- Man-in-the-middle and verifier impersonation attacks can be resisted, in a limited way, by using similar protections as with eavesdropper and session hijacking attacks. Combining the encryption with additional cryptographic techniques improves protection against these attacks (for example, using a mutual handshake exchange based around cryptography – such as TLS in authenticated mode – with cryptographic keys being held by the customer and the verifier achieves 'strong' mutual authentication). +- Encryption provides only limited resistance to man-in-the-middle and verifier impersonation attacks, as security of the exchange can be compromised without breaking the encryption. For example, a customer may be deceived into accepting an authentication exchange as being from the verifier when it is not. Cryptographic-based mutual authentication techniques can be used between the customer and the verifier. + +#### 5.2.2 Authentication token threats + +If an attacker can gain control of a token, they will be able to masquerade as the token's owner. Threats to tokens can be categorized into attacks on authentication keys as follows: + +- Something you have may be stolen from the owner or cloned by the attacker. For example, an attacker who gains access to the owner's computer might copy a software token. A hardware token might be stolen or duplicated. +- Something you know may be disclosed to an attacker. The attacker might guess a password or PIN. Where the token is a shared secret, the attacker could gain access to the verifier and obtain the secret value. An attacker may install malicious software (e.g., a keyboard logger) to capture this information. In addition, an attacker may determine the secret through off-line attacks on network traffic from an authentication attempt. +- Something you are may be replicated. An attacker may obtain a copy of the token owner's identification and construct a replica. + +There are several strategies to mitigate these threats: + +- Multiple factors raise the threshold for attacks. If an attacker needs to steal a cryptographic token and guess a password, the work factor may be too high. +- Physical security mechanisms may be employed to protect a stolen token from duplication. Physical security mechanisms can provide tamper evidence, detection, and response. +- Complex passwords may reduce the likelihood of a successful guessing attack. By requiring use of long passwords that do not appear in common dictionaries, attackers may be forced to try every possible password. +- System and network security controls may be employed to prevent an attacker from gaining access to a system or installing malicious software. + +#### 5.2.3 Other authentication threats + +Attacks are not limited to the authentication protocol itself. Other attacks include: + +- malicious code attacks that may compromise authentication tokens; +- intrusion attacks that obtain credentials or tokens by penetrating the subscriber/claimant, certification authority or verifier system; +- insider threats that may compromise authentication tokens; +- out-of-band attacks that obtain tokens in some other manner, such as social engineering to get a subscriber to reveal his password to the attacker, or "shoulder-surfing"; +- attacks that fool claimants into using an insecure protocol, when they think that they are using a secure protocol, or trick them into overriding security controls (for example, by accepting server certificates that cannot be validated); +- intentional repudiation by subscribers who deliberately compromise their tokens. + +Education and advice for the customer are methods to combat malicious code and social engineering attacks. Auditing and anomaly detection are commonly used to counter customer fraud attacks. Using multiple authentication keys can deter customer fraud attacks. Insider attacks may be countered through personnel vetting, auditing, and (where appropriate) using separation of duties and dual control. + +### 5.3 Authentication assurance + +To protect NGN resources, applications and services, NGN providers must determine the required level of assurance in the authentication used for network access and application/service transactions. + +Each NGN provider should establish and implement a process for authentication assurance. The authentication assurance process will involve a method to categorize confidence (i.e., confidence in the identity information electronically presented to a service provider) in the authentication mechanisms and the information provided for authentication. + +The authentication assurance process will establish and use relative and discrete levels of assurance to quantify confidence in the authentication process. For example, "n" levels of authentication assurance could be used. Level 0 could represent the lowest assurance level and level "n" the highest. The "n" levels will be used to define the level of assurance in terms of the likely consequence (e.g., the nature of the potential impacts) of an authentication error based on the assumption that all identifiers used in authentication are not equal or necessarily have the same authentication value. + +The following is an example authentication assurance method: + +**Example authentication method** + +| Assurance level | Relative confidence | +|------------------------|-------------------------------------------------------------------------------------| +| Level 0 | No confidence in the asserted identity validity (e.g., use of access list controls) | +| Level 1 | Some confidence in the asserted identity validity | +| Level 2 | High confidence in the asserted identity validity | +| – | – | +| Level n | Highest degree of confidence in the asserted identity validity | + +The NGN provider must assess the potential risks associated with the consequences of authentication errors or to determine the appropriate level of assurance in an entity (e.g., end user's) identity. Authentication errors with potentially worse consequences will require higher levels of assurance. + +The risk from an authentication error is a function of two factors: + +- a) potential harm or impact; +- b) the likelihood of such harm or impact. + +Categories of harm and impact, not limiting, include: + +- Inconvenience, distress, or damage to standing or reputation +- Financial loss +- NGN provider or customer liability +- Harm to NGN provider infrastructure, resource, applications, services or public interests +- Harm to public and government interest (e.g., critical communications such as ETS and TDR) +- Unauthorized release of sensitive information +- Harm to personal safety services +- Civil or criminal violations + +### 5.4 Authorization and privilege management + +Authentication on its own is not sufficient in determining what the authenticated entity is authorized to do once access is granted. Authentication must be combined with authorization and privilege management mechanisms and approaches to provide access control to NGN services and resources. For example, assignment of roles and privileges to end-users/subscribers to control access to services and applications and to management interfaces to manage their subscription and profiles. Another example is role-based access control (RBAC) for control of OAM&P access. + +Authorization or privilege can be viewed as an attribute of an entity identity. Depending on the security policy, the authorization privileges on an entity can be validated through authentication. + +### 5.5 End-to-end reference architectural model + +This clause describes the end-to-end reference model used to organize and group the authentication requirements in this Recommendation. The reference model depicts: + +- 1) Authentication and authorization of user for network access (e.g., authentication and authorization of an end user device, a home network gateway, or an enterprise gateway to obtain access or attachment to the network). +- 2) Service provider authentication and authorization of user for access to service/application (e.g., authentication and authorization of a user, a device or a combined user/device where the authentication and authorization apply to NGN service/application access). +- 3) Service provider authentication and authorization of user for access to specific service/application (e.g., ETS and TDR specific authentication and authorization1). +- 4) User authentication and authorization of network (e.g., user authenticating the identity of the connected NGN network or of the service provider). +- 5) User peer-to-peer authentication and authorization (e.g., authentication and authorization of the called user (or terminating entity), authentication and authorization of the originating entity, or data origin authentication as network functions). +- 6) Mutual network authentication and authorization (e.g., authentication and authorization across NNI interface at the transport level, or service/application level). +- 7) Authentication and authorization of service/application provider. +- 8) Use of 3rd party authentication service. + +Figure 3 illustrates the authentication reference points outlined above. + +In this Recommendation, the use of the term "user" is not restricted to a person. A user could be a person, groups, companies, or juridical entities. + +--- + +1 ETS authentication may involve additional requirements beyond the basic requirements. + +![Figure 3 – End-to-end reference architectural model. This diagram illustrates the end-to-end reference architectural model for a service-based network. At the top, a 'Service/application provider' cloud is connected via dashed lines to two 'Service Provider' blocks, 'Service Provider A' and 'Service Provider B'. Each service provider block contains a 'Service Stratum' cloud with 'Application Servers', 'Softswitch', and 'CSCF' components, and a 'Transport' cloud with three nodes. A 'Transit' cloud connects the two transport clouds. On the left, a 'User' and 'Device' are connected to 'Service Provider A' through an 'Access' cloud. On the right, a 'Device' and 'User' are connected to 'Service Provider B' through an 'Access' cloud. Numbered arrows indicate various interactions: (1) from Device to Service Provider A; (2) from Service Provider A to Device; (3) from Service Provider A to Service/application provider; (4) from Service/application provider to Service Provider B; (5) from Service Provider B to Device; (6) from Device to Service Provider B; (7) from Service/application provider to Service Provider A; (8) from Service/application provider to Service Provider B. The diagram is labeled 'Y.2702(08)_F03' in the bottom right corner.](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +Figure 3 – End-to-end reference architectural model. This diagram illustrates the end-to-end reference architectural model for a service-based network. At the top, a 'Service/application provider' cloud is connected via dashed lines to two 'Service Provider' blocks, 'Service Provider A' and 'Service Provider B'. Each service provider block contains a 'Service Stratum' cloud with 'Application Servers', 'Softswitch', and 'CSCF' components, and a 'Transport' cloud with three nodes. A 'Transit' cloud connects the two transport clouds. On the left, a 'User' and 'Device' are connected to 'Service Provider A' through an 'Access' cloud. On the right, a 'Device' and 'User' are connected to 'Service Provider B' through an 'Access' cloud. Numbered arrows indicate various interactions: (1) from Device to Service Provider A; (2) from Service Provider A to Device; (3) from Service Provider A to Service/application provider; (4) from Service/application provider to Service Provider B; (5) from Service Provider B to Device; (6) from Device to Service Provider B; (7) from Service/application provider to Service Provider A; (8) from Service/application provider to Service Provider B. The diagram is labeled 'Y.2702(08)\_F03' in the bottom right corner. + +**Figure 3 – End-to-end reference architectural model** + +As shown in Figure 3, authentication and authorization occurs both at the transport level and the service application level. In addition, there may be a binding or bundling of authentication that may occur. An example is when the service provider may bind/bundle the authentication of the user and the user's device in order to provide higher level of authentication assurance. For the most part horizontal authentication is achieved on a hop by hop basis. The main exception to this is user to user authentication, which is end to end. With exception of the user authenticating and authorizing the network, the relationships require mutual authentication. + +### 5.6 Relationship with NGN architecture specified in [ITU-T Y.2012] + +This clause describes relationship between the reference model described in this Recommendation and the functional architectural model described in [ITU-T Y.2012]. Specifically, highlighting: + +- The peer authentication relationship in Figure 1 of [ITU-T Y.2012], "NGN architecture overview". +- The functional elements in Figure 1 of [ITU-T Y.2012] intended to perform authentication functions. +- The functional elements in Figure 1 of [ITU-T Y.2012] intended to perform identity management, correlations and binding. +- The functional elements in Figure 1 of [ITU-T Y.2012] intended to enforce access control based on authentication denial. + +Figure 4 uses Figure 1 of [ITU-T Y.2012] to illustrate the peering authentication relationships identified in clause 5.5. The peering authentication relationships are shown with the black double-headed arrows. Not shown is (5), user peer-to-peer authentication and authorization. Note that even when the applications to the user are provided by the NGN provider (i.e., no ANI), there is still an authentication relationship between the end-user and application, and the service stratum and the application. + +![Figure 4: Authentication peering references. This diagram illustrates the functional architecture of a network, showing the relationships between various strata and their interfaces.](812e188283162af0b54fb3e30ffee51b_img.jpg) + +The diagram illustrates the functional architecture of a network, showing the relationships between various strata and their interfaces. The architecture is organized into three main strata: + +- Service stratum (green box):** Contains 'Application support functions & service support functions' and 'Service control functions' (which includes 'Service user profiles'). +- Transport stratum (yellow box):** Contains 'Network attachment control functions' (including 'Transport user profiles') and 'Resource and admission control functions'. Below these is the 'Transport functions' layer. +- Management functions (purple vertical bar on the left):** A vertical bar representing management functions. +- End-user function (white box on the left):** A box representing the end-user function. +- Other networks (white box on the right):** A box representing other networks. + +Interfaces and connections are indicated by different line styles: + +- ANI (Application Network Interface):** A red solid line with a double-headed arrow connecting 'Applications' to the 'Service stratum'. +- UNI (User Network Interface):** A red solid line with a double-headed arrow connecting the 'End-user function' to the 'Service stratum'. +- NNI (Network Network Interface):** A red solid line with a double-headed arrow connecting the 'Transport stratum' to 'Other networks'. +- Control:** Dashed black lines with double-headed arrows showing control plane interactions between the 'End-user function', 'Service stratum', 'Transport stratum', and 'Other networks'. +- Media:** Blue hatched lines with double-headed arrows showing media plane interactions between the 'End-user function' and 'Transport stratum', and between the 'Transport stratum' and 'Other networks'. +- Management:** Green dashed lines with double-headed arrows showing management plane interactions between the 'Management functions' bar and the 'End-user function', 'Service stratum', and 'Transport stratum'. + +Black double-headed arrows indicate peering authentication relationships between 'Applications' and the 'Service stratum', between the 'Service stratum' and the 'Transport stratum', and between the 'Transport stratum' and 'Other networks'. There are also black double-headed arrows between the 'End-user function' and the 'Service stratum', and between the 'End-user function' and the 'Transport stratum'. + +Legend: + +- Control +- Media +- Management + +Y.2702(08)\_F04 + +Figure 4: Authentication peering references. This diagram illustrates the functional architecture of a network, showing the relationships between various strata and their interfaces. + +**Figure 4 – Authentication peering references** + +Figure 5 highlights the functional entities (FE) from the [ITU-T Y.2012] reference model that provide or may provide authentication and authorization functions. + +![Figure 5: Authentication and authorization functional entities of [ITU-T Y.2012]. This block diagram illustrates the functional architecture of an NGN (Next Generation Network) for authentication and authorization. The architecture is organized into several layers: Applications, Service control, NACF (Network Access Control Function), RACF (Resource Access Control Function), Core transport, and Core packet transport functions. Key functional entities (FEs) are represented as boxes, color-coded by their role: orange for FEs providing authentication and authorization functions, and blue for FEs that may provide these functions. The diagram shows the flow of signaling and data between these entities, including connections to external networks like IP Multimedia Networks and PSTN/ISDN. A yellow arrow at the bottom indicates the 'Scope of NGN'. A legend at the bottom left clarifies the color coding for the FEs.](e69b9188aa2c14ec6b21c83f711fef65_img.jpg) + +Figure 5 illustrates the functional entities for authentication and authorization in an NGN (Next Generation Network) architecture, as defined in ITU-T Y.2012. The diagram shows the interaction between various functional entities (FEs) across different layers of the network. + +**Legend:** + +- Orange box: FE which provides authentication and authorization functions +- Blue box: FE which may provide authentication and authorization functions + +**Key Functional Entities (FEs) and their roles:** + +- Applications:** Application support functions & service support functions (may include own authentication, authorization and accounting). +- Service control:** + - S-1: Serving call session control FE + - S-2: Proxy call session control FE + - S-3: Interrogating call session control FE + - S-4: Subscription locator FE + - S-5: S. user profile FE + - S-6: S. authentication & authorization FE + - S-7: Interconnection border gateway control FE + - S-8: access GW control FE + - S-9: Media GW control FE + - S-10: Breakout gateway control FE + - S-11: User signalling interworking FE + - S-12: Network signalling interworking FE + - S-13: Media resource control FE + - S-14: Media resource broker FE + - S-15: General services control FE +- NACF (Network Access Control Function):** + - T-10: Network access configuration FE + - T-11: T. authentication & authorization FE + - T-12: T. user profile FE + - T-13: T. location management FE + - T-14: Access management FE + - T-15: Home gateway Configuration FE +- RACF (Resource Access Control Function):** + - T-16: Policy decision FE + - T-17: Transport Resource control FE +- Core transport:** + - T-5: Access border gateway FE + - T-6: Inter-connection border gateway FE + - T-7: Trunking media gateway FE + - T-8: Media resource processing FE + - T-9: Signalling gateway FE +- Core packet transport functions:** +- Access transport:** + - T-1: Access media gateway FE + - T-2: Access node FE + - T-3: Edge node FE + - T-4: Access relay FE +- End-user Function:** + - Legacy terminal + - RGW (Residual Gateway) + - Customer network + - NGN terminal + - Legacy terminal +- Other NGN:** +- IP Multimedia Networks:** +- PSTN/ISDN:** + +The diagram also shows the **Scope of NGN** and the **Y.2702(08)\_F05** reference. + +Figure 5: Authentication and authorization functional entities of [ITU-T Y.2012]. This block diagram illustrates the functional architecture of an NGN (Next Generation Network) for authentication and authorization. The architecture is organized into several layers: Applications, Service control, NACF (Network Access Control Function), RACF (Resource Access Control Function), Core transport, and Core packet transport functions. Key functional entities (FEs) are represented as boxes, color-coded by their role: orange for FEs providing authentication and authorization functions, and blue for FEs that may provide these functions. The diagram shows the flow of signaling and data between these entities, including connections to external networks like IP Multimedia Networks and PSTN/ISDN. A yellow arrow at the bottom indicates the 'Scope of NGN'. A legend at the bottom left clarifies the color coding for the FEs. + +**Figure 5 – Authentication and authorization functional entities of [ITU-T Y.2012]** + +## 6 General Requirements + +Support of the general identification, authentication and authorization requirements defined in [ITU-T Y.2701] and [ITU-T Y.2201] is required by this Recommendation as follows: + +- (R-1) – The requirements defined in clause 7.3.2 (Authentication) of [ITU-T Y.2701] shall be supported. +- (R-2) – The requirements defined in clause 6.12 (Identification, Authentication and Authorization) of [ITU-T Y.2201] shall be supported. + +## 7 Authentication and authorization of user for network access + +### 7.1 Description + +Network access authentication and authorization services and capabilities are needed to mitigate threats associated with unauthorized access. Network access authentication and authorization services are needed to verify the identities and to determine whether access should be granted to end user equipment (i.e., terminal equipment (TE) and terminal equipment – border element (TE-BE)) requesting network connectivity to the NGN. + +#### General assumptions + +- a) An end user is not restricted to a person. End users could be a person, groups, companies, or juridical entities. + +- b) According to [ITU-T Y.2012], no assumptions are made about the diverse end-user interfaces and end-user networks that may be connected to the NGN access network. All categories of end-user equipment are supported in the NGN, from single-line legacy telephones to complex corporate networks. End-user equipment may be either mobile or fixed. +- c) Determination of the network elements that implement the access and authorization services is not in the scope of this Recommendation. +- d) Network access and authorization functions may be provided as part of the general network attachment control function (NACF) defined in [ITU-T Y.2012]. + +### 7.2 General reference model + +Figure 6 shows the reference model for network access/attachment authentication and authorization consisting of the following security domains: + +- 1) Customer domain – Un-trusted domain containing user equipment owned and operated by the customer, for example: + - a) Legacy TE and TE-BE: + - Legacy TE represents legacy user devices connecting over narrow-band access (e.g., analogue and ISDN lines). These TEs obtain access to the IP network via an NGN provider gateway (e.g., access or media gateway). + - Legacy TE-BE represents user equipment serving as aggregate end points (e.g., enterprise and home network gateways) connecting over narrow-band access (e.g., analogue and ISDN lines). These TE-BEs obtain access to the IP network via an NGN provider gateway (e.g., access or media gateway). + - b) Legacy TE and TE-BE with integrated access device (IAD) + - Legacy TE with IAD represents legacy user devices connecting over broadband access (e.g., xDSL or cable). These TEs obtain access to the IP network via the IAD in the customer domain. + - Legacy TE-BE represents user equipment serving as aggregate end points (e.g., enterprise and home network gateways) connecting over broadband access (e.g., xDSL and Cable). This user equipment obtains access to the IP network via the IAD in the customer domain. + - c) NGN TE and TE-BE: + - NGN TE represents user devices in the customer domain with IP capabilities to support direct connectivity to the IP network (e.g., using xDSLs and cable broadband access). + - NGN TE-BE represents user equipment serving as aggregate end points (e.g., enterprise and home network gateways) with IP capabilities to support direct connectivity to the IP network. +- 2) Access NGN provider domain: Access network hosted by an NGN provider (e.g., narrow-band, xDSL and cable). The access NGN provider may or may not be the same as the service NGN provider. Trust relationships between the NGN providers are governed by service level agreements (SLAs). +- 3) Service NGN provider domain: The service NGN provider offers NGN application services to its subscribers. Trust relationships between NGN providers are governed by SLAs. + +![Figure 6: Reference model for network access/attachment authentication and authorization. The diagram shows three domains: Customer domain, Access NGN provider, and Service NGN provider. The Customer domain contains Legacy TEs and TE-BEs, Legacy TEs and TE-BEs with IAD, and NGN TEs and TE-BEs. The Access NGN provider contains a Network access authentication function and a Gateway. The Service NGN provider contains a Service control authentication function. An IP network connects the Access NGN provider and the Service NGN provider. Six numbered arrows indicate information flows: (1) Legacy TEs and TE-BEs to Gateway; (2) Legacy TEs and TE-BEs with IAD to Gateway; (3) NGN TEs and TE-BEs to Gateway; (4) Gateway to Service control authentication function; (5) Legacy TEs and TE-BEs with IAD to Service control authentication function; (6) NGN TEs and TE-BEs to Service control authentication function. A bracket groups arrows (1), (2), and (3) as 'NGN access/attachment authentication and authorization'. Another bracket groups arrows (4), (5), and (6) as 'Bundled NGN access/attachment and service/application authentication and authorization'.](c5452f95f3b28f1bfe29e84fbc2e1267_img.jpg) + +Y.2702(08)\_F06 + +Figure 6: Reference model for network access/attachment authentication and authorization. The diagram shows three domains: Customer domain, Access NGN provider, and Service NGN provider. The Customer domain contains Legacy TEs and TE-BEs, Legacy TEs and TE-BEs with IAD, and NGN TEs and TE-BEs. The Access NGN provider contains a Network access authentication function and a Gateway. The Service NGN provider contains a Service control authentication function. An IP network connects the Access NGN provider and the Service NGN provider. Six numbered arrows indicate information flows: (1) Legacy TEs and TE-BEs to Gateway; (2) Legacy TEs and TE-BEs with IAD to Gateway; (3) NGN TEs and TE-BEs to Gateway; (4) Gateway to Service control authentication function; (5) Legacy TEs and TE-BEs with IAD to Service control authentication function; (6) NGN TEs and TE-BEs to Service control authentication function. A bracket groups arrows (1), (2), and (3) as 'NGN access/attachment authentication and authorization'. Another bracket groups arrows (4), (5), and (6) as 'Bundled NGN access/attachment and service/application authentication and authorization'. + +**Figure 6 – Reference model for network access/attachment authentication and authorization** + +Figure 6 shows relationships for network access/attachment identification, authentication and authorization: + +- a) Device NGN access/attachment authentication and authorization – Services and capability to identify, authenticate and authorize user devices access or attachment to the access IP network. + - 1) This information flow represent services and capabilities to identify, authenticate and authorized legacy TE and TE-BE for access/attachment to the access IP network. The information flow is between the gateway (claimant) in the access NGN domain terminating the legacy TE and TE-BE in the customer domain and a network element (e.g., network access point) in the access NGN domain providing the NGN access/attachment authentication and authorization functions. The NGN access/attachment authentication and authorization functions (verifier) may be part of the general NACF defined in [ITU-T Y.2012]. However, where this function is implemented is implementation dependent. + - 2) This information flow represents services and capabilities to identify, authenticate and authorize legacy TE and TE-BE with IAD in the customer domain for access/attachment to the access IP network. The information flow is between the IAD (claimant) in the customer domain and a network element (e.g., network access point) in the access NGN domain providing the NGN access/attachment authentication and authorization. The NGN access/attachment authentication and authorization function (verifier) may be part of the general NACF defined in [ITU-T Y.2012]. However, where this function is implemented is implementation dependent. + - 3) This information flow represents services and capabilities to identify, authenticate and authorize NGN TE and TE-BE with IP capabilities in the customer domain for access/attachment to the IP network. The information flow is between the NGN TE or TE-BE (claimant) in the customer domain and a network element (e.g., network access point) in the access NGN domain providing the NGN access/attachment authentication and authorization. The NGN access/attachment authentication and authorization + +function (verifier) may be part of the general NACF defined in [ITU-T Y.2012]. However, where this function is implemented is implementation dependent. + +- b) Bundled device NGN access/attachment and service/application authentication and authorization – services and capabilities to bundle the access NGN provider authentication of the user device with the service NGN provider authentication and authorization of the user: +- 4) This information flow represents services and capabilities for the service NGN provider to implicitly identify and authorize legacy TE and TE-BE. The information flow is between a gateway (claimant) in the access network domain and the NGN provider domain (verifier). + - 5) This information flow represents services and capabilities for the service NGN provider to implicitly identify and authorize legacy TE and TE-BE with IAD. The information flow is between the IAD (claimant) in the customer domain and the service NGN provider domain (verifier). + - 6) This information flow represents services and capabilities for the service NGN provider to directly identify, authenticate and authorize NGN TE and TE-BE in the customer domain. The information flow is between the NGN TE and TE-BE (claimant) in the customer domain and the service NGN provider domain (verifier). + +#### **Reference model for nomadicity** + +Figure 7 shows the reference model for nomadicity. This reference model is similar to the general reference model, except that in this scenario there is a visited NGN and home NGN to take into consideration. + +- 1) Visited NGN domain: NGN hosted by a visited NGN provider. Provides visited network functions for other NGN providers (i.e., home network provider). Trust relationships are governed by SLAs. The visited network may offer NGN services and may have its own subscribers. +- 2) Home NGN domain: NGN hosted by the home NGN provider. The home NGN provider offers NGN services to its subscribers. Trust relationships are governed by SLAs. + +![Figure 7: Reference model for nomadicity. The diagram illustrates the information flows between four domains: Customer domain, Access NGN, Visited NGN, and Home NGN. The Customer domain contains Legacy TEs and TE-BEs, Legacy TEs and TE-BEs connected via IAD, and NGN TEs and TE-BEs. The Access NGN contains a Network access authentication function and a Gateway. The Visited NGN contains a Service control authentication function. The Home NGN contains a Service control authentication function. All domains are connected via IP networks. Information flows are numbered (1) through (7). Flows (1), (2), and (3) are solid arrows between the Customer domain and the Access NGN. Flows (4), (5), and (6) are dashed arrows between the Access NGN and the Home NGN. Flow (7) is a dashed arrow between the Visited NGN and the Home NGN. A bracket on the right side groups flows (4), (5), and (6) as 'Bundled NGN access/attachment and service/application authentication and authorization for mobility'. The reference Y.2702(08)_F07 is noted at the bottom right.](cbdfdade780e677eb1c1aef3081ce9ef_img.jpg) + +Figure 7: Reference model for nomadicity. The diagram illustrates the information flows between four domains: Customer domain, Access NGN, Visited NGN, and Home NGN. The Customer domain contains Legacy TEs and TE-BEs, Legacy TEs and TE-BEs connected via IAD, and NGN TEs and TE-BEs. The Access NGN contains a Network access authentication function and a Gateway. The Visited NGN contains a Service control authentication function. The Home NGN contains a Service control authentication function. All domains are connected via IP networks. Information flows are numbered (1) through (7). Flows (1), (2), and (3) are solid arrows between the Customer domain and the Access NGN. Flows (4), (5), and (6) are dashed arrows between the Access NGN and the Home NGN. Flow (7) is a dashed arrow between the Visited NGN and the Home NGN. A bracket on the right side groups flows (4), (5), and (6) as 'Bundled NGN access/attachment and service/application authentication and authorization for mobility'. The reference Y.2702(08)\_F07 is noted at the bottom right. + +**Figure 7 – Reference model for nomadicity** + +The reference model shows information flows between the different domains for bundling the user device authentication and authorization and authentication and authorization of the user for nomadicity. The information flows represent services and capabilities to bundle the visited NGN provider authentication and authorization of the user device with the home NGN provider authentication and authorization of the user for nomadicity: + +- (1) – (6) – These information flows are the same flows as described for the single service provider scenario in Figure 6. +- (7) – This information flow represents services and capabilities for a visited NGN provider and a home NGN provider to exchange identification, authentication and authorization information in support of nomadicity. + +### 7.3 Requirements + +#### 7.3.1 General requirements + +The following are general requirements for device network access/attachment identification, authentication and authorization: + +- (R-3) – It is required that the NGN be able to uniquely identify end user/subscriber devices (e.g., TE and TE-BE) based on NGN provider policy. +- (R-4) – It is required that the NGN be capable of identifying, authenticating, and authorizing attachment of the TE and TE-BE at network access points (NAPs). +- (R-5) – It is required that network access will only be granted to authorized TE and TE-BE. +- (R-6) – For multi-network arrangements, each administrative domain (e.g., access NGN provider, visited NGN provider, and home NGN provider) is required to enforce policies (e.g., trust relationships) for identification, authentication, and authorization of TE and TE-BE network access/attachment (e.g., using SLAs). + +- (R-7) – The NGN is required to support capabilities to protect authentication and authorization information (e.g., user profile, subscription information, identity patterns) against unauthorized access, manipulation and corruption. +- (R-8) – The NGN is required to support capabilities to provide confidentiality and integrity of protection of messages and information exchanges used for authentication and authorization. +- (R-9) – The NGN is required to support capabilities for protection against attacks (e.g., message replay and denial of service attacks) on authentication and authorization functions and capabilities. +- (R-10) – It is required that the NGN be capable of detecting and logging unauthorized access attempts (e.g., a system configurable threshold may be set for the number of unauthorized access attempts beyond which an alarm will be generated, logged, and reported to a management system). + +#### **7.3.2 Legacy TE and TE-BE** + +NAPs supporting network access for legacy TE and TE-BE need to support capabilities to identify, authenticate and authorize such access. + +- (R-11) – Network access points (NAPs) supporting legacy TE and TE-BE are required to support capabilities to uniquely identify the fixed line for the attachment or connectivity to the NGN. A layer 2 address may be used to identify a fixed line (e.g., MAC or link layer address). This function may be provided as part of the general NACF defined in [ITU-T Y.2012]. +- (R-12) – NAPs supporting legacy TE and TE-BE are required to support capabilities to authenticate and authorize the fixed line for attachment or connectivity to the NGN. Access control lists (ACLs) and transport stratum subscription/user profile information may be used to authorize fixed line access to the NGN. These functions may be provided as part of the general NACF defined in [ITU-T Y.2012]. +- (R-13) – NAPs supporting legacy TE and TE-BE are required to support capability to link and bind the identity of a fixed line with the IP address used for NGN access connectivity. This function may be provided as part of the general NACF defined in [ITU-T Y.2012]. + +#### **7.3.3 Legacy TE and TE-BE with IAD** + +NAPs supporting network access for legacy TE and TE-BE with IAD in the customer domain need to support capabilities to identify, authenticate and authorize such access. + +- (R-14) – NAPs supporting legacy TE and TE-BE with IAD in the customer domain are required to support capabilities to uniquely identify the fixed line and the IAD for the attachment or connectivity to the NGN. A layer 2 address may be used to identify a fixed line (e.g., MAC or link layer address) and an IP address for the IAD. This function may be provided as part of the general network NACF defined in [ITU-T Y.2012]. +- (R-15) – NAPs supporting legacy TE and TE-BE with IAD in the customer domain are required to support capabilities to authenticate and authorize the IAD for attachment or connectivity to the NGN. Only authorized IADs are allowed to obtain attachment or network connectivity to the NGN. Access control lists (ACLs) and transport stratum subscription/user profile information may be used to authorize IAD and fixed line access to the NGN. These functions may be provided as part of the general network NACF defined in [ITU-T Y.2012]. +- (R-16) – NAPs supporting legacy TE and TE-BE with IAD in the customer domain are required to support capability to link and bind the identity of a fixed line with the identity of the + +IAD. This function may be provided as part of the general NACF defined in [ITU-T Y.2012]. + +#### **7.3.4 NGN TE and TE-BE** + +NAPs supporting network access for NGN TE and TE-BE need to support capabilities to identify, authenticate and authorize such access to the NGN. + +- (R-17) – NAPs supporting NGN TE and TE-BE (i.e., direct IP connectivity) are required to support capabilities to uniquely identify user devices within its domain for NGN attachment and connectivity. NGN TE and TE-BE may be uniquely identified by device identities and network addresses (e.g., equipment identities, SIM cards, security token, IP addresses, etc.). +- (R-18) – NAPs supporting NGN TE and TE-BE (i.e., direct IP connectivity) are required to support capabilities to authenticate and authorize user devices within its domain for NGN attachment and connectivity. The authentication and authorization may be based on transport stratum subscription/user profile information. Only authorized NGN TE and TE-BE are allowed to obtain attachment or network connectivity to the NGN. These functions may be provided as part of the general NACF defined in [ITU-T Y.2012]. + +#### **7.3.5 Bundled user and user device authentication and authorization** + +Based on risk assessment, authentication and authorization of the user and the user's device combination may be needed to provide a higher level of identity assurance. NGN may support capabilities to bundle authentication functions for NGN access/attachment and access to services/applications based on transport stratum (e.g., user device and network access information) and service stratum (e.g., subscription/user profile) information. + +- (R-19) – It is required that capabilities to uniquely identify and bind user and user device combination be supported based on NGN provider policy. +- (R-20) – It is required that capabilities to authenticate and authorize user and user device combination be supported based on NGN provider policy. Only authorized users and user devices are allowed to obtain attachment/network and access to services/applications. + +#### **7.3.6 Bundled user and user device authentication and authorization for nomadicity** + +Authentication and authorization of the user and the user's device combination may be supported to provide higher level of identity assurance for nomadicity. Capabilities for exchanging and sharing identification, authentication and authorization information (e.g., user profiles information) among the different administrative domains (i.e., access NGN provider, visited NGN provider, and home NGN provider) for IdM may be supported (see clause 8.2.2). + +- (R-21) – It is required that capabilities to uniquely identify user and user device combination for nomadicity be supported based on NGN provider policy. +- (R-22) – It is required that capabilities to authenticate and authorize user and user device combination for nomadicity be supported based on NGN provider policy. In cases where the service is independent of the user device, authentication of access information such as fixed line, location or access address may be combined with authentication of the user to provide higher assurance level. + +## 8 Service NGN provider authentication and authorization of user for access to service/application + +### 8.1 Description + +Capabilities are needed to mitigate threats associated with unauthorized access to the services and features provided by a NGN provider. Authentication and authorization services and capabilities are needed to determine whether a user is authorized to receive service or authorized to perform an action based on its privileges. Service/application authentication and authorization is viewed as a NGN provider authentication of a user and authorization of the user to receive NGN services or to perform an action based on its privileges. Service/application authentication and authorization may involve verifying the identities and authorization of the privileges of the following: + +- user +- user device +- user and device combination + +Based on the NGN architecture defined in [ITU-T Y.2012], service/application authentication and authorization functions will be supported in the service stratum using subscription and user profile information. + +![Figure 8: Reference model for service/application authentication and authorization. The diagram shows three domains: Customer domain, Access NGN provider, and Service NGN provider. The Customer domain contains a User and NGN TEs and TE-BEs. The Access NGN provider contains a Network access authentication function and an IP network. The Service NGN provider contains a Service control authentication function and an IP network. Arrows indicate three types of authentication flows: (1) User device authentication from the Service NGN provider to the Access NGN provider, (2) User device authentication from the Service NGN provider to the User, and (3) User device authentication from the Service NGN provider to the User via a dashed line.](6ca05954842b17f14dfd52f26b9d43d2_img.jpg) + +``` + +graph LR + subgraph "Customer domain" + User + TEs["NGN TEs and TE-BEs"] + end + subgraph "Access NGN provider" + NAAF["Network access authentication function"] + IP1["IP network"] + end + subgraph "Service NGN provider" + SCAF["Service control authentication function"] + IP2["IP network"] + end + TEs -- IP --- IP1 + IP1 --- IP2 + SCAF -. "(1) User device authentication" .-> NAAF + SCAF -- "(2) User device authentication" --> TEs + SCAF -- "(3) User device authentication" --> User + +``` + +The diagram illustrates the reference model for service/application authentication and authorization across three domains: Customer domain, Access NGN provider, and Service NGN provider. The Customer domain includes a User and NGN TEs and TE-BEs. The Access NGN provider includes a Network access authentication function and an IP network. The Service NGN provider includes a Service control authentication function and an IP network. Three authentication flows are shown: (1) User device authentication from the Service NGN provider to the Access NGN provider, (2) User device authentication from the Service NGN provider to the User device (TEs), and (3) User authentication from the Service NGN provider to the User. + +Figure 8: Reference model for service/application authentication and authorization. The diagram shows three domains: Customer domain, Access NGN provider, and Service NGN provider. The Customer domain contains a User and NGN TEs and TE-BEs. The Access NGN provider contains a Network access authentication function and an IP network. The Service NGN provider contains a Service control authentication function and an IP network. Arrows indicate three types of authentication flows: (1) User device authentication from the Service NGN provider to the Access NGN provider, (2) User device authentication from the Service NGN provider to the User, and (3) User device authentication from the Service NGN provider to the User via a dashed line. + +**Figure 8 – Reference model for service/application authentication and authorization** + +Figure 8 shows example relationships for service/application authorization and authentication in a multi-network provider scenario: + +- (1) This information flow represents the service NGN provider relying on the access NGN provider for authentication of a user device through trust relationships. +- (2) This information flow represents the service NGN provider authentication and authorization of a user device. This case would require the user device to have special identification capabilities (e.g., SIM). +- (3) This information flow represents the service NGN provider authentication of the user (e.g., user login and provide password or PIN). + +### **8.2 Requirements** + +#### **8.2.1 General requirements** + +The following are general requirements regarding the NGN provider authentication and authorization of the user: + +- (R-23) – The NGN is required to support capabilities to identify a user, a user device and a user and device combination based on subscription and user profile information. +- (R-24) – The NGN is required to support capabilities to authenticate and authorize a user, a user device, or a user and user device combination based on subscription and user profile information. +- (R-25) – It is required that NGN services only be granted to authorized user, device, or user and device combination. +- (R-26) – It is required that the NGN support capabilities to verify and authorize the privileges of a user (e.g., allowing the user to perform certain actions only if its role or privilege is authorized). +- (R-27) – For multi-network arrangements, each administrative domain (e.g., access NGN provider, visited NGN provider, and home NGN provider) is required to enforce policies (e.g., SLAs) for identification, authentication, and authorization of a user, a user device, and a user and device combination. +- (R-28) – The NGN is required to support capabilities to provide confidentiality and integrity protection of messages and information exchanges used for authentication and authorization of user, user device, and user and device combination. +- (R-29) – The NGN is required to support capabilities to protect against unauthorized access, manipulation and corruption of service authentication and authorization information (e.g., user profile and subscription information). +- (R-30) – The NGN is required to support capabilities for protection against attacks (e.g., message replay and denial of service attacks) on service authentication and authorization functions and capabilities. +- (R-31) – Capabilities to bundle access network technology specific authentication of user device with the authentication of the user are required to be supported based on NGN provider policy. +- (R-32) – It is required that the NGN be capable of detecting and logging unauthorized access attempts to NGN services or resources (e.g., a system configurable threshold may be set for the number of unauthorized access attempts beyond which an alarm will be generated, logged, and reported to a management system). +- (R-33) – It is required that the NGN be capable of detecting and logging access attempts that are unauthorized (e.g., unauthorized user actions). + +#### **8.2.2 Authentication result sharing for IdM** + +The NGN provider may need to exchange authentication results among different services and/or applications within its network and externally to other NGN providers to support identity management (IdM) services. This may include assertions and other information relevant to IdM such as (not limiting): + +- a) trust policy; +- b) authentication method and information used for the authentication (e.g., authentication keys); +- c) assurance levels; +- d) privilege management information (e.g., privileges assigned or validated). + +Capabilities for secure exchange of authentication result information (e.g., assertions) and other related information as described above will allow NGN providers to design service/application platforms with efficient and user friendly authentication and authorization features. For example, authentication result information can be shared among systems (e.g., application servers) supporting different services and/or applications to allow a NGN provider to support "single sign on" features and capabilities for user's convenience. The following requirements are applicable to exchange and sharing of authentication results within an NGN provider's network: + +- (R-34) – The NGN is required to support capabilities to allow the systems and network elements (e.g., application servers) supporting different services and/or applications to exchange and share authentication result information (e.g., assertions, privilege management information, trust policy, and assurance levels) securely based on the NGN provider's service/application platform specific designs and security policy. +- (R-35) – It is required that the communication between different systems or network elements (e.g., application servers) to exchange or share authentication result information be protected against unauthorized access, observation, manipulation or corruption (e.g., confidentiality and integrity protected). This includes protection of any stored information. + +In a multi-network environment, NGN providers may need to exchange and share authentication results securely with each other based on SLAs. The following requirements are applicable to the exchange and sharing of authentication results between different NGN providers: + +- (R-36) – It is required to support capabilities to allow NGN providers to exchange and share authentication results securely (i.e., across NNI and ANI) based on trust relationships, policies and SLAs between the NGN providers. +- (R-37) – It is required that communication between NGN providers to exchange and share authentication result information (i.e., across NNIs and ANIs) be protected against unauthorized access, observation, manipulation or corruption (e.g., confidentiality and integrity protected). This includes protection of any stored information. The specific security mechanisms and security practices will be based on trust relationships, policies and SLAs between the NGN providers. +- (R-38) – It is required to support capabilities to prove authentication method and communicate information about the method(s) that were used to authenticate entities to relying parties such as: + - method of user's identity verification; + - authentication method (use of digital certificates, signatures, security token, biometric data, SIM, etc.); + - trust policy; + - authentication assurance levels. + +Sharing of authentication information and results are subjected to the compliance with the relevant policies, such as national and regional regulations and legislations for protection of Personally Identifiable Information (PII). + +- (R-39) – It is required that the NGN Provider ensures the compliance with the relevant policies, such as national and regional regulations and legislations for protection of personally identifiable information (PII). This includes policies formed on the following basic data protection principles: + - binding of data to a specific purpose; + - no data sharing between applications for different purposes; + - limitation of data to the minimum needed for a specific purpose; + +- right of persons to have control over their PII. + +#### 8.2.3 Service NGN provider authentication and authorization of user for access to specific service/application + +NGN providers will have to manage user's privileges for access (including user roles and privileges to perform actions) to specific service/applications such as: + +- Voice services +- Streaming services +- Data and messaging services +- Emergency telecommunications service (ETS) and telecommunication for disaster relief (TDR) + +Each service may have its own assurance level requirement to validate the identity and privileges of a user, user device or user and device combination based on the risks associated with the likelihood of unauthorized entities obtaining access to the service resource. The necessary assurance level for the authentication and validation of the privileges of a user, user device or user and device combination must be established and implemented for specific service based on the NGN security policy. This would involve support and use of various authentication methods ranging from basic authentication methods using passwords and personal identification numbers (PINs) and more stringent methods using authentication keys such as: + +- a) digital certificates (e.g., X.509 PKI) +- b) security tokens (hardware and software tokens) and smart cards +- c) behavioural characteristic data (e.g., keystroke analysis) +- d) biometric identification data (e.g., voice recognition, fingerprint, iris, or retina identification) + +NOTE – Authentication of an entity is not intended to indicate positive validation of a person. + +The ease of use by the user should also be taken into account for authentication and authorization. This is especially true for certain types of services such as ETS and TDR. It is desirable that the authentication process should be user friendly. Refer to Appendix II for information on ETS authentication and authorization examples. + +When considering service specific authentication and authorization, the following requirements in addition to those in clauses 8.2.1 and 8.2.2 are applicable: + +- (R-40) – Authentication methods for credentials are required to be supported based on NGN provider policy. Multi-factor authentication methods are required to be supported and used as appropriate based on NGN provider policy for identity and privilege assurance. +- (R-41) – It is required that it be possible to uniquely identify all users associated with a subscription to an application service, subject to NGN provider policy. This includes the identification of aggregate end users whose user identities may not be provided to the NGN provider.2 +- (R-42) – Subject to NGN provider policy, it is required that it be possible to bind a number of individual users to the same subscription. +- (R-43) – Each user/subscriber associated with an application service subscription is required to be uniquely addressable for communication purposes. + +--- + +2 An aggregate end point will have two or more aggregate users associated with it. The identity of these users may only be known to the aggregate end point and not the NGN provider. + +- (R-44) – Subject to NGN provider policy, it is required that it be possible for the end-user to access a service simultaneously multiple times and/or from multiple devices. +- (R-45) – It is required that it be possible to support multiple subscription profiles for an individual end-user. These multiple subscription profiles are required to be uniquely identifiable. + +Subject to NGN provider policy, periodic authentication of a user may be necessary for high assurance and security. + +- (R-46) – Subject to NGN provider policy, it is required that it be possible to periodically re-authenticate the user (e.g., an end user, network element or object) for the duration of an established communication session or transaction. + +## **9 User authentication and authorization of NGN providers** + +This clause provides requirements related to user authentication and authorization of the network (e.g., user authenticating the identity of the connected NGN network or of the service provider). + +### **9.1 Description** + +The NGN architecture allows end users to obtain services from multiple NGN providers. In addition, the transport NGN provider (e.g., access NGN provider) can be different from the service NGN provider. As a result, end users may need to verify the identities of NGN providers (e.g., access, transport and service providers). Specifically, the following may need to be supported: + +- Capabilities to allow an end user to identify, authenticate and authorize the access NGN provider for network connectivity (e.g., network access). +- Capabilities to allow an end user to identify, authenticate and authorize a service NGN provider + +### **9.2 Objectives and requirements** + +#### **9.2.1 User authentication of NGN provider for network attachment** + +Network access points supporting network access for NGN TE and TE-BE should support capabilities to allow the user to identify, authenticate and authorize the network attachment. + +- (R-47) – Network access points (NAPs) supporting NGN TE and TE-BE (i.e., direct IP connectivity) shall support capabilities to allow the end user to uniquely identify the NGN provider for attachment and connectivity if required by security policy. +- (R-48) – Network access points (NAPs) supporting NGN TE and TE-BE (i.e., direct IP connectivity) shall support capabilities to allow the user to authenticate and authorize the NGN provider for attachment and connectivity if required by security policy. These functions may be provided as part of the general network attachment control function (NACF) defined in [ITU-T Y.2012]. +- (R-49) – For multi-network arrangements, each administrative domain (i.e., network access provider, visited NGN provider, and home NGN provider) is required to enforce policies (e.g., trust relationships) regarding the identification, authentication, and authorization of the network attachment (e.g., using SLAs). + +#### **9.2.2 User authentication of NGN provider for obtaining service** + +Capabilities to allow an end user to authenticate and authorize an NGN provider to obtain NGN services may be provided. + +- (R-50) – The NGN shall support capabilities to allow an end user to uniquely identify the NGN provider providing a service or set of services if required by security policy. + +- (R-51) – The NGN shall support capabilities to allow an end user to authenticate and authorize the NGN provider providing service or set of services if required by security policy. + +## **10 NGN provider supported user peer-to-peer authentication and authorization** + +This clause is provided for completeness and is informational. + +It is transparent to the NGN provider that peer-to-peer communications are occurring, as the traffic transverses the NGN provider network only at the transport layer. It should be noted that an NGN provider may provide the role as an IdP providing IdM services (e.g., capabilities for peer-to-peer authentication) for these communication scenarios. + +## **11 Mutual network authentication and authorization** + +### **11.1 Description** + +Mutual network authentication and authorization are needed to mitigate threats of unauthorized access. Network access authentication and authorization services are needed to verify the identities and to determine whether network transport access, and/or services and capabilities access should be granted. Network access may occur at either the NNI or ANI. + +Figure 9 shows the reference model for mutual network authentication and authorization consisting of the following security domains: + +- 1) Access network domain: Access network hosted by an access network provider (e.g., narrow-band, xDSL and cable). The access network provider may or may not be the same as the NGN provider. Trust relationships between access network provider and NGN provider are governed by service level agreements (SLAs). +- 2) Visited NGN domain: NGN hosted by a visited network provider. Provides visited network functions for other NGN network providers (i.e., home network provider). Trust relationships are governed by service level agreements (SLAs). The visited network may offer NGN services and may have its own subscribers. In addition, the visited network may have agreements with 3rd party application service provider. In addition, the visited network may interface with the home network via a transit network, and the trust relationship is governed by SLAs. +- 3) Home network domain: NGN hosted by a home network provider. The home network offers NGN services to its subscribers. In addition, the home network may have agreements with 3rd party application service providers via an ANI. Trust relationships between visited and home network providers, including any 3rd party provider are governed by service level agreements (SLAs). In addition, the home network may interface with a visited or other network via a transit network, where the trust relationships are governed by SLAs. +- 4) Transit network domain: NGN providing only transport. Trust relationships between the transport network and the adjacent networks, including any 3rd party provider are governed by service level agreements (SLAs). +- 5) Other network domain: Either an NGN or non-NGN provider. Trust relationships are governed by service level agreements (SLAs). + +![Figure 9: Mutual network authentication diagram. The diagram shows five network boxes: Access network, Visited network, Home network, Transit network, and Other network. Each box contains a 'Network access' circle and an 'IP network' cloud. The 'Visited', 'Home', and 'Other' networks also contain a 'Service control access' circle. Solid horizontal arrows connect the 'Network access' circles of adjacent networks (Access to Visited, Visited to Home, Home to Transit, Transit to Other). Dashed horizontal arrows connect the 'Service control access' circles of the Visited, Home, and Other networks. Vertical lines connect 'Service control access' to 'Network access' within each of the Visited, Home, and Other networks. A label 'Y.2702(08)_F09' is at the bottom right.](f9c64800d9bace9b4315646d1057be3c_img.jpg) + +Figure 9: Mutual network authentication diagram. The diagram shows five network boxes: Access network, Visited network, Home network, Transit network, and Other network. Each box contains a 'Network access' circle and an 'IP network' cloud. The 'Visited', 'Home', and 'Other' networks also contain a 'Service control access' circle. Solid horizontal arrows connect the 'Network access' circles of adjacent networks (Access to Visited, Visited to Home, Home to Transit, Transit to Other). Dashed horizontal arrows connect the 'Service control access' circles of the Visited, Home, and Other networks. Vertical lines connect 'Service control access' to 'Network access' within each of the Visited, Home, and Other networks. A label 'Y.2702(08)\_F09' is at the bottom right. + +**Figure 9 – Mutual network authentication** + +#### 11.1.1 Transport level authentication + +As shown in Figure 9, transport level authentication is on a hop-by-hop basis, whereby the authentication is always with the adjacent network at the transport. This means that the home network does not necessarily need to have an SLA agreement with the other network shown in the figure, but rather the transport level relationship is between the home network and the transit network and then between the transit network and the other network. + +#### 11.1.2 Service/application level authentication + +As shown in Figure 9, service/application level authentication is directly between the service control stratum of the visited, home, and other network, at a peer-to-peer service/application level. This peer-to-peer relationship is logical and not physical. The physical path is vertical from the service control to network access in one network, then transported directly or via a transit network, and then vertically from the network to service control access in the peer service/application network. + +### 11.2 Mutual network authentication requirements + +- (R-52) – The NGN is required to support capabilities to uniquely identify adjacent networks at the transport stratum. +- (R-53) – The NGN is required to support capabilities to authenticate and authorize access from adjacent networks at the transport stratum. +- (R-54) – The NGN is required to support capabilities to uniquely identify adjacent networks at the service stratum. +- (R-55) – The NGN is required to support capabilities to authenticate and authorize access from adjacent networks at the service stratum. +- (R-56) – Each NGN provider is required to enforce policies for mutual network identification, authentication, and authorization (e.g., using SLAs and trust relationships). +- (R-57) – For inter-network communication it is required that it be possible to uniquely identify network elements involved by correlating network element identifiers with identifiers associated with the interconnected NGN provider. +- (R-58) – The NGN is required to support capabilities to protect against unauthorized access, manipulation and corruption of mutual network authentication and authorization information. + +- (R-59) – The NGN is required to support capabilities for protection against attacks (e.g., message replay and denial of service attacks) on mutual network authentication and authorization functions and capabilities. +- (R-60) – It is required that the NGN be capable of detecting and logging unauthorized access attempts from other networks (e.g., a system configurable threshold may be set for the number of unauthorized access attempts beyond which an alarm will be generated, logged, and reported to a management system). + +Subject to NGN provider policy, periodic authentication of an adjacent NGN provider may be necessary for high assurance and security. + +- (R-61) – Subject to NGN provider policy, it is required that it be possible to periodically re-authenticate the interconnecting NGN provider for the duration of the established communication session or transaction. + +## 12 NGN provider authentication and authorization of 3rd party service/application provider + +### 12.1 Description + +There may be certain scenarios where the provider of an application or service is different from the NGN provider (i.e., a 3rd party service/application provider). In such scenarios, the NGN provider would need to authenticate and authorize the 3rd party service/application provider as shown in Figure 10. + +![Figure 10: 3rd party service/application provider authentication and authorization. The diagram shows three domains: Customer domain, NGN provider network, and 3rd party service/application provider. In the Customer domain, a User is connected to NGN TEs and TE-BEs. In the NGN provider network, there is a Service control authentication function connected to an IP network. In the 3rd party service/application provider, there is also a Service control authentication function connected to an IP network. A double-headed arrow labeled '(1) NGN provider authentication of the NGN service/application provider' connects the two IP networks. A reference code 'Y.2702(08)_F10' is at the bottom right.](ac31fdfebb9751f7f10416dfe33bc872_img.jpg) + +Figure 10: 3rd party service/application provider authentication and authorization. The diagram shows three domains: Customer domain, NGN provider network, and 3rd party service/application provider. In the Customer domain, a User is connected to NGN TEs and TE-BEs. In the NGN provider network, there is a Service control authentication function connected to an IP network. In the 3rd party service/application provider, there is also a Service control authentication function connected to an IP network. A double-headed arrow labeled '(1) NGN provider authentication of the NGN service/application provider' connects the two IP networks. A reference code 'Y.2702(08)\_F10' is at the bottom right. + +**Figure 10 – 3rd party service/application provider authentication and authorization** + +It should be noted that the user and network authentications described in the previous clauses occur and are not shown in Figure 10 and the text below. + +### 12.2 Requirements + +- (R-62) – A 3rd party service/application provider is required to support capabilities to identify itself to an NGN service provider. +- (R-63) – A 3rd party service/application provider is required to support capabilities to identify itself to a user. +- (R-64) – The NGN is required to support capabilities to uniquely identify 3rd party service/application providers. + +- (R-65) – The NGN is required to support capabilities to authenticate and authorize 3rd party service/application providers. +- (R-66) – NGN provider and 3rd party service/application providers are required to enforce policies for identification, authentication, and authorization (e.g., using SLAs and trust relationships). +- (R-67) – The NGN and 3rd party service/application providers are required to support capabilities to protect against unauthorized access, manipulation and corruption of authentication and authorization information. +- (R-68) – The NGN and 3rd party service/application providers are required to support capabilities to protect against attacks (e.g., message replay and denial of service attacks) on authentication and authorization functions and capabilities. +- (R-69) – It is required that the NGN be capable of detecting and logging unauthorized access attempts from 3rd party service/application providers (e.g., a system configurable threshold may be set for the number of unauthorized access attempts beyond which an alarm will be generated, logged, and reported to a management system). + +Subject to NGN provider policy, periodic authentication of a 3rd party service/application provider may be necessary for high assurance and security. + +- (R-70) – Subject to NGN provider policy, it is required that it be possible to periodically re-authenticate the 3rd party service/application provider for the duration of an established communication session or transaction. + +## **13 Use of 3rd party authentication and authorization service** + +### **13.1 Description** + +Third party authentication and authorization service providers may provide: + +- authentication of the user to a service provider; +- authentication of a service provider to the user; +- authentication between service providers; and +- authentication of a service/application provider by either a user or service provider. + +In this regard, there will be at least three entities involved when a 3rd party authentication service provider is used. In addition to the 3rd party authentication service provider performing its authentication service function(s) upon request, it is required to authenticate itself to both the requestor and requestee. + +### **13.2 Requirements** + +The requirements in clause 12.2 are applicable. + +## **14 Authentication and authorization of objects** + +### **14.1 Description** + +In addition to authentication and authorization of users, user devices and service providers, there is a need to authenticate objects in general. This includes physical objects such as network elements or systems as well as virtual objects such as: + +- applications; +- application process; +- software programs; + +- signalling, management and bearer messages and data content. + +### **14.2 Requirements** + +- (R-71) – The NGN is required to support capabilities to uniquely identify objects, subject to NGN provider policy. +- (R-72) – The NGN is required to support capabilities to authenticate and authorize objects, subject to NGN provider policy. +- (R-73) – It is required that the NGN support capabilities to verify and authorize the privileges of an object (e.g., allowing the object to perform an action or engage in a process only if its role or privilege is authorized). +- (R-74) – The NGN provider is required to enforce policies for identification, authentication, and authorization of objects. +- (R-75) – The NGN is required to support capabilities to provide confidentiality and integrity protection of messages and information exchanges used for authentication and authorization of objects. +- (R-76) – The NGN is required to support capabilities to protect against unauthorized access, manipulation and corruption of object authentication and authorization information. +- (R-77) – The NGN is required to support capabilities for protection against attacks (e.g., message replay and denial of service attacks) on object authentication and authorization functions and capabilities. +- (R-78) – It is required that the NGN be capable of detecting and logging unauthorized access attempts from objects (e.g., a system configurable threshold may be set for the number of unauthorized access attempts beyond which an alarm will be generated, logged, and reported to a management system). +- (R-79) – It is required that the NGN be capable of detecting and logging privilege attempts that are unauthorized (e.g., unauthorized user actions). + +Subject to NGN provider policy, periodic authentication of an adjacent NGN provider may be necessary for high assurance and security. + +- (R-80) – Subject to NGN provider policy, it is required that it be possible to periodically re-authenticate the associated object for the duration of the related established communication session or transaction. + +## Appendix I + +## SAML use case + +(This appendix does not form an integral part of this Recommendation) + +### I.1 Use of [b-ITU-T X.1141], Security Assertion Markup Language (SAML 2.0) + +This appendix provides example use cases for conveying authentication results while supporting privacy use of SAML for service/application authentication. + +### I.2 Service/application authentication procedures + +When the authentication resultants need to be exchanged among the trusted services and/or applications which can be 3rd party providers, security assertion markup language (SAML 2.0) may be used. SAML 2.0 is an open specification standardized by the Organization for the Advancement of Structured Information Standards (OASIS). SAML can be used specifically for the following cases: + +- Single sign on: when different services and applications allow their users single sign on for users' convenience without exchanging all user information among them. +- Account federation: when different services and applications link their accounts for the same user. + +### I.3 Service/application authentication – Call flow examples + +Figure I.1 shows a typical example of single sign on with federation using SAML 2.0. + +![Figure I.1: SSO call flow example using SAML 2.0. The diagram illustrates the sequence of events between a user, a Service Provider (SP), and an Identity Provider (IdP).](b560268ea8f6526970f23f0da225b099_img.jpg) + +The diagram illustrates the SSO call flow example using SAML 2.0. It shows the interaction between a user, a Service Provider (SP), and an Identity Provider (IdP). + +**Participants:** + +- A user:** Represented by a person icon and a computer icon. +- SP (Service Provider):** Represented by a green box. +- IdP (Identity Provider):** Represented by a yellow box. + +**Flow Steps:** + +- 1. Service request:** The user sends a service request to the SP. +- 2. Request for authenticationa:** The SP sends a request for authentication to the IdP. +- 3. Log on to IdP:** The user logs on to the IdP. +- 4. Send the assertion including authentication information by IdPa, b:** The IdP sends an assertion back to the SP. +- 5. Verify the assertion:** The SP verifies the assertion received from the IdP. +- 6. Provide service:** The SP provides the service to the user. +- 7. Service request to use another servicec:** The user sends a service request to another SP. + +**Callouts:** + +- A callout box from the SP to the user states: *SP trusts authentication resultant information from IdP to provide its service for a user*. + +**Footnotes:** + +- a) 2 and 4 are done communication (e.g., HTTP-redirect) via a user agent (e.g., Web browser). +- b) The assertion can contain attribute information and authorization decision when necessary. +- c) The same flow as from 1. through 6., excluding logging into IdP. (In other words, a user only needs to log on to IdP once to be authenticated.) + +**Reference:** Y.2702(08)\_Fl.1 + +Figure I.1: SSO call flow example using SAML 2.0. The diagram illustrates the sequence of events between a user, a Service Provider (SP), and an Identity Provider (IdP). + +Figure I.1 – SSO call flow example using SAML 2.0 + +[b-ITU-T X.1141] defines the terms shown on Figure I.1 as follows: + +- Identity provider (IdP) +A kind of service provider that creates, maintains, and manages identity information for principals and provides principal authentication to other service providers within a federation, such as with web browser profiles. +- Service provider +A role donned by a system entity where the system entity provides services to principals or other system entities. +- Assertion. +A piece of data produced by a SAML authority regarding either an act of authentication performed on a subject, attribute information about the subject, or authorization data applying to the subject with respect to a specified resource. + +### **I.4 Security of service/application authentication procedures and mechanisms** + +SAML 2.0 itself has features such as anonymous federation and pseudonyms to protect security as well as privacy. Anonymous federation provides a transient nameID for service provider. Pseudonyms allow users to be identified to a service provider during single sign on using pair-wise pseudonyms that preserve privacy while enabling a persistent relationship to be maintained with the user. SAML 2.0 also permits attribute statements, name identifiers, or entire assertions to be encrypted. This feature ensures that end-to-end confidentiality of these elements may be supported as needed. + +## Appendix II + +## ETS authentication and authorization + +(This appendix does not form an integral part of this Recommendation) + +### II.1 Overview + +Countries have, or are developing, emergency telecommunications service (ETS). Implementation of ETS by definition is a national matter. However, disasters/emergencies can transcend geographic boundaries, and thus there is a potential that countries/administrations may enter into bilateral and/or multilateral agreements to link their respective ETS systems. [b-ITU-T E.107] provides guidance that will enable telecommunications between one ETS national implementation (ENI) and other ENI(s). + +NGN providers are required to allow access only to authorized ETS users. The unauthorized access, such as by intruders masquerading as authorized users must be prevented. Therefore, mechanisms and capabilities to authenticate and authorize access of the ETS user, device or user and device combination as applicable based on policy3 and the assurance level for specific service (e.g., voice, data, video) is important for ETS security. + +In the interconnection between ETS national implementations, NGN providers will have to rely on each other for authentication and authorization of ETS users through service level agreements. There are multiple approaches for ETS authentication and authorization. This appendix provides information on example approaches for ETS authentication and authorization including some call flow examples. + +### II.2 ETS user authentication and authorization + +How ETS users are authenticated and authorized is a national matter. Generally, a NGN provider authenticates and authorizes a user's ETS call/session request based on the enrolment/registration method and how the service is invoked. Authentication may be on a per-call/session basis, on a one-time (time-limited) authentication basis applicable to the ETS user's current access, or on a subscription basis. NGN providers should expedite the authentication of authorized emergency telecommunications users early in the call/session set up process. Specific mechanisms and methods shall be used for authentication and authorization based on the applicable policy (e.g., use of personal identification number (PIN), and user and subscription profiles). Once the user, user device or user and device combination is authenticated and authorized based on the applicable policy, the ETS call/session is marked and indicated in the forward direction to subsequent networks, and optionally the ETS user's priority level. In addition, once authenticated and authorized, priority is given to all aspects of the ETS call/session, the signalling/control, the bearer traffic, and any applicable management. + +Example approaches for ETS authentication and authorization includes: + +- a) Use of personal identification number (PIN): This approach uses a PIN to authenticate and authorize the user. In this approach we identify the user and not the user device. Therefore, it is normally used in cases where the user is allowed to invoke the ETS service from any device. +- b) Use of subscription/service profile: In this approach, the user terminal service profile is provisioned to indicate ETS subscription. The user terminal is authenticated and the user's service profile is identified as part of the NGN provider's (i.e., ETS provider) normal + +--- + +3 NOTE – Policy in this context includes all applicable policies such as NGN provider, regulatory and governmental rules and regulations. + +registration procedure. When the user initiates a request, check against the user's service profile determines whether the user is authorized for ETS. The ETS request is granted if the ETS subscription is validated for the user terminal. + +- c) Use of PIN and service profile combination: Approaches combining the PIN and service profile methods may also be used to authenticate both the user and the user device to provide higher levels of assurance. +- d) Use of special security tokens and biometrics: In addition to the approaches described above, more sophisticated approaches using special security tokens and biometric capabilities to authenticate and authorize ETS users may be used to provide higher level of identity assurances. + +### **II.3 NGN provider authentication and authorization for ETS** + +Authentication and authorization consideration must also be given to the handing off and receiving of ETS traffic between NGN providers, taking into account a multi-provider environment and separation of service control and transport. Authentication and authorization of NGN providers for handing off and receiving ETS calls/session and traffic based on SLAs and applicable policy is also important for ETS security. + +### **II.4 ETS authentication and authorization use case examples** + +#### **II.4.1 Basic PIN-based authentication and authorization use case example** + +Figure II.1 illustrates a basic ETS authentication and authorization example involving the use of a personal identification number (PIN). + +![Sequence diagram for PIN authentication and authorization involving NGN terminal, P-CSC-FE, S-CSC-FE, ETS AS, and MS.](798679874d1c29f8343506a156c79d7e_img.jpg) + +The diagram illustrates the sequence of events for PIN authentication and authorization. The participants are NGN terminal, P-CSC-FE, S-CSC-FE, ETS AS, and MS. The process begins with the NGN terminal sending an INVITE (R-URI, RPH) to the ETS AS (Step 1). The ETS AS then sends an INVITE (VXML R-URI, RPH) to the MS (Step 2). The MS responds with a 200 OK [INVITE] (Step 3), followed by an Ack (RPH) to the ETS AS. The MS then sends an HTTP GET to the ETS AS, which responds with an HTTP 200 OK (Step 4). The MS sends a 200 OK [INVITE] to the ETS AS, which then sends an Ack to the NGN terminal (Step 5). The MS sends an HTTP POST to the ETS AS, which responds with an HTTP 200 OK (Step 6). The MS then sends a BYE (RPH) to the ETS AS, which responds with a 200 OK (Step 7). The MS sends a 200 OK to the ETS AS, which then sends a reINVITE (SDP for Hold, RRH) to the NGN terminal (Step 8/9). The MS sends a 200 OK to the ETS AS, which then sends an Ack (RPH) to the NGN terminal (Step 10). The MS sends an INVITE (R-URI=destination #, RPH) to the ETS AS (Step 11). The MS sends a 180 Ringing to the ETS AS, which responds with a 200 OK. The MS sends a reINVITE (SDP-DN, RRH) to the ETS AS, which responds with a 200 OK. The MS sends an Ack (RPH) to the ETS AS, which then sends a 200 OK to the NGN terminal (Step 12). The MS then plays tones and announcements to the calling user to collect PIN and destination number, and responds to the AS with the user's input. The diagram also shows a dotted line from the MS to the 'Toward destination number' label. + +Sequence diagram for PIN authentication and authorization involving NGN terminal, P-CSC-FE, S-CSC-FE, ETS AS, and MS. + +**Figure II.1 – PIN authentication and authorization** + +This example assumes that ETS user requests/invokes the ETS call/session by making a call/session request to an ETS number. In addition, all SIP requests include resource-priority header (RPH) [b-IETF RFC 4412] to indicate that priority treatment is required. + +- 1) The call/session is routed to an ETS application server (AS) where user authentication processing is initiated. +- 2) The ETS AS sends an INVITE message to the selected media server (MS), with an SDP offer associated with the caller. The INVITE message contains the URL of a VoiceXML script, stored at the ETS AS. The script describes how the MS should interact with the caller (what announcement to play, how to collect digits, how many digits to collect, interdigit timers, etc.). +- 3) Upon receipt of the INVITE message the MS: + - May send a 100 Trying to the ETS AS; + - Retrieves the VoiceXML script directly from the ETS AS using HTTP and the URL in the INVITE message. (MS sends a HTTP GET to the AS and VoiceXML script is returned from the ETS AS in an HTTP 200 OK); + - Validates the script; + - Formulates and sends a 200 OK message containing its own SDP to the ETS AS. + +- 4) The ETS AS sends a 200 OK towards the calling party (NGN terminal), including in it the session information it received from the MS. +- 5) At this point the media connection is available between the MS and the calling party. +- 6) Upon receipt of the ACK and VXML script in the HTTP 200 OK, the MS executes the VoiceXML script. It plays a tone and collects digits (PIN) entered by the calling party. +- 7) The MS then sends the collected digits directly to the ETS AS using an HTTP POST message. +- 8) Upon receipt of the collected digits, the ETS AS verifies whether the received digits (PIN) are valid. + - If the digits received are invalid (number of digits received or the wrong number), the ETS AS determines that further interaction with the caller is required. The ETS AS returns an HTTP 200 OK message to the MS with a new VoiceXML script. The ETS AS will instruct for final handling treatment. + - If the received digits are valid, the ETS AS will instruct the MS to play the announcement to collect the digits (Destination Number). +- 9) The ETS AS determines that the calling party entered destination digits are valid. +- 10) The ETS AS releases the MS from the call/session with a SIP BYE, and sends a reINVITE toward the calling party, with a SDP to place the media on hold. +- 11) The ETS AS sends an INVITE toward the destination party. Upon receiving 200 OK (answer), the ETS AS sends a reINVITE with the SDP associated with the destination toward the calling party. +- 12) Media path is established between the calling party and destination number, with the authentication ETS AS in the call control path. + +#### II.4.2 Subscription/service profile authentication and authorization use case example + +Figure II.2 illustrates use case example where the subscription/service profile is used for ETS authentication and authorization. + +![Sequence diagram illustrating the subscription-based authentication and authorization process between User, P/I-CSCF, HSS, and S-CSCF.](32ff77da4286b58c4778033acaa10836_img.jpg) + +``` + +sequenceDiagram + participant User + participant P_I_CSCF as P/I-CSCF + participant HSS + participant S_CSCF as S-CSCF + + Note over User: (1) REGISTER + User->>P_I_CSCF: REGISTER + Note over P_I_CSCF: (2) + P_I_CSCF-->>HSS: (3) + HSS-->>P_I_CSCF: (4) + Note over P_I_CSCF: (4) REGISTER + P_I_CSCF->>S_CSCF: REGISTER + Note over S_CSCF: (5) + S_CSCF-->>HSS: (6) + HSS-->>S_CSCF: (7) + Note over S_CSCF: (7) 200 OK + S_CSCF->>P_I_CSCF: 200 OK + Note over P_I_CSCF: (8) + P_I_CSCF->>User: 200 OK + Note over User: (8) INVITE + User->>P_I_CSCF: INVITE + Note over P_I_CSCF: INVITE + P_I_CSCF->>S_CSCF: INVITE + Note over S_CSCF: (9) + +``` + +NOTE – All message exchanges are not shown for simplicity + +Y.2702(08)\_F11.2 + +Sequence diagram illustrating the subscription-based authentication and authorization process between User, P/I-CSCF, HSS, and S-CSCF. + +**Figure II.2 – Subscription-based example** + +This example relies on the subscription/service profile associated with the user device. Normal registration and authentication process for the user device is performed by the network. When the + +user invokes an ETS call/session, the service/subscription profile is checked to determine whether the user device is authorized for the ETS call/session. The call flows are as follows: + +- 1) Registration initiation +- 2) P/I-CSCF queries HSS +- 3) HSS verifies user subscription and provides identity of S-CSCF +- 4) P/I-CSCF sends register message to S-CSCF +- 5) S-CSCF queries HSS +- 6) HSS provides user service profile information (may involve interaction with AS) +- 7) S-CSCF sends 200 OK +- 8) User initiates ETS session +- 9) S-CSCF checks service profile to determine whether ETS session is authorized. + +#### II.4.3 User and device combination authentication and authorization example + +Figure II.3 shows an example involving the user's device with a SIM card that attaches to the network with standard 3GPP generic bootstrapping authentication (GBA). + +In this example, the device has a user authentication interface (UAI) that allows the user to provide authentication information via the device to the application layer in the service provider's network. The UAI can be as simple as a key pad or as complicated as biometrics. + +It is assumed that there is secure communications for the signalling and media. + +![Figure II.3: ETS user authentication and authorization diagram. The diagram shows an IP device (laptop) and a Device (containing SIM and UAI) connected to a Web server and Application servers via https. The Device is also connected to a BE (Base Element) and an Other network, which are connected to the NGN service provider. The diagram includes a legend: SIM - Subscriber Identification Module, UAI - User Authentication Interface.](1e8c50ad4fca7f315a407347dd5091cc_img.jpg) + +For the purpose of unlocking the device + +IP device + +https + +OR + +https + +Web server + +Application servers + +Device + +SIM + +UAI + +Device may be wired or wireless + +BE + +Other network + +NGN service provider + +Y.2702(08)\_F11.3 + +SIM Subscriber Identification Module + +UAI User Authentication Interface + +Figure II.3: ETS user authentication and authorization diagram. The diagram shows an IP device (laptop) and a Device (containing SIM and UAI) connected to a Web server and Application servers via https. The Device is also connected to a BE (Base Element) and an Other network, which are connected to the NGN service provider. The diagram includes a legend: SIM - Subscriber Identification Module, UAI - User Authentication Interface. + +**Figure II.3 – ETS user authentication and authorization** + +##### Call/session flow: + +- 1) The user's device is turned on. +- 2) The device securely attaches to the network using 3GPP GBA. +- 3) ETS-user initiates local authentication with the SIM on the device using the UAI. The UAI could be a key pad, where a PIN is entered, or some type of biometric. + - a) SIM authenticates the ETS user, and provides success indicator. SIM informs ETS application server that the ETS user has been authenticated. + - b) Conversely, the information could be relayed securely to the application layer in the service provider's network. +- 4) At this time the "normal" user and device are authenticated with the network. The user in role as an ETS user has been authenticated by the ETS AS. + +If the user fails local authentication after $x$ tries, then the user should be locked out of the device. An example approach to unlock the device is for the user to access a GUI via AS/WS interface, and enter a PIN for validation. If the identity of the user is validated, the AS/WS would send a message to the device, instructing the device to unlock. + +#### **II.4.4 Enterprise location use case example** + +ETS calls may originate or terminate at government enterprise locations. For typically deployments: + +- There are dedicated facilities from the government location and the service provider. +- The user registers with the enterprise location, and not with the service provider. +- The enterprise location registers with a wild card or an IWF (e.g., SBC) at the edge of the service provider's network performs a surrogate registration on behalf of the enterprise. + +So if authentication beyond pin-based authentication is desired, then additional functions will need to be performed. These include but are not limited to: + +- The enterprise publishing the presence of the user to the service provider. This piece of data will add in authentication assurance. +- Relaying of a secure token from the enterprise to the service provider to identify this as a potential ETS call/session at layer 2/3 (e.g., secure token extension in RSVP). + +Authentication assurance with data from multiple sources is required depending on the user. + +## Appendix III + +## 3GPP Generic bootstrapping architecture + +(This appendix does not form an integral part of this Recommendation) + +The generic bootstrapping architecture (GBA) specifies access-independent bootstrapping procedure. It provides a framework for mutual authentication of the end users and network application function (NAF). + +The GBA is an authentication system that includes three parties: + +- An end user who is trying to obtain network services using user equipment (UE) +- An application server (called network application function or NAF) +- A trusted entity (called bootstrapping server function or BSF), which is involved in authentication and key exchange between two other entities. + +The basics of the GBA authentication process are illustrated by the reference model and described below. + +![Simple network model for bootstrapping diagram](052543d8c9c0643b05b3ce45c6decca1_img.jpg) + +The diagram illustrates the simple network model for bootstrapping. It shows five main components: HSS (Home Subscriber System), SLF (Subscription Locator Function), BSF (Bootstrapping Server Function), NAF (Network Application Function), and UE (User Equipment). HSS is connected to BSF via a solid line labeled Zh. SLF is connected to BSF via a dashed line labeled Dz. BSF is connected to NAF via a solid line labeled Zn. BSF is connected to UE via a solid line labeled Ub. NAF is connected to UE via a solid line labeled Ua. The diagram is labeled Y.2702(08)\_FIII.1 in the bottom right corner. + +Simple network model for bootstrapping diagram + +**Figure III.1 – Simple network model for bootstrapping from [b-ETSI TS 133 220]** + +These are the basic steps of the GBA procedure: + +- 1) NAF requests authentication and negotiates the use of GBA over Ua reference point. +- 2) The BSF client that runs on the UE initiates bootstrapping procedure over the reference point Ub. The BSF fetches authentication information and the GBA user security settings from the HSS over Zh. The UE and the BSF mutually authenticate using HTTP Digest AKA. The procedure results in the UE receiving bootstrapping transaction identifier (B-TID) from the BSF and establishing a shared key (Ks) between the UE and the BSF. +- 3) UE derives Ks\_NAF from Ks and sends B-TID (along with the application-specific data) to the NAF. +- 4) The NAF sends B-TID to the BSF over Zn reference point. +- 5) The BSF based on B-TID determines the Ks that should be used, derives Ks\_NAF from it and sends Ks\_NAF to the NAF. +- 6) Finally, UE and NAF can authenticate each other using the shared key Ks\_NAF. The exact authentication procedure depends on the protocol between the UE and NAF. For instance, GBA specifies that HTTP-based applications can use either HTTP Digest authentication [b-IETF RFC 2617] or TLS pre-shared key ciphersuites [b-IETF RFC 4279]. + +NOTE – The BSF queries the SLF over the Dz reference point to obtain the name of the HSS containing the subscriber-specific data. The SLF is not needed when the BSF is configured to use a pre-defined HSS. + +Mapping of the GBA entities to the NGN entities specified in [ITU-T Y.2012]: + +- NAF – corresponds to *Applications* entity in Figure 3 of [ITU-T Y.2012]. +- BSF – can be included in T-11 authentication & authorization FE. That is T-11 can be augmented and enabled with the capabilities of the BSF server. +- HSS corresponds to S-5 service user profile FE. +- SLF corresponds to S-4 subscription locator FE. +- UE corresponds to the end-user function. + +## Appendix IV + +## Identity management (IdM) call flow examples + +(This appendix does not form an integral part of this Recommendation) + +### IV.1 Overview + +The example flows in this appendix are from [b-TR 33.980]. + +The flows provide the details of possible interworking methods between the Security Assertion Markup Language v2.0, SAML v2.0 (or alternatively the Liberty Alliance Identity Federation Framework, ID-FF), the Identity Web Services Framework (ID-WSF), the Security Assertion Markup Language (SAML) and a component of GAA called the Generic Bootstrapping Architecture (GBA). This appendix is informative and only applies if ID-WSF and GBA or SAML v2.0 and GBA are used in combination. + +### IV.2 Call flow examples + +These flows only apply if Liberty Alliance and GBA or SAML v2.0 and GBA are used in combination. + +#### IV.2.1 SSO scenario: ID-FF with transfer + +##### IV.2.1.1 HTTPS with conventional TLS + +In this scenario the UE is not LAP aware. All protocol elements are taken from within ID Federation Framework [b-ID-FF] and complemented by the GAA-specific details from [b-TS 33.222]. First the steps are outlined that are needed when utilizing HTTPS deploying conventional TLS [b-IETF RFC 2246] according to [b-TS 33.222], clause 5.3: + +- 1) The UE contacts the SP to gain access to a service provided by the SP by sending an HTTP Request. This request will contain the GBA-based authentication support indication (see step 3), as this is required for the redirection of the request according to step 3. +- 2) On receipt of the HTTP request from UE, the SP obtains the identity provider and sends a redirect HTTP Response with to UE. The means by which the identity provider address is obtained is implementation-dependent and up to the service provider. +- 3) The UE in turn contacts the IdP under the URL given in the Location header field and the UE must access the NAF/IdP URL with an HTTP Request with information [b-ID-FF bindings]. + +The UE will indicate to the NAF/IdP that GBA-based authentication is supported by adding a constant string to the "User-Agent" HTTP header as a product token as specified in [b-IETF RFC 2616]. This constant string will be set according to step 2 of clause 5.3 of [b-TS 33.222]. + +If a bootstrapped security association between UE and IdP exists, then UE and IdP/NAF share the keys to protect reference point Ua and the UE possesses all necessary data to perform HTTP Digest Authentication from previous messages. In this case step 3 is combined with the request in step 5, and step 4 is omitted. + +- 4) As the IdP is collocated with the NAF, the HTTP Digest authentication is conducted in accordance with [b-TS 33.222] and a HTTP response with Unauthorized status and WWW-Authenticate header field is sent to the UE. The method and details of this authentication are defined by [b-TS 33.222] and not in [b-ID-FF]. + +If the UE does not contain a valid bootstrapping session or the freshness of the key material is not sufficient for the IdP, then the UE will execute a new bootstrapping procedure with the BSF. This is transparent to the SP. + +- 5) The UE returns the Authorization data, using the B-TID as a username and the Ks\_(ext/int)\_NAF as password to the IdP. The UE may include further LAP related user data. +If the IdP is collocated with the NAF, then this happens as outlined in [b-TS 33.222]. The USS might contain Liberty specific information. +- 6) The is processed. The IdP responds with an in the HTTP Response redirect URL [b-ID-FF bindings]. The IdP may include further LAP-related data. +- 7) The UE contacts the SP again using this URL and HTTP Request with . +- 8) The SP answers with a HTTP Response. + +![Sequence diagram showing the message flow for SSO with and conventional TLS with GBA. The diagram involves four entities: UE, Service provider, IdP, and BSF. The flow includes: 1. HTTP request from UE to Service provider. 2. HTTP response with from Service provider to UE. 3. HTTP request with from UE to IdP. 4. HTTP unauthorized WWW-Authenticate from IdP to UE. A grey box spanning UE, Service provider, and IdP indicates 'Bootstrapping procedure, if no valid credentials available'. 5. HTTP GET authorization B-TID/Ks_(ext/int)_NAF authentication from UE to IdP. 6. HTTP response with from IdP to UE. A grey box between IdP and BSF indicates 'Request of credentials and related material using Zn interface, if not already in NAF'. 7. HTTP request with from UE to Service provider. 8. HTTP response from Service provider to UE.](cc98b584f9b31fe69948e3fa65a3ba69_img.jpg) + +``` + +sequenceDiagram + participant UE + participant Service provider + participant IdP + participant BSF + + UE->>Service provider: 1. HTTP request + Service provider-->>UE: 2. http response with + UE->>IdP: 3. HTTP request with + IdP-->>UE: 4. HTTP unauthorized WWW-Authenticate + Note over UE, IdP: Bootstrapping procedure, if no valid credentials available + UE->>IdP: 5. HTTP GET authorization B-TID/Ks_(ext/int)_NAF authentication + IdP-->>UE: 6. HTTP response with + Note over IdP, BSF: Request of credentials and related material using Zn interface, if not already in NAF + UE->>Service provider: 7. HTTP request with + Service provider-->>UE: 8. HTTP response + +``` + +Y.2702(08)\_FIV.1 + +Sequence diagram showing the message flow for SSO with and conventional TLS with GBA. The diagram involves four entities: UE, Service provider, IdP, and BSF. The flow includes: 1. HTTP request from UE to Service provider. 2. HTTP response with from Service provider to UE. 3. HTTP request with from UE to IdP. 4. HTTP unauthorized WWW-Authenticate from IdP to UE. A grey box spanning UE, Service provider, and IdP indicates 'Bootstrapping procedure, if no valid credentials available'. 5. HTTP GET authorization B-TID/Ks\_(ext/int)\_NAF authentication from UE to IdP. 6. HTTP response with from IdP to UE. A grey box between IdP and BSF indicates 'Request of credentials and related material using Zn interface, if not already in NAF'. 7. HTTP request with from UE to Service provider. 8. HTTP response from Service provider to UE. + +**Figure IV.1 – Message flow for SSO with and conventional TLS with GBA** + +**NOTE 1** – As the IdP is collocated with the NAF, *i.e.*, *Ua* is chosen for authentication as outlined in TS [b-TS 33.222], then each request over *Ua* is authenticated by itself, as each request carries the full Authorization Header. There is no difference between first request and follow-up requests. + +**NOTE 2** – LAP ID-FF specification [b-ID-FF] defines also a POST-based communication between UE and IdP besides a GET-based request with a query string. This is in conformance with [b-TS 33.222], as there is only a HTTP request specified without any explicit method stated. + +**NOTE 3** – The SP may use the GBA-based authentication support indication received in step 1 to select an appropriate identity provider address. + +##### IV.2.1.2 HTTPS with PSK TLS + +When HTTPS with Pre-shared Keys (PSK) TLS according to [b-TS 33.222], clause 5.4, is utilized, then the steps are the following: + +- 1) The UE contacts the SP to gain access to a service provided by the SP by sending an HTTP Request. This request will contain the GBA-based authentication support indication (see step 3 of clause IV.2.1.1), as the UE may be forced by the IdP/NAF to use conventional TLS, even if the UE offers the usage of PSK TLS. +- 2) On receipt of the HTTP request from UE, the SP obtains the identity provider and sends a redirect HTTP Response with in the URL to the UE. The means by which the identity provider address is obtained is implementation-dependent and up to the service provider. +- 3) The UE starts to set up a PSK TLS tunnel to the IdP/NAF as specified in clause 5.4 of [b-TS 33.222]. This is in preparation of sending the redirected request to the IdP/NAF (see step 4). During TLS tunnel setup, the UE indicates the possibility to use PSK TLS, and the IdP/NAF may select to use PSK TLS with GBA. + +The UE recognizes from the TLS ciphersuite selected by IdP/NAF if the IdP/NAF will use PSK TLS. + +If a bootstrapped security association between the UE and IdP/NAF exists, then the UE and IdP/NAF share the keys to protect reference point Ua. Thus, the UE possesses all necessary data to set up the PSK TLS tunnel according to [b-TS 33.222] and the next step can be approached immediately without executing a bootstrapping procedure. + +If no bootstrapped security association between the UE and IdP/NAF exists, but the UE does contain a valid bootstrapping key Ks, then the UE establishes a PSK TLS tunnel with the IdP/NAF based on the related Ks\_(ext)\_NAF. + +If the UE does not contain a valid bootstrapping session or the freshness of the key material is not sufficient for the IdP/NAF, then the UE will execute a new bootstrapping procedure with the BSF. This is transparent to the SP. + +- 4) The UE accesses the IdP/NAF URL with the HTTP GET Request with information [b-ID-FF bindings] within the established PSK TLS tunnel. +- 5) The IdP extracts the , processes it, uses the UE authentication done during the PSK TLS tunnel establishment, and sends a redirect HTTP Response to the UE, which redirects the UE back to the SP. The URL may contain a SAML artefact or a . +- 6) The SP extracts the SAML artefact or the , processes it and answers with a HTTP Response. +- 7) The SP answers with a HTTP Response. + +![Sequence diagram showing the message flow for SSO with and usage of PSK TLS with GBA. The participants are UE, Service provider, IdP, and BSF. The flow includes: 1. HTTP request from UE to Service provider; 2. http response with from Service provider to UE; 3. Bootstrapping procedure (if no valid credentials available) and Establishment of PSK TLS tunnel (both spanning UE, Service provider, and BSF); 4. HTTP GET request with from UE to IdP; 5. HTTP response with from IdP to UE; 5. Redirect to SP from UE to Service provider; 6. SP processes artifact or (Service provider action); 7. HTTP response from Service provider to UE.](2580688a4de0a29692805cc6ba4822d7_img.jpg) + +``` + +sequenceDiagram + participant UE + participant SP as Service provider + participant IdP + participant BSF + + UE->>SP: 1. HTTP request + SP-->>UE: 2. http response with + Note over UE, SP, BSF: 3. Bootstrapping procedure, if no valid credentials available + Note over UE, SP, BSF: 3. Establishment of PSK TLS tunnel + UE->>IdP: 4. HTTP GET request with + IdP-->>UE: 5. HTTP response with + UE->>SP: 5. Redirect to SP + Note over SP: 6. SP processes artifact or + SP-->>UE: 7. HTTP response + +``` + +Y.2702(08)\_FIV.2 + +Sequence diagram showing the message flow for SSO with and usage of PSK TLS with GBA. The participants are UE, Service provider, IdP, and BSF. The flow includes: 1. HTTP request from UE to Service provider; 2. http response with from Service provider to UE; 3. Bootstrapping procedure (if no valid credentials available) and Establishment of PSK TLS tunnel (both spanning UE, Service provider, and BSF); 4. HTTP GET request with from UE to IdP; 5. HTTP response with from IdP to UE; 5. Redirect to SP from UE to Service provider; 6. SP processes artifact or (Service provider action); 7. HTTP response from Service provider to UE. + +**Figure IV.2 – Message flow for SSO with and usage of PSK TLS with GBA** + +NOTE – The notes given in clause IV.2.1.1 are also applicable for usage of PSK TLS as defined in this subclause. + +#### IV.2.2 SSO scenario: ID-FF with artefact transfer + +This scenario is similar to the scenario given in clause IV.2.1, with the extension that the service provider is able to contact the IdP directly. + +NOTE – As the basic message flow is the same for artefact and for usage, the same differences between usage of conventional TLS and PSK TLS as in clause IV.2.1 apply to this clause also. Message flows given in this clause refer to conventional TLS, analogous usage of PSK TLS is also possible. + +The IdP must support an additional interface to SP, to allow the SP retrieval of the authentication assertion. This interface is not completely separated from GBA, as this authentication information may include GBA related information, e.g., user identity, pseudonym and further information from GUSS, restrictions based on GBA, etc. + +- 1) The UE contacts the SP to gain access to a service provided by the SP by sending an HTTP Request. This request will contain the GBA-based authentication support indication (see step 3), as this is required for the redirection of the request according to step 3. +- 2) On receipt of the HTTP request from the UE, the SP obtains the identity provider and sends a redirect HTTP Response with to the UE. The means by which the identity provider address is obtained is implementation-dependent and up to the service provider. +- 3) The UE in turn contacts the IdP under the URL given in the Location header field and the UE must access the NAF/IdP URL with an HTTP Request with information [b-ID-FF bindings]. + +The UE will indicate to the NAF/IdP that GBA-based authentication is supported by adding a constant string to the "User-Agent" HTTP header as a product token as specified in [b-IETF RFC 2616]. This constant string will be set according to step 2 of clause 5.3 of [b-TS 33.222]. + +If a bootstrapped security association between the UE and IdP/NAF exists, then the UE and IdP/NAF share the keys to protect reference point Ua and the UE possesses all necessary data to perform HTTP Digest Authentication from previous messages. In this case step 3 is combined with the request in step 5, and step 4 is omitted. + +- 4) If the UE is not yet authenticated with the IdP, then the authentication has to take place here, as defined in [b-TS 33.222]. The method and details of this authentication are not defined by Liberty Alliance in [b-ID-FF]. The IdP sends a HTTP response with Unauthorized status to the UE as defined in [b-TS 33.222]. + +If there is no valid NAF specific key material in the NAF, or the freshness of the key material is not to the satisfaction of the NAF or IdP, then the bootstrapping procedure has to be performed as defined in [b-TS 33.220]. This is transparent to the SP. + +- 5) The UE answers with a HTTP GET request with Authorization header field containing as a username the B-TID and as a password the Ks\_(ext/int)\_NAF. The UE may include further LAP related user data. + +The IdP/NAF can request the credentials and related material, if it does not have it stored already. The received USS may contain further Liberty specific information. + +- 6) The IdP responds with a SAML artefact in the HTTP Response redirect URL [b-ID-FF bindings]. The IdP may include further LAP related data. +- 7) The UE contacts the SP again using this URL and HTTP Request with the SAML artefact. +- 8) The SP sends an HTTP Request with the SAML artefact to the IdP. The request contains a SOAP Request message to the identity provider's SOAP endpoint, requesting the assertion by providing the SAML assertion artefact in the element as specified in [b-ID-FF bindings]. +- 9) The IdP can now construct or find the requested assertion and responds with a SOAP Response message with the requested or a status code as defined in [b-OASIS]. The IdP sends the authentication assertion that corresponds to the artefact. +- 10) The SP processes the SOAP message with the returned in the , verifies the signature on the and processes the message as defined in [b-ID-FF bindings] and then answers with a HTTP Response. + +The SAML authentication assertion should have a lifetime equal to or less than the B-TID. + +![Sequence diagram showing the message flow for SSO with artefact transfer and usage of GBA between UE, Service provider, IdP, and BSF.](701bc79e78b382bcfd3ba85597dbb9c3_img.jpg) + +``` + +sequenceDiagram + participant UE + participant Service provider + participant IdP + participant BSF + + UE->>Service provider: 1. HTTP request + Service provider-->>UE: 2. http Response with + UE->>IdP: 3. HTTP Request with + IdP-->>UE: 4. HTTP Unauthorized WWW-Authenticate + Note over UE, BSF: Bootstrapping, if no valid credentials available + UE->>IdP: 5. HTTP GET Authorization using B-TID/Ks_(ext/int)_NAF authentication + Note over IdP, BSF: Request of credentials and related material using Zn interface, if not already in NAF + IdP-->>UE: 6. HTTP Response with Artifact() + UE->>Service provider: 7. HTTP Request with Artifact() + Service provider->>IdP: 8. HTTP Request with Artifact() in SOAP request message + IdP-->>Service provider: 9. HTTP Response with Assertion in SOAP Response message + Service provider-->>UE: 10. HTTP Response + +``` + +Y.2702(08)\_FIV.3 + +Sequence diagram showing the message flow for SSO with artefact transfer and usage of GBA between UE, Service provider, IdP, and BSF. + +**Figure IV.3 – Message flow for SSO with artefact transfer and usage of GBA** + +#### IV.2.3 SSO scenario: ID-WSF authentication service + +In this scenario the UE is LAP enabled, i.e., a LUAD (Liberty enabled user agent or device as defined in Liberty ID-WSF Profiles for Liberty enabled user agents and devices specification [b-ID-WSF profiles]). The protocol elements used are taken from ID-WSF Authentication Service [b-ID-WSF service], and the interaction of UE with IdP comprises two consecutive protocol runs. The active LUAD client contacts the NAF/IdP first before accessing the service provided by the SP. + +- 1) The UE authenticates with the Authentication Service (AS) of the IdP and retrieves a security token, which entitles the UE to invoke some services. +- 2) The UE invokes the Single-Sign-On Service (SSOS) of the IdP using the security token. In this step the UE receives the authentication assertion (authentication and authorization information) to be used at the SP. +- 3) The UE presents the authentication assertion to the SP acting as a WSP for web service access. + +In case the WSP providing the web service to the user is part of the domain of the IdP operator, the LUAD client may also contact the WSP directly with the security token. In this case the SSOS contact may be left out. + +Mapping of the three steps to GBA is done in the following way: + +- The first step is mapped to the communication between user (LUAD) and AS as specified within LAP [b-ID-WSF service]. The authentication protocol is embedded in the SASL protocol. The Ub run must be executed by the UE if necessary. This is not based on LAP protocols [b-ID-WSF security], [b-ID-FF] or [b-ID-WSF service], but only on GBA protocols [b-TS 33.220]. +- The second and third steps are completely as defined in LAP (no connection to GBA). The only dependency on GBA is in the content of the SAML authentication assertion depending partly on GBA results (protocol parameters, e.g., execution time, and user-specific parameters, e.g., taken from USS). + +The following gives a message flow for the SSO scenario of the ID-WSF authentication service with response transfer. This can also apply when the SSOS also offers an ID-WSF authentication service, in which case the SSOS is collocated with the AS. + +![Sequence diagram showing the message flow for ID-WSF AS and SSO with response transfer and usage of GBA. The diagram involves six entities: UE, SP, AS, SSOS, BSF, and HSS. The flow consists of 12 numbered steps: 1. HTTP Request from UE to SP; 2. HTTP Response from SP to UE with ; 3. HTTP Request from UE to AS with in SOAP Request message; 4. HTTP Response from AS to UE with in in SOAP Response message; 5. Bootstrapping from UE to BSF and HSS if no valid credentials are available; 6. HTTP Request from UE to AS with in in SOAP Request message using B-TID/Ks_(ext/int)_NAF authentication; 7. Request of credentials and related material from AS to BSF using Zn interface, if not already in AS/NAF; 8. HTTP Response from AS to UE with in SOAP Response message; 9. HTTP Request from UE to SSOS with in SOAP Request message; 10. HTTP Response from SSOS to UE with in SOAP Response message; 11. HTTP Request from UE to SP with ; 12. HTTP Response from SP to UE.](9e8ebf03cae78f4f81b697548c2d7250_img.jpg) + +``` + +sequenceDiagram + participant UE + participant SP + participant AS + participant SSOS + participant BSF + participant HSS + + UE->>SP: 1. HTTP Request + SP-->>UE: 2. HTTP Response with + UE->>AS: 3. HTTP Request with in SOAP Request message + AS-->>UE: 4. HTTP Response with in in SOAP Response message + rect rgb(255, 255, 255) + Note over UE,HSS: 5. Bootstrapping, if no valid credentials available + end + UE->>AS: 6. HTTP Request with in in SOAP Request message using B-TID/Ks_(ext/int)_NAF authentication + AS->>BSF: 7. Request of credentials and related material using Zn interface, if not already in AS/NAF + AS-->>UE: 8. HTTP Response with in SOAP Response message + UE->>SSOS: 9. HTTP Request with in SOAP Request message + SSOS-->>UE: 10. HTTP Response with in SOAP Response message + UE->>SP: 11. HTTP Request with + SP-->>UE: 12. HTTP Response + +``` + +Y.2702(08)\_FIV.4 + +Sequence diagram showing the message flow for ID-WSF AS and SSO with response transfer and usage of GBA. The diagram involves six entities: UE, SP, AS, SSOS, BSF, and HSS. The flow consists of 12 numbered steps: 1. HTTP Request from UE to SP; 2. HTTP Response from SP to UE with ; 3. HTTP Request from UE to AS with in SOAP Request message; 4. HTTP Response from AS to UE with in in SOAP Response message; 5. Bootstrapping from UE to BSF and HSS if no valid credentials are available; 6. HTTP Request from UE to AS with in in SOAP Request message using B-TID/Ks\_(ext/int)\_NAF authentication; 7. Request of credentials and related material from AS to BSF using Zn interface, if not already in AS/NAF; 8. HTTP Response from AS to UE with in SOAP Response message; 9. HTTP Request from UE to SSOS with in SOAP Request message; 10. HTTP Response from SSOS to UE with in SOAP Response message; 11. HTTP Request from UE to SP with ; 12. HTTP Response from SP to UE. + +**Figure IV.4 – Message flow for ID-WSF AS and SSO with response transfer and usage of GBA** + +- 1) The UE contacts the SP to gain access to a service provided by the SP by sending an HTTP request. +- 2) On receipt of the HTTP request from the UE, the SP obtains the AS address and sends a redirect HTTP response to the UE. The HTTP response may or may not contain an + + header according to the application or deployment model. The means by which the AS's address is obtained is implementation-dependent. + +- 3) The UE (LUAD-WSC) sends an HTTP request to the AS. The request contains a soap-bound header, where the "mechanism" parameter is filled with a list of one-or-more client-supported SASL mechanism names. + +The UE will indicate to the NAF/AS that GBA-based authentication is supported by adding a constant string to the "User-Agent" HTTP header as a product token as specified in [b-IETF RFC 2616]. This constant string will be set according to step 2 of clause 5.3 of [b-TS 33.222]. + +If a bootstrapped security association between the UE and NAF/AS exists, then the UE and NAF/AS share the keys to protect reference point Ua and the UE may perform a subsequent authentication procedure if the SASL profile allows. In this case step 3 is combined with the request in step 6, and steps 4 and 5 are omitted. + +- 4) The AS sends a HTTP response to the UE. The response contains a soap-bound header, where the "serverMechanism" parameter is filled with a selected SASL mechanism name (i.e., DIGEST authentication) from the client-supported SASL mechanism list and in this case the header also contains a parameter. The method and details of this parameter are compliant with [b-IETF RFC 2831]. +- 5) If the UE does not contain a valid bootstrapping session or the freshness of the key material is not sufficient for the AS, then the UE will execute a new bootstrapping procedure with the BSF and obtain a shared key Ks\_(ext/int)\_NAF. This is transparent to the SP. +- 6) The UE re-sends a HTTP request to the AS. The request contains a soap-bound header, where the "mechanism" parameter is filled with the returned SASL mechanism in step 4 and in this case the header also contains a parameter, where the authorization data is computed using the B-TID as a username and the Ks\_(ext/int)\_NAF as the password. The method and details of this parameter are compliant with [b-IETF RFC 2831]. The UE may include further LAP related user data. +- 7) As the AS is collocated with the NAF, the AS requests Ks\_(ext/int)\_NAF and other materials from the BSF using the Zn interface if they are not available yet. +- 8) The AS processes the parameter in the header. Then the AS responds with a soap-bound header in the HTTP Response. The header contains an ID-WSF EPR (EndpointReference) parameter which refers to the SSOS instance and the Service type URI is set according to [b-ID-WSF service] to identify the ID-WSF SSOS. The header also contains some necessary credentials for the UE to invoke the SSOS. The AS may include further LAP-related data. +- 9) The UE sends a HTTP request to the SSOS. The request contains a soap-bound header, where the ProtocolBinding attribute is set according to [b-ID-WSF service] to identify the SAML protocol binding to be used. The request also contains a header which includes the returned credentials in step 8. The UE may have to construct the header by itself if it does not receive such a header in step 2 according to the application or deployment model. +- 10) The is processed. The SSOS responds with an header in the HTTP Response redirect URL [b-ID-FF bindings]. The header contains a parameter. The SSOS may include further LAP-related data. + +- 11) The UE contacts the SP again using this URL and HTTP Request with . +- 12) The SP answers with a HTTP Response. + +NOTE – If the IdP is co-hosted with the BSF, then the first step could be mapped to Ub reference point of GBA [b-TS 24.109]. The second step could be mapped to Ua interface of GBA. + +Despite having this formal analogy of executing two consecutive protocol runs required by both protocol worlds, it seems that a simple mapping is not possible. The syntax and semantic of the information elements transferred between GBA and LAP protocols differ substantially. + +#### IV.2.4 SSO scenario: SAML v2.0 with transfer + +##### IV.2.4.1 HTTPS with TLS + +This scenario is a version of the scenario in clause IV.2.1.1 with the difference that all protocol elements are taken from within [b-SAML v2.0] implementing the web browser SSO profile from [b-OASIS]. Hence all the steps described there apply here as well, after replacing with and with . The steps are not repeated here, only an adapted version of Figure IV.1 is included. + +![Sequence diagram showing the message flow for SSO with and TLS with GBA. The diagram involves four entities: UE, Service provider, IdP, and BSF. The flow consists of 8 steps: 1. HTTP request from UE to Service provider; 2. HTTP Response with from Service provider to UE; 3. HTTP Request with from UE to IdP; 4. HTTP Unauthorized WWW-Authenticate from IdP to UE; 5. HTTP GET Authorization B-TID/Ks_(ext/int)_NAF authentication from UE to IdP; 6. HTTP Response with from IdP to UE; 7. HTTP Request with from UE to Service provider; 8. HTTP Response from Service provider to UE. A shaded box labeled 'Bootstrapping procedure, if no valid credentials available' spans from step 4 to step 5. Another shaded box labeled 'Request of credentials and related material using Zn interface, if not already in NAF' is located between step 5 and step 6, involving the BSF entity.](ef5f5c6665b6ae13660ede412333ba45_img.jpg) + +``` + +sequenceDiagram + participant UE + participant SP as Service provider + participant IdP + participant BSF + + Note over UE, SP: 1. HTTP request + UE->>SP: 1. HTTP request + Note over SP, UE: 2. HTTP Response with + SP-->>UE: 2. HTTP Response with + Note over UE, IdP: 3. HTTP Request with + UE->>IdP: 3. HTTP Request with + Note over IdP, UE: 4. HTTP Unauthorized WWW-Authenticate + IdP-->>UE: 4. HTTP Unauthorized WWW-Authenticate + Note over UE, BSF: Bootstrapping procedure, if no valid credentials available + Note over UE, IdP: 5. HTTP GET Authorization B-TID/Ks_(ext/int)_NAF authentication + UE->>IdP: 5. HTTP GET Authorization B-TID/Ks_(ext/int)_NAF authentication + Note over IdP, BSF: Request of credentials and related material using Zn interface, if not already in NAF + IdP->>BSF: + BSF-->>IdP: + Note over IdP, UE: 6. HTTP Response with + IdP-->>UE: 6. HTTP Response with + Note over UE, SP: 7. HTTP Request with + UE->>SP: 7. HTTP Request with + Note over SP, UE: 8. HTTP Response + SP-->>UE: 8. HTTP Response + +``` + +Y.2702(08)\_FIV.5 + +Sequence diagram showing the message flow for SSO with and TLS with GBA. The diagram involves four entities: UE, Service provider, IdP, and BSF. The flow consists of 8 steps: 1. HTTP request from UE to Service provider; 2. HTTP Response with from Service provider to UE; 3. HTTP Request with from UE to IdP; 4. HTTP Unauthorized WWW-Authenticate from IdP to UE; 5. HTTP GET Authorization B-TID/Ks\_(ext/int)\_NAF authentication from UE to IdP; 6. HTTP Response with from IdP to UE; 7. HTTP Request with from UE to Service provider; 8. HTTP Response from Service provider to UE. A shaded box labeled 'Bootstrapping procedure, if no valid credentials available' spans from step 4 to step 5. Another shaded box labeled 'Request of credentials and related material using Zn interface, if not already in NAF' is located between step 5 and step 6, involving the BSF entity. + +**Figure IV.5 – Message flow for SSO with and TLS with GBA** + +##### IV.2.4.2 HTTPS with PSK TLS + +This scenario is a version of the scenario in clause IV.2.1.2 with the difference that all protocol elements are taken from within [b-SAML v2.0] implementing the web browser SSO profile from [b-OASIS]. Hence all the steps described there apply here as well, after replacing with and with . The steps are not repeated here, only an adapted version of Figure IV.2 is included. + +![Sequence diagram showing the message flow for SSO with and usage of PSK TLS with GBA. The diagram involves four entities: UE, Service provider, IdP, and BSF. The flow includes an HTTP request, an HTTP response with , a bootstrapping procedure, establishment of a PSK TLS tunnel, an HTTP GET request with , an HTTP response with , a redirect to the SP, and a final HTTP response.](c0b9e5fc63e19306394e0d4249da62cd_img.jpg) + +``` + +sequenceDiagram + participant UE + participant Service provider + participant IdP + participant BSF + + UE->>Service provider: 1. HTTP request + Service provider-->>UE: 2. HTTP Response with + Note over UE, Service provider, IdP, BSF: 3. Bootstrapping procedure, if no valid credentials available + Note over UE, IdP: 3. Establishment of PSK TLS tunnel + UE->>IdP: 4. HTTP GET Request with + IdP-->>UE: 5. HTTP Response with + UE->>Service provider: 5. Redirect to SP + Service provider-->>UE: 7. HTTP response + Note over Service provider, IdP: 6. SP processes artifact or + +``` + +Y.2702(08)\_FIV.6 + +Sequence diagram showing the message flow for SSO with and usage of PSK TLS with GBA. The diagram involves four entities: UE, Service provider, IdP, and BSF. The flow includes an HTTP request, an HTTP response with , a bootstrapping procedure, establishment of a PSK TLS tunnel, an HTTP GET request with , an HTTP response with , a redirect to the SP, and a final HTTP response. + +**Figure IV.6 – Message flow for SSO with and usage of PSK TLS with GBA** + +#### IV.2.5 SSO scenario: SAML v2.0 with artefact transfer (resolution) + +This scenario is a version of the scenario in clause IV.2.2 with the difference that all protocol elements are taken from within [b-SAML v2.0] implementing the web browser SSO profile from [b-OASIS]. Hence all the steps described there apply here as well, after replacing with . The steps are not repeated here, only the adapted version of Figure IV.3 is included. + +![Sequence diagram showing the message flow for SSO with artefact resolution (SAML v2.0) and usage of GBA between UE, Service provider, IdP, and BSF.](51d4540605fdfa2c090638305022143b_img.jpg) + +``` + +sequenceDiagram + participant UE + participant Service provider + participant IdP + participant BSF + + UE->>Service provider: 1. HTTP request + Service provider->>UE: 2. HTTP Response with + UE->>Service provider: 3. HTTP Request with + Service provider->>IdP: 4. HTTP Unauthorized WWW-Authenticate + IdP->>UE: 4. HTTP Unauthorized WWW-Authenticate + Note over UE, BSF: Bootstrapping, if no valid credentials available + UE->>IdP: 5. HTTP GET Authorization using B-TID/Ks_(ext/int)_NAF authentication + Note over IdP, BSF: Request of credentials and related material using Zn interface, if not already in NAF + IdP->>UE: 6. HTTP Response with Artifact() + UE->>Service provider: 7. HTTP Request with Artifact() + Service provider->>IdP: 8. HTTP Request with Artifact() in SOAP Request message + IdP->>Service provider: 9. HTTP response with Assertion in SOAP Response message + Service provider->>UE: 10. HTTP Response + +``` + +The diagram illustrates the message flow for SSO with artefact resolution (SAML v2.0) and usage of GBA. The participants involved are UE (User Equipment), Service provider, IdP (Identity Provider), and BSF (Back-End Security Function). The flow consists of the following steps: + +1. HTTP request from UE to Service provider. +2. HTTP Response with from Service provider to UE. +3. HTTP Request with from UE to Service provider. +4. HTTP Unauthorized WWW-Authenticate from Service provider to IdP and IdP to UE. +- Bootstrapping, if no valid credentials available (involving UE and BSF). +5. HTTP GET Authorization using B-TID/Ks\_(ext/int)\_NAF authentication from UE to IdP. +- Request of credentials and related material using Zn interface, if not already in NAF (involving IdP and BSF). +6. HTTP Response with Artifact() from IdP to UE. +7. HTTP Request with Artifact() from UE to Service provider. +8. HTTP Request with Artifact() in SOAP Request message from Service provider to IdP. +9. HTTP response with Assertion in SOAP Response message from IdP to Service provider. +10. HTTP Response from Service provider to UE. + +Y.2702(08)\_FIV.7 + +Sequence diagram showing the message flow for SSO with artefact resolution (SAML v2.0) and usage of GBA between UE, Service provider, IdP, and BSF. + +**Figure IV.7 – Message flow for SSO with artefact resolution (SAML v2.0) and usage of GBA** + +## Bibliography + +- [b-ITU-T E.107] Recommendation ITU-T E.107 (2007), *Emergency Telecommunications Service (ETS) and interconnection framework for national implementations of ETS*. +- [b-ITU-T X.509] Recommendation ITU-T X.509 (2005) | ISO/IEC 9594-8:2005, *Information technology – Open Systems Interconnection – The Directory: Public-key and attribute certificate frameworks*. +- [b-ITU-T X.1141] Recommendation ITU-T X.1141 (2006), *Security Assertion Markup Language (SAML 2.0)*. +- [b-Alliance] Liberty Alliance Project, ID-SIS: *Liberty Alliance ID-SIS 1.0 Specifications*. +<[http://www.projectliberty.org/liberty/specifications\\_1](http://www.projectliberty.org/liberty/specifications_1)> +- [b-ID-FF] Liberty Alliance Project, ID-FF v1.2: *Liberty ID-FF Architecture Overview*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_id\\_ff\\_1\\_2\\_specifications](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_id_ff_1_2_specifications)> +- [b-ID-FF bindings] Liberty Alliance Project, ID-FF v1.2: *Liberty ID-FF Bindings and Profiles Specification*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_id\\_ff\\_1\\_2\\_specifications](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_id_ff_1_2_specifications)> +- [b-ID-FF protocols] Liberty Alliance Project, ID-FF v1.2: *Liberty ID-FF Protocols and Schema Specification*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_id\\_ff\\_1\\_2\\_specifications](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_id_ff_1_2_specifications)> +- [b-ID-WSF binding] Liberty Alliance Project, ID-WSF v2.0: *Liberty ID-WSF SOAP Binding Specification*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_id\\_wsf\\_2\\_0\\_specifications\\_including\\_errata\\_v1\\_0\\_updates](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_id_wsf_2_0_specifications_including_errata_v1_0_updates)> +- [b-ID-WSF discovery] Liberty Alliance Project, ID-WSF v2.0: *Liberty ID-WSF Discovery Service Specification*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_id\\_wsf\\_2\\_0\\_specifications\\_including\\_errata\\_v1\\_0\\_updates](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_id_wsf_2_0_specifications_including_errata_v1_0_updates)> +- [b-ID-WSF profiles] Liberty Alliance Project, ID-WSF: *Profiles for Liberty enabled User Agents and Devices*. +<> +- [b-ID-WSF security] Liberty Alliance Project, ID-WSF v2.0: *Liberty ID-WSF Security Mechanisms*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_id\\_wsf\\_2\\_0\\_specifications\\_including\\_errata\\_v1\\_0\\_updates](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_id_wsf_2_0_specifications_including_errata_v1_0_updates)> +- [b-ID-WSF service] Liberty Alliance Project, ID-WSF v2.0: *Liberty ID-WSF Authentication Service Specification and Single Sign-On Service*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_id\\_wsf\\_2\\_0\\_specifications\\_including\\_errata\\_v1\\_0\\_updates](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_id_wsf_2_0_specifications_including_errata_v1_0_updates)> +- [b-ID-WSF v1.2] Liberty Alliance Project, ID-WSF v1.2: *Security Mechanisms*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_id\\_wsf\\_1\\_1\\_specifications](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_id_wsf_1_1_specifications)> + +- [b-LAP] Liberty Alliance Project Support Documents: *Authentication Context Specification v2.0*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_specifications\\_support\\_documents\\_and\\_utility\\_schema\\_files](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_specifications_support_documents_and_utility_schema_files)> +- [b-M-04-04] M-04-04: *E-Authentication Guidance for Federal Agencies*. +<> +- [b-NIST 800-63] NIST Special Publication 800-63 (2006), *Electronic Authentication Guidelines*. +<[http://csrc.nist.gov/publications/nistpubs/800-63/SP800-63V1\\_0\\_2.pdf](http://csrc.nist.gov/publications/nistpubs/800-63/SP800-63V1_0_2.pdf)> +- [b-OASIS] OASIS, *Profiles for the OASIS Security Assertion Markup Language (SAML) v2.0*. +<> +- [b-OASIS auth] OASIS, *Authentication Contexts for the OASIS Security Assertion Markup Language (SAML) V2.0*. +<> +- [b-Reverse] Liberty Alliance Project Support Documents: *Liberty Reverse HTTP Binding for SOAP Specification v1.1*. +<[http://www.projectliberty.org/resource\\_center/specifications/liberty\\_alliance\\_specifications\\_support\\_documents\\_and\\_utility\\_schema\\_files](http://www.projectliberty.org/resource_center/specifications/liberty_alliance_specifications_support_documents_and_utility_schema_files)> +- [b-SAML assertions] OASIS, SAML v2 Core, *Assertions and Protocols for the OASIS Security Assertion Markup Language (SAML) V2.0*. +<> +- [b-SAML v2.0] OASIS, SAML v2 Core, *Conformance Requirements for the OASIS Security Assertion Markup Language (SAML) V2.0*. +<> +- [b-TR 21.905] 3GPP TR 21.905 (in force), *Vocabulary for 3GPP Specifications*. +<> +- [b-TR 33.980] 3GPP TR 33.980 (in force), *Liberty Alliance and 3GPP security interworking; Interworking of Liberty Alliance Identity Federation Framework (ID-FF), Identity Web Services Framework (ID-WSF) and Generic Authentication Architecture (GAA) (Release 7)*. +<> +- [b-TS 24.109] 3GPP TS 24.109 (in force), *Bootstrapping interface (Ub) and network application function interface (Ua); Protocol details*. +<> +- [b-TS 29.109] 3GPP TS 29.109 (in force), *Generic Authentication Architecture (GAA); Zh and Zn Interfaces based on the Diameter protocol; Stage 3*. +<> +- [b-TS 33.220] 3GPP TS 33.220 (in force), *Generic Authentication Architecture (GAA); Generic bootstrapping architecture*. +<> +- [b-TS 33.221] 3GPP TS 33.221 (in force), *Generic Authentication Architecture (GAA); Support for subscriber certificates*. +<> +- [b-TS 33.222] 3GPP TS 33.222 (in force), *Generic Authentication Architecture (GAA); Access to network application functions using Hypertext Transfer Protocol over Transport Layer Security (HTTPS)*. +<> + +- [b-IETF RFC 2222] IETF RFC 2222 (1997), *Simple Authentication and Security Layer (SASL)*. +<> +- [b-IETF RFC 2246] IETF RFC 2246 (1999), *The TLS Protocol Version 1.0*. +<> +- [b-IETF RFC 2616] IETF RFC 2616 (1999), *Hypertext Transfer Protocol-HTTP/1.1*. +<> +- [b-IETF RFC 2617] IETF RFC 2617 (1999), *HTTP Authentication: Basic and Digest Access Authentication*. +<> +- [b-IETF RFC 2831] IETF RFC 2831 (2000), *Using Digest Authentication as a SASL Mechanism*. +<> +- [b-IETF RFC 3546] IETF RFC 3546 (2003), *Transport Layer Security (TLS) Extensions*. +<> +- [b-IETF RFC 4279] IETF RFC 4279 (2005), *Pre-Shared Key Ciphersuites for Transport Layer Security (TLS)*. +<> +- [b-IETF RFC 4412] IETF RFC 4412 (2006), *Communication Resource Priority for the Session Initiation Protocol*. +<> + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2703-200901-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2703-200901-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..70dbf520a764485abd22025773fa4046be247653 --- /dev/null +++ b/marked/Y/T-REC-Y.2703-200901-I_PDF-E/raw.md @@ -0,0 +1,1091 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +**ITU-T** + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +**Y.2703** + +(01/2009) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Security + +# --- **The application of AAA service in NGN** + +Recommendation ITU-T Y.2703 + +## ITU-T Y-SERIES RECOMMENDATIONS GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2703** + +# **The application of AAA service in NGN** + +## **Summary** + +Recommendation ITU-T Y.2703 provides an application of authentication, authorization and accounting (AAA) for NGN release 1. + +###### **Source** + +Recommendation ITU-T Y.2703 was approved on 23 January 2009 by ITU-T Study Group 13 (2009-2012) under the WTSA Resolution 1 procedure. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +### INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2009 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | | Page | +|----|---------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | General concepts for the AAA service ..... | 2 | +| | 6.1 Overview ..... | 2 | +| | 6.2 The AAA process ..... | 2 | +| | 6.3 AAA procedure ..... | 3 | +| 7 | Application model for authentication and authorization in NGN ..... | 3 | +| 8 | AAA architecture in NGN ..... | 5 | +| | 8.1 User to network access ..... | 6 | +| | 8.2 User to network service attachment ..... | 7 | +| | 8.3 Authentication and authorization of user for access to 3rd party service..... | 7 | +| 9 | Enrolment ..... | 8 | +| 10 | Authentication ..... | 8 | +| | 10.1 Authentication entities..... | 8 | +| | 10.2 Procedure for authentication..... | 8 | +| 11 | Authorization ..... | 10 | +| | 11.1 Authorization aspects for NGN ..... | 10 | +| | 11.2 Authorization entities ..... | 10 | +| | 11.3 Procedure for authorization ..... | 10 | +| 12 | Accounting..... | 11 | +| | 12.1 Security accounting ..... | 11 | +| | 12.2 Functions for security accounting ..... | 11 | +| | Appendix I – Authentication protocol for AAA in NGN ..... | 13 | +| | I.1 EAP protocol for AAA service in NGN..... | 13 | +| | I.2 AAA protocols..... | 14 | +| | Appendix II – X.509 digital certificates as credentials..... | 15 | +| | Appendix III – Authentication and authorization use-case..... | 16 | +| | III.1 Authentication and authorization of user for network access ..... | 16 | +| | III.2 NGN service provider authentication and authorization of user for access
to service/application..... | 18 | +| | III.3 User authentication and authorization of NGN providers..... | 20 | + +| | Page | +|--------------------------------------------------------------------------------------------------------|-------------| +| III.4 NGN provider authentication and authorization of 3rd party
service/application provider ..... | 21 | +| III.5 Use of 3rd party authentication and authorization service ..... | 22 | +| Bibliography..... | 24 | + +## Recommendation ITU-T Y.2703 + +# The application of AAA service in NGN + +## 1 Scope + +This Recommendation describes an application for authentication, authorization and accounting (AAA) for next generation networks (NGNs) based on [b-ITU-T Y.2201]: NGN release 1 requirements, [b-ITU-T Y.2012]: Functional requirements and architecture of the NGN release 1 (FRA), [b-ITU-T Y.2701]: Security requirements for NGN release 1, and [b-ITU-T Y.2702]: NGN authentication. This Recommendation applies to the authentication, authorization and accounting process in accessing an NGN using the AAA client and AAA server. In particular, this Recommendation addresses the accounting function only from the standpoint of its contribution to security accounting. + +The scope of this Recommendation is: + +- 1) The enrolment process. +- 2) Authentication functions and procedures. +- 3) Authorization functions and procedures. +- 4) Security-accounting functions and procedures. + +## 2 References + +None. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation makes use of the following terms defined elsewhere: + +**3.1.1 authentication** [b-ITU-T X.811]: The provision of assurance of the claimed identity of an entity. + +**3.1.2 authentication certificate** [b-ITU-T X.811]: A security certificate that is guaranteed by an authentication authority and that may be used to assure the identity of an entity. + +**3.1.3 authentication information** [b-ITU-T X.811]: Information used for authentication purposes. + +**3.1.4 authorization** [b-ITU-T X.800]: The granting of rights, which includes the granting of access based on access rights. + +**3.1.5 claimant** [b-ITU-T X.811]: An entity which is or represents a principal for the purposes of authentication. A claimant includes the functions necessary for engaging in authentication exchanges on behalf of a principal. + +**3.1.6 security audit trail** [b-ITU-T X.800]: Data collected and potentially used to facilitate a security audit. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 security accounting**: The role that tracks security-related actions or events that can be included as resources in the security audit function. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations: + +| | | +|--------|-------------------------------------------------------------------------| +| AAA | Authentication, Authorization and Accounting | +| AM-FE | Access Management Functional Entity | +| ANI | Application-to-Network Interface | +| EAP | Extensible Authentication Protocol | +| ID | Identity – as defined by the network, service, or entity being accessed | +| NAS | Network Access Server | +| NGN | Next Generation Network | +| NNI | Network-to-Network Interface | +| NP | Network Provider | +| OAMP | Operations, Administration, Maintenance, and Provision | +| RACF | Resource Access Control Function | +| SCTP | Stream Control Transport Protocol | +| SR | Service Resource | +| TAA-FE | Transport Authentication and Authorization Functional Entity | +| TE | Terminal Equipment | +| TUP-FE | Transport User Profile Functional Entity | +| UNI | User-to-Network Interface | + +## **5 Conventions** + +None. + +## **6 General concepts for the AAA service** + +This clause deals with the basic concepts of AAA. + +### **6.1 Overview** + +The authentication, authorization and accounting service provides the functions by which a user's identity is verified (authentication), is given access to the services (authorization) and a means by which consumption of resources is measured (accounting). + +### **6.2 The AAA process** + +The individual processes within the AAA framework are as follows: + +Authentication validates the end user's identity prior to permitting network access. The end user presents a set of credentials such as a username/password combination, a security key, a certificate or biometric data (for example, fingerprints). These credentials are normally agreed during the enrolment process. Verification of the credentials leads to the authorization process. + +Authorization defines the privileges and services the end user is allowed once network access is granted. This might include providing an IP address or invoking a filter to determine which applications or protocols are supported. Authentication and authorization are performed together in an AAA-managed environment. + +Accounting provides the methodology for collecting information about the end user's resource consumption which can then be processed for billing, auditing, and capacity-planning purposes. Certain accounting data is relevant to the development of a security audit trail. + +These three processes are centralized into a set of functions which together provide access control. + +### **6.3 AAA procedure** + +The AAA service system is composed of an AAA server and an AAA client. + +The AAA server has access to a database of user profiles and configuration data. It communicates with AAA clients residing on network components such as NAS (network access server) and routers, to provide distributed AAA services. + +The AAA service scenarios are summarized in the following steps: + +- The end user connects to the point-of entry device and requests access to the network. +- The AAA client forwards the end user's identity/authentication credentials to the AAA server. +- The AAA server authenticates the user based on the credentials. If authentication is successful, the server then determines which service(s) are authorized and returns an accept or reject response and other relevant data to the AAA client. +- The AAA client notifies the end user that access to specified resources has been granted or denied. + +The AAA client sends an accounting message to the AAA server during connection set-up and termination for record collection and storage. + +## **7 Application model for authentication and authorization in NGN** + +This Recommendation is based on security requirements for NGN in [b-ITU-T Y.2701] and the NGN authentication reference model in [b-ITU-T Y.2702]. The NGN authentication reference model (Figure 7-1) depicts eight authentication reference points; three of which are considered/taken into account by this Recommendation: + +They are: + +- (1) access of user to network; +- (2) access of user to network provided service; +- (4) access of service provider to receiving user. + +Reference points (1) and (4) refer to transport of user traffic and may be viewed as depending on "horizontal" access control at the transport control level, whereas reference points (2) and (8) may be viewed as depending on control data between the transport and service control layers and therefore as being "vertical." This relationship is displayed in Figure 7-2. + +![End-to-end reference architectural model (Y.2702 NGN authentication) diagram showing Service Provider A and B, a 3rd party provider, and various network components like Application Servers, Softswitch, CSCF, and Transport. It includes numbered steps (1) through (8) indicating the flow of authentication and signaling.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +The diagram illustrates the end-to-end reference architectural model for NGN authentication, showing the interaction between two service providers (A and B) and a third-party provider. + +**Architecture Components:** + +- Service Provider A:** Contains Application Servers, Service Stratum, Softswitch, CSCF, and Transport. +- Service Provider B:** Contains Application Servers, Service Stratum, Softswitch, CSCF, and Transport. +- 3rd party provider:** A cloud entity connected to both Service Providers A and B. +- Transit:** A central cloud entity connecting the Transport layers of both Service Providers. +- Access:** Cloud entities connecting the Transport layers of each Service Provider to the User/Device. +- User/Device:** Represented by icons of a person and a mobile phone at the edge of each network. + +**Numbered Steps (1) through (8):** + +- (1):** A blue arrow from the Device to the User. +- (2):** A green arrow from the User to the Device. +- (3):** A green dashed arrow from the Device to the Application Servers of Service Provider A. +- (4):** A brown arrow from the User of Service Provider B to the Application Servers of Service Provider B. +- (5):** A red arrow from the User of Service Provider A to the Application Servers of Service Provider B. +- (6):** A red arrow from the Device of Service Provider A to the Application Servers of Service Provider B. +- (7):** A purple arrow from the 3rd party provider to the Application Servers of Service Provider A. +- (8):** A pink dashed arrow from the Application Servers of Service Provider A to the Device. + +Y.2703(09)\_F7-1 + +End-to-end reference architectural model (Y.2702 NGN authentication) diagram showing Service Provider A and B, a 3rd party provider, and various network components like Application Servers, Softswitch, CSCF, and Transport. It includes numbered steps (1) through (8) indicating the flow of authentication and signaling. + +Figure 7-1 – End-to-end reference architectural model (Y.2702 NGN authentication) + +![Figure 7-2: NGN architecture and AAA related domains. The diagram shows a layered architecture. At the top is 'Applications' connected to 'ANI'. Below is the 'Service stratum' (green) containing 'Application support functions and service support functions' and 'Service control functions' (with 'Service user profiles'). Below that is the 'Transport stratum' (yellow) containing 'Network attachment control functions' (with 'Transport user profiles') and 'Resource and admission control functions', both under 'Transport control functions'. At the bottom is 'Transport functions'. On the left is 'Management functions' (pink bar) and 'End-user functions'. On the right is 'Other networks'. Interfaces are marked: UNI (User Network Interface) between End-user functions and Transport stratum; NNI (Network Network Interface) between Transport stratum and Other networks. Arrows indicate control (dashed), media (hatched), and management (dotted) flows. Numbered arrows (1, 2, 4, 8) highlight specific paths related to AAA.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Legend: + +- Control: Dashed line +- Media: Hatched line +- Management: Dotted line + +Y.2703(09)\_F7-2 + +Figure 7-2: NGN architecture and AAA related domains. The diagram shows a layered architecture. At the top is 'Applications' connected to 'ANI'. Below is the 'Service stratum' (green) containing 'Application support functions and service support functions' and 'Service control functions' (with 'Service user profiles'). Below that is the 'Transport stratum' (yellow) containing 'Network attachment control functions' (with 'Transport user profiles') and 'Resource and admission control functions', both under 'Transport control functions'. At the bottom is 'Transport functions'. On the left is 'Management functions' (pink bar) and 'End-user functions'. On the right is 'Other networks'. Interfaces are marked: UNI (User Network Interface) between End-user functions and Transport stratum; NNI (Network Network Interface) between Transport stratum and Other networks. Arrows indicate control (dashed), media (hatched), and management (dotted) flows. Numbered arrows (1, 2, 4, 8) highlight specific paths related to AAA. + +Figure 7-2 – NGN architecture and AAA related domains (Y.2702 NGN authentication) + +## 8 AAA architecture in NGN + +This clause describes the relationship between the AAA reference model and the functional architectural model described in [b-ITU-T Y.2012]. + +### 8.1 User to network access + +![Figure 8-1: Authentication and authorization of a user for network access. The diagram shows a layered architecture. At the top is 'Applications' connected to 'ANI'. Below is the 'Service stratum' (green) containing 'Application support functions and service support functions' and 'Service control functions' (which includes 'Service user profiles'). Below that is the 'Transport stratum' (yellow) containing 'Network attachment control functions' (with 'AAA client function' and 'AAA server function' connected by a double-headed arrow), 'Resource and admission control functions', and 'Transport control functions'. At the bottom is 'Transport functions'. On the left is a vertical bar for 'Management functions' (pink) with 'End-user functions' and 'Network access' (red text). On the right is a vertical bar for 'Other networks'. Connections are shown: dashed lines for control, blue hatched lines for media, and green dotted lines for management. The interface between the network and the user is labeled 'UNI', and the interface with other networks is labeled 'NNI'. A red arrow labeled 'Authentication request/response' points from the AAA client function to the AAA server function.](007b053fe94a8348f75128a584503fd0_img.jpg) + +Figure 8-1 illustrates the architecture for user authentication and authorization. The system is organized into three main strata: the Service stratum (green), the Transport stratum (yellow), and the Transport functions layer (white). The Service stratum contains application and service support functions, along with service control functions that manage service user profiles. The Transport stratum handles network attachment control (including AAA client and server functions), resource and admission control, and transport control. The Transport functions layer manages the physical transport. The architecture is accessed via ANI (Application Network Interface) at the top, UNI (User Network Interface) on the left, and NNI (Network Network Interface) on the right. Management functions are shown on the far left, and other networks are on the far right. Control, media, and management paths are indicated by different line styles. + +Figure 8-1: Authentication and authorization of a user for network access. The diagram shows a layered architecture. At the top is 'Applications' connected to 'ANI'. Below is the 'Service stratum' (green) containing 'Application support functions and service support functions' and 'Service control functions' (which includes 'Service user profiles'). Below that is the 'Transport stratum' (yellow) containing 'Network attachment control functions' (with 'AAA client function' and 'AAA server function' connected by a double-headed arrow), 'Resource and admission control functions', and 'Transport control functions'. At the bottom is 'Transport functions'. On the left is a vertical bar for 'Management functions' (pink) with 'End-user functions' and 'Network access' (red text). On the right is a vertical bar for 'Other networks'. Connections are shown: dashed lines for control, blue hatched lines for media, and green dotted lines for management. The interface between the network and the user is labeled 'UNI', and the interface with other networks is labeled 'NNI'. A red arrow labeled 'Authentication request/response' points from the AAA client function to the AAA server function. + +**Figure 8-1 – Authentication and authorization of a user for network access** + +Figure 8-1 shows the application of AAA for user to network access (i.e., an application of type-1 in Figure 7-1 above). + +Once an entity in the transport control functions (typically, T-14 AM-FE) detects the connection request from a user terminal, it starts acting as an AAA client. It requests the entities in the transport control functions which play the role of AAA server (such as T-11 TAA-FE, and T-12 TUP-FE), for authentication of the user and authorization for the use of NGN resources. The protocols such as RADIUS or Diameter can be used for this request and response procedure. Based on the request from an AAA client, an AAA server authenticates the user by explicit (e.g., EAP) or implicit (e.g., access-line authentication) procedures. After successful authorization of a user depending upon the user profile (usually managed by TUP-FE), the AAA server requests RACF for reservation and allocation of NGN resources for that user. Once it is granted, the AAA server notifies the AAA client of permission to connect that user equipment. + +### 8.2 User to network service attachment + +![Figure 8-2: Authentication and authorization of user for service access. This diagram illustrates the architecture for user authentication and authorization. At the top, 'Applications' connect to the 'ANI' (Application Network Interface). The core architecture is divided into three main strata: 'Service stratum' (green), 'Transport stratum' (yellow), and 'Transport functions' (white). The 'Service stratum' contains 'Application support functions and service support functions' and 'Service control functions'. Within the 'Service control functions', there are 'AAA client function' and 'AAA server function' connected by a red arrow labeled 'Authentication request/response'. The 'Transport stratum' contains 'Network attachment control functions' (which include 'Transport user profiles') and 'Resource and admission control functions'. The 'Transport functions' layer is at the bottom. On the left, 'Management functions' (pink) and 'End-user functions' (white) are connected to the 'UNI' (User Network Interface). On the right, 'Other networks' (white) are connected to the 'NNI' (Network Network Interface). A legend at the bottom indicates: dashed lines for Control, hatched lines for Media, and dotted lines for Management. The reference 'Y.2703(09)_F8-2' is in the bottom right corner.](4e4be0bd8b235167902f2c03e41da651_img.jpg) + +Figure 8-2: Authentication and authorization of user for service access. This diagram illustrates the architecture for user authentication and authorization. At the top, 'Applications' connect to the 'ANI' (Application Network Interface). The core architecture is divided into three main strata: 'Service stratum' (green), 'Transport stratum' (yellow), and 'Transport functions' (white). The 'Service stratum' contains 'Application support functions and service support functions' and 'Service control functions'. Within the 'Service control functions', there are 'AAA client function' and 'AAA server function' connected by a red arrow labeled 'Authentication request/response'. The 'Transport stratum' contains 'Network attachment control functions' (which include 'Transport user profiles') and 'Resource and admission control functions'. The 'Transport functions' layer is at the bottom. On the left, 'Management functions' (pink) and 'End-user functions' (white) are connected to the 'UNI' (User Network Interface). On the right, 'Other networks' (white) are connected to the 'NNI' (Network Network Interface). A legend at the bottom indicates: dashed lines for Control, hatched lines for Media, and dotted lines for Management. The reference 'Y.2703(09)\_F8-2' is in the bottom right corner. + +**Figure 8-2 – Authentication and authorization of user for service access** + +Figure 8-2 shows the application of AAA for user to service access (i.e., an application of type-2 in Figure 7-1 above). + +Similarly to the previous case shown by Figure 8-1, an AAA client in service control functions (typically, S-1 S-CES-FE) detects the connection request from a user terminal. It requests an AAA server (such as S-5 SUP-FE, or S-6 SAA-FE), for authentication and authorization for the requested service. A service based on the service request is either provided or rejected depending upon the result of authentication and authorization. + +Once the user is connected to the network or the service, each AAA client notifies its AAA server of the information on NGN resources consumed by the user to help an AAA server collect accounting information associated with the user. + +### 8.3 Authentication and authorization of user for access to 3rd party service + +Third-party services accessed through the ANI are not addressed in NGN release 1. Therefore, the authentication and authorization of user for access to third-party services is out of scope of this Recommendation. This Recommendation does not depict the reference model for third-party services. However, a use-case illustrating authentication and authorization of a 3rd party service is described in Appendix III. + +## **9 Enrolment** + +A prerequisite for AAA is identification of the entity to be authenticated, e.g., the user or device. The credentials that identify the entity are established through an enrolment process which establishes the unique identity of a user/device. The credentials are used in the authentication process whenever access to service(s) is sought. The enrolment process may include acceptance of terms and conditions as well as financial arrangements. Although the initial verification of identity and credentials is referred to as enrolment, subsequent access to services and credential checks are known as registration. Precise arrangements for enrolment will depend on provider policies, nature of services, etc. + +## **10 Authentication** + +This Recommendation uses the basic concepts of authentication described in [b-ITU-T X.811]. Network and service access authentication services and capabilities are needed to mitigate threats associated with attempts to gain unauthorized access. Additional information on digital certificate is in Appendix II. + +### **10.1 Authentication entities** + +The term "claimant" is used to describe an entity which requests authentication. A claimant includes the functions necessary for engaging in authentication exchanges. + +The AAA client provides a specialized function that is part of the access path between the claimant and the verifying entity on each access request and enforces the decision made by the verifier. + +In the AAA managed environment, the AAA server is the verifying entity and issues an authentication certificate to the claimant upon successful authentication. + +### **10.2 Procedure for authentication** + +In a AAA managed environment, the AAA server provides the authentication service for the user. It identifies the entity requesting access sufficiently to determine which services can be authorized for access and charged for. An authentication certificate may be issued by the AAA server. + +#### **10.2.1 Successful authentications** + +The following steps and Figure 10-1 provide an example of the message flow for a successful authentication. + +- Step 1. An entity requests the AAA client for access. +- Step 2. The AAA client requests the AAA server for authentication of the entity. +- Step 3. The AAA server requests the AAA client for the credentials of the entity to start the authentication. +- Step 4. The AAA client requests the entity for the credential(s) required for authentication. +- Step 5. The entity, now a claimant, sends the requested credential(s) to the AAA client. +- Step 6. The AAA client forwards the required credential(s) to the AAA server for authentication. +- Step 7. The AAA server verifies the received credential(s) against the claimant's user profile. +- Step 8. If the credentials could be verified, the AAA server proceeds to the authorization process without notifying the AAA client or claimant. +- Step 9. After the authorization process, the AAA server sends an allow access message to the AAA client. +- Step 10. The AAA client forwards the allow access message to the claimant. + +![Sequence diagram for successful authentication flow between Claimant, AAA Client, and AAA Server.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +``` + +sequenceDiagram + participant Claimant + participant AAA Client + participant AAA Server + + Note over Claimant, AAA Client: 1. Access request + Claimant-->>AAA Client: 1. Access request + Note over AAA Client, AAA Server: 2. Authentication request + AAA Client->>AAA Server: 2. Authentication request + Note over AAA Server: Authentication process + AAA Server->>AAA Client: 3. Request for credentials + Note over AAA Client, Claimant: 4. Request for credentials + AAA Client->>Claimant: 4. Request for credentials + Note over Claimant, AAA Client: 5. Send credentials + Claimant->>AAA Client: 5. Send credentials + Note over AAA Client, AAA Server: 6. Forward the credentials + AAA Client->>AAA Server: 6. Forward the credentials + Note over AAA Server: 7. Successfully verify the credentials + Note over AAA Server: 8. Authorization process as shown in Figure 11-1 + AAA Server->>AAA Client: 9. Return allow success + Note over AAA Client, Claimant: 10. Access allowed + AAA Client->>Claimant: 10. Access allowed + +``` + +Y.2703(09)\_F10-1 + +Sequence diagram for successful authentication flow between Claimant, AAA Client, and AAA Server. + +**Figure 10-1 – Message flows for successful authentication** + +#### 10.2.2 Unsuccessful authentications + +The following steps and Figure 10-2 provide an example of the message flow for an unsuccessful authentication. + +- Step 1. An entity requests the AAA client for access. +- Step 2. The AAA client requests the AAA server for authentication of the entity. +- Step 3. The AAA server requests the AAA client for the credentials of the entity to start the authentication. +- Step 4. The AAA client requests the entity for credential(s) required for authentication. +- Step 5. The entity, now a claimant, sends the requested credential(s) to the AAA client. +- Step 6. The AAA client forwards the required credential(s) to the AAA server for authentication. +- Step 7. The AAA server verifies the received credential(s) against the claimant's user profile. +- Step 8. If the credentials could not be verified, the AAA server sends a deny access message to the AAA client. +- Step 9. The AAA client forwards the deny access message to the claimant. + +![Sequence diagram for unsuccessful authentication flow between Claimant, AAA Client, and AAA Server.](9b6b5924b48bf2fd5f347f88f06f45b3_img.jpg) + +``` + +sequenceDiagram + participant Claimant + participant AAA Client + participant AAA Server + + Note over Claimant, AAA Client: 1. Access request + Claimant-->>AAA Client: 1. Access request + Note over AAA Client, AAA Server: 2. Authentication request + AAA Client->>AAA Server: 2. Authentication request + Note over AAA Server: Authentication process + AAA Server->>AAA Client: 3. Request for credentials + Note over AAA Client, Claimant: 4. Request for credentials + AAA Client->>Claimant: 4. Request for credentials + Note over Claimant, AAA Client: 5. Send credentials + Claimant->>AAA Client: 5. Send credentials + Note over AAA Client, AAA Server: 6. Forward the credentials + AAA Client->>AAA Server: 6. Forward the credentials + Note over AAA Server: 7. Unsuccessfully verify the credentials + AAA Server->>AAA Client: 8. Deny access message + Note over AAA Client, Claimant: 9. Deny access message + AAA Client->>Claimant: 9. Deny access message + +``` + +Y.2703(09)\_F10-2 + +Sequence diagram for unsuccessful authentication flow between Claimant, AAA Client, and AAA Server. + +**Figure 10-2 – Message flows for unsuccessful authentication** + +## **11 Authorization** + +Authorization is defined as the act of determining whether a particular privilege can be granted to the presenter of a particular credential. The privilege can be the right of access to service resource (SR) and may include reading, writing or modifying resources depending on the policy. The authorization process follows authentication and approves or denies access to NGN service depending on the results of the previous authentication steps and policy. + +### **11.1 Authorization aspects for NGN** + +The purpose of authorization is to provide and control access to authorized services for the authenticated user. In NGN, the AAA server communicates with network elements containing enrolled entities access privileges. + +This Recommendation treats authentication and authorization as associated processes, normally conducted sequentially for enrolled entities each time access is requested. However, a provider's policy may permit an entity to request immediate access/usage rights without re-authentication or enrolment. This case is not addressed. + +Authorization of the user for service is accomplished by the AAA server communicating and receiving authorization information from the appropriate network elements. On completion of the authorization process by the AAA server, acknowledgement information is forwarded to the user requesting the service. + +Receipt of the acknowledgement information constitutes the successful completion of the authentication and authorization set of processes, and the accessing entity is considered to be connected to the network or authorized SR. + +### **11.2 Authorization entities** + +The authorization process is performed automatically by the AAA server following authentication without involvement of the accessing entity. The AAA server provides a specialized function that makes the authorization decisions by applying access control policy rules. + +### **11.3 Procedure for authorization** + +The procedure for the authorization process is as depicted in Figure 11-1: + +- Step A. Upon the successful authentication of the entity, the AAA server identifies the services and resources available to and accessible for the claimant. +- Step B. Once Step A is completed, the AAA server advises the transport and service control functions to assign/allocate authorized services and resources to the claimant's use. +- Step C. The AAA server sends an allow access message to the AAA client. +- Step D. The AAA client forwards the allow access message to the claimant. + +![Sequence diagram showing message flows for the authorization process between Claimant, AAA Client, AAA Server, and Transport and service control functions.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +``` + +sequenceDiagram + participant Claimant + participant AAA Client + participant AAA Server + participant TSCF as Transport and service control functions + + Note over AAA Client, AAA Server: Authentication process + Claimant->>AAA Client: 1. Access request + AAA Client->>AAA Server: 2. Authentication request + AAA Server->>AAA Client: 3. Request for credentials + AAA Client->>Claimant: 4. Request for credentials + Claimant->>AAA Client: 5. Send credentials + AAA Client->>AAA Server: 6. Forward the credentials + AAA Server->>AAA Server: 7. Verify credentials + AAA Server-->>AAA Client: 8. Deny access message + AAA Client->>Claimant: 9. Deny access message + Note over AAA Server: Verified? + Note over AAA Server: No + Note over AAA Server: Yes + + Note over AAA Server, TSCF: Authorization process + AAA Server->>TSCF: A. Identity privileges + Note over TSCF: B1. Advise to assign authorized SR + TSCF->>AAA Server: B2. Response + + Note over AAA Client, AAA Server: Successful authentication response + AAA Server->>AAA Client: C. Allow access + AAA Client->>Claimant: D. Forward allow access message + +``` + +Y.2703(09)\_F11-1 + +Sequence diagram showing message flows for the authorization process between Claimant, AAA Client, AAA Server, and Transport and service control functions. + +**Figure 11-1 – Message flows for the authorization process** + +## 12 Accounting + +The final "A" in "AAA" stands for accounting. Accounting in the AAA context includes a security element which can be used in association with other security event data to support an accounting function. + +### 12.1 Security accounting + +Accounting of security events uses that subset of the accounting function which provides accounting data that is then used in developing a security audit trail for use by the security auditing function. The extent of the security audit trail depends on the security auditing needs and policy identified by the NGN provider for that particular context, e.g., start and end times of successful and unsuccessful network or service access, the service accessed, and identity information of the accessing entity (for successful authentications). The actual audit function is outside the scope of this Recommendation. The procedure of security accounting is as in Figure 12-1. + +### 12.2 Functions for security accounting + +The security accounting is a service area that performs functions such as: + +- 1) Capture: is responsible for acquiring detectable data from an event and providing information as relevant to the security context. Data to be captured may include: + - the results of authentication; + - information related to revocation of authentication and/or certificate; + - information on authentication assurance; + - other information relating to the process of authentication. + +- 2) Storage: keeps the representations that the capture function produces. +- 3) Review: seeks to accurately describe the event by: verifying the accuracy of what was captured, discerning facts by examining what was captured. +- 4) Report: takes information from the review function and delivers it to an audit function. +- 5) Audit: verifies the correctness of a security accounting report or the conformance to usage policy and security guidelines. The audit function may require the ability to alert immediately. + +It should be noted that only capture is an AAA function with storage, review, report and audit being management functions. These are out of scope for this Recommendation. + +![Flowchart of the Security Accounting Process Example (Figure 12-1). The process consists of five sequential steps: Capture, Store, Review, Report, and Audit. A dashed line separates the 'AAA involved process' (Capture) from 'OAMP and audit related processes' (Store, Review, Report, Audit). A feedback loop on the left indicates that results and findings from the Audit step are reflected back into the Capture, Store, Review, and Report steps for improvement. The Audit step is labeled with the identifier Y.2703(09)_F12-1.](dfe556fea00682b09a59427aaf72051c_img.jpg) + +``` + +graph TD + subgraph AAA_involvement [AAA involved process] + Capture[Capture] + end + subgraph OAMP_audit [OAMP and audit related processes] + Store[Store] + Review[Review] + Report[Report] + Audit[Audit] + end + Capture --> Store + Store --> Review + Review --> Report + Report --> Audit + Audit -.->|Feedback Loop| Capture + Audit -.->|Feedback Loop| Store + Audit -.->|Feedback Loop| Review + Audit -.->|Feedback Loop| Report + +``` + +• Captures data from network elements including AAA client(s) and server(s) +• The only process which involves AAA + +*AAA involved process* + +*OAMP and audit related processes* + +• Collected data to be stored and kept at secured place such as OAMP + +• Results and findings from audit to be appropriately reflected by each process for improvement + +Y.2703(09)\_F12-1 + +Flowchart of the Security Accounting Process Example (Figure 12-1). The process consists of five sequential steps: Capture, Store, Review, Report, and Audit. A dashed line separates the 'AAA involved process' (Capture) from 'OAMP and audit related processes' (Store, Review, Report, Audit). A feedback loop on the left indicates that results and findings from the Audit step are reflected back into the Capture, Store, Review, and Report steps for improvement. The Audit step is labeled with the identifier Y.2703(09)\_F12-1. + +**Figure 12-1 – Security accounting process example** + +## Appendix I + +### Authentication protocol for AAA in NGN + +(This appendix does not form an integral part of this Recommendation) + +This appendix deals with the EAP protocol that is transported over data link layers, and AAA protocols which provide AAA framework at the various applications. + +### I.1 EAP protocol for AAA service in NGN + +The EAP protocol defines an authentication framework which supports various authentication methods. The EAP runs on the peer and authentication server via the authenticator. The EAP is directly transported over data link layers such as IEEE 802 and PPP (point-to-point protocol). + +However, due to the feature of link dependency, the EAP protocol requires the lower layer such as EAPoL, IEEE 802.1X, and IEEE 802.11i. Figure I.1 describes the EAP multiplexing model. The EAP method layer includes the authentication algorithm. The EAP peer and authenticator have a respective functionality as an authentication client and authenticator. The EAP layer performs the delivery of the EAP messages. The lower layer transmits or receives the EAP frames between the peer and the authenticator. Since the link layer consists of various link protocols, the EAP requires various lower layers for each link protocol. + +![Figure I.1 – EAP forwarding model diagram showing the protocol stack for Peer, Authenticator, and Authentication server.](12de9b926df0384ec07702671827c9cd_img.jpg) + +The diagram illustrates the EAP forwarding model across three entities: Peer, Authenticator, and Authentication server. Each entity has a protocol stack represented by a column of boxes. The Peer stack consists of EAP method, EAP peer, EAP layer, and Lower layer. The Authenticator stack consists of two columns: the left column has EAP auth., EAP layer, and Lower layer; the right column has EAP auth., EAP layer, and AAA/IP. The Authentication server stack consists of EAP method, EAP auth., EAP layer, and AAA/IP. Red arrows indicate the flow of EAP messages: one arrow goes from the Peer's EAP peer layer up to its EAP method layer, and another goes from the Authentication server's EAP auth. layer up to its EAP method layer. A red line connects the Peer's Lower layer to the Authenticator's Lower layer, and another red line connects the Authenticator's AAA/IP layer to the Authentication server's AAA/IP layer, representing the transport of EAP frames. + +Y.2703(09)\_FI-1 + +Figure I.1 – EAP forwarding model diagram showing the protocol stack for Peer, Authenticator, and Authentication server. + +**Figure I.1 – EAP forwarding model** + +The EAP requires lower layer for reliable message delivery, error detection, and ordering messages as follows: + +- Since the EAP does not know that the peer receives the message from the authenticator, the EAP requires the reliable channel between the peer and the authenticator. +- The EAP does not assure that the EAP messages are delivered to the destination without error. The EAP needs an error detection function from the lower layer. +- The EAP messages might be changed in order or duplicated by any reason. Thus, the EAP requires duplication detection and ordering for guaranteeing correct operations. +- The lower layer does not know whether the upper layer includes authentication protocol or not. The EAP requires an indication of the authentication protocol. + +### I.2 AAA protocols + +AAA protocols such as RADIUS were initially deployed to provide dial-up PPP and terminal server access. Diameter protocol was developed with the growth of the Internet and the introduction of new access technologies. Table I.1 shows the comparison of AAA protocols. + +**Table I.1 – Comparison of AAA protocols** + +| | RADIUS | DIAMETER | +|------------------------------|---------------|-----------------| +| Network size | Small | Large | +| Transport | UDP | SCTP/TCP | +| Encryption | Password only | Entire packet | +| Authentication/Authorization | Combination | Combination | +| Standard | IETF | IETF | +| Protocol architecture | C/S | P2P | +| Scalability | Low | High | + +In case of RADIUS protocol, managing dispersed serial line and modem pools for large numbers of users can create the need for significant administrative support. Since modem pools are by definition a link to the outside world, they require careful attention to security, authorization and accounting. This can be best achieved by managing a single "database" of users, which allows for authentication (verifying user name and password) as well as configuration information detailing the type of service to deliver to the user. + +The base Diameter protocol may be used by itself for accounting applications, but for use in authentication and authorization, it is always extended for a particular application. + +## Appendix II + +### X.509 digital certificates as credentials + +(This appendix does not form an integral part of this Recommendation) + +A common method for providing authentication assurance is the use of digital certificates as described in [b-ITU-T X.509] and [b-ITU-T X.811]. The certificate defined by [b-ITU-T X.509], which is widely used, contains the following data types. + +- **version** is the version of the encoded certificate. If the extensions component is present in the certificate, version shall be v3. If the issuerUniqueIdentifier or subjectUniqueIdentifier component is present, version shall be v2 or v3. +- **serialNumber** is an integer assigned by the CA to each certificate. The value of serialNumber shall be unique for each certificate issued by a given CA (i.e., the issuer name and serial number identify a unique certificate). +- **signature** contains the algorithm identifier for the algorithm and hash function used by the CA in signing the certificate (e.g., md5WithRSAEncryption, sha-1WithRSAEncryption, id-dsa-with-sha1, etc.). +- **issuer** identifies the entity that has signed and issued the certificate. +- **validity** is the time interval during which the CA warrants that it will maintain information about the status of the certificate. +- **subject** identifies the entity associated with the public-key found in the subject public key field. +- **subjectPublicKeyInfo** is used to carry the public key being certified and to identify the algorithm which this public key is an instance of (e.g., rsaEncryption, dhpPublicNumber, id-dsa, etc.). +- **issuerUniqueIdentifier** is used to uniquely identify an issuer in case of name reuse. +- **subjectUniqueIdentifier** is used to uniquely identify a subject in case of name reuse. +- **extensions field** allows addition of new fields to the structure. + +## Appendix III + +### Authentication and authorization use-case + +(This appendix does not form an integral part of this Recommendation) + +The use-case using the AAA service in this appendix is based on the reference model provided in [b-ITU-T Y.2702]. + +### III.1 Authentication and authorization of user for network access + +Network access authentication and authorization services are needed to verify the identities and to determine whether access should be granted to the end user equipment. + +#### III.1.1 Device access/attachment to NGN authentication and authorization + +In this case, there are 3 types of NGN device access/attachment, authentication and authorization. These services and capabilities identify, authenticate and authorize user devices access or attachment to the access IP network: + +- identify, authenticate and authorized legacy TE and TE-BE for access/attachment to the access IP network ((1) of Figure III.1); +- identify, authenticate and authorize legacy TE and TE-BE with IAD in the customer domain for access/attachment to the access IP network ((2) of Figure III.1); +- identify, authenticate and authorize NGN TE and TE-BE with IP capabilities in the customer domain for access/attachment to the IP network ((3) of Figure III.1). + +The AAA client provides the authentication service for the device and network provider: it automatically allows the device to access the network provider, as necessary. + +The procedure of identification depicted in (1) of Figure III.1 is as follows: + +Step 1: The gateway (claimant) requests network access/attachment from the AAA client + +Step 2: The AAA client requests the identification of the gateway from AAA server (verifier) which identifies the gateway + +Step 3: The AAA server sends the results of identification to the AAA client + +Step 4: The AAA client forwards the results to the gateway, where the AAA client stores the access list of the gateway + +In case of (2) and (3), IAD and NGN TE is claimant respectively. The remaining process is identical to the procedure of (1). + +![Sequence diagram showing the procedure of identification for a device to access NGN network. The diagram involves NGN TE, IAD, Gateway, NGN access provider (AAA client and AAA server), and NGN service provider (AAA client and AAA server). Three scenarios are shown: (1) Legacy TE, (2) Legacy TE using IAD, and (3) NGN TE. Each scenario follows a similar flow: 1) Use request, 2-1) Identification request, 2-2) Identification decision, 3) Result forward, and 4-1) Store list of gateway/IAD/TE, followed by 4-2) Result forward.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +The diagram illustrates the identification procedure for a device to access an NGN network. It involves the following entities: NGN TE, IAD, Gateway, NGN access provider (AAA client and AAA server), and NGN service provider (AAA client and AAA server). The procedure is shown for three scenarios: (1) Legacy TE, (2) Legacy TE using IAD, and (3) NGN TE. The steps are as follows: + +- Scenario (1) Legacy TE:** + - 1) Use request: Gateway to AAA client. + - 2-1) Identification request: AAA client to AAA server. + - 2-2) Identification decision: AAA server to AAA client. + - 3) Result forward: AAA client to AAA server. + - 4-1) Store list of gateway: AAA client to AAA server. + - 4-2) Result forward: AAA client to Gateway. +- Scenario (2) Legacy TE using IAD:** + - 1) Use request: Gateway to AAA client. + - 2-1) Identification request: AAA client to AAA server. + - 2-2) Identification decision: AAA server to AAA client. + - 3) Result forward: AAA client to AAA server. + - 4-1) Store list of IAD: AAA client to AAA server. + - 4-2) Result forward: AAA client to IAD. +- Scenario (3) NGN TE:** + - 1) Use request: NGN TE to AAA client. + - 2-1) Identification request: AAA client to AAA server. + - 2-2) Identification decision: AAA server to AAA client. + - 3) Result forward: AAA client to AAA server. + - 4-1) Store list of TE: AAA client to AAA server. + - 4-2) Result forward: AAA client to NGN TE. + +Y.2703(09)\_FIII.1 + +Sequence diagram showing the procedure of identification for a device to access NGN network. The diagram involves NGN TE, IAD, Gateway, NGN access provider (AAA client and AAA server), and NGN service provider (AAA client and AAA server). Three scenarios are shown: (1) Legacy TE, (2) Legacy TE using IAD, and (3) NGN TE. Each scenario follows a similar flow: 1) Use request, 2-1) Identification request, 2-2) Identification decision, 3) Result forward, and 4-1) Store list of gateway/IAD/TE, followed by 4-2) Result forward. + +**Figure III.1 – Procedure of identification for a device to access NGN network** + +#### III.1.2 Bundled device access/attachment to NGN and service/application authentication and authorization + +In this case, there are 3 types of NGN access/attachment, authentication and authorization. These services and capabilities bundle the NGN access provider authentication of the user device with that of the NGN service provider as follows: + +- services and capabilities for the NGN service provider to implicitly identify and authorize legacy TE and TE-BE ((1) of Figure III.2); +- services and capabilities for the NGN service provider to implicitly identify and authorize legacy TE and TE-BE with IAD ((2) of Figure III.2); +- services and capabilities for the NGN service provider to directly identify, authenticate and authorize NGN TE and TE-BE in the customer domain ((3) of Figure III.2). + +The AAA client provides the authentication service for the device and service/application provider: it automatically allows the device to access the service/application provider, as necessary. + +The procedure of the identification depicted in (1) of Figure III.2 is as follows: + +- Step 1: The gateway (claimant) requests the use of service/application from the AAA client +- Step 2: The AAA client requests the identification of the gateway from the AAA server (verifier) in the access network domain, where the AAA server identifies the gateway +- Step 3: The AAA server sends the results of the identification to the AAA client and the AAA server in the NGN service provider domain simultaneously +- Step 4: The AAA client forwards the results to the gateway, where the AAA client stores the access list of the gateway + +The procedure of the identification depicted in (2) of Figure III.2 is as follows: + +Step 1: The IAD (claimant) requests the use of service/application from the AAA client. + +Step 2: The AAA client requests the identification of the IAD from the AAA client in the NGN service provider domain, where the AAA server (verifier) in the NGN service provider domain identifies the IAD. + +Step 3: The AAA server sends the results of the identification to the AAA client. + +Step 4: The AAA client forwards the results to IAD, where the AAA client stores the access list of IAD. + +In case of (3), NGN TE is claimant. The remaining process is identical to the procedure of (2). + +![Sequence diagram showing the procedure of identification for a device to use service/application provider. The diagram involves NGN TE, IAD, Gateway, NGN access provider (AAA client, AAA server), and NGN service provider (AAA client, AAA server). It details three scenarios: (1) Legacy TE, (2) Legacy TE using IAD, and (3) NGN TE.](171115f072e42b379238ed0dd438e9d7_img.jpg) + +``` + +sequenceDiagram + participant NGN_TE as NGN TE + participant IAD as IAD + participant Gateway as Gateway + box "NGN access provider" + participant AC1 as AAA client + participant AS1 as AAA server + end + box "NGN service provider" + participant AC2 as AAA client + participant AS2 as AAA server + end + + Note over NGN_TE, AS2: (1) Legacy TE + Gateway->>AC1: 1) Use request + AC1->>AS1: 2) Identification request + AS1->>AC2: 3-1) Identification decision + AC2-->>AS1: 3-2) Result forward + AS1-->>AC1: 3-2) Result forward + Note right of AC1: 4-1) Store list of gateway + AC1-->>Gateway: 4-2) Result forward + + Note over NGN_TE, AS2: (2) Legacy TE using IAD + IAD->>AC1: 1) Use request + AC1->>AC2: 2-1) Request msg forward + AC2->>AS2: 2-2) Identification request + AS2-->>AC2: 3-1) Identification decision + AC2-->>AC1: 3-2) Result forward + Note right of AC1: 4-1) Store list of IAD + AC1-->>IAD: 4-2) Result forward + + Note over NGN_TE, AS2: (3) NGN TE + NGN_TE->>AC1: 1) Use request + AC1->>AS1: 2) Identification request + AS1->>AC2: 3-1) Identification decision + AC2-->>AS1: 3-2) Result forward + AS1-->>AC1: 3-2) Result forward + Note right of AC1: 4-1) Store list of TE + AC1-->>NGN_TE: 4-2) Result forward + +``` + +Y.2703(09)\_FIII.2 + +Sequence diagram showing the procedure of identification for a device to use service/application provider. The diagram involves NGN TE, IAD, Gateway, NGN access provider (AAA client, AAA server), and NGN service provider (AAA client, AAA server). It details three scenarios: (1) Legacy TE, (2) Legacy TE using IAD, and (3) NGN TE. + +**Figure III.2 – Procedure of identification for a device to use service/application provider** + +### III.2 NGN service provider authentication and authorization of user for access to service/application + +In this case, there are 3 types in service/application authentication and authorization in a multi-network provider: + +- NGN service provider indirect authentication of a user device through trust relations with the NGN access provider ((1) of Figure III.3); +- NGN service provider direct authentication and authorization of a user device. ((2) of Figure III.3); +- NGN service provider direct authentication of the user ((3) of Figure III.3). + +The AAA client provides the authentication service for the user and service/application provider: it automatically allows the user to access the service/application provider, as necessary. + +The procedure of the identification depicted in (1) of Figure III.3 is as follows: + +- Step 1: The TE (claimant) requests the use of service/application from the AAA client. +- Step 2: The AAA client requests the identification of the device from the AAA server (verifier) in the access network domain, where the AAA server identifies the device. +- Step 3: The AAA server sends the results of the identification to the AAA client and the AAA server in the NGN service provider domain simultaneously. +- Step 4: The AAA client forwards the results to the gateway, where the AAA client stores the access list of the device. + +The procedure of the identification depicted in (2) of Figure III.3 is as follows: + +- Step 1: The TE (claimant) requests the use of service/application from the AAA client in the NGN service provider domain. +- Step 2: The AAA client requests the identification of the device from the AAA server (verifier) in the NGN service provider domain, where the AAA server identifies the device. +- Step 3: The AAA server sends the results of the identification to the AAA client. +- Step 4: The AAA client forwards the results to the device, where the AAA client stores the access list of the device. + +The procedure of the authentication depicted in (3) of Figure III.3 is as follows: + +- Step 1: The user (claimant) requests the use of service/application from the AAA client in the NGN service provider domain. +- Step 2: The AAA client requests the authentication of the user from the AAA server (verifier) in the NGN service provider domain that authenticates the user. +- Step 3: The AAA server sends the results of the authentication to the AAA client. +- Step 4: The AAA client forwards the results to the user, where the AAA client stores the access list of the user. + +![Sequence diagram showing the procedure of NGN service provider authentication and authorization of user. The diagram involves four main entities: User, NGN TE, NGN service provider (containing AAA client and AAA server), and 3rd party provider (containing AAA client and AAA server). The process is divided into three main sections: (1) User device authentication (indirect), (2) User device authentication (direct), and (3) User authentication (direct). In section (1), the NGN TE sends a '1) Use request' to the NGN service provider AAA client, which sends a '2-2) Identification request' to the AAA server. The AAA server sends a '3-1) Identification decision' to the AAA client, which then sends a '3-2) Result forward' to the 3rd party provider AAA client. The 3rd party provider AAA client sends a '4-1) Store list of device' to the AAA server, which then sends a '4-2) Result forward' to the NGN TE. In section (2), the NGN TE sends a '1) Use request' to the 3rd party provider AAA client, which sends a '2-1) Identification request' to the AAA server. The AAA server sends a '3) Result forward' to the AAA client, which then sends a '4-1) Store list of device' to the AAA server. The AAA server sends a '4-2) Result forward' to the NGN TE. In section (3), the NGN TE sends a '1) Access request' to the 3rd party provider AAA client, which sends a '2-1) Authentication request' to the AAA server. The AAA server sends a '3) Result forward' to the AAA client, which then sends a '4-1) Store access list of user' to the AAA server. The AAA server sends a '4-2) Result forward' to the NGN TE. The diagram is labeled Y.2703(09)_FIII.3 in the bottom right corner.](cbdfdade780e677eb1c1aef3081ce9ef_img.jpg) + +Sequence diagram showing the procedure of NGN service provider authentication and authorization of user. The diagram involves four main entities: User, NGN TE, NGN service provider (containing AAA client and AAA server), and 3rd party provider (containing AAA client and AAA server). The process is divided into three main sections: (1) User device authentication (indirect), (2) User device authentication (direct), and (3) User authentication (direct). In section (1), the NGN TE sends a '1) Use request' to the NGN service provider AAA client, which sends a '2-2) Identification request' to the AAA server. The AAA server sends a '3-1) Identification decision' to the AAA client, which then sends a '3-2) Result forward' to the 3rd party provider AAA client. The 3rd party provider AAA client sends a '4-1) Store list of device' to the AAA server, which then sends a '4-2) Result forward' to the NGN TE. In section (2), the NGN TE sends a '1) Use request' to the 3rd party provider AAA client, which sends a '2-1) Identification request' to the AAA server. The AAA server sends a '3) Result forward' to the AAA client, which then sends a '4-1) Store list of device' to the AAA server. The AAA server sends a '4-2) Result forward' to the NGN TE. In section (3), the NGN TE sends a '1) Access request' to the 3rd party provider AAA client, which sends a '2-1) Authentication request' to the AAA server. The AAA server sends a '3) Result forward' to the AAA client, which then sends a '4-1) Store access list of user' to the AAA server. The AAA server sends a '4-2) Result forward' to the NGN TE. The diagram is labeled Y.2703(09)\_FIII.3 in the bottom right corner. + +**Figure III.3 – Procedure of NGN service provider authentication and authorization of user** + +### III.3 User authentication and authorization of NGN providers + +In this case, there are 2 types in user authentication and authorization of the network: + +- User authentication of NGN provider for network attachment ((1) of Figure III.4). +- User authentication of NGN provider for obtaining the service ((2) of Figure III.4). + +The AAA client provides the authentication service for the user authentication and authorization of the network: it automatically allows the user to access the network provider, as necessary. + +The procedure of the identification depicted in (1) of Figure III.4 is as follows: + +- Step 1: The user (claimant) requests authentication of the NAP (network access points) from the 3rd party verifier. +- Step 2: The 3rd party verifier forwards AI (authentication information) to the NAP. +- Step 3: Exchange AI between 3rd party verifier and the NAP. +- Step 4: The 3rd party verifier forwards the results to the user, where the 3rd party verifier verifies. + +The procedure of the identification depicted in (2) of Figure III.4 is as follows: + +- Step 1: The user (claimant) requests authentication of network from the 3rd party verifier. +- Step 2: The 3rd party verifier forwards the request of the user to the AAA client, where the AAA client requests AI from the AAA server. +- Step 3: The AAA server sends AI to the AAA client and exchanges AI between the 3rd party verifier and the AAA client. +- Step 4: The 3rd party verifier forwards the results to the user, where the 3rd party verifier verifies. + +![Sequence diagram showing the procedure of user authentication and authorization of NGN providers. The diagram involves four main entities: User, Trusted 3rd party verifier, NAP, and NGN access provider (containing AAA client and AAA server). The process is divided into two main parts: (1) NAP authentication and (2) Network authentication. In the NAP authentication part, the User sends a request to the Trusted 3rd party verifier, which forwards it to the NAP. The NAP exchanges AI with the Trusted 3rd party verifier and then forwards the result back to the User. In the Network authentication part, the User sends a request to the Trusted 3rd party verifier, which forwards it to the AAA client. The AAA client exchanges AI with the AAA server and then forwards the result back to the User. The diagram is labeled Y.2703(09)_FIII.4.](aaf3e6e44cdeabd6d1df869c5f392ea1_img.jpg) + +``` + +sequenceDiagram + participant User + participant T3PV as Trusted 3rd party verifier + participant NAP + participant NGNAP as NGN access provider + participant AAAclient as AAA client + participant AAAserver as AAA server + + Note over User, T3PV: (1) NAP authentication + User-->>T3PV: 1) NAP authentication request + T3PV-->>NAP: 2) AI forward + NAP-->>T3PV: 3) Exchange AI + T3PV-->>User: 4-2) Result forward + Note over T3PV: } 4-1) Verify AI + + Note over User, T3PV: (2) Network authentication + User-->>T3PV: 1) Network authentication request + T3PV-->>AAAclient: 2-1) Request forward + AAAclient-->>AAAserver: 2-2) Request AI + AAAserver-->>AAAclient: 3-1) AI forward + AAAclient-->>T3PV: 3-2) Exchange AI + T3PV-->>User: 4-2) Result forward + Note over T3PV: } 4-1) Verify AI + +``` + +Y.2703(09)\_FIII.4 + +Sequence diagram showing the procedure of user authentication and authorization of NGN providers. The diagram involves four main entities: User, Trusted 3rd party verifier, NAP, and NGN access provider (containing AAA client and AAA server). The process is divided into two main parts: (1) NAP authentication and (2) Network authentication. In the NAP authentication part, the User sends a request to the Trusted 3rd party verifier, which forwards it to the NAP. The NAP exchanges AI with the Trusted 3rd party verifier and then forwards the result back to the User. In the Network authentication part, the User sends a request to the Trusted 3rd party verifier, which forwards it to the AAA client. The AAA client exchanges AI with the AAA server and then forwards the result back to the User. The diagram is labeled Y.2703(09)\_FIII.4. + +**Figure III.4 – Procedure of user authentication and authorization of NGN providers** + +### III.4 NGN provider authentication and authorization of 3rd party service/application provider + +There may be certain scenarios where the provider of an application or service is different from the NGN provider (i.e., a 3rd party service/application provider). The NGN provider would need to authenticate and authorize the 3rd party service/application provider. + +The AAA client provides the authentication service for the NGN provider authentication and authorization of the 3rd party service/application provider. + +The procedure of the identification depicted in Figure III.5 is as follows: + +- Step 1: The AAA client (claimant) in the NGN provider requests an authentication from the 3rd party service/application provider to the 3rd party verifier. +- Step 2: The 3rd party verifier forwards the request of the user to the AAA client in the 3rd party service/application provider and the AAA client requests AI from the AAA server. +- Step 3: The AAA server forwards AI to the AAA client and exchanges AI between the 3rd party verifier and the AAA client. +- Step 4: The 3rd party verifier forwards the results to the AAA client in the NGN provider, where the 3rd party verifier verifies and the AAA server stores the result. + +![Sequence diagram illustrating the procedure of NGN provider authentication and authorization of 3rd party service/application provider. The diagram shows interactions between a User, an NGN provider (containing AAA server and AAA client), a Trusted 3rd party verifier, and a 3rd party service/application provider (containing AAA client and AAA server).](b235edb1dbe659e2782c9a0e47775ca4_img.jpg) + +``` + +sequenceDiagram + participant User + participant NGN_provider as NGN provider + participant Trusted_3rd_party_verifier as Trusted 3rd party verifier + participant 3rd_party_service_application_provider as 3rd party service/application provider + + Note over NGN_provider: AAA server, AAA client + Note over 3rd_party_service_application_provider: AAA client, AAA server + + User->>AAA_client[AAA client]: 1) 3rd party authentication request + AAA_client->>AAA_client: 2-1) Request forward + AAA_client->>AAA_server[AAA server]: 2-2) Request AI + AAA_server->>AAA_client: 3-1) AI forward + AAA_client->>AAA_server: 3-2) Exchange AI + AAA_client->>AAA_server: 4-1) Verify AI + AAA_client->>AAA_client: 4-2) Forward AI + AAA_client->>AAA_server: 4-3) Result forward + AAA_client->>AAA_server: 4-4) Store result + +``` + +Y.2703(09)\_FIII.5 + +Sequence diagram illustrating the procedure of NGN provider authentication and authorization of 3rd party service/application provider. The diagram shows interactions between a User, an NGN provider (containing AAA server and AAA client), a Trusted 3rd party verifier, and a 3rd party service/application provider (containing AAA client and AAA server). + +**Figure III.5 – Procedure of NGN provider authentication and authorization of 3rd party service/application provider** + +### III.5 Use of 3rd party authentication and authorization service + +Service providers may provide third party authentication and authorization. In this case, there are 2 types in use of 3rd party authentication and authorization service: + +- Authentication of the user to a service provider ((1) of Figure III.6). +- Authentication of a service provider to the user ((2) of Figure III.6). + +#### III.5.1 Authentication of the user to a service provider + +The AAA client provides the authentication service for the user authentication and authorization to a service provider: it automatically allows the user to access a 3rd party service/application provider, as necessary. + +The procedure of the identification depicted in Figure III.6 is as follows: + +- Step 1: The user (claimant) requests network access from the AAA client. +- Step 2: The AAA client requests qualification from the user to the AAA server in the 3rd party service/application provider, where the AAA server (verifier) authenticates the user. +- Step 3: The AAA server sends the results of authentication to the AAA client. +- Step 4: The AAA client forwards the results to the user, where the AAA client stores the access list of the user. +- Step 5: If granted, the user can access the specified resource of the network. + +![Sequence diagram for Figure III.6 showing the procedure of use of 3rd party authentication and authorization service. The diagram involves a User, a 3rd party service/application provider (containing an AAA client and an AAA server), and an AAA server. The steps are: 1) Access request from User to AAA client; 2-1) Authentication request from AAA client to AAA server; 2-2) Authentication decision from AAA server to AAA client; 3) Result forward from AAA client to AAA server; 4-1) Store access list of user from AAA client to AAA server; 4-2) Result forward from AAA client to User; 5) Access to resource of network/service from User to AAA server. A bracket groups steps 2-1 and 2-2 as 'Authentication decision'. A bracket groups steps 4-1 and 4-2 as 'Result forward'.](69b7bd65e85cdef6fdd7fb0a8194257c_img.jpg) + +``` + +sequenceDiagram + participant User + participant Provider as 3rd party service/application provider + participant AAA_client as AAA client + participant AAA_server as AAA server + + User-->>AAA_client: 1) Access request + AAA_client->>AAA_server: 2-1) Authentication request + AAA_server-->>AAA_client: 2-2) Authentication decision + AAA_client->>AAA_server: 3) Result forward + AAA_client->>AAA_server: 4-1) Store access list of user + AAA_client-->>User: 4-2) Result forward + User->>AAA_server: 5) Access to resource of network/service + +``` + +Y.2703(09)\_FIII.6 + +Sequence diagram for Figure III.6 showing the procedure of use of 3rd party authentication and authorization service. The diagram involves a User, a 3rd party service/application provider (containing an AAA client and an AAA server), and an AAA server. The steps are: 1) Access request from User to AAA client; 2-1) Authentication request from AAA client to AAA server; 2-2) Authentication decision from AAA server to AAA client; 3) Result forward from AAA client to AAA server; 4-1) Store access list of user from AAA client to AAA server; 4-2) Result forward from AAA client to User; 5) Access to resource of network/service from User to AAA server. A bracket groups steps 2-1 and 2-2 as 'Authentication decision'. A bracket groups steps 4-1 and 4-2 as 'Result forward'. + +**Figure III.6 – Procedure of use of 3rd party authentication and authorization service** + +#### III.5.2 Authentication of a service provider to the user + +The AAA client provides the authentication service for authentication of a service provider to the user. The procedure of the identification depicted in Figure III.7 is as follows: + +- Step 1: The user (claimant) in custom domain requests authentication from the 3rd party service/application provider to the 3rd party verifier +- Step 2: The 3rd party verifier forwards the request of the user to the AAA client in the 3rd party service/application provider, and the AAA client requests AI from the AAA server +- Step 3: The AAA server forwards the AI to the AAA client and exchanges AI between the 3rd party verifier and the AAA client +- Step 4: The 3rd party verifier forwards the results to the AAA client in the NGN provider, where the 3rd party verifier verifies and stores the result + +![Sequence diagram for Figure III.7 showing the procedure of use of 3rd party authentication and authorization service. The diagram involves a User, a Trusted 3rd party verifier, a 3rd party service/application provider (containing an AAA client and an AAA server), and an AAA server. The steps are: 1) 3rd party authentication request from User to Trusted 3rd party verifier; 2-1) Request forward from Trusted 3rd party verifier to AAA client; 2-2) Request AI from AAA client to AAA server; 3-1) AI forward from AAA server to AAA client; 3-2) Exchange AI between AAA client and Trusted 3rd party verifier; 4-1) Verify AI from AAA client to Trusted 3rd party verifier; 4-2) Result forward from Trusted 3rd party verifier to User. A bracket groups steps 3-1 and 3-2 as 'Exchange AI'. A bracket groups steps 4-1 and 4-2 as 'Verify AI'.](6ca05954842b17f14dfd52f26b9d43d2_img.jpg) + +``` + +sequenceDiagram + participant User + participant Verifier as Trusted 3rd party verifier + participant Provider as 3rd party service/application provider + participant AAA_client as AAA client + participant AAA_server as AAA server + + User-->>Verifier: 1) 3rd party authentication request + Verifier->>AAA_client: 2-1) Request forward + AAA_client->>AAA_server: 2-2) Request AI + AAA_server-->>AAA_client: 3-1) AI forward + AAA_client-->>Verifier: 3-2) Exchange AI + AAA_client-->>Verifier: 4-1) Verify AI + Verifier-->>User: 4-2) Result forward + +``` + +Y.2703(09)\_FIII.7 + +Sequence diagram for Figure III.7 showing the procedure of use of 3rd party authentication and authorization service. The diagram involves a User, a Trusted 3rd party verifier, a 3rd party service/application provider (containing an AAA client and an AAA server), and an AAA server. The steps are: 1) 3rd party authentication request from User to Trusted 3rd party verifier; 2-1) Request forward from Trusted 3rd party verifier to AAA client; 2-2) Request AI from AAA client to AAA server; 3-1) AI forward from AAA server to AAA client; 3-2) Exchange AI between AAA client and Trusted 3rd party verifier; 4-1) Verify AI from AAA client to Trusted 3rd party verifier; 4-2) Result forward from Trusted 3rd party verifier to User. A bracket groups steps 3-1 and 3-2 as 'Exchange AI'. A bracket groups steps 4-1 and 4-2 as 'Verify AI'. + +**Figure III.7 – Procedure of use of 3rd party authentication and authorization service** + +## Bibliography + +- [b-ITU-T M.3410] Recommendation ITU-T M.3410 (2008), *Guidelines and requirements for security management systems to support telecommunications management.* +- [b-ITU-T Q.3201] Recommendation ITU-T Q.3201 (2007), *EAP-based security signalling protocol architecture for network attachment.* +- [b-ITU-T Q.3202.1] Recommendation ITU-T Q.3202.1 (2008), *Authentication protocols based on EAP-AKA for interworking among 3GPP, WiMax, and WLAN in NGN.* +- [b-ITU-T X.509] Recommendation ITU-T X.509 (2005) | ISO/IEC 9594-8:2005, *Information technology – Open Systems Interconnection – The Directory: Public-key and attribute certificate frameworks.* +- [b-ITU-T X.800] Recommendation ITU-T X.800 (1991), *Security architecture for Open Systems Interconnection for CCITT applications.* +- [b-ITU-T X.805] Recommendation ITU-T X.805 (2003), *Security architecture for systems providing end-to-end communications.* +- [b-ITU-T X.810] Recommendation ITU-T X.810 (1995) | ISO/IEC 10181-1:1996, *Information technology – Open Systems Interconnection – Security frameworks for open systems: Overview.* +- [b-ITU-T X.811] Recommendation ITU-T X.811 (1995) | ISO/IEC 10181-2:1996, *Information technology – Open Systems Interconnection – Security frameworks for open systems: Authentication framework.* +- [b-ITU-T X.812] Recommendation ITU-T X.812 (1995) | ISO/IEC 10181-3:1996, *Information technology – Open Systems Interconnection – Security frameworks for open systems: Access control framework.* +- [b-ITU-T X.816] Recommendation ITU-T X.816 (1995) | ISO/IEC 10181-7:1996, *Information technology – Open Systems Interconnection – Security frameworks for open systems: Security audit and alarms framework.* +- [b-ITU-T Y.2001] Recommendation ITU-T Y.2001 (2004), *General overview of NGN.* +- [b-ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for next generation networks.* +- [b-ITU-T Y.2012] Recommendation ITU-T Y.2012 (2006), *Functional requirements and architecture of the NGN release 1.* +- [b-ITU-T Y.2201] Recommendation ITU-T Y.2201 (2007), *NGN release 1 requirements.* +- [b-ITU-T Y.2233] Recommendation ITU-T Y.2233 (2008), *Requirements and framework allowing accounting and charging capabilities in NGN.* +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1.* +- [b-ITU-T Y.2702] Recommendation ITU-T Y.2702 (2008), *Authentication and authorization requirements for NGN release 1.* + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T 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International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, with "International Telecommunication Union" in smaller blue text below it. + +ITU logo + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Future networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.2704 + +# Security mechanisms and procedures for NGN + +## Summary + +Recommendation ITU-T Y.2701, *Security requirements for NGN release 1*, provides security requirements for next generation networks (NGNs) and its interfaces (e.g., UNIs, NNIs and ANIs). Recommendation ITU-T Y.2704 describes some security mechanisms that can be used to fulfil the requirements described in Recommendation ITU-T Y.2701 and specifies the suite of options for each selected mechanism. Specifically, this Recommendation describes identification, authentication and authorization mechanisms; then it discusses transport security for signalling and OAMP, and media security. It then describes audit-trail-related mechanisms and finally describes the provisioning. The security mechanisms described in this Recommendation are based on use of the trust model defined in Recommendation ITU-T Y.2701. + +The list of security mechanisms described in this Recommendation is not exhaustive. NGN providers are encouraged to support additional security tools, capabilities and operational measures as needed beyond the mechanisms specified in this Recommendation for NGN security protection. + +## History + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2704 | 2010-01-29 | 13 | + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2010 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|-----------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 1.1 Assumptions ..... | 1 | +| 1.2 Overview ..... | 1 | +| 2 References..... | 2 | +| 3 Definitions ..... | 3 | +| 3.1 Terms defined elsewhere ..... | 3 | +| 3.2 Terms defined in this Recommendation..... | 4 | +| 4 Abbreviations and acronyms ..... | 4 | +| 5 Conventions ..... | 7 | +| 6 Security risks and threats ..... | 7 | +| 7 Security trust model..... | 7 | +| 7.1 Single network trust model..... | 7 | +| 7.2 Peering network trust model..... | 9 | +| 8 Identification, authentication and authorization ..... | 10 | +| 8.1 Subscribers ..... | 10 | +| 8.2 Network element ..... | 10 | +| 8.3 Credential usage in the NGN security ..... | 10 | +| 8.4 Identification and authentication of subscribers..... | 14 | +| 8.5 Identification and authentication of end-users ..... | 18 | +| 8.6 Identification and authentication by TE-BE..... | 20 | +| 8.7 Authenticator-SAA/TAA-FEs interface ..... | 20 | +| 8.8 Identification and authentication of bearer traffic ..... | 21 | +| 9 Transport security for signalling and OAMP ..... | 23 | +| 9.1 TLS ..... | 23 | +| 9.2 IPsec in trusted and trusted-but-vulnerable zones ..... | 27 | +| 9.3 Key agreement protocol between untrusted and trusted-but-vulnerable zone..... | 31 | +| 9.4 IPsec between untrusted and trusted-but-vulnerable zone ..... | 31 | +| 10 Media security ..... | 31 | +| 10.1 SRTP..... | 33 | +| 11 OAMP..... | 34 | +| 11.1 Network element interface to logging systems ..... | 35 | +| 11.2 Network element use of SNMP ..... | 35 | +| 11.3 Security patch management..... | 35 | +| 11.4 Version management ..... | 35 | +| 11.5 Audit trail, trapping, and logging at TE-BE ..... | 36 | +| 12 Provisioning of equipment in untrusted zone ..... | 36 | + +| | Page | +|---------------------------------------------------------------------------------------------------------------------------------------------|-------------| +| Appendix I – Examples of source-address assurance and its application to the mechanism of subscriber identification and authentication..... | 37 | +| I.1    Subscriber identification and authentication linked to access-line authentication ..... | 37 | +| I.2    Subscriber identification and authentication linked to explicit access authentication at IP connectivity establishment ..... | 39 | +| Appendix II – Emergency telecommunications service (ETS) interconnection security ..... | 42 | +| II.1    Background..... | 42 | +| II.2    Scope/purpose..... | 42 | +| II.3    Security objectives and guidelines for interconnection of ETS ..... | 42 | +| II.4    Authentication and authorization ..... | 42 | +| II.5    Transport security for signalling and OAMP ..... | 43 | +| II.6    Media traffic ..... | 43 | +| II.7    Support of calling number ID and calling name ID restriction features ..... | 43 | +| II.8    Non-traceability ..... | 43 | +| II.9    End-to-end peer-to-peer encryption ..... | 43 | +| Appendix III – Security best practices ..... | 44 | +| III.1    Introduction ..... | 44 | +| III.2    Firewalls ..... | 44 | +| III.3    Operating system hardening ..... | 45 | +| III.4    Vulnerability assessment ..... | 45 | +| III.5    Intrusion detection systems ..... | 46 | +| Bibliography..... | 47 | + +# Recommendation ITU-T Y.2704 + +# Security mechanisms and procedures for NGN + +# 1 Scope + +[ITU-T Y.2701], *Security requirements for NGN release 1*, provides security requirements for next generation networks (NGNs) and its interfaces (e.g., UNIs, NNIs and ANIs), including a trust model. The security mechanisms selected to implement these requirements will contain options, and mismatched options are undesirable because they tend to introduce security vulnerabilities and make it more difficult to achieve interoperability. + +This Recommendation therefore highlights some important security mechanisms that can be used to realize the requirements in [ITU-T Y.2701] and specifies the suite of options to be used for each selected mechanism to reduce interoperability and mismatch problems. The list of mechanisms described in this Recommendation is not exhaustive. NGN providers are encouraged to support additional security tools, capabilities and operational measures as needed beyond the mechanisms specified in this Recommendation for NGN security protection. + +This Recommendation is intended to be used with [ITU-T Y.2701] to provide a base for NGN security. It should be used with other security-related Recommendations and other specifications as appropriate for specific security areas. + +NOTE – The mechanisms described in this Recommendation for identification and authentication are part of the broader topic generally known as IdM ("identity management"). + +## 1.1 Assumptions + +This Recommendation is based on the following assumptions: + +- 1) The bundling of functional entities, as defined in [ITU-T Y.2012], to a given network element will vary, depending on the vendor. +- 2) Each NGN provider has specific responsibilities within its domain for security. For example, implementing applicable security services and practices a) to protect itself, b) to assure end-to-end security is not compromised within its network, and c) to assure high availability and integrity of NGN communications. +- 3) Each network domain will establish and enforce policies for service level agreements (SLAs) to assure the security of its domain and the security of the network interconnections. It is assumed that the SLAs would specify security services, mechanisms and practices to be implemented to protect the interconnected networks and the communications (signalling/control traffic, bearer traffic and management traffic) across UNIs, ANIs and NNIs. +- 4) This Recommendation addresses network-based security, which is a layered architecture, consisting of perimeter security to trusted domains, physical security of provider equipment, and potentially the use of encryption. + +## 1.2 Overview + +This Recommendation is organized as follows: + +- Clause 2 (References) – This clause provides normative references. +- Clause 3 (Definitions) – This clause provides definitions used in this Recommendation. +- Clause 4 (Abbreviations and acronyms) – This clause provides the list of abbreviations and acronyms used in this Recommendation. +- Clause 5 (Conventions) – This clause is intentionally left blank. + +- Clause 6 (Security risks and threats) – This clause provides reference to security risks and threats applicable to NGN. +- Clause 7 (Security trust model) – This clause provides a summary of the trust model defined in [ITU-T Y.2701]. +- Clause 8 (Identification, authentication and authorization) – This clause provides mechanisms and security measures for identification, authentication and authorization. +- Clause 9 (Transport security for signalling and OAMP) – This clause provides mechanisms for signalling and OAMP encryption and integrity protection. +- Clause 10 (Media security) – This clause provides mechanisms for media (i.e., bearer traffic) protection. +- Clause 11 (OAMP) – This clause provides information and references for audit trail, trapping and logging of security events. +- Clause 12 (Provisioning of equipment in untrusted zone) – This clause provides information regarding provisioning of subscriber equipment in the untrusted zone. +- Appendix I – Examples of source-address assurance and its application to the mechanism of subscriber identification and authentication +- Appendix II – Emergency telecommunications service (ETS) interconnection security +- Appendix III – Security best practices +- Bibliography + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.2012] | Recommendation ITU-T Y.2012 (2006), Functional requirements and architecture of the NGN release 1 . | +| [ITU-T Y.2701] | Recommendation ITU-T Y.2701 (2007), Security requirements for NGN release 1 . | +| [ITU-T Y.2702] | Recommendation ITU-T Y.2702 (2008), Authentication and authorization requirements for NGN release 1 . | +| [ITU-T Y.2703] | Recommendation ITU-T Y.2703 (2009), The application of AAA service in NGN . | +| [ITU-T Y.2720] | Recommendation ITU-T Y.2720 (2009), NGN identity management framework . | +| [ITU-T X.509] | Recommendation ITU-T X.509 (2008) ISO/IEC 9594-8:2008, Information technology – Open systems interconnection – The Directory: Public-key and attribute certificate frameworks . | +| [ITU-T X.660] | Recommendation ITU-T X.660 (2008) ISO/IEC 9834-1:2008, Information technology – Open Systems Interconnection – Procedures for the operation of OSI Registration Authorities: General procedures and top arcs of the International Object Identifier tree . | + +- [ITU-T X.1035] Recommendation ITU-T X.1035 (2007), *Password-authenticated key exchange (PAK) protocol*. +- [IETF RFC 4302] IETF RFC 4302 (2005), *IP Authentication Header*. +- [IETF RFC 4303] IETF RFC 4303 (2005), *IP Encapsulating Security Payload (ESP)*. +- [IETF RFC 5246] IETF RFC 5246 (2008), *The Transport Layer Security (TLS) Protocol Version 1.2*. + +## 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +- 3.1.1 asset** [ITU-T Y.2701]: Anything that has value to the organization, its business, its operations and its continuity. +- 3.1.2 border element** [ITU-T Y.2701]: Network element providing functions connecting different security and administrative domains. +- 3.1.3 corporate network** [ITU-T Y.2701]: A private network that supports multiple users and may be in multiple locations (e.g., an enterprise, a campus). +- 3.1.4 domain border element** [ITU-T Y.2701]: Border element under sole control of the provider, providing security functions with other network domains. +- 3.1.5 emergency telecommunications service (ETS)** [b-ITU-T E.107]: A national service providing priority telecommunications to the ETS authorized users in times of disaster and emergencies. +- 3.1.6 network border element** [ITU-T Y.2701]: Border element under sole control of the provider, providing security functions with terminal equipment. +- 3.1.7 security domain** [ITU-T Y.2701]: A set of elements, a security policy, a security authority and a set of security-relevant activities in which the elements are managed in accordance with the security policy. The policy will be administered by the security authority. A given security domain may span multiple security zones. +- 3.1.8 security token** [b-ITU-T X.810]: A set of data protected by one or more security services, together with security information used in the provision of those security services, that is transferred between communicating entities. +- 3.1.9 security zone** [ITU-T Y.2701]: [ITU-T Y.2701] defines 3 security zones, (1) trusted, (2) trusted but vulnerable, and (3) un-trusted. A security zone is defined by operational control, location, and connectivity to other device/network elements. +- 3.1.10 terminal equipment border element** [ITU-T Y.2701]: Border element providing security functions between customer premises equipment and service provider network. +- 3.1.11 trust** [ITU-T Y.2701]: Entity X is said to trust entity Y for a set of activities if and only if entity X relies upon entity Y behaving in a particular way with respect to the activities. + +**3.1.12 trusted but vulnerable zone** [ITU-T Y.2701]: From the viewpoint of a NGN provider, a security zone where the network elements/devices are operated (provisioned and maintained) by the NGN provider. The equipment may be under the control by either the customer/subscriber or the NGN provider. In addition, the equipment may be located within or outside the NGN provider's domain. They communicate with elements both in the trusted zone and with elements in the un-trusted zone, which is why they are "vulnerable". Their major security function is to protect the NEs in the trusted zone from the security attacks originated in the un-trusted zone in a fail-safe manner. + +**3.1.13 trusted zone** [ITU-T Y.2701]: From the viewpoint of a NGN provider, a security domain where NGN provider's network elements and systems reside and never communicate directly with customer equipment. The common characteristics of NGN network elements in this domain are that they are under the full control of the related NGN provider, are located in the NGN provider premises (which provides physical security), and they communicate only with elements in the "trusted" domain and with elements in the "trusted-but-vulnerable" domain. + +**3.1.14 un-trusted zone** [ITU-T Y.2701]: From the viewpoint of a NGN provider, a zone that includes all network elements of customer networks or possibly peer networks or other NGN provider zones outside of the original domain, which are connected to the NGN provider's border elements. + +**3.1.15 user** [b-ITU-T Y.2091]: A user includes end user, person, subscriber, system, equipment, terminal (e.g., FAX, PC), (functional) entity, process, application, provider, or corporate network. + +**3.1.16 user network** [ITU-T Y.2701]: A private network consisting of terminal equipment that may have multiple users. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following term: + +**3.2.1 authenticator**: An Authenticator is a network element that facilitates identification and authentication of subscribers, devices or end-users. For example, border elements with back-to-back user agent (B2BUA) functionality or proxy call session control functional entity (P-CSC-FE) can be Authenticators of subscribers for SIP-based services. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|----------------------------------| +| 3G | 3rd Generation | +| AGW | Access Gateway | +| AH | Authentication Header | +| AKA | Authentication and Key Agreement | +| ANI | Application-to-Network Interface | +| AS/WS | Application Server/Web Server | +| AuC | Authentication Centre | +| B2BUA | Back-to-Back User Agent | +| BE | Border Element | +| BSR | Base Station Router | +| CA | Certification Authority | +| COPS | Common Open Policy Service | + +| | | +|----------|----------------------------------------------------------| +| CRL | Certificate Revocation List | +| CSC-FE | Call Session Control Functional Entity | +| DBE | Domain Border Element | +| DNS | Domain Name System | +| DoS | Denial of Service | +| DTMF | Dual-Tone Multi-Frequency | +| ECC | Elliptic Curve Cryptography | +| ESP | Encapsulating Security Protocol | +| ETS | Emergency Telecommunications Service | +| FE | Functional Entity | +| GBA | Generic Bootstrapping Architecture | +| GW | Gateway | +| HMAC | Hash Message Authentication Code | +| HTTP | Hypertext Transfer Protocol | +| I-CSC-FE | Interrogating Call Session Control Functional Entity | +| ID | Identity | +| IdM | Identity Management | +| IDPS | Intrusion Detection and Prevention Systems | +| IDS | Intrusion Detection Systems | +| IKE | Internet Key Exchange | +| IMS | IP Multimedia Subsystem | +| IP | Internet Protocol | +| ISDN | Integrated Services Digital Network | +| LAN | Local Area Network | +| MD5 | Message Digest 5 | +| MIB | Management Information Base | +| MPLS | MultiProtocol Label Switching | +| MRP-FE | Media Resource Processing Functional Entity | +| MS | Mobile Station | +| NAC-FE | Network Access Control Functional Entity | +| NAPT | Network Address and Port Translation | +| NAT | Network Address Translation | +| NBE | Network Border Element | +| NE | Network Element | +| NGN | Next Generation Network | +| NNI | Network-to-Network Interface | +| OAMP | Operations, Administration, Maintenance and Provisioning | + +| | | +|----------|--------------------------------------------------------------| +| OID | Object Identifier | +| ONU | Optical Network Units | +| PAK | Password Authenticated Key | +| P-CSC-FE | Proxy Call Session Control Functional Entity | +| POTS | Plain Old Telephone Service | +| PSTN | Public Switched Telephone Network | +| QoS | Quality of Service | +| RAC-FE | Resource and Admission Control Functional Entity | +| RADIUS | Remote Authentication Dial In User Service | +| RAN | Radio Access Network | +| RTSP | Real Time Streaming Protocol | +| SAA-FE | Service Authentication and Authorization Functional Entity | +| SASL | Simple Authentication and Security Layer | +| S-CSC-FE | Serving Call Session Control Functional Entity | +| SDP | Session Description Protocol | +| SIM | Subscriber Identity Module | +| SIP | Session Initiation Protocol | +| SLA | Service Level Agreement | +| SL-FE | Subscription Locator Functional Entity | +| SNMP | Simple Network Management Protocol | +| SRTP | Secure Real Time Protocol | +| TAA-FE | Transport Authentication and Authorization Functional Entity | +| TCP | Transmission Control Protocol | +| TE | Terminal Equipment | +| TE-BE | Terminal Equipment Border Element | +| TLS | Transport Layer Security | +| TMN | Telecommunications Management Network | +| TRIP | Telephony Routing over IP | +| UA | User Agent | +| UDP | User Datagram Protocol | +| UE | User Equipment | +| UICC | Universal Integrated Circuit Card | +| UMTS | Universal Mobile Telecommunications System | +| UNI | User-to-Network Interface | +| URL | Uniform Resource Locator | +| USIM | Universal Subscriber Identity Module | +| VLAN | Virtual LAN | + +| | | +|------|---------------------------| +| VPN | Virtual Private Network | +| WLAN | Wireless LAN | +| xDSL | x Digital Subscriber Line | + +## 5 Conventions + +None. + +## 6 Security risks and threats + +See clause 4 in [ITU-T Y.2701] for security risks and threats assumed for the NGN environment. + +## 7 Security trust model + +The choice by an NGN provider of security mechanisms depends on the applicable trust model. This Recommendation assumes the use of the trust model defined in [ITU-T Y.2701]. This clause provides a summary of the NGN security trust model defined in [ITU-T Y.2701]. + +The NGN functional reference architecture defines functional entities (FEs). However, since network security aspects depend heavily on the way that FEs are physically bundled together, the NGN security architecture is based on physical network elements (NEs), i.e., tangible boxes that contain one or more FEs. The way these FEs are bundled into NEs will vary, depending on the vendor and on the NGN provider. + +## 7.1 Single network trust model + +This clause defines three security zones: + +- 1) trusted; +- 2) trusted but vulnerable; +- 3) un-trusted, + +that are dependent on operational control, location, and connectivity to other device/network elements. These three zones are illustrated in the security trust model shown in Figure 1. + +![Figure 1: Security trust model diagram showing three zones: Untrusted zone, Trusted but vulnerable zone, and Trusted zone. The Untrusted zone contains TE and TE-BE elements. The Trusted but vulnerable zone contains Provider-controlled equipment and Network border elements (NBE). The Trusted zone contains NGN network elements. Arrows indicate connectivity between elements across zones. A horizontal line at the top separates elements not always controlled by the NGN provider (left) from those controlled by the NGN provider (right).](5dfc130b129ace4df375839020a5700d_img.jpg) + +The diagram illustrates the security trust model for NGN, divided into three zones based on control and trust levels. A horizontal line at the top indicates that elements to the left are 'Network elements not always controlled by the NGN provider', while elements to the right are 'Network elements controlled by the NGN provider'. + +- Untrusted zone (Red hatched background):** Contains several 'TE' (Terminal Equipment) and 'TE-BE' (Terminal Equipment - Border Element) blocks. These are connected to the 'Provider-controlled equipment' block. +- Trusted but vulnerable zone (Yellow hatched background):** Contains the 'Provider-controlled equipment' block and the 'Network border elements (NBE)' block. The 'Provider-controlled equipment' block is connected to the 'NBE' block. +- Trusted zone (Green hatched background):** Contains the 'NGN network elements' block. The 'NBE' block is connected to the 'NGN network elements' block. + +Arrows indicate the flow of data and control between these elements across the zone boundaries. + +Y2704(09)\_F01 + +Figure 1: Security trust model diagram showing three zones: Untrusted zone, Trusted but vulnerable zone, and Trusted zone. The Untrusted zone contains TE and TE-BE elements. The Trusted but vulnerable zone contains Provider-controlled equipment and Network border elements (NBE). The Trusted zone contains NGN network elements. Arrows indicate connectivity between elements across zones. A horizontal line at the top separates elements not always controlled by the NGN provider (left) from those controlled by the NGN provider (right). + +Figure 1 – Security trust model/[ITU-T Y.2701] + +A "trusted network security zone", or "trusted zone" in short, is a zone where NGN provider's network elements and systems reside and never communicate directly with customer equipment or other domains. The common characteristics of NGN network elements in this zone are that: + +- 1) they are under the full control (for provisioning, maintenance, and operational control) of the NGN provider; +- 2) they are located in the NGN provider domain; and +- 3) they communicate only with other elements in the "trusted" zone and with elements in the "trusted-but-vulnerable" zone. + +It should not be assumed that because a network element is in a trusted zone, it is necessarily secure. + +The network elements in the "trusted zone" will be protected by a combination of various methods. Some examples are physical security of the NGN network elements, general hardening of the systems, use of secure signalling, security for management messages, and the use of a separate VPN within the (MPLS/)IP network. The same combination of methods is expected to be applied to secure communication within the "trusted" zone and between NGN network elements in the "trusted" zone and the "trusted-but-vulnerable" zone. + +A "trusted but vulnerable network security zone", or "trusted but vulnerable zone" in short, is a zone where the network elements/devices communicate with elements in the "un-trusted" zone, which is why they are "vulnerable". In addition, they communicate with elements in the "trusted" zone. Like network elements in the "trusted" zone, the equipment is under the control of the NGN provider, though the equipment may be located within or outside the NGN provider's premises. Their major security function is to protect the NEs in the trusted zone from the security attacks originated in the un-trusted zone. The combination of methods applied to secure communication between NGN network elements in the "trusted-but-vulnerable" zone and the "untrusted" zone may differ from those used to secure communication in the "trusted" zone. + +Elements that are located on the NGN provider's domain with connectivity to elements outside the trusted zone are referred to as network border elements (NBEs). Examples of these are the: + +- "Network border elements (NBEs)" at the UNI that provide the interface to the service control or transport elements of the NGN provider in the trusted zone in order to provide the user/subscriber access to the NGN provider's network for services and/or transport. +- "Domain border elements (DBEs)" that are similar to the network border elements except that they reside on the border between two domains. +- "Device configuration and bootstrap NBEs (DCB-NBEs)" that interface with the NGN provider's device configuration system in the trusted zone in order to configure the user's/subscriber's device and NGN provider's equipment in the outside plant. +- "OAMP-NBEs" that interface with the NGN provider's OAMP systems in the trusted zone in order to provision and maintain the user's/subscriber's device and certain NGN provider's equipment in the outside plant. +- "Application server/web server NBEs (AS/WS-NBEs)" that interface with the NGN provider's AS/WS-NBE in the trusted zone in order to provide the user/subscriber access to web-based services. + +Figure 1 shows the relationships among the NBEs and NEs that need to be protected. + +Examples of devices/elements that are operated by an NGN provider but are not located on the NGN provider's premises, and that may or may not be under the control of the NGN provider, are: + +- outside plant equipment in the access network/technology; +- a base station router (BSR), a network element that integrates the base station, radio network controller and router functionalities for wireless access; +- an optical network unit (ONU) within a user/subscriber's residence. + +The "trusted-but-vulnerable" zone, comprised of NBEs, will be protected by a combination of various methods. Some examples are physical security of the NGN network elements, general hardening of the systems, use of secure signalling for all signalling messages sent to NGN network elements in the "trusted" zone, security for OAMP messages and packet filters and firewalls. An "un-trusted" zone that includes all network elements of customer networks or possibly peer networks or other NGN provider domains which are connected to the NGN provider's network border elements. In the "un-trusted" zone, comprised of terminal equipment, equipment is not under the control of the NGN provider and it may be impossible to enforce the NGN provider's security policy on the user. It is still desirable to try to apply some security measures, and to that end, it is recommended that signalling, media, and OAMP be secured and the TE-BE located in the "un-trusted" zone be hardened. However, due to communication with network elements in the "un-trusted" zone, security is less than in the "trusted" zone. + +## 7.2 Peering network trust model + +When an NGN is connected to another network, the presence or absence of trust depends on: + +- the physical interconnection, where the interconnection can range from a direct connection in a secure building to a connection between separate (possibly not secured) buildings via shared facilities; +- the peering model, where the traffic can be exchanged directly between the two NGN service providers, or via one or more NGN transport providers; +- the business relationships among networks, where there may be penalty clauses in the SLA, and/or a trust in the other NGN provider's security policies; in general, NGN providers should view other providers as un-trusted. + +Figure 2 shows an example when a connected network is judged un-trusted. + +![Diagram illustrating the Peering trust model from Provider A's perspective. Provider A's network is divided into three zones: a 'Trusted zone' (green diagonal stripes) containing 'NGN network elements', a 'Trusted but vulnerable zone' (yellow horizontal stripes) containing 'Domain border elements (DBE)', and an 'Untrusted zone' (red vertical stripes). Provider B's network, viewed from Provider A's perspective, is entirely within the 'Untrusted zone' and contains 'Domain border elements (DBE)' and 'NGN network elements'. A connection line links the DBE of Provider A to the DBE of Provider B.](bffdddb47fced140f8d17fdc2a29f592_img.jpg) + +Y2704(09)\_F02 + +Diagram illustrating the Peering trust model from Provider A's perspective. Provider A's network is divided into three zones: a 'Trusted zone' (green diagonal stripes) containing 'NGN network elements', a 'Trusted but vulnerable zone' (yellow horizontal stripes) containing 'Domain border elements (DBE)', and an 'Untrusted zone' (red vertical stripes). Provider B's network, viewed from Provider A's perspective, is entirely within the 'Untrusted zone' and contains 'Domain border elements (DBE)' and 'NGN network elements'. A connection line links the DBE of Provider A to the DBE of Provider B. + +**Figure 2 – Peering trust model/[ITU-T Y.2701]** + +# **8 Identification, authentication and authorization** + +Refer to [ITU-T Y.2701], [ITU-T Y.2702], [ITU-T Y.2703] and [ITU-T Y.2720] for information related to identification, authentication, authorization and identity management (IdM). + +This clause describes identification, authentication and authorization mechanisms, in particular, those concerning SIP-based services. The mechanisms concerning other services are for further study. + +## **8.1 Subscribers** + +A request for an NGN service is associated with a subscriber. This association is determined through identification of the request with the subscriber. Further identification (and associated authentication) of the end-user may be necessary depending on the SLA between the NGN provider and the subscriber. + +This process can be achieved by using a functional element that facilitates identification and authentication of subscribers, devices or end-users (called an Authenticator). For example, network border elements (NBE) with back-to-back user agent (B2BUA) functionality or P-CSC-FEs can be Authenticators of subscribers for SIP-based services. Identification and authentication is achieved by exchanging and validating credentials between the Authenticator and the TE. + +## **8.2 Network element** + +[ITU-T Y.2701] recommends that network elements be identified and authenticated for communications. + +If the border element received the request from a NGN network element in the trusted zone, the identification contained in the request may be considered accurate and not checked further subject to NGN provider security policy. + +If the border element receives requests from network elements in the un-trusted and the trusted but vulnerable zone, the network elements are recommended to be identified and authenticated and the communication privileges verified. Identification and authentication is achieved by exchanging and validating credentials between the Authenticator and the NE. + +## **8.3 Credential usage in the NGN security** + +Credentials are used in the NGN security to identify and authenticate a device, a subscriber, and/or an end-user. The credentials to identify and authenticate a device, a subscriber, and/or an end-user are described in clause 8.3.1. These credentials may take one of two different forms, either a X.509 public key certificate (described in clause 8.3.2) or a shared key (described in clause 8.3.3). An X.509 public key certificate may be used to establish a secure transport between the TE and the Authenticator (described in clause 8.3.1) based on the NGN provider policy. The shared key may be used either to establish a secure transport, or in generating/verifying the response to an Authenticator-initiated challenge (described in clause 8.3.1) based on the NGN provider policy. + +### **8.3.1 Device, subscriber, and end-user credentials** + +Three distinct types of credentials are used in the NGN: + +- 1) device credentials; +- 2) subscriber credentials, and +- 3) end-user credentials. + +Device credentials may be supplied by the manufacturer with the device. For example, during the manufacture of the device, the device may have the credentials "burned in" from the manufacturer, which includes such information as the device serial number or the manufacturer. Device credentials identify the device. An NGN provider may associate device credentials with a particular + +subscriber's service to alleviate the need for subscriber credentials. In such cases, requests from the device may be associated with a particular account based on the NGN provider policy. + +Subscriber credentials are used for association of the originator of an NGN request with a particular account. Subscriber credentials are entered (e.g., via download, SIM, etc.) in the devices capable of accepting such credentials. Subscriber credentials, installed on a device, associate the subscriber with that device. All calls made from the device will be associated with the subscriber whose credentials are installed on the device. Multiple sets of credentials may be installed on a single device, in which case the device provides the means to distinguish between requests associated with each subscriber. + +NOTE – An NGN customer may have one or more NGN subscriptions associated with zero or more devices. In addition, the NGN subscription may be associated with one or more end users (i.e., the end user is not necessarily the subscriber) that may be using different devices or sharing the same device based on NGN provider policy. + +End-user credentials are used to identify and authenticate specific end users to the network. For example, a SIM card can identify the end-user for a service; when the end-user places its SIM card into the phone, it becomes associated with (and all calls are identified as being from) that end-user. Another example is a security token, a hardware token (a physical device) or a software token (a program installed on a general-purpose device such as a personal computer). It is provided to an authorized user to augment the authentication process. A security token may store cryptographic keys, such as a digital signature, or biometric data, such as a fingerprint. A request originating from a NGN device will be identified and authenticated as being from the end-user associated with that security token. In certain scenarios (e.g., in the case of the SIM card above), it may be possible for multiple end-users to use the service associated with a single subscriber (i.e., subscriber account), and calls originated by the end-user are charged to the subscriber account. The subscriber and end-user may be the same, or there may be many end-users for a single subscriber. End users can identify and authenticate themselves with the network to take advantage of personal services. Individual transport layer security associations may be established, using end user credentials, between the TE and NGN network (Authenticators). The NGN provider associates the end user credentials with a particular subscriber service for billing purposes. + +### **8.3.2 X.509 public key certificates as credentials** + +An X.509 public key certificate is a digital document that includes an entity's identifier, its attributes, a public key that belongs to the entity, and other authentication information (e.g., information on the issuer of the certificate, certificate revocation list (CRL), starting and ending dates and times of the certificate's validity, etc.). The description of some of the basic fields and some extension fields of an X.509 public key certificate is provided in Table 1. Refer to [ITU-T X.509] for detailed descriptions of the fields of X.509 public key certificates. A public key certificate is digitally signed by a trusted third party, which is normally referred to as the certification authority (CA) for the public key certificate. The CA computes a hash (e.g., using SHA-1) of all the fields except the *Signature Value field*, encrypts it with its own private key, and then adds the signature together with the signature algorithm applied to the certificate (in the *Signature Value field*). + +**Table 1 – Some basic and extension fields of an X.509 public key certificate** + +| Name of a field | Description | +|------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------| +| Subject | Identifies the entity associated with the public-key certificate (the directory distinguished name of certificate subject) | +| Serial number | A unique identifier of the certificate | +| Issuer | Identifies the entity that has signed and issued the certificate (the directory distinguished name of the CA) | +| Valid From | Starting date and time of the certificate validity | +| Valid To | Ending date and time of the certificate validity | +| Public Key | The public key of the certificate holder | +| Version | Version of the encoded X.509 public key certificate | +| Subject Alternative Name | Another identifier of the certificate holder | +| CRL Distribution Points | Name or address of the CRL distribution point | +| Authority Information Access | Name or address for access to information about the CA | +| Enhanced Key Usage | Description of the purposes that the certificate can be used for (list of the ITU-T ISO/IEC-defined object identifiers (OIDs)) [ITU-T X.660] | +| Application policies | The applications and services that can use the certificate (specified by the OIDs) | +| Certificate Policies | Policies and mechanisms used by the CA for receiving a request for, handling, authorizing, issuing, and managing certificates | +| Signature Algorithm | The algorithm identifier for the algorithm and hash function used by the CA in signing the certificate (e.g., SHA-1 with RSA) | +| Signature Value | The actual signature of the certificate | + +Public key certificates specified in [ITU-T X.509] may be used by NGN network elements in establishing security associations with other network elements, and provide the basis for mutual identification and authentication. They can also be used between TE and the Authenticator for the same purposes. + +For a subscriber or end-user certificate, the (see clause 8.4.2), an identifier to fetch subscriber account information, is used by the Authenticator to obtain further information about the credentials through the SAA/TAA-FEs. For a device certificate, the Device Manufacturer and Device Serial Number are used by the Authenticator to determine the associated (valid only if the device has been associated with a subscriber), and then the is used to obtain further information about the credentials through the SAA/TAA-FEs. + +End-user, Service and Device certificates may be used in creating TLS connections between the device and the Authenticator (clause 9.1.2), or may be used in creating IPsec connections through IKE Authentication (clause 9.2.4.3). + +### 8.3.3 Shared keys as credentials + +Shared key can be used to enhance the security of NGN access. In that case, a copy of the shared key is given to the subscriber or end-user, and a copy is stored in the appropriate functional entities such as the service user profile functional entities (SUP-FEs) or transport user profile functional entities (TUP-FEs). Every key is required to have a unique name, and the name is used by the Authenticator to obtain further information about the credentials. + +When using pre-shared keys, the strength of the system is dependent upon the strength of the shared secret. The goal is to keep the shared secret from being the weak link in the chain of security. This implies that the shared secret needs to contain as much entropy (randomness) as the cipher being used. In other words, the shared secret is recommended to have at least 128-160 bits of entropy. + +It should be noted that the symmetric key approach has certain differences compared to the asymmetric key approach described in clause 8.3.2 and the following should be considered: + +- an entity needs to have a separate set of symmetric keys with each communications partner; +- the keys have to be provisioned, established and stored in a secure way; +- an entity must rely on its partner to keep the shared key secret. + +### 8.3.4 Information provisioned in SUP/TUP-FEs for each set of credentials + +The SUP/TUP-FEs are the repositories for all device, subscriber, and end-user credentials to be used to access in the NGN infrastructure. They are typically implemented as an integral part of the Authenticator in order to optimize the handling of authentication requests. However, to support mobility, the Authenticator may need to consult a remote SAA/TAA-FEs server to obtain information about credentials. The Subscriber Account Identifier, or the Key Name, is used to fetch this information through the SAA/TAA-FEs. + +The following security-related information associated with each set of credentials is required to be provisioned in the FEs such as SUP/TUP-FEs storing the credentials: + +- 1) the Subscriber Account Identifier or the Key Name; +- 2) whether end-user identification and authentication is required for this subscriber; +- 3) whether these credentials describe a subscriber or an end-user; and +- 4) allowable values of the "From" header in requests. + +Following are several examples of the information stored in the credential repositories such as SUP/TUP-FEs. + +For a TE NGN device certificate that handles four POTS lines, with numbers 212-555-1111-1113 and 1151: + +| | | +|-----------------------|----------------------------------------------------------------------| +| Subscriber Account: | 123-456789 | +| From headers: | sip:212-555-111[1-3]@NGN .ngn.com
sip:212-555-1151@NGN .ngn.com | +| Identity string: | sip:212-555-1111@NGN .ngn.com | +| Type of credentials: | subscriber | +| End-User ID required: | no | + +For a subscriber certificate assigned to the John Doe family: + +Subscriber Account: Doe-family +From headers: sip:\*Doe@NGN .ngn.com +Identity string: sip:Doe@NGN .ngn.com +Type of credentials: subscriber +End-User ID required: no + +For a pre-shared key assigned to the John Doe family: + +Key name: JohnDoe +Key: dfe56131d1958046689d83306477ecc +From headers: sip:\*Doe@NGN .ngn.com +Identity string: sip: Doe@NGN .ngn.com +Type of credentials: subscriber +End-User ID required: no + +For a TE-BE serving the Acme Widget Company: + +Subscriber Account: Acme Widget Company +From headers: sip:\*@acme.com +Identity string: sip:acme.com +Type of credentials: subscriber +End-User ID required: no + +For an end-user at the Acme Widget Company: + +Subscriber Account: Acme Widget Company +From headers: sip:bob@acme.com +Identity string: sip:bob@acme.com +Type of credentials: end-user + +## **8.4 Identification and authentication of subscribers** + +### **8.4.1 General strategy** + +The originator's identity in SIP is generally contained in the "From" header. However, identification of the subscriber through the use of the "From" header in a SIP request is susceptible to spoofing attacks and is therefore not used where higher level of assurance of the subscriber's identity is required. Instead, the value of the "From" header is compared against the subscriber identity obtained by other means. + +In order to minimize the effect on call setup delay, the identification and authentication of the subscriber is derived from the Network Source Address (source address in the IP packet header) or the transport security association (association established by e.g., IPsec or TLS between the originating device and the Authenticator) whenever possible. When these techniques do not produce an identification consistent with the "From" header in the SIP request, then a challenge is issued to the originator; if the response contains proper credentials then the request will proceed. Further details of these procedures are described in the following clauses. + +The procedures in clause 8.4.2 describe how the Authenticator determines, based on the Network Source Address, that either + +- 1) the Subscriber cannot be determined by this method; +- 2) a Subscriber is determined and it matches the "From" header in the request; or +- 3) a Subscriber is determined but it is different from the "From" header in the request. + +The procedures in clause 8.4.3 describe how the Authenticator determines, based on the Transport Security association, that either: + +- 1) the Subscriber cannot be determined by this method; +- 2) the Subscriber is determined and it matches the "From" header in the request; or +- 3) the Subscriber is determined but it is different from the "From" header in the request. + +The actions then taken by the Authenticator are given in Table 2. + +**Table 2 – Authenticator's actions for each authentication result** + +| Source address determination of subscriber | Transport security determination of subscriber | Authenticator actions | +|--------------------------------------------|------------------------------------------------|-------------------------------------------------------------| +| N/A | N/A | Use Challenge/Response | +| N/A | Match | OK | +| N/A | Different | Use Challenge/Response | +| Match | N/A | OK | +| Match | Match | OK | +| Match | Different | Use Subscriber identity from Network Source Address | +| Different | N/A | Use Challenge/Response | +| Different | Match | Use Subscriber identity from Transport Security Association | +| Different | Different | Use Challenge/Response | +| N/A: Not applicable. | | | + +If the resulting action is to use a challenge/response, the procedures of clause 8.4.4 are followed. + +Besides the strategy described in clauses 8.4.2 through 8.4.4, the generic bootstrapping architecture (GBA) can also be used for identification and authentication of subscribers. It is described in clause 8.4.5. + +The authentication strategies described in this Recommendation are typical examples, and each NGN provider may select which of these other strategies to use (e.g., using just one procedure described in the following clauses). + +### **8.4.2 Identification of the subscriber through network source address** + +This is the simplest form of subscriber identification, based solely on the source address provided with the IP packets. The Authenticator consults a pre-provisioned mapping of IP address ranges to , and if the source address of the request is within one of these ranges, the Authenticator considers the request to be originated from that subscriber. The is then used to obtain the subscriber credentials through the SAA/TAA-FEs and check for consistency with the value of the "From" header. + +If the value of the "From" header is consistent with the subscriber, then it is considered a "Match"; if the value of the "From" header is not consistent with the subscriber, then it is considered "Different"; if the source IP address is not contained in any of the pre-provisioned address ranges, then it is considered "N/A". + +The strength of this method of subscriber identification depends on providing Source-Address Assurance. The Source-Address Assurance means that the IP address can be used only by the legitimate subscriber to whom the address is assigned. To achieve this, the following two mechanisms are necessary for transport-processing or transport-control FEs, and they must be properly coordinated: 1) strict management of a mapping between a subscriber and his/her assigned address, and 2) prevention of address spoofing based on this managed information. See Appendix I for examples of the above mechanisms and their coordination. + +### **8.4.3 Identification of the subscriber through TLS/IPsec security association** + +If a secure TLS transport was established for the signalling traffic between the originating device and the Authenticator, and that secure transport was authenticated with a X.509 TE-BE certificate (see clause 8.3.2), the Authenticator checks that the "From" header is consistent with the allowed values for the subscriber identified in the . + +If a secure transport (either IPsec or TLS) was established for the signalling traffic between the originating device and the Authenticator, and that secure transport was authenticated with a X.509 TE NGN device certificate (see clauses 8.3.1 and 8.3.2), then the Authenticator utilizes the Device Manufacturer and Device Serial Number to determine the associated (valid only if the device has been associated with a subscriber). The is used to obtain the subscriber credentials and those credentials are checked for consistency with the value in the "From" header. + +If a secure transport (either IPsec or TLS) was established for the signalling traffic between the originating device and the Authenticator, and that secure transport was authenticated with a X.509 TE NGN subscriber certificate (see clauses 8.3.1 and 8.3.2), then the Authenticator utilizes the to obtain the subscriber credentials through the SAA/TAA-FEs. The Authenticator then checks for consistency between the subscriber credentials and the value in the "From" header. + +If a secure transport (either IPsec or TLS) was established for the signalling traffic between the originating device and the Authenticator, and that secure transport was authenticated with a X.509 TE NGN end-user certificate (see clauses 8.3.1 and 8.3.2), then the Authenticator utilizes the to obtain the subscriber credentials through the SAA/TAA-FEs. The Authenticator then checks for consistency between the subscriber credentials and the value in the "From" header. + +If a secure transport (either IPsec or TLS) was established for the signalling traffic between the originating device and the Authenticator, and that secure transport was authenticated with a pre-shared key (see clause 9.2.4.3.1), the Authenticator utilizes the Key Name to obtain the subscriber credentials through the SAA/TAA-FEs. The Authenticator then checks for consistency between the subscriber credentials and the value in the "From" header. + +If a secure transport was not used between the originating device and the Authenticator, or an "anonymous client" TLS connection was used, then this method is "N/A". + +### 8.4.4 Identification of the subscriber through challenge/response + +Challenge/response is a more secure version of the old style userid/password scheme (i.e., sending of a user identification and password as part of a request for service, and the problem being that it was easily replayed to obtain fraudulent service later). In a challenge/response scheme, the server sends a challenge to the client, asking the client to perform some encryption task using a shared key. The result of that calculation is included in the response, which is then verified by the server. If the exchange were intercepted by others, it cannot be replayed as long as the server never reuses an old challenge. + +There is one important type of the challenge-response methods that combines convenience of the password-based authentication methods and security of the methods that are based on the challenge-response scheme. The password authenticated key (PAK) exchange protocol presents this type. The PAK protocol ensures mutual authentication of both parties in the act of establishing a symmetric cryptographic key via Diffie-Hellman exchange. The use of Diffie-Hellman exchange ensures the *Perfect Forward Secrecy* – a property of a key establishment protocol that guarantees that compromise of a session key or long-term private key after a given session does not cause the compromise of any earlier session. In addition, the PAK authentication method protects the exchange from *man-in-the-middle* attacks. The authentication relies on a pre-shared secret, which is protected (i.e., remains unrevealed) to an eavesdropper preventing an off-line dictionary attack. Thus, the protocol can be used in a wide variety of applications where pre-shared secrets based on the possibly weak password exist. The PAK protocol is specified in [ITU-T X.1035] and [b-TIA 683-D]. + +A challenge/response involves an additional message exchange between the Authenticator and the originating endpoint, and a calculation done by the originating endpoint. It therefore may have an impact on the delay perceived by the user. It is the goal of the NGN Security to use a challenge/response only when absolutely necessary to achieve the necessary level of identification and authentication. + +If a secure transport connection (either IPsec or TLS) was established for the signalling traffic between the originating device and the Authenticator, and a previous request within a configurable time period with the same "From" header contents was successfully authenticated by the Authenticator, then the authentication is considered successful and the request is accepted. In the case of call setup signalling, since the typical first request over a new connection is a "Register", this challenge/response will be done at a time that will not affect call setup delay. + +Since authentication requests are computationally-intensive, it is essential that the Authenticator limit the frequency of queries to the SAA/TAA-FEs. The limits defined in this paragraph may be followed whether the SAA/TAA-FEs is an integral part of the Authenticator or if it is a separate element. A simple denial-of-service attack is for an endpoint to simply flood the Authenticator with incorrect requests – if each requires a cryptographic calculation in the SAA/TAA-FEs, then service is essentially delayed or halted for all (valid and invalid) requests. To counter such attacks, the Authenticator may locally reject a request if there is a pending authorization request from the same endpoint. A slightly more complex variant of this is for the Authenticator to locally reject a request if there have been at least XXX total requests within the past YYY seconds (both XXX and YYY values to be configurable in the Authenticator). In addition, the Authenticator may deliberately wait a configurable period of time before responding to a failed authorization request. This also prevents various kinds of "password cracking" attacks. + +#### 8.4.4.1 Challenge/response with SIP signalling from originating device + +If the originating device is using the SIP signalling protocol, then the Proxy-Authenticate mechanisms defined in [b-IETF RFC 3261] can optionally be used to implement a challenge/response. See section 22.2 of [b-IETF RFC 3261], section 3 of [b-IETF RFC 2617], and section 3 of [b-IETF RFC 3310]. + +The Authenticator responds to the SIP request with a 407 (Proxy-Authentication-Required) response. In this response it includes a Proxy-Authenticate header with: Authentication Scheme of "Digest", Realm of "NGN .ngn.net", qop of "auth", Nonce of a cryptographically random 16-octet value (in hex), optionally a value of the "Opaque" parameter, and Algorithm of "MD5" or "AKAv1-MD5" depending on service agreement with the Customer. + +An example of a Proxy-Authenticate header in a 407 response is: + +``` +Proxy-Authenticate: Digest realm="NGN .ngn.com", qop="auth", +nonce="ea9c8e88df84f1cec4341ae6cbe5a359", opaque="", stale=FALSE, algorithm=MD5 +``` + +The originating device responds to the 407 with a regenerated request, containing a Proxy-Authentication header. This header is verified to contain the following information: Authentication scheme of "Digest", Realm identical to that in the 407 response, Nonce identical to that in the 407 response, and Opaque identical to that in the 407 response. In addition, the Proxy-Authentication header includes a "Username" parameter giving the key name, a "Uri" parameter matching the Request-URI of the request, and a "Response" parameter being the hash as specified in [b-IETF RFC 2617] or [b-IETF RFC 3310]. + +An example of a Proxy-Authorization header in a re-issued request is: + +``` +Proxy-Authorization: Digest username="bob", realm="NGN .ngn.com", +nonce="ea9c8e88df84f1cec4341ae6cbe5a359", opaque="", uri="sip:5551212@ngn.com", +response="dfe56131d1958046689d83306477ecc" +``` + +The "User-to-User Authentication" mechanisms defined in [b-IETF RFC 3261] may also be used to implement a challenge/response. See section 22.2 of [b-IETF RFC 3261], section 3 of [b-IETF RFC 2617], and section 3 of [b-IETF RFC 3310] for details. + +If a request is forked, various NGN NEs (e.g., MGC-FE) and/or TEs may wish to challenge the originating device. The forking NE (e.g., S-CSC-FE) aggregates these challenges and places them into a single response that is sent by the forking NE to the originating device. When receiving the response that contains multiple challenges, the originating device supplies multiple credentials in a request and resubmits it. + +#### **8.4.4.2 Challenge/response with signalling other than SIP from originating device** + +If the originating device is expected to use SIP, but issues its request using a signalling protocol other than SIP, then the challenge/response is considered to have failed. The request is rejected. + +#### **8.4.5 Generic bootstrapping architecture (GBA)** + +The generic bootstrapping architecture (GBA) specifies an access-independent bootstrapping procedure. It provides a framework for mutual authentication of end-users and network application function (NAF) that can be used for identification and authentication of subscribers in the NGN. Refer to [b-ETSI TS 133 220] for information on GBA. + +## **8.5 Identification and authentication of end-users** + +### **8.5.1 General strategy** + +While identification of the subscriber is absolutely required for the NGN infrastructure, identification of the end-user is an optional service that may be requested by the subscriber or required by the service. Typically this would be to provide additional services, e.g., personal mobility and presence, where the identity of the requesting user is required to enable the service. If a subscriber desires this additional level of identification, it is necessary that all the relevant endpoint devices support the ability to enter additional end-user credentials or to use an end-user instead of a subscriber certificate. + +Two methods exist for the Authenticator to identify and authenticate the end-user. The first is through the transport level security association used for the signalling exchange. If that security association was established with an end-user certificate (or a pre-shared key associated with a single end-user), then the end-user identification is complete. The second method is through a challenge/response, where the key name given in the response is associated with a single end-user. These two methods are described further in the following clauses. + +Advanced NGN devices may have multiple identities, e.g., a subscriber certificate and also one or more end-user certificates for the person(s) currently using the device. Such a device would create multiple TLS connections to the Authenticator, one separate connection for each certificate. The device would then send requests to the Authenticator over the appropriate signalling connection based on the desired identity for the call. + +There is a concern about credentials for a single user being valid long after the user has "left". If the transport security association was based on an end-user certificate, the subscriber may require continuous activity to maintain the validity of the authentication. Without such activity, the Authenticator closes the secure transport connection, and requires the originating device to re-establish it with the current end-user certificate (or subscriber certificate or device certificate if no end-user certificate is available). The detailed requirements for this behaviour of Authenticator are given in clauses 9.1.2 and 9.2.4.3.1, and are based on two timers: one that limits the absolute amount of time for which end-user credentials can be valid for a security association, and the second that limits the idle time between successive requests. Timeout values may be provisioned per subscriber or per end-user, but have to be limited by the maximum values set by the NGN provider. + +### **8.5.2 Identification of the end-user through TLS/IPsec security association** + +If a secure TLS transport was established for the signalling traffic between the originating device and the Authenticator, and that secure transport was authenticated with a X.509 TE-BE certificate (see clause 8.6), the Authenticator verifies that the "From" header is consistent with the allowed values for the subscriber identified in the contained in the certificate. + +If a secure transport (either IPsec or TLS) was established for the signalling traffic between the originating device and the Authenticator, and that secure transport was authenticated with a X.509 TE NGN End-User certificate (see clause 8.6), then the Authenticator utilizes the to obtain the subscriber credentials through the SAA/TAA-FEs. The Authenticator then checks for consistency between the subscriber credentials and the value in the "From" header. If a secure IPsec transport was established for the signalling traffic between the originating device and the Authenticator (clause 8.4.4) and that secure transport was authenticated with a pre-shared key (see clause 9.2.4.3.1), the Authenticator utilizes the Key Name to obtain the subscriber credentials through the SAA/TAA-FEs. The Authenticator then checks for consistency between the subscriber credentials and the value in the "From" header. + +### **8.5.3 Identification of the end-user through challenge/response** + +The challenge/response procedures for identification of an end-user are identical to those used to identify the subscriber, as given in clause 8.4.4. + +The only extension is that the Authenticator checks the information retrieved through the SAA/TAA-FEs for the key name for an indication that the key is associated with an end-user. If so, then the end-user identification is successful. + +If the Authenticator had already done a challenge/response to identify the subscriber, and the named key returned in the response did not identify an end-user, then the end-user identification fails. If a challenge/response was not needed to identify the subscriber, a challenge is now issued. + +### **8.6 Identification and authentication by TE-BE** + +The identification and authentication procedures performed by a TE-BE are identical to those performed by an Authenticator with two differences: + +- 1) The TE-BE may be provisioned with all the credentials needed to identify and authenticate the subscriber(s) and end-users that it serves, since it has no access to the distributed SAA/TAA-FEs function available to an Authenticator. +- 2) The request re-issued in response to a challenge from the Authenticator, containing the "Proxy-Authorization" header, is passed to the Authenticator rather than processed at the TE-BE. + +### **8.6.1 Use of X.509 certificates** + +There is a security association between every TE-BE and at least one NBE, established with the X.509 certificate issued to the TE-BE. Requests received at the NBE follow the identification and authentication procedures given in clause 8.4.3, which result in minimal verification of the identification performed by the TE-BE. When a challenge/response is needed (e.g., for a "roaming" user), the exchange will be between the originating endpoint and the NBE, and transparently passed through the TE-BE. + +A secure transport between the end-point and the TE-BE is optional. It is anticipated that the network source address will adequately identify most requests. + +End-points register to the NBE via TE-BE. + +### **8.7 Authenticator-SAA/TAA-FEs interface** + +### **8.7.1 Use of RADIUS and its extensions** + +The SAA/TAA-FEs contain the decision point and the SUP/TUP-FEs are the repositories for all end-user and device credentials in the NGN infrastructure. Some SAA/TAA-FEs functions, like authentication, may be distributed in order to optimize authentication request performance. + +Two competing choices are commonly used for the protocol for Authenticator to SAA/TAA-FEs communication: RADIUS [b-IETF RFC 2865] (well-known and well-supported) and Diameter [b-IETF RFC 3588] (defined to fix several deficiencies of RADIUS). It is the eventual goal of the NGN infrastructure to migrate to Diameter; however, it is recognized that current implementations of servers are based on RADIUS, and that numerous ad hoc extensions of the basic RADIUS protocol have been developed to meet the needs of this authentication function. While this release of this Recommendation is based on RADIUS with the extension described in [b-IETF RFC 5090], a future release of this Recommendation will likely change this interface to be based on Diameter with the extension described in [b-IETF RFC 4740]. + +The Authenticator becomes a RADIUS client, and the SAA/TAA-FEs server becomes a RADIUS server, as defined in [b-IETF RFC 2865]. Both may implement the extensions for SIP Digest Authentication, as given in [b-IETF RFC 5090]. The connection between the Authenticator and SAA/TAA-FEs server may be secured with IPsec with mutual authentication. + +With the [b-IETF RFC 4590] extensions, the Authenticator makes a RADIUS request with the parameters from the Proxy-Authentication header; the RADIUS server calculates the expected response and returns it to the Authenticator. The Authenticator then validates the request by comparing the actual response from the endpoint to the expected response. + +An example of the message sent from the Authenticator to the SAA/TAA-FEs server is: + +``` +Code = 1 (Access-Request) + Identifier = 1 + Length = 164 + Authenticator = 56 7b e6 9a 8e 43 cf b6 fb a6 c0 f0 9a 92 6f 0e + Attributes: + NAS-IP-Address = d5 89 45 26 (213.137.69.38) + NAS-Port-Type = 5 (Virtual) + User-Name = "bob" + Digest-Response (206) = "2ae133421cda65d67dc50d13ba0eb9bc" + Digest-Attributes (207) = [Realm (1) = "NGN .ngn.com"] + Digest-Attributes (207) = [Nonce (2) = " ea9c8e88df84f1cec4341ae6cbe5a359 +"] + Digest-Attributes (207) = [Method (3) = "INVITE"] + Digest-Attributes (207) = [URI (4) = " sip:5551212@ngn.com "] + Digest-Attributes (207) = [Algorithm (5) = "md5"] + Digest-Attributes (207) = [User-Name (10) = "bob"] +``` + +An example of the response sent from the SAA/TAA-FEs server to the Authenticator is: + +``` +Code = 2 (Access-Accept) + Identifier = 1 + Length = 20 + Authenticator = 6d 76 53 ce aa 07 9a f7 ac b4 b0 e2 96 2f c4 0d + Attributes: + Digest-Response (206) = "dfe56131d1958046689d83306477ecc" +``` + +### 8.7.2 Transport signalling security association + +When an X.509 certificate is used in the establishment of the transport signalling security association, the SUP/TUP-FEs store (indexed by the ) the set of acceptable "From" headers that may appear in requests from that source, which will be matched against the "From" header provided in the request. + +If a pre-shared key is used in the establishment of the transport signalling security association (e.g., peering service provider), then the SUP/TUP-FEs store (indexed by the Key name) the set of acceptable "From" headers that may appear in requests from that source, which will be matched against the "From" header provided in the request. + +## 8.8 Identification and authentication of bearer traffic + +There are times when it is desirable to identify individual bearer traffic flow for security enhancement, for example, to counter fraudulent attacks such as spoofing or RTP injection. In the NGN, the bearer traffic can be identified by a quintuple that contains: + +- source IP address; +- destination IP address; +- source port; +- destination port; and +- protocol number. + +The identification mechanism described in this clause uses this identifier for authentication of every packet. The mechanism is based on a shared secret and the use of the cryptographic hash function, keyed-hash message authentication code (HMAC). See [b-NIST FIPS 198-1] for information. + +The entities involved in the process of authentication – the end-user function and the access node FE – are described in [ITU-T Y.2701] and are depicted in Figure 3 using the UNI as an example. + +![Diagram showing the UNI (User network interface) between an End-user function and T-2: Access node functional entity (FE).](8c348bf9c2c81b018017ae1d19506a9a_img.jpg) + +The diagram illustrates the User Network Interface (UNI) between two entities. On the left is a box labeled 'End-user function'. On the right is a box labeled 'T-2: Access node functional entity (FE)'. A horizontal line connects the two boxes, and a vertical line extends upwards from the connection point to the text 'UNI (User network interface)'. Below the right box, the reference 'Y.2704(09)\_F03' is noted. + +Diagram showing the UNI (User network interface) between an End-user function and T-2: Access node functional entity (FE). + +**Figure 3 – NGN entities involved in authentication procedure – UNI example** + +The description of the mechanism uses the following conventions: + +- $F$ is an identifier (quintuple) of bearer traffic. +- $K$ is a shared secret that both the end-user function and the access node FE possess. +- $P$ is a packet that the end-user function intends to send to the access node FE. +- $i$ is a sequence number of a packet that is being incremented by both communicating parties. It is a 64-bit value. +- $t$ is a time stamp – a 64-bit value that indicates time in seconds. Alternatively, it could be a nonce. +- $(P', Q)$ is a packet that the access node FE has received. + +When the end-user function intends to send a packet $P$ to the access node FE, it first computes a quantity $H(F, t+i, K)$ , which is a hash function of a concatenation of $F$ , $t+i$ , and $K$ , and then attaches this quantity to the packet $P$ . Therefore, the full packet sent from the end-user function to the access node FE is $[P, H(F, t+i, K)]$ . When the access node FE receives a packet $(P', Q)$ , it computes the quantity $H(F, t+i, K)$ . If a time stamp is used, the access node FE computes the hashes for all values of $t$ that are in the agreed upon range for the difference between the times on the end-user function and the access node FE (this needs to be done only once at the beginning of a session). In this case, the access node FE looks for a match between $Q$ and any one of the computed values of hashes. If a match is found, then the packet is authenticated. The corresponding value of $t$ will be used for the packets of the flow. + +If a nonce is used, then the access node FE simply checks whether the computed value of the hash is equal to $Q$ . If it is, the packet is authenticated. + +In an environment where packet loss may occur, simply incrementing $i$ from packet to packet may not suffice. In this case, the access node FE may search from $i$ through $i+d$ (where $d$ is a small number) to resynchronize $i$ . + +The use of this authentication mechanism helps to counter fraudulent attacks such as spoofing or RTP injections. + +The mechanism also allows for authentication of the user-generated traffic without revealing the user's identity. + +In order for this implementation, it is suggested for the end-user function and the access node FE to agree on the format of identifier $F$ , shared secret $K$ , hash function $H$ , exact synchronized time to start time stamp $t$ , where the hashed quantity can be added to the packet $P$ and how, the value of $d$ , and what starts to resynchronize $i$ . + +The use of this mechanism is a subject of a network operator's security policy. There are other mechanisms that can be used for authenticating the flows, e.g., IPsec. The advantage of this mechanism in comparison to IPsec is that while IPsec requires encryption of the entire IP packet (in the tunnel mode), or the payload (in the transport mode), this mechanism requires computation only of the hash $H(F, t+i, K)$ , which can be done faster and using less computing resources. + +## 9 Transport security for signalling and OAMP + +Transport security is used in the NGN infrastructure to provide confidentiality and integrity guarantees of the signalling data and the OAMP messages. This clause specifies the profile of TLS and IPsec to be used by the NGN infrastructure network elements as two important security mechanisms. The lists of mechanisms are not exhaustive and other implementations may be adopted depending on the NGN provider policies. + +Within the trusted zone and trusted-but-vulnerable zone, VPN tunnel (e.g., IPsec or TLS) is required for securing the OAMP messages. Clause 9.1 gives the profile for TLS use cases, and clause 9.2 gives the corresponding profile for IPsec use cases. Between the TE-BE and OAMP-NBE (i.e., between the untrusted zone and trusted-but-vulnerable zone), IPsec is used for creating a VPN tunnel. Clause 9.3 gives the applicable profile of IPsec. + +While media security is not required within the NGN infrastructure, some border elements implement media security for service to specific endpoints. For these elements, clause 10 contains a profile of media security protocols. + +## 9.1 TLS + +In the NGN infrastructure, TLS is often used to secure various types of signalling traffic (e.g., SIP, COPS, TRIP, HTTP) between network elements within the trusted zone. It is also supported in border elements that might receive encrypted signalling from customer endpoints, and by the TE-BE for communicating to a NBE. Specific requirements for each type of network element are given in [ITU-T Y.2701]. + +The TLS protocol is defined in [b-IETF RFC 5246]. It provides privacy and data integrity over a reliable transport layer protocol such as TCP or SCTP. + +Unless specified otherwise in this clause, it is desirable that NGN infrastructure network elements requiring TLS be compliant with the TLS specification [b-IETF RFC 5246] and any requirements specified in [b-IETF RFC 3261] relating to its usage in SIP. While TLS supports the negotiation and use of compression methods, compression may not be used within the NGN infrastructure, due to performance degradation. + +### 9.1.1 Cipher suites + +The cipher suite includes the authenticated key agreement method used in the TLS handshake, as well as encryption and authentication ciphers used to secure the record layer. Cipher suites are negotiated with the TLS client presenting a list of supported cipher suites in the Client Hello message, and the server responding with the selected cipher suite in the Server Hello message. + +There are many factors influencing the choice of encryption algorithm. The following are examples of common factors influencing the choice of encryption algorithm: + +- 1) Required security + - Value of the data (to either the organization and/or other entities – the more valuable the data, the stronger the required encryption). + - Time value of data (if data is valuable but for only a short time period (e.g., days as opposed to years), then a weaker encryption algorithm could be used). + - Threat to data (the higher the threat level, the stronger the required encryption). + - Other protective measures that are in place and that may reduce the need for stronger encryption – for example, using protected methods of communications, such as dedicated circuits as opposed to the public Internet. +- 2) Required performance (higher performance requirements may require procurement of additional system resources, such as a hardware cryptographic accelerator, or may necessitate weaker encryption). + +- 3) System resources (fewer resources (e.g., process, memory) may necessitate weaker encryption). +- 4) Import, export, or usage restrictions. +- 5) Encryption schemes supported by network elements. +- 6) Encryption schemes supported by user devices. + +Table 3 shows a list of candidate cipher suites suitable for NGN, though the table is not exhaustive. + +**Table 3 – Candidate cipher suites for NGN** + +| Cipher suite name | Reference | Key exchange | Cipher | Hash | +|---------------------------------------|-------------------|---------------------------------------------------|--------------------------|-------| +| TLS_RSA_WITH_AES_128_CBC_SHA | [b-IETF RFC 5246] | RSA | AES-128 in CBC mode | SHA-1 | +| TLS_DHE_RSA_WITH_AES_128_CBC_SHA | [b-IETF RFC 5246] | Diffie-Hellman Ephemeral mode with RSA signatures | AES-128 in CBC mode | SHA-1 | +| TLS_RSA_WITH_3DES_EDE_CBC_SHA | [b-IETF RFC 2246] | RSA | 3DES in CBC mode | SHA-1 | +| TLS_DHE_WITH_3DES_EDE_CBC_SHA | [b-IETF RFC 5246] | Diffie-Hellman Ephemeral mode with RSA signatures | 3DES in CBC mode | SHA-1 | +| TLS_RSA_WITH_CAMELLIA_128_CBC_SHA | b-IETF RFC 4132] | RSA | Camellia-128 in CBC mode | SHA-1 | +| TLS_DHE_RSA_WITH_CAMELLIA_128_CBC_SHA | [b-IETF RFC 4132] | Diffie-Hellman Ephemeral mode with RSA signatures | Camellia-128 in CBC mode | SHA-1 | + +The cipher suites in Table 4 depicted from [b-IETF RFC 5246], [b-IETF RFC 4132] and [b-IETF RFC 4492] can also be optionally used by any NEs. + +**Table 4 – Candidate cipher suites (optional) for NGN** + +| Cipher suite name | Reference | Key exchange | Cipher | Hash | +|----------------------------------|-------------------|---------------------------------------------------|---------------------|-------| +| TLS_DH_DSS_WITH_AES_128_CBC_SHA | [b-IETF RFC 5246] | Diffie-Hellman with DSS signature | AES-128 in CBC mode | SHA-1 | +| TLS_DH_RSA_WITH_AES_128_CBC_SHA | [b-IETF RFC 5246] | Diffie-Hellman with RSA signature | AES-128 in CBC mode | SHA-1 | +| TLS_DHE_DSS_WITH_AES_128_CBC_SHA | [b-IETF RFC 5246] | Diffie-Hellman Ephemeral mode with DSS signature | AES-128 in CBC mode | SHA-1 | +| TLS_DHE_RSA_WITH_AES_128_CBC_SHA | [b-IETF RFC 5246] | Diffie-Hellman Ephemeral mode with RSA signatures | AES-128 in CBC mode | SHA-1 | + +**Table 4 – Candidate cipher suites (optional) for NGN** + +| Cipher suite name | Reference | Key exchange | Cipher | Hash | +|---------------------------------------|-------------------|---------------------------------------------------|--------------------------|-------------| +| TLS_RSA_WITH_AES_256_CBC_SHA | [b-IETF RFC 5246] | RSA | AES-256 in CBC mode | SHA-1 | +| TLS_DH_DSS_WITH_AES_256_CBC_SHA | [b-IETF RFC 5246] | Diffie-Hellman with DSS signature | AES-256 in CBC mode | SHA-1 | +| TLS_DH_RSA_WITH_AES_256_CBC_SHA | [b-IETF RFC 5246] | Diffie-Hellman with RSA signature | AES-256 in CBC mode | SHA-1 | +| TLS_DHE_DSS_WITH_AES_256_CBC_SHA | [b-IETF RFC 5246] | Diffie-Hellman Ephemeral mode with DSS signature | AES-256 in CBC mode | SHA-1 | +| TLS_DHE_RSA_WITH_AES_256_CBC_SHA | [b-IETF RFC 4132] | Diffie-Hellman Ephemeral mode with RSA signatures | AES-256 in CBC mode | SHA-1 | +| TLS_DH_DSS_WITH_CAMELLIA_128_CBC_SHA | [b-IETF RFC 4132] | Diffie-Hellman with DSS signature | Camellia-128 in CBC mode | SHA-1 | +| TLS_DH_RSA_WITH_CAMELLIA_128_CBC_SHA | [b-IETF RFC 4132] | Diffie-Hellman with RSA signature | Camellia-128 in CBC mode | SHA-1 | +| TLS_DHE_DSS_WITH_CAMELLIA_128_CBC_SHA | [b-IETF RFC 4132] | Diffie-Hellman Ephemeral mode with DSS signature | Camellia-128 in CBC mode | SHA-1 | +| TLS_RSA_WITH_CAMELLIA_256_CBC_SHA | [b-IETF RFC 4132] | RSA | Camellia-256 in CBC mode | SHA-1 | +| TLS_DH_DSS_WITH_CAMELLIA_256_CBC_SHA | [b-IETF RFC 4132] | Diffie-Hellman with DSS signature | Camellia-256 in CBC mode | SHA-1 | +| TLS_DH_RSA_WITH_CAMELLIA_256_CBC_SHA | [b-IETF RFC 4132] | Diffie-Hellman with RSA signature | Camellia-256 in CBC mode | SHA-1 | +| TLS_DHE_DSS_WITH_CAMELLIA_256_CBC_SHA | [b-IETF RFC 4132] | Diffie-Hellman Ephemeral mode with DSS signature | Camellia-256 in CBC mode | SHA-1 | + +**Table 4 – Candidate cipher suites (optional) for NGN** + +| Cipher suite name | Reference | Key exchange | Cipher | Hash | +|---------------------------------------|-------------------|-------------------------------------------------------|--------------------------|-------------| +| TLS_DHE_RSA_WITH_CAMELLIA_256_CBC_SHA | [b-IETF RFC 4132] | Diffie-Hellman Ephemeral mode with RSA signatures | Camellia-256 in CBC mode | SHA-1 | +| TLS_ECDH_ECDSA_WITH_3DES_EDE_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman with ECDSA signature | 3DES in CBC mode | SHA-1 | +| TLS_ECDH_ECDSA_WITH_AES_128_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman with ECDSA signature | AES-128 in CBC mode | SHA-1 | +| TLS_ECDH_ECDSA_WITH_AES_256_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman with ECDSA signature | AES-256 in CBC mode | SHA-1 | +| TLS_ECDHE_ECDSA_WITH_3DES_EDE_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman Ephemeral mode with ECDSA signature | 3DES in CBC mode | SHA-1 | +| TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman Ephemeral mode with ECDSA signature | AES-128 in CBC mode | SHA-1 | +| TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman Ephemeral mode with ECDSA signature | AES-256 in CBC mode | SHA-1 | +| TLS_ECDH_RSA_WITH_3DES_EDE_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman with RSA signature | 3DES in CBC mode | SHA-1 | +| TLS_ECDH_RSA_WITH_AES_128_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman with RSA signature | AES-128 in CBC mode | SHA-1 | +| TLS_ECDH_RSA_WITH_AES_256_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman with RSA signature | AES-256 in CBC mode | SHA-1 | +| TLS_ECDHE_RSA_WITH_3DES_EDE_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman Ephemeral mode with RSA signature | 3DES in CBC mode | SHA-1 | +| TLS_ECDHE_RSA_WITH_AES_128_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman Ephemeral mode with RSA signature | AES-128 in CBC mode | SHA-1 | + +**Table 4 – Candidate cipher suites (optional) for NGN** + +| Cipher suite name | Reference | Key exchange | Cipher | Hash | +|------------------------------------|-------------------|-----------------------------------------------------|---------------------|-------| +| TLS_ECDHE_RSA_WITH_AES_256_CBC_SHA | [b-IETF RFC 4492] | EC-Diffie-Hellman Ephemeral mode with RSA signature | AES-256 in CBC mode | SHA-1 | + +NOTE 1 – RC-4 is a popular and well used cipher. However, it is not included in the above list because it is not an open standard. + +NOTE 2 – Elliptic curve cryptography (ECC) is a public-key cryptosystem that may be desirable for certain applications in NGN. Specifically, ECC would be appealing for certain applications because of efficiency benefits. Compared to other prevalent cryptosystems such as RSA, ECC offers equivalent security with significantly smaller key sizes. In addition, ECC offers computational efficiency and advantages over certain other public key techniques to achieve the same level of protection. + +### **9.1.2 TLS use of certificates** + +TLS is a client-server based protocol with optional client authentication. However, within the trusted zone of the NGN infrastructure, and between the trusted zone and the trusted-but-vulnerable zone, mutual authentication may be accomplished using TLS. In that case, the TLS server sends a Certificate Request to the Client. If a client in the trusted zone or trusted-but-vulnerable zone does not provide a client certificate, then the connection request may be rejected by the server. Both the TLS client and server certificates should conform to the NGN infrastructure certification specifications given in clause 8.3. Certificates may be verified as specified in clause 8.3. Before continuing with a TLS connection, the TLS server or client may validate the remote system that matches its certificate. + +Between the trusted-but-vulnerable zone and the untrusted zone, the TLS server may send a Certificate Request to the Client. If the client has no certificate, it responds with an empty Client Certificate message, and the session proceeds as an anonymous client. + +When a NBE accepts an authenticated connection with an endpoint based on a NGN end-user certificate (see clause 8.5.2), then the NBE may implement two timers on the connection. The first timer, T1, is started when the connection is established. The second timer, T2, is started when the connection is established and is reset to zero every time a request is received at the NBE over the connection. Whenever either timer reaches its limit value (which may depend on values contained in the certificate), the connection is reset by the NBE and will be re-established by the endpoint to refresh the NGN end-user certificate. + +### **9.1.3 Session key management** + +TLS sessions between NGN infrastructure network elements are expected to be long-lasting. It is therefore important that the session keys be changed periodically. Session keys for TLS sessions may be changed after a configurable period of time. + +## **9.2 IPsec in trusted and trusted-but-vulnerable zones** + +In the NGN infrastructure, IPsec may be used to secure various types of traffic (e.g., SNMP, RADIUS) between network elements within the trusted zone. Specific requirements for each type of network element are given in [ITU-T Y.2701]. + +As described generally in [b-IETF RFC 4301], IPsec is composed of a number of different pieces. These can be used to provide confidentiality, integrity, and replay protection. Some of these can be configured manually, but in general a key management component is used. Additionally, the decision on the use of IPsec is typically controlled by a policy database. This clause describes the mandatory-to-implement subset of the components of IPsec. + +In network elements that use IPsec, it is recommended to ensure that TLS-secured connections are not run over IPsec. + +NOTE – Network elements that use IPsec should ensure that media streams secured with SRTP or RC-4 are not run over IPsec. This is to ensure that no double-encryption is done, which would be wasteful of NGN resources. It should also be noted that tunnelling of encryption may occur from the end user. + +### **9.2.1 AH and ESP** + +The authentication header (AH), described in [IETF RFC 4302], and [b-IETF RFC 4835], and the encapsulating security protocol (ESP), described in [IETF RFC 4303], are the two choices of over-the-wire security protocols. Both optionally provide replay protection. ESP typically is used to provide confidentiality, integrity, and authentication of traffic. ESP also can provide integrity and authentication without confidentiality. ESP can also be used to provide confidentiality alone. AH protects portions of the preceding IP header, including the source and destination address. AH can also protect those IP options that need to be seen by intermediate routers, but is required to be intact and authentic when delivered to the receiving system, though use of such IP options is extremely rare. + +NGN infrastructure network elements may support the encapsulating security protocol (ESP), as defined in [IETF RFC 4303]. ESP\_DES (both 40 and 56 bits), ESP\_3DES, ESP\_AES [b-IETF RFC 3602], and ESP\_CAMELLIA [b-IETF RFC 4312] may be supported in cipher block chaining (CBC) mode. Network elements that support ESP\_NULL may NOT use ESP\_NULL when communicating with another NGN infrastructure network element. The actual encryption algorithm used within ESP is negotiated during key management. + +All implementations of ESP are required by [b-IETF RFC 4301] to support the concept of security associations (SAs), and [b-IETF RFC 4301] provides a general model for processing IP traffic relative to SAs. Although particular IPsec implementations need not follow the details of this general model, the external behaviour of any IPsec implementation may match the external behaviour of the general model. This ensures that components do not accept traffic from unknown addresses and do not send or accept traffic without security (when security is required). NGN infrastructure network elements that implement IPsec may provide behaviour that matches the general model described in [b-IETF RFC 4301]. + +### **9.2.2 Transport and tunnel mode** + +Both AH and ESP can be used in either transport mode or tunnel mode. In tunnel mode, the IPsec header is followed by an inner IP header. This is the normal usage for virtual private networks (VPNs), and is generally required when either end of the IPsec-protected path is not the ultimate destination, e.g., when IPsec is implemented in a firewall, or router. Transport mode is preferred for point-to-point communications. + +NGN infrastructure network elements may support IPsec in transport mode. + +### 9.2.3 Replay protection + +NGN infrastructure network elements may use the IPsec optional replay-protection service (anti-replay service). Within NGN infrastructure network elements, the IPsec anti-replay service may be turned on at all times. An IPsec sequence number outside of the current anti-replay window is flagged as a replay and the packet is rejected. When the anti-replay service is turned on, an IPsec sequence number cannot overflow and roll over to 0. Before that happens, a new Security Association should be created as specified in [IETF RFC 4303]. + +### 9.2.4 Key management + +All cryptographic systems require key management. While IPsec provides for both manual and automatic key management schemes, manual schemes do not scale as well as automatic schemes and do not offer replay protection. All key management schemes provide authentication. NGN infrastructure network elements should implement one of the automated key exchange mechanisms described in this clause. + +When IKE is not used for key management, an alternative key management protocol needs an interface to the IPsec layer in order to create/update/delete IPsec Security Associations. IPsec Security Associations may be automatically established or re-established as required. This implies that the IPsec layer also needs a way to signal a key management application when a new Security Association needs to be set up (e.g., the old SA is about to expire or there is no SA on a particular interface). In addition, some border elements may be required to run multiple key management protocols (e.g., IKE for securing connections for OAMP, and PKINIT for securing connections). In these cases, the PF\_KEY [b-IETF RFC 2367] interface is recommended to be used. + +#### 9.2.4.1 Transform identifiers + +The IPsec transform identifier is used by the key management procedures to negotiate an encryption algorithm that is used by ESP in IPsec. The transform identifier is also used by IKE to secure its phase-1 and phase-2 messages. A list of available IPsec transform identifiers is given in [b-IETF RFC 5282]. Within the NGN infrastructure, the transform IDs ESP\_3DES (value 0x03, with key size of 192 bits, CBC mode) and ESP\_CAMELLIA (value 0x16, with 128 bits key, CBC mode) [b-IETF RFC 4312] may be supported. The Transform ID ESP\_AES (value 0x0C, with 128-bit key, CBC mode) is recommended to be supported. IKE allows negotiation of the encryption key size, so if, in the future, it is desired to increase the key size for one of the above algorithms, IKE will use this built-in function. + +For all of these transforms, the CBC initialization vector (IV) is carried in the clear inside each ESP packet payload [b-IETF RFC 2451]. AES-128, defined in [b-NIST FIPS 197], and [b-IETF RFC 3602] may be used in CBC mode with a 128-bit block size and a randomly generated initialization vector. AES-128 requires 10 rounds of cryptographic operations [b-IETF RFC 3602]. Camellia-128, defined in [b-IETF RFC 3713] and [b-IETF RFC 4312] may be used in CBC mode with a 128-bit block size and a randomly generated initialization vector. It requires 18 rounds of cryptographic operations [b-IETF RFC 3713]. + +#### 9.2.4.2 Authentication algorithms + +The IPsec authentication algorithm is used by the key management procedures to negotiate a packet-authentication algorithm that is used. A list of available IPsec authentication algorithms is given in [b-IETF RFC 5282]. Within the NGN infrastructure, the authentication algorithms HMAC-MD5-96 (value 0x01, key size of 128 bits, defined in [b-IETF RFC 2403]) and HMAC-SHA-1-96 (value 0x02, key size 160 bits, defined in [b-IETF RFC 4835]) may be supported. + +#### 9.2.4.3 Internet key exchange (IKE) + +One automated key exchange mechanism is described in [b-IETF RFC 2409], and is known as IKE. IKE key management is completely asynchronous to data messages and does not contribute to any delays during communications setup. The only exception would be some unexpected error, where the Security Association is unexpectedly lost by one of the endpoints. + +IKE is a peer-to-peer key management protocol. It consists of two phases. In the first phase, a shared secret is negotiated via a Diffie-Hellman key exchange. It is then used to authenticate the second IKE phase. The second phase negotiates another secret, used to derive keys for the IPsec ESP protocol. + +###### 9.2.4.3.1 First IKE phase + +Three different modes are defined for authentication during the first IKE phase. IKE authentication with Public-Key Encryption SHALL NOT be used in the NGN infrastructure, as this requires the initiator to already know the responder's public key. IKE Authentication with Signatures and IKE Authentication with Pre-Shared Keys may be supported. + +IKE defines specific sets of Diffie-Hellman parameters (i.e., prime and generator) that may be used for the phase 1 IKE exchange. The first group may be supported in NGN infrastructure network elements, and the remaining groups are recommended to be supported. + +If IKE Authentication with signatures is used, both client and server may exchange X.509 certificates (see clause 8.3.2). Certificates may be verified as specified in clause 8.3. + +When a network border element accepts an authenticated connection with an endpoint based on a NGN end-user certificate, then the NBE may implement two timers on the connection. The first timer, T1, is started when the connection is established. The second timer, T2, is started when the connection is established and is reset to zero every time a request is received at the NBE over the connection. Whenever either timer reaches its limit value (which may depend on values contained in the certificate), the connection is reset by the NBE and will be re-established by the endpoint to refresh the NGN end-user certificate. + +If IKE Authentication with Pre-Shared keys is used, a key derived by some out-of-band (e.g., manual) mechanism is used to authenticate the exchange. Implementations may allow a pre-shared key of at least 128 octets. Verification of the requirements for the pre-shared keys is not required in the network elements. Implementations may support Aggressive Mode, defined in clause 5.4 of [b-IETF RFC 2409], and use the key name as the identity of the initiator/responder. The aggressive mode of IKE v1 [b-IETF RFC 2409] in combination with pre-shared-key is known to be insecure. With this mode, a hash of the secret is transmitted in clear over the network; if the IP traffic is intercepted by an attacker, then the key can be retrieved with an off-line brute-force attempt. It is recommended that at least 128-bit long PSK shall be used to prevent the brute-force calculation of the PSK based on its hash. + +When using pre-shared keys, the strength of the system is dependent upon the strength of the shared secret. The goal is to keep the shared secret from being the weak link in the chain of security. This implies that the shared secret needs to contain as much entropy (randomness) as the cipher being used. In other words, the shared secret is recommended to have at least 128-160 bits of entropy. + +##### 9.2.4.3.2 Second IKE phase + +In the second IKE phase, an IPsec ESP Security Association is established, including the ESP keys and ciphersuites. First, a shared second-phase secret is established, and then all the IPsec keying material is derived from it using the one-way function specified in [b-IETF RFC 2409]. The second-phase secret is built from encrypted nonces that are exchanged by the two parties. Another Diffie-Hellman exchange is allowed by [b-IETF RFC 2409] in addition to the encrypted nonces, but + +may not be used in NGN infrastructure network elements. This is to avoid the associated performance penalties. + +## **9.3 Key agreement protocol between untrusted and trusted-but-vulnerable zone** + +The key agreement (AKA) protocol specified for IMS networks may also be used as applicable. The universal mobile telecommunications system (UMTS) authentication and key agreement (AKA) protocol supports mutual authentication of the mobile station (MS) and the network. The UMTS AKA is a challenge-response protocol, which uses a long-term key, $K$ , shared between universal subscriber identity module (USIM) and authentication Centre (AuC). These entities reside on the universal integrated circuit card (UICC) of the MS and in the mobile station's home network respectively. The AKA protocol is specified in [b-3GPP TS 33.102], Security Architecture. + +Although the AKA mechanism is typically used for authentication of the wireless devices that are equipped with the smart cards (e.g., UICC), there is nothing in the AKA specifications that would prevent the use of the mechanism for authentication of the fixed devices that are capable of running the USIM application. + +## **9.4 IPsec between untrusted and trusted-but-vulnerable zone** + +The TE-BE is a NGN network element that resides in the untrusted zone. However, it is still managed by the NGN carrier and needs access to the OAMP systems located within the trusted zone. Therefore, there is an OAMP-SE that resides in the trusted-but-vulnerable zone that acts as a relay point for the OAMP messages. + +The TE-BE may ensure that TLS-secured connections are not run over the IPsec VPN Tunnel. The TE-BE may ensure that media streams that are secured with SRTP media Security are not run over the IPsec VPN Tunnel. + +The IPsec VPN Tunnel may use IPsec ESP [IETF RFC 4303] in Tunnel mode [b-IETF RFC 4301]. + +The IPsec anti-replay service may be enabled at all times. + +The IPsec VPN Tunnel may support Transform Identifiers ESP\_3DES (with key size of 192 bits, in CBC mode) and ESP\_CAMELLIA (with 128-bit key and CBC mode) [b-IETF RFC 4312]. The IPsec VPN Tunnel is recommended to support Transform Identifier ESP\_AES (with 128-bit key and CBC mode). + +The IPsec VPN Tunnel may support Authentication Algorithms HMAC-MD5-96 (key size of 128 bits), and HMAC-SHA-1-96 (key size 160 bits). + +Key generation and management for the IPsec VPN Tunnel may be done with IKE [b-IETF RFC 2409], using IKE authentication with digital signatures, or IKE authentication with a pre-shared key. If IKE authentication with digital signatures is used, both client and server may exchange X.509 certificates, and certificates may be verified. + +# **10 Media security** + +Media encryption is not required within the NGN infrastructure, but it may be required to be supported for customers that desire its use. Such support may include the support of media encryption protocols, SRTP [b-IETF RFC 3711]. In the rest of this clause, network border elements (i.e., the edge of the network provider's domain) are assumed to implement encryption/decryption although it is possible to do the same in a separate platform shared among NBEs. In either case, the encryption and decryption is required to be collocated with other media processing capabilities such as dual-tone multi-frequency (DTMF) detection and transcoding. + +With the requirement to connect subscribers desiring media encryption on their access link with those that do not (or do not support it), there are five separate cases that need to be considered as shown in Figure 4. + +The first and simplest case is where neither endpoint desires encryption. The media will flow from source to destination, through the border elements, without any encryption on any of the links. Neither network border element (NBE) #1 (serving the originator) nor network border element (NBE) #2 (serving the destination) does any encryption or decryption. + +The second case occurs if the originator desires an encrypted media stream but the destination does not, NBE #1 acts as an encryption/decryption relay point. NBE #1 receives the encrypted stream from the originator, decrypts it and passes it through the NGN infrastructure to NBE #2, who passes it (still unencrypted) to the destination. In the reverse direction, NBE #1 receives unencrypted media through the NGN infrastructure and encrypts it before sending it to the originator. Thus the media over leg #1 (from the originator to NBE #1) is encrypted, leg #2 (between NBE #1 and NBE #2) is not, and leg #3 (between NBE #2 and the destination) is not. + +The third case occurs if the destination desires an encrypted media stream but the originator does not. NBE #2 acts as an encryption/decryption relay point. NBE #1 receives unencrypted media from the originator and passes it (still unencrypted) through the NGN infrastructure to NBE #2. NBE #2 encrypts it and passes it to the destination. In the reverse direction, NBE #2 receives the encrypted media stream from the destination endpoint and decrypts it before forwarding through the NGN infrastructure. NBE #1 passes the unencrypted media to the originator. Thus the media over legs #1 and #2 are unencrypted, and the media over leg #3 is encrypted. + +The fourth case occurs if the originator and destination both desire encrypted media, but either they do not support compatible encryption schemes or there is some enhanced service being provided by the NGN infrastructure (such as dual-tone multi-frequency (DTMF) detection for calling card applications). Both NBE #1 and NBE #2 act as encryption/decryption relay points. NBE #1 receives the encrypted stream from the originator, decrypts it and passes it through the NGN infrastructure to NBE #2. NBE #2 encrypts it and passes it to the destination. In the reverse direction, NBE #2 receives encrypted media from the destination endpoint and decrypts it before forwarding through the NGN infrastructure. NBE #1 receives unencrypted media and encrypts it before sending it to the originator. Thus the media over legs #1 and #3 are encrypted, and the media through the NGN infrastructure (leg #2) is not. + +The fifth case occurs if the originator and destination both desire encrypted media, support compatible encryption schemes, and there is no enhanced service being provided by the NGN infrastructure. NBE #1 receives encrypted media from the originator and passes it unchanged through the NGN infrastructure to NBE #2, who passes it unchanged to the destination. In the reverse direction, NBE #2 receives encrypted media from the destination and passes it unchanged through the NGN infrastructure to NBE #1 who passes it unchanged to the originator. Thus the media over all three legs is encrypted. The signalling needed to achieve this case is beyond the scope of this Recommendation. + +Media encryption described in this clause provide authentication, confidentiality, and message integrity. + +![Figure 4: Relationship of media encryption, BE's capabilities, and originator/destination's desire. The diagram shows five cases of media encryption across two Network Elements (NBE#1 and NBE#2) between an Originator and a Destination. Case 1: Neither desires encryption. Case 2: Originator desires encryption. Case 3: Destination desires encryption. Case 4: Both desire encryption but no common capabilities. Case 5: Both desire encryption with common capabilities. Encryption is indicated by red lines (Leg 1, Leg 2, Leg 3) and not encryption by black lines.](77959075c823bb5169480d7b8ff82a63_img.jpg) + +Case 1: Neither originator nor destination desires media encryption + +Case 2: Originator desires media encryption, but destination does not + +Case 3: Destination desires media encryption, but originator does not + +Case 4: Originator and destination desire media encryption, but no common capabilities + +Case 5: Originator and destination desire media encryption, with common capabilities + +Leg 1      Leg 2      Leg 3 + +— Encrypted      — Not encrypted + +Y.2704(09)\_F04 + +Figure 4: Relationship of media encryption, BE's capabilities, and originator/destination's desire. The diagram shows five cases of media encryption across two Network Elements (NBE#1 and NBE#2) between an Originator and a Destination. Case 1: Neither desires encryption. Case 2: Originator desires encryption. Case 3: Destination desires encryption. Case 4: Both desire encryption but no common capabilities. Case 5: Both desire encryption with common capabilities. Encryption is indicated by red lines (Leg 1, Leg 2, Leg 3) and not encryption by black lines. + +**Figure 4 – Relationship of media encryption, BE's capabilities, and originator/destination's desire** + +## 10.1 SRTP + +Secure RTP is described in [b-IETF RFC 3711], and is defined as a profile of RTP [b-IETF RFC 3550]. It is intended to be implemented between the RTP application and the transport layer in the protocol stack – intercepting an RTP packet and forwarding an equivalent SRTP packet on the transmit side, and intercepting an SRTP packet and passing an equivalent RTP packet up the stack on the receiving side. It basically encrypts the payload of the RTP packet and adds an authentication tag to the end of the packet on the transmit side, and verifies the authentication tag and decrypts the payload on the receive side. + +### 10.1.1 Encryption and authentication algorithms + +An NBE supporting SRTP may support AES in Counter Mode [b-IETF RFC 3711]. Also see [b-NIST FIPS SP 800-38a] for more information. The NBE may support HMAC-SHA1 for message integrity check generation, with a tag length of 80 bits. + +### 10.1.2 Cipher suite negotiation and key generation + +Key generation for SRTP can be done in several ways: + +- 1) via provisioning (via TE Provisioning Element); +- 2) by using key material generated by the endpoint device and included in the session description protocol (SDP) [b-IETF RFC 4566] in the INVITE requests; +- 3) key material is exchanged using separate key management protocol and piggybacked with SDP. + +For each subscriber, the NBE may obtain from the SAA/TAA-FEs the SRTP master key, and from this derive preliminary encryption and authentication session keys. An SRTP master key of length 128 may be supported. The key derivation algorithm described in [b-IETF RFC 3711] may be supported. The preliminary encryption key length may be 128 bits, the preliminary session salt key length may be 112 bits, and the preliminary authentication key may be 160 bits. When a new SRTP master key is issued to a subscriber, the NBE may be able to use it immediately. + +If the SDP contained in the INVITE request has "RTP/SAVP" as the media protocol value in the "m=" line, and no key value in a "k=" line, and no "a=crypto" attribute, then the NBE may use the preliminary keys generated from the provisioning system as the actual keys for the session. The cipher suite is not negotiable in this case. + +If the SDP contained in the INVITE request has "RTP/SAVP" as the media protocol value in the "m=" line, and no "a=crypto" attribute, and a key value in a "k=" line, then the NBE may use the key contained in the "k=" line as the SRTP master key and generate the session and authentication keys from it. The cipher suite is not negotiable in this case. + +If the SDP contained in the INVITE request has "RTP/SAVP" as the media protocol value in the "m=" line, and a "a=crypto" attribute, then the NBE may follow the requirements of [b-IETF RFC 4568] to generate the session and authentication keys. For example, the SDP entry "a=crypto:1AES\_CM\_128\_HMAC\_SHA1\_80 inline:PS1uQCVeeCFCanVmcjpkPywjNWhcYD0mXXtxaVBR|220|1:4" indicates the cipher suite is AES\_CM\_128\_HMAC\_SHA1\_80, and the key\_param is defined by the text starting with "inline:". Within the key\_param, the first field is the master key appended with the master salt, concatenated and then base64 encoded. The list of valid cipher suites is given in section 5.2 of [b-IETF RFC 4568], from which one is chosen as part of the SDP offer/answer exchange. + +If the SDP contained in the INVITE request has "RTP/SAVP" as the media protocol value in the "m=" line, and a "a=key-mgmt" attribute, then NBE may follow the requirements of [b-IETF RFC 4567] to generate keys and security parameters. For example, "a=key-mgmt:mikey AQAfGm0XflABAAAAAAAAAAAAAAAA..." indicates that the key management protocol is mikey [b-IETF RFC 3830], and the remainder text is the key management data which is base64 [b-IETF RFC 4648] encoded. + +### 10.1.3 Authentication interface between NGN network element and secure token server + +NGN network elements may implement SASL [b-IETF RFC 4422] protecting their OAMP functions. The SASL layer may include an authentication check based on secure token, as defined in [b-IETF RFC 2808]. This is identified with the SASL key "secure token". The user desiring OAMP access provides: + +- 1) an authorization identity (which allows system administrators to log in with a different user identity; if empty, it defaults to the authentication identity); +- 2) an authentication identity (an identity whose passcode will be used); +- 3) the pin value of the user and 6-digit passcode on the secure token. + +The NGN network element may implement an SAA/TAA-FE compliant client as part of the SASL handling of secure token. The NGN network element collects the presented user credentials and then sends them to the secure token server. Collected fields include the username, pin code, and currently-displayed secure token value. The network element receives back an Accept/Deny/Retry status message. If successful, the SASL enables the user to access the OAMP functions, based on the level of access associated with that username. + +# 11 OAMP + +An audit trail should be taken for all OAMP access attempts (whether successful or not), all OAMP changes made, and all OAMP signoffs. In addition, events considered significant by the NGN provider's policy are logged. + +In this clause, some mechanisms on important features are described. They are not exhaustive and other implementations may be adopted depending on the NGN provider policies. + +NOTE – Security of event logging is necessary. For additional information refer to [ITU-T Y.2701] and [b-ITU-T M.3016.0]. + +## **11.1 Network element interface to logging systems** + +The network elements are recommended to send their logging information to a remote log host. Such elements that utilize the Syslog protocol [b-IETF RFC 5424] to achieve this function may follow the requirements of this clause. + +Network elements that utilize the Syslog protocol may include a timestamp, with the time based on the value received via SNTP/NTP from a trusted time source, and may give the timestamp in UTC. Elements may include their Hostname (if one has been provisioned) or their IP address in the syslog message header. + +## **11.2 Network element use of SNMP** + +It is essential that the NGN network elements be able to be managed from a remote platform. SNMP is the industry standard mechanism to do this. While SNMPv3 [b-IETF RFC 3413], [b-IETF RFC 3414], and [b-IETF RFC 3415] solves many of the security faults present in SNMPv2, it is becoming increasingly widely available. + +The network elements are recommended to send their logging information to a remote log host. Such elements may utilize the SNMP protocol to achieve this function, noting the caveats elsewhere in this Recommendation relating to SNMPv3. + +SNMP is defined by an overall architecture [b-IETF RFC 3411], the mechanism for naming objects and events (MIBs) [b-IETF RFC 1155], [b-IETF RFC 1212], [b-IETF RFC 1215], [b-IETF RFC 2578], [b-IETF RFC 2579], and [b-IETF RFC 2580], and protocol operations [b-IETF RFC 3416], and [b-IETF RFC 3417]. For a more detailed overview of the documents that describe the current Internet-Standard Management Framework, see section 7 of [b-IETF RFC 3410]. + +Each NGN network element may implement an SNMP client. If SNMPv1 or v2 is used, and if required by security policy of the NGN provider, it is required to use UDP over IPsec as the transport. Each instance of a message may be encoded using the Basic Encoding Rules of ASN.1 [b-ITU-T X.690] into a single UDP datagram. The client may listen on port 161 for Command Responder Applications, and may listen on port 162 for Notification Receiver Applications. + +NGN network elements are required to implement all necessary MIBs for reporting security events and audit trails. + +## **11.3 Security patch management** + +Regular installation of maintenance and security patches on NGN network elements and servers minimize their vulnerabilities to attacks and unintentional failures. A comprehensive patch management strategy is required to be deployed including installation and verification processes and platforms. + +## **11.4 Version management** + +Network element configurations and changes are required to be backed up. The primary goal of system backup is to allow system recovery in the event of hardware or software troubles that result in corruption of a software load and/or the associated system data. The following types of information may be included in a system backup load: + +- Customer data and logic. +- Network traffic connectivity such as facilities and trunks. +- The NGN carrier and vendor-provided application software. +- Operating system. +- Hardware configuration. + +An ongoing record of provisioning work is required to be maintained so that any network element (NE) can be brought up to date with provisioning actions that have occurred since a backup image was taken. + +The provisioning platform may provide the following capabilities: + +- A journal of provisioning activities for each of the network elements (NEs) that directly provisions. +- At least one week's worth of provisioning activities for each NE. + +The provisioning platform may allow users to manually review the stored provisioning activities for each NE. The activity description provided to the user is required to summarize the size, number, and types of transactions for a given time interval. + +The provisioning platform may provide a utility to allow re-provisioning of a designated NE by re-entering data into a specified NE. This utility should allow selection of begin and end dates/times for the data to be re-provisioned. Based on the specified begin and end dates/times, the provisioning platform should automatically re-enter all of the intervening data into the specified NE. + +## **11.5 Audit trail, trapping, and logging at TE-BE** + +All of the audit trail, trapping, and logging requirements for NGN network elements apply to the TE-BE. + +The TE-BE is connected to the OAMP systems through a VPN tunnel. It therefore sends its logging messages, receives SNMP requests and sends SNMP responses through this VPN. The TE-BE is not recommended to accept any OAMP requests on any other interface. + +The requirements for the VPN tunnel are given in clause 9.4. + +## **12 Provisioning of equipment in untrusted zone** + +All customer premises equipments are configured by the TE provisioning element. The TE provisioning element resides in the trusted zone and may only communicate with the TEs via the network border element (NBE) as shown in Figure 2. A TE or TE-BE may authenticate and establish a security association with the NBE before it can obtain the configuration file from the TE provisioning element. NBE may support both TLS and IPsec for establishing SA with the TEs (including TE-BE). Refer to clauses 9.1 and 9.2 for more detail. + +Provider controlled equipment can be treated as a part of NBE in this context. + +The TE provisioning element includes the address of a NBE in the configuration data downloaded to the authenticated device. The TE provisioning element may also include a certificate that is used to authenticate the subscriber with the NBE, as described in clause 8.4. + +A TE device will request provisioning from an NGN service provider. The NBE will receive this request and authenticate the TE with the SAA/TAA-FEs. When the device is authenticated, the border element will forward the provisioning request to the TE provisioning element. The TE provisioning element then downloads the configuration and/or firmware to the TE. If the TE cannot be authenticated, the failure is logged. + +## Appendix I + +## Examples of source-address assurance and its application to the mechanism of subscriber identification and authentication + +(This appendix does not form an integral part of this Recommendation) + +This appendix provides concrete examples of the source-address assurance mechanisms and its application to the subscriber identification and authentication through network source address described in clause 8.4.2. + +### I.1 Subscriber identification and authentication linked to access-line authentication + +This clause provides an example of the subscriber identification and authentication, in which an IP address is assigned as the result of access-line authentication. In this example, each subscriber is statically associated with his/her access line. Hence, the mechanism described in this example is applicable only to non-nomadic (i.e., fixed) services. + +![Sequence diagram showing high-level message flows for subscriber identification and authentication. The diagram involves four main entities: UE (User equipment), Access/core transport network, Transport control (RACF and NACF), and SCF (Service control function). The process starts with provisioning of subscriber data (0), followed by access-line identification/authentication (1), IP address request (2), identification of subscriber based on access line and allocation of IP address (3), notification of subscriber access (4), opening the gate with SAF [access line <-> IP address] (5), response with network configuration (6), service request (7), retrieval of mappings between subscriber ID and IP address (8), identification of the subscriber based on mappings and consistency-checking (9), and finally service response (10).](030c758fd425016b03290c8f11bef69d_img.jpg) + +``` +sequenceDiagram + participant UE as UE (User equipment) + participant AN as Access/core transport network + participant TC as Transport control + participant SCF as SCF (Service control function) + participant RACF as RACF + participant NACF as NACF + + Note over AN, TC: 0. Provisioning of Subscriber Data + Note over TC: 1. Access-Line identification/Authentication + Note over TC: 2. IP address Request + Note over TC: 3. Identification of subscriber based on the access line, and allocation of an IP address to the subscriber + Note over TC: 4. Notification of subscriber access + Note over AN, TC: 5. Opening the gate with SAF [access line <-> IP address] + Note over TC: 6. Response with network configuration + Note over TC: 7. Service Request + Note over SCF: 8. Retrieval of mappings between subscriber ID and IP address *) Notes 1, 2 + Note over SCF: 9. Identification of the subscriber based on the mappings, and consistency-checking between the Service Request and the profile of the subscriber + Note over SCF: 10. Service Response +``` + +Sequence diagram showing high-level message flows for subscriber identification and authentication. The diagram involves four main entities: UE (User equipment), Access/core transport network, Transport control (RACF and NACF), and SCF (Service control function). The process starts with provisioning of subscriber data (0), followed by access-line identification/authentication (1), IP address request (2), identification of subscriber based on access line and allocation of IP address (3), notification of subscriber access (4), opening the gate with SAF [access line <-> IP address] (5), response with network configuration (6), service request (7), retrieval of mappings between subscriber ID and IP address (8), identification of the subscriber based on mappings and consistency-checking (9), and finally service response (10). + +NOTE 1 – The mapping information between the IP address and the Subscriber ID may be provided from the NACF to the SCF at the time of address allocation by the NACF. + +NOTE 2 – The NACF may provide the mapping between the IP address and the location information (e.g., Line Identifier) instead of the mapping between the IP address and the subscriber ID. In that case, the SCF is required to maintain the mappings between subscriber IDs and locations and derive the subscriber ID from the location information sent from the NACF. + +Figure I.1 – High-level message flows of example 1 + +#### Descriptions + +0. The subscriber profiles are preconfigured to the corresponding FEs (e.g., TUP-FE, SUP-FE) in the NACF or the SCF. + +The most important setting issues in this scenario are: + +- 1) The NACF (typically TUP-FE) maintains the mappings between subscriber IDs (Subscriber Account Identifiers) and logical/physical access-line IDs (e.g., VLAN ID or access port). +- 2) The SCF (typically SUP-FE) maintains the mappings between subscriber IDs and the attributes or profiles of the corresponding subscribers (e.g., values of "From" header in case of SIP-based services). In cases where the name space of subscriber IDs in the SCF is different from that in the NACF, the SCF is recommended also to maintain the mappings between these IDs. + +Alternatively, the NACF does not have to maintain the mappings between subscriber IDs and access-line IDs. In such scenarios, the SCF is recommended to maintain the mappings between subscriber IDs and access-line IDs, so the SCF can retrieve a corresponding subscriber ID from an access-line ID. + +On the gateways in the access/core transport, all gates for subscriber's access lines are initially configured to be closed so that any incoming IP packets, except for the packets necessary for UE to attach the network (e.g., sending address requests or authentication requests), are dropped. + +1. A UE attaches to the access network through its access line to get IP connectivity to the NGN. This example assumes that access authentication by the NACF is implicit and is executed at step 3. However, the NACF may alternatively employ an explicit access authentication method (e.g., IEEE 802.1X). In that case, network access authentication is executed in this phase, i.e., before IP address assignment. +2. The UE requests allocation of an IP address. This is typically performed by sending DHCP Discover and Request, and these messages are relayed to the NACF by the gateways. +3. In this example, the access network authenticates the access line and provides the authenticated access-line ID (e.g., VLAN ID or access port) to the NACF. Hence, the NACF can identify the subscriber ID of the UE based on the access-line ID, through which the IP address request is sent. Then, the NACF allocates an IP address to the requesting UE and stores the mapping between the subscriber ID and the allocated IP address. +This mapping information may be pushed from the NACF to the SCF and be stored (cached) in the SCF. In that case, the 8th step below can be skipped. +4. The NACF notifies the RACF that the subscriber has been connected. This notification includes the subscriber ID, the access-line ID (physical/logical), the allocated IP address, and QoS profiles. +5. The RACF makes a policy decision on network resource allocation to the subscriber and orders the gateways to open the gate for the access line with packet-filtering rules, which are defined to accept and forward incoming IP packets whose source address is the IP address assigned to the subscriber, and to drop other incoming packets. +The enforcement of source IP address filtering coordinated with access-line authentication by the NACF, which is described above, ensures that an IP address can be used only by the subscriber to whom the address is assigned. +6. The NACF returns the allocated IP address to the UE with other network configuration parameters (e.g., the addresses of DNS servers and P-CSC-FE). This is typically done by sending DHCP Offer and Response messages. + +7. After getting IP-connectivity, the UE sends a Service Request (e.g., REGISTER signal in case of SIP-based services) to the SCF. The Service Request is passed by the gateways (firewalls with source-address filtering) to the SCF only if the source address of the Request is one assigned by the NACF. +8. The SCF retrieves the mapping information (i.e., the subscriber ID and its assigned IP address) corresponding to the source address of the Service Request, from the NACF. +9. The SCF considers the Service Request to be originated from the subscriber who assigned the subscriber ID contained in the retrieved mapping information. In cases where the name space of subscriber IDs in the SCF is different from that in the NACF, the retrieved subscriber ID is required to be translated into the subscriber ID in the name space used by the SCF based on the mappings between these IDs. + +The SCF extracts the value of attributes regarding the subscriber's identity (e.g., the value of the "From" header in case of SIP-based services) from the Service Request and checks consistency between those values and the corresponding subscriber's profile. +10. If the authentication and the authorization succeed, the SCF returns the normal reply to offer the requested service (e.g., "200 OK" in case of SIP-based services). + +### **I.2 Subscriber identification and authentication linked to explicit access authentication at IP connectivity establishment** + +This clause provides an example of the subscriber identification and authentication, in which an IP address is assigned as the result of explicit access authentication at the establishment of IP connectivity. In this example, each subscriber is dynamically associated to a L2 session, which is established at the time of access authentication. Hence, the mechanism described in this example is applicable to both nomadic and non-nomadic services. + +![Sequence diagram showing high-level message flows of example 2 between UE, Access/core transport network, Transport control (RACF, NACF), and SCF (Service control function).](0a42e05c07941450f34e4f7117725834_img.jpg) + +``` + +sequenceDiagram + participant UE as UE (User equipment) + participant AN as Access/core transport network + participant RACF as RACF + participant NACF as NACF + participant SCF as SCF (Service control function) + + Note over RACF, NACF: 0. Provisioning of Subscriber Data + + UE->>AN: 1a. Access Authentication + AN->>RACF: 1b. Storing the mapping between the L2 session identifier and the subscriber ID + RACF->>AN: 1c. Accepting the access + AN->>UE: 1d. Sharing the session key and establishing the protected L2 session + UE->>RACF: 2. IP address Request + RACF->>NACF: 3. Identification of subscriber based on the L2 session ID, and allocation of an IP address to the subscriber + NACF->>AN: 4. Notification of subscriber access + AN->>UE: 5. Opening the gate with SAF [L2 session ID <-> IP address] + UE->>RACF: 6. Response with network configuration + RACF->>SCF: 7. Service Request + SCF->>NACF: 8. Retrieval of mappings between subscriber ID and IP address + Note over SCF: *) Note + SCF->>NACF: 9. Identification of the subscriber based on the mappings, and consistency-checking between the Service Request and the profile of the subscriber + NACF->>UE: 10. Service Response + +``` + +Y.2704(09)\_F1.2 + +Sequence diagram showing high-level message flows of example 2 between UE, Access/core transport network, Transport control (RACF, NACF), and SCF (Service control function). + +NOTE – The mapping information between the IP address and the Subscriber ID may be provided from the NACF to the SCF at the time of address allocation by the NACF. + +**Figure I.2 – High-level message flows of example 2** + +#### Descriptions + +0. The subscriber profiles are preconfigured to the corresponding FEs (e.g., TUP-FE, SUP-FE) in the NACF or the SCF. In contrast with the previous example, the NACF does not need to maintain the mappings between subscriber IDs and access-line IDs. +On the gateways in the access/core transport, all gates for L2 access sessions with UEs are initially configured to be closed so that any incoming IP packets, except for the packets necessary for UE to attach the network (e.g., sending address requests or authentication requests), are dropped. +- 1a. When a UE requests connectivity to the NGN, the access network dynamically creates an L2 session with the UE, and an access authentication procedure is performed between the UE and the NACF based on the subscriber's credential (typically with an explicit authentication method such as IEEE 802.1X and RADIUS/Diameter). The signalling messages for authentication are forwarded by the gateways. +- 1b. During the authentication procedure, the identifier of the L2 session (e.g., VLAN-ID, L2 address of the UE, etc.) assigned to the UE is sent to the NACF. When the authentication succeeds, the NACF stores this L2 session identifier with the authenticated subscriber ID. +- 1c. The NACF notifies the access network that the UE has been successfully authenticated and the access to the network has been authorized (e.g., an ACCESS ACCEPT message in case of RADIUS protocol). + +- 1d. Upon receiving the notification of successful authentication of the subscriber from the NACF, the access network establishes a security association (SA) with the UE to protect the integrity and confidentiality of the L2 session. Typically, these are achieved by the session-keys derivation mechanisms defined in IEEE 802.1X and the protection procedure defined for each L2 technology (e.g., TKIP/CCMP defined in IEEE 802.11i for 802.11 Wireless-LAN). + +The security mechanisms described above protect the L2 session from being used by other subscribers and provide necessary grounds for the prevention of IP-address spoofing. + +2. The UE requests allocation of an IP address. This is typically performed by sending DHCP Discover and Request, and these messages are relayed to the NACF by the gateways. +3. The NACF identifies the subscriber ID of the UE based on the identifier of the L2 session, which the request is sent through. Then, the NACF allocates an IP address to the requesting UE and stores the mapping between the subscriber ID and the allocated IP address. + +This mapping information may be pushed from the NACF to the SCF and stored (cached) in the SCF. In that case, the 8th step below can be skipped. + +4. The NACF notifies the RACF that the subscriber has been connected. This notification includes the subscriber ID, the L2 session ID (physical/logical), the allocated IP address, and QoS profiles. +5. The RACF makes a policy decision on network resource allocation to the subscriber and orders the gateways to open the gate for the L2 session with packet-filtering rules, which are defined to accept and forward incoming IP packets whose source address is the IP address assigned to the subscriber, and to drop other incoming packets. + +The enforcement of source IP address filtering coordinated with access authentication by the NACF, which is described above, ensures that an IP address can be used only by the subscriber to whom the address is assigned. + +Steps 6-10 are identical to those explained in the previous example described in clause I.1. + +## Appendix II + +## **Emergency telecommunications service (ETS) interconnection security** + +*(This appendix does not form an integral part of this Recommendation)* + +### **II.1 Background** + +Emergency telecommunications service (ETS) is a national service, providing priority services to authorized ETS users in times of disaster and emergencies. ETS implementation is a national matter. However, disasters/emergencies can transcend geographic boundaries, and thus there is a potential that countries/administrations may enter into bilateral and/or multilateral agreements to link their respective ETS systems. This would allow priority telecommunications services (e.g., voice, messaging, video and data) under the umbrella of ETS to be supported between different national networks with bilateral and/or multilateral agreements in times of disaster and emergencies. Assurance and availability of ETS communications will depend on the security capabilities and measures enforced in each national network involved in an end-to-end communication. + +### **II.2 Scope/purpose** + +This appendix provides guidance to allow support of network-provided security for ETS communications across different national network (i.e., countries/administrations) implementations of ETS. + +The end-user peer-to-peer security function using special end-user equipment security functions is not included in the scope of this appendix. The scope of this appendix is limited to network-provided security for ETS communications across multiple networks on a hop-by-hop basis. However, the NGN is recommended to be capable of transparently supporting such peer-to-peer functions. + +This appendix is not intended to impose conditions on national implementations of ETS. Its primary purpose is to allow network-provided security for ETS communications (i.e., priority voice, video, data, and messaging communications) across different national networks (i.e., countries/administrations). + +### **II.3 Security objectives and guidelines for interconnection of ETS** + +Refer to Appendix I of [ITU-T Y.2701] for information on security objectives and guidelines for interconnection of ETS. + +### **II.4 Authentication and authorization** + +It is recommended that national networks support and implement mechanisms and capabilities to authenticate and authorize the ETS user, device, or user and device combination based on the assurance level needed for access to specific service (e.g., voice, data, video) and applicable policy. + +It is recommended that the security mechanisms described in the body on this Recommendation for identification and authentication of users and user devices be utilized as appropriate to support ETS implementations in national networks: + +- IPsec/TLS associations. +- SIP Challenge/Response and X.509 certificates. +- Generic bootstrapping architecture. + +In addition, it is recommended that security measures monitoring access to ETS resources be implemented to detect and prevent denial of services type of attacks. + +Also, refer to Appendix I of [ITU-T Y.2702] for information on example ETS authentication and authorization approaches. + +### **II.5 Transport security for signalling and OAMP** + +It is recommended that the security mechanisms, IPsec and TLS, as described in the body of this Recommendation, be utilized as appropriate to protect ETS signalling and OAMP traffic in national networks. + +### **II.6 Media traffic** + +It is recommended that the security mechanisms to identify and protect media traffic, as described in the body of this Recommendation, be utilized as appropriate to protect ETS media traffic in national networks. + +### **II.7 Support of calling number ID and calling name ID restriction features** + +Calling Number ID and Calling Name ID are two legacy PSTN features that permit users to know who is calling. ETS calls may serve different national communities of users with different sensitivities to the disclosure of such information to the called party. Therefore, it is recommended that appropriate mechanisms be supported to enforce the policy regarding the display or the disclosure of ETS user information. + +### **II.8 Non-traceability** + +For certain ETS communications, it is important that location information associated with the calling party and called party be unavailable to all parties to the maximum extent feasible. In particular, any location-related information is recommended to be suppressed or, if necessary, have un-meaningful information substituted as appropriate based on applicable policy. Location-related information includes, but may not be limited to: + +- 1) Calling and called party NPA-NXX or URI. +- 2) Calling and called party geographic address. +- 3) Calling and called party x-y coordinates. +- 4) Calling and called party cell information of possible use in narrowing location down to a cell. +- 5) Calling and called party IP address. +- 6) Calling and called party end office or other facility information enabling geographic proximity of the calling party to be determined. + +### **II.9 End-to-end peer-to-peer encryption** + +Selected users may require User Equipment (UE) encrypted ETS calls/sessions. For these calls/sessions, normal ETS call/session establishment procedures would apply and the end-to-end encryption process is provided by the UE for the bearer information (e.g., voice) to the terminating UE. This encryption process is transparent to the NGN. However, the NGN is recommended to be capable of transparently supporting such peer-to-peer functions. + +## **Appendix III** + +## **Security best practices** + +(This appendix does not form an integral part of this Recommendation) + +### **III.1 Introduction** + +To meet the requirements specified in [ITU-T Y.2701], additional security mechanisms beyond those specified in this Recommendation may be needed. Best practice security mechanisms such as the use of firewalls, operating system hardening, vulnerability scanning, and intrusion detection systems (IDS) may be employed to secure the NGN infrastructure. Refer to [b-NIST SP 800-94] for guidance on intrusion detection and prevention systems (IDPS) and [b-NIST SP 800-83] for guidance on malware incident prevention and handling. + +This appendix provides a summary of some example best practice security mechanisms that should be employed. + +### **III.2 Firewalls** + +Firewalls are fundamental security building blocks that provide network isolation at boundaries between network segments or between different networks. Firewalls perform isolation based on specific traffic filtering rules configured onto the firewalls. Firewalls may be used in conjunction with other security mechanisms to provide an additional layer of security. The addition of firewalls helps provide "defense in depth" security whereby multiple security mechanisms are overlaid to achieve stronger security. + +A firewall examines both inbound and outbound traffic, and should be configured to deny all traffic unless specifically allowed by the firewall rules. A firewall may also provide logging of traffic and trigger alarms when unauthorized packets are detected. Firewalls can physically be provided as separate appliances or may be provided as software on the host machines themselves. Types of firewalls include static packet filtering, application layer, and state-aware packet filtering firewalls, and the choice will depend on particular customer needs and preferences. + +Static packet filtering firewalls examine incoming and outgoing packets and apply a set of rules to determine whether packets will be allowed to transit the firewall or be dropped. This determination is typically based on the packet source and destination IP addresses, the protocol type, and the TCP source and destination ports. Depending on the packet and the criteria, the firewall will drop or forward the packet, and possibly create a log entry and/or raise an alarm. Some static packet filtering firewalls may also provide deeper inspection of packets, possibly up to the application layer. + +Application layer firewalls run applications on behalf of the machines in the network they are protecting, and are often called "proxy" firewalls. When performing the applications, application layer firewalls will detect any anomalous activity and, if any is found, will not pass the data on to the machines they are protecting. Application layer firewalls must be enabled with all necessary application and must run these applications on behalf of all protected machines. Because of this, application layer firewalls have a high impact on network performance. + +State-aware firewalls perform packet filtering functions similar to static packet filtering firewalls, and, in addition, maintain information about the state of traffic connections. The state information allows the firewall to make better decisions about whether to allow or deny particular traffic. For example, a state-aware firewall may be configured to only allow traffic from machines on one side of the network to initiate communications. This is particularly useful where private networks are connected to public networks. + +When using firewalls as an additional signalling and control plane security the firewalls should be configured to allow only desired signalling and control communication between a set of machines. Any other traffic on the network other than the desired communications should be denied, thereby providing a layer of protection for these machines. + +Note that providing firewalls may have system engineering and product impacts, and some applications may have to be made firewall aware. Also note that firewalls will not protect against all security attacks such as an attacker spoofing legitimate signalling packet information. + +### **III.3 Operating system hardening** + +Servers and network elements used for signalling and control plane functions are vulnerable to any number of attacks, including the following: + +- Backdoor programs. +- Sniffing programs. +- Password grabber and cracking tools. +- Exploitation of defects in operating system services. +- Denial of service (DoS). + +Some of these attacks are based on well-publicized techniques, with scripts and other tools available to make it possible for less knowledgeable crackers to apply exploits against systems. Once a system has been compromised, an intruder can do a number of things, among which are: + +- Modify or destroy information. +- Disclose sensitive information. +- Install malicious code to gather information. +- Use the compromised server to attack other systems. + +Operating system hardening procedures may be used to improve the resistance of operating systems to attacks. Operating system hardening procedures are essentially sound practices that are followed during the installation and configuration of an operating system. While no system is absolutely secure, following operating system hardening procedures will result in systems that are harder for crackers to compromise. + +Operating system hardening essentially involves the restriction of services, ports, and access to applications and files. Operating system hardening also involves only running applications from a restricted access privilege account and with only absolutely necessary ports and services running only. Operating system manufacturers should be consulted to obtain the latest OS hardening procedures and security patches. + +### **III.4 Vulnerability assessment** + +The goal of performing a vulnerability assessment on network elements is to discover security vulnerabilities, weaknesses, and areas of risk. Vulnerability testing is designed to try and make systems fail by interrupting services, circumventing devised security controls, capturing confidential data, obtaining unauthorized access to the system, or stealing or denying service. Vulnerability assessment may be included for NGN elements in order to ensure even stronger security. + +Vulnerability assessment for network elements may be conducted at the product verification stage, and then ongoing as part of network maintenance. Including security vulnerability testing at the product verification stage is advantageous since there is already a pre-established procedure to record and submit requests for changes. Ongoing routine vulnerability assessments are useful to identify new threats and vulnerabilities and initiate action to mitigate the issues identified. + +### **III.5 Intrusion detection systems** + +Intrusion detection systems can be used to provide protection against intrusions and unauthorized actions. For example, intrusion detection systems can be used to warn network administrators of the possibility of a security incident such as a SIP server compromise or denial-of-service attack. + +Intrusion detection systems (IDS) can be broadly categorized according to the following criteria: + +- **Real-time or off-line incident detection:** A real-time IDS network traffic logs as events take place. An off-line IDS system analyses intrusions in batch mode after incidents have occurred. +- **Network-based or host-based installation:** A network-based IDS typically involves multiple monitors installed at choke points on the network where all traffic between two points can be monitored. A host-based IDS requires that software be installed directly on the servers to be protected, and monitors the network connections and user activity on those servers. +- **Reactive of passive:** A reactive IDS actively intervenes to head off attacks by modifying firewall rules or router filters or other measures. A passive IDS system only notifies administrators or other network systems of the problem. + +Most commercial IDS products provide a combination of network- and host-based monitoring capabilities, with a central management device to receive the reports from the various monitors and alert the network administrators. + +## Bibliography + +- [b-ITU-T E.107] Recommendation ITU-T E.107 (2007), *Emergency Telecommunications Service (ETS) and interconnection framework for national implementations of ETS*. +- [b-ITU-T M.3016.0] Recommendation ITU-T M.3016.0 (2005), *Security for the management plane: Overview*. +- [b-ITU-T X.690] Recommendation ITU-T X.690 (2008) | ISO/IEC 8825-1:2008, *Information technology – ASN.1 encoding rules: Specification of Basic Encoding Rules (BER), Canonical Encoding Rules (CER) and Distinguished Encoding Rules (DER)*. +- [b-ITU-T X.810] Recommendation ITU-T X.810 (1995) | ISO/IEC 10181-1:1996, *Information technology – Open Systems Interconnection – Security frameworks for open systems: Overview*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2008), *Terms and definitions for Next Generation Networks*. +- [b-3GPP TS 33.102] 3GPP TS 33.102 V7.1.0 (2007), *3G Security: Security Architecture*. +- [b-3GPP TS 33.328] 3GPP TS 33.328, *IP Multimedia System (IMS) media plane security*. +- [b-ETSI TS 133 220] ETSI TS 133 220 V9.2.0 (2010), *Generic Authentication Architecture (GAA); Generic bootstrapping architecture*. +- [b-IETF RFC 1155] IETF RFC 1155 (1990), *Structure and Identification of Management Information for TCP/IP-based Internets*. +- [b-IETF RFC 1212] IETF RFC 1212 (1991), *Concise MIB definitions*. +- [b-IETF RFC 1215] IETF RFC 1215 (1991), *A Convention for Defining Traps for use with the SNMP*. +- [b-IETF RFC 2246] IETF RFC 2246 (1999), *The TLS Protocol Version 1.0*. +- [b-IETF RFC 2367] IETF RFC 2367 (1998), *PF\_KEY Key Management API, Version 2*. +- [b-IETF RFC 2403] IETF RFC 2403 (1998), *The Use of HMAC-MD5-96 within ESP and AH*. +- [b-IETF RFC 2409] IETF RFC 2409 (1998), *The Internet Key Exchange (IKE)*. +- [b-IETF RFC 2451] IETF RFC 2451 (1998), *The ESP CBC-Mode Cipher Algorithms*. +- [b-IETF RFC 2578] IETF RFC 2578 (1999), *Structure of Management Information Version 2 (SMIv2)*. +- [b-IETF RFC 2579] IETF RFC 2579 (1999), *Textual Conventions for SMIv2*. +- [b-IETF RFC 2580] IETF RFC 2580 (1999), *Conformance Statements for SMIv2*. +- [b-IETF RFC 2617] IETF RFC 2617 (1999), *HTTP Authentication: Basic and Digest Access Authentication*. +- [b-IETF RFC 2808] IETF RFC 2808 (2000), *The SecurID® SASL Mechanism*. +- [b-IETF RFC 2865] IETF RFC 2865 (2000), *Remote Authentication Dial In User Service (RADIUS)*. +- [b-IETF RFC 3261] IETF RFC 3261 (2002), *SIP: Session Initiation Protocol*. + +| | | +|-------------------|-----------------------------------------------------------------------------------------------------------------------------------------| +| [b-IETF RFC 3310] | IETF RFC 3310 (2002), Hypertext Transfer Protocol (HTTP) Digest Authentication Using Authentication and Key Agreement (AKA) . | +| [b-IETF RFC 3410] | IETF RFC 3410 (2002), Introduction and Applicability Statements for Internet Standard Management Framework . | +| [b-IETF RFC 3411] | IETF RFC 3411 (2002), An Architecture for Describing Simple Network Management Protocol (SNMP) Management Frameworks . | +| [b-IETF RFC 3413] | IETF RFC 3413 (2002), Simple Network Management Protocol (SNMP) Applications . | +| [b-IETF RFC 3414] | IETF RFC 3414 (2002), User-based Security Model (USM) for version 3 of the Simple Network Management Protocol (SNMPv3) . | +| [b-IETF RFC 3415] | IETF RFC 3415 (2002), View-based Access Control Model (VACM) for the Simple Network Management Protocol (SNMP) . | +| [b-IETF RFC 3416] | IETF RFC 3416 (2002), Version 2 of the Protocol Operations for the Simple Network Management Protocol (SNMP) . | +| [b-IETF RFC 3417] | IETF RFC 3417 (2002), Transport Mappings for the Simple Network Management Protocol (SNMP) . | +| [b-IETF RFC 3550] | IETF RFC 3550 (2003), RTP: A Transport Protocol for Real-Time Applications . | +| [b-IETF RFC 3588] | IETF RFC 3588 (2003), Diameter Base Protocol . | +| [b-IETF RFC 3602] | IETF RFC 3602 (2003), The AES-CBC Cipher Algorithm and Its Use with IPsec . | +| [b-IETF RFC 3711] | IETF RFC 3711 (2004), The Secure Real-time Transport Protocol (SRTP) . | +| [b-IETF RFC 3713] | IETF RFC 3713 (2004), A Description of the Camellia Encryption Algorithm . | +| [b-IETF RFC 3830] | IETF RFC 3830 (2004), MIKEY: Multimedia Internet KEYing . | +| [b-IETF RFC 4132] | IETF RFC 4132 (2005), Addition of Camellia Cipher Suites to Transport Layer Security (TLS) . | +| [b-IETF RFC 4279] | IETF RFC 4279 (2005), Pre-Shared Key Ciphersuites for Transport Layer Security (TLS) . | +| [b-IETF RFC 4301] | IETF RFC 4301 (2005), Security Architecture for the Internet Protocol . | +| [b-IETF RFC 4306] | IETF RFC 4306 (2005), Internet Key Exchange (IKEv2) Protocol . | +| [b-IETF RFC 4312] | IETF RFC 4312 (2005), The Camellia Cipher Algorithm and Its Use with IPsec . | +| [b-IETF RFC 4422] | IETF RFC 4422 (2006), Simple Authentication and Security Layer (SASL) . | +| [b-IETF RFC 4492] | IETF RFC 4492 (2006), Elliptic Curve Cryptography (ECC) Cipher Suites for Transport Layer Security (TLS) . | +| [b-IETF RFC 4566] | IETF RFC 4566 (2006), SDP: Session Description Protocol . | +| [b-IETF RFC 4567] | IETF RFC 4567 (2006), Key Management Extensions for Session Description Protocol (SDP) and Real Time Streaming Protocol (RTSP) . | + +- [b-IETF RFC 4568] IETF RFC 4568 (2006), *Session Description Protocol (SDP) Security Descriptions for Media Streams*. +- [b-IETF RFC 4590] IETF RFC 4590 (2006), *RADIUS Extension for Digest Authentication*. +- [b-IETF RFC 4648] IETF RFC 4648 (2006), *The Base16, Base32, and Base64 Data Encodings*. +- [b-IETF RFC 4740] IETF RFC 4740 (2006), *Diameter Session Initiation Protocol (SIP) Application*. +- [b-IETF RFC 4835] IETF RFC 4835 (2007), *Cryptographic Algorithm Implementation Requirements for Encapsulating Security Payload (ESP) and Authentication Header (AH)*. +- [b-IETF RFC 5077] IETF RFC 5077 (2008), *Transport Layer Security (TLS) Session Resumption without Server-Side State*. +- [b-IETF RFC 5090] IETF RFC 5090 (2008), *Radius Extension for Digest Authentication*. +- [b-IETF RFC 5246] IETF RFC 5246 (2008), *The Transport Layer Security (TLS) Protocol Version 1.2*. +- [b-IETF RFC 5282] IETF RFC 5282 (2008), *Using Authenticated Encryption Algorithms with the Encrypted Payload of the Internet Key Exchange version 2 (IKEv2) Protocol*. +- [b-IETF RFC 5424] IETF RFC 5424 (2009), *The Syslog Protocol*. +- [b-ISO/IEC 15946-1] ISO/IEC 15946-1:2008, *Information technology – Security techniques – Cryptographic techniques based on elliptic curves – Part 1: General*. +- [b-ISO/IEC 15946-2] ISO/IEC 15946-2:2002, *Information technology – Security techniques – Cryptographic techniques based on elliptic curves – Part 2: Digital signatures*. +- [b-ISO/IEC 15946-3] ISO/IEC 15946-3:2002, *Information technology – Security techniques – Cryptographic techniques based on elliptic curves – Part 3: Key establishment*. +- [b-ISO/IEC 15946-4] ISO/IEC 15946-4:2004, *Information technology – Security techniques – Cryptographic techniques based on elliptic curves – Part 4: Digital signatures giving message recovery*. +- [b-ISO/IEC 15946-5] ISO/IEC 15946-5:2008, *Information technology – Security techniques – Cryptographic techniques based on elliptic curves – Part 5: Elliptic curve generation*. +- [b-ISO/IEC 18033-3] ISO/IEC 18033-3:2005, *Information technology – Security techniques – Encryption algorithms – Part 3: Block ciphers*. +- [b-NIST FIPS 197] NIST Federal Information Processing Standards (FIPS) 197 (2001): *Advanced Encryption Standard*. +- [b-NIST FIPS 198-1] NIST Federal Information Processing Standards (FIPS) 198-1 (2008), *The Keyed-Hash Message Authentication Code (HMAC)*. +- [b-NIST FIPS SP 800-38a] NIST Federal Information Processing Standards (FIPS), *Special Publication 800-38: Recommendation for Block Cipher Modes of Operations. Methods and Techniques, December 2001*. + +- [b-NIST SP 800-44 v2] NIST Special Publication 800-44 Version 2, *Guidelines on Securing Public Web Servers*. +- [b-NIST SP 800-57] NIST Special Publication 800-57, *Recommendation on Key Management – Part 1: General (Revised)*. +- [b-NIST SP 800-83] NIST Special Publication 800-83 (2005), *Guide to Malware Incident Prevention and Handling*. +- [b-NIST SP 800-94] NIST Special Publication 800-94, *Guide to Intrusion Detection and Prevention Systems (IDPS)*. +- [b-TIA 683-D] TIA Standard TIA-683-D (2006), *Over the Air Service Provisioning of Mobile Stations in Spread Spectrum Systems*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2723-201311-I_PDF-E/84a1d09fb489061482111515543b60dc_img.jpg b/marked/Y/T-REC-Y.2723-201311-I_PDF-E/84a1d09fb489061482111515543b60dc_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..83de44cfa91ff96cd6d044185230bbdca1aff85e --- /dev/null +++ b/marked/Y/T-REC-Y.2723-201311-I_PDF-E/84a1d09fb489061482111515543b60dc_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:92c3c68bcdb95caa413d3d9a4747655489556a99ef57b3def4ad289d99ef7337 +size 6615 diff --git a/marked/Y/T-REC-Y.2724-201311-I_PDF-E/raw.md b/marked/Y/T-REC-Y.2724-201311-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..bd2ef62b90574af4a444ba9dc888d94f2892d922 --- /dev/null +++ b/marked/Y/T-REC-Y.2724-201311-I_PDF-E/raw.md @@ -0,0 +1,515 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.2724 + +(11/2013) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Security + +# --- **Framework for supporting OAuth and OpenID in next generation networks** + +Recommendation ITU-T Y.2724 + +![ITU logo](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, with "International Telecommunication Union" in smaller blue text below it. + +ITU logo + +## ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# **Recommendation ITU-T Y.2724** + +# **Framework for supporting OAuth and OpenID in next generation networks** + +## **Summary** + +Recommendation ITU-T Y.2724 describes a framework for the support and use of the IETF open authorization protocol (OAuth) and the OpenID protocol in the context of next generation networks (NGNs). Both protocols have been defined for general use on the worldwide web. + +The heightened security and identity management requirements of NGNs require careful restriction of the above protocols. This Recommendation explains the applicability of these protocols to NGNs and provides high-level guidelines for their use. + +The companion Recommendation ITU-T Y.2723, "Support for OAuth in next generation networks" provides a detailed set of NGN profiles. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2724 | 2013-11-15 | 13 | + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2013 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Framework for supporting OAuth and OpenID in NGN..... | 3 | +| 6.1 Reference model..... | 4 | +| 6.2 OAuth and OpenID flows..... | 4 | +| Appendix I – Selected use cases ..... | 9 | +| I.1 Use case: web server ..... | 9 | +| I.2 Use case: client credentials..... | 10 | +| I.3 Use case: assertion..... | 11 | +| Bibliography..... | 12 | + + + +# Recommendation ITU-T Y.2724 + +# Framework for supporting OAuth and OpenID in next generation networks + +# 1 Scope + +This Recommendation describes a framework for the support and use of OAuth and OpenID by next generation networks (NGNs). The scope of this Recommendation includes: + +- functional framework for NGN support of OAuth and OpenID +- requirements for NGN support of OAuth and OpenID +- OAuth and OpenID use cases (documented in Appendix I). + +NOTE – Implementers and operators of the described technology shall comply with all applicable national and regional laws, regulations and policies. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [ITU-T Y.2720] Recommendation ITU-T Y.2720 (2009), *NGN identity management framework*. +- [ITU-T Y.2722] Recommendation ITU-T Y.2722 (2011), *NGN identity management mechanisms*. +- [IETF RFC 6749] IETF RFC 6749 (2012), *The OAuth 2.0 Authorization Framework*. +<> + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 access token** [IETF RFC 6749]: Access tokens are credentials used to access protected resources. An access token is a string representing an authorization issued to the client. The string is usually opaque to the client. Tokens represent specific scopes and durations of access, granted by the resource owner, and enforced by the resource server and authorization server. + +**3.1.2 (entity) authentication** [b-ITU-T X.1252]: A process used to achieve sufficient confidence in the binding between the entity and the presented identity. + +NOTE – Use of the term authentication in an identity management (IdM) context is taken to mean entity authentication. + +**3.1.3 authorization** [b-ITU-T X.800]: The granting of rights, which includes the granting of access based on access rights + +**3.1.4 authorization server** [IETF RFC 6749]: The server issuing access tokens to the client after successfully authenticating the resource owner and obtaining authorization. + +**3.1.5 client** [IETF RFC 6749]: An application making protected resource requests on behalf of the resource owner and with its authorization. The term "client" does not imply any particular implementation characteristics (e.g., whether the application executes on a server, a desktop, or other devices). + +**3.1.6 entity** [b-ITU-T X.1252]: Something that has a separate and distinct existence and that can be identified in context. + +NOTE – An entity can be a physical person, an animal, a juridical person, an organization, an active or passive thing, a device, a software application, a service, etc., or a group of these entities. In the context of telecommunications, examples of entities include access points, subscribers, users, network elements, networks, software applications, services and devices, interfaces, etc. + +**3.1.7 identifier** [b-ITU-T X.1252]: One or more attributes used to identify an entity within a context. + +NOTE – In the context of NGN as defined in [b-ITU-T Y.2091], an identifier is a series of digits, characters and symbols or any other form of data used to identify subscriber(s), user(s), network element(s), function(s), network entity(ies) providing services/applications, or other entities (e.g., physical or logical objects). + +**3.1.8 identity provider (IdP)** [b-ITU-T X.1252]: See identity service provider (IdSP) + +**3.1.9 identity service provider (IdSP)** [b-ITU-T X.1252]: An entity that verifies, maintains, manages, and may create and assign identity information of other entities. + +**3.1.10 refresh token** [IETF RFC 6749]: Refresh tokens are issued to the client by the authorization server and are used to obtain a new access token when the current access token becomes invalid or expires, or to obtain additional access tokens with identical or narrower scope (access tokens may have a shorter lifetime and fewer permissions than authorized by the resource owner). Issuing a refresh token is optional at the discretion of the authorization server. If the authorization server issues a refresh token, it is included when issuing an access token. + +**3.1.11 resource owner** [IETF RFC 6749]: An entity capable of granting access to a protected resource. When the resource owner is a person, they are referred to as an end-user. + +**3.1.12 resource server** [IETF RFC 6749]: The server hosting the protected resources, capable of accepting and responding to protected resource requests using access tokens. + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|------------------------------------| +| AKA | Authentication and Key Agreement | +| ANI | Application-to-Network Interface | +| FE | Functional Entity | +| GBA | Generic Bootstrapping Architecture | +| IdM | Identity Management | +| IdP | Identity Provider | +| IdSP | Identity Service Provider | +| IMPI | IP Multimedia Private Identity | + +| | | +|------|------------------------------------------| +| IMSI | International Mobile Subscriber Identity | +| NGN | Next Generation Network | +| SAML | Security Assertion Markup Language | +| SNI | Service Network Interface | +| UNI | User Network Interface | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +In the body of this Recommendation and its annexes, the words shall, shall not, should and may sometimes appear, in which case they are to be interpreted respectively as, is required to, is prohibited from, is recommended, and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative are to be interpreted as having no normative intent. + +# 6 Framework for supporting OAuth and OpenID in NGN + +As described in [ITU-T Y.2720], the NGN network consists of multiple functional elements that use identifiers of entities to perform their functions in order to support and facilitate open authentication services to other providers. Such arrangements could be supported using OpenID and OAuth as shown in Figure 1. The use of OpenID and OAuth in NGNs is depicted in Figure 1. + +According to the OpenID specification [b-OpenID v.2], the OpenID IdP server participates in the whole authentication workflow, and the OAuth allows the relying party to send the authentication message directly to the NGN-IdP through the OAuth protocol. + +![Figure 1: The OpenID and OAuth flows for NGN. This diagram illustrates the interaction between various components in a Next-Generation Network (NGN). At the top, an 'Application (Relying party)' is connected to 'NGN Provider A' and 'NGN Provider B' via 'ANY' interfaces. A '3rd party provider' (acting as an IdP) is also connected to both NGN providers. The NGN providers are shown as large blue blocks containing 'Service stratum' (with 'Service control functions') and 'Transport stratum' (with routers). A central 'Transit' block connects the two NGN providers. At the bottom, 'Users' and 'Devices' are connected to the NGN providers via 'Access' and 'UNI' interfaces. The diagram shows two types of flows: 'OpenID workflow' (indicated by orange dashed arrows) and 'OAuth workflow' (indicated by blue dashed arrows). The OpenID workflow involves the Application, the 3rd party provider, and the NGN providers. The OAuth workflow involves the Application, the NGN providers, and the Users/Devices. A legend at the bottom left identifies the flow types: OpenID workflow (orange dashed arrow) and OAuth workflow (blue dashed arrow).](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 1: The OpenID and OAuth flows for NGN. This diagram illustrates the interaction between various components in a Next-Generation Network (NGN). At the top, an 'Application (Relying party)' is connected to 'NGN Provider A' and 'NGN Provider B' via 'ANY' interfaces. A '3rd party provider' (acting as an IdP) is also connected to both NGN providers. The NGN providers are shown as large blue blocks containing 'Service stratum' (with 'Service control functions') and 'Transport stratum' (with routers). A central 'Transit' block connects the two NGN providers. At the bottom, 'Users' and 'Devices' are connected to the NGN providers via 'Access' and 'UNI' interfaces. The diagram shows two types of flows: 'OpenID workflow' (indicated by orange dashed arrows) and 'OAuth workflow' (indicated by blue dashed arrows). The OpenID workflow involves the Application, the 3rd party provider, and the NGN providers. The OAuth workflow involves the Application, the NGN providers, and the Users/Devices. A legend at the bottom left identifies the flow types: OpenID workflow (orange dashed arrow) and OAuth workflow (blue dashed arrow). + +**Figure 1 – The OpenID and OAuth flows for NGN** + +### 6.1 Reference model + +Figure 1 provides a general overview of OAuth and OpenID frameworks. + +Figure 2 depicts a reference model for NGN to provide OAuth authorization and OpenID authentication services. NGN providers may use OpenID and OAuth to offer IdSP services and partner with content and application providers and/or other service providers. + +![Figure 2: Reference model. This diagram shows the reference model for NGN. At the top, a box contains 'OpenID IdP' and 'Web services and application providers'. Below this, a box labeled 'NGN (IdSP) [OAuth authorization and OpenID authentication services]' is connected to the top box via an 'ANI' interface. To the left, 'End users' (represented by a phone, laptop, and tablet) are connected to the NGN (IdSP) box via a 'UNI' interface. To the right, the NGN (IdSP) box is connected to 'Other NGS and IdSPs' (represented by a cloud) via an 'NNI and SNI' interface. A legend at the bottom left identifies the flow types: OpenID workflow (orange dashed arrow) and OAuth workflow (blue dashed arrow).](b8661c6c54f72ecc7ff6cb05e47b2891_img.jpg) + +Figure 2: Reference model. This diagram shows the reference model for NGN. At the top, a box contains 'OpenID IdP' and 'Web services and application providers'. Below this, a box labeled 'NGN (IdSP) [OAuth authorization and OpenID authentication services]' is connected to the top box via an 'ANI' interface. To the left, 'End users' (represented by a phone, laptop, and tablet) are connected to the NGN (IdSP) box via a 'UNI' interface. To the right, the NGN (IdSP) box is connected to 'Other NGS and IdSPs' (represented by a cloud) via an 'NNI and SNI' interface. A legend at the bottom left identifies the flow types: OpenID workflow (orange dashed arrow) and OAuth workflow (blue dashed arrow). + +**Figure 2 – Reference model** + +### 6.2 OAuth and OpenID flows + +This clause provides the general description of the message flows for OAuth and OpenID in NGN. + +#### 6.2.1 Entities involved in information flows + +This clause identifies the entities (including the functional entities of [ITU-T Y.2012]) that participate in the OAuth and OpenID information flows. + +#### 6.2.2 Entities that are common to the OAuth and OpenID flows + +The entities involved in both the OAuth and OpenID flows are as follows: + +- end-user function with the capability of a web client (e.g., browser); +- A-2: application gateway functional entity (APL-GW-FE) [ITU-T Y.2012]. This functional entity should be capable of supporting OAuth and/or OpenID protocols. + +As defined in [ITU-T Y.2012], the "APL-GW-FE is the interworking entity between various functions of NGN and all external application servers and service enablers". That makes A-2 a logical choice for providing support for OpenID and OAuth. Additionally, because of its connection with S-5 – service user profile functional entity (SUP-FE) [ITU-T Y.2012], A-2 is capable of supporting AKA-based authentication, including generic bootstrapping architecture (GBA), of the user devices. A method of OpenID authentication based on GBA is specified in [b-3GPP TS 33.220]. Another method for OpenID authentication based on AKA, similar to GBA in some aspects, is described in clause 6.2.8 of [ITU-T Y.2722]. If the OAuth authorization server and OpenID IdP [ITU-T Y.2722] are both implemented on A-2, they can use AKA-based authentication, through the interaction with S-5. + +#### 6.2.3 Entities that are specific to the OAuth flow + +The OAuth-specific entities are the following: + +- A web application server that performs a service for a user – an OAuth client. A client may, but not have to, run on an NGN entity. +- An authorization server implemented as part of A-2. + +An authorization server first performs user authentication and then performs authorization of the client request. If both procedures succeed, the OAuth exchange results in the issuing of an access token to the client by the authorization server. In order to support AKA-based authentication, the authorization server shall be able to interact with S-5. + +- Resource server + +The resource server serves the client's request when it is accompanied by a valid access token. Two types of procedures for getting access to a resource with the use of access tokens are specified; bearer tokens are specified in [b-IETF RFC 6750] and IETF is currently working on the specification for MAC tokens. The resource server may or may not be collocated with the authorization server in A-2. + +The high level of OAuth information flows for a web-server use case (described in Appendix I) are depicted by Figure 3 below, with a description underneath. + +![Sequence diagram showing the OAuth flow for a web-server use case. The diagram involves five participants: Resource owner, User agent, Client (Web server), A-2 (Authorization server), and Resource server. The flow consists of 14 numbered steps: 1. Enter URL, request service; 2. Request service; 3. Request authentication and authorization, redirect user agent to authorization server; 4. Follow redirection; 5. Present authentication and authorization interface; 6. Present authentication and authorization interface; 7. Present credentials and authorize (or deny); 8. Submit user credentials and authorization decision; 9. Redirect user agent with authorization code back to client; 10. Follow redirection and deliver authorization code; 11. Present authorization code; 12. Receive access token and optional refresh tokens; 13. Request resource with access token; 14. Get resource.](d4af765160d04ecef538e5066006dc77_img.jpg) + +``` + +sequenceDiagram + participant RO as Resource owner + participant UA as User agent + participant CS as Client (Web server) + participant AS as A-2 (Authorization server) + participant RS as Resource server + + Note over RO, UA: End-user function + RO->>UA: 1. Enter URL, request service + UA->>CS: 2. Request service + CS->>UA: 3. Request authentication and authorization, redirect user agent to authorization server + UA->>AS: 4. Follow redirection + AS->>UA: 5. Present authentication and authorization interface + UA->>RO: 6. Present authentication and authorization interface + RO->>UA: 7. Present credentials and authorize (or deny) + UA->>AS: 8. Submit user credentials and authorization decision + AS->>UA: 9. Redirect user agent with authorization code back to client + UA->>CS: 10. Follow redirection and deliver authorization code + CS->>AS: 11. Present authorization code + AS->>CS: 12. Receive access token and optional refresh tokens + CS->>RS: 13. Request resource with access token + CS->>RS: 14. Get resource + +``` + +Y.2724(13)\_F03 + +Sequence diagram showing the OAuth flow for a web-server use case. The diagram involves five participants: Resource owner, User agent, Client (Web server), A-2 (Authorization server), and Resource server. The flow consists of 14 numbered steps: 1. Enter URL, request service; 2. Request service; 3. Request authentication and authorization, redirect user agent to authorization server; 4. Follow redirection; 5. Present authentication and authorization interface; 6. Present authentication and authorization interface; 7. Present credentials and authorize (or deny); 8. Submit user credentials and authorization decision; 9. Redirect user agent with authorization code back to client; 10. Follow redirection and deliver authorization code; 11. Present authorization code; 12. Receive access token and optional refresh tokens; 13. Request resource with access token; 14. Get resource. + +**Figure 3 – OAuth flow for a web-server use case** + +1. The user directs the user agent (e.g., browser) to request a service from the client. +2. The user agent submits a request to the client. +3. The client forms a response and redirects the user agent to the authorization server for user authentication and authorization of the client's request. +4. The user agent follows the redirection. +5. The authorization server responds by providing the authentication and authorization interface to the user agent. +6. The user agent displays the authentication and authorization interface to the user (resource owner). +7. The user provides authentication credentials and indicates the authorization decision through the user agent. +8. The user agent sends the user-provided data to the authorization server. +9. The authorization server, after authenticating the user and ensuring that the user has authorized the client's request, redirects the user agent back to the client. The response includes the authorization code. +10. The user agent, following the redirection, delivers the authorization code to the client. +11. The client sends the authorization code to the authorization server. +12. The authorization server responds with an access token with the optional refresh tokens. + +13. The client sends a request to the resource server and presents an access token. +14. The resource server provides the requested resource. + +#### 6.2.4 Entities that are specific to the OpenID flow + +The OpenID-specific entities are the following: + +- An application server that relies on authentication performed by the OpenID IdP. +- An OpenID IdP implemented as a part of A-2. In order to support AKA-based authentication, this entity shall be able to interact with S-5. +- An S-5 which is involved in OpenID authentication if the NGN performs the AKA-based authentication of the end-user function as specified in [ITU-T Y.2722]. + +The OpenID information flows are depicted by Figure 4 and described underneath. The text and figure describe the OpenID procedure for the case when the IdP and the application server have established a shared secret. The secret is used for signing a message with the authentication result by the IdP and for verifying it by the application server. + +![Sequence diagram of the OpenID flow showing interactions between End-user function, A-2 (OpenID IdP), Application server (Relying party), and S-5.](410562339ce067fdc6fa41940c118658_img.jpg) + +``` + +sequenceDiagram + participant End-user as End-user function + participant A2 as A-2 (OpenID IdP) + participant AppServer as Application server (Relying party) + participant S5 as S-5 + + End-user->>AppServer: 1. Request service, provide OpenID identifier + AppServer->>End-user: 2. Redirect user's browser to IdP for authentication + End-user->>A2: 3. Follow the redirection + A2->>End-user: 4. Authenticate user + A2-->>S5: Get authentication vector and user profile (for example based on IMSI or IMPI) + S5-->>A2: + A2->>End-user: 5. Return signed authentication result and redirect user agent to application server + End-user->>AppServer: 6. Follow the redirection and deliver the signed authentication result + AppServer->>AppServer: Signature verification with the use of shared secret + AppServer->>End-user: 7. Respond to the user with the authentication result + +``` + +Y.2724(13)\_F04 + +Sequence diagram of the OpenID flow showing interactions between End-user function, A-2 (OpenID IdP), Application server (Relying party), and S-5. + +**Figure 4 – OpenID flow** + +1. The user's browser sends a request for a service to an application server; the request contains the user OpenID identifier. +2. Based on the OpenID identifier, the application server discovers the user's OpenID IdP. Then the application server redirects the user browser for authentication to the OpenID IdP. +3. The browser follows the redirection request. +4. The OpenID IdP authenticates the user by exchanging information via the user browser. +5. If the OpenID IdP performs an AKA-based authentication (e.g., as described in [ITU-T Y.2722]), it needs to interact with S-5. Such interactions are denoted by a dashed arrow. +6. The OpenID IdP redirects the user browser back to the application server with a response containing a signed message with the authentication result. +7. The browser follows the redirection request and delivers the signed message to the application server. + +8. The application server, after validating the signature and checking the authentication result, notifies the user whether the authentication was successful. The signing and validation procedures are specified in [b-OpenID v.2]. + +## Appendix I + +### Selected use cases + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Use case: web server + +##### Description + +Alice accesses an application running on a web server at [www.X-printphotos.example](http://www.X-printphotos.example) and instructs it to print her photographs that are stored on a server [www.X-storephotos.example](http://www.X-storephotos.example). Alice has a subscription with her NGN service provider that runs an OAuth authorization server at [www.X-carrier.example](http://www.X-carrier.example). The application at [www.X-printphotos.example](http://www.X-printphotos.example) receives Alice's authorization for accessing her photographs without learning her authentication credentials with [www.X-storephotos.example](http://www.X-storephotos.example) or [www.X-carrier.example](http://www.X-carrier.example). + +##### Pre-conditions + +- Alice has registered with [www.X-carrier.example](http://www.X-carrier.example) to enable authentication. +- The application at [www.X-printphotos.example](http://www.X-printphotos.example) has established the authentication credentials with the OAuth authorization server at [www.X-carrier.example](http://www.X-carrier.example). +- The application at [www.X-storephotos.example](http://www.X-storephotos.example) is capable of validating the access token issued by the authorization server at [www.X-carrier.example](http://www.X-carrier.example). + +##### Post-conditions + +A successful procedure results in the application [www.X-printphotos.example](http://www.X-printphotos.example) receiving an authorization code from [www.X-carrier.example](http://www.X-carrier.example). The code is bound to the application at [www.X-printphotos.example](http://www.X-printphotos.example) and to the callback URL supplied by the application. The application at [www.X-printphotos.example](http://www.X-printphotos.example) uses the authorization code for obtaining an access token from [www.X-carrier.example](http://www.X-carrier.example). The application at [www.X-carrier.example](http://www.X-carrier.example) issues an access token after authenticating the application at [www.X-printphotos.example](http://www.X-printphotos.example) and validating the authorization code that it has submitted. The application at [www.X-printphotos.example](http://www.X-printphotos.example) uses the access token for getting access to Alice's photographs at [www.X-storephotos.example](http://www.X-storephotos.example). + +NOTE – When an access token expires, the service at [www.X-printphotos.example](http://www.X-printphotos.example) needs to repeat the OAuth procedure for getting Alice's authorization to access her photographs at [www.X-storephotos.example](http://www.X-storephotos.example). Alternatively, if Alice wants to grant the application a long-lasting access to her resources at [www.X-storephotos.example](http://www.X-storephotos.example), the authorization server at [www.X-carrier.example](http://www.X-carrier.example) may issue the long-living tokens. Those tokens can be exchanged for short-living access tokens required to access [www.X-storephotos.example](http://www.X-storephotos.example). + +##### Requirements + +- The server [www.X-printphotos.example](http://www.X-printphotos.example), which hosts an OAuth client, must be capable of issuing the HTTP redirect requests to Alice's user agent – a browser. +- The authorization server at [www.X-carrier.example](http://www.X-carrier.example) must be able to authenticate Alice. The authentication method is not in the OAuth's scope. +- The application at [www.X-carrier.example](http://www.X-carrier.example) must obtain Alice's authorization for the access to her photos by [www.X-printphotos.example](http://www.X-printphotos.example). +- Application at [www.X-carrier.example](http://www.X-carrier.example) may identify to Alice the scope of access that [www.X-printphotos.example](http://www.X-printphotos.example) has requested when asking for Alice's authorization. + +- The authorization server at [www.X-carrier.example](http://www.X-carrier.example) must be able to authenticate the application at [www.X-printphotos.example](http://www.X-printphotos.example) and validate the authorization code before issuing an access token. The application at [www.X-printphotos.example](http://www.X-printphotos.example) must provide a callback URL to the authorization server at [www.X-carrier.example](http://www.X-carrier.example) (NOTE – URL should be pre-registered with [www.X-carrier.example](http://www.X-carrier.example)). +- The authorization server at [www.X-carrier.example](http://www.X-carrier.example) is required to maintain a record that associates the authorization code with the application at [www.X-printphotos.example](http://www.X-printphotos.example) and the callback URL provided by the application. +- The access tokens are the bearer's tokens (they are not associated with a specific application, such as [www.X-printphotos.example](http://www.X-printphotos.example)) and should have a short lifespan. +- The authorization server at [www.X-carrier.example](http://www.X-carrier.example) must invalidate the authorization code after its first use. +- Alice's manual involvement in the OAuth authorization procedure (e.g., entering a URL or a password) should not be required. (Alice's authentication to [www.X-carrier.example](http://www.X-carrier.example) is not in the OAuth's scope). + +### **I.2 Use case: client credentials** + +#### **Description** + +The company Good-X-Pay prepares the employee payrolls for the company Good-X-Work. In order to do this, the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) gets authenticated access to the employees' attendance data stored at [www.Good-X-Work.example](http://www.Good-X-Work.example). Authentication is performed by the authorization server, which is a part of an NGN with the URL [www.X-carrier.example](http://www.X-carrier.example). + +#### **Pre-conditions** + +- The application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) has established through registration an identifier and a shared secret with the authorization server at [www.X-carrier.example](http://www.X-carrier.example). +- The scope of the access by the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) to the data stored at [www.Good-X-Work.example](http://www.Good-X-Work.example) has been defined. + +#### **Post-conditions** + +A successful procedure results in the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) receiving an access token after authenticating to the authorization server at [www.X-carrier.example](http://www.X-carrier.example). The application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) then uses the access token to get access to the attendance data at [www.Good-X-Work.example](http://www.Good-X-Work.example). + +#### **Requirements** + +- Authentication of the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) to the authorization server at [www.X-carrier.example](http://www.X-carrier.example) is required. +- The authentication method must be based on an identifier and a shared secret, which the application running at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) submits to the authorization server at [www.X-carrier.example](http://www.X-carrier.example) in the initial HTTP request. +- Because the procedure results in access to Good-X-Work's sensitive data, Good-X-Work shall establish trust with Good-X-Pay and the authorization server at [www.X-carrier.example](http://www.X-carrier.example). + +### I.3 Use case: assertion + +#### Description + +Company Good-X-Pay prepares the employee payrolls for the company Good-X-Work. In order to do that, the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) gets authenticated access to the employees' attendance data stored at [www.Good-X-Work.example](http://www.Good-X-Work.example). The server [www.Good-X-Work.example](http://www.Good-X-Work.example) grants access to the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) upon receiving an access token issued by the authorization server [www.X-carrier.example](http://www.X-carrier.example). The authorization server [www.X-carrier.example](http://www.X-carrier.example) authenticates the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) through validating an assertion that [www.Good-X-Pay.example](http://www.Good-X-Pay.example) has presented. + +This use case describes an alternative solution to the one described by the use case "client credentials". + +#### Pre-conditions + +- The application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) has obtained an authentication assertion from a party that is trusted by the authorization server [www.X-carrier.example](http://www.X-carrier.example). +- The scope of the access by the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) to the data stored at [www.Good-X-Work.example](http://www.Good-X-Work.example) has been defined. +- The authorization server [www.X-carrier.example](http://www.X-carrier.example) has established a trust relationship with the asserting party and is capable of validating its assertions. + +#### Post-conditions + +A successful procedure results in the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) receiving an access token after authenticating to the authorization server at [www.X-carrier.example](http://www.X-carrier.example) by presenting an assertion (e.g., SAML assertion). It gets access to the employees' attendance data using the access token + +#### Requirements + +- Authentication of the application at [www.Good-X-Pay.example](http://www.Good-X-Pay.example) to the authorization server [www.X-carrier.example](http://www.X-carrier.example) is required. +- The authorization server [www.X-carrier.example](http://www.X-carrier.example) must be capable of validating assertions issued by the asserting party and presented by the application running at [www.Good-X-Pay.example](http://www.Good-X-Pay.example). +- Good-X-Work shall establish trust with Good-X-Pay and the authorization server [www.X-carrier.example](http://www.X-carrier.example). + +## Bibliography + +- [b-ITU-T X.800] Recommendation ITU-T X.800 (1991), *Security architecture for Open Systems Interconnection for CCITT applications*. +- [b-ITU-T X.1252] Recommendation ITU-T X.1252 (2010), *Baseline identity management terms and definitions*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2008), *Terms and definitions for Next Generation Networks*. +- [b-IETF RFC 6750] IETF RFC 6750, *The OAuth 2.0 Authorization Framework: Bearer Token Usage*. +- [b-OpenID v.2] OpenID Authentication 2.0 +< [http://openid.net/specs/openid-authentication-2\\_0.html](http://openid.net/specs/openid-authentication-2_0.html) > +- [b-3GPP TS 33.220] 3GPP TS 33.220 (2013) *Generic Authentication Architecture (GAA); Generic Bootstrapping Architecture, Release 12*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global 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INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Generalized mobility + +# --- **MPLS-based mobility capabilities in NGN** + +Recommendation ITU-T Y.2807 + +![ITU logo](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, followed by "International Telecommunication Union" in a smaller font. + +ITU logo + +## ITU-T Y-SERIES RECOMMENDATIONS GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|----------------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2807** + +# **MPLS-based mobility capabilities in NGN** + +## **Summary** + +Recommendation ITU-T Y.2807 describes MPLS-based mobility capabilities in an NGN environment where the MPLS technology is deployed in the NGN core IP network. The MPLS-based mobility capabilities seek to provide QoS-enabled mobility support in NGN. + +This Recommendation identifies service requirements, functional requirements, functional architecture and mobility scenarios for support of QoS-enabled terminal mobility in NGN using MPLS-based capabilities. + +## **Source** + +Recommendation ITU-T Y.2807 was approved on 23 January 2009 by ITU-T Study Group 13 (2009-2012) under Recommendation ITU-T A.8 procedures. + +## **Keywords** + +Handover, MMCF, MPLS, NGN, QoS, terminal mobility. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure e.g. interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +### INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2009 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## CONTENTS + +| | Page | +|--------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Requirements for MPLS-based mobility capabilities..... | 4 | +| 6.1 Service requirements ..... | 4 | +| 6.2 Functional requirements ..... | 4 | +| 7 Functional architecture for support of MPLS-based mobility capabilities..... | 5 | +| 7.1 Network environment..... | 5 | +| 7.2 Functional architecture ..... | 7 | +| 8 Mobility scenarios using MPLS-based mobility capabilities ..... | 9 | +| 8.1 Case of intra-AN mobility ..... | 9 | +| 8.2 Case of inter-AN mobility ..... | 10 | +| 8.3 Case of inter-CN mobility ..... | 10 | +| 9 Security considerations..... | 10 | +| Appendix I – Functional procedures using MPLS-based mobility capabilities..... | 11 | +| I.1 Location registration..... | 11 | +| I.2 Service registration..... | 11 | +| I.3 Handover ..... | 12 | +| Appendix II – Information flows using MPLS-based mobility capabilities..... | 15 | +| II.1 Location registration..... | 15 | +| II.2 Location update ..... | 17 | +| II.3 Location query/response for user data transmission ..... | 20 | +| Bibliography..... | 24 | + +## **Introduction** + +In NGN, it is expected that a variety of the existing and new wired/wireless access network technologies are supported, such as WLAN, xDSL and 2G/3G mobile technologies, etc. Various services ranging from real-time multimedia services to data transfer services to a fixed or a mobile user are expected to be supported by the NGN, and such services may be provided with different QoS commitment levels, i.e., from best-effort up to more stringent QoS levels. Multiprotocol label switching (MPLS) is a key transport technology in NGN. Deployment of the MPLS technology in the NGN core IP network can provide significant assurance in the delivery of the desired QoS for a variety of services and applications. + +Given the objective of fixed-mobile convergence in NGN, this Recommendation describes the MPLS-based capabilities required to provide QoS-enabled terminal mobility in NGN. This includes the support of terminal mobility across different fixed and mobile networks as well as in different mobility scenarios including intra-access network, inter-access network and inter-core network scenarios. + +## Recommendation ITU-T Y.2807 + +# MPLS-based mobility capabilities in NGN + +# 1 Scope + +The objective of this Recommendation is to describe the MPLS-based capabilities required to provide QoS-enabled terminal mobility in NGN. + +More specifically, this Recommendation identifies service requirements, functional requirements, functional architecture and mobility scenarios for support of QoS-enabled terminal mobility in NGN using MPLS-based capabilities. + +This Recommendation builds on general mobility management functionalities described in [ITU-T Q.1707] for support of the NGN mobility related requirements described in [b-ITU-T Y.2201]. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Q.1706] Recommendation ITU-T Q.1706/Y.2801 (2006), *Mobility management requirements for NGN*. +- [ITU-T Q.1707] Recommendation ITU-T Q.1707/Y.2804 (2008), *Generic framework of mobility management for next generation networks*. +- [ITU-T Y.1541] Recommendation ITU-T Y.1541 (2006), *Network performance objectives for IP-based services*. +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2006), *Functional requirements and architecture of the NGN release 1*. +- [ITU-T Y.2111] Recommendation ITU-T Y.2111 (2006), *Resource and admission control functions in Next Generation Networks*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 access network** [ITU-T Q.1707]: A network that is characterized by a specific wired/wireless access technology. + +**3.1.2 core network** [ITU-T Q.1707]: An architectural term related to the part of an NGN network, which is independent of a specific access technology. + +**3.1.3 handover** [ITU-T Q.1706]: The ability to provide services with some impact on their service level agreements to a moving object during and after movement. + +**3.1.4 mobility** [ITU-T Q.1706]: The ability for the user or other mobile entities to communicate and access services irrespective of changes of the location or technical environment. + +**3.1.5 mobility management** [ITU-T Q.1706]: The set of functions used to provide mobility. These functions include authentication, authorization, location updating, paging, download of user information and more. + +**3.1.6 session** [b-ITU-T Y.2091]: A temporary telecommunications relationship among a group of objects in the service stratum that are assigned to collectively fulfil a task for a period of time. A session has a state that may change during its lifetime. Session-based telecommunications may, but need not be, assisted by intermediaries. Session-based telecommunications can be one-to-one, one-to-many, many-to-one, or many-to-many. + +**3.1.7 terminal mobility** [ITU-T Q.1706]: This is the mobility for those scenarios where the same terminal equipment is moving or is used at different locations. The ability of a terminal to access telecommunication services from different locations and while in motion, and the capability of the network to identify and locate that terminal. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following term: + +**3.2.1 end user** : The actual user of the products or services. + +NOTE – The end user consumes the product or service. Further, an end user may or may not be responsible for concluding contracts for the services subscribed to and for paying for these services (i.e., an end user may or may not be a subscriber). + +**3.2.2 roaming**: This is the ability of the users to access services according their user profile while moving outside of their subscribed home network, i.e., by using an access point of a visited network. This requires the ability of the user to get access in the visited network, the existence of an interface between home network and visited network, as well as a roaming agreement between the respective network operators. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|------------------------------------------------| +| 2G | 2nd Generation | +| 3G | 3rd Generation | +| A-HCF | Access Handover Control Function | +| A-LMF | Access Location Management Function | +| A-MMCF | Access Mobility Management Control Function | +| AN | Access Network | +| A-RACF | Access Resource and Admission Control Function | +| C-HCF | Central Handover Control Function | +| C-LMF | Central Location Management Function | +| C-MMCF | Central Mobility Management Control Function | +| CN | Core Network | +| C-RACF | Core Resource and Admission Control Function | +| CUE | Correspondent User Equipment | +| FTTH | Fibre-To-The Home | +| GMA | Global Mobility Agent | + +| | | +|-----------|-------------------------------------------------------| +| HCF | Handover Control Function | +| HDSF | Handover Decision Sub-Function | +| ID | Identifier | +| IP | Internet Protocol | +| IS | Information Server | +| L2 | Layer 2 | +| LER | Label Edge Router | +| LID | Location Identifier | +| LMA | Local Mobility Agent | +| LMF | Location Management Function | +| LSP | Label Switched Path | +| LSR | Label Switching Router | +| MM | Mobility Management | +| MMCF | Mobility Management Control Function | +| MPLS | Multiprotocol Label Switching | +| MSCS | Mobile Service Control System | +| NACF | Network Attachment Control Function | +| NGN | Next Generation Networks | +| P-CSC-FE | Proxy Call Session Control Functional Entity | +| PoA | Point of Attachment | +| QoS | Quality of Service | +| RACF | Resource and Admission Control Function | +| RAN | Radio Access Network | +| S-CSC-FE | Serving Call Session Control Functional Entity | +| SCF | Service Control Function | +| TCF | Transport Control Function | +| TF | Transport Function | +| UE | User Equipment | +| UID | User Identifier | +| WLAN | Wireless Local Area Network | +| W-LAN/MAN | Wireless Local Area Network/Metropolitan Area Network | +| xDSL | x Digital Subscriber Line | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +The terms "terminal" and "UE" are used interchangeably in this Recommendation. + +# **6 Requirements for MPLS-based mobility capabilities** + +### **6.1 Service requirements** + +This clause identifies the service requirements for the MPLS-based mobility capabilities in NGN. The MPLS-based mobility capabilities are required to: + +- Support terminal mobility [ITU-T Q.1706] in order to allow the UE to maintain its ongoing services while moving around. + +NOTE 1 – Mobility in NGN may impact the QoS delivered to the UE by NGN provisioning, since the various access networks connected to an NGN core may differ with respect to the QoS level they can provide to the UE. Therefore, NGN may be required to support QoS adaptation mechanisms. + +- Support the IP QoS classes and associated performance requirements specified in [ITU-T Y.1541]. + +NOTE 2 – [ITU-T Y.1541] recommends the selection of the specific QoS classes based on the application requirements. + +- Provide the UE with pertinent network-related information, inclusive of, but not limited to, available access networks, related cost and related QoS level, that may enable the selection and utilization of access networks. + +NOTE 3 – It is recommended to achieve this via a request by the UE of information on accessible access networks so that one of the detected networks can be selected as appropriate, e.g., according to UE selection criteria or because of its movement into another access network. + +- Monitor the temporal properties (e.g., available bandwidth, current packet loss rate) of the traffic stream against the agreed upon QoS level. + +The MPLS-based mobility capabilities are recommended to: + +- Provide support of network policies and user preferences for ongoing services. +- In case of QoS level degradation of the UE traffic stream and where possible, trigger UE handover to another access network in order to satisfy as much as possible the agreed upon QoS level. + +### **6.2 Functional requirements** + +This clause identifies the functional requirements for the MPLS-based mobility capabilities in NGN. + +- Interaction with location management + - The MPLS-based mobility capabilities are required to recognize the UE movement and its location by interacting with the location management functions [ITU-T Q.1707]. + - The MPLS-based mobility capabilities are recommended to enable efficient resource allocation by activation of hierarchical location management [ITU-T Q.1707]. + +- Interaction with handover control + - The MPLS-based mobility capabilities are required to interact with the handover control functions in order to minimize the impacts on ongoing services while the UE is moving into other access networks [ITU-T Q.1707]. +- Interaction with service control + - The session information related to required bandwidth, delay constraint and allowed packet loss rate of ongoing services is required to be delivered to the mobility management control functions in order to trigger the establishment of label switched paths (LSPs) as appropriate for handover support. + - The MPLS-based mobility capabilities can optionally cooperate with the NGN service control functions (e.g., P-CSC-FE and S-CSC-FE [ITU-T Y.2012]) to receive the session information of ongoing services. + - The provision of the collected network-related information (see the requirements for network resource control) to the service control functions is recommended to enable downgrading of the QoS level of ongoing services in case of lack of resources. +- Network resource control + - The MPLS-based mobility capabilities are recommended to mediate resource allocation between SCF and RACF [ITU-T Y.2111]. + - In order to support as much as possible the agreed upon QoS level of ongoing services, as well as network providers' policies and user preferences, the MPLS-based mobility capabilities are recommended to collect and maintain the network-related information (network topology and QoS information (e.g., available bandwidth, packet loss rate)) from access networks via RACF. + - The MPLS-based mobility capabilities are recommended to support network resource pre-provisioning in order to allow fast and reliable handovers. + - The MPLS-based mobility capabilities are recommended to support network resource pre-provisioned in order to allow reliable and fast delivery of mobility signalling. + +# **7 Functional architecture for support of MPLS-based mobility capabilities** + +### **7.1 Network environment** + +Figure 7-1 shows an instantiation of network environment with support of MPLS-based mobility capabilities. + +![Figure 7-1 – Network environment with support of MPLS-based mobility capabilities](36ac3e730a00d3f42d3400f5709f641a_img.jpg) + +The diagram illustrates a hierarchical network architecture for MPLS-based mobility. At the top is a 'Mobile Service Control System' connected via control lines to two 'GMA' (Global Mobility Agent) blocks. Below these are five 'LMA' (Local Mobility Agent) blocks. An 'IS' (Information Server) is also present at this level. These components interact with an 'NGN core network based on MPLS' which contains a mesh of 'LSR' (Label Switch Router) and 'LER' (Label Edge Router) nodes. 'RACF' (Resource and Admission Control Function) instances are associated with the LERs. At the bottom, the network connects to various access networks: '2G RAN', '3G RAN', 'W-LAN/MAN', and 'xDSL/FTTH AN'. Legend: Blue dotted line = Control; Green solid line = Media; Black solid line = LSP. + +Figure 7-1 – Network environment with support of MPLS-based mobility capabilities + +**Figure 7-1 – Network environment with support of MPLS-based mobility capabilities** + +As indicated in the above figure, various types of access networks such as 2G RAN, 3G RAN, W-LAN/MAN and xDSL/FTTH based access networks may be connected to the MPLS-based NGN core network. The MPLS-based mobility capabilities in the NGN core network are responsible for UE mobility (e.g., the UE moving from a W-LAN/MAN access network to a 3G radio access network). The MPLS-based NGN core network has the control plane separated from the transport plane by using dedicated control LSPs. In the control plane, each global mobility agent (GMA) is connected to various local mobility a gents (LMAs), and each LMA is connected to a RACF instance (note that Figure 7-1 shows the case of distributed RACF) allowing the LMA to exchange information related to resource and admission control. + +LMAs are located at the edge of the NGN core network and each LMA manages mobility within a given AN. In order to support mobility [ITU-T Q.1707], each LMA includes location management function (LMF) and handover control function (HCF), and maintains UE information (e.g., user ID, location ID, etc.). When moving to a new AN, in order to inform the LMA in that AN about its arrival and register its information, the UE performs registration to the LMA. Then the LMA interacts with the relevant GMA within the NGN core network in order to update UE location information. During the LMA registration to GMA, the LMA can exchange information with RACF for resource and admission control. + +GMAs are located in the NGN core network and each GMA supports mobility between pairs of access networks (pairs of LMAs) connected to that NGN core network. In order to support mobility, each GMA includes LMF and HCF. During location management and handover control process, GMA interacts with the connected LMAs within the NGN core network. In case of mobility between different NGN core networks, the UE information (e.g., user ID, location ID, etc.) is exchanged with GMAs located in different NGN core networks. + +RACF can be centralized [b-ITU-T Y.2175] or distributed [b-ITU-T Y.2174]. RACF manages resource and admission control. + +Information servers (ISs) may store access network-related information of the various wired or wireless channels. When choosing to connect to one of the access networks or moving into another access network, a user may use this network-related information stored in ISs to make an appropriate selection. + +Mobile service control systems (MSCSs) can be deployed in centralized or distributed form. MSCSs provide the service control functions described in clause 7.2. + +6 **Rec. ITU-T Y.2807 (01/2009)** + +### 7.2 Functional architecture + +Figure 7-2 shows an overview of the functional architecture for support of MPLS-based mobility capabilities, which includes service control functions (SCF), mobility management control functions (MMCF), transport control functions (TCF) and transport functions (TF). + +![Figure 7-2: Functional architecture for support of MPLS-based mobility capabilities. The diagram shows a layered architecture. On the left, 'End User Functions' connect to the 'NGN UNI' interface. On the right, 'Other Networks' connect to the 'NGN NNI' interface. The core architecture consists of four main layers: 1. 'Service Control Functions' (SCF) at the top, containing 'Service User Profiles'. 2. 'Mobility Management Control Functions (MMCF)' in the middle, which is divided into 'A-MMCF' and 'C-MMCF'. 'A-MMCF' contains 'A-LMF' and 'A-HCF' (which includes 'HDSF'). 'C-MMCF' contains 'C-LMF' and 'C-HCF' (which includes 'HDSF'). 3. 'Transport Control Functions' (TCF) below MMCF, containing 'Network Attachment Control Functions' (with 'Transport User Profiles') and 'Resource and Admission Control Functions'. 4. 'Transport Functions' (TF) at the bottom. Dashed lines indicate interactions between 'End User Functions' and 'A-MMCF', and between 'Other Networks' and 'C-MMCF'.](eefe19c5e14dc4d6c316b7f7fbb7d7d7_img.jpg) + +Figure 7-2: Functional architecture for support of MPLS-based mobility capabilities. The diagram shows a layered architecture. On the left, 'End User Functions' connect to the 'NGN UNI' interface. On the right, 'Other Networks' connect to the 'NGN NNI' interface. The core architecture consists of four main layers: 1. 'Service Control Functions' (SCF) at the top, containing 'Service User Profiles'. 2. 'Mobility Management Control Functions (MMCF)' in the middle, which is divided into 'A-MMCF' and 'C-MMCF'. 'A-MMCF' contains 'A-LMF' and 'A-HCF' (which includes 'HDSF'). 'C-MMCF' contains 'C-LMF' and 'C-HCF' (which includes 'HDSF'). 3. 'Transport Control Functions' (TCF) below MMCF, containing 'Network Attachment Control Functions' (with 'Transport User Profiles') and 'Resource and Admission Control Functions'. 4. 'Transport Functions' (TF) at the bottom. Dashed lines indicate interactions between 'End User Functions' and 'A-MMCF', and between 'Other Networks' and 'C-MMCF'. + +**Figure 7-2 – Functional architecture for support of MPLS-based mobility capabilities** + +This functional architecture is aligned with the general mobility management functional architecture defined in [ITU-T Q.1707] and builds upon the NGN functional architecture [ITU-T Y.2012] with the addition of a new set of functions called MMCF for mediation between SCF and TCF. SCFs and TCFs interact with MMCF. + +MMCF interacts with the UE as well as with other MMCFs (in other NGNs). MMCF includes a handover decision sub-function (HDSF), which is responsible for handover decisions. + +For QoS management related to mobility, HDSF interacts with SCF to get information on the QoS level required by ongoing services. HDSF also interacts with RACF to get resource-related information and to compare post-handover QoS level with pre-handover QoS level. As described in clause I.3, the handover cases are classified into three: (1) case of having enough resources to provide the service continuously; (2) case of downgrading the QoS level, and; (3) case of no resources for handover. HDSF may also provide network-related information to the UE. The various functional groups shown in Figure 7-2 are described later in this clause. + +NOTE – As far as the resource control mechanisms are concerned, these are specified in [b-ITU-T Y.2174] and [b-ITU-T Y.2175]. + +#### 7.2.1 Service control function (SCF) + +SCF includes resource control, registration, authentication and authorization functions at the service level for services as described in [ITU-T Y.2012]. It can also include functions for controlling media resources, specialized resources and gateways at the service signalling level. For authentication, mutual authentication between the end user and the service is performed. SCF accommodates service user profiles representing the combination of user information and other control data into a single user profile function [ITU-T Y.2012]. + +#### 7.2.2 Mobility management control function (MMCF) + +MMCF provides mobility management and control functions in order to support mobility in NGN as described in [ITU-T Q.1707]. MMCF includes LMF and HCF for, respectively, location management and handover control. These two functions include several functional entities as described in [ITU-T Q.1707]. Basically, MMCF in the functional architecture consists of access + +mobility management control functions (A-MMCFs) and central mobility management control functions (C-MMCFs). According to their functional role, C-MMCF can be classified into central LMF (C-LMF) and central HCF (C-HCF). Similarly, A-MMCF can be divided into access LMF (A-LMF) and access HCF (A-HCF). + +A-MMCF is used to support intra-AN mobility (see clause 8.1). A-MMCF is used to support inter-AN mobility (see clause 8.2) through interaction with C-MMCF. C-MMCF is used to manage inter-CN mobility (see clause 8.3). + +#### **7.2.3 Transport control function (TCF)** + +TCF includes NACF and RACF. NACF provides registration at the access level and initialization of end user functions for accessing NGN services as described in [ITU-T Y.2012]. These functions provide transport stratum-level identification/authentication, manage the IP address space of the access network, and authenticate access sessions. NACF provides the following functionalities: + +- Dynamic provisioning of IP addresses and other user equipment configuration parameters. +- By endorsement of user, auto-discovery of user equipment capabilities and other parameters. +- Authentication of end user and network at the IP layer (and possibly other layers); for authentication, mutual authentication between the end user and the network attachment is performed. +- Authorization of network access, based on user profiles. +- Access network configuration, based on user profiles. +- Location management at the IP layer. + +NACF includes the transport user profile representing the combination of a user's information and other control data into a single "user profile" function in the transport stratum. + +RACF provides the resource and admission control functions for QoS-related transport resource control within access and core networks as described in [ITU-T Y.2111]. RACF can make use of information such as transport subscription information, network policy rules, service priority and transport resource status and utilization information. + +RACF interacts with SCF and TFs for services requiring NGN transport resource control. RACF performs policy-based transport resource control at the request of SCF, determines the transport resource availability and admission, and applies controls to TFs to enforce the policy decision. RACF interacts with TFs for the purpose of controlling functions such as bandwidth reservation and allocation, traffic classification and policing in the transport layer. RACF takes into account the capabilities of transport networks and associated transport subscription information for subscribers in support of transport resource control. + +#### **7.2.4 Transport function (TF)** + +TFs provide the connectivity for all components and physically separated functions within NGN as described in [ITU-T Y.2012]. These functions are responsible for the transfer of media information, as well as control and management information. + +#### **7.2.5 End user functions** + +These functions request access network-related information allowing the UE to make the appropriate selection among the detected access networks. These functions allow dynamic change of QoS level upon UE request. + +# 8 Mobility scenarios using MPLS-based mobility capabilities + +In NGN, various types of access networks (ANs) may be connected to a core IP/MPLS network through ingress label edge routers (LERs). These access networks may use MPLS or IP-based technologies to transport traffic from/to the UE. + +Three types of mobility are considered: intra-AN mobility, inter-AN mobility, and inter-CN mobility. As shown in the example configuration in Figure 8-1, TF1 and TF2 exist in AN1, and TF3 in AN2. AN1 and AN2 are controlled by A-RACF1 and A-RACF2, respectively, and are connected to the same core network 1 (CN1). C-RACF may be centralized in the NGN core network (as in Figure 8-1) or distributed. C-RACF monitors the resource status of the core network and triggers the establishment of new LSPs or resizing of existing LSPs by interacting with TFs. + +The following clauses provide a functional overview of the mobility scenarios related to the above mentioned three types of mobility. Appendix II describes information flows to support these mobility scenarios using MPLS-based mobility capabilities. + +![Figure 8-1: Mobility scenarios across access networks connected to MPLS-based NGN core networks. The diagram illustrates three access networks (AN1, AN2, AN3) connected to two core networks (CN1, CN2). AN1 and AN2 are connected to CN1, while AN3 is connected to CN2. Each AN contains one or more Traffic Flows (TF1, TF2, TF3). The core networks contain Centralized Mobility Control Functions (C-MMCF1, C-MMCF2) and Centralized Resource Allocation Functions (C-RACF1, C-RACF2). Access networks have their own Access MMCFs (A-MMCF1, A-MMCF2, A-MMCF3) and Access RACFs (A-RACF1, A-RACF2, A-RACF3). LERs (Label Edge Routers) connect the ANs to the core networks. LSRs (Label Switched Routers) are within the core networks. A sequence of UEs at the bottom shows Intra-AN, Inter-AN, and Inter-CN mobility scenarios.](75f0cb39f1cd165dfe4a6aa6c4d9388d_img.jpg) + +The diagram illustrates the architecture for mobility scenarios across access networks connected to MPLS-based NGN core networks. It shows three access networks (AN1, AN2, AN3) and two core networks (CN1, CN2). AN1 and AN2 are connected to CN1, while AN3 is connected to CN2. Each AN contains one or more Traffic Flows (TF1, TF2, TF3). The core networks contain Centralized Mobility Control Functions (C-MMCF1, C-MMCF2) and Centralized Resource Allocation Functions (C-RACF1, C-RACF2). Access networks have their own Access MMCFs (A-MMCF1, A-MMCF2, A-MMCF3) and Access RACFs (A-RACF1, A-RACF2, A-RACF3). LERs (Label Edge Routers) connect the ANs to the core networks. LSRs (Label Switched Routers) are within the core networks. A sequence of UEs at the bottom shows Intra-AN, Inter-AN, and Inter-CN mobility scenarios. + +Figure 8-1: Mobility scenarios across access networks connected to MPLS-based NGN core networks. The diagram illustrates three access networks (AN1, AN2, AN3) connected to two core networks (CN1, CN2). AN1 and AN2 are connected to CN1, while AN3 is connected to CN2. Each AN contains one or more Traffic Flows (TF1, TF2, TF3). The core networks contain Centralized Mobility Control Functions (C-MMCF1, C-MMCF2) and Centralized Resource Allocation Functions (C-RACF1, C-RACF2). Access networks have their own Access MMCFs (A-MMCF1, A-MMCF2, A-MMCF3) and Access RACFs (A-RACF1, A-RACF2, A-RACF3). LERs (Label Edge Routers) connect the ANs to the core networks. LSRs (Label Switched Routers) are within the core networks. A sequence of UEs at the bottom shows Intra-AN, Inter-AN, and Inter-CN mobility scenarios. + +**Figure 8-1 – Mobility scenarios across access networks connected to MPLS-based NGN core networks** + +### 8.1 Case of intra-AN mobility + +This case is the mobility scenario associated with UE movement within a single AN. In this scenario, the UE can continue to use its ongoing services. No location update to C-MMCF is needed because the UE movement is within the same AN. + +SCF provides application level signalling for session handling. It also provides information to MMCF to allow identification of media sessions and their required QoS characteristics. + +MMCF requests transport resources to RACF1 and receives notifications from RACF1 when these resources are reserved or released. A-MMCF is used to manage the intra-AN mobility and may be located within the LER interconnecting that AN with the NGN core network. + +In this scenario, the UE moves under control of the same RACF. Depending on the UE movement, RACF1 supports the establishment of a new connection on TF2 and releases the resources allocated on TF1. + +### **8.2 Case of inter-AN mobility** + +In this case, the UE moves to another AN (AN2) connected to the same NGN core network. This scenario requires handover control and LSP re-direction since the UE moves between ANs. According to its movement, the UE executes a location update to C-MMCF. Afterwards, traffic to/from the UE can be sent through AN2. In this process, HDSF makes use of the network-related information provided by RACFs, and subsequently verifies resource availability in AN2. + +Moving between ANs, the UE may change its location ID (LID) and its corresponding A-MMCF. The UE executes a location update to the new A-MMCF (A-MMCF2). A-MMCF1 and A-MMCF2 interact with C-MMCF to support the inter-AN handover. + +By interacting with MMCFs, C-RACF requests the establishment of a new LSP or resizing of an existing LSP in the NGN core network, and A-RACF2 performs the establishment of a new connection on TF3 in AN2. The existing connection in AN1 is then released by A-RACF1. At the AN2-related ingress LER of the NGN core network, the session in AN2 is mapped into the relevant LSP in the core network. For scalability purposes, the session-to-LSP mapping may be controlled by C-RACF. + +### **8.3 Case of inter-CN mobility** + +In this case, the UE moves to an access network connected only to a different NGN core network. The UE performs roaming signalling via the C-MMCFs located in the old and new NGN core networks through an LSP established between the old and new NGN core networks. + +C-MMCF is used to manage UE roaming. According to the UE movement, C-MMCF requests C-RACF to establish a new LSP or resize an existing LSP to transport traffic from/to the UE through the two NGN core networks. + +C-RACF collects the network-related information in the new NGN core network and verifies availability of its resources. + +# **9 Security considerations** + +In the MPLS-based NGN core network (and in those access networks where the MPLS technology is deployed), it is recommended to maintain secure LSPs (this being particularly important during the handover process). + +The following are requirements related to the establishment of security associations in scenarios related to the three types of the mobility described in clause 8: + +- Intra-AN mobility: +UE movement does not require the establishment of any new security association. +- Inter-AN mobility: +UE movement is controlled by the same GMA. The UE requires re-registration to GMA with information related to the new LMA. A new security association between the UE and the new LMA needs to be established. +- Inter-CN mobility: +When moving from the old NGN core network to the new NGN core network, the UE requires new security associations with the relevant LMA and GMA in the new NGN core network. + +## Appendix I + +### Functional procedures using MPLS-based mobility capabilities + +(This appendix does not form an integral part of this Recommendation) + +This appendix describes functional procedures using MPLS-based mobility capabilities related to location registration, service registration and handover. + +### I.1 Location registration + +This clause describes the location registration procedures for the UE. + +![Figure I.1 – Location registration procedure diagram](21ad58fee90f2be50708ff541d225507_img.jpg) + +``` +graph TD + SCF[SCF] --- MMCF[MMCF] + MMCF --- TCF[TCF] + UE[UE] --- TCF + UE -- "(1)" --> MMCF + MMCF -- "(2)" --> UE +``` + +The diagram illustrates the location registration procedure. It shows four entities: SCF, MMCF, TCF, and UE. SCF is connected to MMCF. MMCF is connected to TCF. UE is connected to TCF. The procedure involves two flows: (1) from UE to MMCF, and (2) from MMCF to UE. + +Figure I.1 – Location registration procedure diagram + +**Figure I.1 – Location registration procedure** + +- (1) The UE performs location registration to MMCF. After receiving the request via flow (1), the MMCF creates an association between the address of the UE and the address of its point of attachment (PoA) and stores the association in its local lookup table. +- (2) A location registration confirmation is sent from MMCF to the UE. + +### I.2 Service registration + +This clause describes registration procedures for the UE to use a service. + +![Figure I.2 – Service registration procedure diagram](b0d4609bc46c2d88a8318706bb5321f7_img.jpg) + +``` +graph TD + SCF[SCF] -- "(3)" --> MMCF + MMCF -- "(4)" --> SCF + MMCF -- "(5)" --> TCF + TCF -- "(2)" --> MMCF + UE[UE] -- "(1)" --> TCF + TCF -- "(6)" --> UE +``` + +The diagram illustrates the service registration procedure. It shows four entities: SCF, MMCF, TCF, and UE. SCF is connected to MMCF. MMCF is connected to TCF. UE is connected to TCF. The procedure involves six flows: (1) from UE to TCF, (2) from TCF to MMCF, (3) from MMCF to SCF, (4) from SCF to MMCF, (5) from MMCF to TCF, and (6) from TCF to UE. + +Figure I.2 – Service registration procedure diagram + +**Figure I.2 – Service registration procedure** + +- (1) The UE performs service registration to the TCF. This service registration request contains QoS information for the service. +- (2) Upon receipt of the service registration request, the TCF sends this message to MMCF together with information on the resource usage status. + +- (3) The MMCF stores the information on the resource usage status and requests service registration to SCF. +- (4) After receiving the information on the requested QoS level for the service from the SCF via the service registration response, the MMCF decides whether the QoS parameters (e.g., bandwidth, delay, jitter, loss, etc.) of the requested QoS level are accepted or not. +- (5) If the requested QoS level is accepted, the MMCF informs the TCF that the requested QoS parameters are accepted. +- (6) The TCF replies to the UE, i.e., the requested registration with the QoS parameters is accepted. + +### 1.3 Handover + +Handover cases are classified into three: (1) case of having enough resources to provide the service continuously; (2) case of downgrading the QoS level, and; (3) case of no resources for handover. + +- Case of having enough resources to provide the service continuously + +![Figure I.3 – Handover functional procedure in the case of having enough resources. The diagram shows a network architecture with SCF, MMCF (containing LMF and HCF/HDSF), NACF, RACF, Transport Functions 1 and 2, and two UE instances. Numbered arrows (1) through (10) indicate the sequence of operations: (1) UE moves to TF2; (2) UE re-enters network; (3) TF2 to TF1 context retrieval; (4) TF2 to RACF handover request; (5) RACF to HDSF request; (6) RACF to SCF registration; (7) SCF to RACF response; (8) RACF to HDSF response; (9) RACF to TF2 response; (10) RACF to TF1 response.](9b9d2abd741ed4bafe7f78f89961c663_img.jpg) + +``` + +sequenceDiagram + SCF + sub MMCF + LMF + HCF + HDSF + end + NACF + RACF + sub TF1 [Transport Functions 1] + end + sub TF2 [Transport Functions 2] + end + UE1[UE] + UE2[UE] + + UE1-->>TF2: (1) + UE2->>TF2: (2) + TF2-->>TF1: (3) + TF2->>RACF: (4) + RACF->>HDSF: (5) + RACF->>SCF: (6) + SCF-->>RACF: (7) + RACF-->>HDSF: (8) + RACF-->>TF2: (9) + RACF-->>TF1: (10) + +``` + +Figure I.3 – Handover functional procedure in the case of having enough resources. The diagram shows a network architecture with SCF, MMCF (containing LMF and HCF/HDSF), NACF, RACF, Transport Functions 1 and 2, and two UE instances. Numbered arrows (1) through (10) indicate the sequence of operations: (1) UE moves to TF2; (2) UE re-enters network; (3) TF2 to TF1 context retrieval; (4) TF2 to RACF handover request; (5) RACF to HDSF request; (6) RACF to SCF registration; (7) SCF to RACF response; (8) RACF to HDSF response; (9) RACF to TF2 response; (10) RACF to TF1 response. + +**Figure I.3 – Handover functional procedure in the case of having enough resources** + +- (1) The UE moves to TF2. +- (2) The UE executes the network re-entry procedure. This step includes the interactions with NACF to perform authentication, authorization, etc. +- (3) Optionally, TF2 performs a context retrieval procedure to get some information from the previous TF1 (for example, in WLAN, the inter-access point protocol (IAPP) and other proprietary methods are used to support roaming between different access points; the details of this step are not covered by the scope of this Recommendation). +- (4) TF2 sends a handover request to RACF with information on the current resource usage status. +- (5) RACF requests for handover from HDSF and sends information on the resource usage status. + +- (6) HDSF stores information on the resource usage status and asks SCF for information on the QoS level required by the service. At this time, the SCF can decide if the service level should change or not with the current resource usage status because it knows which service level is allowed for the service. +- (7) After receiving information on the QoS level required by the service from SCF, the HDSF decides whether the UE should execute handover or not based on service level information received from the SCF. +- (8) If it decides handover execution because of enough resources, the HDSF informs RACF that the current resource usage status satisfies the QoS level required by the service. +- (9) RACF performs the resource reservation procedure and applies policy decisions to TF2. +- (10) RACF notifies TF1 of the handover status and requests for the release of the previously allocated resources on TF1. After receiving the release indication from RACF, TF1 releases the correlated resources and subsequently gives a response to RACF. +- Case of downgrading the QoS level + +![Figure I.4 – Handover functional procedure in the case of downgraded service. The diagram shows the interaction between SCF, MMCF (containing LMF and HDSF), RACF, NACF, Transport Functions 1 and 2, and two UE instances. Step (1) shows a UE moving from a dashed box to a solid box. Step (2) shows a signal from the new UE to Transport Functions 2. Step (3) shows a dashed signal from Transport Functions 1 to Transport Functions 2. Step (4) shows a signal from Transport Functions 2 to RACF. Step (5) shows a signal from RACF to MMCF. Step (6) shows a signal from MMCF to SCF. Step (7) shows a signal from SCF to MMCF. Step (8) shows a signal from MMCF to RACF. Step (9) shows a signal from RACF to Transport Functions 2. Step (10) shows a signal from RACF to Transport Functions 1. NACF is connected to RACF.](7f25db95ce3916c0e09803b861a2f7bc_img.jpg) + +``` + +sequenceDiagram + participant SCF + participant MMCF + participant LMF + participant HDSF + participant RACF + participant NACF + participant TF1 as Transport Functions 1 + participant TF2 as Transport Functions 2 + participant UE1 as UE + participant UE2 as UE + + Note over UE1: (1) + UE1 -->> UE2 + Note over UE2: (2) + UE2 -->> TF2 + Note over TF1,TF2: (3) + TF1 -.->> TF2 + Note over TF2: (4) + TF2 -->> RACF + Note over RACF: (5) + RACF -->> MMCF + Note over MMCF: (6) + MMCF -->> SCF + Note over SCF: (7) + SCF -->> MMCF + Note over MMCF: (8) + MMCF -->> RACF + Note over RACF: (9) + RACF -->> TF2 + Note over RACF: (10) + RACF -->> TF1 + Note over TF1: (10) + TF1 -->> RACF + +``` + +Figure I.4 – Handover functional procedure in the case of downgraded service. The diagram shows the interaction between SCF, MMCF (containing LMF and HDSF), RACF, NACF, Transport Functions 1 and 2, and two UE instances. Step (1) shows a UE moving from a dashed box to a solid box. Step (2) shows a signal from the new UE to Transport Functions 2. Step (3) shows a dashed signal from Transport Functions 1 to Transport Functions 2. Step (4) shows a signal from Transport Functions 2 to RACF. Step (5) shows a signal from RACF to MMCF. Step (6) shows a signal from MMCF to SCF. Step (7) shows a signal from SCF to MMCF. Step (8) shows a signal from MMCF to RACF. Step (9) shows a signal from RACF to Transport Functions 2. Step (10) shows a signal from RACF to Transport Functions 1. NACF is connected to RACF. + +**Figure I.4 – Handover functional procedure in the case of downgraded service** + +Steps (1) ~ (7) are similar to the procedure described above. + +- (8) In case it decides that keeping the service is possible by downgrading the QoS level even as it confirms that TF does not have enough resources to provide the service, HDSF adjusts the QoS level of the service and informs SCF and RACF of the revised QoS level. +- (9) RACF performs the resource reservation procedure and applies the policy decisions to TF2 according to the revised QoS level of the service. +- (10) RACF notifies TF1 of the handover status and requests for the release of the previously allocated resources on TF1. After receiving the release indication from RACF, TF1 releases the correlated resource and subsequently gives a response to RACF. + +- Case of no resources for handover + +![Figure I.5 – Handover functional procedure in the case of no resources. The diagram shows a network architecture with SCF at the top, MMCF (containing LMF and HCF) below it, and RACF below MMCF. NACF is connected to RACF. Transport Functions 1 and 2 are below RACF, and two UE blocks are at the bottom. Numbered arrows indicate the flow of the procedure: (1) UE to UE, (2) TF2 to UE, (3) TF1 to TF2, (4) RACF to TF2, (5) RACF to MMCF, (6) SCF to MMCF, (7) MMCF to SCF, (8) SCF to MMCF, (9) MMCF to SCF, (10) MMCF to RACF, (11) RACF to TF2, and (12) TF2 to UE. A dashed line connects UE to TF1, and a dashed arrow connects TF1 to TF2.](83852ec55d4802521a727926336bedab_img.jpg) + +Figure I.5 – Handover functional procedure in the case of no resources. The diagram shows a network architecture with SCF at the top, MMCF (containing LMF and HCF) below it, and RACF below MMCF. NACF is connected to RACF. Transport Functions 1 and 2 are below RACF, and two UE blocks are at the bottom. Numbered arrows indicate the flow of the procedure: (1) UE to UE, (2) TF2 to UE, (3) TF1 to TF2, (4) RACF to TF2, (5) RACF to MMCF, (6) SCF to MMCF, (7) MMCF to SCF, (8) SCF to MMCF, (9) MMCF to SCF, (10) MMCF to RACF, (11) RACF to TF2, and (12) TF2 to UE. A dashed line connects UE to TF1, and a dashed arrow connects TF1 to TF2. + +**Figure I.5 – Handover functional procedure in the case of no resources** + +Steps (1) ~ (7) are similar to the procedure described above. + +- (8) In case it decides that keeping the service is impossible because of lack of resources, the HDSF informs the SCF that the resources in TF2 are not enough to support the service. +- (9) The SCF decides that providing the service continuously is impossible. HDSF is then informed by SCF that it cannot provide the service because of lack of resources. +- (10) HDSF informs RACF that SCF cannot provide the service because of lack of resources. +- (11) RACF informs TF2 that SCF cannot provide the service because of lack of resources. +- (12) TF2 informs the UE that SCF cannot provide the service because of lack of resources. +- (13) RACF notifies TF1 of the handover status and requests for the release of previously allocated resources on TF1. After receiving the release indication from RACF, TF1 releases the correlated resource and subsequently gives a response to RACF. + +## Appendix II + +### Information flows using MPLS-based mobility capabilities + +(This appendix does not form an integral part of this Recommendation) + +This appendix describes information flows using MPLS-based mobility capabilities for the mobility scenarios described in clause 8. + +NOTE – In this appendix, H\_GMA is the GMA located in the home network of the UE [ITU-T Q.1707]. + +### II.1 Location registration + +This clause describes information flows for the location registration in two cases: (1) initial location registration of the UE, and (2) location registration of the UE in the new GMA. + +- Initial location registration + +Figure II.1 shows the information flow for the initial location registration. + +- When the UE enters a new PoA\_1 area, an L2 association is made between the UE and the PoA\_1. During the L2 association, PoA\_1 gets UE L2 ID (e.g., MAC address). +- PoA\_1 sends to LMA\_1 a Link\_Up\_Notification message together with UE L2 ID. Upon receiving this message, LMA\_1 allocates the temporal IP address for the UE and creates a record for the UE in its local address table. +- LMA\_1 sends to H\_GMA a Location\_Registration message together with UE L2 ID and temporal IP address and LMA\_1 IP address through the previously established LSP between LMA\_1 and H\_GMA. +- Upon receiving this Location\_Registration message, H\_GMA, which does not have UE L2 ID, sends the GMA\_Information\_Request message to the UE to confirm whether the UE has information on any other GMA related to the UE. +- The UE sends the GMA\_Information\_Response message to H\_GMA to let H\_GMA know that the UE has no information on other GMAs related to itself. Upon receiving this message, H\_GMA stores information on UE L2 ID, UE temporal IP address, and LMA\_1 IP address and subsequently sends the Location\_Registration\_Response message to LMA\_1. +- After receiving the Location\_Registration\_Response message from H\_GMA, LMA\_1 sends to the UE the Address\_Inform message including the UE temporal IP address, LMA\_1 IP address, and H\_GMA IP address and receives the Address\_Inform\_Response message as a response. +- In the initial location registration, the UE temporal IP address is considered a persistent IP address. + +![Sequence diagram showing information flow for initial location registration between UE, PoA_1, LMA_1, and H_GMA.](e69b9188aa2c14ec6b21c83f711fef65_img.jpg) + +``` + +sequenceDiagram + participant UE + participant PoA_1 + participant LMA_1 + participant H_GMA + + UE->>PoA_1: L2 Association + PoA_1->>LMA_1: Link_Up_Notification + LMA_1->>PoA_1: Link_Up_Notification_Response (Option) + LMA_1->>H_GMA: Location_Registration + H_GMA->>LMA_1: Location_Registration_Response + LMA_1->>UE: GMA_Inform_Request + UE->>LMA_1: GMA_Inform_Response + LMA_1->>UE: < Option > + LMA_1->>UE: Address_Inform + UE->>LMA_1: Address_Inform_Response + +``` + +The diagram illustrates the initial location registration process. It involves four entities: UE (User Equipment), PoA\_1 (Point of Attachment), LMA\_1 (Local Mobility Anchor), and H\_GMA (Home Gateway). The process begins with an L2 Association between the UE and PoA\_1. PoA\_1 then sends a Link\_Up\_Notification to LMA\_1, which responds with a Link\_Up\_Notification\_Response (Option). LMA\_1 then sends a Location\_Registration message to H\_GMA, which responds with a Location\_Registration\_Response. LMA\_1 then sends a GMA\_Inform\_Request to the UE, which responds with a GMA\_Inform\_Response. LMA\_1 then sends an optional < Option > message to the UE. Finally, LMA\_1 sends an Address\_Inform message to the UE, which responds with an Address\_Inform\_Response. + +Sequence diagram showing information flow for initial location registration between UE, PoA\_1, LMA\_1, and H\_GMA. + +**Figure II.1 – Information flow for initial location registration** + +- Location registration in the new GMA + +Figure II.2 shows the information flow for location registration in the new GMA. + +- When the UE enters a new PoA\_1 area, an L2 association is made between the UE and the PoA\_1. During the L2 association, PoA\_1 gets UE L2 ID (i.e., MAC address). +- PoA\_1 sends to LMA\_1 a Link\_Up\_Notification message together with UE L2 ID. Upon receiving this message, LMA\_1 allocates the temporal IP address for the UE and creates a record for the UE in its local address table. +- LMA\_1 sends to GMA\_1 a Location\_Registration message together with UE L2 ID and temporal IP address for UE and LMA\_1 IP address through the previously established LSP between LMA\_1 and GMA\_1. +- Upon receiving this Location\_Registration message, GMA\_1 sends the GMA\_Information\_Request message to the UE to confirm whether the UE has information on any other GMA related to the UE. +- The UE sends the GMA\_Information\_Response message to GMA\_1 to let GMA\_1 know that the UE has information on H\_GMA related to itself. This message includes the UE persistent IP address as well as the information of H\_GMA. Upon receiving this GMA\_Information\_Response message, GMA\_1 stores information on UE L2 ID, UE temporal IP address and persistent IP address, and LMA\_1 IP address. +- GMA\_1 sends the Location\_Registration message to H\_GMA to register UE location information including LMA\_1 IP address and GMA\_1 IP address as well as UE L2 ID, persistent IP address, and temporal IP address. +- H\_GMA updates UE location information together with UE temporal IP address and LMA\_1 IP address and subsequently sends the Location\_Registration\_Response message to GMA\_1. +- After receiving the Location\_Registration\_Response message from GMA\_1, LMA\_1 sends to the UE the Address\_Inform message including UE temporal IP and LMA\_1 IP address UE and receives the Address\_Inform\_Response message as a response. + +![Sequence diagram showing information flow for location registration in a new GMA. The diagram involves five entities: UE, PoA_1, LMA_1, GMA_1, and H_GMA. The process starts with L2 Association between UE and PoA_1. PoA_1 sends Link_Up_Notification to LMA_1, which responds with Link_Up_Notification_Response (Option). LMA_1 sends Location_Registration to GMA_1. GMA_1 sends GMA_Inform_Request to PoA_1, which responds with GMA_Inform_Response. PoA_1 then sends Location_Registration to H_GMA, which responds with Location_Registration_Response. LMA_1 also sends Location_Registration_Response to PoA_1. Finally, PoA_1 sends Address_Inform to LMA_1, which responds with Address_Inform_Response. An optional step is indicated by a dashed box around the Address_Inform and Address_Inform_Response messages.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +``` + +sequenceDiagram + participant UE + participant PoA_1 + participant LMA_1 + participant GMA_1 + participant H_GMA + + UE->>PoA_1: L2 Association + PoA_1->>LMA_1: Link_Up_Notification + LMA_1-->>PoA_1: Link_Up_Notification_Response (Option) + LMA_1->>GMA_1: Location_Registration + GMA_1->>PoA_1: GMA_Inform_Request + PoA_1->>GMA_1: GMA_Inform_Response + PoA_1->>H_GMA: Location_Registration + H_GMA-->>PoA_1: Location_Registration_Response + LMA_1-->>PoA_1: Location_Registration_Response + PoA_1->>LMA_1: Address_Inform + LMA_1-->>PoA_1: Address_Inform_Response + +``` + +Sequence diagram showing information flow for location registration in a new GMA. The diagram involves five entities: UE, PoA\_1, LMA\_1, GMA\_1, and H\_GMA. The process starts with L2 Association between UE and PoA\_1. PoA\_1 sends Link\_Up\_Notification to LMA\_1, which responds with Link\_Up\_Notification\_Response (Option). LMA\_1 sends Location\_Registration to GMA\_1. GMA\_1 sends GMA\_Inform\_Request to PoA\_1, which responds with GMA\_Inform\_Response. PoA\_1 then sends Location\_Registration to H\_GMA, which responds with Location\_Registration\_Response. LMA\_1 also sends Location\_Registration\_Response to PoA\_1. Finally, PoA\_1 sends Address\_Inform to LMA\_1, which responds with Address\_Inform\_Response. An optional step is indicated by a dashed box around the Address\_Inform and Address\_Inform\_Response messages. + +**Figure II.2 – Information flow for location registration in new GMA** + +### II.2 Location update + +This clause describes the information flow for location update in three cases: (1) the UE moves between different LMAs within the home core network; (2) the UE moves into a foreign core network, and correspondent UE (CUE) is located in the home core network; and (3) the UE moves into a foreign core network, and CUE is located in another foreign core network. + +- In case the UE moves between different LMAs within the home core network + +Figure II.3 shows the information flow for fast handover when the UE moves to the new PoA area in the home core network. + +- When the UE enters a new PoA\_2 area, an L2 association is made between the UE and the PoA\_2. During the L2 association, PoA gets UE L2 ID. +- PoA\_2 sends to LMA\_2 a Link\_Up\_Notification message together with UE L2 ID. Upon receiving this message, LMA\_2 allocates the temporal IP address for the UE and creates a record for the UE in its local address table. +- LMA\_2 sends to H\_GMA a Location\_Registration message together with UE L2 ID and temporal IP address and LMA\_2 IP address through the previously established LSP between LMA\_2 and H\_GMA. +- Upon receiving this Location\_Registration message, H\_GMA, which has UE L2 ID, updates the information in the global address table and sends a Location\_Registration\_Response message to LMA\_2. +- H\_GMA sends to LMA\_CUE a Binding\_Update\_Notification message together with the UE persistent IP address and temporal IP address and LMA\_2 IP address. If LMA\_1, where UE was connected before handover or LMA\_2 where UE is currently connected, is able to know the location information of CUE, LMA\_1 or LMA\_2 can optionally send the Binding\_Update\_Notification message to LMA\_CUE. +- After receiving the Binding\_Update\_Notification\_Response message from H\_GMA, LMA\_2 sends to the UE the Address\_Inform message including UE temporal IP and LMA\_2 IP address and receives the Address\_Inform\_Response message as a response. + +![Sequence diagram showing information flow for location update in case UE moves between different LMAs within the home core network. The diagram involves six entities: UE, PoA_2, LMA_2, H_GMA, LMA_CUE, and CUE. The process starts with L2 Association between UE and PoA_2. PoA_2 sends Link_Up_Notification to LMA_2, which responds with Link_Up_Notification_Response (Option). LMA_2 sends Location_Registration to H_GMA, which responds with Location_Registration_Response. LMA_2 then sends Address_Inform to UE, which responds with Address_Inform_Response. H_GMA sends Binding_Update_Notification to LMA_CUE, which responds with Binding_Update_Notification_Response (Option). Finally, LMA_CUE sends Binding_Update_Notification to LMA_2, which responds with Binding_Update_Notification_Response. Dashed boxes indicate optional steps.](c5452f95f3b28f1bfe29e84fbc2e1267_img.jpg) + +``` + +sequenceDiagram + participant UE + participant PoA_2 + participant LMA_2 + participant H_GMA + participant LMA_CUE + participant CUE + + UE->>PoA_2:L2 Association + PoA_2->>LMA_2:Link_Up_Notification + LMA_2-->>PoA_2:Link_Up_Notification_Response (Option) + LMA_2->>H_GMA:Location_Registration + H_GMA-->>LMA_2:Location_Registration_Response + LMA_2->>UE:Address_Inform + UE-->>LMA_2:Address_Inform_Response + H_GMA->>LMA_CUE:Binding_Update_Notification + LMA_CUE-->>H_GMA:Binding_Update_Notification_Response (Option) + LMA_CUE->>LMA_2:Binding_Update_Notification + LMA_2-->>LMA_CUE:Binding_Update_Notification_Response + +``` + +Sequence diagram showing information flow for location update in case UE moves between different LMAs within the home core network. The diagram involves six entities: UE, PoA\_2, LMA\_2, H\_GMA, LMA\_CUE, and CUE. The process starts with L2 Association between UE and PoA\_2. PoA\_2 sends Link\_Up\_Notification to LMA\_2, which responds with Link\_Up\_Notification\_Response (Option). LMA\_2 sends Location\_Registration to H\_GMA, which responds with Location\_Registration\_Response. LMA\_2 then sends Address\_Inform to UE, which responds with Address\_Inform\_Response. H\_GMA sends Binding\_Update\_Notification to LMA\_CUE, which responds with Binding\_Update\_Notification\_Response (Option). Finally, LMA\_CUE sends Binding\_Update\_Notification to LMA\_2, which responds with Binding\_Update\_Notification\_Response. Dashed boxes indicate optional steps. + +**Figure II.3 – Information flow for location update in case UE moves between different LMAs within the home core network** + +- In case the UE moves into a foreign core network (CUE exists within the home core network) + +Figure II.4 shows the information flow for fast handover when the UE moves to the area of the new PoA located in the foreign core network. + +- When the UE moves from the area of the old PoA to the new PoA area, the L2 association is performed between the UE and the new PoA. During the L2 association process, the new PoA gets UE L2 ID. +- PoA sends to LMA\_UE a Link\_Up\_Notification message together with UE L2 ID. +- LMA\_UE sends to GMA\_UE a Location\_Registration message together with UE L2 ID and temporal IP address via the previously established LSP between LMA\_UE and GMA\_UE. +- Upon receiving this Location\_Registration message, GMA\_UE searches for UE L2 ID in its global address table. +- If its global address table does not have UE L2 ID, GMA\_UE requests for the other GMA information from the UE. +- The UE responds to GMA\_UE with the UE the persistent IP address as well as the information of H\_GMA. +- GMA\_UE registers the location information of the UE based on the received GMA\_Information\_Response message to H\_GMA. +- By using the registration message of GMA\_UE, H\_GMA updates its global address table related to the location information of the UE and sends the Location\_Registration\_Response message to GMA\_UE. In addition, GMA\_UE sends the Location\_Registration\_Response message to LMA\_UE. +- H\_GMA sends to LMA\_CUE a Binding\_Update\_Notification message together with UE temporal IP address, UE persistent IP address, and LMA\_UE IP address. If LMA, where the UE was connected before handover or LMA\_UE where UE is currently connected, is able to know the location information of CUE, the LMA or LMA\_UE can optionally send the Binding\_Update\_Notification message to LMA\_CUE. + +- LMA\_UE informs the UE of LMA IP address and UE temporary IP address; the UE sends the Address\_Inform\_Response message to LMA\_UE. + +![Sequence diagram showing information flow for location update in a foreign core network. The diagram involves seven entities: UE, PoA, LMA_UE, GMA_UE, H_GMA, LMA_CUE, and CUE. The process starts with L2 Association between UE and PoA. PoA sends Link_Up_Notification to LMA_UE, which responds with Link_Up_Notification_Response (Option). LMA_UE sends Location_Registration to GMA_UE. GMA_UE sends GMA_Inform_Request to UE, which responds with GMA_Inform_Response. GMA_UE sends Location_Registration to H_GMA, which responds with Location_Registration_Response. H_GMA sends Binding_Update_Notification to LMA_CUE, which responds with Binding_Update_Notification_Response (Option). LMA_CUE sends Binding_Update_Notification to CUE, which responds with Binding_Update_Notification_Response (Option). The diagram also shows optional steps for Address_Inform and Binding_Update_Notification between UE and LMA_UE, and between LMA_UE and LMA_CUE.](a74294f34a0c736b7ee0f5f0cdca7e28_img.jpg) + +``` + +sequenceDiagram + participant UE + participant PoA + participant LMA_UE + participant GMA_UE + participant H_GMA + participant LMA_CUE + participant CUE + + UE->>PoA: L2 Association + PoA->>LMA_UE: Link_Up_Notification + LMA_UE-->>PoA: Link_Up_Notification_Response (Option) + LMA_UE->>GMA_UE: Location_Registration + GMA_UE->>UE: GMA_Inform_Request + UE-->>GMA_UE: GMA_Inform_Response + GMA_UE->>H_GMA: Location_Registration + H_GMA-->>GMA_UE: Location_Registration_Response + H_GMA->>LMA_CUE: Binding_Update_Notification + LMA_CUE-->>H_GMA: Binding_Update_Notification_Response (Option) + LMA_CUE->>CUE: Binding_Update_Notification + CUE-->>LMA_CUE: Binding_Update_Notification_Response (Option) + + Note over UE, LMA_UE: < Option > + LMA_UE->>UE: Address_Inform + UE-->>LMA_UE: Address_Inform_Response + + Note over LMA_UE, LMA_CUE: < Option > + LMA_UE->>LMA_CUE: Binding_Update_Notification + LMA_CUE-->>LMA_UE: Binding_Update_Notification_Response + +``` + +Sequence diagram showing information flow for location update in a foreign core network. The diagram involves seven entities: UE, PoA, LMA\_UE, GMA\_UE, H\_GMA, LMA\_CUE, and CUE. The process starts with L2 Association between UE and PoA. PoA sends Link\_Up\_Notification to LMA\_UE, which responds with Link\_Up\_Notification\_Response (Option). LMA\_UE sends Location\_Registration to GMA\_UE. GMA\_UE sends GMA\_Inform\_Request to UE, which responds with GMA\_Inform\_Response. GMA\_UE sends Location\_Registration to H\_GMA, which responds with Location\_Registration\_Response. H\_GMA sends Binding\_Update\_Notification to LMA\_CUE, which responds with Binding\_Update\_Notification\_Response (Option). LMA\_CUE sends Binding\_Update\_Notification to CUE, which responds with Binding\_Update\_Notification\_Response (Option). The diagram also shows optional steps for Address\_Inform and Binding\_Update\_Notification between UE and LMA\_UE, and between LMA\_UE and LMA\_CUE. + +**Figure II.4 – Information flow for location update in case UE is located in a foreign core network, and CUE in the home core network** + +- In case the UE moves into the foreign core network (CUE exists within the home core network) + +Figure II.5 shows the information flow for fast handover when the UE and CUE move to the areas of the new PoAs located in different foreign core networks. + +- When the UE enters a new PoA area, an L2 association is made between the UE and the PoA. During the L2 association, PoA gets UE L2 ID. +- PoA sends to LMA\_UE a Link\_Up\_Notification message together with UE L2 ID. Upon receiving this message, LMA\_UE allocates the temporal IP address for the UE and creates a record for the UE in its local address table. +- LMA\_UE sends to GMA\_UE a Location\_Registration message together with UE L2 ID and temporal IP address for UE and LMA\_UE IP address through the previously established LSP between LMA\_UE and GMA\_UE. +- Upon receiving this Location\_Registration message, GMA\_UE sends the GMA\_Information\_Request message to the UE to confirm whether the UE has information on any other GMA related to the UE. +- The UE sends the GMA\_Information\_Response message to GMA\_UE to let GMA\_UE know that the UE has the information on H\_GMA related to itself. This message includes UE persistent IP address as well as the information of H\_GMA. Upon receiving this message, GMA\_1 stores information on UE L2 ID, UE temporal IP address and persistent IP address, and LMA\_1 IP address. +- GMA\_UE sends the Location\_Registration message to H\_GMA to register UE location information including LMA\_UE IP address and GMA\_UE IP address as well as UE L2 ID, persistent IP address, and temporal IP address. + +- H\_GMA updates UE location information and then sends the Location\_Registration\_Response message to GMA\_UE. + +![Sequence diagram showing information flow for location update in a foreign core network. The diagram involves eight entities: UE, PoA, LMA_UE, GMA_UE, H_GMA, GMA_CUE, LMA_CUE, and CUE. The process starts with L2 Association between UE and PoA. PoA sends Link_Up_Notification to LMA_UE, which then sends Link_Up_Notification_Response (Option) back to PoA. LMA_UE sends Location_Registration to GMA_UE, which sends GMA_Inform_Request to PoA. PoA sends GMA_Inform_Response to GMA_UE. GMA_UE sends Location_Registration to H_GMA, which sends Location_Registration_Response back to GMA_UE. H_GMA sends Binding_Update_Notification to GMA_CUE, which sends Binding_Update_Notification_Response (Option) back to H_GMA. H_GMA also sends Binding_Update_Notification to LMA_CUE, which sends Binding_Update_Notification_Response (Option) back to H_GMA. LMA_UE sends Address_Inform to UE, which sends Address_Inform_Response back to LMA_UE. LMA_UE also sends Location_Registration_Response to GMA_UE. Finally, LMA_UE sends Binding_Update_Notification to LMA_CUE, which sends Binding_Update_Notification_Response back to LMA_UE.](0c08e48c08f96934cd6bc6911f3069dc_img.jpg) + +``` + +sequenceDiagram + participant UE + participant PoA + participant LMA_UE + participant GMA_UE + participant H_GMA + participant GMA_CUE + participant LMA_CUE + participant CUE + + UE->>PoA: L2 Association + PoA->>LMA_UE: Link_Up_Notification + LMA_UE-->>PoA: Link_Up_Notification_Response (Option) + LMA_UE->>GMA_UE: Location_Registration + GMA_UE->>PoA: GMA_Inform_Request + PoA->>GMA_UE: GMA_Inform_Response + GMA_UE->>H_GMA: Location_Registration + H_GMA-->>GMA_UE: Location_Registration_Response + H_GMA->>GMA_CUE: Binding_Update_Notification + GMA_CUE-->>H_GMA: Binding_Update_Notification_Response (Option) + H_GMA->>LMA_CUE: Binding_Update_Notification + LMA_CUE-->>H_GMA: Binding_Update_Notification_Response (Option) + LMA_UE->>UE: Address_Inform + UE-->>LMA_UE: Address_Inform_Response + LMA_UE->>GMA_UE: Location_Registration_Response + LMA_UE->>LMA_CUE: Binding_Update_Notification + LMA_CUE-->>LMA_UE: Binding_Update_Notification_Response + +``` + +Sequence diagram showing information flow for location update in a foreign core network. The diagram involves eight entities: UE, PoA, LMA\_UE, GMA\_UE, H\_GMA, GMA\_CUE, LMA\_CUE, and CUE. The process starts with L2 Association between UE and PoA. PoA sends Link\_Up\_Notification to LMA\_UE, which then sends Link\_Up\_Notification\_Response (Option) back to PoA. LMA\_UE sends Location\_Registration to GMA\_UE, which sends GMA\_Inform\_Request to PoA. PoA sends GMA\_Inform\_Response to GMA\_UE. GMA\_UE sends Location\_Registration to H\_GMA, which sends Location\_Registration\_Response back to GMA\_UE. H\_GMA sends Binding\_Update\_Notification to GMA\_CUE, which sends Binding\_Update\_Notification\_Response (Option) back to H\_GMA. H\_GMA also sends Binding\_Update\_Notification to LMA\_CUE, which sends Binding\_Update\_Notification\_Response (Option) back to H\_GMA. LMA\_UE sends Address\_Inform to UE, which sends Address\_Inform\_Response back to LMA\_UE. LMA\_UE also sends Location\_Registration\_Response to GMA\_UE. Finally, LMA\_UE sends Binding\_Update\_Notification to LMA\_CUE, which sends Binding\_Update\_Notification\_Response back to LMA\_UE. + +**Figure II.5 – Information flow for location update in case UE and CUE are located in a foreign core network** + +- H\_GMA sends to GMA\_CUE and LMA\_CUE a Binding\_Update\_Notification message together with UE persistent IP address and temporal IP address and LMA\_2 IP address. If LMA, where the UE was connected before handover or LMA\_UE where the UE is currently connected, is able to know the location information of CUE, the LMA\_UE or LMA can optionally send the Binding\_Update\_Notification message to LMA\_CUE. +- After receiving the Location\_Registration\_Response message from GMA\_CUE, LMA\_UE sends to the UE the Address\_Inform message including UE temporal IP and LMA\_UE IP address and receives the Address\_Inform\_Response message as a response. + +### II.3 Location query/response for user data transmission + +This clause describes the information flows for the location query/response for user data transmission in three cases: (1) both the UE and the CUE are located within the home core network; (2) the UE is located in a foreign core network, and the CUE in the home core network; and (3) both the UE and the CUE are located within different foreign core networks. + +- In case the UE and the CUE are located within the home core network + +Figure II.6 shows the information flow for data packet transmission between the UE and the CUE when H\_GMA has UE temporal IP address. + +- When the CUE sends data packets, the UE persistent IP address is used for the destination IP address; the CUE persistent IP address is used for the source IP address. +- Upon receiving the first packet toward the UE, LER\_2 searches for UE temporal IP address in its local address table. If it does not have UE temporal IP address, LER\_2 sends a Packet\_Arrival\_Event to LMA\_2. + +- When receiving this message, the LMA\_2 sends a Location\_Query message to H\_GMA to determine UE temporal IP address. +- Upon receiving this message, H\_GMA searches for UE temporal IP address in its global address table. If it has UE temporal IP address in its global address table, H\_GMA sends a Location\_Query\_Response message to LMA\_2. +- On the other hand, upon receiving a Location\_Query message from the LMA\_2, H\_GMA sends a Binding\_Update\_Notification message to LMA\_1 to set up another endpoint of LSP tunnel. This message contains the CUE temporal IP address (i.e., LSP endpoint controlled by LMA\_2). +- Tunnel\_Request/Response messages are exchanged between LMA\_1 and LER\_1 and between LMA\_2 and LER\_2 to set up LSP for user data transmission. +- During this process, the received packets from CUE may be buffered in LER\_2. +- Finally, data packets from the CUE to UE can be transmitted through the LSP tunnel established between LER\_2 and LER\_1. + +![Sequence diagram showing information flow for location query/response between UE, LMA-1, LER-1, H_GMA, LMA-2, LER-2, and CUE. The diagram illustrates the setup of an LSP tunnel and the subsequent data packet transmission.](043e64d41a3368d138ace3816fd26469_img.jpg) + +``` + +sequenceDiagram + participant UE + participant LMA-1 + participant LER-1 + participant H_GMA + participant LMA-2 + participant LER-2 + participant CUE + + CUE->>LER-2: Data Packet + LER-2->>LMA-2: Packet_Arrival_Event + LMA-2->>H_GMA: Location_Query + H_GMA->>LMA-2: Location_Query_Response + H_GMA->>LMA-1: Binding_Update_Notification + LMA-1->>H_GMA: Binding_Update_Notification_Response + LMA-1->>LER-1: Tunnel_Request + LER-1->>LMA-1: Tunnel_Reponse + LMA-2->>LER-2: Tunnel_Request + LER-2->>LMA-2: Tunnel_Reponse + Note over LER-1, LER-2: LSP Tunnel + CUE->>LER-2: Data Packet + LER-2->>LER-1: Data Packet + LER-1->>UE: Data Packet + +``` + +The diagram illustrates the information flow for location query/response and data packet transmission. The participants involved are UE, LMA-1, LER-1, H\_GMA, LMA-2, LER-2, and CUE. The process begins with a Data Packet being received by LER-2 from CUE. LER-2 sends a Packet\_Arrival\_Event to LMA-2. LMA-2 then sends a Location\_Query message to H\_GMA, which responds with a Location\_Query\_Response. H\_GMA sends a Binding\_Update\_Notification to LMA-1, which responds with a Binding\_Update\_Notification\_Response. LMA-1 then sends a Tunnel\_Request to LER-1, which responds with a Tunnel\_Reponse. LMA-2 sends a Tunnel\_Request to LER-2, which responds with a Tunnel\_Reponse. Finally, an LSP Tunnel is established between LER-1 and LER-2. Data packets are then transmitted from CUE to LER-2, and from LER-2 to LER-1, and finally to the UE. + +Sequence diagram showing information flow for location query/response between UE, LMA-1, LER-1, H\_GMA, LMA-2, LER-2, and CUE. The diagram illustrates the setup of an LSP tunnel and the subsequent data packet transmission. + +**Figure II.6 – Information flow for location query/response in case UE and CUE are located within the home core network** + +- In case the UE is located in the foreign core network (CUE exists within the home core network) + +Figure II.7 shows the information flow for data packet transmission between the UE and the CUE in case the UE moves into the foreign core network and the CUE is located within the home core network. + +- Upon receiving the first packet toward the UE, H\_LER searches for UE temporal IP address in its local address table. If it does not have UE temporal IP address, H\_LER sends a Packet\_Arrival\_Event to H\_LMA. +- When receiving this message, the H\_LMA sends a Location\_Query message to H\_GMA to determine UE temporal IP address. +- Upon receiving this message, H\_GMA searches for UE temporal IP address in its global address table. If it has UE temporal IP address, GMA sends a Location\_Query\_Response message to H\_LMA. + +- On the other hand, upon receiving a Location\_Query message from the H\_LMA, H\_GMA sends a Binding\_Update\_Notification message to LMA\_UE to set up another endpoint of LSP tunnel. This message contains the CUE temporal IP address (i.e., LSP endpoint controlled by H\_LMA). +- Tunnel\_Request/Response messages are exchanged between LMA\_UE and LER\_UE and between H\_LMA and H\_LER to set up LSP for user data transmission. +- During this process, the received packets from the CUE may be buffered in H\_LER. +- Finally, data packets from the CUE to the UE can be transmitted through the LSP tunnel established between H\_LER and LER\_UE. + +![Sequence diagram showing information flow for location query/response when UE is in a foreign core network. The diagram involves eight entities: UE, LMA_UE, LER_UE, GMA_UE, H_GMA, H_LMA, H_LER, and CUE. The process starts with a Data Packet arriving at CUE. CUE sends a Packet_Arrival_Event to H_LER. H_LER sends a Location_Query to H_LMA. H_LMA sends a Location_Query_Response to H_GMA. H_GMA sends a Binding_Update_Notification to LMA_UE. LMA_UE sends a Binding_Update_Notification_Response to GMA_UE. LMA_UE sends a Tunnel_Request to LER_UE, which responds with a Tunnel_Response. H_LMA sends a Tunnel_Request to H_LER, which responds with a Tunnel_Response. A blue bar labeled 'LSP Tunnel' spans from LER_UE to H_LER. Finally, a Data Packet is sent from CUE through the LSP Tunnel to LER_UE, and then to UE.](d17aa1fcc3b86503ad1dd0717a6c34c2_img.jpg) + +``` + +sequenceDiagram + participant UE + participant LMA_UE + participant LER_UE + participant GMA_UE + participant H_GMA + participant H_LMA + participant H_LER + participant CUE + + CUE->>H_LER: Packet_Arrival_Event + H_LER->>H_LMA: Location_Query + H_LMA-->>H_GMA: Location_Query_Response + H_GMA->>LMA_UE: Binding_Update_Notification + LMA_UE-->>GMA_UE: Binding_Update_Notification_Response + LMA_UE->>LER_UE: Tunnel_Request + LER_UE-->>LMA_UE: Tunnel_Response + H_LMA->>H_LER: Tunnel_Request + H_LER-->>H_LMA: Tunnel_Response + Note over LER_UE, H_LER: LSP Tunnel + CUE->>LER_UE: Data Packet + LER_UE->>UE: Data Packet + +``` + +Sequence diagram showing information flow for location query/response when UE is in a foreign core network. The diagram involves eight entities: UE, LMA\_UE, LER\_UE, GMA\_UE, H\_GMA, H\_LMA, H\_LER, and CUE. The process starts with a Data Packet arriving at CUE. CUE sends a Packet\_Arrival\_Event to H\_LER. H\_LER sends a Location\_Query to H\_LMA. H\_LMA sends a Location\_Query\_Response to H\_GMA. H\_GMA sends a Binding\_Update\_Notification to LMA\_UE. LMA\_UE sends a Binding\_Update\_Notification\_Response to GMA\_UE. LMA\_UE sends a Tunnel\_Request to LER\_UE, which responds with a Tunnel\_Response. H\_LMA sends a Tunnel\_Request to H\_LER, which responds with a Tunnel\_Response. A blue bar labeled 'LSP Tunnel' spans from LER\_UE to H\_LER. Finally, a Data Packet is sent from CUE through the LSP Tunnel to LER\_UE, and then to UE. + +**Figure II.7 – Information flow for location query/response in case UE is located in a foreign core network (CUE exists within the home core network)** + +- In case the UE and CUE are located within different foreign core networks + +Figure II.8 shows the information flow for data packet transmission between the UE and CUE when GMA\_CUE does not have UE temporal IP address. + +- Upon receiving the first packet toward the UE, LER\_CUE searches for UE temporal IP address in its local address table. If it does not have UE temporal IP address, LER\_CUE sends a Packet\_Arrival\_Event to LMA\_CUE. +- When receiving this message, the LMA\_CUE sends a Location\_Query message to GMA\_CUE to determine UE temporal IP address. +- Upon receiving a Location\_Query message from LMA\_CUE, GMA\_CUE searches for UE temporal IP address in its global address table. If GMA\_CUE does not have UE temporal IP address, it sends a Location\_Query message to H\_GMA. +- When H\_GMA responds with UE temporal address, GMA\_CUE updates its global address table and sends a Location\_Query\_Response message to LMA\_CUE via GMA\_CUE. +- On the other hand, upon receiving a Location\_Query message from the GMA\_CUE, H\_GMA sends a Binding\_Update\_Notification message to LMA\_UE to set up another endpoint of LSP tunnel. This message contains the CUE temporal IP address (i.e., LSP endpoint controlled by LMA\_CUE). +- Tunnel\_Request/Response messages are exchanged between LMA\_UE and LER\_UE and between LMA\_CUE and LER\_CUE to set up LSP for user data transmission. +- During this process, the received packets from CUE may be buffered in LER\_CUE. + +- Finally, data packets from the CUE to UE can be transmitted through the LSP tunnel established between LER\_CUE and LER\_UE. + +![Sequence diagram showing information flow for location query/response between UE and CUE across different core networks.](2bacc162a73d75c43a7f90715832bd13_img.jpg) + +``` + +sequenceDiagram + participant UE + participant LMA_UE + participant LER_UE + participant GMA_UE + participant H_GMA + participant GMA_CUE + participant LMA_CUE + participant LER_CUE + participant CUE + + LER_UE->>LMA_UE: Binding_Update_Notification + LMA_UE->>LER_UE: Binding_Update_Notification_Response + LER_UE->>LMA_UE: Tunnel_Request + LMA_UE->>LER_UE: Tunnel_Reponse + LER_UE->>LER_CUE: Binding_Update_Notification + LER_CUE->>LER_UE: Binding_Update_Notification_Response + LER_CUE->>LER_UE: Tunnel_Request + LER_UE->>LER_CUE: Tunnel_Reponse + LER_CUE->>GMA_CUE: Location_Query + GMA_CUE->>LER_CUE: Location_Query_Response + LER_CUE->>GMA_UE: Location_Query + GMA_UE->>LER_CUE: Location_Query_Response + LER_CUE->>LER_UE: Packet_Arrival_Event + LER_UE->>UE: Data Packet + CUE->>LER_CUE: Data Packet + LER_CUE->>LER_UE: Data Packet + LER_UE->>UE: Data Packet + +``` + +The diagram illustrates the information flow for a location query and response when the UE and CUE are in different foreign core networks. The sequence of events is as follows: + +- Binding Update:** LER\_UE sends a *Binding\_Update\_Notification* to LMA\_UE, which responds with *Binding\_Update\_Notification\_Response*. LER\_UE then sends a *Tunnel\_Request* to LMA\_UE, which responds with *Tunnel\_Reponse*. LER\_CUE sends a *Binding\_Update\_Notification* to LER\_UE, which responds with *Binding\_Update\_Notification\_Response*. LER\_CUE then sends a *Tunnel\_Request* to LER\_UE, which responds with *Tunnel\_Reponse*. +- Location Query:** LER\_CUE sends a *Location\_Query* to GMA\_CUE, which responds with *Location\_Query\_Response*. LER\_CUE then sends a *Location\_Query* to GMA\_UE, which responds with *Location\_Query\_Response*. +- Data Packet Flow:** LER\_CUE sends a *Packet\_Arrival\_Event* to LER\_UE. LER\_UE then sends a *Data Packet* to the UE. Simultaneously, the CUE sends a *Data Packet* to LER\_CUE, which then forwards it to LER\_UE, and finally to the UE. + +The LSP Tunnel is established between LER\_CUE and LER\_UE, as indicated by the blue bars at the bottom of the diagram. + +Sequence diagram showing information flow for location query/response between UE and CUE across different core networks. + +**Figure II.8 – Information flow for location query/response in case UE and CUE are located within different foreign core networks** + +## Bibliography + +The following references are useful to understand this Recommendation: + +- [b-ITU-T Y.1281] Recommendation ITU-T Y.1281 (2003), *Mobile IP services over MPLS*. +- [b-ITU-T Y.2001] Recommendation ITU-T Y.2001 (2004), *General overview of NGN*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2007), *Terms and definitions for Next Generation Networks*. +- [b-ITU-T Y.2174] Recommendation ITU-T Y.2174 (2008), *Distributed RACF architecture for MPLS networks*. +- [b-ITU-T Y.2175] Recommendation ITU-T Y.2175 (2008), *Centralized RACF architecture for MPLS core networks*. +- [b-ITU-T Y.2201] Recommendation ITU-T Y.2201 (2007), *NGN Release 1 requirements*. +- [b-ITU-T Y-Sup.1] ITU-T Y-series Recommendations – Supplement 1 (2006), *ITU-T Y.2000 series – Supplement on NGN Release 1 scope*. +- [b-IEEE 802.21] IEEE 802.21 (2008), *Standard for Local and metropolitan area networks: Media Independent Handover*. +- [b-IETF RFC 2475] IETF RFC 2475 (1998), *An Architecture for Differentiated Services*. +- [b-IETF RFC 3031] IETF RFC 3031 (2001), *Multiprotocol Label Switching Architecture*. +- [b-IETF RFC 3036] IETF RFC 3036 (2001), *LDP Specification*. +- [b-IETF RFC 3209] IETF RFC 3209 (2001), *RSVP-TE: Extensions to RSVP for LSP Tunnels*. +- [b-IETF RFC 3212] IETF RFC 3212 (2002), *Constraint-Based LSP Setup using LDP*. +- [b-IETF RFC 3344] IETF RFC 3344 (2002), *IP Mobility Support for IPv4*. +- [b-IETF RFC 3775] IETF RFC 3775 (2004), *Mobility Support in IPv6*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.2809-201111-I_PDF-E/088921fa3f5a44c8551815122517eefd_img.jpg b/marked/Y/T-REC-Y.2809-201111-I_PDF-E/088921fa3f5a44c8551815122517eefd_img.jpg new file mode 100644 index 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INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Next Generation Networks – Generalized mobility + +# --- **Framework of mobility management in the service stratum for next generation networks** + +Recommendation ITU-T Y.2809 + +![ITU logo: a globe with red lightning bolts and the text 'ITU International Telecommunication Union'](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text "ITU" is written in a large, bold, blue font, and below it, the words "International Telecommunication Union" are written in a smaller, blue font. + +ITU logo: a globe with red lightning bolts and the text 'ITU International Telecommunication Union' + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Smart ubiquitous networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| Future networks | Y.3000–Y.3099 | + +For further details, please refer to the list of ITU-T Recommendations. + +## **Recommendation ITU-T Y.2809** + +# **Framework of mobility management in the service stratum for next generation networks** + +## **Summary** + +Recommendation ITU-T Y.2809 describes the framework of mobility management (MM) in the service stratum for next generation networks (NGNs). This Recommendation identifies the functional architecture of MM in the NGN service stratum, and specifies the procedural information flows for location management and handover control based on the IP multimedia subsystem (IMS). + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2809 | 2011-11-29 | 13 | + +## **Keywords** + +Framework, mobility management, NGN, service stratum. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2012 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|----------------------------------------------------------------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| 4 | Abbreviations and acronyms ..... | 1 | +| 5 | Conventions ..... | 2 | +| 6 | Design considerations ..... | 2 | +| 7 | Functional architecture for MM in the service stratum ..... | 4 | +| | 7.1 Generic architectural model ..... | 4 | +| | 7.2 MM functional entities in the service control function ..... | 5 | +| | 7.3 Mappings between IMS functions and MM control functions..... | 6 | +| 8 | Information flows for IMS-based location management..... | 7 | +| | 8.1 Location registration and location re-registration ..... | 7 | +| | 8.2 Location query..... | 8 | +| 9 | Information flows for IMS-based handover control..... | 10 | +| | 9.1 Handover by interaction between P-CSCF and S-CSCF ..... | 10 | +| | 9.2 Handover control by interaction between two neighbouring proxy call
session control functional entities (P-CSC-FEs) ..... | 12 | +| 10 | Security considerations ..... | 13 | +| | Appendix I – Use cases of IMS-based MM with IEEE 802.21 ..... | 14 | +| | Appendix II – Examples of IMS handover using network agents ..... | 21 | +| | II.1 RACF applicability in the IMS handover..... | 21 | +| | II.2 GGSN applicability in the IMS handover ..... | 22 | +| | Bibliography..... | 24 | + +## **Introduction** + +This Recommendation describes the framework of mobility management (MM) in the service stratum for NGNs. This work has been motivated by the observation that MM is an essential functionality to provide seamless mobility for NGN users and services. This Recommendation is a part of the MM framework for NGNs. Based on the generic framework of [ITU-T Q.1707], the two Recommendations [ITU-T Q.1708] and [ITU-T Q.1709] have addressed the MM schemes in the NGN transport stratum, whereas this Recommendation deals with the MM schemes in the NGN service stratum. + +## Recommendation ITU-T Y.2809 + +# Framework of mobility management in the service stratum for next generation networks + +## 1 Scope + +This Recommendation describes the framework of mobility management (MM) in the service stratum for next generation networks (NGNs). This Recommendation addresses the issues on terminal mobility based on the IP multimedia subsystem (IMS). This Recommendation first identifies the functional architecture of MM in the NGN service stratum, and then specifies the procedural information flows for location management and handover control based on the identified functional architecture. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Q.1707] Recommendation ITU-T Q.1707/Y.2804 (2008), *Generic framework of mobility management for next generation networks*. +- [ITU-T Q.1708] Recommendation ITU-T Q.1708/Y.2805 (2008), *Framework of location management for NGN*. +- [ITU-T Q.1709] Recommendation ITU-T Q.1709/Y.2806 (2008), *Framework of handover control for NGN*. +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [ITU-T Y.2091] Recommendation ITU-T Y.2091 (2007), *Terms and definitions for next generation networks*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. + +## 3 Definitions + +This Recommendation uses the terms and definitions given in [ITU-T Y.2012], [ITU-T Y.2091], [ITU-T Q.1707], [ITU-T Q.1708], and [ITU-T Q.1709]. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +- ABG-FE Access Border Gateway Functional Entity +- A-MMCF Access Mobility Management Control Function +- BGF Border Gateway Function +- CN Correspondent Node + +| | | +|----------|-----------------------------------------------------------| +| CSC-FE | Call Session Control Functional Entity | +| EN-FE | Edge Node Functional Entity | +| FE | Functional Entity | +| GGSN | GPRS Gateway Supporting Node | +| HC | Handover Control | +| HC-FE | Handover Control Functional Entity | +| HSS | Home Subscriber Subsystem | +| IBG-FE | Interconnection Border Gateway Functional Entity | +| I-CSC-FE | Interrogating Call Session Control Functional Entity | +| IMS | Internet Protocol Multimedia Subsystem | +| IP | Internet Protocol | +| LM | Location Management | +| MIH | Media Independent Handover | +| MM | Mobility Management | +| MMCF | Mobility Management Control Function | +| MN | Mobile Node | +| NGN | Next Generation Network | +| P-CSC-FE | Proxy Call Session Control Functional Entity | +| RACF | Resource Admission Control Function | +| SAA-FE | Service Authentication Authorization Functional Entity | +| SCF | Service Control Function | +| S-CSC-FE | Serving Call Session Control Functional Entity | +| SDP | Session Description Protocol | +| S-HC-FE | Handover Control Functional Entity in the Service Stratum | +| SIP | Session Initiation Protocol | +| SUP-FE | Service User Profile Functional Entity | +| UE | User Equipment | + +## **5 Conventions** + +None. + +## **6 Design considerations** + +This Recommendation considers mobility management (MM) in the service stratum of NGNs. In the network, a user or a user equipment (UE) may change its IP address by movement and thus the user may experience service disruption and session discontinuity. This Recommendation deals with the MM schemes or protocols that can be used to provide seamless services and session continuity against the movement of users. To provide seamless mobility, the link-layer information on the concerned access links might be used in the MM schemes, as shown in the IEEE 802.21 media independent handover (MIH). In this fashion, the so-called cross-layer optimization tasks may need + +to be taken to provide seamless mobility. However, the details of a specific link-layer technology are outside the scope of this Recommendation. + +It is noted that the IP multimedia subsystem (IMS) platform can typically be used to support a variety of multimedia services. [b-ITU-T F.700] gives a generic model of multimedia service architecture. Multimedia services are built up by combining 'communication tasks' and organizing their interaction. A communication task is considered as a functional entity of a multimedia service, which performs its communication features. Each communication task handles a set of media components in a synchronized way, in order to convey and control information types such as audio or video. Media components are individual (mono-media) components, which handle functions related to each independent medium such as capture, coding and presentation. With regard to communication tasks, [b-ITU-T F.700] mentions 'conversing', 'conferencing', 'distributing', 'sending', 'receiving' and 'collecting'. It shall be noted that this list of communication tasks can be extended by new tasks or by the refinement of given tasks. Audio, video, text, graphics and data are identified on the level of media components. + +![Figure 1: Reference model of generic multimedia services. The diagram shows a hierarchical structure. At the top is a rectangle labeled 'Generic multimedia service'. It connects via solid lines to two rounded rectangles below it: 'Communication Task A' on the left and 'Communication Task B' on the right. 'Communication Task B' is enclosed in a dashed border. Below 'Communication Task A', two solid lines connect to two ovals: 'Media component 1' and 'Media component 2'. Below 'Communication Task B', two dashed lines connect to two ovals: 'Media component 3' and 'Media component 4'. A legend at the bottom left indicates that solid lines represent 'Mandatory' relationships and dashed lines represent 'Optional' relationships. The text 'Y.2809(11)_F01' is located at the bottom right of the diagram area.](562f471e8153729557e6a4ee6343c32c_img.jpg) + +Figure 1: Reference model of generic multimedia services. The diagram shows a hierarchical structure. At the top is a rectangle labeled 'Generic multimedia service'. It connects via solid lines to two rounded rectangles below it: 'Communication Task A' on the left and 'Communication Task B' on the right. 'Communication Task B' is enclosed in a dashed border. Below 'Communication Task A', two solid lines connect to two ovals: 'Media component 1' and 'Media component 2'. Below 'Communication Task B', two dashed lines connect to two ovals: 'Media component 3' and 'Media component 4'. A legend at the bottom left indicates that solid lines represent 'Mandatory' relationships and dashed lines represent 'Optional' relationships. The text 'Y.2809(11)\_F01' is located at the bottom right of the diagram area. + +**Figure 1 – Reference model of generic multimedia services [b-ITU-T F.700]** + +Figure 1 shows the relationship among multimedia services, communication tasks and media components. Communication tasks and media components will form the basic set of a specific multimedia service. For example, by the used media components, the multimedia conversational services can be further divided into: + +- videophone service, with audio and moving pictures and optionally various types of data; +- voice and data services, with audio and various types of data; +- text telephony, with real time text, optionally combined with audio; +- total conversation service, with moving pictures, real time text and audio. + +In general, the MM schemes for mobility support in NGNs can be classified into the network layer MM (in the transport stratum) and the application layer MM (in the service stratum). The MM issues in the network layer or in the transport stratum are addressed in [ITU-T Q.1708] and [ITU-T Q.1709]. This Recommendation focuses on the MM issues in the application layer or in the service stratum. In the application layer, the IP multimedia subsystem (IMS) platform will be considered and enhanced to provide seamless mobility. + +This Recommendation describes the framework of MM in the NGN service stratum. For this purpose, the MM functional architecture based on the IMS platform is discussed, and the service control function (SCF) of the IMS will be investigated and further enhanced to support seamless mobility. Based on the functional architecture, the procedural information flows will be described for location management and handover control. + +## 7 Functional architecture for MM in the service stratum + +### 7.1 Generic architectural model + +The generic architectural model for MM in the service stratum is described in Figure 2, in which the MM functionality is provided via collaborative interactions between the functional entities (FEs) in the SCF and transport function (TF). + +![Figure 2: Generic architecture of mobility management (MM) in the service stratum. The diagram shows a hierarchical structure. At the top is a large oval containing SAA-FE, SUP-FE, SL-FE, and P/S-CSC-FE. Below this is a box labeled 'Service control function' containing three S-HC-FE entities. At the bottom is a box labeled 'Transport function' containing two groups of FE entities: 'Visited network' and 'Home network'. The 'Visited network' group contains three FE entities, and the 'Home network' group contains four FE entities. A Mobile Network (MN) is shown at the bottom left, connected to the 'Visited network' FE entities. A Core Network (CN) is shown at the bottom right, connected to the 'Home network' FE entities. Solid lines connect P/S-CSC-FE to the three S-HC-FE entities. Solid lines also connect each S-HC-FE entity to the FE entities in both the 'Visited network' and 'Home network' groups. Dashed lines connect the MN to the FE entities in the 'Visited network' group and to the FE entities in the 'Home network' group. A dashed line also connects the MN to the P/S-CSC-FE entity. The label 'Y.2809(11)_F02' is at the bottom right of the diagram.](e6df2733626a85205c1db682e6259c46_img.jpg) + +Figure 2: Generic architecture of mobility management (MM) in the service stratum. The diagram shows a hierarchical structure. At the top is a large oval containing SAA-FE, SUP-FE, SL-FE, and P/S-CSC-FE. Below this is a box labeled 'Service control function' containing three S-HC-FE entities. At the bottom is a box labeled 'Transport function' containing two groups of FE entities: 'Visited network' and 'Home network'. The 'Visited network' group contains three FE entities, and the 'Home network' group contains four FE entities. A Mobile Network (MN) is shown at the bottom left, connected to the 'Visited network' FE entities. A Core Network (CN) is shown at the bottom right, connected to the 'Home network' FE entities. Solid lines connect P/S-CSC-FE to the three S-HC-FE entities. Solid lines also connect each S-HC-FE entity to the FE entities in both the 'Visited network' and 'Home network' groups. Dashed lines connect the MN to the FE entities in the 'Visited network' group and to the FE entities in the 'Home network' group. A dashed line also connects the MN to the P/S-CSC-FE entity. The label 'Y.2809(11)\_F02' is at the bottom right of the diagram. + +**Figure 2 – Generic architecture of mobility management (MM) in the service stratum** + +The SCF may comprise the following components, which are described in the NGN architecture [ITU-T Y.2012]: + +- call session control functional entity (CSC-FE); +- service authentication authorization functional entity (SAA-FE); +- service user profile functional entity (SUP-FE); +- subscription locator functional entity (SL-FE). + +In addition, the handover control FE in the service stratum (S-HC-FE) is defined to support the handover of users in the service stratum. Such S-HC-FEs in the service stratum may be differently defined and implemented from the HC-FEs in the transport control function, which were described in [ITU-T Q.1708] and [ITU-T Q.1709]. + +In the service stratum, the MM functions are divided into the location management (LM) functionality and the handover control (HC) functionality. The CSC-FEs are used to provide the LM functionality (e.g., for location registration and/or update and location query from the UE or the + +network agent on behalf of the UE). On the other hand, the HC-FEs are defined and used to provide the seamless mobility for NGN users. For handover control, the HC-FEs may exchange the control messages with the FEs in the transport stratum, which may be used for management of handover tunnels or for optimization of data paths during handover. + +In the transport stratum, some of the FEs may need to provide the handover enforcement at the network entities. Typical operations for handover control include the encapsulation, de-capsulation and forwarding of data packets based on the bearer path under the control of HC-FEs. It is noted that such HC-FEs may be instantiated by some of the NGN transport FEs, such as the edge node FE (EN-FE), access border gateway FE (ABG-FE) and interconnection border gateway FE (IBG-FE), which are described in the NGN architecture [ITU-T Y.2012]. + +In the MM model, a user moves from the home network to a visited network, which may belong to a different NGN provider (administration domain). The detailed MM scenarios will be described in the following clauses. + +### 7.2 MM functional entities in the service control function + +The FEs in the service control function in the IMS-based NGN can be used for MM, as described in Figure 3. + +![Figure 3: MM functional entities in an IMS-based NGN. The diagram shows a hierarchical structure of functional entities. At the top is a box labeled 'Application support functions and service support functions' containing A-S1 through A-S6. Below this is the 'Service control' block, which contains several sub-blocks: S-14 (Media resource broker FE), S-15 (General services control FE), S-6 (Service authentication and authorization FE), S-5 (Service user profile FE), S-4 (Subscription locator FE), S-11 (User signalling interworking FE), S-2 (Proxy call session control FE), S-1 (Serving call session control FE), S-3 (Interrogating call session control FE), S-12 (Network signalling interworking FE), S-7 (Interconnection border gateway control FE), S-13 (Media resource control FE), S-8 (Access gateway control FE), S-10 (Breakout gateway control FE), and S-9 (Media gateway control FE). On the left, S-U1 and S-U2 are connected to S-11. On the right, S-ON1, S-ON2, and S-ON3 are connected to S-12, S-7, and S-10 respectively. At the bottom, a row of boxes labeled S-TC1 through S-T5 represents transport stratum entities, with various lines connecting them to the service control entities above. A reference 'Y.2809(11)_F03' is at the bottom right.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +Figure 3: MM functional entities in an IMS-based NGN. The diagram shows a hierarchical structure of functional entities. At the top is a box labeled 'Application support functions and service support functions' containing A-S1 through A-S6. Below this is the 'Service control' block, which contains several sub-blocks: S-14 (Media resource broker FE), S-15 (General services control FE), S-6 (Service authentication and authorization FE), S-5 (Service user profile FE), S-4 (Subscription locator FE), S-11 (User signalling interworking FE), S-2 (Proxy call session control FE), S-1 (Serving call session control FE), S-3 (Interrogating call session control FE), S-12 (Network signalling interworking FE), S-7 (Interconnection border gateway control FE), S-13 (Media resource control FE), S-8 (Access gateway control FE), S-10 (Breakout gateway control FE), and S-9 (Media gateway control FE). On the left, S-U1 and S-U2 are connected to S-11. On the right, S-ON1, S-ON2, and S-ON3 are connected to S-12, S-7, and S-10 respectively. At the bottom, a row of boxes labeled S-TC1 through S-T5 represents transport stratum entities, with various lines connecting them to the service control entities above. A reference 'Y.2809(11)\_F03' is at the bottom right. + +**Figure 3 – MM functional entities in an IMS-based NGN [Y.2012]** + +The FEs in Figure 3, which are associated with MM, are described below. + +#### 7.2.1 S-CSC-FE (S-1) + +The serving call session control FE (S-CSC-FE) handles the functionality related to session control, such as registration, session set-up/modification/teardown, and routing of session messages. In particular, the S-CSC-FE performs the registration functions for location management. + +It can determine that a particular user and/or terminal identifier is currently in service and can interact with the SUP-FE (possibly via the SL-FE) to obtain the relevant service profile and address information which will act as an input to the service triggering and routing functions of the S-CSC-FE. + +#### **7.2.2 P-CSC-FE (S-2)** + +The proxy call session control FE (P-CSC-FE) acts as the contact point to a user for session-based services. Its IP address is discovered by the user's terminal using an address configuration mechanism such as static provisioning or dynamic address configuration in the NACF. + +P-CSC-FE shall have the capability to forward the registration request from a user to an appropriate I-CSC-FE. The P-CSC-FE shall have the capability to forward the registration request messages received from the terminal to the S-CSC-FE. + +#### **7.2.3 I-CSC-FE (S-3)** + +The interrogating call session control FE (I-CSC-FE) is the contact point within an operator's network for all service connections destined to a user of that network operator. In the LM perspective, the I-CSC-FE performs the registration process by assigning an S-CSC-FE to a user. + +#### **7.2.4 Subscription locator FE (S-4)** + +The subscription locator FE (SL-FE) may be queried by the S-CSC-FE, I-CSC-FE, or application support FE, to obtain the address of the SUP-FE for the required subscriber. The SL-FE is used to find the address of the physical entity that keeps the subscriber's information for a given user identifier. + +#### **7.2.5 Service user profile FE (S-5)** + +The service user profile FE (SUP-FE) is responsible for storing user profiles, subscriber-related location information, and presence information, in the service stratum. + +#### **7.2.6 Service AA-FE (S-6)** + +The service authentication and authorization FE (SAA-FE) provides the authentication and authorization in the service stratum. The SAA-FE will perform the first step for the MM process via authentication, authorization, and accounting of users/terminals. + +### **7.3 Mappings between IMS functions and MM control functions** + +It is noted that some of the IMS FEs could be used only for the LM functionality in the service stratum, without supporting the handover control. Some of the example usage or mapping scenarios between IMS functions and MM control functions (MMCF), defined in [ITU-T Q.1707] (MM framework), are described as follows: + +- Use of P-CSCF as A-MMCF (or A-LMF) in the service stratum: +P-CSCF is the first contact point in the IMS, so it could be used for A-MMCF in the service stratum which is defined in [ITU-T Q.1707]. Note that A-MMCF should support MM2 (Inter-AN MM) and MM3 (Intra-AN MM), but the conventional P-CSCF supports only the call-forwarding function. Therefore, in this case, a new function to support mobility management including MM2 and MM3 should be added to the conventional P-CSCF. +- Use of S-CSCF/HSS as C-MMCF in the service stratum: +S-CSCF is likely to be located in the core network, which is responsible for accepting the registration request. Also, it makes the registration information available through the location server (i.e., HSS). Therefore S-CSCF could be mapped into C-MMCF in the service stratum along with HSS, which provides location information. Even though S-CSCF provides basic functions for mobility management, it may not be sufficient to support the full functions of C-MMCF in terms of MM types: MM1 (inter-CN MM), MM2, and MM3, described in [ITU-T Q.1707]. Therefore, in this case, some functions to support mobility management including MM2 and MM3 should be added to conventional P-CSCF, or should cooperate with other functions (or functional entities) in the transport/service stratum. + +- Use of I-CSCF: +I-CSCF is used only for the assignment of S-CSCF in IMS and does not maintain any information related to registration. Therefore, it does not seem to have a direct relationship with MMCF in the service stratum. However, the I-CSCF may be used for MM1 using its interworking supporting function. + +## 8 Information flows for IMS-based location management + +### 8.1 Location registration and location re-registration + +The IMS-based location registration and update (re-registration) procedures are described in Figure 4. + +![Sequence diagram for IMS-based location registration and re-registration. The diagram shows the interaction between a Visited network (UE, P-CSC-FE) and a Home network (I-CSC-FE, SUP-FE, S-CSC-FE). The steps are: 1. Register (UE to P-CSC-FE), 2. Register (P-CSC-FE to I-CSC-FE), 3. Cx-Query/Cx-Select-Pull (I-CSC-FE to SUP-FE), 4. Cx-Query Resp/Cx-Select-Pull Resp (SUP-FE to I-CSC-FE), 5. Register (I-CSC-FE to S-CSC-FE), 6. Cx-Put/Cx-Pull (I-CSC-FE to SUP-FE), 7. Cx-Put Resp/Cx-Pull Resp (SUP-FE to I-CSC-FE), 8. Service control (I-CSC-FE to S-CSC-FE), 9. 200 OK (S-CSC-FE to I-CSC-FE), 10. 200 OK (I-CSC-FE to P-CSC-FE), 11. 200 OK (P-CSC-FE to UE).](cab0834804fb031b43865554cc8d06ab_img.jpg) + +``` + +sequenceDiagram + participant UE + participant P_CSC_FE as P-CSC-FE + participant I_CSC_FE as I-CSC-FE + participant SUP_FE as SUP-FE + participant S_CSC_FE as S-CSC-FE + + Note over Visited network + Note over Home network + + UE->>P_CSC_FE: 1. Register + P_CSC_FE->>I_CSC_FE: 2. Register + I_CSC_FE->>SUP_FE: 3. Cx-Query/Cx-Select-Pull + SUP_FE-->>I_CSC_FE: 4. Cx-Query Resp/Cx-Select-Pull Resp + I_CSC_FE->>S_CSC_FE: 5. Register + I_CSC_FE->>SUP_FE: 6. Cx-Put/Cx-Pull + SUP_FE-->>I_CSC_FE: 7. Cx-Put Resp/Cx-Pull Resp + I_CSC_FE->>S_CSC_FE: 8. Service control + S_CSC_FE-->>I_CSC_FE: 9. 200 OK + I_CSC_FE-->>P_CSC_FE: 10. 200 OK + P_CSC_FE-->>UE: 11. 200 OK + +``` + +Y.2809(11)\_F04 + +Sequence diagram for IMS-based location registration and re-registration. The diagram shows the interaction between a Visited network (UE, P-CSC-FE) and a Home network (I-CSC-FE, SUP-FE, S-CSC-FE). The steps are: 1. Register (UE to P-CSC-FE), 2. Register (P-CSC-FE to I-CSC-FE), 3. Cx-Query/Cx-Select-Pull (I-CSC-FE to SUP-FE), 4. Cx-Query Resp/Cx-Select-Pull Resp (SUP-FE to I-CSC-FE), 5. Register (I-CSC-FE to S-CSC-FE), 6. Cx-Put/Cx-Pull (I-CSC-FE to SUP-FE), 7. Cx-Put Resp/Cx-Pull Resp (SUP-FE to I-CSC-FE), 8. Service control (I-CSC-FE to S-CSC-FE), 9. 200 OK (S-CSC-FE to I-CSC-FE), 10. 200 OK (I-CSC-FE to P-CSC-FE), 11. 200 OK (P-CSC-FE to UE). + +**Figure 4 – Location registration and location re-registration** + +- 1) After the UE has obtained its IP connectivity, it can perform the IMS registration. To do so, the UE sends the register information to the P-CSC-FE. +- 2) Upon receipt of this register information, the P-CSC-FE shall examine the "home domain name" to discover the entry point to the home network (i.e., I-CSC-FE). The proxy shall send to the I-CSC-FE the register information, which includes the P-CSC-FE address/name, the public user identity, the private user identity, the P-CSC-FE network identifier and the UE IP address. A name-address resolution mechanism is utilized in order to determine the address of the home network from the home domain name. Note that the P-CSC-FE network identifier is a string that identifies the network where the P-CSC-FE is located (e.g., the P-CSC-FE network identifier may be the domain name of the P-CSC-FE network). +- 3) The I-CSC-FE shall send the Cx-Query/Cx-Select-Pull information to the SUP-FE, which may include the public user identity, the private user identity, and the P-CSC-FE network identifier. The SUP-FE shall then check whether the user is already registered. The SUP-FE shall indicate whether the user is allowed to register in that P-CSC-FE network (identified by the P-CSC-FE network identifier) according to the user subscription and operator limitations/restrictions, if any. +- 4) The Cx-Query Resp/Cx-Select-Pull Resp information is sent from the SUP-FE to the I-CSC-FE. It shall contain the S-CSC-FE name. When capabilities are returned, the I-CSC-FE may perform the new S-CSC-FE selection function. If the checking in SUP-FE was not successful, the Cx-Query Resp shall reject the registration attempt. + +- 5) The I-CSC-FE, using the name of the S-CSC-FE, shall determine the address of the S-CSC-FE through a name-address resolution mechanism. The I-CSC-FE also determines the name of a suitable home network, possibly based on information received from the SUP-FE. The I-CSC-FE shall then send the register information (e.g., P-CSC-FE address/name, public user identity, private user identity, P-CSC-FE network identifier, and UE IP address to the selected S-CSC-FE). Then, the S-CSC-FE shall store the P-CSC-FE address/name, as supplied by the visited network. This represents the address/name that the home network forwards to the subsequent terminating session signalling to the UE. The S-CSC-FE shall store the P-CSC-FE network ID information. +- 6) The S-CSC-FE shall send Cx-Put/Cx-Pull (public user identity, private user identity, and S-CSC-FE name) to the SUP-FE. +- 7) The SUP-FE shall store the S-CSC-FE name for the user, and return the Cx-Put Resp/Cx-Pull Resp information to the S-CSC-FE. The information that was passed from the SUP-FE to the S-CSC-FE shall include one or more names/addresses, which can be used to access the platform(s) used for service control while the user is registered at this S-CSC-FE. The S-CSC-FE shall store the information for the indicated user. +- 8) Based on an appropriate filtering criterion, the S-CSC-FE shall send the register information to the service control platform and perform the service control procedures. +- 9) The S-CSC-FE shall return the 200 OK information (e.g., home-network contact information, and GRUU set) to the I-CSC-FE. +- 10) The I-CSC-FE shall send the 200 OK (home-network contact information, and GRUU set) information to the P-CSC-FE. Then, the I-CSC-FE shall release all registration information. +- 11) The P-CSC-FE shall store the home-network contact information, and shall send the 200 OK information to the UE. + +### **8.2 Location query** + +The IMS-based location query procedures with the call set-up signalling operations are described in Figure 5. + +![Sequence diagram showing location query with session set-up signalling between Originating network, Originating home network, and Terminating home network.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +The diagram illustrates the signalling sequence for a location query with session set-up. It involves four main entities: Originating network, Originating home network (containing S-CSC-FE#1), Terminating home network (containing I-CSC-FE#2, SUP-FE, and S-CSC-FE#2), and Terminating network. + +The sequence of messages is as follows: + +1. Invite (initial SDP Offer) from Originating network to S-CSC-FE#1. +2. Service control (local to S-CSC-FE#1). +3. Invite (initial SDP Offer) from S-CSC-FE#1 to I-CSC-FE#2. +4. Location query from I-CSC-FE#2 to SUP-FE. +5. Response from SUP-FE to I-CSC-FE#2. +6. Invite (initial SDP Offer) from I-CSC-FE#2 to S-CSC-FE#2. +7. Service control (local to S-CSC-FE#2). +8. Invite (initial SDP Offer) from S-CSC-FE#2 to Terminating network. +9. Offer Response from Terminating network to S-CSC-FE#2. +10. Offer Response from S-CSC-FE#2 to I-CSC-FE#2. +11. Offer Response from I-CSC-FE#2 to S-CSC-FE#1. +12. Offer Response from S-CSC-FE#1 to Originating network. +13. Response Conf (Opt SDP) from Originating network to S-CSC-FE#1. +14. Response Conf (Opt SDP) from S-CSC-FE#1 to I-CSC-FE#2. +15. Response Conf (Opt SDP) from I-CSC-FE#2 to S-CSC-FE#2. +16. Response Conf (Opt SDP) from S-CSC-FE#2 to Terminating network. +17. Conf Ack (Opt SDP) from Terminating network to S-CSC-FE#2. +18. Conf Ack (Opt SDP) from S-CSC-FE#2 to I-CSC-FE#2. +19. Conf Ack (Opt SDP) from I-CSC-FE#2 to S-CSC-FE#1. +20. Conf Ack (Opt SDP) from S-CSC-FE#1 to Originating network. +21. Reservation Conf from Originating network to S-CSC-FE#1. +22. Reservation Conf from S-CSC-FE#1 to I-CSC-FE#2. +23. Reservation Conf from I-CSC-FE#2 to S-CSC-FE#2. +24. Reservation Conf from S-CSC-FE#2 to Terminating network. +25. Reservation Conf from Terminating network to S-CSC-FE#2. +26. Reservation Conf from S-CSC-FE#2 to I-CSC-FE#2. +27. Reservation Conf from I-CSC-FE#2 to S-CSC-FE#1. +28. Reservation Conf from S-CSC-FE#1 to Originating network. +29. Ringing (dashed line) from Terminating network to S-CSC-FE#2. +30. Ringing (dashed line) from S-CSC-FE#2 to I-CSC-FE#2. +31. Ringing (dashed line) from I-CSC-FE#2 to S-CSC-FE#1. +32. Ringing (dashed line) from S-CSC-FE#1 to Originating network. +33. 200 OK from Terminating network to S-CSC-FE#2. +34. 200 OK from S-CSC-FE#2 to I-CSC-FE#2. +35. 200 OK from I-CSC-FE#2 to S-CSC-FE#1. +36. 200 OK from S-CSC-FE#1 to Originating network. +37. ACK from Originating network to S-CSC-FE#1. +38. ACK from S-CSC-FE#1 to I-CSC-FE#2. +39. ACK from I-CSC-FE#2 to S-CSC-FE#2. +40. ACK from S-CSC-FE#2 to Terminating network. + +Y.2809(11)\_F05 + +Sequence diagram showing location query with session set-up signalling between Originating network, Originating home network, and Terminating home network. + +**Figure 5 – Location query with session set-up signalling** + +- 1) The IMS INVITE request is sent from the UE to S-CSC-FE#1. This message should contain the initial media description in the session description protocol (SDP) offer. +- 2) S-CSC-FE#1 invokes the service logic that is appropriate for this session set-up attempt. +- 3) S-CSC-FE#1 performs an analysis of the destination address, and determines the network operator to whom the subscriber belongs. Since it is local, the request is passed to a local I-CSC-FE. +- 4) I-CSC-FE shall query the SUP-FE for current location information. +- 5) SUP-FE responds with the address of the current S-CSC-FE for the terminating user. +- 6) I-CSC-FE forwards the INVITE request to the S-CSC-FE (S-CSC-FE#2) that will handle the session termination. +- 7) S-CSC-FE#2 invokes the service logic that is appropriate for this session set-up attempt. +- 8) The sequence continues with the message flows determined by the termination procedure. + +- 9-12) The terminating end point responds with an answer to the offered SDP and this message is passed along the established session path. +- 13-16) The originator decides on the offered set of media streams, confirms receipt of the Offer Response with a Response Confirmation, and forwards this information to S-CSC-FE#1 by the origination procedures. This message is forwarded via the established session path to the terminating end point. The Response Confirmation may also contain SDP. This may be the same SDP as in the Offer Response received in Step 12 or a subset. +- 17-20) Terminating end point responds to the offered SDP and the response, if forwarded to the originating end point via the established session path. +- 21-24) Originating end point sends successful resource reservation information towards the terminating end point via the established session path. +- 25-28) Terminating end point sends successful resource reservation acknowledgement towards the originating end point via the established session path. +- 29-32) Terminating end point sends a ringing message toward the originating end point via the established session path. +- 33-36) The SIP final response, 200-OK, is sent by the terminating endpoint over the signalling path. This is typically generated when the user has accepted the incoming session set-up attempt. The message is sent to S-CSC-FE#2 per the termination procedure. +- 37-40) The originating endpoint sends the final acknowledgement to S-CSC-FE#1 by the origination procedures, and it is then sent over the signalling path to the terminating end point. + +## **9 Information flows for IMS-based handover control** + +### **9.1 Handover by interaction between P-CSCF and S-CSCF** + +As shown in Figure 6, in this handover control scheme, the UE is originating a voice call with the correspondent UE in the home network. When the UE is attached to the new visited network, it performs the location re-registration with the S-CSC-FE through a new P-CSC-FE in the visited network. The new P-CSC-FE and the S-CSC-FE will notify the new border gateway function (BGF) in the visited network and the BGF in the home network to install the new tunnel entry points through the new HC-FE in the visited network and the C-HC-FE, respectively. After that, the S-CSC-FE will interact with the old P-CSC-FE to notify the old BGF to release the tunnel resource through the A-HC-FE in the visited network and the C-HC-FE in the home network. + +![Sequence diagram illustrating IMS-based handover using P-CSC-FE and S-CSC-FE. The diagram shows the interaction between MN, Previous visited network (BGF1, AHC-FE1, P-CSC-FE1), New visited network (BGF2, AHC-FE2, P-CSC-FE2), Home network (S-CSC-FE, CHC-FE, BGF), and CN. The process is divided into three phases: Before handover, During handover, and After handover. Data packets are shown being intercepted by BGF in the home network and tunneled to BGF in the previous visited network before handover, and by BGF in the home network and tunneled to BGF in the new visited network after handover. During handover, steps 1-12 describe the signaling flow for service join and leave requests and responses.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +The diagram illustrates the IMS-based handover process across three phases: Before handover, During handover, and After handover. The entities involved are MN, Previous visited network (BGF1, AHC-FE1, P-CSC-FE1), New visited network (BGF2, AHC-FE2, P-CSC-FE2), Home network (S-CSC-FE, CHC-FE, BGF), and CN. + +**Before handover:** Data packets from the CN are intercepted by the BGF in the home network and tunneled to the BGF in the previous visited network. + +**During handover:** + +1. Service join request (MN to P-CSC-FE2) +2. Service join request (P-CSC-FE2 to S-CSC-FE) +3. HC\_Ind\_Req (S-CSC-FE to AHC-FE2) +4. TEP install\_Req (AHC-FE2 to BGF2) +5. HC\_Ind\_Rsp (AHC-FE2 to S-CSC-FE) +6. Service join response (S-CSC-FE to P-CSC-FE2) +7. Service join response (P-CSC-FE2 to MN) +8. Service leave request (P-CSC-FE1 to S-CSC-FE) +9. HC\_Ind\_Req (S-CSC-FE to CHC-FE) +10. TEP\_Uninstall\_Req/PR\_RSReq (CHC-FE to BGF) +11. HC\_Ind\_Rsp (CHC-FE to S-CSC-FE) +12. Service leave (S-CSC-FE to P-CSC-FE1) + +**After handover:** Data packets from the CN are intercepted by the BGF in the home network and tunneled to the BGF in the new visited network. + +Y.2809(11)\_F06 + +Sequence diagram illustrating IMS-based handover using P-CSC-FE and S-CSC-FE. The diagram shows the interaction between MN, Previous visited network (BGF1, AHC-FE1, P-CSC-FE1), New visited network (BGF2, AHC-FE2, P-CSC-FE2), Home network (S-CSC-FE, CHC-FE, BGF), and CN. The process is divided into three phases: Before handover, During handover, and After handover. Data packets are shown being intercepted by BGF in the home network and tunneled to BGF in the previous visited network before handover, and by BGF in the home network and tunneled to BGF in the new visited network after handover. During handover, steps 1-12 describe the signaling flow for service join and leave requests and responses. + +**Figure 6 – IMS-based handover using P-CSC-FE and S-CSC-FE** + +The detailed signalling flows are described as follows: + +- Before handover** +Before handover, the data packets from the correspondent node (CN) will be intercepted by the BGF in the home network and then encapsulated and tunneled to the BGF in the previous visited network. +- During handover** +When the mobile node (MN) moves to the new visited network, it acquires a new address prior to receiving the data packet from the CN and performs the location re-registration (i.e., join service) with the S-CSC-FE in the home network via the P-CSC-FE in the new visited network (steps 1 and 2). Upon the request to join service from the MN, the proxy registrar and the home registrar will send a handover indication request so as to trigger the AHC-FE in the new visited network and the CHC-FE in the home network to perform the tunnel entry point installation on the BGF in the new visited network (steps 3 to 7). When a new tunnel is set up between the new BGF in the visited network and the BGF in the home network, the S-CSC-FE will interact with the old P-CSC-FE to make the old AHC-FE and the CHC-FE release the tunnel resource in the old BGF and in the BGF in the home network (steps 8 to 12). +- After handover** +After handover, the data packet from the CN will be intercepted by the BGF in the home network and then encapsulated and tunneled to the BGF in the new visited network. + +### 9.2 Handover control by interaction between two neighbouring proxy call session control functional entities (P-CSC-FEs) + +In this handover control scheme, the UE is originating a voice call with the correspondent UE in the home network when the UE is attached to the new visited network, and performs the location re-registration with the S-CSC-FE through the P-CSC-FE in the new visited network. The S-CSC-FE will notify the new P-CSC-FE about the location of the old P-CSC-FE. Here, it is assumed that the two adjacent P-CSC-FEs in the visited network are allowed to communicate with each other. Then, the new P-CSCF will interact with the old P-CSC-FE to make the AHC-FE install a tunnel entry point between the old BGF and the new BGF in the two adjacent visited networks. When a voice-call session is terminated, the S-CSC-FE will request all the P-CSC-FEs along the path, from the first visited network to the last visited network, to release the tunnel resources. + +Figure 7 describes the information flows of handover control by interaction between neighbouring P-CSCFs. The detailed signalling flows are described as follows: + +- a) Before handover +Before handover, the data packets from the CN will be intercepted by the BGF in the home network and then tunnelled to the BGF in the previous visited network. +- b) During handover +When the MN moves to the new visited network, it acquires a new address prior to receiving a data packet from the CN and performs the location re-registration (i.e., joining service) with the S-CSC-FE in the home network via the P-CSC-FE in the visited network (steps 1 and 2). Upon receiving the service request from the MN, the S-CSC-FE will notify the new P-CSC-FE about the location of the old P-CSC-FE by sending the service response message (step 3). Then, the new P-CSC-FE will interact with the old P-CSC-FE to make the new AHC-FE and the old AHC-FE install a tunnel entry point between the old BGF and the new BGF in the visited network (steps 4 to 9). +- c) After handover +After handover, the data packet from the CN will first be intercepted by the BGF in the home network and tunnelled to the BGF in the previous network. When the BGF in the previous visited network receives the datagram, it will forward the data packet to the UE through the BGF in the new visited network. + +![Sequence diagram for IMS-based handover using two neighbouring P-CSC-FEs. The diagram shows the interaction between MN, Previous visited network (BGF1, AHC-FE1, P-CSC-FE1), New visited network (BGF2, AHC-FE2, P-CSC-FE2), Home network (S-CSC-FE, CHC-FE, BGF), and CN. The process is divided into three phases: Before handover, During handover, and After handover. In the 'Before handover' phase, data packets flow from CN to MN. In the 'During handover' phase, the MN sends a '1. Service join request' to P-CSC-FE2, which sends a '2. Service join request' to S-CSC-FE. S-CSC-FE sends a '3. Service response' to P-CSC-FE2. P-CSC-FE2 sends a '4. Handover request' to P-CSC-FE1. P-CSC-FE1 sends a '5. HC_Ind_Re' to AHC-FE1. AHC-FE1 sends a '6. TEP install_Req/RS' to BGF1. BGF1 sends a '7. HC_Ind_Rsp' to AHC-FE1. AHC-FE1 sends an '8. Handover response' to P-CSC-FE2. P-CSC-FE2 sends a '9. Service' to MN. In the 'After handover' phase, data packets flow from CN to MN, and from MN to P-CSC-FE1.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +Y.2809(11)\_F07 + +Sequence diagram for IMS-based handover using two neighbouring P-CSC-FEs. The diagram shows the interaction between MN, Previous visited network (BGF1, AHC-FE1, P-CSC-FE1), New visited network (BGF2, AHC-FE2, P-CSC-FE2), Home network (S-CSC-FE, CHC-FE, BGF), and CN. The process is divided into three phases: Before handover, During handover, and After handover. In the 'Before handover' phase, data packets flow from CN to MN. In the 'During handover' phase, the MN sends a '1. Service join request' to P-CSC-FE2, which sends a '2. Service join request' to S-CSC-FE. S-CSC-FE sends a '3. Service response' to P-CSC-FE2. P-CSC-FE2 sends a '4. Handover request' to P-CSC-FE1. P-CSC-FE1 sends a '5. HC\_Ind\_Re' to AHC-FE1. AHC-FE1 sends a '6. TEP install\_Req/RS' to BGF1. BGF1 sends a '7. HC\_Ind\_Rsp' to AHC-FE1. AHC-FE1 sends an '8. Handover response' to P-CSC-FE2. P-CSC-FE2 sends a '9. Service' to MN. In the 'After handover' phase, data packets flow from CN to MN, and from MN to P-CSC-FE1. + +**Figure 7 – IMS-based handover using two neighbouring P-CSC-FEs** + +## 10 Security considerations + +This Recommendation does not require any specific security considerations and aligns with the security requirements in [ITU-T Y.2701]. + +## Appendix I + +### Use cases of IMS-based MM with IEEE 802.21 + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides some scenarios of IMS-based MM schemes using [b-IEEE 802.21] (MIH). Figure I.1 depicts a simplified IMS network, while Figure I.2 shows the migration of 802.21 as an application server (AS) in the context of IMS. + +![Figure I.1 – Simplified IMS network diagram](523ab7b925beb555f88b2e1e1336974f_img.jpg) + +The diagram illustrates a simplified IMS network architecture. On the left, a UE (IMS enabled multi-RAT device) is shown connected to two access networks: 'Access network 1 e.g., cellular' (via Node B) and 'Access network n and n+1; e.g., WLAN' (via an Access point). These access networks connect to the Internet. The Internet connects to the IMS core network, which is enclosed in a blue oval. Inside the core network, the following components are shown: P-CSCF, S-CSCF, I-CSCF, AS (Application Server), HSS (Home Subscriber System), and SLF (Subscription Location Function). The components are interconnected with lines representing network connections. A small label 'Y.2809(11)\_F1.1' is located at the bottom right of the diagram. + +Figure I.1 – Simplified IMS network diagram + +**Figure I.1 – Simplified IMS network** + +The IMS network relies on high-level security, reliable QoS, and a standardized framework for easy application server (AS) service deployment. + +The migration of 802.21 to an IMS platform requires that the 801.21 MIH be an IMS client application in the UE (IMS-enabled multi-RAT device) and the inclusion of 802.21 as an IMS-application server. This solution also brings the advantages of having minimal HO interruption time, and there is no user involvement in the HO process, thus providing an enhanced user experience. + +![Figure I.2: Migration of IEEE 802.21 to an IMS Platform. This diagram shows a UE (IMS enabled multi-RAT device) connected to multiple access networks (e.g., cellular via Node B, WLAN via Access point) which connect to the Internet. The Internet connects to an IMS core network containing P-CSCF, I-CSCF, S-CSCF, SLF, HSS, and AS. An inset shows the IMS applications stack: VoIP application and MIH at the top, followed by SIP, and then WLAN I/F and Cellular I/F at the bottom. A label '802.21 AS an IMS application server' points to the AS in the core network. Reference: Y.2809(11)_Fl.2](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +Figure I.2: Migration of IEEE 802.21 to an IMS Platform. This diagram shows a UE (IMS enabled multi-RAT device) connected to multiple access networks (e.g., cellular via Node B, WLAN via Access point) which connect to the Internet. The Internet connects to an IMS core network containing P-CSCF, I-CSCF, S-CSCF, SLF, HSS, and AS. An inset shows the IMS applications stack: VoIP application and MIH at the top, followed by SIP, and then WLAN I/F and Cellular I/F at the bottom. A label '802.21 AS an IMS application server' points to the AS in the core network. Reference: Y.2809(11)\_Fl.2 + +**Figure I.2 – Migration of IEEE 802.21 to an IMS Platform** + +![Figure I.3: High-level description of IEEE 802.21 for IMS Model. This diagram shows a UE connected to access networks and the Internet. The Internet connects to an IMS core network and an 802.21 Application server. The 802.21 Application server contains an 802.21 Application layer with Mobility Policy, VoIP application, and MIHF, connected to SIP and then to WLAN/Cellular I/F. The 802.21 application server also contains 802.21 functionality (MIHF and Mobility controller) connected to an Interworking function and then to SIP. The Internet connects to the 802.21 Application server. Reference: Y.2809(11)_Fl.3](c5655e700cc3e9aac7e9f4f07f30264d_img.jpg) + +Figure I.3: High-level description of IEEE 802.21 for IMS Model. This diagram shows a UE connected to access networks and the Internet. The Internet connects to an IMS core network and an 802.21 Application server. The 802.21 Application server contains an 802.21 Application layer with Mobility Policy, VoIP application, and MIHF, connected to SIP and then to WLAN/Cellular I/F. The 802.21 application server also contains 802.21 functionality (MIHF and Mobility controller) connected to an Interworking function and then to SIP. The Internet connects to the 802.21 Application server. Reference: Y.2809(11)\_Fl.3 + +**Figure I.3 – High-level description of IEEE 802.21 for IMS Model** + +Figure I.3 shows a high-level description of the IEEE 802.21-IMS model. The left box describes the related components within the terminal, while the right box shows the 802.21 AS functionality. The bi-directional flow arrows through the IMS core platform and the IP network illustrate the message exchange, as described below. + +In the IEEE 802.21-IMS model, the UE (IMS-enabled multi-RAT device) triggers the SIP functionality. The SIP messages are used to set up an 802.21 session, as shown in the lowest flow between the terminal, the IMS core network, and the 802.21 AS's SIP function. Directly after session set-up, 802.21 messages are exchanged over IP between the terminal's MIH function (MIHF) and the 802.21 AS's functionality, as shown in the upper flow. The 802.21 functionality in the AS will trigger the SIP module to send the requests during the HO process. + +In Figure I.3, the home subscriber system (HSS) in the IMS core network provides the 802.21 AS with the user preferences and subscription information to perform intersystem handover optimized decisions. + +Figures I.4, I.5 and I.6 describe these interactions in more detail, showing the detailed message flows for IMS registration, session set-up in the control/signalling plane, MIH registration, VoIP session set-up, VoIP session data exchange, handover initiation, inter-system handover and standardized 802.21 commands to control links, handover execution, and handover completion to resume the ongoing VoIP session. + +![Sequence diagram showing VoIP session setup with IEEE 802.21 application server. The diagram is divided into three main phases: IMS Registration, Session Establishment, and MIH Registration. The network architecture includes a UE (IMS device), Cellular access network (Node B), WLAN access network (Access point), S-CSCF, IMS network, 802.21 AS, Correspondent host, and HSS. The sequence of events involves SIP, Mobility policy, and MIHF components, with messages like INVITE, 200 OK, ACK, MIH_REGISTER.request, and MIH_REGISTER.confirm. Key actions include P-CSCF discovery, user record creation, and data allowed/network ID retrieval.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +The diagram illustrates the VoIP session setup process with an IEEE 802.21 application server. It is divided into three main phases: + +- IMS Registration:** + - P-CSCF discovery completed. + - IMS Register. + - IMS Registration procedure (indicated by a large green arrow). + - IMS Registration complete. +- Session Establishment:** + - Start session with 802.21 AS. + - Obtains the URI of the 802.21 AS. + - Triggers: (1) Request URI, (2) the strings "Mobility Services" and "Unique Identifier" that should be included in the message body (MIHF ID should be used as the identifier). + - Send INVITE. + - Proxy the INVITE. + - Creates a user record. + - Forward client's IP address and MIHF ID. + - Incoming request. + - User record created. + - 200 OK. + - Proxy the 200 OK. + - ACK. + - Client now knows the IP address of the 802.21 AS. +- MIH Registration:** + - MIH register request. + - Send MIH\_REGISTER.request. + - MIH register request. + - Sh-Pull (user data). + - Sh-Pull response (user data allowed, network IDs). + - MIH register confirm. + - Send MIH\_REGISTER.confirm. + - MIH register confirm. + - Updates user record. + +The diagram also shows the network architecture components: UE (IMS device enabled with 802.21), Cellular access network (Node B), WLAN access network (Access point), S-CSCF, IMS network, 802.21 AS, Correspondent host, and HSS. The SIP, Mobility policy, and MIHF components are highlighted in the sequence diagram. + +Y.2809(11)\_Fl.4 + +Sequence diagram showing VoIP session setup with IEEE 802.21 application server. The diagram is divided into three main phases: IMS Registration, Session Establishment, and MIH Registration. The network architecture includes a UE (IMS device), Cellular access network (Node B), WLAN access network (Access point), S-CSCF, IMS network, 802.21 AS, Correspondent host, and HSS. The sequence of events involves SIP, Mobility policy, and MIHF components, with messages like INVITE, 200 OK, ACK, MIH\_REGISTER.request, and MIH\_REGISTER.confirm. Key actions include P-CSCF discovery, user record creation, and data allowed/network ID retrieval. + +**Figure I.4 – VoIP session set-up with IEEE 802.21 application server** + +![Sequence diagram showing VoIP session initiation and handover from cellular to WLAN network.](c5452f95f3b28f1bfe29e84fbc2e1267_img.jpg) + +The diagram illustrates the handover process for a VoIP session initiated by an IEEE 802.21 application server. It shows the interaction between a UE (IMS device enabled with 802.21), the Cellular access network (Node B), the WLAN access network (Access point), the S-CSCF, the IMS network (802.21 AS), and a Correspondent host. + +**Sequence of Events:** + +- User initiates a VoIP session:** The UE sends an INVITE message to the S-CSCF. The S-CSCF proxies the INVITE to the Correspondent host. The Correspondent host sends a 200 OK response back to the S-CSCF, which then proxies it to the UE. The UE sends an ACK message to the S-CSCF. +- Cellular signal strength degrades:** The UE sends a Link parameters report to the S-CSCF. +- WLAN powered on and WLAN link is detected:** The S-CSCF sends a MIH\_Link\_Parameters\_Report.indication to the 802.21 AS. The 802.21 AS sends a MIH\_Scan.request (WLAN) to the UE. The UE performs a scan (WLAN) and sends a Scan confirm (WLAN) to the 802.21 AS. The 802.21 AS sends a MIH\_Scan.confirm (WLAN) to the S-CSCF. +- Handover to WLAN completed and a new IP address is obtained; e.g., using DHCP:** The S-CSCF sends a MIH\_Switch.request (handover from cellular to WLAN) to the 802.21 AS. The 802.21 AS sends a Switch to WLAN message to the UE. The UE sends a Switch confirm message to the 802.21 AS. The 802.21 AS sends a MIH\_Switch.confirm (handover from cellular to WLAN) to the S-CSCF. + +**Network Architecture:** + +- UE (IMS device enabled with 802.21):** Contains SIP, Mobility policy, and MIHF components. +- Cellular access network:** Includes Node B and Access point. +- WLAN access network:** Includes Access point. +- S-CSCF:** The Serving Call Session Control Function. +- IMS network (802.21 AS):** Includes MIHF, Mobility controller, and SIP components. +- Correspondent host:** The destination of the VoIP session. + +**VoIP Session:** Indicated by a yellow circle and a double-headed arrow. + +Sequence diagram showing VoIP session initiation and handover from cellular to WLAN network. + +Y.2809(11)\_F1.5 + +Figure I.5 – Handover initiation by IEEE 802.21 application server + +![Figure I.6: Handover completion: IEEE 802.21 triggers SIP messaging. The diagram shows a network architecture and a sequence of SIP messages. The architecture includes a UE (IMS device enabled with 802.21), Cellular access network (Node B), WLAN access network (Access point), S-CSCF, IMS network (802.21 AS), Correspondent host, and HSS. The UE has SIP, Mobility policy, and MIHF components. The S-CSCF has MIHF, Mobility controller, and SIP components. The 802.21 AS has MIHF, Mobility controller, and SIP components. The Correspondent host has SIP and HSS components. The sequence of events is: 1. Update ongoing sessions with 802.21 AS and peer. 2. Send a REFER request (inserts the new IP address). Indicates that 802.21 AS should send INVITE requests to the listed peer. 3. Update record. 4. Sh-Update. 5. Sh-Update response. 6. Record updated. 7. 200 OK. 8. Sessions is updated. 9. INVITE. 10. 200 OK. 11. ACK. A callout box indicates: 'Includes the new IP address of the client and the call ID of the ongoing session'. A VoIP session is shown as a continuous line with a yellow circle in the middle. The IMS Registration procedure is shown as a green arrow pointing right, with 'Registration complete' at the end. The diagram is labeled Y.2809(11)_F1.6.](7133ccf78043568ca62ecbcd43628a4a_img.jpg) + +Figure I.6: Handover completion: IEEE 802.21 triggers SIP messaging. The diagram shows a network architecture and a sequence of SIP messages. The architecture includes a UE (IMS device enabled with 802.21), Cellular access network (Node B), WLAN access network (Access point), S-CSCF, IMS network (802.21 AS), Correspondent host, and HSS. The UE has SIP, Mobility policy, and MIHF components. The S-CSCF has MIHF, Mobility controller, and SIP components. The 802.21 AS has MIHF, Mobility controller, and SIP components. The Correspondent host has SIP and HSS components. The sequence of events is: 1. Update ongoing sessions with 802.21 AS and peer. 2. Send a REFER request (inserts the new IP address). Indicates that 802.21 AS should send INVITE requests to the listed peer. 3. Update record. 4. Sh-Update. 5. Sh-Update response. 6. Record updated. 7. 200 OK. 8. Sessions is updated. 9. INVITE. 10. 200 OK. 11. ACK. A callout box indicates: 'Includes the new IP address of the client and the call ID of the ongoing session'. A VoIP session is shown as a continuous line with a yellow circle in the middle. The IMS Registration procedure is shown as a green arrow pointing right, with 'Registration complete' at the end. The diagram is labeled Y.2809(11)\_F1.6. + +**Figure I.6 – Handover completion: IEEE 802.21 triggers SIP messaging** + +The mobility controller, depicted in the flow diagrams, decides whether to switch the subscriber to WLAN, or any other radio access technology (RAT). It requires the user subscription profile and user preferences stored in the HSS. The IMS $S_h$ interface is used to transfer information between the 802.21 AS, using the mobility controller, and the HSS. + +In Figure I.4, after receiving the MIH\_Register Request message from the IMS-device-enabled UE, the mobility controller starts the standardized Sh-Pull procedure with the HSS. It sends the user identity and requests data related to the specific user. The HSS answers to the mobility controller with the Sh-Pull Response message containing user data; including networks IDs – with which the home network has agreements, and/or to which the user has subscribed, and therefore roaming is allowed. The network IDs may provide the 802.21 AS user with preferences to decide upon handover execution based on current characteristics, such as network connection costs or network speed. + +Figure I.5 shows the VoIP session set-up procedure with related messages. The VoIP media exchanges are continued until the UE detects the radio signal degradation and decides to prepare a notification to the network for an inter-system handover. + +In Figure I.6, the UE sends the REFER request to the 802.21 AS to trigger the SIP functionality. In turn, the mobility controller starts the Sh-Update procedure to which the HSS responds with a Sh-Update Response message. The 802.21 AS thus informs the HSS about the IP address change, and the VoIP session resumes. + +# Appendix II + +### Examples of IMS handover using network agents + +(This appendix does not form an integral part of this Recommendation.) + +This appendix gives the two examples of IMS handover using network agents, the resource admission control function (RACF) and the GPRS gateway supporting node (GGSN), as possible examples of IMS-based handover. + +### II.1 RACF applicability in the IMS handover + +The handover control scheme can be performed with the support of agents in the network. The following figure shows the overview of the handover control scheme in the session or application layer. Within this handover control scheme, the P-CSCF and the C-CSCF play the role of location management and handover control. The RACF acts as arbitrator between the IMS component (e.g., CSCF) and the transport function (e.g., BGF). + +![Figure II.1: Application-layer handover control with mobile agent support. The diagram illustrates the handover process between three networks: Previous visited network, Home network, and New visited network, all connected to a central Core network area. Mobile Nodes (MN) and Core Networks (CN) are shown moving between these networks. Key components include P-CSCF, C-CSCF, RACF, BGF, and Transport function. Signaling paths are shown for SIP mobility (red arrows), Resource control (black arrows), and Media streams (solid black for soft handover, dashed black for hard handover).](088921fa3f5a44c8551815122517eefd_img.jpg) + +Y.2809(11)\_FII.1 + +Legend: + +- Red double-headed arrow: SIP mobility signalling +- Black double-headed arrow: Resource control signalling +- Solid black arrow: Media stream for soft handover +- Dashed black arrow: Media stream for hard handover + +Figure II.1: Application-layer handover control with mobile agent support. The diagram illustrates the handover process between three networks: Previous visited network, Home network, and New visited network, all connected to a central Core network area. Mobile Nodes (MN) and Core Networks (CN) are shown moving between these networks. Key components include P-CSCF, C-CSCF, RACF, BGF, and Transport function. Signaling paths are shown for SIP mobility (red arrows), Resource control (black arrows), and Media streams (solid black for soft handover, dashed black for hard handover). + +**Figure II.1 – Application-layer handover control with mobile agent support** + +On the service join request from the mobile host, the proxy registrar (i.e., P-CSCF) will send a service request to trigger RACF to perform resource admission control on the corresponding transport functions in the visited network. Also, the BGFs in the visited network and home network interact with the proxy registrar and home registrar to establish a relationship between BGFs. Thereby, the datagram from the corresponding host could be redirected to the BGF in the current visited network from the BGF in the previous visited network, or from the BGF in the home network. In this way, continuity of mobility, and transport independent from handover control, can be achieved. The only difficult part is the detection ability that is required at the application layer to + +identify when the IP address has changed. The ability to notify application subscribers of such changes would be preferable. + +### II.2 GGSN applicability in the IMS handover + +The existing IMS handover scheme operates at the application layer, and thus the overall handover latency can be significantly increased during handover, depending on the network conditions such as movement detection, IP address configuration, and new signalling of INVITE messages. The IMS handover latency could be reduced by using the fast handover with the support of the link-layer triggers and the network agents such as GGSN nodes. + +The following figure shows the overall procedures of the IMS fast handover with the support of the network agent, in which the 3GPP network system is considered as an example. + +![Sequence diagram illustrating the IMS fast handover with network agent support. The diagram shows the interaction between UE, GGSN_OL, P-CSCF_OL, GGSN_NEW, P-CSCF_NEW, and CN. The process starts with the UE sending an INVITE to GGSN_OL, which then sends a 200 OK to the UE. The UE then sends an ACK to GGSN_OL. GGSN_OL then sends DATA to the UE. The UE then sends HO.Req (context transfer) to P-CSCF_OL. P-CSCF_OL then sends HI to GGSN_NEW. GGSN_NEW then sends L3: Assigning new IP via DHCP or autoconf. to P-CSCF_NEW. P-CSCF_NEW then sends HAcK to GGSN_NEW. GGSN_NEW then sends HO.Ack (New IP, router IP, proxy IP) to P-CSCF_OL. P-CSCF_OL then sends Pre-INVITE to GGSN_NEW. GGSN_NEW then sends 200 OK to P-CSCF_NEW. P-CSCF_NEW then sends ACK to GGSN_NEW. GGSN_NEW then sends DATA to P-CSCF_NEW. P-CSCF_NEW then sends L3: Buffering ... to GGSN_NEW. GGSN_NEW then sends HO.Complete to P-CSCF_OL. P-CSCF_OL then sends HC to GGSN_NEW. GGSN_NEW then sends Deliver buffered packets to P-CSCF_OL. P-CSCF_OL then sends DATA to the UE. The UE then sends DATA to GGSN_NEW. The diagram also includes event boxes for ES: Link Detected, ES: MIH Info. Req., ES: Link Going Down, ES: Link Down, CS: LinkConnect, and ES: Link Up.](eb5677b570ab2a3e9d8f5d35ca5b8a4d_img.jpg) + +``` + +sequenceDiagram + participant UE + participant GGSN_OL as GGSNOL + participant P-CSCF_OL as P-CSCFOL + participant GGSN_NEW as GGSNNEW + participant P-CSCF_NEW as P-CSCFNEW + participant CN + + UE->>GGSN_OL: INVITE + GGSN_OL-->>UE: 200 OK + UE->>GGSN_OL: ACK + GGSN_OL->>UE: DATA + Note over UE: ES: Link Detected +IS: MIH Info. Req. +ES: Link Going Down + UE->>P-CSCF_OL: HO.Req (context transfer) + P-CSCF_OL->>GGSN_NEW: HI + Note over GGSN_NEW: L3: Assigning new IP via DHCP or autoconf. + GGSN_NEW->>P-CSCF_NEW: HAcK + P-CSCF_NEW->>GGSN_NEW: HO.Ack (New IP, router IP, proxy IP) + P-CSCF_OL->>GGSN_NEW: Pre-INVITE + GGSN_NEW->>P-CSCF_NEW: 200 OK + P-CSCF_NEW->>GGSN_NEW: ACK + GGSN_NEW->>P-CSCF_NEW: DATA + Note over GGSN_NEW: L3: Buffering ... + GGSN_NEW->>P-CSCF_OL: HO.Complete + P-CSCF_OL->>GGSN_NEW: HC + GGSN_NEW->>P-CSCF_OL: Deliver buffered packets + P-CSCF_OL->>UE: DATA + UE->>GGSN_NEW: DATA + Note over UE: ES: Link Down +CS: LinkConnect +ES: Link Up + +``` + +Y.2809(11)\_Fil.2 + +Sequence diagram illustrating the IMS fast handover with network agent support. The diagram shows the interaction between UE, GGSN\_OL, P-CSCF\_OL, GGSN\_NEW, P-CSCF\_NEW, and CN. The process starts with the UE sending an INVITE to GGSN\_OL, which then sends a 200 OK to the UE. The UE then sends an ACK to GGSN\_OL. GGSN\_OL then sends DATA to the UE. The UE then sends HO.Req (context transfer) to P-CSCF\_OL. P-CSCF\_OL then sends HI to GGSN\_NEW. GGSN\_NEW then sends L3: Assigning new IP via DHCP or autoconf. to P-CSCF\_NEW. P-CSCF\_NEW then sends HAcK to GGSN\_NEW. GGSN\_NEW then sends HO.Ack (New IP, router IP, proxy IP) to P-CSCF\_OL. P-CSCF\_OL then sends Pre-INVITE to GGSN\_NEW. GGSN\_NEW then sends 200 OK to P-CSCF\_NEW. P-CSCF\_NEW then sends ACK to GGSN\_NEW. GGSN\_NEW then sends DATA to P-CSCF\_NEW. P-CSCF\_NEW then sends L3: Buffering ... to GGSN\_NEW. GGSN\_NEW then sends HO.Complete to P-CSCF\_OL. P-CSCF\_OL then sends HC to GGSN\_NEW. GGSN\_NEW then sends Deliver buffered packets to P-CSCF\_OL. P-CSCF\_OL then sends DATA to the UE. The UE then sends DATA to GGSN\_NEW. The diagram also includes event boxes for ES: Link Detected, ES: MIH Info. Req., ES: Link Going Down, ES: Link Down, CS: LinkConnect, and ES: Link Up. + +**Figure II.2 – IMS fast handover with network agent support** + +The overall handover steps can be classified into four steps: (1) detecting a new network and preparing required information using MIH, (2) triggering the handover procedure and acquiring a new IP address, (3) making a new session and buffering application data, and (4) completing the procedure and receiving the buffered data. + +In the figure, the UE has connected to the old network and communicates with the CN. When it receives Link Detected event from the MIH layer, it can retrieve information about available neighbouring networks using the MIH information service. Although the MIH specification defines many elements in this neighbour information, the minimum functionalities, like an IP address of the candidate next router (GGSNNEW), are used. The information server and the detailed procedures for an information query are not presented in the figure. + +When the signal strength of the old link gets weaker than the predefined threshold, the UE detects a Link Going Down event from the MIH layer and triggers the handover procedure by sending HO.Req message to the old SIP proxy server (P-CSCFOLD). The context information of the UE must be included in HO.Req such as the identifier, MAC address, IP address of GGSNNEW, or security information like a session key. + +After receiving HO.Req, P-CSCFOLD sends HI message to the GGSNNEW with the received context information. Then GGSNNEW, instead of the UE, configures the new IP address for the UE by DHCP or the auto-configuration mechanism. It is assumed that P-CSCFOLD can configure the UE's address. It is also assumed that GGSNNEW knows the IP address of the next SIP proxy server (P-CSCFNEW). The configured IP address and IP address of P-CSCFNEW are delivered to the UE through HAck and HO.Ack message. + +When the UE gets its new address and P-CSCFNEW address, it attaches the new address into its network interface. It is noted that most operating systems allow attaching multiple IP addresses to one network interface card. After successful address attachment, the UE can switch the underlying network. At the same time, GGSNNEW makes a new session for the UE using Pre-INVITE message. If the UE requested handover with the data buffering option, GGSNNEW should keep application data from the CN until it receives the HC message from P-CSCFNEW. + +Now, the UE can associate to the new network link by using the MIH LinkConnect command when it detects a Link Down event. As soon as possible after the UE detects Link Up event, it has to send HO.Complete message to P-CSCFNEW. Finally, it can receive all the buffered data and new application data from the CN through the new network. + +The protocol messages required for IMS fast handover are for further study. + +## Bibliography + +The following documents are useful to understand this Recommendation: + +- [b-ITU-T F.700] Recommendation ITU-T F.700 (2000), *Framework Recommendation for multimedia services*. +- [b-ITU-T F.702] Recommendation ITU-T F.702 (1996), *Multimedia conference services*. +- [b-ITU-T F.703] Recommendation ITU-T F.703 (2000), *Multimedia conversational services*. +- [b-IEEE 802.21 ] IEEE 802.21-2008, *IEEE Standard for Local and metropolitan area networks – Part 21: Media Independent Handover Services*. +- [b-IETF RFC 3261] IETF RFC 3261 (2002), *Session Initiation Protocol*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| 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Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, followed by "International Telecommunication Union" in a smaller font. + +ITU logo + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Numbering, naming and addressing | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## **Recommendation ITU-T Y.2811** + +# **Framework of the mobile virtual private network service in next generation networks** + +## **Summary** + +Recommendation ITU-T Y.2811 describes the functional architecture of the mobile virtual private network (VPN) service based on the host-based mobility framework in next generation networks (NGNs), and defines the corresponding reference points. This Recommendation focuses on remote access VPNs and community-based VPNs where mobile user equipment (MUE) is directly involved. The high-level mobile VPN service procedures on the functional architecture are also described. + +## **History** + +| Edition | Recommendation | Approval | Study Group | +|---------|----------------|------------|-------------| +| 1.0 | ITU-T Y.2811 | 2012-07-29 | 13 | + +## **Keywords** + +Mobile VPN, NGN. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2013 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-----------------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 3 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 4 | +| 6 | Requirements ..... | 4 | +| 7 | Mobile VPN architecture..... | 4 | +| | 7.1 High level functions ..... | 4 | +| | 7.2 Functional architecture ..... | 7 | +| | 7.3 Reference points ..... | 10 | +| 8 | High-level mobile VPN procedures..... | 12 | +| | 8.1 VPN service registration/de-registration ..... | 12 | +| | 8.2 QoS provisioning and enforcement for VPN tunnel ..... | 12 | +| | 8.3 Initial network attachment..... | 12 | +| | 8.4 Handover ..... | 14 | +| 9 | Security considerations..... | 15 | +| | Appendix I – Use case of mobile VPN based on the IP-based mobility protocol ..... | 16 | +| | I.1 Secure tunnel set up ..... | 16 | +| | I.2 Mobility ..... | 18 | +| | Appendix II – Use case of mobile VPN based on MOBIKE..... | 20 | +| | II.1 VPN service registration/de-registration procedure ..... | 20 | +| | II.2 VPN tunnel QoS provisioning..... | 20 | +| | II.3 Initial attachment procedure ..... | 21 | +| | II.4 Handover procedure ..... | 21 | +| | Bibliography..... | 22 | + + + +## Recommendation ITU-T Y.2811 + +# Framework of the mobile virtual private network service in next generation networks + +# 1 Scope + +There are several types of virtual private network (VPN) services such as remote access VPN (or client-to-server VPN), site-to-site VPN, community-based VPN, etc. This Recommendation focuses on the mobile VPN framework in NGN based on the host-based mobility framework in which mobile UEs are directly involved in the VPN. The mobile VPN framework is based on the mobility-related ITU-T Recommendations [ITU-T Q.1706], [ITU-T Q.1707], [ITU-T Q.1708], [ITU-T Q.1709] and [ITU-T Y.2018], as well as on the VPN requirements described in [ITU-T Y.2215]. This Recommendation covers the following: + +- requirements of mobile VPN; +- mobile VPN architecture in terms of high-level functions, functional architecture and reference points; +- high-level mobile VPN procedures based on host-based mobility. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|---------------------------------------------------------------------------------------------------------------------------| +| [ITU-T G.1000] | Recommendation ITU-T G.1000 (2001), Communications Quality of Service: A framework and definitions . | +| [ITU-T M.1400] | Recommendation ITU-T M.1400 (2006), Designations for interconnections among operators' networks . | +| [ITU-T Q.1706] | Recommendation ITU-T Q.1706/Y.2801 (2006), Mobility management requirements for NGN . | +| [ITU-T Q.1707] | Recommendation ITU-T Q.1707/Y.2804 (2008), Generic framework of mobility management for next generation networks . | +| [ITU-T Q.1708] | Recommendation ITU-T Q.1708/Y.2805 (2008), Framework of location management for NGN . | +| [ITU-T Q.1709] | Recommendation ITU-T Q.1709/Y.2806 (2008), Framework of handover control for NGN . | +| [ITU-T X.1035] | Recommendation ITU-T X.1035 (2007), Password-authenticated key exchange (PAK) protocol . | +| [ITU-T Y.101] | Recommendation ITU-T Y.101 (2000), Global Information Infrastructure terminology: Terms and definitions . | +| [ITU-T Y.2001] | Recommendation ITU-T Y.2001 (2004), General overview of NGN . | +| [ITU-T Y.2011] | Recommendation ITU-T Y.2011 (2004), General principles and general reference model for Next Generation Networks . | + +- [ITU-T Y.2012] Recommendation ITU-T Y.2012 (2006), *Functional requirements and architecture of the NGN release 1.* +- [ITU-T Y.2014] Recommendation ITU-T Y.2014 (2008), *Network attachment control functions in next generation networks.* +- [ITU-T Y.2018] Recommendation ITU-T Y.2018 (2009), *Mobility management and control framework and architecture within the NGN transport stratum.* +- [ITU-T Y.2091] Recommendation ITU-T Y.2091 (2007), *Terms and definitions for Next Generation Networks.* +- [ITU-T Y.2111] Recommendation ITU-T Y.2111 (2006), *Resource and admission control functions in Next generation Networks.* +- [ITU-T Y.2215] Recommendation ITU-T Y.2215 (2009), *Requirements and framework for the support of VPN services in NGN, including the mobile environment.* +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1.* +- [ITU-T Y.2702] Recommendation ITU-T Y.2702 (2008), *Authentication and authorization requirements for NGN release 1.* + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application** [ITU-T Y.101]: A structured set of capabilities, which provide value-added functionality supported by one or more services. + +**3.1.2 functional architecture** [ITU-T Y.2012]: A set of functional entities and the reference points between them used to describe the structure of an NGN. These functional entities are separated by reference points, and thus, they define the distribution of functions. + +NOTE – The functional entities can be used to describe a set of reference configurations. These reference configurations identify which reference points are visible at the boundaries of equipment implementations and between administrative domains. + +**3.1.3 functional entity** [ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +**3.1.4 host-based mobility management** [ITU-T Q.1707]: A mobility management scheme in which the MM signalling is performed based on (or controlled by) the user equipment (UE). + +**3.1.5 mobility** [ITU-T Q.1706]: The ability for the user or other mobile entities to communicate and access services irrespective of changes of the location or technical environment. + +**3.1.6 next generation network (NGN)** [ITU-T Y.2001]: A packet-based network able to provide telecommunication services and able to make use of multiple broadband, QoS-enabled transport technologies and in which service-related functions are independent from underlying transport-related technologies. It enables unfettered access for users to networks and to competing service providers and/or services of their choice. It supports generalized mobility which will allow consistent and ubiquitous provision of services to users. + +**3.1.7 quality of service (QoS)** [ITU-T G.1000]: The collective effect of service performances, which determine the degree of satisfaction of a user of the service. + +**3.1.8 service stratum** [ITU-T Y.2011]: That part of the NGN which provides the user functions that transfer service-related data and the functions that control and manage service resources and network services to enable user services and applications (see also clause 7.1 of [ITU-T Y.2011]). + +**3.1.9 service** [ITU-T Y.2091]: A set of functions and facilities offered to a user by a provider. + +**3.1.10 service provider** [ITU-T M.1400]: A general reference to an operator that provides telecommunication services to customers and other users either on a tariff or contract basis. A service provider may or may not operate a network. A service provider may or may not be a customer of another service provider. + +**3.1.11 transport stratum** [ITU-T Y.2011]: That part of the NGN which provides the user functions that transfer data and the functions that control and manage transport resources to carry such data between terminating entities (see also clause 7.1 of [ITU-T Y.2011]). + +**3.1.12 virtual private network (VPN)** [ITU-T Y.2215]: A VPN is a communication network, built over public and/or private network resources, used to support controlled and secure communications within a group of users as if they were on a private network. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|---------|----------------------------------------------------| +| BID | Binding Identification | +| e-MCF | enterprise Mobility Control Function | +| e-NAF | enterprise Network Attachment Function | +| e-RACF | enterprise Resource Admission and Control Function | +| GW | Gateway | +| HBM | Host-Based Mobility | +| IKE | Internet Key Exchange | +| IPsec | Internet Protocol security | +| MLM-FE | Mobility Location Management Functional Entity | +| MM | Mobility Management | +| MMCF | Mobility Management and Control Functions | +| MOBIKE | Mobile IKE | +| MP-t-MP | Multipoint-to-Multipoint | +| MUE | Mobile User Equipment | +| NACF | Network Attachment Control Functions | +| NGN | Next Generation Network | +| PAK | Password-Authenticated Key exchange | +| PD-FE | Policy Decision Functional Entity | +| P-t-P | Point-to-Point | +| PW | Password | + +| | | +|---------|------------------------------------------| +| QoS | Quality of Service | +| RACF | Resource Admission and Control Functions | +| SCF | Service Control Functions | +| TID | Tunnel Identification | +| VPN SCF | VPN Service Control Functions | +| VPN | Virtual Private Network | +| VTF | VPN Transport Functions | + +# **5 Conventions** + +None. + +# **6 Requirements** + +The basic requirements of mobile VPN follow the NGN VPN requirements listed in [ITU-T Y.2215]. This clause identifies and focuses on the mobile VPN service and mobility requirements. + +The VPN in the NGN mobile environment is required to support the following service requirements: + +- the mobility protocol and related security association mechanisms are required to establish secure mobile VPN tunnels; +- the secure mobile VPN tunnels should be released and set up seamlessly as an MUE moves; +- a point-to-point/multipoint-to-multipoint (P-t-P/MP-t-MP) VPN tunnel should be created among peers in a community group; +- the VPN service control function is required to provide VPN service by extending the NGN service control function; +- allow mobile users to access the VPN resources in and out of their networks while supporting seamless mobility; +- resource provisioning and re-provisioning for mobile VPN tunnels in the initial attachment and handover cases should be considered. + +# **7 Mobile VPN architecture** + +### **7.1 High level functions** + +The NGN architecture is a general service- and technology-independent architecture that can be later instantiated in customized architectures that can respond to specific contexts in terms of the services offered and the technologies used, according to [ITU-T Y.2012]. To provide mobile VPN services, several functions in both the service stratum and the transport stratum would be required to extend their functionalities and/or define new ones, as illustrated in Figure 7-1. + +![Figure 7-1 – High-level mobile VPN architecture diagram. The diagram shows a layered architecture. At the top is 'Applications' connected to 'ANI'. Below is the 'Service stratum' (green background) containing 'Application Support Functions & Service Support Functions', 'VPN Service Control Function' (with 'VPN Service User Profiles'), and 'VPN Service User Profiles'. Below that is the 'Transport stratum' (yellow background) containing 'Network Attachment Control Functions' (with 'Transport User Profiles'), 'Mobility Management Control Functions', 'Resource and Admission Control Functions', and 'NGN Transport Functions'. To the left is a vertical pink bar for 'Management Functions' connected to 'End-User Functions'. To the right is a vertical white bar for 'Other Networks'. Connections are shown: red solid lines for Media (UNI, NNI), black dotted lines for Control, and green dotted lines for Management. A legend at the bottom indicates: black dotted line for Control, red hatched line for Media, and green dotted line for Management.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Figure 7-1 – High-level mobile VPN architecture diagram. The diagram shows a layered architecture. At the top is 'Applications' connected to 'ANI'. Below is the 'Service stratum' (green background) containing 'Application Support Functions & Service Support Functions', 'VPN Service Control Function' (with 'VPN Service User Profiles'), and 'VPN Service User Profiles'. Below that is the 'Transport stratum' (yellow background) containing 'Network Attachment Control Functions' (with 'Transport User Profiles'), 'Mobility Management Control Functions', 'Resource and Admission Control Functions', and 'NGN Transport Functions'. To the left is a vertical pink bar for 'Management Functions' connected to 'End-User Functions'. To the right is a vertical white bar for 'Other Networks'. Connections are shown: red solid lines for Media (UNI, NNI), black dotted lines for Control, and green dotted lines for Management. A legend at the bottom indicates: black dotted line for Control, red hatched line for Media, and green dotted line for Management. + +**Figure 7-1 – High-level mobile VPN architecture** + +#### 7.1.1 VPN control functions in NGN + +##### 7.1.1.1 VPN transport control functions + +The transport stratum provides mobile VPN connectivity services to NGN users under the control of transport control functions, including the network attachment control functions (NACF), the resource and admission control functions (RACF) and the mobility management and control functions (MMCF). + +The NACF provides the registration function to allow registration of NGN users at the access level and also provides the initialization of the end-user functions so that the users can access NGN services including the mobile VPN service. The function provides network-level identification/authentication for NGN users. The function could also deliver user profiles to RACF so as to configure basic policies for the users in the related network elements. More detailed information on NACF in NGN can be found in [ITU-T Y.2014]. + +The RACF manages NGN resources to support resource reservation for traffic flows. The function provides admission control and gate control for traffic flows based on user profiles, SLA, operator specific policy rules, service priority and resource availability within access and core transport networks. More detailed information about RACF in NGN can be found in [ITU-T Y.2111]. + +The MMCF provides mobility for traffic flows. The mobility mechanism for mobile VPN service in this Recommendation is based on the host-based mobility architecture which is defined in [ITU-T Y.2018]. More detailed information about MMCF can be found in [ITU-T Y.2018]. + +According to [ITU-T Y.2012], NGN transport control functions are able to support different types of NGN services in a common way. Mobile VPN service is expected to be supported by those functions as well. + +##### **7.1.1.2 VPN service control function** + +The delivery of mobile VPN services to the end-user is provided by utilizing the application support functions and service support functions, and related service control functions. The VPN service control function (VPN SCF) is a subset of the service control function in the NGN service stratum to support mobile VPN services. It provides the following functions: + +- management of VPN membership including authentication and authorization for the VPN service; +- request of resource and admission control to RACF for VPN service requests from VPN users; +- management of VPN identification and VPN path information, and fault management of VPN path. + +#### **7.1.2 VPN control functions in enterprise networks** + +An enterprise network could have its own VPN control functions which would be used for a remote access mobile VPN service which is not managed by NGN. + +##### **7.1.2.1 VPN transport control functions** + +An enterprise network could have corresponding transport control functions with the network attachment control functions (NACF), the resource and admission control functions (RACF) and the mobility management and control functions (MMCF); enterprise network attachment functions (e-NAF), enterprise resource and admission control functions (e-RACF) and enterprise mobility control functions (e-MCF). + +The e-NAF is responsible for allocation of IP addresses to the MUEs cooperating with the NACF in the NGN. + +The e-RACF provides resource management to support resource reservation for traffic flows within an enterprise network. The function provides admission control and gate control for traffic flows based on user profiles, enterprise network specific policy rules, service priority and resource availability within the enterprise networks. The e-RACF may interact with the RACF in NGN. + +The e-MCF provides mobility management for traffic flows. The mobility mechanism in this Recommendation is based on the host-based mobility architecture. + +##### **7.1.2.2 VPN service control function** + +An enterprise network could have its own VPN service control functions which would be used for the remote access mobile VPN service which is not managed by NGN. The VPN service control functions inherit service control function in the NGN service stratum to support mobile VPN services and provide the following functions: + +- management of VPN membership including authentication and authorization for VPN service; +- request of resource and admission control to e-RACF for VPN service requests from VPN users; +- management of VPN identification and VPN path information, fault management of VPN path, etc. + +#### **7.1.3 VPN transport functions** + +The VPN transport functions (VTF) is a subset of the transport functions in the NGN transport stratum that support mobile VPN services, which provides the following functions: + +- VPN tunnel encapsulation and decapsulation; +- VPN traffic engineering mechanisms such as service priority control, packet filtering, traffic classification, rate limiting, resource reservation and admission control at the transport stratum; +- handover execution. + +#### **7.1.4 VPN end-user functions** + +The VPN end-user functions provide the following functions: + +- Host-based mobility protocol supporting security association for data packets; +- VPN registration/deregistration functions. + +### **7.2 Functional architecture** + +#### **7.2.1 Remote access mobile VPN** + +The remote access mobile VPN model is a VPN service model for the MUEs which connect remotely from outside an enterprise network to the resources inside an enterprise network or to the other corresponding MUEs outside the enterprise network. For example, an MUE may try to connect to the enterprise resources which are located in the head office site while moving around outside the network. + +There are two types of remote access mobile VPNs depending on whether the VPN service control and mobility control are performed by a public NGN service provider or an enterprise network: the remote access mobile VPN with public service control and the remote access mobile VPN with enterprise network control. + +##### **7.2.1.1 Remote access mobile VPN with public service control** + +This is a mobile VPN service type in which a public NGN service provider offers mobile VPN service. The NGN service provider controls the VTF and performs VPN service management and mobility control as well as access and service authentication for the remote mobile VPN users. The remote mobile VPN users, however, may need to go through an additional authentication procedure internal to the enterprise. + +As defined in [ITU-T Y.2018] and related ITU-T Recommendations, an MUE may require two IP addresses: the persistent IP address and the temporary IP address. The persistent IP address is allocated either statically or dynamically, and the temporary IP address is allocated by the current NGN access network at network attachment time. + +The VPN SCF will manage VPN identification and VPN path information, and will provide fault management for the paths. The resource control for the VPN should be processed by RACF after receiving a request from VPN SCF, and once after RACF provisions quality of service (QoS) for the VPN paths, VPN SCF should manage the status of the paths. + +![Functional architecture of remote access mobile VPN with public service control. The diagram is split into two main sections: Enterprise Network (left) and NGN (right). A vertical line separates them. A legend at the top left indicates that dashed boxes represent functions not used for mobile VPN, and solid boxes represent functions used for mobile VPN. The Enterprise Network contains an MUE box connected to a 'Transport processing functions' box which includes a VTF oval. Above this are three dashed boxes: e-NAF, e-MCF, and e-RACF. The NGN section contains a 'Transport processing functions' box connected to an MUE box. Above this are three solid boxes: NACF, MMCF, and RACF. At the top of the NGN section is a 'VPN Service Control Function' box. Horizontal dashed lines separate the layers into 'Service stratum' (top) and 'Transport stratum' (bottom). Arrows at the bottom indicate the scope of the Enterprise Network and NGN.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Functional architecture of remote access mobile VPN with public service control. The diagram is split into two main sections: Enterprise Network (left) and NGN (right). A vertical line separates them. A legend at the top left indicates that dashed boxes represent functions not used for mobile VPN, and solid boxes represent functions used for mobile VPN. The Enterprise Network contains an MUE box connected to a 'Transport processing functions' box which includes a VTF oval. Above this are three dashed boxes: e-NAF, e-MCF, and e-RACF. The NGN section contains a 'Transport processing functions' box connected to an MUE box. Above this are three solid boxes: NACF, MMCF, and RACF. At the top of the NGN section is a 'VPN Service Control Function' box. Horizontal dashed lines separate the layers into 'Service stratum' (top) and 'Transport stratum' (bottom). Arrows at the bottom indicate the scope of the Enterprise Network and NGN. + +**Figure 7-2 – Functional architecture of remote access mobile VPN with public service control** + +##### 7.2.1.2 Remote access mobile VPN with enterprise service control + +This is a mobile VPN service type in which an NGN enterprise network itself provides VPN service. The NGN enterprise network controls the VTF and performs VPN service management and mobility control. However, the access authentication for the remote user is provided by a public NGN service provider, while VPN service authentication is performed through VPN SCF in the NGN enterprise network. + +The MUE may require two IP addresses: a persistent IP address and a temporary IP address, as defined in [ITU-T Y.2018] and related ITU-T Recommendations. The persistent IP address is allocated from the enterprise network either statically or dynamically, and the temporary IP address is allocated from the current NGN access network. + +The VPN service provisioning between MUE and VTF is performed by VPN SCF in the NGN enterprise network, and the resource control for the VPN service in VTF is performed by the e-RACF in the NGN enterprise network. If the resource control in the transport functions in public NGN is needed for the VPN service, the VPN SCF function in the NGN enterprise network may need to interact with the corresponding function in the public NGN. The detailed interfaces between the control functions in the enterprise network and the ones in NGN are out of scope of this Recommendation. + +![Figure 7-3: Functional architecture of remote access mobile VPN with enterprise service control. The diagram is split into two sections: Enterprise Network (left) and NGN (right). A vertical line separates them. On the left, the Enterprise Network contains a VPN Service Control Function (solid box) at the top, connected to e-NAF, e-MCF, and e-RACF (solid boxes). Below these is a box for Transport processing functions containing a VTF (solid oval). An MUE (solid box) is connected to the left side of the Transport processing functions. On the right, the NGN contains a dashed box for Transport processing functions. Above it are NACF, MMCF, and RACF (dashed boxes). A VTF (dashed oval) is inside the Transport processing functions box. An MUE (solid box) is connected to the right side of the Transport processing functions. Horizontal dashed lines separate the Service stratum (top) from the Transport stratum (bottom). A legend at the top right indicates that solid boxes are functions used for mobile VPN and dashed boxes are functions not used for mobile VPN. Arrows at the bottom indicate the Enterprise Network and NGN domains.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +Figure 7-3: Functional architecture of remote access mobile VPN with enterprise service control. The diagram is split into two sections: Enterprise Network (left) and NGN (right). A vertical line separates them. On the left, the Enterprise Network contains a VPN Service Control Function (solid box) at the top, connected to e-NAF, e-MCF, and e-RACF (solid boxes). Below these is a box for Transport processing functions containing a VTF (solid oval). An MUE (solid box) is connected to the left side of the Transport processing functions. On the right, the NGN contains a dashed box for Transport processing functions. Above it are NACF, MMCF, and RACF (dashed boxes). A VTF (dashed oval) is inside the Transport processing functions box. An MUE (solid box) is connected to the right side of the Transport processing functions. Horizontal dashed lines separate the Service stratum (top) from the Transport stratum (bottom). A legend at the top right indicates that solid boxes are functions used for mobile VPN and dashed boxes are functions not used for mobile VPN. Arrows at the bottom indicate the Enterprise Network and NGN domains. + +**Figure 7-3 – Functional architecture of remote access mobile VPN with enterprise service control** + +#### 7.2.2 Community-based mobile VPN + +This is a mobile VPN service type for the MUEs that want to share information securely with each other. The MUEs themselves are secure tunnel end points. This service, however, may still need VTF in the public NGN for initial data transfer before the direct communication among the multiple MUEs. + +![Figure 7-4: Community-based mobile VPN functional architecture. The diagram shows a single NGN domain. At the top is the VPN Service Control Function (solid box). Below it are NACF, MMCF, and RACF (solid boxes). Below these is a box for Transport processing functions containing a VTF (solid oval). Two MUEs (solid boxes) are connected to the left and right sides of the Transport processing functions box. Horizontal dashed lines separate the Service stratum (top) from the Transport stratum (bottom). Arrows at the bottom indicate the NGN domain.](75f0cb39f1cd165dfe4a6aa6c4d9388d_img.jpg) + +Figure 7-4: Community-based mobile VPN functional architecture. The diagram shows a single NGN domain. At the top is the VPN Service Control Function (solid box). Below it are NACF, MMCF, and RACF (solid boxes). Below these is a box for Transport processing functions containing a VTF (solid oval). Two MUEs (solid boxes) are connected to the left and right sides of the Transport processing functions box. Horizontal dashed lines separate the Service stratum (top) from the Transport stratum (bottom). Arrows at the bottom indicate the NGN domain. + +**Figure 7-4 – Community-based mobile VPN functional architecture** + +An MUE creates a secure tunnel, with other MUEs directly and through the VTF as well, which is not associated with a specific enterprise network but open to public for MUEs having common interests to create their own VPN networks, for the secure data communication among them. The MUE will have a persistent IP address which may be allocated at the VPN registration procedure from the network attachment function, and a temporary IP address which is allocated from the current NGN access network. The MUE will interact with MMCF to support the host-based mobility protocol. + +### 7.3 Reference points + +![Figure 7-5: Reference points of the mobile NGN functional architecture. The diagram shows two main sections: Enterprise Network on the left and NGN on the right, separated by a vertical line. The Enterprise Network contains a MUE (Mobile User Equipment) connected to a block containing 'Transport processing functions' and 'VTF' (Virtual Transport Function). Above this block are three boxes: e-NAF, e-MCF, and e-RACF. The NGN contains a similar block with 'Transport processing functions' and is connected to three boxes: NACF, MMCF, and RACF. Above these are two 'VPN Service Control Function' boxes. Reference points are indicated by dashed lines with labels: VT-5' and VT-6' connect the VPN Service Control Functions; VT-1' connects e-NAF to the Enterprise Network transport block; VT-2' connects e-MCF to the Enterprise Network transport block; VT-4' connects e-RACF to the Enterprise Network transport block; VT-3' connects the Enterprise Network transport block to the NGN transport block; VT-1 connects the NGN transport block to NACF; VT-2 connects the NGN transport block to MMCF; VT-4 connects the NGN transport block to RACF; VT-5 connects the VPN Service Control Function to NACF; and VT-6 connects the VPN Service Control Function to RACF. The top layer is labeled 'Service stratum' and the middle layer is labeled 'Transport stratum'.](5cab96b2d23174c25919840ecd50aa48_img.jpg) + +Figure 7-5: Reference points of the mobile NGN functional architecture. The diagram shows two main sections: Enterprise Network on the left and NGN on the right, separated by a vertical line. The Enterprise Network contains a MUE (Mobile User Equipment) connected to a block containing 'Transport processing functions' and 'VTF' (Virtual Transport Function). Above this block are three boxes: e-NAF, e-MCF, and e-RACF. The NGN contains a similar block with 'Transport processing functions' and is connected to three boxes: NACF, MMCF, and RACF. Above these are two 'VPN Service Control Function' boxes. Reference points are indicated by dashed lines with labels: VT-5' and VT-6' connect the VPN Service Control Functions; VT-1' connects e-NAF to the Enterprise Network transport block; VT-2' connects e-MCF to the Enterprise Network transport block; VT-4' connects e-RACF to the Enterprise Network transport block; VT-3' connects the Enterprise Network transport block to the NGN transport block; VT-1 connects the NGN transport block to NACF; VT-2 connects the NGN transport block to MMCF; VT-4 connects the NGN transport block to RACF; VT-5 connects the VPN Service Control Function to NACF; and VT-6 connects the VPN Service Control Function to RACF. The top layer is labeled 'Service stratum' and the middle layer is labeled 'Transport stratum'. + +**Figure 7-5 – Reference points of the mobile NGN functional architecture** + +#### 7.3.1 VT-1 reference point + +The VT-1 reference point is defined between MUE and NACF. The NACF provides IP addresses (IPv4 or IPv6 addresses) and some configuration information for the MUE in an NGN access network (typically through DHCP) through this reference point. This reference point is also defined for MUE authentication and authorization, and mobile VPN security association including security key exchange. This reference point is mapped to a combination of TU-1 and TC-1, which are defined in [ITU-T Y.2014]. + +#### 7.3.2 VT-1' reference point + +The VT-1' reference point is defined between MUE and e-NAF. The e-NAF is a function in an enterprise network which can be matched to NACF in NGN and has the corresponding functionalities as the NACF in NGN. Therefore, the reference point may be defined similarly to the matching NGN reference point, VT-1. + +#### 7.3.3 VT-2 reference point + +The VT-2 reference point is defined between MUE and MMCF. The MMCF provides a host-based mobility protocol for MUEs in an NGN access network through this reference point. This reference point is mapped to a combination of M3, M4, and M5, which are defined in [ITU-T Y.2018]. + +#### 7.3.4 VT-2' reference point + +The VT-2' reference point is defined between MUE and e-MCF. The e-MCF is a function in an enterprise network which can be matched to MMCF in NGN and has the corresponding functionalities to the MMCF in NGN. Therefore, the reference point may be defined similarly to the matching NGN reference point, VT-2. + +#### 7.3.5 VT-3 reference point + +The VT-3 reference point is defined between transport functions in NGN and RACF. Note that VTF could be controlled via this interface in remote access mobile VPN with managed service from NGN even though it is located in enterprise network. The RACF provides real-time application-driven and policy-based transport resource management in support of end-to-end QoS, gate control, network address translation, and traversal of remote network address translators through this + +interface. This reference point is mapped to a combination of $R_w$ and $R_c$ , which are defined in [ITU-T Y.2011]. + +#### **7.3.6 VT-3' reference point** + +The VT-3' reference point is defined between transport functions and e-RACF. The e-RACF is a function in an enterprise network which can be matched to RACF in NGN and has the corresponding functionalities to the RACF in NGN. Therefore, the reference point may be defined similarly to the matching NGN reference point, VT-3. + +#### **7.3.7 VT-4 reference point** + +The VT-4 reference point is defined between transport functions and MMCF. This reference point is used to activate handover at the related layer 2 and 3 transport functions. This reference point is mapped to a combination of $M_6$ and $M_7$ , which are defined in [ITU-T Y.2018]. + +#### **7.3.8 VT-4' reference point** + +The VT-4' reference point is defined between transport functions and e-MMCF. The e-MMCF is a function in an enterprise network which can be matched to MMCF in NGN and has the corresponding functionalities to the MMCF in NGN. Therefore, the reference point may be defined similarly to the matching NGN reference point, VT-4. + +#### **7.3.9 VT-5 reference point** + +The VT-5 reference point is defined between a service control function and NACF. This reference point is used for the service control function to query geographical location information to NACF. This reference point is mapped to S-TC1, which is defined in [ITU-T Y.2014]. + +#### **7.3.10 VT-5' reference point** + +The VT-5' reference point is defined between transport functions and e-NAF. The reference point may be defined similarly to the matching NGN reference point, VT-5. + +#### **7.3.11 VT-6 reference point** + +The VT-6 reference point is defined between a service control function and RACF. This reference point is used to authorize and reserve QoS resource for VPN service sessions. This reference point is mapped to $R_s$ , which is defined in [ITU-T Y.2011]. + +#### **7.3.12 VT-6' reference point** + +The VT-6' reference point is defined between a service control function and e-RACF. The reference point may be defined similarly to the matching NGN reference point, VT-6. + +![Sequence diagram showing the service registration and initial attachment procedure for mobile VPN service based on host-based mobility protocol. The diagram involves seven entities: MUE, VTF, NACF (e-NAF), MMCF (e-MCF), RACF (e-RACF), VPN SCF, and another MUE. The process includes network attachment, QoS enforcement, security association and binding update, tunnel creation, and the establishment of VPN and Direct VPN tunnels.](ff7ce44f3fdd51bae7b231f34df07c6a_img.jpg) + +``` + +sequenceDiagram + participant MUE1 as MUE + participant VTF + participant NACF as NACF (e-NAF) + participant MMCF as MMCF (e-MCF) + participant RACF as RACF (e-RACF) + participant VPN_SCF as VPN SCF + participant MUE2 as MUE + + MUE1->>NACF: Network attachment +(IP address allocation, +Authentication, etc) + MUE1->>VPN_SCF: + VTF->>RACF: QoS Enforcement + VTF->>MMCF: Security association and binding +update + VTF->>MMCF: Tunnel creation + MUE1-->>VTF: VPN Tunnel + VTF-->>MUE2: VPN Tunnel + VTF->>MUE2: Tunnel creation + VTF->>MUE2: Direct VPN Tunnel + +``` + +Sequence diagram showing the service registration and initial attachment procedure for mobile VPN service based on host-based mobility protocol. The diagram involves seven entities: MUE, VTF, NACF (e-NAF), MMCF (e-MCF), RACF (e-RACF), VPN SCF, and another MUE. The process includes network attachment, QoS enforcement, security association and binding update, tunnel creation, and the establishment of VPN and Direct VPN tunnels. + +**Figure 8-1 – Service registration and initial attachment procedure for mobile VPN service based on host-based mobility protocol** + +### 8.1 VPN service registration/de-registration + +An MUE should register itself to VPN SCF if it wants to be a member of a VPN. The registered addresses or identifiers of the MUEs should be available to the other nodes (other MUEs and VTF) to create secure VPN tunnels. The MUE could de-register itself from the VPN SCF when it does not want to be a member of the VPN anymore. + +### 8.2 QoS provisioning and enforcement for VPN tunnel + +The VPN SCF will trigger RACF (or e-RACF) to provision QoS for the VPN tunnels as the MUE registers itself to the VPN SCF. Then the RACF (or e-RACF) enforces QoS for VPN tunnels into VTF and related network elements. The VPN SCF will also trigger RACF (or e-RACF) to release QoS for the VPN tunnel as the MUE deregisters itself from the VPN through the VPN SCF. + +### 8.3 Initial network attachment + +When an MUE is powered on, it will perform the initial attachment process defined in [ITU-T Y.2014]. Then the host-based mobility (HBM) protocol is used to establish a mobile VPN tunnel between an MUE and a VTF as well as between two different MUEs. + +#### **8.3.1 Security association establishment and binding registration** + +The MUE may support the various key exchange protocols such as IKEv2 [b-IETF RFC 5996] and password authenticated key exchange (PAK) [ITU-T X.1035] for negotiating the security association which will be used for securing mobility control signalling and data packets. The security associations for control packets and data packets are performed independently. The MMCF (or e-MCF) needs to take care of the security association only for control packets in general mobility cases but the MMCF (or e-MCF) for mobile VPN service should take care of the security association for data packets as well. During this security association procedure, the MUE may request the allocation of a persistent IP address or prefix if it is not pre-configured manually or in the service registration procedure. + +#### **8.3.2 VPN tunnel creation** + +After establishing the security association and obtaining the persistent IP address, the MUE should exchange mobility location binding update messages in order to register its persistent IP address and temporary IP address at the mobility location management functional entity (MLM-FE) of MMCF (or e-MCF), if it detects the change of its location. In order to support IP version independent mobility in access networks, the MUE may have multiple persistent IP addresses of different IP versions as well as multiple temporary IP addresses of different IP versions. + +When the MMCF (or e-MCF) receives the location binding update from an MUE, it will first set up a secure VPN tunnel to VTF and then send the location binding acknowledgement back to the MUE. If the location binding acknowledgement indicates that the location binding update request is accepted, the MUE should create and manage a binding entry for the persistent IP address and the temporary IP address. After this, a mobile VPN tunnel is established between the MUE and VTF. + +#### **8.3.3 Direct VPN tunnel creation** + +If both communication entities are MUEs, these can create a direct mobile VPN tunnel which does not necessarily go through VTF. The two MUEs should set up a security association between them to establish a direct VPN tunnel which will provide an optimized and secure communication path between the MUEs. + +### 8.4 Handover + +![Sequence diagram illustrating the handover procedure for host-based mobility protocol based mobile VPN. The diagram shows interactions between MUE, VTF, NACF (e-NAF), MMCF (e-MCF), RACF (e-RACF), VPN SCF, and MUE. Key steps include: Network attachment (IP address allocation, Authentication, etc.), Binding update, QoS Modification Request, QoS Update Notification, QoS Enforcement, Tunnel Creation, New VPN Tunnel, Direct Tunnel Creation, and New Direct VPN Tunnel.](83852ec55d4802521a727926336bedab_img.jpg) + +``` + +sequenceDiagram + participant MUE1 as MUE + participant VTF + participant NACF as NACF (e-NAF) + participant MMCF as MMCF (e-MCF) + participant RACF as RACF (e-RACF) + participant VPN_SCF as VPN SCF + participant MUE2 as MUE + + Note over MUE1: VPN Tunnel + Note over MUE1, VTF: VPN Tunnel + Note over MUE1, VTF, NACF, MMCF, RACF, VPN_SCF, MUE2: Direct VPN Tunnel + Note over MUE1, VTF, NACF: Network attachment (IP address allocation, Authentication, etc) + Note over MUE1, VTF, MMCF: Binding update + Note over MMCF, RACF: QoS Modification Request + Note over RACF, VPN_SCF: QoS Update Notification + Note over VTF, MMCF, RACF: QoS Enforcement + Note over VTF, MMCF: Tunnel Creation + Note over MUE1: New VPN Tunnel + Note over MUE1, VTF, NACF, MMCF, RACF, VPN_SCF, MUE2: Direct Tunnel Creation + Note over MUE1, VTF, NACF, MMCF, RACF, VPN_SCF, MUE2: New Direct VPN Tunnel + +``` + +Sequence diagram illustrating the handover procedure for host-based mobility protocol based mobile VPN. The diagram shows interactions between MUE, VTF, NACF (e-NAF), MMCF (e-MCF), RACF (e-RACF), VPN SCF, and MUE. Key steps include: Network attachment (IP address allocation, Authentication, etc.), Binding update, QoS Modification Request, QoS Update Notification, QoS Enforcement, Tunnel Creation, New VPN Tunnel, Direct Tunnel Creation, and New Direct VPN Tunnel. + +**Figure 8-2 – Handover procedure for host-based mobility protocol based mobile VPN** + +The handover procedure is performed by the MUE according to the HBM protocol to update its temporary IP address to the MMCF (or e-MCF) after detecting a movement between two different access networks, which implies a change of the temporary IP address. When this procedure takes place, the MUE already has a valid registration at the MMCF (or e-MCF), which implies that the MMCF (or e-MCF) has a binding entry for that MUE and a security association to secure HBM protocol signalling is in place between the MUE and the MMCF (e-MCF). + +The procedure involves performing the movement detection and exchanging of location binding update and location binding acknowledgement between the MUE and the MMCF (or e-MCF). For the handover procedure, it is assumed that the MUE has already set up a security association with the MMCF (or e-MCF) in the initial attachment procedure described in the previous clause and the security association remains valid even after handover to the other access network. + +When the MMCF (or e-MCF) receives the location binding update from the MUE, the MMCF (or e-MCF) will interact with RACF (or e-RACF) to re-provision QoS for the new location and create a new tunnel to VTF. The QoS update information may be notified to VPN SCF to update its QoS provisioning information for the VPN tunnel. + +After a new mobile VPN tunnel is created between the MUE and VTF, the MUE will create a new direct tunnel to the corresponding MUE after creating security association between them for an optimized communication path. + +# **9 Security considerations** + +Basic considerations on security architecture for NGN are addressed in [ITU-T Y.2001], and the security requirements of the NGN are described in [ITU-T Y.2701]. Concerning the specifics of mobile VPN, the various kinds of terminals, devices and contents that can be involved will have to conform to the security requirements of the network to which they are willing to attach. When attaching to the NGN, corresponding authentication and authorization requirements in [ITU-T Y.2702] should be applied. + +# Appendix I + +## Use case of mobile VPN based on the IP-based mobility protocol + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Secure tunnel set up + +![Sequence diagram showing the modified PAK-based secure tunnel creation process between two MUEs and a VPN GW.](09955ff8214ffb6947951fc0f60eb6ab_img.jpg) + +The diagram illustrates the sequence of operations for setting up a secure tunnel between two Mobile User Equipment (MUE) devices and a Virtual Private Network Gateway (VPN GW). The process is divided into two main phases: initial setup and subsequent communication. + +**Initial Setup Phase:** + +- MUE 1** initiates the process by sending an **mPAK** (modified Pseudo Password Acknowledgment) to **VPN GW**. +- MUE 1** sends a **Setup secure tunnel** message to **VPN GW**. +- VPN GW** sends a **Setup secure tunnel** message to **MUE 2**. +- VPN GW** sends a **KH[TR/TA]** (Keyed Hash of Tunnel Request and Tunnel Acknowledgment) message to **MUE 1**. +- MUE 1** sends a **Control Msg** (Control Message) to **VPN GW**. +- MUE 1** sends a **PPQ(Pseudo Password Query)** (Pseudo Password Query) to **VPN GW**. +- VPN GW** sends a **PPA(Pseudo Password Ack)** (Pseudo Password Acknowledgment) to **MUE 1**. +- VPN GW** sends a **PPA(Pseudo Password Ack)** to **MUE 2**. +- VPN GW** sends an **mPAK** to **MUE 2**. + +**Subsequent Communication Phase:** + +- MUE 1** sends a **Setup secure tunnel** message to **VPN GW**. +- MUE 2** sends a **Setup secure tunnel** message to **VPN GW**. +- VPN GW** sends a **Control Msg** to **MUE 1**. +- VPN GW** sends a **Data** message to **MUE 1**. + +The diagram is labeled **Y.2811(12)\_Fl.1** at the bottom right. + +Sequence diagram showing the modified PAK-based secure tunnel creation process between two MUEs and a VPN GW. + +**Figure I.1 – Modified PAK-based secure tunnel creation** + +Figure I.1 shows how the secure tunnel between the MUEs can be set up using modified PAK. The PAK is a protocol to establish a shared secret with a party whose identity has been assured by the password. In this scenario, the original PAK is extended to exchange security policy configuration information between two nodes. Every MUE is assumed to have an ID and password in order to use modified PAK (mPAK). Every MUE should exchange key information with the VPN service control function through the mPAK. + +Using the key information and keyed-hash (KH) mechanism, the MUE will set up a tunnel by exchanging tunnel request (TR) and tunnel acknowledgement (TA) messages with the VPN transport function which is normally located in VPN gateway. Through the tunnel, the MUEs and VPN gateway can exchange secure control messages. + +Then, MUEs will request a pseudo ID and password using "pseudo password query" and then the VPN service control function will generate a pseudo ID and password for the MUEs. The newly generated pseudo ID and password will be delivered to all the VPN members through the secure tunnels between the VPN transport function (also known as VPN gateway) and MUEs that were already set up. + +Then, the MUEs could exchange key information with the other MUEs using their pseudo IDs and passwords through the mPAK. + +#### I.1.1 Key exchange between MUE and VPN gateway + +![Sequence diagram of the Modified PAK algorithm between a Local node and a Remote node.](365b54f616aff249b4e6c0edafdcb9b3_img.jpg) + +``` + +sequenceDiagram + participant Local as Local node + participant Remote as Remote node + + Note over Local: $x \in {}_R Z_p$ + + $X = g^x \cdot H_1[LA || RA || ID || PW]$ + Local->>Remote: ID, X + Note over Remote: $y \in {}_R Z_p$ + + $\rho = \left( \frac{X}{H_1[LA || RA || ID || PW]} \right)^y = g^{xy}$ + + $K_{seed} = H_3[LA || RA || ID || PW || g^x || g^y || \rho]$ + + $K_A = PRF[K_{seed} || \rho || ID || PW || 0]$ + + $Y = g^y \cdot H_2[LA || RA || ID || PW]$ + + $MSG_R = [Alg List]$ + + $AUTH_R = KH[ID || Y || MSG_R]_{K_A}$ + Remote-->>Local: ID, Y, MSG_R, AUTH_R + Note over Local: $\rho = \left( \frac{Y}{H[LA || RA || ID || PW]} \right)^x = g^{xy}$ + + $K_{seed} = H_3[LA || RA || ID || PW || g^x || g^y || \rho]$ + + $K_A = PRF[K_{seed} || \rho || ID || PW || 0]$ + + Verify AUTH_R + + $MSG_L = [Alg List, SP List]$ + + $AUTH_L = KH[ID || MSG_L]_{K_A}$ + Local->>Remote: ID, MSG_L, AUTH_L + Note over Remote: Verify AUTH_L + + $MSG_N = [SP List]$ + + $AUTH_N = KH[ID || MSG_N]_{K_A}$ + Remote-->>Local: ID, MSG_N, AUTH_N + Note over Local: Verify AUTH_N + +``` + +Y.2811(12)\_F1.2 + +Sequence diagram of the Modified PAK algorithm between a Local node and a Remote node. + +**Figure I.2 – Modified PAK algorithm** + +First, a random number is generated ( $g^x$ ) from a number set ( ${}_R Z_p$ ) and the value is multiplied by the hash value of the concatenation of local address (LA), remote node address (RA), MUE's identifier (ID) and password (PW) using a hash function $H_1$ , to finally obtain a value X. This way only the nodes that know the password can calculate the key. Then the local node sends the message including ID and X to the remote node. + +If a remote node (VPN gateway or corresponding MUE) receives the message from a local node, it generates a random number ( $g^y$ ) from a number set ( ${}_R Z_p$ ). Then, a hash value ( $K_{seed}$ ) of the concatenation of LA, RA, ID, PW, $g^x$ , $g^y$ and $g^{xy}$ is calculated using a hash function $H_3$ . $K_A$ is obtained by generating a pseudo random number from the concatenation of $K_{seed}$ , ID and PW. The $g^y$ value is multiplied by the hash value of the concatenation of LA, RA, ID and PW using a hash function $H_2$ to finally obtain a value Y. Finally, a keyed-hash value ( $AUTH_R$ ) is generated using $K_A$ from the concatenation of ID, Y and a security algorithm list ( $MSG_R$ ) that the remote node can provide. Then, the node sends back the message including ID, Y, $MSG_R$ and $AUTH_R$ to the local node. + +The local node again calculates $K_{seed}$ and $K_A$ from the information that it received from the remote node and its password (PW), and verifies the $AUTH_R$ . Then, it sends a keyed-hash value ( $AUTH_L$ ) which is generated using $K_A$ from the concatenation of ID and security algorithm and policy list ( $MSG_L$ ) that the node can support. The node sends back the message including ID, $MSG_L$ and $AUTH_L$ to the remote node. + +The remote node sends a keyed-hash value ( $AUTH_N$ ) which is generated using $K_A$ from the concatenation of ID and security policy list ( $MSG_N$ ) which is decided to be used. Then, the remote node sends the message including ID, $MSG_N$ and $AUTH_N$ to the local node. Finally, the key exchange procedure ends by verifying the $AUTH_N$ . + +Through this procedure, a local node (MUE) and its remote node (VPN gateway or corresponding MUE) share the key information. The procedure follows the basic procedure in [ITU-T X.1035] and uses the keyed-hash mechanism to protect messages. The following are keys to be used for tunnel set up and control messages after the above procedure. + +$$K_{\text{tun}} = H[K_{\text{seed}} \parallel K_A \parallel g^{xy} \parallel \text{ID} \parallel \text{PW} \parallel 1]$$ + +$$K_{\text{ctrl}} = H[K_{\text{seed}} \parallel K_{\text{tun}} \parallel g^{xy} \parallel \text{ID} \parallel \text{PW} \parallel 2]$$ + +$K_{\text{tun}}$ is used as the key to protect tunnel request (TR) and tunnel acknowledge (TA) messages, and $K_{\text{ctrl}}$ is used as the key to protect control messages. + +#### **I.1.2 Key exchange between MUEs** + +Once a secure tunnel between MUE and VPN gateway is created, the separate key should be exchanged to set up a direct secure tunnel between two MUEs. Since it is not appropriate to distribute an MUE's password to the others, a temporary ID and password are created for each MUE, which is only temporarily valid for the direct communication between MUEs. + +The temporary ID and password are dynamically created for each MUE directly after setting up a tunnel between MUE and VPN gateway. MUEs will request a pseudo ID and password using "pseudo password query" and then VPN service control function will generate a pseudo ID and a password for each MUE. The newly generated pseudo ID and password will be delivered to the entire VPN member MUEs through the secure VPN tunnels between MUEs and VPN gateway functions which were already set up. + +Then, the MUEs could exchange key information with the other MUEs using their pseudo IDs and passwords through the mPAK which is described in clause I.1.1. + +### **I.2 Mobility** + +#### **I.2.1 Mobility for the tunnel between MUE and VPN gateway** + +In order to support seamless mobility using the IP-based mobility mechanism, multiple interfaces are assumed to support make-before-break handover. One of the interfaces is used for active VPN tunnels and others are used for standby VPN tunnels. + +Figure I.3 shows an example with two interfaces. The first interface is chosen to be a primary interface, which is determined the local node's policy or the network's policy. First, a tunnel is created between MUE and VPN gateway. A tunnel ID (TID) value is allocated for the tunnel and the TID value is used when an actual binding is performed. A tunnel is registered as an active tunnel through performing binding registration for the tunnel while setting the BID (binding ID) value to the TID value. As shown in the figure, a tunnel with a TID value of X is used as a primary tunnel for the VPN traffic and a tunnel with a TID value of Y is used as secondary tunnel. + +If a handover is needed because of various reasons of the primary tunnel such as signal strength degradation, MUE will switch the secondary tunnel to the primary tunnel by setting BID to the TID of the secondary tunnel. + +![Sequence diagram showing signalling flow for mobility between MUE and VPN gateway. The diagram is divided into three sections: Primary control tunnel, Secondary control tunnel, and Control tunnel handover. In the Primary control tunnel section, MUE sends a Tunnel creation request and response (TID = X) to VPN gateway, followed by a Binding registration and response (BID = X). In the Secondary control tunnel section, MUE sends a Tunnel creation request and response (TID = Y) to VPN gateway, followed by a Binding registration and response (BID = Y). In the Control tunnel handover section, MUE sends a Tunnel removal request and response for previous primary tunnel to VPN gateway. The diagram is labeled Y.2811(12)_Fl.3 at the bottom right.](7133ccf78043568ca62ecbcd43628a4a_img.jpg) + +``` + +sequenceDiagram + participant MUE + participant VPN_gateway as VPN gateway + + Note over MUE, VPN_gateway: Primary control tunnel + MUE->>VPN_gateway: Tunnel creation request and response (TID = X) + MUE->>VPN_gateway: Binding registration and response (BID = X) + Note over MUE, VPN_gateway: Primary control tunnel (established) + + Note over MUE, VPN_gateway: Secondary control tunnel + MUE->>VPN_gateway: Tunnel creation request and response (TID = Y) + Note over MUE, VPN_gateway: Secondary control tunnel (established) + + Note over MUE, VPN_gateway: Control tunnel handover + MUE->>VPN_gateway: Binding registration and response (BID = Y) + MUE->>VPN_gateway: Tunnel removal request and response for previous primary tunnel + +``` + +Y.2811(12)\_Fl.3 + +Sequence diagram showing signalling flow for mobility between MUE and VPN gateway. The diagram is divided into three sections: Primary control tunnel, Secondary control tunnel, and Control tunnel handover. In the Primary control tunnel section, MUE sends a Tunnel creation request and response (TID = X) to VPN gateway, followed by a Binding registration and response (BID = X). In the Secondary control tunnel section, MUE sends a Tunnel creation request and response (TID = Y) to VPN gateway, followed by a Binding registration and response (BID = Y). In the Control tunnel handover section, MUE sends a Tunnel removal request and response for previous primary tunnel to VPN gateway. The diagram is labeled Y.2811(12)\_Fl.3 at the bottom right. + +**Figure I.3 – Signalling flow for mobility between MUE and VPN gateway** + +#### I.2.2 Mobility for the tunnels between MUEs + +If multiple MUEs want to communicate through secure VPN tunnels, the MUEs create direct VPN tunnels between them. Before creating the direct VPN tunnel, the primary and secondary control tunnels are created between MUEs and VPN gateway. Once the control tunnels are created, the MUEs can create the direct VPN tunnels with other MUEs that they want to communicate with. If a handover is needed because of various reasons of the primary interface such as signal strength degradation, MUE will hand over the control tunnel as in clause I.2.1. Once the control tunnel is handed over the new interface, the data traffic also passes through the tunnel instead of the through the direct tunnel. And the traffic is again forwarded through the direct tunnel after deleting the old direct tunnel and creating the new direct tunnel through the new primary interface. + +![Sequence diagram showing signalling flow for mobility between MUEs. The diagram involves three participants: MUE, VPN gateway, and MUE. It is divided into four sections: Control tunnel, Direct tunnel, Control tunnel handover, and Direct tunnel handover. In the Control tunnel section, MUE creates a Primary control tunnel and a Secondary control tunnel with the VPN gateway. In the Direct tunnel section, MUE sends a Direct tunnel creation request and response to the other MUE, followed by a Direct tunnel. In the Control tunnel handover section, MUE sends a Control tunnel handover message to the VPN gateway. In the Direct tunnel handover section, MUE sends a Direct tunnel delete request and response for old direct tunnel to the other MUE, followed by a Direct tunnel create request and response for new primary interface to the other MUE. The diagram is labeled Y.2811(12)_Fl.4 at the bottom right.](e354b57563dae469c00b412b2abdf765_img.jpg) + +``` + +sequenceDiagram + participant MUE1 as MUE + participant VPN_gateway as VPN gateway + participant MUE2 as MUE + + Note over MUE1, VPN_gateway: Control tunnel + MUE1->>VPN_gateway: Primary control tunnel + MUE1->>VPN_gateway: Secondary control tunnel + Note over VPN_gateway, MUE2: Primary control tunnel + Note over VPN_gateway, MUE2: Secondary control tunnel + + Note over MUE1, MUE2: Direct tunnel + MUE1->>MUE2: Direct tunnel creation request and response + MUE1->>MUE2: Direct tunnel + + Note over MUE1, VPN_gateway: Control tunnel handover + MUE1->>VPN_gateway: Control tunnel handover + + Note over MUE1, MUE2: Direct tunnel handover + MUE1->>MUE2: Direct tunnel delete request and response for old direct tunnel + MUE1->>MUE2: Direct tunnel create request and response for new primary interface + +``` + +Y.2811(12)\_Fl.4 + +Sequence diagram showing signalling flow for mobility between MUEs. The diagram involves three participants: MUE, VPN gateway, and MUE. It is divided into four sections: Control tunnel, Direct tunnel, Control tunnel handover, and Direct tunnel handover. In the Control tunnel section, MUE creates a Primary control tunnel and a Secondary control tunnel with the VPN gateway. In the Direct tunnel section, MUE sends a Direct tunnel creation request and response to the other MUE, followed by a Direct tunnel. In the Control tunnel handover section, MUE sends a Control tunnel handover message to the VPN gateway. In the Direct tunnel handover section, MUE sends a Direct tunnel delete request and response for old direct tunnel to the other MUE, followed by a Direct tunnel create request and response for new primary interface to the other MUE. The diagram is labeled Y.2811(12)\_Fl.4 at the bottom right. + +**Figure I.4 – Signalling flow for mobility between MUEs** + +# Appendix II + +## Use case of mobile VPN based on MOBIKE + +(This appendix does not form an integral part of this Recommendation.) + +The MOBIKE-based mobile VPN provides only the case where an MUE accesses the enterprise resources, but does not provide the case of communication between MUEs. + +![Sequence diagram showing the service registration and initial attachment procedure for MOBIKE based mobile VPN.](58f4167687de8d7339594e5f6fbe0bc6_img.jpg) + +The diagram illustrates the service registration and initial attachment procedure for MOBIKE-based mobile VPN. It features six participants: MUE, VTF, NACF (e-NAF), MMCF (e-MCF), RACF (e-RACF), and VPN SCF. The sequence of operations is as follows: + +- Network attachment (IP address allocation, Authentication, etc):** A message from VTF to MUE. +- VPN Service Registration:** A message from MUE to VPN SCF. +- QoS Provisioning:** A message from VPN SCF to RACF. +- QoS Enforcement:** A message from RACF to VTF. +- MOBIKE Security Association:** A message from VTF to MUE. +- SA download:** A message from MUE to NACF. +- VPN Tunnel (IPsec):** A message from MUE to NACF. + +A blue oval at the bottom of the MUE lifeline indicates the end of the procedure. + +Sequence diagram showing the service registration and initial attachment procedure for MOBIKE based mobile VPN. + +**Figure II.1 – Service registration and initial attachment procedure for MOBIKE based mobile VPN** + +### II.1 VPN service registration/de-registration procedure + +The VPN service registration/de-registration procedure is basically the same as in mobile VPN service based on host-based mobility protocol. + +### II.2 VPN tunnel QoS provisioning + +When the MUE registers itself to the VPN service control function (VPN SCF), the VPN SCF will trigger PD-FE in RACF to provision QoS for the VPN tunnel. Likewise, when the MUE deregisters itself from the VPN SCF, the VPN SCF will also trigger PD-FE in RACF to release QoS for the VPN tunnel. + +### II.3 Initial attachment procedure + +The MOBIKE initial attachment is performed by the MUE to establish an IPsec tunnel with the tunnelling end-points as described in [b-IETF RFC 4555]. The MOBIKE client and server perform the IKE security association initialization procedure (IKE\_SA\_INIT) and the IKE authentication procedure (IKE\_AUTH) to set up an IPsec tunnel. Once the IPsec tunnel has been established between the MOBIKE client and the VTF, the MUE may start sending and receiving data to/from its enterprise network. + +### II.4 Handover procedure + +![Sequence diagram of the handover procedure for MOBIKE based mobile VPN.](2ae3eae1bd80a90f192f568ae246a9a6_img.jpg) + +``` +sequenceDiagram + participant MUE + participant VTF + participant NACF as NACF (e-NAF) + participant MMCF as MMCF (e-MCF) + participant RACF as RACF (e-RACF) + participant VPN_SCF as VPN SCF + + MUE->>VTF: Network attachment +(IP address allocation, +Authentication, etc) + VTF->>NACF: IP address update + NACF->>MMCF: QoS Modification Request + MMCF->>RACF: QoS Update Notification + RACF->>VPN_SCF: QoS Update Notification + RACF->>MUE: QoS Enforcement + MUE->>VTF: New VPN Tunnel (IPsec) +``` + +The diagram illustrates the handover procedure for MOBIKE based mobile VPN. It shows the interactions between the MUE (Mobile User Equipment), VTF (Virtual Tunnel Function), NACF (Network Access Control Function, e-NAF), MMCF (Mobility Management Control Function, e-MCF), RACF (Resource Access Control Function, e-RACF), and VPN SCF (VPN Service Control Function). The procedure starts with the MUE sending a 'Network attachment (IP address allocation, Authentication, etc)' message to the VTF. The VTF then sends an 'IP address update' message to the NACF. The NACF sends a 'QoS Modification Request' message to the MMCF. The MMCF sends a 'QoS Update Notification' message to the RACF. The RACF sends a 'QoS Update Notification' message to the VPN SCF. The RACF then sends a 'QoS Enforcement' message to the MUE. Finally, the MUE sends a 'New VPN Tunnel (IPsec)' message to the VTF. + +Sequence diagram of the handover procedure for MOBIKE based mobile VPN. + +**Figure II.2 – Handover procedure for MOBIKE based mobile VPN** + +While MUE is connected to an access network, if any of the handover conditions is met, such as signal strength degradation, the MUE may hand over to another wireless network. Once the handover decision is made, the MOBIKE client sends an INFORMATIONAL message to VTF to inform that its IP address has been changed. After the INFORMATIONAL message is exchanged, MUE's data traffic is sent and received through the target access network. + +As in the initial attachment phase, when the NACF receives a security association request from an MUE, the NACF will interact with PD-FE in RACF to re-provision QoS. Optionally, the QoS update information may be notified to VPN SCF. + +# **Bibliography** + +- [b-IETF RFC 4555] IETF RFC 4555, *IKEv2 Mobility and Multihoming Protocol (MOBIKE)*. +- [b-IETF RFC 5996] IETF RFC 5996, *Internet Key Exchange Protocol Version 2 (IKEv2)*. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of 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+1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:db7ea7ad322e6d5519da484be782a1900cc473487cd9e2cdf6758e5c9263abb0 +size 114532 diff --git a/marked/Y/T-REC-Y.3013-201408-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3013-201408-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..a4a27369a1202c42f1eeca0945338b6719f3d42d --- /dev/null +++ b/marked/Y/T-REC-Y.3013-201408-I_PDF-E/raw.md @@ -0,0 +1,582 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.3013 + +(08/2014) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Future networks + +# --- **Socio-economic assessment of future networks by tussle analysis** + +Recommendation ITU-T Y.3013 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +### INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## **FUTURE NETWORKS** **Y.3000–Y.3499** + +### CLOUD COMPUTING Y.3500–Y.3999 + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3013 + +# Socio-economic assessment of future networks by tussle analysis + +## Summary + +The need for a socio-economic assessment of future networks (FNs) is documented in the "Social and economic awareness" objective and in the "Economic incentives" design goal of Recommendation ITU-T Y.3001. + +Recommendation ITU-T Y.3013 introduces tussle analysis as a meta-method for such a socio-economic assessment of FN technology. Different methods are proposed to implement the three steps that comprise tussle analysis. The benefits of integrating tussle analysis into the standardization phase of FN technology are highlighted. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3013 | 2014-08-29 | 13 | 11.1002/1000/12283 | + +## Keywords + +Economic incentives, social and economic awareness, socio-economic assessment, tussle analysis. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2014 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation ..... | 1 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Introduction..... | 2 | +| 7 Design for tussle ..... | 3 | +| 8 Tussle analysis ..... | 3 | +| 8.1 Stakeholder identification methods ..... | 5 | +| 8.2 Tussle identification methods..... | 5 | +| 8.3 Tussle impact and tussle evolution methods ..... | 6 | +| 9 Tussle analysis in FN technology standardization..... | 7 | +| Appendix I – Tussle notions ..... | 8 | +| I.1 General example ..... | 8 | +| I.2 Specific example ..... | 9 | +| Appendix II – Methods overview ..... | 11 | +| Appendix III – Stakeholder overview ..... | 13 | +| Bibliography..... | 15 | + + + +## Recommendation ITU-T Y.3013 + +# Socio-economic assessment of future networks by tussle analysis + +## 1 Scope + +This Recommendation describes tussle analysis and recommends it to complement FN design and standardization using socio-economic assessment. The scope of this Recommendation covers the following aspects: + +- The importance of social and economic awareness of FNs, as identified by [ITU-T Y.3001]; +- FN design for tussle principles, which ensure social and economic awareness; +- Tussle analysis as a meta-method to assess a FN technology's compliance with these principles; +- Recommended methods to implement the three steps of the tussle analysis meta-method; +- Benefits of the integration of tussle analysis into FN standardization. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3001] Recommendation ITU-T Y.3001 (2011), *Future networks: Objectives and design goals*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 future network (FN)** [ITU-T Y.3001]: A network able to provide services, capabilities, and facilities difficult to provide using existing network technologies. A future network is either: + +- a) A new component network or an enhanced version of an existing one, or +- b) A heterogeneous collection of new component networks or of new and existing component networks that is operated as a single network. + +NOTE (added by this Recommendation) – The plural form "future networks" (FNs) is used to show that there may be more than one network that fits the definition of a future network. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 spillover:** A special case of a tussle evolution, which is characterized by triggering a tussle in a functionality space that the original tussle was not about. + +**3.2.2 tussle:** The entire set of stakeholders with conflicting interests over the usage and deployment of a technology and the resulting attempts to enforce these interests through technological, economic, or judicial means. + +**3.2.3 tussle evolution:** An iterative interaction of stakeholders through technological, economic, or judicial means, to influence the outcome of the respective tussle. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|----------------------------------------------------------------------------| +| ASP | Application Service Provider | +| DPI | Deep Packet Inspection | +| FN | Future Network | +| ICT | Information and Communication Technology | +| IP | Internet Protocol | +| ISP | Internet Service Provider | +| MACTOR | Matrix of Alliances and Conflicts: Tactics, Objectives and Recommendations | +| SWOT | Strengths, Weaknesses, Opportunities, Threats | +| TCP | Transmission Control Protocol | +| VoIP | Voice over IP | + +## **5 Conventions** + +None. + +## **6 Introduction** + +Social and economic awareness is one out of four objectives for future networks (FNs) outlined in [ITU-T Y.3001]. This objective is motivated by the desire to reduce entry barriers for the various actors involved in the network ecosystem, and can be achieved by reducing life cycle costs and thereby allowing appropriate competition and an appropriate return for all actors. + +Traditional engineering goals are focused on technical properties, such as effectiveness, efficiency and modularity. Contrary to other technologies, FNs are a means for socio-economic interactions between a wide group of participants with possibly conflicting interests. Therefore, designing FNs according to purely technically-driven engineering goals can lead to technologies that do not match the market and policy makers' needs, or that fail to satisfy other socio-economic demands, thus negatively affecting the technologies' adoption and long-term success. + +Therefore, [ITU-T Y.3001] identifies the design goal of economic incentives for FNs. This design goal postulates that FNs are to be designed to provide a sustainable competition environment for solving tussles among the range of participants in the information and communication technology (ICT)/telecommunication ecosystem. + +In the light of the objective of social and economic awareness and the related design goal of economic incentives, as determined in [ITU-T Y.3001], this Recommendation recommends that technically-driven FN design and standardization is to be complemented by a socio-economic assessment of FN technology. To this end, tussle analysis is proposed as a meta-method (see Note) to assess if a technology for FNs is designed in a socio-economic aware and incentive-compatible manner. In addition useful methods to implement the three steps of tussle analysis are recommended. + +NOTE – A meta-method describes steps that need to be implemented by specific methods. + +## 7 Design for tussle + +Ideally, the introduction of a new FN technology should lead to a satisfying outcome for all involved stakeholders and it should not lead to spillovers to other functionalities. In cases where unsatisfied stakeholders or spillovers have to be expected, the technology designer should examine whether implementation changes could avoid these undesirable outcomes. + +Internet technologies should be designed to allow for variations rather than imposing a particular outcome [b-Clark05]. Accordingly, the stated "Design for tussle" goal is based on the perception that the Internet is a rather unpredictable system and it is very difficult to assess whether a particular outcome will remain desirable in the future. + +The tussle analysis methodology helps in designing FN technology that is designed for tussle. A technology such as an Internet communication protocol is designed for tussle if it complies with the "Design for choice" and the "Modularize the design along the tussle boundaries" principles, whereby the technology should: + +- lead to a stable outcome by allowing all involved stakeholders to express their interests and affect the outcome ("Design for choice" principle); +- avoid spillovers to other functionalities ("Modularize the design along the tussle boundaries" principle). + +The "Design for choice" principle provides guidance in designing technology that allows for variation in outcome. Useful properties of this principle include: + +- "Exposure of list of choices" suggesting that the stakeholders involved must be given the opportunity to express multiple alternative choices and which the other party should also consider; +- "Exchange of valuation" suggesting that the stakeholders involved should communicate their preferences in regard to the available set of choices (for instance by ranking them in descending order); +- "Exposure of choice's impact" suggesting that the stakeholders involved should appreciate what the effects of their choices are on others; +- "Visibility of choices made" suggesting that both the agent and the principal of an action must allow the inference of which of the available choices that has been selected. + +The "Modularize the design along tussle boundaries" principle helps in identifying whether tussle spillovers can appear. A technology designer can check for the following two conditions: + +- "Stakeholder separation", or whether the choices of one stakeholder group have significant side effects on stakeholders of another functionality (another tussle space), for example, create economic externalities between stakeholders of different tussle spaces; +- "Functional separation", or whether different stakeholders use some functionality of the given technology in an unforeseen way to achieve a different goal in some other tussle space, i.e., the functionality of technology A interferes with (and possibly cancels) the functionality of technology B. + +## 8 Tussle analysis + +FN technology should undergo a systematic socio-economic assessment during technology design and technology standardization phases in order to anticipate the extent to which the FN technology is designed for tussle. Tussle analysis [b-TussleAnalysis] determines the recommended meta-method for conducting such a socio-economic assessment. + +When applying tussle analysis to FN technology, the following steps, for which concrete methods are given in clauses 8.1 to 8.3, have to be performed: + +- Step 1. Identify all primary stakeholders and their characteristics for the functionality under investigation (see clause 8.1). +- Step 2. Identify tussles among identified stakeholders (see clause 8.2). +- Step 3. For each tussle (see clause 8.3): +- Assess the impact to each stakeholder (short-term, mid-term or long-term depending on the context); + - Identify potential ways for stakeholders to circumvent negative impacts (or gain unwarranted advantages) and the resulting tussle evolution (the term tussle evolution is related to other notions described in Appendix I); + - For each such manipulation technique, apply tussle analysis again. + +Figure 1 provides a graphical representation of the steps to be performed in tussle analysis. Each step is shown as a horizontal rectangle with arrows denoting transitions. All steps need to be applied in the context of one or more functionalities (rounded vertical rectangles). + +![Figure 1: High-level view of tussle analysis methodology. The diagram shows two yellow rounded rectangles at the top labeled 'Functionality I' and 'Functionality II'. Below them is a light blue rectangle for 'Step 1: Identify all primary stakeholders and their characteristics for the functionality under investigation'. Arrows point from Step 1 to two yellow rectangles below, with a purple arrow labeled 'New iteration' pointing back to Step 1. Below these is a blue rectangle for 'Step 2: Identify tussles among identified stakeholders'. Arrows point from Step 2 to a purple rectangle for 'Step 3: For each tussle assess the impact to each stakeholder and potential spillovers'. Inside the Step 3 rectangle, there are labels 'Tussle' and 'Spillover' with arrows pointing to the yellow rectangles. A red arrow labeled 'Spillover' points from the Step 3 rectangle to the 'Functionality II' rectangle. The text 'Y.3013(14)_F01' is at the bottom right.](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +Figure 1: High-level view of tussle analysis methodology. The diagram shows two yellow rounded rectangles at the top labeled 'Functionality I' and 'Functionality II'. Below them is a light blue rectangle for 'Step 1: Identify all primary stakeholders and their characteristics for the functionality under investigation'. Arrows point from Step 1 to two yellow rectangles below, with a purple arrow labeled 'New iteration' pointing back to Step 1. Below these is a blue rectangle for 'Step 2: Identify tussles among identified stakeholders'. Arrows point from Step 2 to a purple rectangle for 'Step 3: For each tussle assess the impact to each stakeholder and potential spillovers'. Inside the Step 3 rectangle, there are labels 'Tussle' and 'Spillover' with arrows pointing to the yellow rectangles. A red arrow labeled 'Spillover' points from the Step 3 rectangle to the 'Functionality II' rectangle. The text 'Y.3013(14)\_F01' is at the bottom right. + +**Figure 1 – High-level view of tussle analysis methodology** + +In the ideal scenario the tussle outcome is an equilibrium point where the following two conditions hold: + +- Condition 1 All stakeholders in this functionality derive a payoff that is considered fair, therefore they will not take means to change the outcome and thus the tussle will not evolve further, and; +- Condition 2 No stakeholder in another functionality, who was receiving a fair payoff before, gets an unfair payoff after this tussle equilibrium has been reached, i.e., the tussle does not spillover. + +If both conditions hold then the analysis of this particular tussle is completed and the focus should be shifted to the remaining tussles identified in Step 2. In the case where Condition 1 is not met, a new iteration of the methodology must be performed by making assumptions on the most probable policies adopted by unhappy stakeholders, i.e., the future evolution of the tussle must be investigated. Similarly, a new iteration must be performed for each spillover to other functionalities when Condition 2 is not met. + +Ideally, a new technology should lead to a stable outcome without spillovers to other functionalities. In the case where no such stable outcome can be expected, the technology designer should examine whether a change in the implementation details would lead to a better outcome. + +### 8.1 Stakeholder identification methods + +In order to implement Step 1 of tussle analysis, a method should be chosen that achieves a high level of completeness and relevance with respect to stakeholder identification. + +The identification of as complete a set of stakeholders as possible is crucial, since all further steps in tussle analysis depend on the range of identified stakeholders. If a stakeholder is missing, potential tussles involving that stakeholder cannot be captured in the analysis (Step 2), rendering the analysis as a whole incomplete and/or leading to incorrect analysis results (e.g., a stable outcome might be anticipated in Step 3). + +The following types of methods (see Appendix II for a methods overview) are recommended for identifying a set of stakeholders that satisfies the goals of completeness and relevance: + +- Personal observation +- Interviews +- Role-playing simulations (partly recommended) + +Any person familiar with the characteristics of the technology to be analysed is able to determine an *a priori* complete set of stakeholders according to personal observation. Personal observation covers not only own experience and knowledge, but also literature study. Personal observation and interview methods are especially beneficial when applied in combination. While personal observation is recommended to determine an *a priori* candidate stakeholder list, which in turn may support the basis for identifying suited interview partners, interviews are recommended in order to validate a stakeholder's involvement (relevance) and to identify other relevant stakeholders that were not covered in the *a priori* stakeholder list (completeness). Role-playing simulation methods (e.g., Delphi method, focus groups) show benefits over the additional effort as long as participants are representatively selected. + +Appendix III provides a collection of stakeholders specific to Internet technology, which should be used to verify and extend the list that was compiled with those methodologies listed above. + +### 8.2 Tussle identification methods + +In order to implement Step 2 of tussle analysis, a method should be chosen that achieves a high level of completeness and relevance with respect to stakeholder incentives, conflicts and available choices (see "Design for choice" principle in clause 7). + +Identifying an as complete set of tussles as possible is an important goal to ensure an all embracing tussle analysis. Since the relevance of tussles to a considered functionality varies, tussles have to be ranked accordingly during Step 2 so that Step 3 can be performed only for tussles which are classified as relevant. Therefore, it is crucial to completely characterize stakeholders by their incentives and the range of choices they have available. This is not always easy to obtain since this information might be considered as business confidential, or there might be a hidden agenda. + +The following types of methods (see Appendix II for a methods overview) are recommended for identifying a set of tussles that satisfies the goals of completeness and relevance: + +- Role-playing simulation +- Personal observation +- Risk management +- MACTOR method +- SWOT analysis (partly recommended) +- Interviews (partly recommended) + +Assuming that participants were selected carefully, role-playing simulations (e.g., Delphi method, focus groups) constitute the most highly recommended methods, because they endorse a group-based + +approach rather than an individual approach. Bringing several motivated and knowledgeable experts into a group with each expert adopting a dedicated stakeholder role considerably increases the likelihood of relevant tussles being identified (see [b-TussleCookbook] for information on how to guide these role-playing simulations). This is supported mainly by the confrontational, debate-oriented and direct (but moderated) interaction among participants in for example a focus group. If effects of group dynamics should be avoided, the Delphi method may be prioritized over the discussion-oriented focus group method. + +Individual approaches, such as personal observation, risk management and the MACTOR method determine recommended methods as well, especially when personal observation is combined with risk management or with the MACTOR method. Even though not based on the thoughts, ideas and opinions of several experts, risk management's focus on identifying candidate factors with a negative and quantitatively or qualitatively evaluated effect on a system is highly beneficial in identifying tussles. Equally, the MACTOR method is suited for the identification of tussles due to its focus on giving an overview of possible alliances and conflicts in a business ecosystem. + +SWOT analysis might be selected as an alternative instrument to the MACTOR method and interviews might determine a valid instrument to complement personal observation (validation of identified tussles in interviews with stakeholders). + +### **8.3 Tussle impact and tussle evolution methods** + +In order to implement Step 3 of tussle analysis, a method should be chosen that achieves a high level of plausibility. + +Since tussle analysis is about anticipating a candidate technology's impact in consideration of tussles emerging among stakeholders, Step 3 has to ensure that such anticipation is based on reasonable and traceable grounds. Therefore, the more formal a method is (reproducible results), the more risk-oriented it is (dealing with aspects uncertainty and probability) and the more dynamics-oriented it is (complex system modelling covering feedback cycles), the better it is suited. + +The following types of methods (see Appendix II for a methods overview) are recommended for assessing tussle impact and tussle evolution, satisfying the goal of plausibility: + +- Game theory +- Risk management +- System dynamics +- Role-playing simulations +- Interviews (partly recommended) +- MACTOR method (partly recommended) +- SWOT analysis (partly recommended) + +Game theory is the recommended method when a single tussle round with well-known incentive structures can be modelled and played out in a formal and quantified manner. Risk management leads to comparable result quality as it allows for a qualitative and quantitative evaluation of previously identified factors and the resulting effects, considering risk dimensions and probability. Game theory and risk management are both less suited for assessing evolution over time, even though it is technically possible to model multi-round games. If evolution, dynamics and causal loops are prioritized, system dynamics is the recommended method. System dynamics is the method best suited to cope with simulations of various outcomes when multiple stakeholders interact over a longer modelling horizon. Due to the focus on actions and counter-actions in an interactive, complex modelled system, system dynamics is the primary recommended method for Step 3 in tussle analysis. However the trade-off is the significant effort expended in modelling. + +If a not fully formal, not quantified method is acceptable, role-playing simulations, in particular focus groups, are recommended. Focus groups profit from their unique ability to understand the dynamics of the major tussles by observing stakeholder behaviour. + +Interviews, the MACTOR method and SWOT analysis may determine valid complementary instruments for validation purposes of results originating from the use of the other recommended methods. + +## **9 Tussle analysis in FN technology standardization** + +The integration of a socio-economic assessment by means of tussle analysis into the standardization process of FN technology will improve the quality of according standards by increasing their level of social and economic awareness in terms of, e.g., incentive compatibility, adoption potential, marketability and compliance with regulatory requirements. In particular, a tussle analysis during the standardization phase identifies if a standard needs improvement to avoid unstable outcomes or spillovers upon release. Such improvement is achieved by further research on the technology or by design and implementation changes. If improvement is not possible by such means, the prior knowledge of instabilities, allows for timely information for administrations about the need for regulations to stabilize such unstable outcomes. Therefore, a tussle analysis during the standardization phase allows publishing of standards without destabilising effects or, at least mitigation of destabilizing effects by timely regulative provisions. + +In addition, the publication of the results of the performed tussle analysis increases the standard's value to and acceptance by different stakeholders. If the results indicate a high-adoption potential and a highly stable outcome, this provides for a strong support and investment signal for manufactures and operators, which will also increase the overall adoption of the standard. Furthermore, promising research fields will be revealed to academia, e.g., investigating disruptive technologies, which also generates feedback to be integrated into subsequent standards. For administrations a tussle analysis provides reference points to identify needs for regulations and develop these more efficiently. + +Therefore, a tussle analysis performed during the standardization phase allows the standard to be improved not only by accounting for socio-economic considerations but also by recording and publishing these considerations in a formal and comprehensive manner, thereby making published Recommendations more appealing. Thus, it is advantageous to integrate tussle analysis into the standardization process of FN technology and to publish this socio-economic assessment alongside the respective standards. + +## Appendix I + +### Tussle notions + +(This appendix does not form an integral part of this Recommendation.) + +The long-term goals of each stakeholder with respect to a specific Internet functionality define the stakeholder's strategy that is, finally, implemented by policies. These policies take into account the technological, economic and judicial restrictions and other stakeholders' socio-economic aspects. However, a tussle involves not only the interests of stakeholders, but also how these conflicting interests are expressed through the available technological, economic, or judicial means, e.g., which technology is chosen for a specific functionality and how the technology's resources and parameters are configured. Since this expression may change in reaction to other stakeholders' moves, a tussle will usually lead to an iterative process of stakeholder interactions, which is termed tussle evolution. By this process the tussle may evolve into new tussles or trigger tussles for different functionalities, where the latter effect is termed spillover. + +A tussle outcome is characterized by the benefit or satisfaction that each involved stakeholder gets at a distinct point of the tussle evolution. The level of benefit can vary substantially among stakeholders. If the outcome is not considered fair by all stakeholders, these will try to change the outcome, which results in a tussle evolution. In particular, if the tussle outcome is considered "unfair" by a subset of stakeholders, it can evolve into a new tussle based on: + +- Socio-economic decisions alone, e.g., stop using that functionality, stop doing business +- Out-of-band actions, e.g., asking a regulator to intervene, making coalitions for taking coordinated technology decisions, or +- New socio-techno-economic decisions following the basic socio-economic technology cycle, e.g., introduce a radically different technology or use a technology option in an unforeseen way + +All these reactions characterize an unstable tussle outcome. It is likely that unstable outcomes will lead to tussle evolution and possibly destabilize other functionality spaces as well (spillover). However, a stable tussle outcome can also create spillovers in the case where some users of the established functionality find some new, not previously anticipated, uses of it, which interfere with other functions of the ecosystem. These are cases of negative externalities (i.e., adverse effects) between different functionality spaces. Positive externalities may also appear, for example more resources become available to functionality due to the introduction of a more efficient technology to another related functionality. + +### I.1 General example + +Figure I.1 illustrates how tussles can evolve inside a single functionality space or affect another functionality. Assuming a discrete-time model and that initially only functionality B is observed to be in a stable state. At a given time T1, both tussles A1 and C1 (for functionalities A and C respectively) reach equilibrium, but tussle A1 has a spillover effect and triggers a new tussle B1 in functionality B. At a later given time T2, both tussles A2 and B1 have reached equilibrium. Even though functionality A has now reached a new and stable outcome, it has a spillover to functionality C and makes the previously stable outcome of C1 unstable. Thus, the tussles of functionalities B and C evolve further in time (not shown). + +![Figure I.1 – Tussle evolution due to instability and externalities. The diagram shows three rows representing Functionality A (blue), Functionality B (pink), and Functionality C (orange) across three time points: T0 (Initial tussle outcomes), T1, and T2. At T0, each functionality has an initial state (dashed blue circle). At T1, Functionality A evolves to an unstable outcome (solid blue circle) via Tussle A1. Functionality B and C have stable outcomes (solid green circles). At T2, Functionality A evolves to a stable outcome (solid green circle) via Tussle A2. Functionality B evolves to an unstable outcome (solid blue circle) via Tussle B1, which then evolves to a stable outcome (solid green circle) via Tussle B2. Functionality C evolves to an unstable outcome (solid blue circle) via Tussle C1, which then evolves to a stable outcome (solid green circle) via Tussle C2. Red dashed arrows indicate that the stable outcome of Functionality A at T2 affects the stable outcome of Functionality B at T2 and the stable outcome of Functionality C at T2. A legend at the bottom explains the symbols: Functionality (rectangle), Initial state (dashed circle), Stable outcome (solid green circle), Unstable outcome (solid blue circle), Evolves (solid arrow), Affects (red dashed arrow), Time A (TA), and Transfers (blue arrow).](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +Y.3013(14)\_FI.1 + +Figure I.1 – Tussle evolution due to instability and externalities. The diagram shows three rows representing Functionality A (blue), Functionality B (pink), and Functionality C (orange) across three time points: T0 (Initial tussle outcomes), T1, and T2. At T0, each functionality has an initial state (dashed blue circle). At T1, Functionality A evolves to an unstable outcome (solid blue circle) via Tussle A1. Functionality B and C have stable outcomes (solid green circles). At T2, Functionality A evolves to a stable outcome (solid green circle) via Tussle A2. Functionality B evolves to an unstable outcome (solid blue circle) via Tussle B1, which then evolves to a stable outcome (solid green circle) via Tussle B2. Functionality C evolves to an unstable outcome (solid blue circle) via Tussle C1, which then evolves to a stable outcome (solid green circle) via Tussle C2. Red dashed arrows indicate that the stable outcome of Functionality A at T2 affects the stable outcome of Functionality B at T2 and the stable outcome of Functionality C at T2. A legend at the bottom explains the symbols: Functionality (rectangle), Initial state (dashed circle), Stable outcome (solid green circle), Unstable outcome (solid blue circle), Evolves (solid arrow), Affects (red dashed arrow), Time A (TA), and Transfers (blue arrow). + +**Figure I.1 – Tussle evolution due to instability and externalities** + +### I.2 Specific example + +A detailed example of the tussle evolution related to sharing bandwidth on a common link with the transmission control protocol (TCP) is given in this clause and illustrated by Figure I.2, which shows the tussle evolution that occurs due to instability and externalities. Stakeholders appear on the left of each rectangle, while the positioning of an outcome denotes whether it is considered fair or not. + +When TCP was proposed in the early 1980s, it was assumed that hosts would initiate a single connection for each session. The algorithm suggested for controlling how instantaneous bandwidth is being shared can be considered fair in the sense that if $k$ connections are instantaneously active in a bottleneck link, then each of them would take $1/k$ of the bandwidth. + +But due to the introduction of peer-to-peer applications for file sharing, this outcome can no longer be considered stable. Users of such applications can open multiple TCP connections for the same file and get disproportionate bandwidth share in relation to traditional users (called interactive). + +This new outcome cannot be considered stable either, since the ability of an Internet service provider (ISP) to offer other services was threatened by the great increase in peer-to-peer traffic. ISPs responded by introducing middle boxes for inspecting data packets. These dedicated machines use advanced technology, such as deep packet inspection (DPI) techniques, in order to identify and throttle peer-to-peer traffic. + +![Figure I.2 – Tussle evolution due to instability and externalities for the bandwidth sharing case study. The diagram is divided into two horizontal sections: 'bandwidth sharing' (top, blue background) and 'VoIP service delivery' (bottom, orange background). The top section shows a flow from p2p users configuring multiple TCP connections, through ISPs throttling bandwidth using DPI, to p2p applications performing traffic obfuscation. A question mark points to a potential outcome of 'Fair bandwidth sharing'. The bottom section shows ISPs using DPI to degrade VoIP services, leading to a regulator announcing fines, which results in 'No discrimination'. A red dashed arrow connects the obfuscation step to the ISP's DPI use. Vertical axes on the right indicate 'Tussle outcome' for each section.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +**Stakeholders' strategies/policies** + +- Peer-to-peer (p2p) users +- ISP (neutral entity) +- Interactive users (e.g., web browser) +- ISPs +- Regulator +- ASPs (e.g., VoIP) + +**bandwidth sharing** + +p2p users configure applications to open multiple TCP connections for the same session + +ISPs throttle bandwidth of p2p applications by using DPI technology + +p2p applications configured to perform traffic obfuscation + +What if ISPs deploy congestion exposure technologies and congestion pricing schemes? + +Functionality: bandwidth sharing + +Tussle outcome: p2p users get disproportionate bandwidth share, Fair bandwidth sharing, Interactive users get disproportionate bandwidth share + +**VoIP service delivery** + +ISPs use DPI technology to degrade quality of rival VoIP services + +Regulator announces fines due to VoIP providers' complaints + +Functionality: VoIP service delivery + +Tussle outcome: ISP's telephony services get preferential treatment, No discrimination, ASP's VoIP service get preferential treatment + +Y.3013(14)\_FI.2 + +Figure I.2 – Tussle evolution due to instability and externalities for the bandwidth sharing case study. The diagram is divided into two horizontal sections: 'bandwidth sharing' (top, blue background) and 'VoIP service delivery' (bottom, orange background). The top section shows a flow from p2p users configuring multiple TCP connections, through ISPs throttling bandwidth using DPI, to p2p applications performing traffic obfuscation. A question mark points to a potential outcome of 'Fair bandwidth sharing'. The bottom section shows ISPs using DPI to degrade VoIP services, leading to a regulator announcing fines, which results in 'No discrimination'. A red dashed arrow connects the obfuscation step to the ISP's DPI use. Vertical axes on the right indicate 'Tussle outcome' for each section. + +**Figure I.2 – Tussle evolution due to instability and externalities for the bandwidth sharing case study** + +Even though this new bandwidth allocation outcome can be considered fair, it is not stable either. Peer-to-peer applications started performing traffic obfuscation, e.g., by encryption, in order to decrease downloading time. + +At the same time, DPI technology, which was installed to throttle peer-to-peer traffic, allowed ISPs to identify traffic that directly competes with the complementary services they offer. A famous example was an ISP's attempt to degrade the quality of third-party voice over IP (VoIP) services offered by application service providers (ASPs) that threatened traditional telephony services often offered by an affiliate of the ISP. This is an example of a spillover to another functionality, which was solved by affected users asking the regulator to intervene (judicial means) for discouraging anti-competitive tactics. In the interests of graphic simplicity the "VoIP service delivery" functionality in Figure I.2 is assumed to reach a stable outcome. + +In order to anticipate such socio-economic interactions through technological, economic, and judicial means, research projects already apply tussle analysis to enrich their technology development via socio-economic considerations and also publish these in their deliverables [b-ETICS], [b-ICN], [b-SmartenIT] and [b-FLAMINGO]. + +## Appendix II + +### Methods overview + +(This appendix does not form an integral part of this Recommendation.) + +Each of the steps described in clauses 8.1 to 8.3 can be performed using several different techniques, or methods, while some of these methods can be used for more than one step. Table II.1 provides an overview of such popular methods (rows) and their suitability to carry out a particular step (columns). + +**Table II.1 – Overview of methods for implementing tussle analysis steps** + +| Methods | Stakeholder identification | Tussle identification | Tussle impact and tussle evolution | +|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------|-----------------------|------------------------------------| +| Interviews | Highly relevant | Relevant | Relevant | +| Personal observation | Highly relevant | Highly relevant | Less relevant | +| Role-playing simulation | Relevant | Highly relevant | Highly relevant | +| MACTOR method | Prerequisite | Highly relevant | Relevant | +| SWOT analysis | Prerequisite | Relevant | Relevant | +| Game theory | Prerequisite | Prerequisite | Highly relevant | +| Risk management | Prerequisite | Highly relevant | Highly relevant | +| System dynamics | Prerequisite | Prerequisite | Highly relevant | +| NOTE 1 – See [b-MACTOR] and [b-MACTOR2]
NOTE 2 – See [B-SWOT], p. 2-6.
NOTE 3 – See [b-GameTheory], p. 460-482.
NOTE 4 – See [b-Risk], p. 18.
NOTE 5 – See [b-Dynamic]. | | | | + +**Interviews** are the most widespread method for gaining information about a situation from the stakeholders involved or other experts. Starting from an initial set of candidate stakeholders, interviews can help validate their own involvement and identify new stakeholders. Furthermore, depending on the set of questions, this method can be used for learning what possible strategies are to be followed by each stakeholder at each particular phase of the technology cycle. Finally this method can be used for evaluating candidate outcomes from the perspectives of separate stakeholders as fair, biased for, or biased against that stakeholder. + +**Personal observation** is another method used to understand how stakeholders react to certain circumstances. Own experience or related literature can be used as well when it is difficult to study the value network and candidate reactions to events. However, as not all outcomes may occur or be realized during the observation period, this method is less suitable for characterizing the attractiveness of different outcomes to each stakeholder. + +**Role-playing simulation** involves the interaction of multiple participants in a hypothetical environment. Examples include group-based discussions such as the Delphi method and focus groups. Such methods can help identify major stakeholders if the sample of participants is carefully selected, but the major advantage of role-playing simulation methods is their ability to identify and understand the dynamics of the major tussles by observing stakeholders' behaviour. + +**SWOT analysis** is a framework for understanding the strengths, weaknesses, opportunities and threats facing a particular stakeholder at a given situation. It assumes knowledge of the major stakeholders and tries to identify tussles by predicting how they could harm a particular stakeholder, as well as the opportunities for the stakeholder. Thus SWOT analysis tries to evaluate the attractiveness of potential outcomes, but rarely studies interactions (reactions and spillovers). + +The **MACTOR method** (matrix of alliances and conflicts: tactics, objectives and recommendations) attempts to give an overview of possible alliances and conflicts in a business ecosystem. Having identified the set of stakeholders, this approach tries to document candidate tactics (strategies) that could lead to other outcomes and then evaluate the attractiveness of each outcome to participants. Like SWOT, the tactics do not focus on reactions. + +**Game theory** is a branch of mathematics that aims at finding and evaluating the possible equilibrium outcomes for a specific scenario in a system with rational participants. Not only major stakeholders should have been identified, but candidate strategies must be known as well, in order to predict the outcomes of multi-party interactions. Multiple rounds of actions can be considered, but at the trade-off of increased complexity. + +**Risk management** is a method for identifying candidate factors that can have a negative effect on a system and for quantitatively or qualitatively evaluating those effects in order to take precautions. When performing risk analysis, although the actors are considered to be known, the factors that can have negative impact, including the level of their impact, must be identified. Because the main focus is not the evolution over time, further reactions by other stakeholders are usually not considered. + +**System dynamics** is another method for simulating the possible outcomes (e.g., a technology reaching the critical mass adoption level) when multiple stakeholders interact. These actors, as well as their interactions, are identified using out-of-band means and encoded into system variables and statistically driven events, respectively. The main focus is the assessment of outcomes and their evolution over time, since possible reactions can be modelled. + +## Appendix III + +### Stakeholder overview + +(This appendix does not form an integral part of this Recommendation.) + +The following list shows a collection of stakeholders specific to Internet technology. The list is helpful when performing Step 1 of tussle analysis (see clause 8.1) and has been compiled from an analysis of 16 European research projects for designing and implementing future Internet technology. First-level entries determine generic roles, meaning that a generic role represents a group of stakeholders. Instantiations of these groups are listed as second- and third-level entries. This stakeholder list is not claimed to be conclusive, especially with respect to second- and third-level entries. + +Internet stakeholders: + +- Technology makers + - Industry standardization consortiums + - Consumer electronics manufacturers + - Network element vendors + - Application developers + - Software development kit (SDK) publishers + - Research projects +- Connectivity providers + - Edge ISP + - Transit ISP +- Information providers + - Content distribution networks + - Directory service providers + - Application service providers + - Brokers (market place providers) + - Communication providers + - Gaming providers + - Financial service providers + - Internet retailers +- Infrastructure providers + - Network component providers + - Network exchange points + - Last mile providers + - Dark fiber providers + - Gateway providers + - Sensor operators + - Venue owners + - Cloud operators + +- Users + - Customers + - Residential + - Business + - Roamers + - End-users. +- Policy makers + - Regulators + - Legislators + - Administration authorities + - Researchers + - Security agencies +- Content owners + - Professionals + - Amateurs + +## Bibliography + +- [b-Clark05] Clark, D.D., Wroclawski, J., Sollins, K.R. and Braden, R. (2005), *Tussle in cyberspace: defining tomorrow's Internet*. IEEE/ACM Transactions on Networking Vol. 13, No. 3, June, pp. 462-475. +- [b-Dynamic] Forrester, J. (1971), *Counterintuitive behavior of social systems*, *Technology Review*, Vol. 73. No. 3, pp. 52-68. +- [b-ETICS] Kalogiros, C., Courcoubetis, C., Stamoulis, G.D., Dramitinos, M. and Dugeon, O. (2012), *Socioeconomic Tussles Analysis of the ETICS Approach for Providing QoS-enabled Inter-domain Services*. In Future Network and Mobile Summit 2012, Paul Cunningham and Miriam Cunningham (Eds.). IIMC International Information Management Corporation, July, pp. 1-8. +- [b-FLAMINGO] Radhika, G. (Ed.) (2013), *Basics, Requirements, Scenarios, and Architecture*. FLAMINGO Deliverable D7.1. + +- [b-GameTheory] Aumann, R.J. (1987), *Game Theory, The New Palgrave: A Dictionary of Economics*, 2nd Edition. +- [b-ICN] Kostopoulos, A., Papafili, I., Kalogiros, C., Levä, T., Zhang, N. and Trossen, D. (2012), *A Tussle Analysis for Information-Centric Networking Architectures*. In The Future Internet, Federico Álvarez et al. (Eds.). Springer, Heidelberg, Germany, pp. 6-17. +- [b-MACTOR] Godet, M. (1991), *Actors' Moves and Strategies: The MACTOR Method, Futures*, pp. 605-622. +- [b-MACTOR2] Godet, M. (1994), *From Anticipation to Action. A Handbook of Strategic Prospective*, Unesco Publishing, Paris, France. + +- [b-Risk] Crockford, N. (1986), *An Introduction to Risk Management*, Woodhead-Faulkner, 2nd Edition, Cambridge, U.K. +- [b-SmartenIT] Papafili, I., Stamoulis, G.D. (Eds.) (2012), *Report on Stakeholders Characterization and Traffic Characteristics*, SmartenIT Deliverable D1.1. +- [b-SWOT] Pahl, N., Richter A. (2007), *SWOT Analysis – Idea, Methodology and a Practical Approach*, Grin Verlag, Nordestedt, Germany. +- [b-TussleAnalysis] Kalogiros, C., Courcoubetis, C., Stamoulis, G.D., Boniface, M., Meyer, E.T., Waldburger, M., Field, D. and Stiller, B. (2011), *An Approach to Investigating Socio-economic Tussles Arising from Building the Future Internet*. In The Future Internet, John Domingue et al. (Eds.). Lecture Notes in Computer Science (LNCS), Springer, Heidelberg, Germany, Vol. 6656, May, pp. 145-159. +[http://nes.aueb.gr/publications/FIA\\_BOOK2011-FI\\_Socio-economic\\_Tussles.pdf](http://nes.aueb.gr/publications/FIA_BOOK2011-FI_Socio-economic_Tussles.pdf) +- [b-TussleCookbook] Kalogiros, C., Pickering, B., Waldburger, M., Poullie, P. and Stiller, B. (2012), *The Tussle Analysis Cookbook*. + + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3023-202409-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3023-202409-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..a965e0f6a6b71fb04559fc7ce12fd9dddc6748b1 --- /dev/null +++ b/marked/Y/T-REC-Y.3023-202409-I_PDF-E/raw.md @@ -0,0 +1,669 @@ + + +# Recommendation + +# **ITU-T Y.3023 (09/2024)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +--- + +## **Framework of distributed and virtualized energy storage systems** + +## ITU-T Y-SERIES RECOMMENDATIONS + +# Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3023 + +# Framework of distributed and virtualized energy storage systems + +## Summary + +Energy storage systems aim to store electricity when the demand is low and provide stored electricity when the demand is high. For efficient grid operations and satisfying increasing customers' demands, while these systems should be distributed, it is essential that virtualized storages are dynamically allocated and operated for individual customers. Thus, Recommendation ITU-T Y.3023 provides the framework of distributed and virtualized energy storage systems. After identifying key characteristics and core technologies of energy storage systems, this Recommendation specifies roles of stakeholders associated to the energy value chain. It also provides an architectural overview specifying related interfaces and functional blocks. Finally, mechanisms for virtualization of energy storage systems are described. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3023 | 2024-09-13 | 13 | 11.1002/1000/16126 | + +## Keywords + +Demand response, energy storage, grid, virtualized energy storage. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 1 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Introduction to energy storage system..... | 2 | +| 6.1 Virtual energy storage ..... | 3 | +| 6.2 General service scenario with distributed and virtualized energy storage
systems ..... | 4 | +| 7 Roles of stakeholders associated to distributed and virtualized energy storage
systems..... | 5 | +| 7.1 Stakeholders associated to virtual energy storage systems ..... | 5 | +| 7.2 Roles of each stakeholder for virtual energy storage systems..... | 5 | +| 8 Architecture overview of energy storage systems ..... | 6 | +| 8.1 Generic architectural model of distributed platforms for virtualized energy
storage systems..... | 6 | +| 8.2 Functional architecture for distributed and virtualized energy storage
systems ..... | 8 | +| 9 Mechanisms for virtualization of energy storage systems..... | 10 | +| 10 Security considerations..... | 12 | +| Appendix I Use cases and service scenarios..... | 13 | +| I.1 VESS based energy management system in power system..... | 13 | +| Bibliography..... | 16 | + + + +# Recommendation ITU-T Y.3023 + +# Framework of distributed and virtualized energy storage systems + +# 1 Scope + +Energy storage systems aim to store electricity when the demand is low and provide stored electricity when the demand is high. For efficient grid operations and satisfying increasing customers' demands, these systems should be distributed. Further, it is essential that virtualized storages are dynamically allocated and operated for individual customers. Therefore, this Recommendation provides the framework of distributed and virtualized energy storage systems and specifies roles of stakeholders, an architectural overview and detailed mechanisms. + +This Recommendation covers the following: + +- Key characteristics and core technologies of distributed and virtualized energy storage systems; +- Roles of stakeholders associated to the energy value chain; +- Architectural overview specifying related interfaces and functional blocks; +- Mechanisms for virtualization of energy storage systems. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T X.1111] Recommendation ITU-T X.1111 (2007), *Framework of security technologies for home network*. + +[ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 energy storage** [b-ITU-T Y.2071]: Energy storage provides storage functions of electricity using various types of batteries. + +NOTE – One example usage of energy storage is used to respond effectively to a dynamic price mechanism from a utility network. The electric energy is stored in the storage during a relatively lower price period, while the stored electric energy may replace the higher price of electric power from the utility network. + +## 3.2 Terms defined in this Recommendation + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-----------------------------------------------| +| AMI | Advanced Metering Infrastructure | +| BEMS | Building Energy Management System | +| CAES | Compressed Air Energy Storage | +| DERMS | Distributed Energy Resource Management System | +| DR | Demand Response | +| DRMS | Demand Response Management System | +| ESS | Energy Storage System | +| FEMS | Factory Energy Management System | +| HEMS | Home Energy Management System | +| IBDR | Incentive Based Demand Response | +| ICT | Information and Communications Technology | +| IT | Information Technology | +| MDMS | Meter Data Management System | +| PBDR | Price Based Demand Response | +| RTU | Remote Terminal Unit | +| SOC | State of Charge | +| VES | Virtual Energy Storage | +| VESS | Virtual Energy Storage System | +| VPP | Virtual Power Plant | + +# **5 Conventions** + +None. + +# **6 Introduction to energy storage system** + +Energy storage is the capture of energy produced at one time for use at a later time with storage functions of electricity. Energy storage systems (ESS) aim to store electricity when the demand is low and provide stored electricity when the demand is high. Such systems are becoming more economically important as they can reduce costs. Furthermore, energy storage systems have quite a significant role in energy trading through stabilized market prices for electricity. + +In particular, energy storage systems have great potential to improve the efficiency and reliability of the delivery of electricity. These systems can balance peak loads, control the increasing costs of grid infrastructure equipment and mitigate the intermittent nature of various types of renewable energy sources. + +The goals of energy storage systems [b-IEEE-Safak], [b-IEC-WP] can be summarized as follows: + +- To reduce electricity costs by storing electricity obtained at off-peak times; +- To improve power grid optimization for bulk power production; +- To balance the power system operations with renewable generation options; +- To help to defer capital-intensive upgrades in the transmission and distribution grids; + +- To provide ancillary services to grid operations. + +With the help of energy storage systems, various types of applications (such as for supplying electricity during peak hours, improving power quality) can be provided. + +Distributed energy storage systems can improve the overall efficiency of grid operations while minimizing operational costs through the integration of these systems. Furthermore, with the help of virtualization technologies, the storage can be used to modify load shapes dynamically based on customers' demands. Multiple virtual energy storages from a single storage are allocated and operated for customers. + +Figure 1 illustrates the concept of virtual energy storage systems. All four energy storage systems with 10 kW output, 50 kWh charge/discharge capacity (i.e., ESS-1, ESS-2, ESS-3 and ESS-4) are virtualized as the integrated virtual energy storage with 200 kWh capacity. The virtualized energy storage with different outputs and capacity (i.e., VES-1, VES-2, VES-3 and VES-4) is dynamically allocated to individual customers. Each VES has its own electricity measuring process for customized operations and adjustment. + +![Diagram illustrating the concept of virtual energy storage systems. It shows four ESS units (ESS-1 to ESS-4) with 10 kW and 50 kWh capacity being virtualized into an integrated virtual energy storage system with 40 kW and 200 kWh capacity. This integrated system is then logically allocated into four VES units (VES-1 to VES-4) with varying capacities and outputs.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +The diagram illustrates the concept of virtual energy storage systems in three stages: + +- Top Stage:** Four individual Energy Storage Systems (ESS-1, ESS-2, ESS-3, ESS-4) are shown, each with a capacity of 10 kW and 50 kWh. +- Middle Stage:** An arrow labeled "Virtualization of energy storage systems" points to a single, larger box representing the "Integrated virtual energy storage" with a total capacity of 40 kW and 200 kWh. +- Bottom Stage:** An arrow labeled "Logical allocation/mapping/control" points to four Virtual Energy Storage (VES) units: + - VES-1:** Contains ESS-1 (6 kW, 30 kWh) and ESS-2 (2 kW, 10 kWh). + - VES-2:** Contains ESS-1 (4 kW, 20 kWh) and ESS-2 (2 kW, 10 kWh). + - VES-3:** Contains ESS-2 (8 kW, 40 kWh), ESS-3 (10 kW, 50 kWh), and ESS-4 (6 kW, 30 kWh). + - VES-4:** Contains ESS-4 (4 kW, 20 kWh). + +Y.3023(24) + +Diagram illustrating the concept of virtual energy storage systems. It shows four ESS units (ESS-1 to ESS-4) with 10 kW and 50 kWh capacity being virtualized into an integrated virtual energy storage system with 40 kW and 200 kWh capacity. This integrated system is then logically allocated into four VES units (VES-1 to VES-4) with varying capacities and outputs. + +ESS – Energy storage system, VES – Virtual energy storage + +**Figure 1 – The concept of virtual energy storage systems** + +## 6.1 Virtual energy storage + +Virtual energy storage can be integrated with user applications through a home energy management system (HEMS), building energy management system (BEMS) and factory energy management system (FEMS) to reduce power bills and be used in a variety of smart grid consumer domains (e.g. in homes, buildings and factories). In addition, it can contribute to the stabilization of power grid supply and demand by linking with applications of a demand response management system (DRMS), distributed energy resource management system (DERMS) and a virtual power plant (VPP). + +Virtual energy storage (VES) provides on-demand energy storage capacity to energy consumers who cannot afford the direct investment of distributed generation resources (e.g., energy storage devices and solar power generation) due to high initial investment costs. + +Energy prosumers can use virtual energy storage-based applications to distribute power generation capacity and energy storage capacity according to the buyer's desired size. + +A variety of applications for energy consumers and prosumers need a standardized platform for ESS integrated management and virtualization to take advantage of virtual energy storage. The virtual energy storage system (VESS) integrates and manages physical ESSs, and provides virtual energy storage capacity requested by the above mentioned user applications. + +To this end, it is necessary to: + +- periodically manage and control the status of various ESSs that are managed in an integrated manner (ESS interface); +- provide a standardized interface (metering interface) to meter the amount of power charged and discharged on each physical or logical ESS; +- provide a standard interface for various applications to monitor and control the VES. + +Figure 2 illustrates the relationship between the VESS and user applications, ESSs, and metering devices. + +![Figure 2: VESS and related interfaces. The diagram shows a hierarchy of components. At the top, multiple applications (Application 1, Application 2, Application 3, ..., Application n) are connected to a central 'Virtual energy storage system (VESS)' block via 'Application interface' lines. The VESS block is connected to 'MDMS' (Meter data management system) and 'AMI meter' (Advanced metering infrastructure) via a 'Metering interface'. The VESS block is also connected to multiple 'ESS' (Energy Storage System) units (ESS A, ESS N) via an 'ESS interface'. Each ESS unit contains multiple 'VES' (Virtual Energy Storage) units (VES A-1, VES A-2, ..., VES A-n for ESS A; and VES N-1, VES N-2, ..., VES N-n' for ESS N).](daa4a6fa7e2ba1954258f86b4928eb32_img.jpg) + +Figure 2: VESS and related interfaces. The diagram shows a hierarchy of components. At the top, multiple applications (Application 1, Application 2, Application 3, ..., Application n) are connected to a central 'Virtual energy storage system (VESS)' block via 'Application interface' lines. The VESS block is connected to 'MDMS' (Meter data management system) and 'AMI meter' (Advanced metering infrastructure) via a 'Metering interface'. The VESS block is also connected to multiple 'ESS' (Energy Storage System) units (ESS A, ESS N) via an 'ESS interface'. Each ESS unit contains multiple 'VES' (Virtual Energy Storage) units (VES A-1, VES A-2, ..., VES A-n for ESS A; and VES N-1, VES N-2, ..., VES N-n' for ESS N). + +MDMS - Meter data management system, VESS - Virtual energy storage system, +VES - Virtual energy storage, AMI - Advanced metering infrastructure + +Y.3023(24) + +**Figure 2 – VESS and related interfaces** + +## 6.2 General service scenario with distributed and virtualized energy storage systems + +This subsection describes a general service scenario with distributed and virtualized energy storage systems as follows. + +Stage 1: Virtual energy storage mapping and allocation + +Energy storage virtualization allows a large number of energy storage devices to be divided into logical energy storage capacity divisions without any physical separation. This stage allocates the space of the energy storage device and conducts the mapping of virtual energy storage and the allocated storage space. + +Stage 2: Virtual energy storage operation setup + +This stage configures virtual energy storage operations such as maximum demand power reduction operation, participation in demand resource trading market, participation in small-scale distributed resource trading market, participation in REC market, etc. with respect to the divided virtual energy storage. + +Stage 3: Virtual energy storage charge/discharge control + +This stage controls the charging and discharging of the energy storage device according to the configured virtual energy storage operation mode. + +### Stage 4: Metering and settlement + +This stage conducts the settlement of virtual energy storage service revenue based on power generation and consumption measurement information collected from individual logical energy storages. + +# **7 Roles of stakeholders associated to distributed and virtualized energy storage systems** + +This clause describes several types of stakeholders associated with VESS and presents roles of each stakeholder. + +## **7.1 Stakeholders associated to virtual energy storage systems** + +### **VES user** + +- Energy consumers who lease virtual energy storage for the purpose of reducing electricity charges and reducing peak load. +- Energy producers who want to maximize power sales revenue by charging and discharging electricity generated by solar power and wind power generation facilities. + +### **VESS operator** + +- Operators who support real-time monitoring of the operation status of energy storage systems and related facilities, as well as administrating VESS to supply VES users with customized power and energy capacity meeting the requirements of VES users. + +#### **ESS owner** + +- Holders of ESS equipment entrusted to VESS operator to operate ESS. + +## **7.2 Roles of each stakeholder for virtual energy storage systems** + +A VES user has the following roles: + +- to create and lease a VES with customized energy storage capacity; +- to register and update VES charge and discharge schedules; +- to monitor VES operations and notify their faults in real-time; +- to provide information on energy generation and consumption of VES; +- to manage VES account based on the amount of energy produced and consumed by VES-mapped ESSs and energy price information; + +A VESS operator has the following roles: + +- to logically allocate partial or full energy storage capacity of ESS to VES; +- to discover available energy storage capacities and assign them to VES; +- to schedule ESS operations according to VES charge and discharge schedules; +- to monitor VES-mapped ESS operations and their faults in real-time; +- to provide a standardized communication interface for interworking with various types of ESSs; +- to provide a function to optimize ESS charge and discharge schedules in consideration of ESS characteristics and predicted energy demand. + +An ESS owner has the following roles: + +- to monitor ESS operation status (e.g., state of charge (SOC), charge/discharge schedule, etc.) in real-time. +- to notify information on ESS operation performance and fault in real-time. + +# 8 Architecture overview of energy storage systems + +## 8.1 Generic architectural model of distributed platforms for virtualized energy storage systems + +Energy storage virtualization enables logical integration and separation of one or more ESSs. For this, VESS needs to support open service interfaces for the interactions with both, various types of ESSs and smart grid applications. Figure 3 shows the reference architecture of VESS to describe the relations between VESS and the external systems such as ESSs, metering systems, and EMSs. + +![Figure 3: Reference architecture and reference points of VESS. The diagram shows the VESS (Virtual energy storage system) as a central component. It is divided into two main parts: VES (Virtual energy storage manager) and ESS controllers. The VES part is connected to external applications (Application 1, Application 2, ..., Application N) via reference point V-A. The ESS controllers are connected to various ESS types (Li-ion battery ESS, Flow battery ESS, ..., CAES ESS) via reference point V-E. The VES part is also connected to the ESS controllers via reference point V-C. The VES part is connected to the Metering systems via reference point V-M. The ESS controllers are connected to the Power grid via Smart meters. The Metering systems are connected to the Power grid via Smart meters. The diagram is labeled Y.3023(24) in the bottom right corner.](1439cb942d9e363bbb3161b5540dd8c6_img.jpg) + +Figure 3: Reference architecture and reference points of VESS. The diagram shows the VESS (Virtual energy storage system) as a central component. It is divided into two main parts: VES (Virtual energy storage manager) and ESS controllers. The VES part is connected to external applications (Application 1, Application 2, ..., Application N) via reference point V-A. The ESS controllers are connected to various ESS types (Li-ion battery ESS, Flow battery ESS, ..., CAES ESS) via reference point V-E. The VES part is also connected to the ESS controllers via reference point V-C. The VES part is connected to the Metering systems via reference point V-M. The ESS controllers are connected to the Power grid via Smart meters. The Metering systems are connected to the Power grid via Smart meters. The diagram is labeled Y.3023(24) in the bottom right corner. + +**Figure 3 – Reference architecture and reference points** + +- **VESS** + - The VESS has key functions as a common service platform for delivering VES to a variety of smart grid applications through the interoperation with various types of ESSs. + - The VESS allows smart grid applications to monitor and control the allocated VES according to the VES operating policies and schedules set by its users. + - Optionally, a VESS provides data analytics and prediction services (e.g., user behaviour analysis and electric power demand forecasting for VES operating policy decisions). + - For the interoperation with ESSs, some of the VESS functions (e.g., ESS monitoring and control) are implemented on ESS controllers (e.g., ESS inverters and remote terminal units (RTUs)) remotely. For this reason, the VESS is logically separated into two modules, VES manager and ESS controller. + - The VES Manager provides the following functions as a VES management server platform: + - VES account management: User registration and access control, VES contract management, VES meter data management, and user account management; + +- VES lifecycle management: VES creation, allocation, and destruction; +- VES operation management: VES configuration, status monitoring, and operation control. +- The ESS controller provides the following functions as a VES management agent platform: + - ESS configuration management; + - ESS status monitoring; + - ESS charge and discharge control. + +The VESS-related applications and the external systems are described as follows: + +- **Application** + - VESS enables smart grid applications to lease or buy VES with the desired storage capacity and to monitor and control VES. It also manages the access rights of VES users and applications, and provides VES lease contract and user account management services. + - The following smart grid applications can use VES in order to minimize electricity costs and maximize electricity sales revenue through peak load curtailment and surplus energy trading: + - Customer energy management systems: Electricity usage reduction and peak load curtailment of customer domains (e.g., residential, commercial and industrial buildings) by utilizing VES; + - Demand response management system: Contribution to stabilization of electric power grids at peak load time by joining incentivized demand response (DR) programs with VES; + - Electricity brokerage system: Aggregating small-scale energy generated by customer VESs into a large-scale energy product in order to sell it to an electric power wholesale market. +- **ESS** + - ESSs interworking with a VESS needs to provide the VESS with their status information (e.g., battery charge status) in real-time. +NOTE – Various ESSs include Li-ion, flow battery, compressed air energy storage (CAES), etc. + - A VESS provides ESSs with common data models and communication interfaces in order to support vendor-specific data models and communication protocols. + - A suitable ESS should be selected in order to create and allocate a VES to meet customer requirements considering battery characteristics, and so on. +- **Metering System** + - The metering systems collect the meter data from smart meters installed on utility grids and delivers the data to the VESS. + - Meter data can be directly collected from the ESS controller without the help of the utility provider's metering system. In that case, the data is mainly used for ESS status monitoring rather than user account management. + - The VESS utilizes the meter data for more accurate account management between stakeholders. + +The following reference points indicate the relations between the VESS functional components and external systems. + +- **V-A reference point** + - The V-A reference point allows energy service applications to utilize VESs through an online lease contract with VESS in order to maximize the benefit of application users and to minimize the cost of energy consumption. + - Through this reference point, a variety of energy service applications can access the VES lease contract, VES operation, and VES information service provided by the VES manager. +- **V-C reference point** + - The V-C reference point is an interface between VESS internal functional components (e.g., VES manager and ESS controller). + - Through this interface, the VES manager collects ESS status information from the ESS controller in real time and transmits ESS control messages to the ESS controller according to the operation schedule set by VES users. +- **V-E reference point** + - The V-E reference point provides communication paths between the ESS controller and various types of ESSs. + - Through the communication paths, the ESS controller keeps monitoring the status of the managed ESSs and control the ESSs according to the ESS operation schedules sent from the VES manager. It also can receive various types of event messages such as fault notification from the ESSs. +- **V-M reference point** + - The V-M reference point is an interface for collecting the electric power meter data of the managed ESSs from a metering system. + - Through this interface, the meter data for user account management are securely collected from metering systems and smart meters that are installed by utility providers. + +## 8.2 Functional architecture for distributed and virtualized energy storage systems + +A VESS helps VES users to optimize electric power demand profiles or to reduce electricity bills by saving energy when energy prices are low and releasing stored energy when energy prices are high. Instead of buying ESSs, VES users can lease customized electric power and energy capacity through VES application services. VESS controls energy storage devices to maximize the utilization of ESSs considering VES operation schedules set by VES users. The VES management functions of a VES manager enable available energy storage capacity of ESSs to be dynamically allocated based on VES operation schedules. The ESS operation functions of an ESS controller perform the configuration, control and monitoring of ESSs associated with VESSs. Based on Figure 4, the following describes VESS key functions from the perspective of VES application service, VES management and ESS operation. + +![Figure 4 – Key functions of VESS. The diagram shows a hierarchical structure of functions for VES Manager and ESS Controller. The VES Manager layer includes Application service functions (VES account service, VES market service, VES operation service) and VES management functions (Energy storage allocation, VES operation scheduling, VES monitoring). The ESS Controller layer includes ESS operation functions (ESS configuration, ESS control, ESS monitoring).](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +The diagram illustrates the key functions of VESS, organized into two main layers: VES manager and ESS controller. The VES manager layer is divided into two sub-sections: Application service functions and VES management functions. The ESS controller layer is divided into one sub-section: ESS operation functions. Each sub-section contains three specific functions. + +| Layer | Sub-section | Function | +|----------------|-------------------------------|---------------------------| +| VES manager | Application service functions | VES account service | +| | | VES market service | +| | | VES operation service | +| | VES management functions | Energy storage allocation | +| | | VES operation scheduling | +| | | VES monitoring | +| ESS controller | ESS operation functions | ESS configuration | +| | | ESS control | +| | | ESS monitoring | + +Y.3023(24) + +Figure 4 – Key functions of VESS. The diagram shows a hierarchical structure of functions for VES Manager and ESS Controller. The VES Manager layer includes Application service functions (VES account service, VES market service, VES operation service) and VES management functions (Energy storage allocation, VES operation scheduling, VES monitoring). The ESS Controller layer includes ESS operation functions (ESS configuration, ESS control, ESS monitoring). + +**Figure 4 – Key functions of VESS** + +#### 8.2.1 Application service functions + +- **VES account service** + - VES user authentication, authorization and accounting management. + - VES user account management based on VES metering data and electricity prices. + - Value prediction based on VES operation schedules and forecasted electricity prices. +- **VES market service** + - VES service advertisement (e.g., VES power generation capabilities, available storage capacity range and VES lease price). + - VES service recommendation based the forecasted electricity demand of VES users. + - VES purchase and lease service contract management. +- **VES operation service** + - VES charge and discharge schedule management. + - VES operation status and fault event messages reporting. + +#### 8.2.2 VES Management Functions + +- **Energy storage allocation** + - Discovery of the available ESSs to meet VES user requirements such as VES capability, storage capacity and lease period. + - Dynamic energy storage allocation considering ESS characteristics, status and operation schedules. + - VES-to-ESS mapping information management. +- **VES operation scheduling** + - VES charge and discharge schedule optimization. + - VES operation policy configuration. +- **VES monitoring** + - ESS meter data management and VES metering. + - VES status monitoring and operation fault handling. + - VES performance analysis and fault diagnosis. + +#### 8.2.3 ESS Operation Functions + +- **ESS Configuration** + - Energy storage facility information registration. + - ESS communication interface configuration. + - ESS operation policy configuration. +- **ESS Control** + - ESS operation schedule optimization. + - ESS charge and discharge control. +- **ESS Monitoring** + - ESS status monitoring (e.g., state of charge, ESS operation state, meter data, operation faults). + - ESS performance analysis and fault diagnosis. + +# 9 Mechanisms for virtualization of energy storage systems + +A method of controlling an energy storage and an energy storage controlling system are described. The method includes dividing an energy storage of large capacity into virtual energy storages corresponding to respective users based on a required energy amount and a period of use of an energy storage of each of the users, and integrally controlling, for each time, the virtual energy storages corresponding to the respective users based on a management schedule of the energy storage of each of the users. + +In Figure 5, an energy storage controlling system includes a user device, an energy storage controlling system and an energy storage of large capacity. The user device may communicate with the energy storage controlling system. + +![Figure 5: System configuration for controlling energy storage. The diagram shows a 'User device' box connected by a double-headed arrow to an 'Energy storage controlling system' box. This system box is further connected by a double-headed arrow to a large box labeled 'Energy storage'. Inside the 'Energy storage' box, there are three smaller boxes: 'Virtual energy storage 1', 'Virtual energy storage 2', and 'Virtual energy storage n', with a vertical ellipsis between the second and third boxes.](a83ba9e3e2c1e21dd69953a7b09e45b4_img.jpg) + +``` +graph LR; + UD[User device] <--> ESCS[Energy storage controlling system]; + ESCS <--> ES[Energy storage]; + subgraph ES_Box [Energy storage] + VES1[Virtual energy storage 1] + VES2[Virtual energy storage 2] + VESn[Virtual energy storage n] + VES1 --- VES2 --- VESn + end +``` + +Figure 5: System configuration for controlling energy storage. The diagram shows a 'User device' box connected by a double-headed arrow to an 'Energy storage controlling system' box. This system box is further connected by a double-headed arrow to a large box labeled 'Energy storage'. Inside the 'Energy storage' box, there are three smaller boxes: 'Virtual energy storage 1', 'Virtual energy storage 2', and 'Virtual energy storage n', with a vertical ellipsis between the second and third boxes. + +Y.3023(24) + +**Figure 5 – System configuration for controlling energy storage** + +- The user device is used by each user. + - It transmits a user response signal to the energy storage based on the response of each user. + - It displays control information on the energy storage of large capacity transmitted from the energy storage controlling system. + - It is an interface connecting each of the users and the energy storage controlling system. +- The **energy storage controlling system** controls the **energy storage** of large capacity based on the user response signal transmitted from the user device of each of the users. + - It integrally controls, for each time, a charge and a discharge of the virtual energy storages corresponding to the respective users based on the management schedule of the energy storage of each of the users. + +- It rents and integrally controls the virtual energy storages corresponding to the respective users to allow a user who has not built an energy storage yet to reduce initial investment costs of installing the energy storage, to provide an energy storage that is used more effectively, to reduce the cost of managing the energy storage, to reduce an effort required to manage the energy storage, to reduce a maximum power requirement due to an energy storage rent, and to enable participation in a demand resource trading market. +- It allows a businessman who builds an energy storage to obtain initial investment costs for installing the energy storage and minimizes the risk to business promotion. +- The energy storage of large capacity includes a plurality of virtual energy storages. The energy storage of large capacity may be implemented as a single physical energy storage or a plurality of physical energy storages. + +NOTE – The energy storage (or energy) of small capacity may be required by various structures such as homes, buildings and factories. A consumer may require an energy storage (or energy) during at least one of a predetermined period or a predetermined season. + +Figure 6 illustrates the main components of an energy storage controlling system. This system includes an interface, a processor and a memory. + +![Block diagram of an energy storage controlling system. An 'Interface' block is connected to a 'Processor' block, which contains 'Divider', 'Register', 'Calculator', and 'Controller' sub-blocks. The 'Processor' block is connected to a 'Memory' block. Bidirectional arrows indicate data flow between the Interface and Processor, and between the Processor and Memory. The sub-blocks within the Processor are also connected with bidirectional arrows.](8307f6b04df072c9332f9987e034272c_img.jpg) + +``` + +graph LR + Interface[Interface] <--> Processor + subgraph Processor + Divider[Divider] <--> Register[Register] + Register <--> Calculator[Calculator] + Calculator <--> Controller[Controller] + end + Processor <--> Memory[Memory] + +``` + +Y.3023(24) + +Block diagram of an energy storage controlling system. An 'Interface' block is connected to a 'Processor' block, which contains 'Divider', 'Register', 'Calculator', and 'Controller' sub-blocks. The 'Processor' block is connected to a 'Memory' block. Bidirectional arrows indicate data flow between the Interface and Processor, and between the Processor and Memory. The sub-blocks within the Processor are also connected with bidirectional arrows. + +**Figure 6 – Components of an energy storage controlling system** + +- (1) **Interface:** The interface receives a user response signal transmitted from the user device of each user. It transmits control information on the energy storage of large capacity to the user device. +- (2) **Processor:** The processor controls an overall operation of the energy storage controlling system. It divides the energy storage of large capacity into virtual energy storages corresponding to respective users based on a required energy amount (or required energy storage space) and a period of use (or rental period) of an energy storage of each of the users. In addition, it integrally controls the virtual energy storages corresponding to the respective users based on a management schedule of the energy storage of each of the users. + +The processor includes a divider, a register, a calculator and a controller. + +- **Divider:** The divider divides the energy storage of large capacity into multiple virtual energy storages. + - It divides the energy storage of large capacity into a plurality of virtual logical energy storages. + - It allocates energy storage areas corresponding to the respective users of the virtual logical energy storages based on the required amount of energy (or required energy storage space) and the period of use (or rental period) of the energy storage of each of the users. + - It generates the virtual energy storages corresponding to the respective users based on the invariably allocated energy storage area or the variably allocated energy storage area. +- **Register:** The register registers the management schedule of the energy storage of each of the users. +- **Calculator:** The calculator calculates an integrated management schedule of the virtual energy storages corresponding to the respective users based on the management schedule of the energy storage of each of the users. + +- It may calculate a time-based first management schedule of the virtual invariable energy storage corresponding to the long-term renter based on the management schedule of the energy storage of the long-term renter. + - Subsequently, it may calculate a time-based second management schedule of the virtual variable energy storage corresponding to the short-term renter based on the management schedule of the energy storage of the short-term renter. + - It may calculate the integrated management schedule for each time based on the first management schedule and the second management schedule. + - It may calculate the management schedule based on a discharge loss rate of a physical energy storage linked to the virtual energy storages. + - In response to a discharge of the virtual energy storages, it may calculate the management schedule based on the discharge loss rate of the physical energy storage linked to the virtual energy storages such that the virtual energy storages discharge 90% of total generation capacity. +- **Controller:** The controller integrally controls the virtual energy storages corresponding to the respective users for each time based on the integrated management schedule. It transmits information on the energy storage of large capacity to the user device via the interface. +- (3) **Memory:** The memory stores information on the energy storage of large capacity and the user response signal. + +# 10 Security considerations + +The security considerations in a VESS should be in accordance with the security requirements in [ITU-T X.1111] and [ITU-T Y.2701]. The general security requirements and technologies are described in [ITU-T X.1111]. This Recommendation applies the technologies in [ITU-T X.1111] to the key system components and functions of VESSs. + +A VESS should consider various security aspects in terms of physical security, system security and operation security as follows: + +- Verifying the identity of an entity (e.g., user, process or device) for accessing resources in a virtual energy storage system; +- Determining the adequacy of security requirements and ensuring compliance with the established security policy and procedures for a virtual energy storage system; +- Authorization to use various services in a virtual energy storage system; +- Supporting cryptography and validation mechanisms for data integrity in a virtual energy storage system; +- Providing the privacy considerations with respect to a virtual energy storage system. + +# Appendix I + +## Use cases and service scenarios + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides various use cases and service scenarios considering distributed and virtualized energy storage systems. + +### I.1 VESS based energy management system in power system + +#### I.1.1 Overview + +Depending on the development of information technology (IT), it is expected that overall power systems will evolve as data- based infrastructure. This change will be arisen due to the development of technology in power transaction and data accumulation processes depending on sensors in power usage environments. This kind of development of ICT infrastructure in power systems have brought more data movement which make it possible to implement various services for power consumers. For example, the emergence of smart meters makes possible to impose charges according to power usage at time horizons and seasonal periods. In addition, the emergence of ancillary services enables the operation of the power market through control of the amount of electricity used, rather than the existing power system which manages the system depending on various kinds of generators (Figure I.1). + +![Figure I.1: Changes of power systems and the necessity of VESS. The diagram compares a 'Previous power system' with a 'Future power system'. The previous system shows a central fossil fuel source feeding into a fossil generator, which connects to a system operator, then to distributed generators and system operators, and finally to power consumers. The future system shows a mix of renewable and traditional generators connected to a system operator, which then connects to distributed system operators, power consumers, and a Virtual ESS (Virtual Energy Storage System).](12de9b926df0384ec07702671827c9cd_img.jpg) + +**Previous power system** + +- Stabilize demand and power supply of the system based on total power generation control +- Using simple power charging tariff + +**Future power system** + +- Stabilize demand and power supply of the system based on simultaneous operation of demand resources and generators based on charging rate +- Using complex power charging tariff + +Y.3023(24) + +Figure I.1: Changes of power systems and the necessity of VESS. The diagram compares a 'Previous power system' with a 'Future power system'. The previous system shows a central fossil fuel source feeding into a fossil generator, which connects to a system operator, then to distributed generators and system operators, and finally to power consumers. The future system shows a mix of renewable and traditional generators connected to a system operator, which then connects to distributed system operators, power consumers, and a Virtual ESS (Virtual Energy Storage System). + +**Figure I.1 – Changes of power systems and the necessity of VESS** + +One of the factors should be considered in the power system is the charging tariff policy for participants. Since power data are collected from heterogeneous environments, it is hard to decide a proper charging tariff to control overall power systems. VESS now becomes an essential element for system operators to manage and plan the power generation schedule by considering the relationship between power charging tariff and power management. + +#### I.1.2 Types and characteristics of a general demand response market + +The DR market considered in one of the use cases of a VPP could be classified according to the operating method and the incentive system as follows: + +- Price based demand response (PBDR) + - Based on the pricing factors, the system operator analyses the supply and demand of the overall power system according to time and environment, and it imposes a proper charge at each time. According to the electricity charging rate, power consumers adjust their power usage voluntarily + - This method analyses overall power usage of all power consumers on an annual basis; therefore, the system operator determines and announces proper power charges by taking into consideration the weight of power usage (e.g. seasonal, peak time, etc.). +- Incentive based demand response (IBDR) + - In a specific situation (e.g. unbalanced power supply, peak power load, frequency instability), the system operator sends signals to the demand response market participants to manage the power usage to solve the problem. At this time, incentives/penalties are provided/imposed to participants based on the contract. In this way, the system operator forces consumers to manage their power usage based on the contract. Table I.1 lists various demand response programs. + +**Table. I.1 – Types and characteristics of demand response programs** + +| Program | Explanation | Purpose | Participants | Type | +|----------------------------------|---------------------------------------------------------------|-----------------------------------------------|-------------------------------------|------| +| Utility program | | | | | +| Time of use | Differential rates according to time period | Minimize peak power | Whole of participants | PBDR | +| Curtailable load programs | Charging discount according to load control | Emergency
Reliability of system | Type of energy usage | IBDR | +| Emergency DR | Incentive for load control | Emergency
Reliability of system | Large scale power user | IBDR | +| Aggregator programs | Contract between aggregator and system operator | Minimize peak power
Emergency | Aggregator | IBDR | +| Peak time rebates | Give incentive according to estimated peak baseline | Minimize peak power | Small scale power user | IBDR | +| Direct load control | Control customers' electricity | Minimize peak power | Small scale power user | IBDR | +| Critical peak pricing | Based on ToU, high rates are applied under certain conditions | Power system stability | Whole of power consumer
Industry | PBDR | +| Real time pricing | Price changes based on wholesale prices | Minimize peak power
Power system stability | Type of energy usage | PBDR | + +- As Table I.1 mentioned, most IBDR programs consider an urgent situation in the system. In other words, if the pre-contracted power operation of the IBDR participant is not achieved, the system operator has to activate an alternative plan, which will incur additional costs. This is the reason that the penalty is imposed if the DR market participant fails to achieve the actual pre-engaged contract. Further, it indicates that the VESS system is needed for the practical power environment. + +#### **I.1.3 The use of VESS from the perspective of power consumers and its direction** + +The main issue from the perspective of power consumers is the minimization of electricity tariffs through participating in the demand response market. As mentioned in Table I.1, consumers in the electricity market are classified according to the amount or type of electricity they use. This classification also affects the decision of the demand response market. Therefore, it is possible that VESS can be applied to the DR market proposed in the table based on the integrated operation of various algorithms such as HEMS, BEMS and FEMS. In other words, the application of VESS not only enables more small-scale power consumers to participate in the DR market but also has the advantage of enabling more efficient power system operation by configuring more controllable demand power resources from the system operator point of view. + +#### **I.1.4 The use of VESS from the perspective of system operator to maintain power system** + +The VESS system encourages more power consumers to participate in the demand resource market and makes that various power consumers can stabilize their power consumption rates. In addition, from the system operator's perspective, the VESS enables that the system operator operates the power system more efficiently based on the diversification of controllable power resources. The widespread use of renewable energy and electric vehicles cause many uncertain factors in the system. To minimize the risk of the system, the operator needs to reserve more baseline power supply or schedule rapid generators to maintain the system. However, the broadening of the DR market with the VESS enables system operators to minimize the financial loss and maintain system reliability more efficiently in an environment where there is an increase of undetermined power resources. + +## Bibliography + +- [b-ITU-T Y.2071] Recommendation ITU-T Y.2071 (2015), *Framework of a micro energy grid*. +- [b-IEC-WP] IEC white paper, *Electrical energy storage*, 2011. +- [b-IEEE-Safak] Safak Bayram, *et. al.*, *A survey on energy trading in smart grid*, IEEE GlobalSIP Conference, 2014. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | 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| +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3047 + +# Requirements and capabilities of network awareness based on cloud computing + +## Summary + +Recommendation ITU-T Y.3047 specifies requirements and capabilities of network awareness based on cloud computing. The scope of this Recommendation includes the following aspects of network awareness based on cloud computing: basic model, functional requirements, performance requirements, interface requirements and capabilities, etc. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3047 | 2024-11-22 | 13 | 11.1002/1000/16097 | + +## Keywords + +Capability, cloud computing, network awareness, requirement. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Introduction of network awareness based on cloud computing..... | 3 | +| 7 | Basic model of NACC ..... | 4 | +| | 7.1 Basic model for NACC ..... | 4 | +| | 7.2 Functional components of cloud-based network awareness system ..... | 6 | +| 8 | Functional requirements of network awareness based on cloud computing ..... | 8 | +| | 8.1 Overview of functional requirements..... | 8 | +| | 8.2 Functional requirements for functional entity of network awareness ..... | 9 | +| | 8.3 Functional requirements of service provisioning from network awareness... | 10 | +| 9 | Performance requirements of network awareness based on cloud computing ..... | 10 | +| | 9.1 Overall performance requirements of network awareness based on cloud computing ..... | 10 | +| | 9.2 Performance requirements of functional components..... | 11 | +| | 9.3 Performance requirements of service provisioning ..... | 11 | +| 10 | Interface requirements of network awareness based on cloud computing ..... | 12 | +| | 10.1 Overview of the interfaces for network awareness based on cloud computing..... | 12 | +| | 10.2 Internal interfaces for network awareness based on cloud computing..... | 13 | +| | 10.3 External interfaces for NACC ..... | 13 | +| 11 | Capability of network awareness based on cloud computing..... | 14 | +| | 11.1 Overview of the capability for network awareness based on cloud computing..... | 14 | +| | 11.2 Network application/service awareness capability..... | 14 | +| | 11.3 Network status awareness capability..... | 14 | +| | 11.4 Network requirements awareness capability ..... | 15 | +| | 11.5 Other aspects of network awareness capability..... | 15 | +| | 11.6 Service providing awareness capability ..... | 15 | +| 12 | Security considerations..... | 15 | + + + +# Recommendation ITU-T Y.3047 + +# Requirements and capabilities of network awareness based on cloud computing + +# 1 Scope + +This Recommendation specifies the requirements and capabilities of network awareness based on cloud computing. The scope of this Recommendation includes: + +- Basic model of network awareness based on cloud computing; +- Functional requirements of network awareness based on cloud computing; +- Performance requirements of network awareness based on cloud computing; +- Interface requirements of network awareness based on cloud computing; +- Capability of network awareness based on cloud computing; +- Security considerations. + +NOTE – Cloud computing technologies are out of scope of this Recommendation, and the functional architecture described in [ITU-T Y.3515] is referred to by this Recommendation. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T F.747.10] Recommendation ITU-T F.747.10 (2022), *Requirements of distributed ledger systems for secure human factor services*. +- [ITU-T Y.2704] Recommendation ITU-T Y.2704 (2010), *Security mechanisms and procedures for NGN*. +- [ITU-T Y.2770] Recommendation ITU-T Y.2770 (2012), *Requirements for deep packet inspection in next generation networks*. +- [ITU-T Y.2771] Recommendation ITU-T Y.2771 (2014), *Framework for deep packet inspection*. +- [ITU-T Y.3001] Recommendation ITU-T Y.3001 (2011), *Future networks: Objectives and design goals*. +- [ITU-T Y.3011] Recommendation ITU-T Y.3011 (2012), *Framework of network virtualization for future networks*. +- [ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014), *Information technology – Cloud computing – Overview and vocabulary*. +- [ITU-T Y.3515] Recommendation ITU-T Y.3515 (2014), *Cloud computing – Functional architecture of Network as a Service*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud computing** [ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications, and storage equipment. + +**3.1.2 network as a service (NaaS)** [ITU-T Y.3500]: Cloud service category (see 3.2.10 of [ITU-T Y.3500]) in which the capability provided to the cloud service customer is transport connectivity and related network capabilities. + +NOTE – NaaS can provide any of the three cloud capabilities types. + +**3.1.3 software as a service (SaaS)** [ITU-T Y.3500]: Cloud service category (see 3.2.10 of [ITU-T Y.3500]) in which the cloud capabilities type (see 3.2.4 of [ITU-T Y.3500]) provided to the cloud service customer (see 3.2.11 of [ITU-T Y.3500]) is an application capabilities type (see 3.2.1 of [ITU-T Y.3500]). + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 network awareness:** A class of technologies and methods that can make the network operator, network owner, network service provider, etc. be aware of the distribution of traffic in the network, the network service carried in the network, the network resource and its utility, the current network status, the real-time requirements of the network and other aspects related to runtime information of the network. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|--------------------------------------------| +| AI | Artificial Intelligence | +| DFI | Deep Flow Inspection | +| DL | Deep Learning | +| DPI | Deep Packet Inspection | +| IaaS | Infrastructure as a Service | +| ML | Machine Learning | +| NA | Network Awareness | +| NaaS | Network as a Service | +| NACC | Network Awareness based on Cloud Computing | +| NFV | Network Function Virtualization | +| NSA | Network Status Awareness | +| PaaS | Platform as a Service | +| QoE | Quality of Experience | +| QoS | Quality of Service | + +| | | +|------|--------------------------------| +| QUIC | Quick UDP Internet Connections | +| SaaS | Software as a Service | +| SDN | Software-Defined Networking | +| TLS | Transport Layer Security | +| UDP | User Datagram Protocol | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Introduction of network awareness based on cloud computing + +Network awareness is a class of technologies and methods that can make the network operator, network owner, network service provider, etc. be aware of the distribution of traffic in the network, network services carried in the network, a network resource and its utility, current network status, real-time requirements of the network and other aspects related to runtime information of the network. It is essential for network operators to operate, administrate and manage the network. + +On the one hand, based on network awareness, operators can improve the quality of service (QoS) and quality of experience (QoE) of the network, they can also make efficient use of network resources, and reduce costs, and capital investment. On the other hand, network awareness can make the network better and provide strong support for other methods and technologies such as network analysis, network planning and network optimization. + +However, there is a problem with how to implement and deploy network awareness functions efficiently and economically. Usually, the network owner and network service provider set up and deploy independent network awareness functional entities to different application scenarios when they need network awareness capabilities. In other words, the network awareness functions are exclusive to the network in which the network awareness functions are deployed. In reality, the aforementioned deployment is neither efficient nor economic. + +When network awareness functional entities are deployed to certain network scenarios, restricted by the resources of the network, the network awareness functions are not implemented powerfully. But network requirements and new technologies demand that the network awareness function should be powerful. + +For example, artificial intelligence related technologies such as machine learning have been, and will continue to be rapidly developed and will also promote other technologies. It is certain that network awareness related technologies or methods can achieve great progress through the help of artificial intelligence. In the meantime, because complicated machine learning algorithms are needed, artificial intelligence and machine learning enhanced network awareness functions must continue to occupy more network resources. If the aforementioned network scenario cannot meet the resource requirements of the network awareness function, then the network awareness function cannot work efficiently. + +On the other hand, when network awareness functions are exclusive to a certain network, the network awareness functions cannot be used by other networks even if the network deployed with network awareness functions do not use the functions all the time. Therefore, this deployment mode is not very economic. + +Because traditional implementation and deployment modes of network awareness functions have these shortcomings as described above, it is useful to find novel implementations and deployment modes of network awareness functions. + +Cloud computing-based implementation and deployment mode is one such candidate mode, and network awareness services can be provided based on cloud computing. + +When network awareness functions are implemented based on cloud computing, the following advantages can be achieved: + +- More powerful functions and performance: When network awareness functions are deployed in a certain network or a certain partition of a network, they are limited by the resources of the network or the network partition, many functions cannot possibly be implemented or cannot work with high performance. Cloud-based implementation is totally different, there are huge amounts of resources in the cloud that can be scheduled to implement functions and those functions can work more efficiently with the support of enough resources. +- Lower implementation costs: By deploying network awareness functions based on cloud infrastructure and sharing network awareness functions among various network scenarios, it is then not necessary to deploy a complete suite of network awareness functions to a specific network application scenario. Therefore, overall costs can be greatly reduced. +- High extensibility and flexibility: Network awareness requirements may change with time. If network awareness entities are deployed to a certain network or a certain network partition, it would be very difficult to change the deployment when new network awareness requirements arrive. However, this is not a problem when deploying network awareness functions in the cloud-based environment because it is easy to schedule and orchestrate necessary resources to meet the new requirements. +- High data security: Data security is also critical to network awareness functions. Certainly data is in some ways secure when it is restricted to a specific network if the network awareness function is deployed in the network or in a network partition. However, security assurance in a specific network cannot be better than in a cloud environment. Cloud infrastructure is now so mature that various security measures have been adopted to guarantee data security. These security measures may not always be supported by a unique network partition. +- High recovery capability in disaster: When network awareness functions are deployed in the cloud environment, all information can be recovered from the network even if local information is damaged by a specific disaster. + +Network awareness based on cloud computing (NACC) is therefore very beneficial and appropriate for the deployment of network awareness functions. [ITU-T Y.3515] illustrates the use of network as a service (NaaS) services based on user layer, access layer, service layer and resources layer, see clause 6.2 of [ITU-T Y.3515]. NACC deploys network awareness resources in the resources layer and implements the network awareness functions through the service layer. + +This Recommendation specifies the requirements and capabilities of network awareness based on cloud computing. In order to facilitate description, in the following sections, the use of the single word 'cloud' has the same meaning as 'cloud computing'. + +# **7 Basic model of NACC** + +### **7.1 Basic model for NACC** + +The use of multi-layer functional components of NaaS services in cloud computing including integration, security systems, operational support systems, business support systems, development support, etc., is described in clause 6.2 of [ITU-T Y.3515], and the following functional components are described in clause 8 of [ITU-T Y.3515]: + +- Business support system functional components for NaaS products; +- Service layer functional components for NaaS; +- Operational support system functional components; +- Functional components for NaaS development support. + +In addition to the above functional components, NACC also comprises multi-layer functions, and it is the basis of many other functions such as for example, network management and control. + +Figure 7-1 depicts the basic model of NACC. + +![Figure 7-1: General model of network awareness based on cloud computing. The diagram is divided into three horizontal layers by dashed lines. The top layer, 'Network awareness cloud layer', contains a 'Network awareness cloud' with several server icons, each with a globe, and labels for 'Network awareness node' and 'Network awareness entity'. The middle layer, 'Network awareness agent layer', contains an 'Agent for network awareness' group of servers, an 'Agent node' (server with a small device), and a 'Network awareness controller' (multiple servers). The bottom layer, 'Local network layer', shows a 'Local network awareness system' (server with a monitor), two 'Network device embedded with awareness functions' (routers), and an 'Independent network awareness device' (server with a monitor). Arrows indicate data flow: from the cloud layer to the agent layer, and from the agent layer to the local network layer. Specific labels include 'Data input' and 'Data output' pointing to the local network devices. A reference 'Y.3047(24)' is at the bottom right.](5a4e62bead259c258d069fd3663ea670_img.jpg) + +Figure 7-1: General model of network awareness based on cloud computing. The diagram is divided into three horizontal layers by dashed lines. The top layer, 'Network awareness cloud layer', contains a 'Network awareness cloud' with several server icons, each with a globe, and labels for 'Network awareness node' and 'Network awareness entity'. The middle layer, 'Network awareness agent layer', contains an 'Agent for network awareness' group of servers, an 'Agent node' (server with a small device), and a 'Network awareness controller' (multiple servers). The bottom layer, 'Local network layer', shows a 'Local network awareness system' (server with a monitor), two 'Network device embedded with awareness functions' (routers), and an 'Independent network awareness device' (server with a monitor). Arrows indicate data flow: from the cloud layer to the agent layer, and from the agent layer to the local network layer. Specific labels include 'Data input' and 'Data output' pointing to the local network devices. A reference 'Y.3047(24)' is at the bottom right. + +**Figure 7-1 – General model of network awareness based on cloud computing** + +The model includes the following three layers: + +- Network awareness cloud layer: This layer is responsible for implementing and deploying network awareness functions based on cloud computing. This layer corresponds to the resource layer and service layer described in [ITU-T Y.3515]. According to [ITU-T Y.3515], this layer can also be designed as a resource layer and service layer logically. However, this Recommendation aims at implementation of network awareness functions, so, in order to + +facilitate description of the implementation, it is appropriate to abstract the two layers to a single layer. + +- Network awareness agent layer: This layer is responsible for connecting and coordinating the network awareness functions deployed in the network awareness cloud layer and local network awareness functions. This layer corresponds to the access layer described in [ITU-T Y.3515]. +- Local network layer: This layer is responsible for implementing and deploying network awareness functions in the network itself. This layer corresponds to the user layer described in [ITU-T Y.3515]. + +All these three layers coordinate to compose a network awareness system that is called the cloud-based network awareness system. + +### **7.2 Functional components of cloud-based network awareness system** + +NACC is mainly used to design and deploy network awareness functions in cloud computing scenarios in order to make full use of the resources of the cloud. According to Figure 7-1, the following functional components or functional entities related to the cloud-based network awareness system include: + +- Cloud network awareness node: A physical network awareness device deployed in a cloud computing context (resource layer of cloud computing). +- Cloud network awareness functional entity: A functional entity deployed in cloud computing and providing network awareness services. +- Network awareness cloud: Cloud computing that is deployed with network awareness resources and that can provide network awareness services. It composes the network awareness cloud layer which is equivalent to the resource layer and service layer of cloud computing +- Network awareness agent: A functional entity which connects local networks and the network awareness cloud. It composes the network awareness agent layer that is equivalent to the access layer of cloud computing. +- Network awareness controller: A functional entity that controls the other network awareness related functional entities. +- Local network awareness node: A physical network awareness device deployed in a local network. +- Local network awareness functional entity: A functional entity deployed in a local network and that can realize local network awareness functions. +- Local network: The network which needs to use network awareness functions. It composes the local network layer which is equivalent to the user layer in cloud computing. + +Because there are several aspects of network awareness such as network application/service awareness, network status awareness, network requirements awareness, and so on, there are also several kinds of cloud-based network awareness systems. + +#### **7.2.1 Functional components of cloud-based network application/service awareness system** + +The basic and representative network application/service technology is deep packet inspection (DPI), see [ITU-T Y.2770], [ITU-T Y.2771], etc. A cloud-based DPI system can be thought of as a representative cloud-based network application/service awareness system. Other implementations of cloud-based network application/service implementation such as deep flow inspection (DFI) and network traffic awareness based on machine learning, see [ITU-T Y.3180], are similar to the cloud-based DPI system. + +A cloud-based DPI system has three kinds of main functional components/entities: + +- End DPI +- DPI cloud agent and control +- Cloud DPI + +End DPI, DPI cloud agent and control, and cloud DPI are network application/service awareness subsystems that are deployed in the local network layer, network awareness agent layer and network awareness cloud layer respectively. The aforementioned subsystems are independent parts of the cloud-based network awareness system. + +End DPI is responsible for the following tasks: receiving data packets from the network, performing feasible DPI operations that are dependent on resources in the end DPI, and acquiring processing results of the end DPI, sending data packets that need to be processed by cloud DPI through a DPI cloud agent and controlling, acquiring and executing DPI action instructions based on the processing results of end DPI and cloud DPI. + +DPI cloud agent and control is used to configure DPI rules and other information to end DPI and cloud DPI. It connects with end DPI and cloud DPI respectively and implements the function to transfer information between end DPI and cloud DPI. DPI cloud agent and control is also responsible for sending configuration commands to the end DPI. + +Cloud DPI is used to receive data packets from end DPI through DPI cloud agents and control, performing DPI operations that are not able to be realized by end DPI by using the resources in the end DPI system, and acquiring processing results of the cloud DPI, and sending the processing results to the end DPI through DPI cloud agent and control. + +#### **7.2.2 Functional components of cloud-based network status awareness system** + +Generally, a cloud-based network status awareness system has four main functional components/entities: + +- Local network status awareness +- Network status awareness cloud agent +- Cloud network status awareness +- Control/management + +Local network status awareness, network status awareness cloud agent, cloud network status awareness, and control/management are network status awareness subsystems that are deployed in the local network layer, network awareness agent layer and network awareness cloud layer respectively. + +Local network status awareness is used to collect network status data from the network, process the collected data depending on its resource, send the collected data to cloud network status awareness through the network status awareness cloud agent and send the processing result to the control/management subsystem. + +Network status awareness cloud agent is used to transfer necessary information between the local network status awareness and cloud network status awareness subsystems or between cloud network status awareness and control/management subsystems. + +Cloud network status awareness is used to receive network status data from network status awareness cloud agent, process the collected data, and send the processing result to the control/management subsystem. + +Control/management is used to receive the processing result from local network status awareness and cloud network status awareness and decide on the further operations based on the processing results. + +#### **7.2.3 Functional components of cloud-based network requirements awareness system** + +A cloud-based network requirements awareness system also has four kinds of main functional components/entities: + +- Local network requirements awareness +- Network requirements awareness cloud agent +- Cloud network requirements awareness +- Control and evaluation + +Local network requirements awareness, network requirements awareness cloud agent, cloud network requirements awareness, and control and evaluation are network requirements awareness subsystems that are deployed in the local network layer, network awareness agent layer and network awareness cloud layer respectively. + +Local network requirements awareness is used to collect necessary data, process the collected data depending on its resources, send the collected data to cloud network requirements awareness through the network requirements awareness cloud agent and send mined requirements to the control and evaluation subsystem. + +Network requirement awareness cloud agent is used to transfer necessary information between the local network requirements awareness and cloud network requirements awareness subsystems or between the cloud network requirements awareness and control and evaluation subsystems. + +Cloud network requirements awareness is used to receive data from network requirements awareness cloud agent, process the collected data, and send mined requirements to the control and evaluation subsystem. + +The control and evaluation subsystem is used to receive mined requirements from the local network requirements awareness and cloud network requirements awareness subsystems, evaluate the mined requirements and set up the requirements if it is feasible and reasonable. + +# **8 Functional requirements of network awareness based on cloud computing** + +### **8.1 Overview of functional requirements** + +When network awareness functions are deployed in the cloud computing context, those functions are not realized by a certain determined physical or logical entity or a specific group of determined physical or logical entities. Rather, some resources from the cloud are coordinated together to realize the network awareness functions. + +In other words, in comparison to the traditional deployment mode of the network awareness function, deployment based on cloud computing relies on a group of virtual entities to implement a concrete task of network awareness, and the virtual entities may vary with the task. However, the traditional deployment mode relies on one or more determined physical or logical entities to implement the network awareness functions, and the physical or logical entities do not usually change with the network awareness tasks. + +Figure 8-1 illustrates the difference between the ordinary deployment mode and the cloud computing-based deployment mode. + +![Figure 8-1: Two kinds of deployment for network awareness functions. The diagram compares 'Ordinary deployment mode' and 'Cloud based deployment mode'. In the ordinary mode, an 'Awareness functional entity' (represented by three server icons) is connected to an 'Infrastructure network' (represented by a mesh of five network switch icons). In the cloud-based mode, an 'Awareness agent' (represented by two server icons) is connected to the same 'Infrastructure network'. The 'Awareness agent' is also connected to an 'Awareness cloud' (represented by a cloud icon containing several server icons). The label 'Y.3047(24)' is located at the bottom right of the cloud-based mode diagram.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +Figure 8-1: Two kinds of deployment for network awareness functions. The diagram compares 'Ordinary deployment mode' and 'Cloud based deployment mode'. In the ordinary mode, an 'Awareness functional entity' (represented by three server icons) is connected to an 'Infrastructure network' (represented by a mesh of five network switch icons). In the cloud-based mode, an 'Awareness agent' (represented by two server icons) is connected to the same 'Infrastructure network'. The 'Awareness agent' is also connected to an 'Awareness cloud' (represented by a cloud icon containing several server icons). The label 'Y.3047(24)' is located at the bottom right of the cloud-based mode diagram. + +**Figure 8-1 – Two kinds of deployment for network awareness functions** + +When network awareness functions are deployed based on cloud computing, the functional architecture, subject to realization of the network awareness functions, etc., are different compared to the traditional deployment mode. Consequently, the functional requirements should also be different. + +## 8.2 Functional requirements for functional entity of network awareness + +When network awareness functions are deployed based on cloud computing, the following functional requirements related to functional entities should be met: + +- The network awareness agent is required to have the capability to store the network awareness requests submitted by the infrastructure network or other network entities. +- The network awareness agent is required to have the capability to transform the network awareness requests into a formation that the network awareness cloud can understand. +- The network awareness agent is recommended to have the capability to encrypt the information about the network awareness tasks. +- The network awareness agent is required to have the capability to store the network awareness results provided by the awareness cloud. +- The network awareness agent is required to have the capability to transform the network awareness results into a formation that the corresponding entities can understand. +- The network awareness agent is recommended to have the capability to encrypt the network awareness results. +- The network awareness cloud is required to have the capability to accept and store the network awareness tasks from the network awareness agent. +- The network awareness cloud is required to have the capability to evaluate whether network awareness tasks can be realized by itself and send the evaluated result to the network awareness agent. + +- The network awareness cloud is recommended to have the capability to exchange keys with the network awareness agent. +- The network awareness cloud is required to have the capability to coordinate resources in itself and finish the network awareness tasks from the network awareness agent. + +### **8.3 Functional requirements of service provisioning from network awareness** + +The target of implementation of the network awareness functions is to provide the network awareness service to a network owner, network operator and network end user, etc., whether the network awareness functions are deployed based on cloud computing or ordinary mode. + +The following functional requirements related to service provisioning should be met: + +- The network awareness result is required to be formatted according to service agreement between the network awareness service provider and the network awareness service consumer. +- The network awareness result is recommended to be encrypted when it is sent from the network awareness service provider to the network awareness service consumer. +- The network awareness result is required to be stored in the network awareness service provider in case the network awareness service consumer needs to use it in the future. +- The network awareness result is required to be provided during the period specified in the service agreement between the network awareness service provider and the network awareness service consumer. +- The network awareness service provider is required to execute actions specified in the service agreement between the network awareness service provider and the network awareness service consumer based on the network awareness result. +- The network awareness result is recommended to be independent of the other services that the network awareness service consumer needs. + +NOTE – That is to say, network aware functions should not do harm to the other network services that the network awareness service consumer needs. + +- The network awareness services is required to be guaranteed regardless whether the resources in the cloud have changed. + +# **9 Performance requirements of network awareness based on cloud computing** + +## **9.1 Overall performance requirements of network awareness based on cloud computing** + +Figure 8-1 describes an example model for network awareness functions to be deployed based on cloud computing. Compared with the ordinary deploying mode of network awareness functions, the deploying mode of network awareness functions in the cloud computing context is substantially different. One of the basic differences between the ordinary deploying mode and the cloud computing based deploying mode is that network awareness functions are deployed adjoint to the network infrastructure for ordinary deploying mode while network awareness functions are not deployed locally for the cloud computing based deploying mode. + +However, even if network awareness functions are realized based on cloud computing, performance requirements should not be reduced. + +The following performance requirements should be met by the network awareness system: + +- Deploying time for the network awareness functions for cloud computing mode is required to be less than twice the deploying time for the ordinary deploying mode. +- The time from setting the configuration to the configuration taking effect is required not to exceed the time for ordinary deploying mode. + +- The volume of awareness policy rules for cloud computing mode is required not to be less than the volume of awareness policy rules of the ordinary deploying mode. +- The length of a single network awareness policy rule for cloud computing mode is required to be not less than the length of a network awareness policy rule of the ordinary deploying mode. +- The time for network awareness functions to be finished in cloud computing mode is required to be not greater than the time for ordinary mode. +- The time to add, remove or modify a single awareness policy rule is required to be not greater than 50 ms. + +### **9.2 Performance requirements of functional components** + +There are several kinds of functional components to be deployed while realizing the network awareness functions based on cloud computing. Those function components include the awareness entity, awareness control entity and awareness agent, etc. + +Regarding the awareness entity, the following performance requirements should be met: + +- The process capability of an awareness entity or a group of awareness entities in the awareness cloud should match the network traffic between the awareness agent and the awareness cloud in order to avoid congestion. +- The process capability of a group of awareness entities in the awareness cloud should be matchable so that coordination among those awareness entities is efficient. +- The buffer capacity of the awareness entity in the awareness cloud is required to be big enough so that no data loss happens even if the process capability of the awareness entity is less than the network traffic between the awareness agent and the awareness cloud. + +Regarding the awareness control entity, the following performance requirements should be met: + +- The time for the control instruction from the control entity to the awareness entity for the cloud computing based mode is required not to exceed the time for the ordinary deploying mode. +- The response time for a control entity to process a requirement from the awareness entity for the cloud computing based mode is required not to be greater than the time for ordinary mode. +- The control capacity of a control entity for the cloud computing based mode is required not to be less than the control capacity for ordinary mode. + +Regarding the awareness agent, the following performance requirements should be met: + +- The bandwidth between the awareness agent and network for the cloud computing-based mode is required not to be less than the bandwidth between the awareness functional entity and the network for ordinary mode. +- The bandwidth between the awareness agent and the awareness cloud for the cloud computing-based mode is required to be not less than the bandwidth between the awareness functional entity and the network for ordinary mode. +- The process capability of the awareness agent is required to match the network traffic between the awareness agent and the network in order to avoid congestion. + +### **9.3 Performance requirements of service provisioning** + +No matter how the network functions are deployed, the core target is to provide service to network users or customers. Regarding service provisioning, the following performance requirements should be met: + +- Service provisioning time for the cloud computing-based mode is required not to be greater than the service provision time for ordinary deploying mode when the user service is changed. +- Service QoS/QoE index for the cloud computing-based mode is required not to be worse than service QoS/QoE index for the ordinary deploying mode. +- Service capability set for the cloud computing-based mode is required not to be less than service capability set for the ordinary deploying mode. +- Average continuous service provisioning time for the cloud computing-based mode should not be less than the average continuous service provision time for the ordinary deploying mode. +- Average service interrupt time for the cloud computing-based mode should not exceed the average service interrupt time for the ordinary deploying mode. + +Service recovery time for cloud computing-based mode is required not to be greater than 50 ms. + +# 10 Interface requirements of network awareness based on cloud computing + +## 10.1 Overview of the interfaces for network awareness based on cloud computing + +An infrastructure network, awareness agent and awareness cloud are necessary functional components for network awareness based on cloud computing. An interface between two of the three aforementioned components is called an internal interface. An interface between one of the three aforementioned components and the other component is called an external component. Figure 10-1 describes these interfaces. + +![Figure 10-1: Interfaces for network awareness based on cloud computing. The diagram shows two identical functional blocks side-by-side. Each block contains three components: an 'Awareness cloud' (cloud icon), an 'Awareness agent' (server icon), and an 'Infrastructure network' (network diagram with a central router and four switches). Internal interfaces within each block are labeled: 'Iac' between the cloud and agent, and 'Ian' between the agent and the network. External interfaces between the two blocks are labeled: 'Ecc' between the two clouds, 'Eaa' between the two agents, and 'Enn' between the two infrastructure networks. A reference code 'Y.3047(24)' is at the bottom right.](9cd90f495b95ad2116ff780248c26d95_img.jpg) + +Figure 10-1: Interfaces for network awareness based on cloud computing. The diagram shows two identical functional blocks side-by-side. Each block contains three components: an 'Awareness cloud' (cloud icon), an 'Awareness agent' (server icon), and an 'Infrastructure network' (network diagram with a central router and four switches). Internal interfaces within each block are labeled: 'Iac' between the cloud and agent, and 'Ian' between the agent and the network. External interfaces between the two blocks are labeled: 'Ecc' between the two clouds, 'Eaa' between the two agents, and 'Enn' between the two infrastructure networks. A reference code 'Y.3047(24)' is at the bottom right. + +**Figure 10-1 – Interfaces for network awareness based on cloud computing** + +It can be seen from Figure 10-1 that there are the following two internal interfaces: + +- Iac: an interface between the awareness agent and the awareness cloud. +- Ian: an interface between the awareness agent and the infrastructure network. + +There are also the following three external interfaces: + +- Ecc: an interface between the awareness cloud and the peer awareness cloud. +- Eaa: an interface between the awareness agent and the peer awareness agent. +- Enn an interface between the infrastructure network and the infrastructure network. + +## **10.2 Internal interfaces for network awareness based on cloud computing** + +Regarding interface Iac, the following requirements need to be supported: + +- Awareness agent is required to have the capability to provide necessary information to the awareness cloud through the Iac interface. +- Awareness cloud and awareness agent are recommended to have the capability to negotiate the feature (for example data category, data sending speed and data structure, etc.) of the data provided through the Iac interface. +- Iac interface is required to have the capability to guarantee the data transport on it is reliable. +- Iac interface is required to have the capability to guarantee the data transport on it is secure. +- Iac interface is required to support at least one of the security transport protocols such as quick UDP Internet connections (QUIC), transport layer security (TLS), and so on. + +Regarding interface Ian, the following requirements need to be supported: + +- Awareness agent and infrastructure network are recommended to have the capability to negotiate the data transport feature (for example data category, data sending speed and data structure, etc.) of the data provided through the Ian interface. +- Ian interface is required to have the capability to guarantee that the data transported on it is reliable. +- Ian interface is required to have the capability to guarantee that the data transported on it is secure. + +## **10.3 External interfaces for NACC** + +Regarding the interface Ecc, the following requirements need to be supported: + +- Two peers of interface Ecc are recommended to have the capability to negotiate the data transport feature (for example data category, data sending speed and data structure, etc.) of the data provided through the interface. +- Ecc interface is required to have the capability to guarantee that the data transported on it is reliable. +- Ecc interface is required to have the capability to guarantee that the data transported on it is secure. +- Ecc interface is required to support at least one of the security transport protocols such as QUIC, TLS and so on. + +Regarding interface Eaa, the following requirements need to be supported: + +- Eaa interface is required to have the capability to guarantee that the data transported on it is reliable. +- Eaa interface is required to have the capability to guarantee that the data transported on it is secure. +- Eaa interface is recommended to use QUIC transport protocol. + +Regarding interface Enn, the following requirements need to be supported: + +There are no special requirements related to interface Enn. + +## **11 Capability of network awareness based on cloud computing** + +## **11.1 Overview of the capability for network awareness based on cloud computing** + +Generally, NACC can support the following capabilities: + +- Network application/service awareness capability. +- Network status awareness capability. +- Network requirements awareness capability. +- Capability of other aspects for network awareness. +- Service providing awareness capability. + +Capability of NACC is based on the service provider information, network application/service information, network status information, network requirements information, and so on. + +The service provider information includes information about the service nodes deployed in the network, service node deployment location, the number of service connections, service node deployment mode (physical, virtual), etc. + +The network application/service information includes real-time information of application or services that are carried on the network. The network status information includes network topology, bandwidth, network device running status, etc. The network requirements information includes real-time requirements from the network users, etc. + +## **11.2 Network application/service awareness capability** + +NACC should support the following network application/service awareness capabilities: + +- The capability to be aware of the common-used applications/services. +- The capability to be aware of the malice applications/services. +- The capability to be aware of network service crossing multiple domains. +- The capability to be aware of emerging application/services. + +## **11.3 Network status awareness capability** + +The capability of network status awareness mainly includes the network service node status, network performance status (bandwidth utilization, processing delay and link delay, jitter, packet loss rate, etc.), network functional component (CPU, forwarding engine, storage, etc.). NACC should support the following capabilities related network status awareness: + +- Network node status awareness: being aware of the runtime status of the service node. +- Network node performance awareness: being aware of the runtime performance of the service node. +- Network status awareness methods support: to support some awareness methods such as in-band operations, administration and maintenance (OAM) detection, etc. +- Network status awareness policy table generation and update: based on the information on the network, the network status awareness policy table is calculated and generated. +- Network status awareness policy is generated according to the change of requirements. +- Network status fault detection and repair in case of failure. +- Scalable capability of network status awareness methods and capability of function extensibility. + +### **11.4 Network requirements awareness capability** + +NACC should support the following network requirements awareness capabilities: + +- The capability to be aware of the critical requirements of the network user. +- The capability to be aware of real-time change of the network requirements. +- The capability to be aware of common features of the network requirements from a group of network users. + +## **11.5 Other aspects of network awareness capability** + +NACC should support the following network awareness capabilities: + +- The capability to be aware of network resource utilities. +- The capability to be aware of network environment parameters. +- The capability to be aware of real-time changes in the network environment. + +### **11.6 Service providing awareness capability** + +The target of the network awareness functions is beneficial for the network to provide better service, NACC should support the following service-providing capabilities. + +- Service capability information collection: for example, NACC support to collect real-time service providing information. +- Capability for network real-time QoS awareness: being aware of how QoS changes with time. + +# **12 Security considerations** + +The mechanisms specified in [ITU-T Y.2704] address the security requirements of this Recommendation. In addition, entities and the information pertaining to the mechanisms specified in this Recommendation should be under protection against threats described in [ITU-T Y.2704] and [ITU-T F.747.10]. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global 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l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.3054 + +(05/2018) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Future networks + +# --- Framework for trust-based media services + +Recommendation ITU-T Y.3054 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## **FUTURE NETWORKS** + +**Y.3000–Y.3499** + +### CLOUD COMPUTING + +Y.3500–Y.3999 + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3054 + +# Framework for trust-based media services + +## Summary + +Content is produced, shared, exchanged and consumed through various media services. However, media services are associated with many inherent risks. In order to minimize unexpected risks and to maximize the survivability of media services, trust can be used to evaluate and verify that entities involved in media services are working in expected ways. Trust-based media services aim to restrain untrustworthy users from behaving maliciously, as well as being robust to unexpected executions and failures with a certain level of predictability and reliability. + +Thus, Recommendation ITU-T Y.3054 provides a framework for trust-based media services. Recommendation ITU-T Y.3054 identifies inherent risks in existing media services and describes the necessity for trust-based media services. After identifying functional requirements, the Recommendation describes components and a functional architecture for trust-based media services. Finally, trust-based content consumption and sharing services are introduced along with a trust analysis mechanism for trust-based media services. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3054 | 2018-05-29 | 13 | 11.1002/1000/13609 | + +## Keywords + +Functional architecture, media service, requirements, trust. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +### INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2018 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|--------------------------------------------------------------------------------------------|-------------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of trust-based media services ..... | 2 | +| | 6.1 Risks in media services ..... | 2 | +| | 6.2 Necessity for trust-based media services..... | 3 | +| 7 | Requirements for trust-based media services ..... | 4 | +| | 7.1 Requirements for trust data collection..... | 4 | +| | 7.2 Requirements for trust analysis ..... | 4 | +| | 7.3 Requirements for applying trust to trust-based media services..... | 4 | +| | 7.4 Requirements for operating and managing trust-based media services ..... | 4 | +| 8 | Architectures for trust-based media services..... | 5 | +| | 8.1 Trust agent..... | 6 | +| | 8.2 Trust information and management system ..... | 6 | +| | 8.3 Trust service enabler..... | 7 | +| 9 | Trust analysis and service provisioning for trust-based media services..... | 8 | +| | 9.1 Trust analysis mechanism for trust-based media services..... | 8 | +| | 9.2 Service provisioning for trust-based media services..... | 8 | +| 10 | Security considerations..... | 9 | +| | Appendix I – Use cases of trust-based media services ..... | 10 | +| | I.1 Trust-based content consumption services..... | 10 | +| | I.2 Trust-based content-sharing services ..... | 13 | +| | Appendix II – Calculating a trust index for trust-based content consumption services ..... | 16 | +| | II.1 The concept of a trust index for trust-based media services ..... | 16 | +| | II.2 Calculation of trust index ..... | 17 | +| | Bibliography..... | 19 | + + + +## Recommendation ITU-T Y.3054 + +## Framework for trust-based media services + +## 1 Scope + +In order to minimize unexpected risks and to maximize the survivability of media services, trust can be used to evaluate and verify that entities involved in media services are working in expected ways. Trust-based media services aim to restrain untrustworthy users from behaving maliciously, as well as being robust to unexpected executions and failures with a certain level of predictability and reliability. Thus, this Recommendation provides a framework for trust-based media services. The scope of this Recommendation includes: + +- identifying risks of media services and the necessity of trust-based media services; +- functional requirements for trust-based media services; +- components and a functional architecture for trust-based media services; +- trust analysis mechanism, trust-based content consumption and sharing services. + +Detailed use cases for trust-based media services are described in Appendix I and calculating trust index is described in Appendix II. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3052] Recommendation ITU-T Y.3052 (2017), *Overview of trust provisioning for information and communication technology infrastructures and services*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 trust** [ITU-T Y.3052]: The measureable belief and/or confidence which represents accumulated value from history and the expecting value for the future. + +NOTE – Trust is quantitatively and/or qualitatively calculated and measured. Trust is used to evaluate values of entities, value-chains among multiple stakeholders and human behaviours, including decision making. + +**3.1.2 content** [b-ITU-T H.780]: A combination of audio, still image, graphic, video, or data. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 media service**: A service providing the electronic communication tools that are used to store, aggregate, share, discuss and deliver various types of content. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-------------------------------------------| +| API | Application Programming Interface | +| ID | Identifier | +| idM | identification Manager | +| OAM | Operations, Administration and Management | +| PID | Pseudo-Identity | +| SNS | Social Networking Service | +| TA | Trust Agent | +| TIMS | Trust Information Management System | +| TSE | Trust Service Enabler | +| UI | User Interface | +| URL | Uniform Resource Locator | + +## **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# **6 Overview of trust-based media services** + +### **6.1 Risks in media services** + +Media services store, aggregate, share, discuss and deliver various types of content. Recently, the volume of content has been enormously increasing and users participate in multiple media services (e.g., mail, contents delivery services or social networking services (SNSs)). Basically, the media service environment consists of four major entities (i.e., the media service itself, content, sender and receiver) as shown in Figure 6-1. + +When a sender and a receiver have content use interactions on the media service, there are various inherent risks associated with each entity. + +- Risks of media service: malicious attack, device infection, etc. +- Risks of content: leakage of sensitive content, unidentified content, infected content, manipulated content address, etc. +- Risks of users (i.e., sender and receiver): privacy leakage, unintended redistribution, reproduction of content, malicious comments on contents, other malicious behaviour by the user, etc. + +![Figure 6-1: Inherent risks in media services. The diagram shows a flow from Sender A to a Media service (Content) to Receiver B. Below this, two columns list major concerns and risks. The left column addresses 'Is it risky to send or post it?' with risks like forwarding to the wrong person, unintended redistribution, and leakage of sensitive content. The right column addresses 'Is it risky to receive or access it?' with risks like unidentified or infected content, manipulated URLs, device infection, malicious attacks, and leakage of personal information.](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +| Major concern | Is it risky to send or post it? | Is it risky to receive or access it? | +|---------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Risk |
  • – Forwarding email to the wrong person by mistake
  • – Unintended redistribution and reproduction of content
  • – Leakage of sensitive content
|
  • – Unidentified or infected content
  • – Manipulated URL
  • – Device infection
  • – Malicious attack
  • – Leakage of personal information
| + +Y.3054(18)\_F6-1 + +Figure 6-1: Inherent risks in media services. The diagram shows a flow from Sender A to a Media service (Content) to Receiver B. Below this, two columns list major concerns and risks. The left column addresses 'Is it risky to send or post it?' with risks like forwarding to the wrong person, unintended redistribution, and leakage of sensitive content. The right column addresses 'Is it risky to receive or access it?' with risks like unidentified or infected content, manipulated URLs, device infection, malicious attacks, and leakage of personal information. + +**Figure 6-1 – Inherent risks in media services** + +Since these inherent risks cause various problems, mitigating them is one of the most urgent and significant challenges in the media services environment. However, it is hard to mitigate risks of a sender and a receiver when they have content interactions (e.g., using text, images, short clips, movies and advertisements) on the media service because they do not have enough information about each other. + +Although those risks significantly threaten the media service environment, conventional media service providers have not addressed these problems adequately. While several feasible solutions can mitigate the risks, current approaches are limited. A new approach is to apply the concept of trust defined in [ITU-T Y.3052] to minimize risks to media services. + +### 6.2 Necessity for trust-based media services + +Although it is critical for media service providers to build a reliable and secure content usage environment, to date they rely on limited capabilities providing rating information and comments on content. However, these capabilities are insufficient to identify potential risks due to inadequate measurements and analysis. + +To overcome those limitations, this Recommendation describes trust-based media services that evaluate and utilize trust by modelling, collecting and analysing user data from multiple services. Figure 6-2 presents a conceptual approach to trust-based media services. + +![Figure 6-2: A conceptual approach to trust-based media services. The diagram illustrates a trust analysis process. At the top, a 'Trust analysis' box (with a magnifying glass icon) contains two steps: (A) Measuring trust of sender and receiver by analyzing various data from multiple services, and (B) data from multiple services. Below this, a central 'Media service' box (with a play button icon) shows 'Content' being sent from 'Sender A' to 'Receiver B'. 'Sender A' and 'Receiver B' are represented by circles, and they are connected to 'Other services used by sender' and 'Other services used by receiver' respectively, which are shown as dashed boxes containing grey squares. Arrows indicate data flow: dashed arrows from the 'Other services' boxes to the 'Trust analysis' box represent 'Data collection for trust analysis'; a solid arrow from the 'Trust analysis' box to the 'Media service' box represents 'Trust analysis result application'; and double-headed arrows between 'Sender A' and 'Media service', and between 'Media service' and 'Receiver B', represent 'Media service interactions'. A legend at the bottom clarifies the symbols: a dashed arrow for data collection, a solid arrow for result application, a double-headed arrow for interactions, a circle for media service users, and a grey square for other services used by users.](0b87abe67b21a93777287649c33e755d_img.jpg) + +Y.3054(18)\_F6-2 + +Figure 6-2: A conceptual approach to trust-based media services. The diagram illustrates a trust analysis process. At the top, a 'Trust analysis' box (with a magnifying glass icon) contains two steps: (A) Measuring trust of sender and receiver by analyzing various data from multiple services, and (B) data from multiple services. Below this, a central 'Media service' box (with a play button icon) shows 'Content' being sent from 'Sender A' to 'Receiver B'. 'Sender A' and 'Receiver B' are represented by circles, and they are connected to 'Other services used by sender' and 'Other services used by receiver' respectively, which are shown as dashed boxes containing grey squares. Arrows indicate data flow: dashed arrows from the 'Other services' boxes to the 'Trust analysis' box represent 'Data collection for trust analysis'; a solid arrow from the 'Trust analysis' box to the 'Media service' box represents 'Trust analysis result application'; and double-headed arrows between 'Sender A' and 'Media service', and between 'Media service' and 'Receiver B', represent 'Media service interactions'. A legend at the bottom clarifies the symbols: a dashed arrow for data collection, a solid arrow for result application, a double-headed arrow for interactions, a circle for media service users, and a grey square for other services used by users. + +**Figure 6-2 – A conceptual approach to trust-based media services** + +# **7 Requirements for trust-based media services** + +This clause identifies functional requirements for trust-related capabilities in order to support trust-based media services. + +### **7.1 Requirements for trust data collection** + +- Collecting data in multiple services: Collection of internal data (e.g., media usage) from the media service as well as external data (e.g., social activities) from various services (i.e., SNS, etc.) is required. +- Pre-processing of collected data: It is recommended that the collected data be refined and filtered for pre-processing. +- Transferring collected data: Transfer of collected data into components for analysing trust in secured ways is required. + +### **7.2 Requirements for trust analysis** + +- Trust evaluation: Evaluation of trust by analysing data by various methods is required. +- Quantization of trust: For trust-based media services, calculation of a specific value from various trust information sources (i.e., a real number) is required. +- Analysis of heterogeneous data: Processing and analysis of heterogeneous data, because the data collected varies in properties, is required. +- Data repository: It is recommended that trust information be stored in a repository to keep track of trust over time. +- Interface for trust information: Provision of an interface (i.e., an application programming interface (API), etc.) between service or application and trust information analysis entities to exchange trust information is required. +- Maintenance of trust-relevant information: Monitoring and modification of trust information seamlessly, because trust information is valid only for a specific time period and can change as time goes on, is required. + +### **7.3 Requirements for applying trust to trust-based media services** + +- Applying analysed trust to content: The granting by a media service provider to users of appropriate rights of access, downloading and reacting to content in accordance with trust is required. +- Dynamic authentication: A media service provider is required to apply dynamic authentication based on evaluated trust, which varies with time. +- Initiating media usage right: It is recommended that initial trust be granted for media content usage rights to a new user by a media service provider. + +### **7.4 Requirements for operating and managing trust-based media services** + +- Identifier (ID) management: Trust-based media services are required to issue and manage unique IDs to identify users and respond to requests for trust. +- Operations, administration and management (OAM) of trust information: A service provider is required to operate and maintain entities and related information involved in trust-based media services. +- User-friendly user interface (UI): Support of a user-friendly UI efficiently to handle complicated interactions between users and services can be optionally needed. + +## 8 Architectures for trust-based media services + +In order to provide trust-based media services, a legacy media service provider needs to be connected to a trust information management platform consisting of: 1) a trust information management system (TIMS); 2) a trust agent (TA); and 3) a trust service enabler (TSE). Trust-relevant functionalities can be added to traditional media services by connecting the media service to a trust information management platform. Figure 8-1 illustrates the components of trust-based media services. + +![Figure 8-1: Components of trust-based media services. The diagram shows a central 'Content Media service' box with a play button icon. It is connected to a 'Sender' (A) and a 'Receiver' (B). The Sender and Receiver are represented by circles. The Sender is connected to a dashed box labeled 'Other services used by sender' which contains three gray squares. The Receiver is connected to a dashed box labeled 'Other services used by receiver' which contains three gray squares. Above the Sender and Receiver are two 'Trust agent' boxes. Dashed arrows labeled 'Data from other services' point from the Sender's services box to its Trust agent, and from the Receiver's services box to its Trust agent. Dashed arrows labeled 'Media service specific data' point from the Sender and Receiver to their respective Trust agents. A solid double-headed arrow labeled 'Trust information' connects the two Trust agents. A solid double-headed arrow labeled 'Dynamic authentication' connects the Trust agents to a 'Trust service enabler' box. A solid double-headed arrow connects the Trust service enabler to the 'Trust information management system' (TIMS) box at the top. A solid double-headed arrow connects the TIMS to the Trust agents. A solid double-headed arrow connects the Sender and Receiver to the 'Content Media service' box. A legend at the bottom explains the symbols: dashed arrows for data collection, solid arrows for trust analysis result application, double-headed arrows for media service interactions, circles for media service users, gray squares for other services used by users, and gray rectangles for components for trust-based media service. The text 'Y.3054(18)_F6-2' is at the bottom right.](e9314c83043183351ed74908e9bf2f90_img.jpg) + +Y.3054(18)\_F6-2 + +Figure 8-1: Components of trust-based media services. The diagram shows a central 'Content Media service' box with a play button icon. It is connected to a 'Sender' (A) and a 'Receiver' (B). The Sender and Receiver are represented by circles. The Sender is connected to a dashed box labeled 'Other services used by sender' which contains three gray squares. The Receiver is connected to a dashed box labeled 'Other services used by receiver' which contains three gray squares. Above the Sender and Receiver are two 'Trust agent' boxes. Dashed arrows labeled 'Data from other services' point from the Sender's services box to its Trust agent, and from the Receiver's services box to its Trust agent. Dashed arrows labeled 'Media service specific data' point from the Sender and Receiver to their respective Trust agents. A solid double-headed arrow labeled 'Trust information' connects the two Trust agents. A solid double-headed arrow labeled 'Dynamic authentication' connects the Trust agents to a 'Trust service enabler' box. A solid double-headed arrow connects the Trust service enabler to the 'Trust information management system' (TIMS) box at the top. A solid double-headed arrow connects the TIMS to the Trust agents. A solid double-headed arrow connects the Sender and Receiver to the 'Content Media service' box. A legend at the bottom explains the symbols: dashed arrows for data collection, solid arrows for trust analysis result application, double-headed arrows for media service interactions, circles for media service users, gray squares for other services used by users, and gray rectangles for components for trust-based media service. The text 'Y.3054(18)\_F6-2' is at the bottom right. + +**Figure 8-1 – Components of trust-based media services** + +- A **TIMS** is responsible for modelling and evaluating trust by collecting data from TAs. Based on analysis of heterogeneous data from TAs, a TIMS measures trust and represents it as an explicit value. +NOTE – A TIMS can utilize multiple trust analysis methodologies, e.g., calculation, machine learning and natural language processing. A media service provider can select the most appropriate analysis method for its purpose. +- **TAs** collect various internal and external data from the media service itself and other services. Because users use multiple services, it is beneficial to gain abundant data to analyse user trust accurately. For efficient trust analysis, TAs conduct pre-treatment processing of data, and then deliver the data into a TIMS in a secure way. +- A **TSE** provides trust-adapting capabilities to media servers. A TSE also provides various APIs for TAs and TIMS to call functions. In this manner, legacy media service providers request a TIMS to analyse trust through a TSE. + +A functional architecture for trust-based media services is presented in Figure 8-2. Each component of a TA, TIMS and TSE provides functional modules aligning with specified requirements. This architecture is developed by referring to [b-CG-Trust-TR]. + +![Figure 8-2 – Functional architecture of trust-based media services. The diagram shows the interaction between a User, Other services, Media service, Trust agent, Trust service enabler, and Trust information management system (TIMS).](d4af765160d04ecef538e5066006dc77_img.jpg) + +The diagram illustrates the functional architecture of trust-based media services. It shows the following components and their interactions: + +- User** and **Other service 1**, **Other service 2**, ..., **Other service n** provide **Trust-relevant data collection** to the **Trust agent**. +- Media service** interacts with the **Trust agent** and the **Trust service enabler**. +- Trust agent** contains: + - Trust-relevant media data collector + - Trust-relevant external data collector + - Trust data filter and preprocessor + - Trust data adapters +- Trust service enabler** contains: + - Trust linking + - Trust-based content access controller + - Trust-based content assistant + - Trust APIs +- Trust information management system (TIMS)** contains: + - Trust indicator evaluation**: + - Trust attributes evaluator + - Trust metric extractor + - Trust indicators identification + - Trust index computation**: + - Trust model + - Trust index analysis engine + - Trust reasoner + - Trust data store**: + - Trust idM + - Trust data gathering interfaces + - Trust data repository + - Trust privacy handler + - Trust information OAM**: + - Operation, administration, and management + - Trust information visualization + +Arrows indicate data flow: from User and Other services to Trust agent; from Trust agent to Trust service enabler; from Trust service enabler to Media service (labeled 'Apply trust index'); and bidirectional communication between Trust agent and TIMS. + +Y.3054(18)\_F8-2 + +Figure 8-2 – Functional architecture of trust-based media services. The diagram shows the interaction between a User, Other services, Media service, Trust agent, Trust service enabler, and Trust information management system (TIMS). + +**Figure 8-2 – Functional architecture of trust-based media services** + +### 8.1 Trust agent + +A TA is responsible for collecting trust-related data from multiple services by the following modules. + +- **Trust-relevant media data collector:** This is responsible for gathering media specific data required for measuring trust attributes from the media service. +- **Trust-relevant external data collector:** This is responsible for gathering external data from other services for measuring trust attributes. +- **Trust data filtering and pre-processor:** This is used to refine trust data sets without including other data that can be repetitive, irrelevant or even sensitive for trust evaluation. +- **Trust data adapter:** This is responsible for linking collected data to a TIMS, as an internal interface. It conducts a data synchronization process to establish consistency among data flowing from a TA toward a TIMS. + +NOTE – Because raw data from various services have different data characteristics, a trust data adapter adjusts collected data for a TIMS. + +### 8.2 Trust information and management system + +A TIMS consists of four components of trust indicator evaluation, trust data store, trust index computation and trust information OAM. Each component consists of different modules to satisfy functional requirements. + +#### 1) Trust indicator evaluation + +- **Trust attributes evaluator:** This is used to evaluate trust attributes defined in a trust model. + +NOTE 1 – Trust attributes are used as gradients to generate trust indicators, such as ability, benevolence and integrity (Refer to [ITU-T Y.3052]). + +- **Trust metric extractor:** It recognizes trust characteristics, accounts for factors influencing trust and determines proper trust metrics for the trust modelling and reasoning by analysing the metadata or semantic ontologies. + +- **Trust indicators identification:** This is used for identifying trust indicators by referring to trust metric extractor. + +#### 2) Trust data store + +- **Trust identification manager (idM):** This is used to protect and identify users. It generates a pseudo-identity (PID) for each user and identifies the PID when identification is required to collect and analyse trust data by collaborating with a trust privacy handler. +- **Trust data gathering interface:** This is used to interact with a trust data adapter by transforming data collected from a trust data adapter into a trust data repository. +- **Trust data repository:** This is responsible for storing raw data and analysed trust value. +- **Trust privacy handler:** This is used to encrypt and decrypt user data to protect private data stored in a trust data repository at the request of an idM. + +NOTE 2 – To evaluate trust, the necessary data is loaded from this repository and is transferred to a trust indicator evaluation module. + +#### 3) Trust index computation + +- **Trust model:** This is used to specify, annotate and build trust relationships between users for the purpose of calculating trust data. +- **Trust index analysis engine:** This is used to calculate a trust index and set rules based on a trust model. It cooperates and communicates with the trust data repository. +- **Trust reasoner:** This is used to infer a level of trust by means of a trust index based on a trust model. + +NOTE 3 – Because a trust index can change with time and circumstantial context, a trust reasoning method must be able to handle such dynamics of trust. Trust computation happens when the state of a user is changed or an interaction occurs between users. + +#### 4) Trust information OAM + +- **Operations, administration and management:** This is used to operate, administer and manage TIMS for both media service providers and trust information providers. +- **Trust information visualization:** This is used to visualize trust information on a UI to correspond to various requests from media services. + +### 8.3 Trust service enabler + +A TSE is responsible for granting a user appropriate rights to content depending on the trust evaluated. A TSE directly controls a user's rights to accessing, sharing, protecting and reacting rights on specific content. + +- **Trust linking:** This is a module capable of identifying an encrypted ID in collaboration with a trust idM. +- **Trust-based content access controller:** This is used to grant a user appropriate rights to content in accordance with a combination of information about the content creator's rules, the service provider's trust policies and an evaluated trust index. +- **Trust-based content assistant:** This is used to attach a trustworthy tag to content and to display trust information about content. +- **Trust APIs:** This is used to respond to various requests from media service providers and users. APIs allow service operators to utilize trust information for specific purposes. + +## 9 Trust analysis and service provisioning for trust-based media services + +### 9.1 Trust analysis mechanism for trust-based media services + +While trustworthiness and trust have been treated as subjective concepts, trust-based media services utilize objectified trust, which is determined by a set of trust indicators computed by collected data, as described in [ITU-T Y.3052]. + +Figure 9-1 shows the objectified trust evaluation and utilization process. When users make a decision (e.g., user A – sending content; user B – clicking a uniform resource locator (URL)) about content in a media service, a trust-based media service grants a user (trustee) appropriate rights (access, distribution, reaction and tagging) to content with a trustee's objectified trust (user A). Simultaneously, a trustor can refer to the objectified trust to make a decision. + +![Figure 9-1: Objectified trust evaluation and utilization process. The diagram is divided into two main sections: 'Trust evaluation' and 'Results of evaluated trust'. In the 'Trust evaluation' section, 'User A (Trustee)' provides 'Internal data from the media service' and 'External data from other services'. These are processed through 'Extracting data' to identify 'Trust indicators' (Ability, Benevolence, Integrity, and Other factors). These indicators are then used in 'Evaluating trust' to produce 'Objectified trust'. In the 'Results of evaluated trust' section, 'Objectified trust' is used by the 'Media service' to 'Granting appropriate right on content' and by 'User B (trustor)' to 'Referring to trust for decision'. A reference code 'Y.3054(18)_F9-1' is located at the bottom right of the diagram area.](bd671b21db63e6fdb2196e9b18502aac_img.jpg) + +Y.3054(18)\_F9-1 + +Figure 9-1: Objectified trust evaluation and utilization process. The diagram is divided into two main sections: 'Trust evaluation' and 'Results of evaluated trust'. In the 'Trust evaluation' section, 'User A (Trustee)' provides 'Internal data from the media service' and 'External data from other services'. These are processed through 'Extracting data' to identify 'Trust indicators' (Ability, Benevolence, Integrity, and Other factors). These indicators are then used in 'Evaluating trust' to produce 'Objectified trust'. In the 'Results of evaluated trust' section, 'Objectified trust' is used by the 'Media service' to 'Granting appropriate right on content' and by 'User B (trustor)' to 'Referring to trust for decision'. A reference code 'Y.3054(18)\_F9-1' is located at the bottom right of the diagram area. + +**Figure 9-1 – Objectified trust evaluation and utilization process** + +NOTE – A detailed explanation of the trust computation process is given in Appendix II. + +### 9.2 Service provisioning for trust-based media services + +In general, there are two types of media services – closed and open. + +- Closed media service: a content creator (sender) specifies receivers (e.g., email). After receiving permission to enter a closed media service, there are relatively low restrictions on content usage rights. Thus, potential risks exist in a closed media service. +- Open media service: content is open to anyone in an open media service (e.g., a blog). Because content in an open media service is not restricted, content involves some level of risk. + +#### 9.2.1 Trust-based content consumption service + +The service covers a closed media service. For a content sender (trustor), the rights of a receiver (trustee) to content can be adjusted by trust as follows. + +- **Access right:** Even though a content creator (trustor) sends content to multiple users (trustees), only trustworthy receivers can access the content. If the content is forwarded to another user (trustee) regardless of the sender's intention, only trustworthy users can access the content based on the trust of the original sender (trustor) towards the forwarded user. + +For a content receiver (trustor), the right of a sender (trustee) to content can be adjusted by trust as follows. + +- **Trustworthy tag:** The service automatically provides trust information by attaching a "trustworthy" tag to the content representing the level of trust in the sender (trustee). Before accessing content, a receiver can refer to trust information. +- **Distribution right:** The content distribution right of an untrustworthy sender is restricted when an untrustworthy sender distributes content continuously. + +#### 9.2.2 Trust-based content-sharing service + +The service covers an open media service. For a content creator (trustor), the rights of a content consumer (trustee) to content can be adjusted by trust as follows: + +- **Reaction right:** Content reaction rights depend on evaluated trust. An untrustworthy consumer (trustee) can neither add and reply to comments nor redistribute the content. However, trust does not influence the access right to the content. Even untrustworthy consumers can access the content on an open media service. + +For a content consumer (trustor), the rights of a content creator (trustee) to content can be adjusted by trust as follows: + +- **Trustworthy tag:** The service automatically provides trust information by attaching a "trustworthy" tag to content representing the level of trust in the sender (trustee). By referring to this information, users can access content selectively. +- **Distribution right:** The content distribution right of an untrustworthy content creator is restricted when that creator tries to share content continuously. + +NOTE – Detailed use cases of services are described in Appendix I. + +## 10 Security considerations + +Trust-based media services aim to restrain untrustworthy users from behaving maliciously, as well as being robust to unexpected executions and failures with a certain level of predictability and reliability. To satisfy trust for media services, the media service provider should deliver security for building, managing and operating trust-based media services. Detailed security requirements and mechanisms can be based on [b-ITU-T Y.2701] and [b-ITU-T X.509]. In addition, privacy protection for user data should be guaranteed because trust-based media services collect and utilize privacy-sensitive data to analyse trust. + +# Appendix I + +## Use cases of trust-based media services + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Trust-based content consumption services + +#### I.1.1 Motivation + +As content sharing has emerged as a popular application; users can easily share content with others. However, the increasing number of untrustworthy users reduces the credibility of shared content. Also, malicious users can distribute original content (e.g., private photos, videos or documents) without the permission of creators, and it sometimes causes problems. Utilizing trusted information is an effective solution to problems, by protecting content from being recklessly distributed and abused. + +#### I.1.2 Overview + +Figure I.1 is an overview of trust-based content consumption services. As a TIMS is a cloud computing service, it can be easily applied to various existing media services. + +![Figure I.1: Overview of trust-based content consumption services. The diagram illustrates a flow where a Sender sends content to a Media service (E-mail). This service then distributes the content to Receiver #1 and an unknown receiver. Receiver #1 can further share the content with another Media service (E-mail), which then distributes it to Receiver #2 and another unknown receiver. A Trust information management system (TIMS) is shown at the bottom, connected to the Media services and the unknown receivers via dashed lines, indicating its role in analyzing trust.](b90144cfbb81a2d610d920240fda689d_img.jpg) + +The diagram illustrates the flow of content consumption in a trust-based system. A Sender (represented by a blue stick figure) sends content (represented by a document icon) to a Media service (E-mail), depicted as a server icon. This service then distributes the content to Receiver #1 (blue stick figure) and an unknown receiver (black stick figure with a question mark). Receiver #1 can further share the content with another Media service (E-mail), which then distributes it to Receiver #2 (blue stick figure) and another unknown receiver. A Trust information management system (TIMS), shown as a cloud icon, is connected to the Media services and the unknown receivers via dashed lines, indicating its role in analyzing trust. + +Figure I.1: Overview of trust-based content consumption services. The diagram illustrates a flow where a Sender sends content to a Media service (E-mail). This service then distributes the content to Receiver #1 and an unknown receiver. Receiver #1 can further share the content with another Media service (E-mail), which then distributes it to Receiver #2 and another unknown receiver. A Trust information management system (TIMS) is shown at the bottom, connected to the Media services and the unknown receivers via dashed lines, indicating its role in analyzing trust. + +Y.3054(18)\_FI.1 + +**Figure I.1 – Overview of trust-based content consumption services** + +In closed media service, a sender can send an e-mail with various content types (e.g., text, image, video clip or URL) to any designated receiver. All receivers can open the e-mail and share the content it contains. If one receiver forwards the e-mail to others with attached content, then they are also able to share and redistribute content created by the original sender without the original sender's permission. + +From the sender's perspective, trust in a receiver can be analysed by a TIMS from e-mail, SNSs and other services. Then, trust is utilized to determine whether to grant permission to access content. Except for the e-mail service described in the previous paragraph, various applications related to open media service (e.g., chatting or messenger services and peer-to-peer file sharing) are described in clause I.2 as trust-based content-sharing services. + +#### I.1.3 Information flow + +Figure I.2 depicts information flow in a trust-based content consumption service for a sender using an e-mail application as an example. Specifically, a trust-based content consumption service analyses trust in the receiver by the sender. Because receivers can forward content to other users regardless of the sender's intention, the service grants access rights to content to receivers based on their trust, which is analysed by a TIMS. + +![Sequence diagram showing information flow in a trust-based content consumption service for senders. The diagram involves five participants: Sender (creator/owner of content), Media service (E-mail), Trust information and management system, Receiver #1, and Receiver #2. The process starts with the Sender sending an e-mail with media content to the Media service. The Media service stores the content and notifies Receiver #1. Receiver #1 requests the content, and the Media service queries the Trust information and management system for trust information about Receiver #1. The system responds, and the Media service allows Receiver #1 to access the content. Receiver #1 then forwards the e-mail to Receiver #2. The Media service notifies Receiver #2, who requests the content. The Media service queries the Trust information and management system for trust information about Receiver #2. The system responds, and the Media service does not allow Receiver #2 to access the content.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +``` + +sequenceDiagram + participant Sender as Sender +(creator/owner of content) + participant Media as Media service +(E-mail) + participant TMS as Trust information and +management system + participant R1 as Receiver #1 + participant R2 as Receiver #2 + + Sender->>Media: Send e-mail to Receiver #1 +with media content + Note over Media: Store content + Media->>R1: Notification of e-mail + R1->>Media: Request for content + Media->>TMS: Query trust information + Note over TMS: Analyse sender's trust to Receiver #1 + TMS->>Media: Response trust information + Media->>R1: Allow Receiver #1 to +access content + R1->>R2: Forward e-mail to friend +(Receiver #2) + Media->>R2: Notification of e-mail + R2->>Media: Request for content + Media->>TMS: Query trust information + Note over TMS: Analyse sender's trust to Receiver #2 + TMS->>Media: Response trust information + Media->>R2: NOT allow Receiver #2 +to access content + +``` + +Y.3054(18)\_F1.2 + +Sequence diagram showing information flow in a trust-based content consumption service for senders. The diagram involves five participants: Sender (creator/owner of content), Media service (E-mail), Trust information and management system, Receiver #1, and Receiver #2. The process starts with the Sender sending an e-mail with media content to the Media service. The Media service stores the content and notifies Receiver #1. Receiver #1 requests the content, and the Media service queries the Trust information and management system for trust information about Receiver #1. The system responds, and the Media service allows Receiver #1 to access the content. Receiver #1 then forwards the e-mail to Receiver #2. The Media service notifies Receiver #2, who requests the content. The Media service queries the Trust information and management system for trust information about Receiver #2. The system responds, and the Media service does not allow Receiver #2 to access the content. + +**Figure I.2 – Information flow in a trust-based content consumption service for senders** + +The interaction shown in Figure I.2 can be described as follows: + +- 1) a sender sends content to receiver #1 (No. 1); +- 2) a media service (e-mail service) stores the attached content and informs receiver #1 about the receipt of the e-mail; +- 3) receiver #1 requests to download content, and the media service requests trust information about receiver #1 (i.e., sender's trust toward receiver #1) to a TIMS; +- 4) the TIMS responds to the request for media service by providing trust information that is analysed by data and information collected from various data sources (i.e., e-mail, SNSs, etc.); +- 5) if measured trust in receiver #1 is greater than the criterion level, the media service allows receiver #1 to access content based on the response from the TIMS; +- 6) receiver #1 forwards content to receiver #2 to share the contained content, and the media service informs receiver #2 about the receipt of the content; +- 7) on receiving the e-mail, receiver #2 requests content, and the media service requests trust information about receiver #2 (i.e., trust of the sender in receiver #2) to the TIMS; +- 8) a TIMS analyses the trust information about receiver #2 and responds to the media service request; + +- 9) if measured trust in receiver #2 is greater than the criterion level, the media service allows receiver #2 to access the content – if not, media service is denied. + +On the other hand, from the receiver's perspective, it is risky to access content from a suspicious or unknown sender. Figure I.3 depicts an information flow in a trust-based content consumption service for the receiver using an e-mail application as an example. Specifically, a trust-based content consumption service analyses trust in a sender by a receiver. Based on the analysis of trust in the sender, the content is tagged by "trustworthy". Even though trust in the sender is less than the criterion level, receivers can still access content. As such, the media service intends to minimize intervention in content flow because the service provides users with an option to access received content from an untrustworthy sender. + +![Sequence diagram showing the information flow in a trust-based content consumption service for receivers.](dfe556fea00682b09a59427aaf72051c_img.jpg) + +``` +sequenceDiagram + participant Sender as Sender (creator of content) + participant Media as Media service (E-mail) + participant TIMS as Trust information and management system + participant Receiver as Receiver #1 + + Sender->>Media: Send e-mail to Receiver #1 with media content + Note over Media: Store content + Media->>Receiver: Notification of e-mail + Receiver->>Media: Request for content + Media->>TIMS: Query trust information + Note over TIMS: Analyse sender's trust to Receiver #1 + TIMS->>Media: Response trust information + Note over Media: Put trustworthy tag on the content + Media->>Receiver: Allow Receiver #1 to access content with the tag +``` + +The diagram illustrates the interaction between four entities: Sender (creator of content), Media service (E-mail), Trust information and management system, and Receiver #1. The process begins with the Sender sending an e-mail to Receiver #1 via the Media service. The Media service then stores the content and notifies Receiver #1. Upon receiving the notification, Receiver #1 requests the content from the Media service. The Media service then queries the Trust information and management system for trust information about the sender. The system analyzes the sender's trust to Receiver #1 and responds with the measured trust information. The Media service then puts a trustworthy tag on the content and allows Receiver #1 to access the content with the tag. + +Y.3054(18)\_FI.3 + +Sequence diagram showing the information flow in a trust-based content consumption service for receivers. + +**Figure I.3 – Information flow in a trust-based content consumption service for receivers** + +The interaction shown in Figure I.3 can be described as follows: + +- 1) a sender sends content; +- 2) the media service requests information about trust in the sender in response to a receiver request; +- 3) a TIMS gathers data required to analyse trust from various services and analyses trust information; +- 4) the TIMS responds to a request from the media service by providing measured trust information about the sender; +- 5) based on the trust information, the media service attaches a trustworthy tag to the content; +- 6) a receiver can access the content with the tag. + +### I.2 Trust-based content-sharing services + +#### I.2.1 Motivation + +In trust-based content-sharing services, anyone can access content as long as a content creator does not impose restrictions. Even though content is open to anyone, the concept of trust is still required because content contains a certain level of risk. + +Accordingly, it is critical not to impose unnecessary restrictions on open media services because they are developed to share content with anyone. In this context, a trust-based content-sharing media service aims to minimize intervention determined by trust. + +From the perspective of a receiver (content consumer), contaminated, manipulated or illegal contents are major concerns. From the perspective of a sender (content producer), reputation attack, rating distortion and malicious threads are major concerns. + +#### I.2.2 Overview + +Figure I.4 is an overview of trust-based content-sharing services. From the content consumer perspective, content with a trustworthy tag can be useful. While any user can upload or post content in an open media service, it is beneficial to consumers if they can refer to trust information to avoid accessing infected, contaminated, manipulated or illegal contents. For this purpose, trust-based content-sharing services provide content producer trust information so that the media service can add a trustworthy tag to content. Based on trust indicated by the tag, consumers can access trustworthy content and avoid inherent risks in content consumption. If consumers want to see only trustworthy content, trust information about content producers is analysed and presented by interaction between the media service and a TIMS. + +From the content producer perspective, this media service prevents untrustworthy users from reacting to the content, since their major concerns are reputation attack, rating distortion and malicious threads. Reacting includes replying, rating and re-distributing. The media service prevents untrustworthy consumers reacting to the content. However, even untrustworthy consumers are still able to access the content (i.e., to watch or read it). + +![Figure I.4: Overview of trust-based content-sharing services. The diagram illustrates the flow of content and trust information between a Sender (Producer), a Media service, a Trust information management system (TIMS), and a Receiver (consumer).](40f30e4d577a17052f8b1e6dc802a0d8_img.jpg) + +The diagram illustrates the flow of content and trust information in a trust-based content-sharing service. It shows the following components and interactions: + +- Sender (Producer):** A person icon who uploads or posts content to the Media service. +- Media service:** A server icon that receives content from the Sender and provides content to the Receiver. It also interacts with the TIMS. +- Trust information management system (TIMS):** A cloud icon that manages trust information, interacting with the Media service. +- Receiver (consumer):** A person icon who consumes content from the Media service. + +Key actions and outcomes shown in the diagram: + +- The Sender (Producer) performs an "Upload/post" action, sending content to the Media service. +- The Media service can "Put 'Trustworthy' tag on the content" (indicated by a blue play button icon) or "Put 'Untrustworthy' tag on content" (indicated by an orange play button icon). +- The Media service and TIMS have a bidirectional dashed arrow connection, indicating interaction. +- The Receiver (consumer) performs a "Consume" action, receiving content from the Media service. +- Based on the trust tag, the Receiver can be "Able to react the content" (indicated by a black arrow) or "Unable to react the content" (indicated by a grey arrow). + +Y.3054(18)\_FI.4 + +Figure I.4: Overview of trust-based content-sharing services. The diagram illustrates the flow of content and trust information between a Sender (Producer), a Media service, a Trust information management system (TIMS), and a Receiver (consumer). + +**Figure I.4 – Overview of trust-based content-sharing services** + +#### I.2.3 Information flow + +Figure I.5 depicts information flow in a trust-based content-sharing service for content consumers, while Figure I.6 illustrates such flow for content producers. + +![Sequence diagram showing information flow in a trust-based content-sharing service. The participants are Sender (Producer), Media server, Trust information and management system, and Receiver (consumer). The process starts with the Sender uploading multimedia content to the Media server. The Media server then requests the sender's trust information from the Trust information and management system. The TMS analyzes the trust information and responds with trust information. The Media server then puts this trust information as a tag on the content. Finally, the Receiver consumes the content with regard to the trust information.](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +``` + +sequenceDiagram + participant Sender as Sender (Producer) + participant MediaServer as Media server + participant TMS as Trust information and management system + participant Receiver as Receiver (consumer) + + Sender->>MediaServer: Upload multimedia contents + activate MediaServer + MediaServer->>TMS: Request sender's trust + activate TMS + TMS->>MediaServer: Analyse sender's trust + TMS-->>MediaServer: Response trust information + deactivate TMS + MediaServer->>MediaServer: Put trust information tag on the content + deactivate MediaServer + MediaServer->>Receiver: Consume the contents with regard to trust information + deactivate MediaServer + +``` + +Y.3054(18)\_FI.5 + +Sequence diagram showing information flow in a trust-based content-sharing service. The participants are Sender (Producer), Media server, Trust information and management system, and Receiver (consumer). The process starts with the Sender uploading multimedia content to the Media server. The Media server then requests the sender's trust information from the Trust information and management system. The TMS analyzes the trust information and responds with trust information. The Media server then puts this trust information as a tag on the content. Finally, the Receiver consumes the content with regard to the trust information. + +**Figure I.5 – Information flow in a trust-based content-sharing service for content consumers** + +The interaction shown in Figure I.5 can be described as follows: + +- 1) the producer uploads content to a media service, and the media service stores content; +- 2) the media server requests trust information about the producer trust from a TMS; +- 3) the TMS gathers relevant data from various services (e.g., media services or SNSs) and analyses trust information; +- 4) the TMS responds to the request from the media service by providing measured trust information about the content producer; +- 5) based on the trust information, the media service attaches a trustworthy tag to the content; +- 6) consumers can refer to the tagged trust information when they consume content. + +NOTE – The media service has multiple options to utilize trust information. For example, the media service can prohibit untrustworthy producers for uploading content if the media service applies a strict regulation. + +![Sequence diagram showing the information flow in a trust-based content-sharing service. The diagram involves three participants: Consumer, Media server, and Trust information and management system (TIMS). The process starts with the Consumer accessing multimedia contents from the Media server. The Media server then consumes the content and requests the consumer's trust information from the TIMS. The TIMS analyzes the consumer's trust and responds with trust information. Based on this, the Media server grants the right of reaction to the content. Finally, the Media server informs the Consumer that untrustworthy consumers cannot react to the content.](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +``` + +sequenceDiagram + participant Consumer + participant Media server + participant TIMS as Trust information and management system + + Consumer->>Media server: Access multimedia contents + activate Media server + Media server->>Media server: Consume the content + Media server->>TIMS: Request consumer's trust + activate TIMS + TIMS->>TIMS: Analyse consumer's trust + TIMS-->>Media server: Response trust information + deactivate TIMS + Media server->>Media server: Grant the right of reaction to the content + Media server-->>Consumer: Untrustworthy consumer cannot react the content + deactivate Media server + +``` + +Y.3054(18)\_Fl.6 + +Sequence diagram showing the information flow in a trust-based content-sharing service. The diagram involves three participants: Consumer, Media server, and Trust information and management system (TIMS). The process starts with the Consumer accessing multimedia contents from the Media server. The Media server then consumes the content and requests the consumer's trust information from the TIMS. The TIMS analyzes the consumer's trust and responds with trust information. Based on this, the Media server grants the right of reaction to the content. Finally, the Media server informs the Consumer that untrustworthy consumers cannot react to the content. + +**Figure I.6 – Information flow in a trust-based content-sharing service for content producers** + +The interaction shown in Figure I.6 can be described as follows: + +- 1) a content consumer accesses the content; +- 2) the media service requests consumer trust information when the consumer wants to react to the content; +- 3) the TIMS gathers the data required to analyse trust from various services and analyses trust information; +- 4) the TIMS responds to the request from the media service by providing measured trust information about the content consumer; +- 5) based on the trust information, the media service grants the consumer right of reaction to the content; +- 6) only consumers to whom the reaction right has been granted can react to content. + +## Appendix II + +## Calculating a trust index for trust-based content consumption services + +(This appendix does not form an integral part of this Recommendation.) + +### II.1 The concept of a trust index for trust-based media services + +This appendix introduces an example of applying a trust index to closed media services. Although various methods of measuring trust exist, this appendix introduces a computational trust analysis method. Assuming that a trustor, user $i$ , want to determine whether it is safe to send an important e-mail to a trustee, user $j$ . In this situation, user $i$ can request a TMS to analyse trust in user $j$ . + +In a trust-based media consumption service, *Trust index* ( $i, j, t$ ) indicates the trust of user $i$ in user $j$ at time $t$ . *Trust index* ( $i, j, t$ ) is calculated by 1) *trustworthiness* ( $j$ ), and 2) *relationship* ( $j \rightarrow i$ ) between $j$ and $i$ . It should be noted that the relationship ( $j \rightarrow i$ ) is considered because the reverse relationship ( $i \rightarrow j$ ) is already identified by user $i$ . *Trustworthiness* can be evaluated by four trust indicators: *Ability*, *Integrity*, *Benevolence* and *Sincerity*. Table II.1 shows definition and measurements for each trust indicator. + +**Table II.1 – Definition and measurement for each trust indicators** + +| Trust indicator | Definition | Example of trust attributes and data source | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Ability | The potential of a group of skills, competencies and characteristics that enable a party to have influence in media services [b-Mayer] [b-Colquitt] |
  • – Number of received content a day
  • – Number of friends on an SNS
  • – Number of likes a day on an SNS
| +| Benevolence | The degree to which a trustee is believed to want to do good to the trustor, aside from an egocentric profit motive in media services [b-Mayer] [b-Colquitt] |
  • – Number of postings of malicious URLs on the medium itself
  • – Number of postings of malicious URLs on an SNS
| +| Integrity | The degree to which the trustee adheres to a set of principles prescribed by media services [b-Mayer] [b-Colquitt] |
  • – Reported number of disagreed behaviour incidents on the medium itself
  • – Reported number of disagreed behaviour incidents on an SNS
| + +For trust-based media consumption services, *relationship* ( $j \rightarrow i$ ) is measured by three factors: *similarity*, *relationship period* and *closeness*. Similarity is an indicator measuring how much trustor and trustee share the same network in a given network. The more they share the same users in the network, the more user $j$ trusts user $i$ . In a similar vein, the longer their relationship period is, the more user $j$ trusts in user $i$ . If user $j$ comparably sends more e-mails to user $i$ , it is clear that $j$ has a close relationship with user $i$ . Figure II.1 represents a computational trust reasoning method for trust-based media services. + +![Figure II.1 – Method of evaluating trust for trust-based content consumption services. The diagram shows a hierarchical flowchart. At the top, 'Prior trust index (i → j)' points to 'Trust index (i → j)'. Below 'Trust index (i → j)', there are two main branches: 'Trustworthiness (j)' and 'Relationship (j → i)'. 'Trustworthiness (j)' is composed of 'Ability', 'Integrity', 'Benevolence', and 'Sincerity'. 'Ability' includes 'Number of received mails', 'Number of friends', and 'Number of get "like"'. 'Integrity' includes 'The reported number of disagreed behaviours in email' and 'That in other media service'. 'Benevolence' includes 'Number of sending suspicious mails' and 'That in other media service'. 'Sincerity' includes 'Standard deviation of the number of sent mails'. 'Relationship (j → i)' is composed of 'Similarity', 'Relationship period', and 'Closeness'. 'Similarity' includes 'Ratio of common receivers' and 'Ratio of common senders'. 'Relationship period' includes 'Relation periods in mail service' and 'Relation period in SNS'. 'Closeness' includes 'Ratio of sent and received mails'. Arrows indicate the flow from the bottom-level indicators up to the 'Trust index (i → j)'.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +Figure II.1 – Method of evaluating trust for trust-based content consumption services. The diagram shows a hierarchical flowchart. At the top, 'Prior trust index (i → j)' points to 'Trust index (i → j)'. Below 'Trust index (i → j)', there are two main branches: 'Trustworthiness (j)' and 'Relationship (j → i)'. 'Trustworthiness (j)' is composed of 'Ability', 'Integrity', 'Benevolence', and 'Sincerity'. 'Ability' includes 'Number of received mails', 'Number of friends', and 'Number of get "like"'. 'Integrity' includes 'The reported number of disagreed behaviours in email' and 'That in other media service'. 'Benevolence' includes 'Number of sending suspicious mails' and 'That in other media service'. 'Sincerity' includes 'Standard deviation of the number of sent mails'. 'Relationship (j → i)' is composed of 'Similarity', 'Relationship period', and 'Closeness'. 'Similarity' includes 'Ratio of common receivers' and 'Ratio of common senders'. 'Relationship period' includes 'Relation periods in mail service' and 'Relation period in SNS'. 'Closeness' includes 'Ratio of sent and received mails'. Arrows indicate the flow from the bottom-level indicators up to the 'Trust index (i → j)'. + +Y.3054(18)\_FII.1 + +**Figure II.1 – Method of evaluating trust for trust-based content consumption services** + +### II.2 Calculation of trust index + +Equation II-1 represents the method of measuring the trust index $T(i, j, t)$ . + +$$T(i, j, t) = \alpha \cdot \text{Trustworthiness}(j, t) + \beta \cdot \text{Relationship}(j, i, t) \quad (\text{II-1})$$ + +$$\text{Trustworthiness}(j, t) = \sigma \cdot \text{Ability}(j, t) + \tau \cdot \text{Integrity}(j, t) + \varphi \cdot \text{Benevolence}(j, t) + \Phi \cdot \text{Sincerity}(j, t) \quad (\text{II-2})$$ + +$$\text{Relationship}(j, i, t) = \gamma \cdot \text{Similarity}(j, i, t) + \delta \cdot \text{Relationship period}(j, i, t) + \varepsilon \cdot \text{Closeness}(j, i, t) \quad (\text{II-3})$$ + +In Equations II-1 to II-3, $\alpha, \beta, \sigma, \tau, \varphi, \Phi, \gamma, \delta, \varepsilon$ indicate weights for each factor. + +To evaluate *trustworthiness* ( $j, t$ ), three indicators of *Ability*, *Integrity* and *Sincerity* should be calculated by Equations II-4 to II-6. *Ability* ( $j, t$ ) can be measured by Equation II-4: + +$$\text{Ability}(j, t) = \frac{\text{Number of received mail}_j}{\text{Number of received mail}_j + 1} + \frac{\text{Number of friends}_j}{\text{Number of frinds}_j + 1} + \frac{\text{Number of get "like"}_j}{\text{Number of get "like"}_j + 1} \quad (\text{II-4})$$ + +If $j$ has a strong ability, others may send e-mails for requests. + +*Integrity* ( $j, t$ ) can be measured by Equation II-5, as [b-Lee] suggests: + +$$\text{Integrity}(j, t) = M - \frac{1}{h} \sum_{k=1}^h n_k \quad (\text{II-5})$$ + +In Equation II-5, $M$ indicates initial value, $n_k$ denotes the reported number of disagreed behaviours. For example, $n_1$ is the number of reported incidences of to swearing on the media service and $n_2$ is the number of violated behaviour incidents on an SNS. A large value of $j$ indicates a high incidence of violating pre-described rules, while a low value of $j$ means trustworthy. + +*Benevolence* ( $j, t$ ) can be measured by Equation II-6: + +$$\text{Benevolence}(j, t) = N - \frac{1}{h} \sum_{o=1}^h n_o \quad (\text{II-6})$$ + +In Equation II-6, $N$ indicates initial value, $n_o$ denotes the number of incidences of sending and posting malicious content in media service $n_o$ . The more $j$ conducts doubtful behaviours, the less $j$ means trustworthy. + +*Sincerity* ( $j, t$ ) can be measured by Equation II-7, as [b-Song] suggests: + +$$Sincerity(j, t) = \left(1 - \frac{1}{\bar{n}_t}\right) \cdot \frac{1}{STD^M} \quad (II-7)$$ + +In Equation II-7, $\bar{n}_t$ indicates the average number of sent mails, and $STD^M$ refers to the standard deviation of the number of sent mails. Sincerity measures user $j$ 's consistent usage in media services. + +To measure *relationship* ( $j \rightarrow i$ ), three factors of *Similarity*, *Relationship period* and *Closeness* are considered, as represented by Equations II-8 and II-9. + +*Similarity* ( $j, i, t$ ) can be measured by Equation II-8: + +$$Similarity(j, i, t) = \left( \frac{send\ mail(i) \cap send\ mail(j)}{send\ mail(i) \cup send\ mail(j)} + \frac{receive\ mail(i) \cap receive\ mail(j)}{receive\ mail(i) \cup receive\ mail(j)} \right) \quad (II-8)$$ + +Both $i$ and $j$ send mails to the same other user, $send\ mail(i) \cap send\ mail(j)$ will increase. In addition, both $i$ and $j$ receive e-mail from the same user, again the value of this intersection will increase. + +*Relationship period* ( $j, i, t$ ) can be measured by Equation II-9: + +$$Relationship\ period(j, i, t) = \left( \frac{First\ mail(j, i)}{stat\ mail(j)} \right) \quad (II-9)$$ + +In Equation II-9, *start mail* ( $j$ ) denotes the date when $j$ starts to use e-mail, and *First mail* ( $j, i$ ) indicates the first date on which $j$ sent an e-mail to $i$ . + +*Closeness* ( $j, i, t$ ) is measured by Equation II-10: + +$$Closeness(j, i, t) = \left( \frac{send(j \rightarrow i)}{send(j \rightarrow i) + send(i \rightarrow j)} \right) \quad (II-10)$$ + +The measured value of *Closeness* ( $j, i, t$ ) increases when $j$ sends more e-mails to $i$ than user $i$ does to user $j$ . + +Based on data gathered from media services, a trust-based media service provides trust information (i.e., a trust index) so that users can refer to the analysed trust index or the e-mail service via a TSE and can make a decision about whether to allow content download. For example, it is possible to build and operate a policy that someone whose trust index is less than 0.3 is not allowed to download attached content. + +## Bibliography + +- [b-ITU-T H.780] Recommendation ITU-T H.780 (2012), *Digital signage: Service requirements and IPTV-based architecture*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T X.509] Recommendation ITU-T X.509 (2016) | ISO/IEC 9594-8:2017, *Information technology – Open Systems Interconnection – The Directory: Public-key and attribute certificate frameworks*. +- [b-CG-Trust-TR] ITU-T Technical Report (2016), *Trust provisioning for future ICT infrastructures and services*. +- [b-Colquitt] Colquitt, A., Brent A. Scott, B.A, LePine, J.A, (2007), *Trust, Trustworthiness, and Trust Propensity: A Meta-Analytic Test of Their Unique Relationships With Risk Taking and Job Performance*, Journal of Applied Psychology, **92**, No. 4, pp. 909~927. +- [b-Lee] Lee, C.H., Jang, Y.M., Jung, J.W., Won, D.H. (2013). *Dynamic user reliability evaluation scheme for social network service*. Journal of the Korea Institute of Information Security and Cryptology, **23**(2), pp. 157-168. +- [b-Mayer] Mayer, R.C., Davis, J.H., Schoorman, F.D. (1995). *An integrative model of organizational trust*. Academy of Management Review, **20**, pp. 709-734. +- [b-Song] Song, H.S. (2013). *Prediction method for implicit interpersonal trust between Facebook users* [in Korean]. Journal of Information Technology Applications and Management, **20**(2), pp. 177-191. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3058-202309-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3058-202309-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..0f2b11c19f430340492389c23b491d365281f69e --- /dev/null +++ b/marked/Y/T-REC-Y.3058-202309-I_PDF-E/raw.md @@ -0,0 +1,643 @@ + + +# Recommendation + +## **ITU-T Y.3058 (09/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +## --- **Functional architecture for trust enabled service provisioning** + +## ITU-T Y-SERIES RECOMMENDATIONS + +### Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3058 + +## Functional architecture for trust enabled service provisioning + +## Summary + +A trust enabled service is a reliable service which satisfies service and trust requirements by applying additional functions for trust provisioning capabilities to conventional information and communication technology (ICT) service entities (including resources, stakeholders and users), and that is able to develop a better quality of services and experience. In order to provide trust enabled features to existing ICT services, relevant architectures with key components are required. Therefore, Recommendation ITU-T Y.3058 provides a functional architecture for trust enabled service provisioning. It describes the concept and requirements and specifies related functional blocks, reference points and trust enabled service provisioning procedures between related functional blocks to support trust provisioning processes. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3058 | 2023-09-29 | 13 | 11.1002/1000/15637 | + +## Keywords + +Functional architecture, trust, trust enabled service provisioning, trust provisioning. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-----------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 1 | +| 5 | Conventions ..... | 2 | +| 6 | Overview ..... | 2 | +| 7 | Requirements for trust enabled service provisioning ..... | 4 | +| | 7.1 Requirements of trust-related data collection for trust enabled service provisioning..... | 4 | +| | 7.2 Requirements of trust analysis for trust enabled service provisioning..... | 4 | +| | 7.3 Requirements of trust provisioning for trust enabled service provisioning ... | 5 | +| | 7.4 Security and resilience requirements for trust enabled service provisioning..... | 5 | +| 8 | Functional architecture ..... | 6 | +| | 8.1 Trust agent (TA)..... | 6 | +| | 8.2 Trust analysis and management functions (TAMFs) ..... | 6 | +| | 8.3 Trust enablement functions (TEFs)..... | 7 | +| 9 | Reference point..... | 8 | +| | 9.1 Reference point Ta ..... | 8 | +| | 9.2 Reference point Tp ..... | 8 | +| | 9.3 Reference point Tma ..... | 8 | +| | 9.4 Reference point Tpm ..... | 9 | +| | 9.5 Reference point Tpa ..... | 9 | +| 10 | Procedures ..... | 9 | +| | 10.1 Trust enabled entity registration procedure..... | 9 | +| | 10.2 Trust enabled entity request and monitoring procedure..... | 10 | +| | 10.3 Trust enabled entity discovery procedure..... | 11 | +| | 10.4 Trust enabled entity recommendation procedure ..... | 12 | +| 11 | Security considerations..... | 12 | +| | Appendix I – Comparison of trust provisioning relative functions ..... | 13 | +| | Bibliography..... | 15 | + + + +# Recommendation ITU-T Y.3058 + +## Functional architecture for trust enabled service provisioning + +# 1 Scope + +This Recommendation provides a functional architecture for trust enabled service provisioning to specify detailed functions and their relationships. The scope of this Recommendation includes: + +- Concept of trust enabled service provisioning; +- General and functional requirements for trust enabled service provisioning; +- Functional architecture that specifies the associated functional blocks and interfaces; +- Trust enabled service provisioning procedures that specifies the flows between related functional blocks. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3052] Recommendation ITU-T Y.3052 (2017), *Overview of trust provisioning for information and communication technology infrastructures and services*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 trust** [ITU-T Y.3052]: The measurable belief and/or confidence which represents accumulated value from history and the expecting value for the future. + +NOTE – Trust is quantitatively and/or qualitatively calculated and measured. Trust is used to evaluate values of entities, value-chains among multiple stakeholders, and human behaviours, including decision making. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 trust enabled service**: A reliable service which satisfies service and trust requirements by applying additional functions for trust provisioning capabilities to conventional ICT service entities (including resources, stakeholders and users) and that is able to develop better quality of services and experience. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-------------------------------------| +| AC-FE | Admission Control Functional Entity | +| API | Application Programming Interface | + +| | | +|---------|-----------------------------------------------------------| +| DPF | Discovery and Provisioning Function | +| ICT | Information and Communication Technology | +| PII | Personal Identifiable Information | +| TA | Trust Agent | +| TAI-FE | Trust Agent Interface Functional Entity | +| TAMF | Trust Analysis and Management Function | +| TDC-FE | Trust Data Collection Functional Entity | +| TDFP-FE | Trust Data Filtering and Pre-processing Functional Entity | +| TDGI-FE | Trust Data Gathering Interface Functional Entity | +| TDR-FE | Trust Data Repository Functional Entity | +| TECM-FE | Trust Enabled Contract Management Functional Entity | +| TER-FE | Trust Enabled Recommendation Functional Entity | +| TLA | Trust Level Agreement | +| TMEF | Trust Modelling and Evaluation Function | +| TME-FE | Trust Metric Extraction Functional Entity | +| TM-FE | Trust Model Functional Entity | +| TRE-FE | Trust Reasoning and Evaluation Functional Entity | +| TRGF | Trust Repository and Gathering Function | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Overview + +The concept of trust implies belief and confidence that the functional entities in information and communication technology (ICT) infrastructures and services will behave in expected ways. As ICT-based applications and services underpin other industrial domains and involve multiple stakeholders, trust evaluation of the corresponding value chains of business as well as of the system and component levels in a holistic manner can enable users to have confidence in their services and applications. Therefore, trust provisioning is one of the most important functional capabilities in ICT infrastructures and services [ITU-T Y.3052]. + +Trust provisioning in ICT infrastructures and services consists of a set of processes that include gathering data from entities and the producing trust information by evaluating all aspects of trust to support the decision-making of entities in establishing trust relationships with other entities [ITU-T Y.3052]. + +The ultimate goal for trust provisioning in ICT infrastructure is to develop a trust infrastructure that cooperates with ICT applications and services to assess and compute all aspects of trust among any entities in future ICT environments; in order to support these applications and services for better quality of services and experience. Therefore, the existing ICT applications and services need a way to provide trust provisioning processes to provide trustworthy ICT services. + +A trust enabled service is a reliable service which satisfies service and trust requirements, by applying additional functions for trust provisioning capabilities to conventional ICT service entities (including resources, stakeholders and users), and that is able to develop better quality of services and experience. A trust enabled service is bidirectional and bilateral. This means that a trust relationship in telecommunications applications and environments works in both directions. For example, when an end device attempts to connect to a network for telecommunications services, the network can make an assessment of how much it trusts the end device and the end device can make an assessment of how much it trusts the network to which it is connecting. The end device, and the network, can assume the roles of both trustors and trustees [ITU-T Y.3052]. + +The trust provisioning process consists of data collection, data management, trust information analysis, trust information dissemination and trust information lifecycle management. Furthermore, in order to provide the trust service, trust components and platform architecture are described in clause 7.3 of [b-CG-Trust-TR]. Therefore, this Recommendation specifies functional architecture for trust enabled service provisioning, which includes related functional blocks, reference points and procedures to support trust provisioning processes. + +Figure 1 shows the concept of trust enabled services, that includes trust enabled service provisioning flow based on relative functions by comparing with conventional services. The conventional services do not consider the trust information. An additional process is required to consider trust, a new value for ICT infrastructure and services. + +A trust enabled service consists of trust-related data collection, trust analysis, trust provisioning and service provisioning phases through the trust provisioning functions that are developed based on the trust components in [b-CG-Trust-TR]. The trust provisioning functions consist of trust agent, trust analysis and management and trust enablement. + +Trust Agents collect trust-related information needed for trust provisioning from each service domain. The collected information is sent to the trust analysis and management and applied to the trust model for trust analysis of the target. The trust model is bidirectional, adaptive to changes in the network or application and accounts for flexible trust and reputation calculations. It is possible for different services or applications to have different trust models. For example, the trust model for adding an IoT device to a broader network may be very different from the trust model that supports access to a specific platform (e.g., a video sharing service). + +Trust enablement provides trust requirement analysis and trust attribute extraction, and requests trust information needed by trust analysis and management to satisfy the trust requirements of target service providers. + +The requested trust analysis and management derives the target's trust index according to the trust requirements. The trust enablement provides the results of the trust consideration (i.e., trustworthy search or recommendation results) to the service provider. The service provider that acquires the target's trust index can provide service through trust-based decision-making. + +![Figure 1: The concept of trust enabled service provisioning. The diagram shows a system architecture for trust-enabled services. At the top, a dashed box labeled 'Trust enabled services' contains three main components: 'Trust agent', 'Trust analysis and management', and 'Trust enablement'. 'Trust agent' and 'Trust analysis and management' are connected by a bidirectional arrow. 'Trust analysis and management' and 'Trust enablement' are also connected by a bidirectional arrow. Below 'Trust agent' is a 'Service domain' containing 'User' and 'User_n'. A vertical arrow labeled 'Trust related data collection' points from the 'Service domain' to the 'Trust agent'. To the right of the 'Service domain' is a 'Service provider'. A horizontal arrow labeled 'Service provisioning' points from the 'Service provider' to the 'Service domain'. A vertical arrow labeled 'Trust provisioning' points from the 'Trust enablement' to the 'Service provider'. At the bottom, a box labeled 'Conventional services' is shown. The entire diagram is labeled 'Y.3058(23)' in the bottom right corner.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 1: The concept of trust enabled service provisioning. The diagram shows a system architecture for trust-enabled services. At the top, a dashed box labeled 'Trust enabled services' contains three main components: 'Trust agent', 'Trust analysis and management', and 'Trust enablement'. 'Trust agent' and 'Trust analysis and management' are connected by a bidirectional arrow. 'Trust analysis and management' and 'Trust enablement' are also connected by a bidirectional arrow. Below 'Trust agent' is a 'Service domain' containing 'User' and 'User\_n'. A vertical arrow labeled 'Trust related data collection' points from the 'Service domain' to the 'Trust agent'. To the right of the 'Service domain' is a 'Service provider'. A horizontal arrow labeled 'Service provisioning' points from the 'Service provider' to the 'Service domain'. A vertical arrow labeled 'Trust provisioning' points from the 'Trust enablement' to the 'Service provider'. At the bottom, a box labeled 'Conventional services' is shown. The entire diagram is labeled 'Y.3058(23)' in the bottom right corner. + +**Figure 1 – The concept of trust enabled service provisioning** + +# **7 Requirements for trust enabled service provisioning** + +The requirements for trust enabled service provisioning are specified in clauses 7.1, 7.2, 7.3 and 7.4, respectively. Data collection for trust enabled service provisioning shall be subject to local, regional and national regulation that governs the security, privacy and confidentiality of data collected. Since the regulatory environment for data collection is not harmonized globally, there can be no global standard for data collection regarding trust enabled service provisioning. + +In order to perform trust analysis and management, the trust enabled service requires a base of data on which to carry out trust evaluations. In the case of end devices connecting to networks, this base of data potentially combines information from a variety of sources – possibly greater in scope than traditional telecommunication metadata collected by conventional ICT services. + +## **7.1 Requirements of trust-related data collection for trust enabled service provisioning** + +- It is required to collect trust-related data about resources and stakeholders from the target service domain as well as other service domains in which the resources and stakeholders are used and work. +- It is required to collect profile and status data of resources and stakeholders to manage resource availability. +- It is required that PII information is not requested and not stored. +- It is required to provide data filtering and/or pre-processing for refining trust data sets. +- It is required to provide transformation of heterogeneous data collected from different service domains. + +## **7.2 Requirements of trust analysis for trust enabled service provisioning** + +- It is recommended to provide bidirectional relationship, meaning that any stakeholder may be in the role of trustor and/or trustee. +- It is required to process trust-related data representing different service domains, resources and stakeholders including their relationships. It is understood that it is possible to use multiple trust models depending on the service domain, application or stakeholder. + +- It is required to process trust information taking into account different characteristics of trust attributes (e.g., subjectivity, dynamicity) +NOTE – [b-CG-Trust-TR] and [ITU-T Y.3052] describe different characteristics of trust. +- It is recommended to reflect the changes of the network or application characteristics between service domains. +- It is required to follow various conformance of service domains to gain access for trust analysis and management. +- It is recommended to consider usage data of resources and stakeholders for trust analysis. +- It is recommended to provide scalability to include additional information required for trust analysis. +- It is required to provide trust evaluation by analysing data with different methods. +- It is recommended to provide trust quantization to calculate various trust information into a specific value (i.e., a real number). +- It is required to store trust calculations and intermediate trust processing information, for the use of future trust calculations. + +## **7.3 Requirements of trust provisioning for trust enabled service provisioning** + +- It is required to accumulate trust value usage feedback from trustors and trustees to improve the trust value calculation in the future. +- It is required to provide trust requirement analysis and trust attribute extraction. +- It is required to provide a resource and service discovery based on trust requirement. +- It is recommended to provide a recommendation based on trust requirements for selecting a suitable resource and service. +- It is required to provide trust-based decision-making for selecting resources or stakeholders according to the result of trust-based discovery or recommendation. +- It is required to provide a contract management between trustor and trustee which updates contract terms and usage information. +- It is required to provide a usage control of target resources according to contract terms between trustors and trustees. +- It is required to provide permission control and admission control of target resources according to trust decision between trustors and trustees. + +## **7.4 Security and resilience requirements for trust enabled service provisioning** + +- It is required to suspend the provision of resources to the user when the trust value of the service does not meet the users' requirements. +- It is recommended to create a list containing several services that meet the historical requirements and sort them according to the trust value. +- It is required to change another service for the user if the current service does not meet the trust requirement. +- It is recommended to evaluate each user's trust index if multiple users need to obtain a specific trust-based service resource at the same time. +- It is recommended to ask users whether or not they can wait if no suitable service can be provided at the current time. + +# 8 Functional architecture + +Based on the concept of ICT trust provisioning and the architectural framework and requirements of existing documents [b-CG-Trust-TR], [ITU-T Y.3052], [b-ITU-T Y.3054], a functional architecture for trust enabled service provisioning is presented in Figure 2. + +![Figure 2 – Functional architecture of trust enabled service provisioning. The diagram shows a functional architecture with three main components: Trust analysis management functions (TAMFs), Trust agent (TA), and Trust enablement functions (TEFs), all interacting with a General ICT service entity.](042733dc5e8e7f5f30b60adba3266cde_img.jpg) + +The diagram illustrates the functional architecture of trust enabled service provisioning, organized into three main functional blocks: Trust analysis management functions (TAMFs), Trust agent (TA), and Trust enablement functions (TEFs), all interacting with a General ICT service entity (represented by a dashed box at the bottom). + +- Trust analysis management functions (TAMFs)** (top left): + - Trust modeling and evaluation function (TMEF) containing Trust model functional entity (TM-FE), Trust reasoning and evaluation functional entity (TRE-FE), and Trust metric extraction functional entity (TME-FE). + - Trust repository and gathering function (TRGF) containing Trust data gathering interface functional entity (TDGI-FE) and Trust data repository functional entity (TDR-FE). +- Trust agent (TA)** (bottom left): + - Trust data collection functional entity (TDC-FE) + - Trust data filtering and pre-processing functional entity (TDFP-FE) + - Trust agent interface functional entity (TAI-FE) +- Trust enablement functions (TEFs)** (top right): + - Discovery and provisioning function (DPF) containing Trust requirement analysis and provisioning functional entity (TRAP-FE), Trust enablement contract management functional entity (TECM-FE), and Usage and admission control functional entity (UAC-FE). + - Trust enablement data management function (TEDMF) containing Trust enablement repository functional entity (TER-FE), Trust enablement monitoring functional entity (TEM-FE), and Trust enablement interface functional entity (TEI-FE). + +Interactions and interfaces are indicated by lines with labels: + +- Tma**: Interface between TAMFs and TA. +- Tpa**: Interface between TA and TEFs. +- Tpm**: Interface between TAMFs and TEFs. +- Ta**: Interface between TA and the General ICT service entity. +- TP**: Interface between TEFs and the General ICT service entity. + +Y.3058(23) + +Figure 2 – Functional architecture of trust enabled service provisioning. The diagram shows a functional architecture with three main components: Trust analysis management functions (TAMFs), Trust agent (TA), and Trust enablement functions (TEFs), all interacting with a General ICT service entity. + +**Figure 2 – Functional architecture of trust enabled service provisioning** + +## 8.1 Trust agent (TA) + +TA is used to collect trust-related data from the general ICT service entity with trust agent interface, trust data collection, and trust data filtering and pre-processing. + +- The trust agent interface functional entity (TAI-FE) provides connectivity to various types of objects to collect trust-related data. It also needs to connect to existing platforms and devices to extract the required data. +- The trust data collection functional entity (TDC-FE) is responsible for gathering the data required to evaluate a trust level of an object. It is also responsible for gathering the general and domain-specific data for evaluating a trust level of an object in a domain-specific perspective. +- The trust data filtering and pre-processing functional entity (TDFP-FE) is used to refine trust data sets without including other data that can be repetitive, irrelevant or even sensitive for trust evaluation. + +## 8.2 Trust analysis and management functions (TAMFs) + +TAMFs is used to model, reason and manage trust data collected from TAs to verify that objects meet certain trust criteria and to identify the required trust metrics for the object. TAMFs consists of trust modelling and evaluation function (TMEF) and trust repository and gathering function (TRGF). + +- TMEF: This function provides trust analysis of the target entity, managing the trust-related data as a trust model, and extracts appropriate trust metrics for trust evaluation and reasoning. This function includes three functional entities as follows: + - The trust model functional entity (TM-FE) is used to specify, annotate and build trust relationships between objects for the purpose of reasoning trust data. Trust modelling is social-cyber-physical and service domain-specific, and there are social, cyber and physical trust models to define a trust model for each domain in the ICT infrastructure. + - The trust reasoning and evaluation functional entity (TRE-FE) is used to analyse and assess trust levels based on the trust model. There are various types of reasoning methods, depending on the service domains, and an appropriate reasoning method for the specific object. + - The trust metric extraction functional entity (TME-FE) recognizes trust characteristics, considers for factors that influence trust and determines appropriate trust metrics for the trust modelling and reasoning. +- TRGF: This function manages the collected data as a repository. This function includes two functional entities as follows: + - The trust data gathering interface functional entity (TDGI-FE) provides a connection with appropriate trust agents and trust enablement functions which is located in target service domains for gathering trust-related data regarding on an object's trust aspects. + - The trust data repository functional entity (TDR-FE) manages the trust data including the operations of objects and the history of interactions among objects. + +## 8.3 Trust enablement functions (TEFs) + +TEFs are used for discovery and provisioning of trust resources and trust enabled service. TEFs also manage the repository for contract, usage and satisfaction data of trust enabled service and provide a brokering service to share and disseminate domain-specific trust knowledge across service domains. TEFs consist of a discovery and provisioning function (DPF) and a trust enablement data management function (TEDMF). + +- DPF: This function provides a suitable trusted resource according to trust requirements. The DPF includes a trust requirement analysis and provisioning functional entity (TRAP-FE), a trust enablement contract management functional entity (TECM-FE) and a usage and admission control functional entity (UAC-FE). + - The trust requirement analysis and provisioning functional entity (TRAP-FE) provides trust requirement analysis, trust-based discovery and recommendation. TRAP-FE analyses trust requirements from the service environment (e.g., user and service provider) and extract appropriate trust attributes for trust analysis. For trust-based discovery, TRAP-FE provides available lists of suitable resources or services which have the required level of trust. TRAP-FE provides a recommendation for selecting a suitable object that is similar to level of trust previously used. + - The trust enablement contract management functional entity (TECM-FE) manages contracts between trust enabled service participants. The contract information is stored by the TEDMF. + - The usage and admission control functional entity (UAC-FE) provides usage and admission control. Admission control manages trust enabled service users and existing service providers who access through the trust enablement interface functional entity (TEI-FE). Usage control grants permission to use an entity according to the TLA. The TLA defines the permitted operation, usage scope and usage time of a particular resource for an authorized user. + +- TEDMF: This function stores and manages the trust contract, usage and satisfaction information through the trust enablement repository functional entity (TER-FE), the trust enablement monitoring functional entity (TEM-FE) and the trust enablement interface functional entity (TEI-FE). + - The trust enablement repository functional entity (TER-FE) stores trust enablement data such as trust enablement contract information, usage information and satisfaction information. The trust enablement contract information contains the participant information and the target service information trust level agreement (TLA) that uses every target service resource. Usage information includes historical information such as creation time, access time and modification time, transaction type and a user who used the resource. The satisfaction information is a feedback data from trustors and trustees about service experience. + - The trust enablement monitoring functional entity (TEM-FE) collects trust enablement contract, usage and satisfaction information and stores it at the trust enablement repository functional entity (TER-FE). + - The trust enablement interface functional entity (TEI-FE) provides an application programming interface (API) between TEFs and general ICT service entities to operate TEFs. TEI-FE provides trust enablement information to TAMFs for subsequent trust evaluation of participants and trust enabled service. It also creates a trust link between authorized trust enabled service participants (trustor and trustee). + +# **9 Reference point** + +## **9.1 Reference point Ta** + +The reference point Ta is located between the TA and the general ICT service entity. It allows the TA to collect general and trust-related data of trust enabled service entities (i.e., trustor and trustee) from the general ICT service entity. + +The TA collects trust-related data and status data from the reference point Ta to monitor the status of entities. + +The TA collects general and trust-related data from the reference point Ta to register a new entity. + +## **9.2 Reference point Tp** + +The reference point Tp allows the communication between TEFs and the general ICT service entity. It allows the TEFs to receive the trust enabled service request from the user. Also, the TEFs can notify the result which includes the trust enabled service list and trust contract information. + +The trust enabled service user sends the service request through the reference point Tp to TEFs for discovering the trust enabled service entity which satisfies certain trust criteria. + +The TEFs can provide the response to the trust enabled service user by the reference point Tp. This response includes the trust enabled service list, trust contract information and usage information. + +The trust enabled service user can notify the selecting result of the service list to TEFs by the reference point Tp to announce the beginning of the task. + +The trust enabled service user can report the completion of the task with satisfaction data about the selected service or resource to TEFs through the reference point Tp to update usage and trust information. + +## **9.3 Reference point Tma** + +The reference point Tma allows the TAMFs to receive data collected by the TA. + +The TA constantly monitors the status of the trust enabled service entity and sends the collected information to the TAMFs to update the trust model and evaluate the trust of the target entity. + +When a trust evaluation result of a particular target entity is required, the TA can obtain the evaluation result from the TAMFs through the reference point Tma. + +## 9.4 Reference point Tpm + +Tpm is a reference point which enables the communication between TAMFs and TEFs. + +TEFs send trust-related data to TAMFs through reference point Tpm to create trust model (i.e., specify, annotate and establish trust relationship) and evaluate the trust level of newly registered entity. + +TEFs can receive the trust evaluation result from TAMFs by reference point Tpm for entity discovery and recommendation. + +According to the status of the entity, TEFs send renewed trust-related data to TAMFs through reference point Tpm which includes usage information for updating the trust model. + +## 9.5 Reference point Tpa + +Tpa is a reference point which enables the communication between TA and TEFs. + +TEFs receives trust-related and profile data from TA through reference point Tpa to register a new entity. + +TECM-FE of TEFs creates a trust contract and usage model for the newly registered entity. + +# 10 Procedures + +This clause provides procedures for trust enabled service provisioning between functional blocks. It includes registration, request, monitoring, discovery and recommendation of the trust enable entity. + +## 10.1 Trust enabled entity registration procedure + +![Sequence diagram showing the trust enabled entity registration procedure. Participants include Entities (resources/user), TA, TAMFs, and TEFs (which contains DPF/TECM-FE and TEDMF/TER-FE). The flow starts with 'Entity information' from Entities to TA. TA performs 'Entity monitoring'. TA sends 'Entity registration request' to TAMFs. TAMFs send 'Trust information' to TEFs (DPF/TECM-FE). TEFs perform 'Trust-enabled contract creation' and send 'Trust contract and usage information' to TEDMF/TER-FE. TEDMF/TER-FE performs 'Trust contract and usage model update'. TAMFs perform 'Trust evaluation and model update' and send a 'Registration response' back to TA.](df0bcbfa8f8e1937e071445426c28022_img.jpg) + +``` + +sequenceDiagram + participant E as Entities +resources/user + participant TA as TA + participant TAMFs as TAMFs + participant TEFs as TEFs + + Note over TEFs: DPF / TECM-FE + Note over TEFs: TEDMF / TER-FE + + E->>TA: Entity information + activate TA + Note right of TA: Entity monitoring + TA->>TAMFs: Entity registration request + deactivate TA + activate TAMFs + TAMFs->>TEFs: Trust information + activate TEFs + Note right of TEFs: Trust-enabled contract creation + TEFs->>TEFs: Trust contract and usage information + Note right of TEFs: Trust contract and usage model update + deactivate TEFs + Note left of TAMFs: Trust evaluation and model update + TAMFs->>TA: Registration response + deactivate TAMFs + +``` + +Y.3058(23) + +Sequence diagram showing the trust enabled entity registration procedure. Participants include Entities (resources/user), TA, TAMFs, and TEFs (which contains DPF/TECM-FE and TEDMF/TER-FE). The flow starts with 'Entity information' from Entities to TA. TA performs 'Entity monitoring'. TA sends 'Entity registration request' to TAMFs. TAMFs send 'Trust information' to TEFs (DPF/TECM-FE). TEFs perform 'Trust-enabled contract creation' and send 'Trust contract and usage information' to TEDMF/TER-FE. TEDMF/TER-FE performs 'Trust contract and usage model update'. TAMFs perform 'Trust evaluation and model update' and send a 'Registration response' back to TA. + +**Figure 3 – Trust enabled entity registration procedure** + +All entities must first be registered for trust enabled service provisioning. As shown in Figure 3, the trust enabled entity registration procedures are described below: + +- 1) When the TA discovers new entity through the entity monitoring, the TA sends the entity registration request to the TECM-FE of the TEFs. This request contains general and trust-related data about a new entity which is aggregated by TA. +- 2) TECM-FE creates a trust contract which describes a scope of authority such as ownership, permitted operation, permitted time, usage history and permitted target. +- 3) TECM-FE sends trust-related data to TAMFs for trust model update and trust evaluation about the newly registered entity. +- 4) TECM-FE sends usage data to TER-FE for trust contract and usage model update for the newly registered entity. +- 5) When the registration is completed, the TECM-FE sends the registration response to notify the registration result to TA. + +## 10.2 Trust enabled entity request and monitoring procedure + +![Sequence diagram of Figure 4 showing the Trust enabled entity request and monitoring procedure between Entity resources 1, Entity user A, TA, TAMFs, and TEFs (comprising DPF/UAC-FE and TEDMF/TER-FE).](1a827b10290f33d4fec04d0e8ef7a897_img.jpg) + +``` + +sequenceDiagram + participant ER1 as Entity resources 1 + participant EUA as Entity user A + participant TA as TA + participant TAMFs as TAMFs + participant TEFs as TEFs + Note over TEFs: DPF / UAC-FE | TEDMF / TER-FE + + EUA->>TEFs: Resource 1 request + Note right of TEFs: Admission and usage check + TEFs->>EUA: Resource and contract information + rect rgb(240, 240, 240) + Note over TA: Entity monitoring + end + EUA->>ER1: Using resource 1 by user A + ER1-->>TA: (Monitoring flow) + EUA->>TAMFs: Trust status update + TAMFs->>TEFs: Usage information + TEFs->>EUA: Usage model update + EUA->>TA: Task finish + TA->>TAMFs: Trust status update + TAMFs->>TEFs: Usage information + TEFs->>EUA: Usage model update + +``` + +The diagram illustrates the interaction between five main components: Entity resources 1, Entity user A, TA (Trust Authority), TAMFs (Trust Assessment and Monitoring Functions), and TEFs (Trust Enabled Functions). The TEFs are further divided into DPF (Data Protection Function) with UAC-FE (Usage Access Control Functional Entity) and TEDMF (Trust Evaluation and Data Management Function) with TER-FE (Trust Evaluation and Repository Functional Entity). The process begins with Entity user A requesting Resource 1 from the UAC-FE. After an admission and usage check, resource and contract information is returned to the user. While the user uses the resource, the TA performs entity monitoring. Periodic trust status updates are sent to TAMFs, which then provide usage information to the TEDMF/TER-FE, resulting in usage model updates sent back to the user. This cycle repeats after the task is finished. + +Sequence diagram of Figure 4 showing the Trust enabled entity request and monitoring procedure between Entity resources 1, Entity user A, TA, TAMFs, and TEFs (comprising DPF/UAC-FE and TEDMF/TER-FE). + +Y.3058(23) + +**Figure 4 – Trust enabled entity request and monitoring procedure** + +In order to use a particular entity, the status and trust level of the target must be updated when the status of the entity is changed. As shown in Figure 4, the trust enabled entity request and monitoring procedures are as follows: + +- 1) To provide entity monitoring, TA constantly monitors the status of entities in its scope. +- 2) User A sends a request message to UAC-FE of TEFs to use specific entity (Resource 1). +- 3) UAC-FE of TEFs checks the permission and usage of the requested entity. + +- 4) If User A is allowed, UAC-FE sends the resource and contract information to User A. It includes the access point and usage profile of the requested resource. User A then starts a task with Resource 1. +- 5) UAC-FE sends usage information about Resource A to the TER-FE to update the usage model. +- 6) If the state of an entity (Resource 1) has changed, the TA sends the trust status update message to the TAMFs for trust evaluation and trust model update. +- 7) When the task is completed, User A notifies the completion of the task with satisfaction data about the entity (Resource 1) to UAC-FE. And the UAC-FE updates the usage model again. +- 8) The UAC-FE sends the satisfaction data to the TAMFs for trust evaluation and trust model update about this task. + +## 10.3 Trust enabled entity discovery procedure + +![Sequence diagram illustrating the Trust enabled entity discovery procedure. The diagram shows interactions between Entity resources 1, Entity user A, TA, TAMFs, and TEFs (DPF/TRAP-FE and TEDMF/TER-FE). The process starts with a Resource request from Entity user A to TEFs. TEFs send Trust evaluation result to TAMFs. TAMFs send Resource list and contract information to Entity user A. Entity user A performs Select resource. A vertical bar labeled Entity monitoring spans the TA and TAMFs. A horizontal bar at the bottom represents the Trust enabled entity request procedure [Resource 1].](2cde062fd82833415971a8bd1a2cafab_img.jpg) + +``` + +sequenceDiagram + participant ER1 as Entity resources 1 + participant EA as Entity user A + participant TA + participant TAMFs + participant TEFs as TEFs + participant DPF as DPF +TRAP-FE + participant TEDMF as TEDMF +TER-FE + participant TRD as Trust-enabled resource delivery + + EA->>TEFs: Resource request + TEFs->>TAMFs: Trust evaluation result + TAMFs->>EA: Resource list and contract information + EA->>ER1: Select resource + TA-->>TAMFs: Entity monitoring + TEFs-->>TRD: Contract and usage information + TAMFs-->>TRD: Trust evaluation result + TRD-->>TEFs: Contract and usage information + Note over ER1,EA,TA,TAMFs,TEFs: Trust enabled entity request procedure [Resource 1] + +``` + +Y.3058(23) + +Sequence diagram illustrating the Trust enabled entity discovery procedure. The diagram shows interactions between Entity resources 1, Entity user A, TA, TAMFs, and TEFs (DPF/TRAP-FE and TEDMF/TER-FE). The process starts with a Resource request from Entity user A to TEFs. TEFs send Trust evaluation result to TAMFs. TAMFs send Resource list and contract information to Entity user A. Entity user A performs Select resource. A vertical bar labeled Entity monitoring spans the TA and TAMFs. A horizontal bar at the bottom represents the Trust enabled entity request procedure [Resource 1]. + +**Figure 5 – Trust enabled entity discovery procedure** + +Users can request a search to use entities that meet their target trust profile. As shown in Figure 5, the trust enabled entity discovery procedures are as follows: + +- 1) User A sends a request message to TRAP-FE of TEFs to search for entities that satisfy their target trust profile. The trust profile describes requirements such as entity type, trust level and scope of use. +- 2) TRAP-FE aggregates trust evaluation information from TAMFs and trust contract and usage information from TER-FE about relevant entities. Based on the aggregated trust-related information, TRAP-FE sends a list of entities which meet the required trust profile. +- 3) User A selects an entity from the list and the trust enabled entity request procedure which is described in clause 10.2 is performed. + + + +# Appendix I + +### Comparison of trust provisioning relative functions + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides a comparison table (Table I.1) of trust provisioning relative functions which are defined in relevant Recommendations and draft Recommendations. The functions located in the same row are classified as the same category. + +**Table I.1 – Comparison of trust provisioning related functions** + +| TR, trust provisioning | | ITU-T Y.3053
(Trustworthy networking) [b-ITU-T Y.3053] | ITU-T Y.3054
(Trust-based media service) [b-ITU-T Y.3054] | ITU-T Y.3055
(Trust-based personal data management) [b-ITU-T Y.3055] | Trust-arch | | +|--------------------------------------------------|-----------------------------------------|-----------------------------------------------------------|--------------------------------------------------------------------------------------|-------------------------------------------------------------------------|----------------------------------------------------|-----------------------------------------| +| TA
(trust agent) | TA interface | | Trust data adapters | | TA
(arust agent) | TA interface | +| | Trust data collection | Trust verification support FE | Trust relevant media data collector, trust relevant external data collector | | | Trust data collection | +| | Trust data filtering and pre-processing | | Trust data filter and preprocessor | | | Trust data filtering and pre-processing | +| TAMP
(Trust Analysis and Management Platform) | Trust models | | Trust models | Trust modelling function | TAMFs
(Trust analysis and management functions) | Trust models | +| | Trust reasoner and evaluator | Trust level validation FE | Trust reasoner, trust attributers' evaluator | Trust information analysis function | | Trust reasoning and evaluation | +| | Data analytics | | | | | | +| | Cloud computing | | | | | | +| | Trust metric extractor | | Trust metric extractor, Trust index analysis engine, trust indicators identification | | | Trust metric extraction | +| | Trust knowledge gathering Interface | | Trust data gathering interface | Trust attributes monitoring function | | Trust data gathering interface | +| | Trust data repository | | Trust data repository | | | Trust data repository | +| | | Trust information lifecycle management FE | Trust information OAM | Trust information lifecycle management function | TEFs
(Trust enablement functions) | Usage and admission control | +| TSE
(Trust service enabler) | Trust linker | | Trust linking | | | | +| | Trust idM | ID-locator mapping support FE | Trust idM | | | | +| | Trust-based recommendation | | | | | | + +**Table I.1 – Comparison of trust provisioning related functions** + +| TR, trust provisioning | | ITU-T Y.3053
(Trustworthy networking) [b-ITU-T Y.3053] | ITU-T Y.3054
(Trust-based media service) [b-ITU-T Y.3054] | ITU-T Y.3055
(Trust-based personal data management) [b-ITU-T Y.3055] | Trust-arch | | | +|------------------------------------|--|---------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------|------------|---------------------------------------------|--| +| | | | Trust APIs | | | Trust enablement interface | | +| TSB (Trust service broker) | | | | | | Trust requirement analysis and provisioning | | +| | | | | | | Trust enablement contract management | | +| | | | | | | Trust enablement repository | | +| | | | | | | Trust enablement monitoring | | +| Domain-specific optional functions | | Domain membership management FE, domain policy management FE, accessing / peering control support FE, data transport and processing FE, ID-based routing support FE | Trust-based content access controller, trust-based content assistant, Trust privacy handler | Privacy compliance management functions, personal data evaluation functions, personal data transaction management functions | | | | + +# Bibliography + +- [b-ITU-T Y.3053] Recommendation ITU-T Y.3053 (2018), *Framework of trustworthy networking with trust-centric network domains*. +- [b-ITU-T Y.3054] Recommendation ITU-T Y.3054 (2018), *Framework for trust-based media services*. +- [b-ITU-T Y.3055] Recommendation ITU-T Y.3055 (2020), *Framework for trust-based personal data management*. +- [b-CG-Trust-TR] Technical Report CG-Trust (2016), *Trust provisioning for future ICT infrastructures and services*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3075-202009-I_PDF-E/a3dc41dc3df86ea68d266af2bf95cf5b_img.jpg b/marked/Y/T-REC-Y.3075-202009-I_PDF-E/a3dc41dc3df86ea68d266af2bf95cf5b_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..8423857338c7943fb53f6d62820e1de9b67a04e1 --- /dev/null +++ b/marked/Y/T-REC-Y.3075-202009-I_PDF-E/a3dc41dc3df86ea68d266af2bf95cf5b_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:da9f8de1f3eacbe3b5a5a51aa159e69515d35956d070ed38c2839f2d3b43bc36 +size 4216 diff --git a/marked/Y/T-REC-Y.3075-202009-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3075-202009-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..dc7d14e3c7af8580a0c3c91ccf9efb645d641238 --- /dev/null +++ b/marked/Y/T-REC-Y.3075-202009-I_PDF-E/raw.md @@ -0,0 +1,424 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.3075 + +(09/2020) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Future networks + +# --- **Requirements and capabilities of information- centric networking routing and forwarding based on control and user plane separation in IMT-2020** + +Recommendation ITU-T Y.3075 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## **FUTURE NETWORKS** + +**Y.3000–Y.3499** + +### CLOUD COMPUTING + +Y.3500–Y.3599 + +### BIG DATA + +Y.3600–Y.3799 + +### QUANTUM KEY DISTRIBUTION NETWORKS + +Y.3800–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3075 + +# Requirements and capabilities of information-centric networking routing and forwarding based on control and user plane separation in IMT-2020 + +## Summary + +Recommendation ITU-T Y.3075 specifies service requirements and functional requirements of information-centric networking (ICN) routing and forwarding based on control and user plane separation (CUPS) in IMT-2020. In addition, the capabilities of ICN routing and forwarding in control plane and data plane are described with consideration of various scenarios. Finally, the security consideration is discussed. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3075 | 2020-09-29 | 13 | 11.1002/1000/14394 | + +## Keywords + +Control and user plane separation, control plane, data plan, ICN routing and forwarding, IMT-2020. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Introduction ..... | 3 | +| 7 Requirements of ICN routing and forwarding..... | 4 | +| 7.1 Service requirements ..... | 4 | +| 7.2 Functional requirements ..... | 5 | +| 8 Capabilities of ICN routing and forwarding..... | 6 | +| 8.1 Capabilities in the control plane ..... | 6 | +| 8.2 Capabilities in the data plane..... | 6 | +| 9 Security consideration ..... | 7 | +| Bibliography..... | 9 | + + + +# Recommendation ITU-T Y.3075 + +# Requirements and capabilities of information-centric networking routing and forwarding based on control and user plane separation in IMT-2020 + +## 1 Scope + +This Recommendation describes the service requirements and functional requirements of information-centric networking (ICN) routing and forwarding based on control and user plane separation (CUPS) in IMT-2020, and also explains the capabilities of ICN routing and forwarding in consideration of various scenarios, including mobility, multi-homing, multicast and caching. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.3032] Recommendation ITU-T Y.3032 (2014), *Configuration of node identifiers and their mapping with locators in future networks*. +- [ITU-T Y.3071] Recommendation ITU-T Y.3071 (2017), *Data aware networking (information centric networking) – Requirements and capabilities*. +- [ITU-T Y.3072] Recommendation ITU-T Y.3072 (2019), *Requirements and capabilities of name mapping and resolution for information-centric networking in IMT-2020*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 control plane** [b-ITU-T Y.2011]: The set of functions that controls the operation of entities in the stratum or layer under consideration, plus the functions required to support this control. + +**3.1.2 data plane** [b-ITU-T Y.2011]: The set of functions used to transfer data in the stratum or layer under consideration. + +**3.1.3 identifier (ID)** [b-ITU-T Y.2091]: A series of digits, characters and symbols or any other form of data used to identify subscriber(s), user(s), network element(s), function(s), network entity(ies) providing services/applications, or other entities. + +**3.1.4 information-centric networking (ICN)** [b-ITU-T Y.Sup.48]: A new approach to networking where named objects (not only devices) are the principal components for the network. Named data objects can be stored in network nodes (with caching capability) distributed throughout the network. Data objects are transmitted by using names to requesting consumers from any network node that can provide requested data. Locations of the nodes that store data objects in their caches are irrelevant to consumers because they send their requests for data objects by using names (not the data object locations). + +**3.1.5 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in Recommendation [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +**3.1.6 name** [b-ITU-T Y.2091]: The identifier of an entity (e.g., subscriber, network element, physical or logical objects) that may be resolved/translated into an address. + +**3.1.7 named data object (NDO)** [b-ITU-T Y.Sup.35]: A data object that is identifiable by a name. + +**3.1.8 user plane** [b-ITU-T Y.2011]: A synonym for data plane. + +**3.1.9 name mapping** [ITU-T Y.3072]: A service that builds one-to-one or one-to-many relationships between an identifier of an object and addresses of the object, where the addresses can be IP addresses. + +**3.1.10 name resolution** [ITU-T Y.3072]: A service that provides the translation between an identifier and address(es) of the object based on the relationship built by name mapping. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 named object (NO)**: An object that is identifiable by a name. The object can be a data object, a device, a service, etc. + +**3.2.2 name-based ICN**: A type of information-centric networking (ICN) wherein a named data object (NDO) is routed and forwarded based on its name. + +**3.2.3 ID/IP integrated ICN**: A type of information centric networking (ICN) wherein a named data object (NDO) is routed and forwarded based on joint ID and IP address. + +**3.2.4 name mapping and resolution system**: A system that supports name mapping and resolution services, and in which a registration process is also included. It contains naming, mapping, registering, resolving and managing functionalities. + +**3.2.5 identifier protocol (IDP)**: A set of rules and regulations that specifies how the locator(s) of a data packet is/are manipulated based on ID in the network layer under the ID/locator separation of information-centric networking (ICN). + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-------------------------------------------| +| AN | Access Network | +| ARP | Address Resolution Protocol | +| CN | Core Network | +| CP | Control Plane | +| CUPS | Control and User Plane Separation | +| DAN | Data Aware Networking | +| DDoS | Distributed Denial-of-Service | +| GNMRS | Global Name Mapping and Resolution System | +| HDD | Hard Disk Drive | + +| | | +|----------|----------------------------------------------| +| ICN | Information-Centric Networking | +| ID | Identifier | +| IDP | Identifier Protocol | +| IMT-2020 | International Mobile Telecommunications 2020 | +| IP | Internet Protocol | +| LNMRs | Local Name Mapping and Resolution System | +| NDO | Named Data Object | +| NDP | Neighbour Discovery Protocol | +| NO | Named Object | +| RF | Radio Frequency | +| SDN | Software Defined Networking | +| SSD | Solid State Disk | +| UE | User Equipment | +| UP | User Plane | +| UPF | User Plane Function | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "is not recommended" indicate a requirement which is not recommended but which is not specifically prohibited. Thus, conformance with this specification can still be claimed even if this requirement is present. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +## 6 Introduction + +Information-centric networking (ICN) has been considered as an emerging technology for the IMT-2020 network to achieve its performance goals. [ITU-T Y.3071] gives a functional view of data aware networking (DAN) which is also called ICN, capabilities with separated control capability and data capability. Control and user plane separation (CUPS) has been set as a key feature of the core network (CN) for the IMT-2020 network, which allows enabling of software defined networking (SDN) to deliver the user plane data more flexibly. As fundamental functions of ICN, the ICN routing and forwarding should follow the same mechanism of CUPS in IMT-2020. In ICN, unique ID is used to label data/devices, and the ID-locator pairs are usually maintained. Currently, the Internet has a locator-based infrastructure, such as IP. When using ICN technology to + +build IMT-2020 network, it is required to give consideration on how to inter-operate with the existing locator-based network infrastructure. Under the mechanism of ID/locator separation, using IP as a locator is a reasonable option for ICN in IMT-2020. Considering the IMT-2020 scenarios and the previous studies of DAN in [ITU-T Y.3071], this Recommendation intends to specify the requirements and capabilities for ICN routing and forwarding based on CUPS in IMT-2020. + +Capabilities in the control plane and data plane for ICN routing and forwarding based on CUPS in IMT-2020 are separated. The routing controlling and forwarding information maintaining are responsibilities of the control plane. The packet classification, packet reconstruction and name-based/IP-based forwarding are all processed in the data plane, and the locator(s) or address(es) of a data packet can be manipulated based on its ID, which are instructed by the controlling information sent by the control plane. Meanwhile, some actions or process logics are also executed in the node of the data plane, such as local computing and local storage. In addition, both control plane and data plane have the interface to interact with the global name mapping and resolution system (GNMRS), and local name mapping and resolution system (LNMRS) [ITU-T Y.3032], [ITU-T Y.3071], [ITU-T Y.3072], in which the ID-locator mappings are maintained globally and locally separately. GNMRS and LNMRS can help name-based forwarding to retrieve its corresponding IP address based on its ID. Usually, GNMRS maintains global ID-locator pairs, and LNMRS maintains local ID-locator pairs. + +NOTE – The terms "data plane" and "user plane" are synonyms in this Recommendation. In the context of routing and forwarding, the data plane is commonly used instead of user plane. + +## **7 Requirements of ICN routing and forwarding** + +Requirements of ICN routing and forwarding are described in this clause. + +### **7.1 Service requirements** + +- 1 It is required to implement the separation of control plane and data plane for ICN routing and forwarding based on CUPS in IMT-2020. +- 2 It is required to have the capability to interact with the global or local name mapping and resolution system. + - It is required to have the capability for the control plane to interact with the GNMRS or LNMRS. + - It is required to have the capability for the data plane to interact with the GNMRS or LNMRS, and to obtain the ID and IP mapping information. Usually, LNMRS is located near the user, which may bring more efficient or onsite service for users. +- 3 It is required to have the capability for the data plane to receive the flow table from the control plane, and the data plane creates, forwards, modifies or duplicates packets based on the received flow table. +- 4 It is required to have the capability to configure or load the routing and forwarding strategies dynamically to meet service requirements elastically. Meanwhile: + - It is required to have the capability to configure the routing and forwarding algorithm manually. + - It is recommended to have the capability to update the routing and forwarding strategies in the run time. +- 5 It is required to have the capability for the network layer to provide an ID based service interface for the transport layer. +- 6 It is required to have the capability to support the hybrid networking schema of IP and ICN based on control and user plane separation in IMT-2020. + +### 7.2 Functional requirements + +- 1 It is required that the control plane has the capability to support different kinds of routing. + - It is required to have the capability to get the network topology and status information for routing. + - It is required to have the capability to route based on the joint of ID and IP address. + - It is required to have the capability to route based on name. + - It is required to have the capability to route based on IP address. +- 2 It is required to have the capability to support the intermediate network node to store or cache data for highly efficient or nearby forwarding in the data plane. Meanwhile, it is required to have the capability to support the intermediate network node to store or cache the forwarded data. +- 3 It is required to have the capability to maintain more information for elastic caching or storing in the data plane. For example, the information about intermediate network node and its nearby nodes are maintained, including load status, storage status, service status and input/output (IO) status, which can be used for collaborative caching and storing among different nodes. +- 4 It is required to have the capability to support querying and measuring the network status in the data plane, including: + - It is required to support querying and measuring the network status in real-time, such as the load of ports and available bandwidth. + - It is recommended to support analysing and predicting the network status. +- 5 It is required that the data plane has the capability to forward, create, modify and duplicate packets, including: + - It is required to have the capability to differentiate and forward different kinds of packets, including IP packets, ID/IP integrated ICN packets and other packets. + - It is required to have the capability for a node in data plane to construct a new packet according to the information from control plane or local function of the node. For example, construct specific packets for the name mapping and resolution purpose. + - It is required to have the capability to elastically select proper address(es) and modify the address field for a packet during the forwarding process. For example, in a multi-homing scenario, a user equipment (UE) may have a candidate address set which may contain more than one address. The proper address(es) should be selected from the candidate address set during the forwarding. The corresponding address field in the packet may be modified (e.g., added, deleted or changed) based on the selected address(es) accordingly. + - It is required to have the capability to change the destination address during the forwarding process. For example, in a mobility scenario, if a UE changes its location and so is its IP address. Therefore, the destination address in the packets which are forwarded to the UE should be modified to the new address during the forwarding process. +- 6 It is recommended to have the capability of computing in the data plane, which can execute some actions or network protocols, such as network measuring and neighbour discovery protocol (NDP)/address resolution protocol (ARP). +- 7 It is recommended to have the capability to acquire the network status information from the data plane by the control plane for routing. +- 8 It is required to have the capability to calculate the forwarding path based on the hybrid routing schema of IP and ICN in the control plane. + +## 8 Capabilities of ICN routing and forwarding + +Capabilities of ICN routing and forwarding based on CUPS in IMT-2020, as shown in Figure 8-1, are divided into the capabilities in the control plane and the data plane. Figure 8-1 also illustrates the functionalities that support the capabilities of ICN routing and forwarding. Capabilities in the two planes are depicted in clauses 8.1 and 8.2 respectively. + +![Figure 8-1: Capabilities of ICN routing and forwarding based on CUPS in IMT-2020. The diagram shows a central dashed box containing two main sections: 'Control plane capabilities' (shaded light purple) and 'Data plane capabilities' (shaded light green). The 'Control plane capabilities' section includes 'Interface for registration and resolution', 'Routing', and 'Forwarding information base'. The 'Data plane capabilities' section includes 'Local computing', 'Local storage', 'Flow classifier', 'Name-based forwarding', 'ID/IP integrated reconstruction' (which contains 'IDP process' and 'Packet reconstruction'), and 'IP forwarding'. To the right of the dashed box, there are two external components: 'Global name mapping and resolution system' (shaded light purple) connected to the control plane by a double-headed arrow, and 'Local name mapping and resolution system' (shaded light purple, represented as a stack of boxes) connected to the data plane by a double-headed arrow. The identifier 'Y.3075(20)_F8-1' is located at the bottom right of the diagram area.](042733dc5e8e7f5f30b60adba3266cde_img.jpg) + +Figure 8-1: Capabilities of ICN routing and forwarding based on CUPS in IMT-2020. The diagram shows a central dashed box containing two main sections: 'Control plane capabilities' (shaded light purple) and 'Data plane capabilities' (shaded light green). The 'Control plane capabilities' section includes 'Interface for registration and resolution', 'Routing', and 'Forwarding information base'. The 'Data plane capabilities' section includes 'Local computing', 'Local storage', 'Flow classifier', 'Name-based forwarding', 'ID/IP integrated reconstruction' (which contains 'IDP process' and 'Packet reconstruction'), and 'IP forwarding'. To the right of the dashed box, there are two external components: 'Global name mapping and resolution system' (shaded light purple) connected to the control plane by a double-headed arrow, and 'Local name mapping and resolution system' (shaded light purple, represented as a stack of boxes) connected to the data plane by a double-headed arrow. The identifier 'Y.3075(20)\_F8-1' is located at the bottom right of the diagram area. + +Figure 8-1 Capabilities of ICN routing and forwarding based on CUPS in IMT-2020 + +### 8.1 Capabilities in the control plane + +Capabilities in the control plane have three major functionalities, including routing, forwarding information base and name mapping and resolution. The functionalities are described as follows: + +**Routing:** Collect and analyse the network topology and status information reported from the data plane; calculate the transmission path based on specific routing algorithms including algorithms for name-based routing, ID/IP integrated routing and IP routing. Routing can support different scenarios such as mobility, multi-homing and multicast. + +**Interface for name mapping and resolution:** Provide the interface to GNMRS and LNMRS. Usually, GNMRS maintains the global information. LNMRS contains the information that is related to the nearby users, and LNMRS is located at the edge of network. In general, it is more efficient for end users to look up in LNMRS than in GNMRS. The control plane and the data plane maintain the entrance of GNMRS or LNMRS, sending the mapping or resolution messages to GNMRS or LNMRS and receiving the address information from them. + +**Forwarding information base:** It is the storage to hold information to determine the direction of a packet to be forwarded to, and **forwarding information base** is to be used by the forwarding function. The forwarding information is derived from the routing function. + +### 8.2 Capabilities in the data plane + +Capabilities in the data plane have six major functionalities, which are described as follows: + +**Flow classifier:** Recognizes different kinds of packets including ID/IP integrated ICN packets, IP packets and other specified packets. + +**IP forwarding:** Forward IP packets according to the forwarding information base. + +**Name-based ICN forwarding:** Forwards the ICN packet by name according to the forwarding information base, which is totally different from IP forwarding. + +**ID/IP integrated ICN reconstruction:** Contains the IDP process module and packet reconstruction module. The IDP process module is responsible for asking GNMRS or LNMRS for address(es), maintaining the rules and regulations about how to process the address/es in the packet and modifying the address field in the packet based on the aforementioned rules or regulations, for example, deleting some addresses from the address field, or changing the destination address. In order to get the corresponding address(es) based on a unique ID, the IDP process module uses the interface to query GNMRS or LNMRS. Under the consideration of the elastic and onsite service, LNMRS is normally first queried. The address field of a packet may be modified based on the queried address/es through the IDP process module. After that, a new ID/IP integrated ICN packet will be reconstructed by the packet reconstruction module, which will finally be forwarded by the IP forwarding module. + +This process includes the following capabilities, which can correspond to various scenarios. + +- In a multicast scenario, a data packet can be duplicated and forwarded to more than one port. The destination IP addresses of the duplicated packets can be modified by the identifier protocol (IDP) process module accordingly. +- In a multi-homing scenario, an ID may correspond to multiple IPs. Selection of the suitable address as the destination address is based on the network status information and the forwarding strategies. The address field in the packet may be modified by the IDP process module during the forwarding process. +- In a mobility scenario, when a UE changes its position, its IP address may also be changed. It implies that the IP address in the packet should be modified by the IDP process module dynamically. +- In a caching scenario, the same content may have multiple replicas cached at different intermediate network nodes. In order to achieve better data service, the address of the proper data replica may be selected as the destination address based on some strategies by the IDP process module. + +**Local computing:** Executes some actions or process logics in a node of the data plane, which may be valuable to provide elastic resources for some services, especially in the resource autonomous network. Some computing functions in the control plane can also be executed by this module, such as measuring network status and maintaining status information. It may improve the processing efficiency of the data plane to satisfy the requirements on high efficiency or onsite process for some time-sensitive services. + +**Local storage:** Provides storage medium in the node of the data plane, such as solid state disk (SSD) or hard disk drive (HDD). It can be used by the local computing function to read/write data. + +## 9 Security consideration + +To support the capabilities of radio frequency (RF), different kinds of security threats should be considered. + +The availability of RF is dependent on the interaction between RF and GNMRS or LNMRS. In order to avoid the potential risks caused by the interaction with outside systems, some security mechanisms should be considered to ensure the interacting process is safe enough, for example, authentication and authorization to avoid illegal users, and malicious information detection against unexpected messages. + +In RF, the data plane has the capability of storage, which implies some intermediate nodes are data providers and become the destination of user packets. Distributed denial-of-service (DDoS) attack caused by node address leakage may be the risk in this stage. To alleviate this risk, address + +translation can be executed at the network boundary, and the real addresses of intermediate nodes are shielded for end users. In addition, some approaches for IP network devices defence can also be borrowed, such as a firewall. + +For SDN, many mechanisms are applied to secure the network, for example, encryption and authentication for data and users, examining programs thoroughly before their installation to networks, verifying the communication channel between the controller and network resources, and shaping secure data traffic, which can guarantee the security of RF with the aforementioned approaches simultaneously. + +## Bibliography + +- [b-ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3033] Recommendation ITU-T Y.3033 (2014), *Framework of data aware networking for future networks*. +- [b-ITU-T Y.Sup.35] ITU-T Y-series Recommendations – Supplement 35 (2016), *Data aware networking – Scenarios and use cases*. +- [b-ITU-T Y.Sup.48] ITU-T Y-series Recommendations – Supplement 48 (2018), *Proof-of-concept for data service using information centric networking in IMT-2020*. +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| 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RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## **FUTURE NETWORKS** **Y.3000–Y.3499** + +### CLOUD COMPUTING Y.3500–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3107 + +# Functional architecture for QoS assurance management in the IMT-2020 network + +## Summary + +Recommendation ITU-T Y.3107 aims to specify the functional architecture for quality of service (QoS) assurance management in the International Mobile Telecommunications (IMT) 2020 network. + +This Recommendation first describes the functional architecture for QoS assurance management under the IMT-2020 network management and orchestration framework. It then specifies reference points between QoS functional entities and the IMT-2020 network management and orchestration plane. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3107 | 2019-08-13 | 13 | 11.1002/1000/13986 | + +## Keywords + +IMT-2020 network, functional architecture, QoS assurance management + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2019 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|----------------------------------------------------------------------------------|-------------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 3 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 4 | +| 6 | Functional architecture for QoS assurance management in the IMT-2020 network.... | 5 | +| | 6.1 Functional architecture for QoS assurance management ..... | 5 | +| | 6.2 Functional entities for QoS assurance management..... | 7 | +| 7 | Reference points ..... | 9 | +| | 7.1 Reference point Si ..... | 9 | +| | 7.2 Reference point Se..... | 11 | +| | 7.3 Reference point Is..... | 13 | +| | 7.4 Reference point Ic..... | 15 | +| | 7.5 Reference point Id ..... | 17 | +| 8 | QoS assurance management procedure ..... | 19 | +| 9 | Security considerations..... | 21 | +| | Bibliography..... | 22 | + + + +# Recommendation ITU-T Y.3107 + +# Functional architecture for QoS assurance management in the IMT-2020 network + +# 1 Scope + +This Recommendation specifies functional architecture for quality of service (QoS) assurance management in the IMT-2020 network. The scope of this Recommendation is as follows: + +- Functional architecture for QoS assurance management in the IMT-2020 network; +- Reference points between QoS assurance management functional entities and the IMT-2020 network management and orchestration plane; +- QoS assurance management procedure. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|--------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T E.860] | Recommendation ITU-T E.860 (2002), Framework of a service level agreement . | +| [ITU-T M.3010] | Recommendation ITU-T M.3010 (2000), Principles for a telecommunications management network . | +| [ITU-T P.10] | Recommendation ITU-T P.10/G.100 (2017), Vocabulary for performance, quality of service and quality of experience . | +| [ITU-T Q.1743] | Recommendation ITU-T Q.1743 (2016), IMT-Advanced references to Release 11 of LTE-Advanced evolved packet core network . | +| [ITU-T X.1211] | Recommendation ITU-T X.1211 (2014), Techniques for preventing web-based attacks . | +| [ITU-T Y.3100] | Recommendation ITU-T Y.3100 (2017), Terms and definitions for IMT-2020 network . | +| [ITU-T Y.3101] | Recommendation ITU-T Y.3101 (2018), Requirements of the IMT-2020 network . | +| [ITU-T Y.3106] | Recommendation ITU-T Y.3106 (2019), Quality of service functional requirements for the IMT-2020 network . | +| [ITU-T Y.3110] | Recommendation ITU-T Y.3110 (2017), IMT-2020 network management and orchestration requirements . | +| [ITU-T Y.3111] | Recommendation ITU-T Y.3111 (2017), IMT-2020 network management and orchestration framework . | +| [ITU-T Y.3170] | Recommendation ITU-T Y.3170 (2018), Requirements for machine learning-based quality of service assurance for the IMT-2020 network . | + +- [ITU-T Y.3324] Recommendation ITU-T Y.3324 (2018), *Requirements and architectural framework for autonomic management and control of IMT-2020 networks*. +- [ITU-R M.2083-0] Recommendation ITU-R M.2083-0 (2015), *IMT Vision – Framework and overall objectives of the future development of IMT for 2020 and beyond*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 anomaly** [ITU-T X.1211]: A pattern in the data that does not conform to the expected behaviour. + +**3.1.2 assurance** [b-ITU-T X.1500]: The degree of confidence that the process or deliverable meets defined characteristics or objectives. + +**3.1.3 control plane** [ITU-T Y.2011]: The set of functions that controls the operation of entities in the stratum or layer under consideration, plus the functions required to support this control. + +**3.1.4 data plane** [ITU-T Y.2011]: The set of functions used to transfer data in the stratum or layer under consideration. + +**3.1.5 IMT-2020** [ITU-T Y.3100]: (Based on [ITU-R M.2083-0]) Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +**3.1.6 network slice** [ITU-T Y.3100]: A logical network that provides specific network capabilities and network characteristics. + +NOTE 1 – Network slices enable the creation of customized networks to provide flexible solutions for different market scenarios which have diverse requirements, with respect to functionalities, performance and resource allocation. + +NOTE 2 – A network slice may have the ability to expose its capabilities. + +NOTE 3 – The behavior of a network slice is realized via network slice instance(s). + +**3.1.7 network slice instance** [ITU-T Y.3100]: An instance of network slice, which is created based on a network slice blueprint. + +NOTE 1 – A network slice instance is composed of a set of managed run-time network functions, and physical/logical/virtual resources to run these network functions, forming a complete instantiated logical network to meet certain network characteristics required by the service instance(s). + +NOTE 2 – A network slice instance may also be shared across multiple service instances provided by the network operator. A network slice instance may be composed of none, one or more sub-network slice instances which may be shared with another network slice instance. + +**3.1.8 orchestration** [ITU-T Y.3100]: In the context of IMT-2020, the processes aiming at the automated arrangement, coordination, instantiation and use of network functions and resources for both physical and virtual infrastructures by optimization criteria. + +**3.1.9 quality of experience** [ITU-T P.10]: The overall acceptability of an application or service, as perceived subjectively by the end-user. + +NOTE – Quality of experience includes the complete end-to-end system effects (client, terminal, network, services infrastructure, etc.). + +**3.1.10 quality of service** [ITU-T Q.1743]: The collective effect of service performances, which determine the degree of satisfaction of a user of a service. It is characterized by the combined aspects of performance factors applicable to all services, such as: + +- service operability performance; +- service accessibility performance; +- service retainability performance; +- service integrity performance; and +- other factors specific to each service. + +**3.1.11 service level agreement (SLA)** [ITU-T E.860]: A formal agreement between two or more entities reached after a negotiating activity with the scope to assess service characteristics, responsibilities and priorities of every part. A SLA may include statements about performance, billing, service delivery but also legal and economic issues. + +**3.1.12 third party (3rd party)** [ITU-T Y.3100]: In the context of IMT-2020, with respect to a given network operator and network end-users, an entity which consumes network capabilities and/or provides applications and/or services. + +NOTE 1 – An example of 3rd party, a virtual network operator (VNO) may use capabilities exposed by a network operator, e.g., to manage specific network slices. Another example of 3rd party, a service and/or application provider (e.g., an over the top (OTT) player) may provide applications and/or services to enhance the network capabilities. + +NOTE 2 – Network end-users are not regarded as 3rd parties. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|--------------------------------------------------| +| AN | Access Network | +| ASPM | Application and Service Plane Management | +| ASPM-S | Application and Service Plane Management Support | +| ASP-S | Application and Service Plane Support | +| BSS | Business Support System | +| CN | Core Network | +| CPM | Control Plane Management | +| CPM-S | Control Plane Management Support | +| CP-S | Control Plane Support | +| DPM | Data Plane Management | +| DPM-S | Data Plane Management Support | +| DP-S | Data Plane Support | +| DSCP | Differentiated Service Code Point | +| E2E | End-to-End | +| EMES | External Management Entity Support | +| ERM | External Relationship Management | + +| | | +|--------|------------------------------------------| +| IASP | IMT-2020 Applications and Service Plane | +| ICP | IMT-2020 Control Plane | +| IDP | IMT-2020 Data Plane | +| IMT | International Mobile Telecommunications | +| KPI | Key Performance Indicator | +| MANO | Management and Orchestration | +| OSS | Operational Support System | +| OTT | Over The Top | +| PQ | Priority Queuing | +| QCI | QoS Class Indicator | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| SCM | Slice Charging Management | +| SCPO | Slice Capacity Planning and Optimization | +| SDN | Software-defined Networking | +| SFM | Slice Fault Management | +| SI | Slice Instance | +| SLM | Slice Life-cycle Management | +| SLMCCS | Slice Lifecycle Customer Care Support | +| SP | Slice Provisioning | +| SRMA | Slice Resource Monitoring and Analysis | +| SRR | Slice Resource Repository | +| SSM | Slice Security Management | +| WRED | Weighted Random Early Detection | +| WRR | Weighted Round-Robin | + +# 5 Conventions + +This Recommendation uses the following conventions: + +The term "is required to" indicates a requirement which must be strictly followed, and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# **6 Functional architecture for QoS assurance management in the IMT-2020 network** + +## **6.1 Functional architecture for QoS assurance management** + +The quality of service (QoS) functional requirements for the IMT-2020 network are specified in [ITU-T Y.3106]. Assurance is defined in [b-ITU-T X.1500] as the degree of confidence that the process or deliverable meets defined characteristics or objectives. The functional architectures for QoS assurance management in this Recommendation are based on the high-level architecture of IMT-2020 network slice management and orchestration provided in [ITU-T Y.3110], [ITU-T Y.3111] and [ITU-T Y.3324]. Figure 1 illustrates the functional architecture for QoS assurance management in IMT-2020 network slice life cycle management. Figure 2 illustrates the functional architecture for QoS assurance management in IMT-2020 network slice instance management. + +Network slicing enables the operator to create logically partitioned networks customized to provide optimized solutions for different market scenarios which demand diverse requirements in terms of service characteristics, required functionality, performance and isolation issues. The orchestration functionalities are specified in the functional elements: slice capacity planning and optimization (SCPO), slice provisioning (SP), and inter-slice orchestration. Management functionalities are specified in the functional elements: slice fault/security/charging management, slice resource monitoring and analytics and resource repository. + +The slice capacity planning and optimization functional element is responsible for the planning of necessary resources for the requested slice provisioning and optimizing usage of resources for creating and maintaining slices. During the slice capacity planning, the IMT-2020 QoS planning is involved. The IMT-2020 network QoS planning provides an estimate of the network coverage, capacity and resources requirements. This requires knowledge of real traffic estimates and network topology for each analysed area, utilisation of accurate models for signal and user data transmissions, and implementation of the actual network element characteristics, functionalities and parameters. During the slice optimization, the IMT-2020 QoS optimization is involved. The IMT-2020 network QoS optimisation can be seen as a process to improve the overall network quality, users' quality of experience (QoE) [ITU-T P.10] and to ensure that the network resources are efficiently utilised. + +The slice provisioning functional element is responsible for provisioning requested slices by the customers. During the slice provisioning, the IMT-2020 QoS provisioning is also involved. The IMT-2020 network QoS provisioning includes: translation of service-centric service level agreement (SLA) [ITU-T E.860] to resource-facing network slice descriptions, unified and end to end (E2E) QoS controlling, QoS interworking and mapping, efficient E2E QoS provisioning, etc. + +The slice resource monitoring and analytics functional element is responsible for collecting the status and events of the provisioned slice resources and analysing them for the purpose of fault, quality, and security management. During the slice resource monitoring and analytics, the IMT-2020 QoS monitoring and analytics is also involved. This includes IMT-2020 QoS monitoring [b-3GPP TS 22.261], measurements, analysis of measurement results, modelling and training [ITU-T Y.3170], anomaly [ITU-T X.1211] detection, anomaly prediction and updates of the network slice parameters. + +The QoS policy repository functional element provides capabilities to store the network-wide QoS policy information in a distributed manner. + +![Figure 1: Functional architecture for QoS assurance management in IMT-2020 network slice life-cycle management. The diagram shows a hierarchical structure. The outermost box is 'IMT-2020 slice life-cycle management and orchestration plane'. Inside it is 'IMT-2020 slice life-cycle management and orchestration'. This contains a 'Slice life-cycle management customer care support' block at the top, followed by two columns of functional blocks. The left column includes 'Slice capacity planning and optimization' (with 'QoS planning' and 'QoS optimization' sub-blocks), 'Inter-slice orchestration', 'Slice security management', 'Slice resource monitoring and analytics' (with 'QoS monitoring and analytics' sub-block), and 'External management entity support'. The right column includes 'Slice provisioning' (with 'QoS provisioning' sub-block), 'Slice fault management', 'Slice charging management', 'Slice resource repository' (with 'QoS policy repository' sub-block), and 'External management entity support'. A 'Su' label points to the top of the inner box, and 'Se' and 'Si' labels point to the bottom right of the inner box. The reference 'Y.3107(19)_F01' is at the bottom right.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Figure 1: Functional architecture for QoS assurance management in IMT-2020 network slice life-cycle management. The diagram shows a hierarchical structure. The outermost box is 'IMT-2020 slice life-cycle management and orchestration plane'. Inside it is 'IMT-2020 slice life-cycle management and orchestration'. This contains a 'Slice life-cycle management customer care support' block at the top, followed by two columns of functional blocks. The left column includes 'Slice capacity planning and optimization' (with 'QoS planning' and 'QoS optimization' sub-blocks), 'Inter-slice orchestration', 'Slice security management', 'Slice resource monitoring and analytics' (with 'QoS monitoring and analytics' sub-block), and 'External management entity support'. The right column includes 'Slice provisioning' (with 'QoS provisioning' sub-block), 'Slice fault management', 'Slice charging management', 'Slice resource repository' (with 'QoS policy repository' sub-block), and 'External management entity support'. A 'Su' label points to the top of the inner box, and 'Se' and 'Si' labels point to the bottom right of the inner box. The reference 'Y.3107(19)\_F01' is at the bottom right. + +**Figure 1 – Functional architecture for QoS assurance management in IMT-2020 network slice life-cycle management** + +![Figure 2: Functional architecture for QoS assurance management in IMT-2020 network slice instance management. The diagram shows two main planes. The left plane is 'IMT-2020 slice life-cycle management and orchestration' (containing 'External management entity support') and 'IMT-2020 applications and service plane' (containing 'Applications and service plane functions' and 'ASP QoS assurance support'). The right plane is 'IMT-2020 slice instance management plane' (containing 'Extern relationship management', 'Applications and service plane management', 'Control plane management', and 'Data plane management'). A vertical bar on the right is labeled 'Multi-plane management coordination'. Arrows labeled 'Si', 'Ie', 'Is', 'Ic', and 'Id' connect the two planes. The bottom of the left plane is labeled 'Resources'. The reference 'Y.3107(19)_F02' is at the bottom right.](042733dc5e8e7f5f30b60adba3266cde_img.jpg) + +Figure 2: Functional architecture for QoS assurance management in IMT-2020 network slice instance management. The diagram shows two main planes. The left plane is 'IMT-2020 slice life-cycle management and orchestration' (containing 'External management entity support') and 'IMT-2020 applications and service plane' (containing 'Applications and service plane functions' and 'ASP QoS assurance support'). The right plane is 'IMT-2020 slice instance management plane' (containing 'Extern relationship management', 'Applications and service plane management', 'Control plane management', and 'Data plane management'). A vertical bar on the right is labeled 'Multi-plane management coordination'. Arrows labeled 'Si', 'Ie', 'Is', 'Ic', and 'Id' connect the two planes. The bottom of the left plane is labeled 'Resources'. The reference 'Y.3107(19)\_F02' is at the bottom right. + +**Figure 2 – Functional architecture for QoS assurance management in IMT-2020 network slice instance management** + +## 6.2 Functional entities for QoS assurance management + +The QoS assurance management functional entities are illustrated in Figure 3. The IMT-2020 applications and service plane QoS assurance support functional entities include: SLA support, QoS policy and QoS capabilities exposure to third party [ITU-T Y.3100]. The control plane [ITU-T Y.2011] QoS assurance support functional entities include: QoS data analysis, QoS planning and optimization, QoS provisioning. The data plane [ITU-T Y.2011] QoS assurance support functional entities include: QoS policy enforcement, QoS data collection and QoS mapping. + +![Figure 3 – QoS functional entities diagram showing three planes: ASP, CP, and DP.](eefe19c5e14dc4d6c316b7f7fbb7d7d7_img.jpg) + +The diagram illustrates the functional entities for QoS assurance management across three planes of the IMT-2020 network. Each plane is represented by a horizontal bar containing a green box for assurance support and blue boxes for specific functional entities. + +- IMT-2020 applications and service plane (ASP):** Contains 'ASP QoS assurance support' (green box), 'SLA support' (blue box), 'QoS policy' (blue box), and 'QoS capabilities exposure' (blue box). +- IMT-2020 control plane (CP):** Contains 'CP QoS assurance support' (green box), 'QoS data analysis' (blue box), 'QoS planning and optimization' (blue box), and 'QoS provisioning' (blue box). +- IMT-2020 data plane (DP):** Contains 'DP QoS assurance support' (green box), 'QoS policy enforcement' (blue box), 'QoS data collection' (blue box), and 'QoS mapping' (blue box). + +Y.3107(19)\_F03 + +Figure 3 – QoS functional entities diagram showing three planes: ASP, CP, and DP. + +Figure 3 – QoS functional entities + +### 6.2.1 Applications and service plane QoS assurance support functional entity + +The applications and service plane QoS assurance support functional entity includes the following functions: + +##### 1) Service level agreement (SLA) support + +SLA is a formal agreement between two or more entities reached after a negotiating activity with the scope to assess service characteristics, responsibilities and priorities of every part. SLA may include statements about performance, billing, service delivery but also legal and economic issues [ITU-T E.860]. The SLA is from the user and service point of view. The QoS policy is from the network point of view. The SLA support receive the SLAs from the network users and translate them to QoS policies. + +##### 2) QoS policy support + +In general, SLAs are used to establish QoS parameters for QoS enforcement functions. Each SLA consists of a set of objectives that are used to derive network level policies, which are in turn translated into QoS primitives (e.g., forwarding rules, queue configurations, packet dropping rate, and traffic shaping policies). The QoS mapping policies for QoS interworking between access network (AN) and core network (CN) is also included in QoS policy functional entity. + +The QoS policy support distributes the translated QoS policies to the control plane and data plane for QoS enforcement. + +##### 3) QoS capabilities exposure + +IMT-2020 networks are expected to bring some new and enhanced capabilities. The opening of IMT-2020 network capabilities exposure will bring new business opportunities to operators, vendors and third parties e.g., enterprises or over the top (OTT) players. Except for the network slicing capabilities exposure, the IMT-2020 QoS capabilities exposure is also one of the network capabilities which can open the QoS capabilities for third parties. + +All QoS functions and capabilities can be accessed through service-oriented interfaces which include service registration, service discovery, service request and service deregistration. + +### **6.2.2 Control plane QoS assurance support functional entity** + +The control plane QoS assurance support functional entity includes the following functions: + +##### **1) QoS data analysis** + +The QoS data analysis receives QoS related information data and construct QoS model for QoS assurance. For example, it can construct correlations model between QoS information data and QoS anomalies and the correlations between QoS data and user QoE using machine learning methods [ITU-T Y.3170]. + +QoS data analysis can detect QoS related anomalies and predict QoS anomaly when current QoS related information data is input into the model with high confidence. + +##### **2) QoS planning and optimization** + +The IMT-2020 network QoS planning receives the knowledge of real traffic estimates and network topology for each analysed area, utilisation of accurate models for signal and user data transmissions, and implementation of the actual network element characteristics, functionalities and parameters. Then, QoS planning provides an estimate of the network coverage, capacity and resources requirements. + +The IMT-2020 network QoS optimisation can update the QoS planning results to improve the overall network quality, user's QoE and to ensure that the network resources are efficiently utilized. + +The estimation and optimization results are embedded in the network slice planning and optimization. + +##### **3) QoS provisioning** + +The IMT-2020 QoS provisioning translates QoS policies to resource-facing network slice descriptions to enforce unified and E2E QoS controlling, QoS interworking and mapping, efficient E2E QoS provisioning. + +### **6.2.3 Data plane QoS assurance support functional entity** + +The data plane QoS assurance support functional entity includes the following functions: + +##### **1) QoS policy enforcement** + +The QoS enforcement is mainly focusing on queue management. An important goal of queue management is to minimize the steady-state queue size while not under-utilizing link as well as avoiding the lock-out phenomenon where a single connection or flow monopolizes the queue space. The detailed QoS enforcement functions include packet marking, congestion avoidance, queue shaping, and queue scheduling with a finer level of QoS granularities (per-UE, per-flow). Schemes for queue management differ mainly in the criteria for dropping packets and what packets should be dropped. The use of multiple queues introduces further variation in the schemes, for example, in the way packets are distributed among the queues. It can utilize weighted random early detection (WRED) queue management algorithm, priority queuing (PQ), and weighted round-robin (WRR) queue scheduling algorithms. + +##### **2) QoS monitoring and data collection** + +The IMT-2020 networks are very complicated and are composed of many different network domains such as front haul, backhaul, and core networks. IMT-2020 QoS analysis is data driven. QoS monitoring solution should cover the entire network environment. This complexity is typically solved by distributed domain QoS monitoring. + +The QoS monitoring and data collection function entity monitors and collects static information data of IMT-2020 physical or virtual resources, network slice, configuration, fault, performance, security and key performance indicators (KPIs). The QoS monitoring and data collection function entity also monitors and collects dynamic information data of IMT-2020 configuration, fault, performance and security events. The QoS monitoring and data collection functional entity sends these information to the QoS data analysis functional entity for further processing. + +##### **3) IMT-2020 QoS mapping** + +IMT-2020 QoS mapping is used to support proper QoS interworking between networks that packets traverse different network domains (e.g., mapping access network QoS class indicator (QCI) to core network differentiated service code point (DSCP)). QCI value is associated with three attributes: priority, packet delay budget and packet error loss. QCI values are used for selecting scheduling weights, queue thresholds, link-layer configuration which can be translated and mapped into other network domain. + +# **7 Reference points** + +Based on the reference points specified in [ITU-T Y.3111] and [ITU-T Y.3324], the reference points in this Recommendation are described in this clause. + +NOTE – [ITU-T M.3010] specifies management reference points among various management functional entities such as x, q, g, m, and f depending on the context that they are used. Two of them are applicable in this Recommendation: x and q. x is for an inter-operators system and q is for intra-operator system purposes. Although SG13 uses different naming conventions for reference points, Si and Se reference points may serve in the context of x or q and Is, Ic and Id reference points in the context of q. + +## **7.1 Reference point Si** + +The Si reference point is required to enable request/response information needed for IMT-2020 network slice instance life-cycle management to be exchanged between the external management entity support functional element (EMES) in the management and orchestration plane of the IMT-2020 network slice life-cycle management (SLM) and the external relationship management functional component (ERM) in the management plane of a network slice instance (SI). + +This reference point is extended to support QoS assurance management in the overall network slice life cycle. The extension is described in this clause. + +The Si reference point may operate as an intra-domain and/or inter-domain reference point. + +### **7.1.1 Functional requirements** + +#### **7.1.1.1 Slice instance life-cycle management functional requirements** + +The Si reference point provides the ability to make requests/responses between the EMES in the SLM and ERM in SI for: + +- network slice provisioning; +- network slice instance monitoring; +- network slice instance fault management; +- network slice instance charging management; +- network slice instance security management; +- inter-network slice instance orchestration; +- autonomic network slice life-cycle instance management; +- QoS related network slice life-cycle instance management; + +- a status report of network slice provisioning, network slice instance performance, fault, charging and security events. + +#### 7.1.1.2 Slice instance life-cycle management session processing functional requirements + +To assure the reliability and performance of slice instance life-cycle management session operations across the Si reference point, the following capabilities are required: + +- **Overload control:** The Si reference point is required to support the capability on overload control for preventing the overflow of information messages exchanged between the EMES and ERM. +- **Synchronization and audit:** The Si reference point is required to support the capability on synchronization and audit of the network slice instance life-cycle management session status in support of recovery and operational information statistics and auditing. +- **Session state maintenance:** The Si reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +#### 7.1.2 Information exchange requirements + +This clause provides brief descriptions of the information exchange requirements for the Si reference point: + +- **Request-response transactions:** The reference point is required to allow EMES to request a transaction to be performed by the ERM and get a response (that can be correlated with the request) in return and also vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: EMES and ERM. +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of an appropriate corresponding instance when requesting network slice instance life-cycle management functions. +- **Security:** The Si is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: an EMES is required to be able to communicate with multiple ERMs; 2) many-to-one mode: multiple ERM instances are required to be able to make requests to a given EMES. + +#### 7.1.3 Information components + +The information components exchanged across the Si reference point are categorized in Table 7-1 as follows: + +**Table 7-1 – Information components for reference point Si** + +| Information component | Description | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Connection ID | Identifies a transport connection or path. A unique value for Connection ID is set by ERM in SI. Two types supported are IPv4 & IPv6 transport connection IDs. | +| Authentication Information | Authenticates the peers (i.e., EMES and ERM) | +| Reason Code | Specifies the reason associated with a particular connection ID or service ID. | + +**Table 7-1 – Information components for reference point Si** + +| Information component | Description | +|-------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Identity Identification | Specifies unique identification. It adopts only International Alphabet No. 5 string format defined in the [ITU-T T.50]. Generally, it is a static IP address of EMES/ERM. When the ERCM/ERM adopts dynamic IP address, identity identification object can use domain name system (DNS) domain name. | +| Keep-Alive Timer | Specifies the maximum time interval over which an Si protocol transport channel message is recommended in order to be sent or received. | +| Data Consistency Information | Verifies the consistency of the Se protocol message. | +| SLM Service ID | Identifies an SLM service and a unique value should be set for each service by ERCM. | +| Service Profile | Describes a service profile generated by ERCM for a service request. | +| Connection Profile | Describes a connection that can be set up or has already been set up by ERM. | +| EventNotify | Allows ERM send notification to ERCM for event that may need ERCM take appropriate action. | +| Service Attribute Object | Describes the attributes associated with the service profile. It is a sub-object of the Service Profile Object. | +| Constraint Object | Describe the constraint imposed by a service. It is a sub-object of the Service Profile Object. | +| Connection Attribute Object | Describes the attributes associated with the transport connection. It is a sub-object of the Connection Profile Object. | +| Autonomic Management Profile | Describes overall network slice life-cycle autonomic management monitoring and provisioning policies. | +| Autonomic Management Attribute Object | Describes the attributes associated with overall network slice life-cycle autonomic management monitoring and provisioning policies. | +| QoS Assurance Management Profile | Describes overall network slice life-cycle QoS management monitoring and provisioning policies. | +| QoS Assurance Management Attribute Object | Describes the attributes associated with overall network slice life-cycle QoS management monitoring and provisioning policies. | + +## 7.2 Reference point Se + +The Se reference point is required to enable request/response information needed for an IMT-2020 network slice instance communicating with external management entities to be exchanged between the external management entity support functional element (EMES) in the management and orchestration plane of the IMT-2020 network slice life-cycle management (SLM) and external management entities: management and orchestration (MANO), operation support system (OSS), business support system (BSS), etc. + +This reference point is extended to support QoS assurance management in the overall network slice life cycle in relationship with external management entities. The extension is described in this clause. + +The Se reference point may operate as an inter-domain reference point. + +### **7.2.1 Functional requirements** + +#### **7.2.1.1 Communication of a slice life-cycle management and orchestration plane with external management entities functional requirements** + +The Se reference point provides the ability to make requests/responses between the EMES in the SLM and external management entities for: + +- network slice management interworking and orchestration including autonomic management and QoS assurance management capabilities; +- a status report of interworking and orchestration requests including autonomic management capabilities and QoS assurance management actions. + +#### **7.2.1.2 Communication of a slice life-cycle management and orchestration plane with external management entities session processing functional requirements** + +To assure the reliability and performance of communication of a slice life-cycle management and orchestration plane with external management entities session operations across Se reference point, the following capabilities are required: + +- **Overload control:** The Se reference point is required to support the capability on overload control for preventing the overflow of information messages exchanged between the EMES and external management entities. +- **Synchronization and audit:** The Se reference point is required to support the capability on synchronization and audit of the communication of a slice instance with the external management entities session status in support of recovery and operational information statistics and auditing. +- **Session state maintenance:** The Se reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +### **7.2.2 Information exchange requirements** + +This clause provides a brief description of the information exchange requirements for the Se reference point. + +- **Request-response transactions:** The reference point is required to allow the EMES to request a transaction to be performed by the external management entity and get a response (that can be correlated with the request) in return and vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: EMES and external management entities. +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of an appropriate corresponding instance when requesting communication of a slice instance with external management entities functions. +- **Security:** The Se is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: an EMES is required to be able to communicate with multiple external management entities; 2) many-to-one mode: multiple EMES are required to be able to make requests to a given external management entity. + +### 7.2.3 Information components + +The information components exchanged across the Se reference point are categorized in Table 7-2 as follows: + +**Table 7-2 – Information components for reference point Se** + +| Information component | Description | +|--------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| User Identifier | A unique identifier for different instances of the IMT-2020 slice life-cycle management and orchestration plane within the same administrative domain of a single requester. | +| Authentication Information | Authenticates the peers (i.e., IMT-2020 slice life-cycle management and orchestration plane and external management system). | +| Management Interworking Profile Identifier | A unique management interworking profile identifier required for an exchange of management information between EMES and external management entity. | +| Management Interworking Profile | Describes management interworking profile information required for an exchange of management information including autonomic management information between EMES and external management entity. | +| EventNotify | Allows IMT-2020 management plane to send notification to the external management entities for an event that may need external management entities to take appropriate actions. | + +## 7.3 Reference point Is + +The Is reference point is required to enable request/response information needed for an IMT-2020 network slice application and service plane management to be exchanged between the application and service plane support (ASP-S) of the application and service plane management (ASPM) in the SI and application and service plane management support (ASPM-S) of the IMT-2020 applications and service plane (IASP) in the SI. + +This reference point is extended to support QoS assurance management of the network slice instance application and service plane. The extension is described in this clause. + +The Is reference point may operate as an intra-domain and/or inter-domain reference point. + +### 7.3.1 Functional requirements + +#### 7.3.1.1 Network slice application and service plane management functional requirements + +The Is reference point provides the ability to make requests/responses between the ASP-S in the ASPM and the ASPM-S in the IASP for: + +- network slice application and service plane management including autonomic management capabilities and QoS assurance management capabilities; +- a status report of slice application and service plane management actions including autonomic management and QoS assurance management actions. + +#### 7.3.1.2 Network slice application and service plane management session processing functional requirements + +To assure the reliability and performance of network slice application and service plane management session operations across the Is reference point, the following capabilities are required: + +- **Overload control:** The Is reference point is required to support the capability on overload control for preventing the overflow of information messages exchanged between the ASP-S in the ASPM and the ASPM-S in the IASP. +- **Synchronization and audit:** The Is reference point is required to support the on synchronization and audit of the network slice application and service plane management session status in support of recovery and operational information statistics and auditing. +- **Session state maintenance:** The Is reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +### 7.3.2 Information exchange requirements + +This clause provides a brief description of the information exchange requirements for the Is reference point. + +- **Request-response transactions:** The reference point is required to allow the ASP-S in the ASPM to request a transaction to be performed by the ASPM-S in the IASP and get a response (that can be correlated with the request) in return and vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: ASP-S and ASPM-S. +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of the appropriate corresponding instance when requesting network slice application and service plane management functions. +- **Security:** The Is is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: an ASP-S is required to be able to communicate with multiple ASPM-S; 2) many-to-one mode: multiple ASP-S are required to be able to make requests to a given ASPM-S in the IASP. + +### 7.3.3 Information components + +The information components exchanged across the Is reference point are categorized in Table 7-3 as follows: + +**Table 7-3 – Information components for reference point Is** + +| Information component | Description | +|---------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| User Identifier | A unique identifier for different instances of the application and service plane management (ASPM) within the same administrative domain of a single requester. | +| Management Operation Request Session Identifier | An identifier for the session for which the management operation requests are sent to the application and service plane. The identifier has to be unique within the same application and service plane instance. | +| Globally Unique IP Address Information (Optional) | A set of IP address information used for locating the network in which the ASP-S is requesting the management operations. | +| Unique IP address | The IP address for identifying ASP-S. | +| Address Realm | The addressing domain of the IP address (e.g., Subnet prefix or VPN ID). | + +**Table 7-3 – Information components for reference point Is** + +| Information component | Description | +|---------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Management Operation Requester Identifier | An identifier for the requester (i.e., the owner of ASP-S in ASPM) of application and service plane management service. It is unique over the requesters sending requests for the ASPM. | +| Management Operation Request Priority (Optional) | The indication of the importance of a management operation request. It can be used for processing simultaneous requests by application and service plane management based on the priority level. | +| ASP Autonomic Management Operation Profile | Describes the policies related to autonomic management monitoring and provisioning of network slice instance application and service plane. | +| ASP Autonomic Management Operation Attribute Object | Describes attributes associated with the policies of the autonomic management monitoring and provisioning of the network slice instance application and service plane. | +| ASP QoS Assurance Management Operation Profile | Describes the policies related to QoS assurance management monitoring and provisioning of network slice instance application and service plane. | +| ASP QoS Assurance Management Operation Attribute Object | Describes attributes associated with the policies of the QoS assurance management monitoring and provisioning of the network slice instance application and service plane. | +| Management Operation Request Result | Indication of the result for a management operation request (includes both synchronous and scheduled request result). | +| EventNotify | Allows application and service plane to send notifications to ASP-S for events that may need to take appropriate action for requested management operations. | + +## **7.4 Reference point Ic** + +The Ic reference point is required to enable request/response information needed for an IMT-2020 network slice control plane management to be exchanged between the control plane support (CP-S) of control plane management (CPM) in the SI and control plane management support (CPM-S) of the IMT-2020 control plane (ICP) in the SI. + +This reference point is extended to support QoS assurance management of the network slice instance control plane. The extension is described in this clause. + +The Ic reference point may operate as an intra-domain and/or inter-domain reference point. + +### **7.4.1 Functional requirements** + +#### **7.4.1.1 Network slice control plane management functional requirements** + +The Ic reference point provides the ability to make requests/responses between the CP-S in the CPM and the control plane management support (CPM-S) in the ICP for: + +- network slice control plane management including autonomic management and QoS assurance management capabilities; +- a status report of slice control plane management actions including autonomic management and QoS assurance management actions. + +#### 7.4.1.2 Network slice control plane management session processing functional requirements + +To assure the reliability and performance of network slice control plane management session operations across the Ic reference point, the following capabilities are required: + +- **Overload control:** The Ic reference point is required to support the on overload control for preventing the overflow of information messages exchanged between the CP-S and the CPM-S in the ICP. +- **Synchronization and audit:** The Is reference point is required to support the capability on synchronization and audit of the network slice control plane management session status in support of recovery and operational information statistics and auditing. +- **Session state maintenance:** The Ic reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +#### 7.4.2 Information exchange requirements + +This clause provides a brief description of the information exchange requirements for the Ic reference point. + +- **Request-response transactions:** The reference point is required to allow the CP-S to request a transaction to be performed by the CPM-S in the ICP and get a response (that can be correlated with the request) in return and vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: CP-S and CPM-S. +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of an appropriate corresponding instance when requesting network slice control plane management functions. +- **Security:** The Ic is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: a CP-S is required to be able to communicate with multiple CPM-S in the ICP; 2) many-to-one mode: multiple CP-S are required to be able to make requests to a given CPM-S in the ICP. + +#### 7.4.3 Information components + +The information components exchanged across the Ic reference point are categorized in Table 7-4 as follows: + +**Table 7-4 – Information components for reference point Ic** + +| Information component | Description | +|-------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| User Identifier | A unique identifier for different instances of the control plane management (CPM) within the same administrative domain of a single requester. | +| Management Operation Request Session Identifier | An identifier for the session for which the management operation requests are sent to the control plane. The identifier has to be unique within the same control plane instance. | + +**Table 7-4 – Information components for reference point Ic** + +| Information component | Description | +|--------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Globally Unique IP Address Information (Optional) | A set of IP address information used for locating the network in which the CP-S is requesting the management operations. | +| Unique IP address | The IP address for identifying CP-S. | +| Address Realm | The addressing domain of the IP address (e.g., Subnet prefix or VPN ID) | +| Management Operation Requester Identifier | An identifier for the requester (i.e., the owner of CP-S in CPM) of control plane management service. It is unique over the requesters sending requests for the CPM. | +| Management Operation Request Priority (Optional) | The indication of the importance of a management operation request. It can be used for processing simultaneous requests by control plane management based on the priority level. | +| CP Autonomic Management Operation Profile | Describes the policies related to autonomic management monitoring and provisioning of network slice instance control plane. | +| CP Autonomic Management Operation Attribute Object | Describes attributes associated with the policies of the autonomic management monitoring and provisioning of the network slice instance control plane. | +| CP QoS assurance Operation Profile | Describes the policies related to QoS assurance management monitoring and provisioning of network slice instance control plane. | +| CP QoS assurance Management Operation Attribute Object | Describes attributes associated with the policies of the QoS assurance management monitoring and provisioning of the network slice instance control plane. | +| Management Operation Request Result | Indication of the result for a management operation request (includes both synchronous and scheduled request result) | +| EventNotify | Allows control plane to send notifications to the CP-S for events that may need to take appropriate action for requested management operations. | + +## 7.5 Reference point Id + +The Id reference point is required to enable request/response information needed for an IMT-2020 network slice physical and virtual data plane management to be exchanged between the data plane support (DP-S) of the data plane management (DPM) in the SI and data plane management support (DPM-S) of the IMT-2020 data plane (IDP) in the SI. + +This reference point is extended to support QoS assurance management of the network slice instance physical and virtual data planes. The extension is described in this clause. + +The Id reference point may operate as an intra-domain and/or inter-domain reference point. + +### 7.5.1 Functional requirements + +#### 7.5.1.1 Network slice data plane management functional requirements + +The Id reference point provides the ability to make requests/responses between the DP-S in the DPM and the DPM-S for a status report of slice data plane management actions including autonomic management actions. + +#### 7.5.1.2 Network slice data plane management session processing functional requirements + +To assure the reliability and performance of network slice data plane management session operations across the Id reference point, the following capabilities are required: + +- **Overload control:** The Id reference point is required to support the capability on overload control for preventing the overflow of information messages exchanged between the DP-S and DPM-S of the IDP in the SI. +- **Synchronization and audit:** The Id reference point is required to support the capability on synchronization and audit of the network slice data plane management session status in support of recovery and operational information statistics and auditing. +- **Session state maintenance:** The Id reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +#### 7.5.2 Information exchange requirements + +This clause provides a brief description of the information exchange requirements for the Id reference point. + +- **Request-response transactions:** The reference point is required to allow the DP-S to request a transaction to be performed by the DPM-S in the IDP and get a response (that can be correlated with the request) in return and also vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: DP-S and DPM-S. +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of an appropriate corresponding instance when requesting network slice data plane management functions. +- **Security:** The Id is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: a DP-S is required to be able to communicate with multiple DPM-S in the IDP; 2) many-to-one mode: multiple DP-S are required to be able to make requests to a given DPM-S in the IDP. + +#### 7.5.3 Information components + +The information components exchanged across the Id reference point are categorized in Table 7-5 as follows: + +**Table 7-5 – Information components for reference point Id** + +| Information component | Description | +|---------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| User Identifier | A unique identifier for different instances of the data plane management (DPM) within the same administrative domain of a single requester. | +| Management Operation Request Session Identifier | An identifier for the session for which the management operation requests are sent to the data plane. The identifier has to be unique within the same data plane instance. | +| Globally Unique IP Address Information (Optional) | A set of IP address information used for locating the network in which the DP-S is requesting the management operations. | + +**Table 7-5 – Information components for reference point Id** + +| Information component | Description | +|--------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Unique IP address | The IP address for identifying DP-S. | +| Address Realm | The addressing domain of the IP address (e.g., Subnet prefix or VPN ID) | +| Management Operation Requester Identifier | An identifier for the requester (i.e., the owner of DP-S in DPM) of data plane management service. It is unique over the requesters sending requests for the DPM. | +| Management Operation Request Priority (Optional) | The indication of the importance of a management operation request. It can be used for processing simultaneous requests by data plane management based on the priority level. | +| DP Autonomic Management Operation Profile | Describes the policies related to autonomic management monitoring and provisioning of network slice instance data plane. | +| DP Autonomic Management Operation Attribute Object | Describes attributes associated with the policies of the autonomic management monitoring and provisioning of the network slice instance data plane. | +| Management Operation Request Result | Indication of the result for a management operation request (includes both synchronous and scheduled request result) | +| DP QoS assurance Management Operation Profile | Describes the policies related to QoS assurance management monitoring and provisioning of network slice instance data plane. | +| DP QoS assurance Management Operation Attribute Object | Describes attributes associated with the policies of the QoS assurance management monitoring and provisioning of the network slice instance data plane. | +| EventNotify | Allows data plane to send notifications to DP-S for events that may need to take appropriate action for requested management operations. | + +# **8 QoS assurance management procedure** + +During the lifecycle of services and associated network slice instances [ITU-T Y.3111], the QoS lifecycle management is also involved. This clause describes a QoS assurance management lifecycle procedure in IMT-2020 network which is illustrated in Figure 4. + +![Sequence diagram illustrating the Procedure for QoS assurance management. The diagram shows interactions between seven entities: Slice customer, SLMCCS, SCPO, SP, SRMA, SRR, and SF/S/CM. The process starts with a 'Request a slice' (1) from the customer to SLMCCS, followed by a 'Request a slice' (2) from SLMCCS to SCPO. SCPO sends a 'Provision request' (3) to SP. SP sends a 'Provision reply' (4) back to the customer. SP then sends 'Provision status' (5) to SRMA and 'Resource status' (6) to SRR. SRMA sends 'Resource status update' (7) to SRR. SRR sends 'Resource status update' (8) to SF/S/CM. SF/S/CM sends 'Provision update request' (9) to SCPO. SCPO sends 'Provision update request' (10) to SP. SP sends 'Provision status' (11) to SRMA. SRMA sends 'Resource status update' (12) to SRR. SRR sends 'Resource status update' (13) to SCPO. SCPO sends 'Provision status update' (14) to the customer. Finally, the customer sends 'Provision status update' (15) to SLMCCS.](cbdfdade780e677eb1c1aef3081ce9ef_img.jpg) + +``` + +sequenceDiagram + participant SC as Slice customer + participant SLMCCS as SLMCCS +SLA support +QoS capabilities exposure + participant SCPO as SCPO +QoS planning and optimization + participant SP as SP +QoS provisioning +QoS policy enforcement +QoS mapping + participant SRMA as SRMA +QoS data collection +QoS data analysis + participant SRR as SRR +QoS policy + participant SF as SF/S/CM + + SC->>SLMCCS: 1 Request a slice + SLMCCS->>SCPO: 2 Request a slice + SCPO->>SP: 3 Provision request + SP-->>SC: 4 Provision reply + SP->>SRMA: 5 Provision status + SP->>SRR: 6 Resource status + SRMA->>SRR: 7 Resource status update + SRR->>SF: 8 Resource status update + SF->>SCPO: 9 Provision update request + SCPO->>SP: 10 Provision update request + SP->>SRMA: 11 Provision status + SRMA->>SRR: 12 Resource status update + SRR->>SCPO: 13 Resource status update + SCPO->>SC: 14 Provision status update + SC->>SLMCCS: 15 Provision status update + +``` + +Sequence diagram illustrating the Procedure for QoS assurance management. The diagram shows interactions between seven entities: Slice customer, SLMCCS, SCPO, SP, SRMA, SRR, and SF/S/CM. The process starts with a 'Request a slice' (1) from the customer to SLMCCS, followed by a 'Request a slice' (2) from SLMCCS to SCPO. SCPO sends a 'Provision request' (3) to SP. SP sends a 'Provision reply' (4) back to the customer. SP then sends 'Provision status' (5) to SRMA and 'Resource status' (6) to SRR. SRMA sends 'Resource status update' (7) to SRR. SRR sends 'Resource status update' (8) to SF/S/CM. SF/S/CM sends 'Provision update request' (9) to SCPO. SCPO sends 'Provision update request' (10) to SP. SP sends 'Provision status' (11) to SRMA. SRMA sends 'Resource status update' (12) to SRR. SRR sends 'Resource status update' (13) to SCPO. SCPO sends 'Provision status update' (14) to the customer. Finally, the customer sends 'Provision status update' (15) to SLMCCS. + +Y.3107(19)\_F04 + +**Figure 4 – Procedure for QoS assurance management** + +- 1) The IMT-2020 customer requests a slice to be provisioned with its specified service requirements from slice lifecycle management – customer care support (SLMCCS). The QoS capabilities exposure can open the QoS capabilities for third parties. The QoS SLA support provide QoS information for the template of slice provision which include: statements about performance, billing, service delivery. +- 2) IMT-2020 SLMCCS functional element receives the customer's request and carries it to the slice capacity planning and optimization (SCPO) functional element. +- 3) After decision of QoS planning and optimization, SCPO then determines an optimal slice plan based on the available resources which matches the customer's request. Once the provisioning policy is determined, SCPO requests provisioning to slice provisioning (SP) functional element. +- 4) SP then performs the requested slice provisioning task. It involves various sub-tasks including QoS related aspects: QoS provisioning, QoS policy enforcement and QoS mapping, etc. If the provisioning functionality including QoS provisioning functionality is fully supported by the SLM functional component, all the tasks are performed internally. If not, SP then interacts with external slice provisioning related functional entities such as MANO orchestrator, software-defined networking (SDN) controller, etc. When SP interacts with external management entities, it uses external management entity support (EMES) functional element. Upon completion of the provisioning process, SP sends a provision reply message to the customer via SLMCCS. +- 5) At the same time, it sends a provision status slice resource monitoring and analytics functional element to initiate the collection and monitoring of the provisioned resources. +- 6) It also sends the status update to slice resource repository (SRR) to store the provisioned resource information. + +- 7) Slice resource monitoring and analysis (SRMA) performs collection, monitoring, and analysis tasks of the provisioned slice resources. The QoS related data is also collected. Data and information collected and analysed are then stored in SRR for further processing by other functional elements. +- 8) The QoS policy information is also stored in SRR. When SRR receives any resource status updates, it stores them in the repository and, at the same time, it emits notification to all functional elements that are listening to the status updates. In this case, it sends its update notification to slice fault management (SFM), slice security management (SSM), slice charging management (SCM), and 9) SCPO. +- 10) When SCPO receives the notification, it updates available resource status and determines if re-optimization is needed upon status updates. 11) Also SF/S/C/PM receive the notification, they perform fault, security and charging management of the provisioned slices and their resources and determine if any control or re-provisioning actions are required. If so, they send a request to SP for provisioning update processes. +- 12) SP, upon receiving the provisioning update requests, performs re-provisioning tasks for the provisioned slices. When re-provisioning tasks are done, SP generates provision status to SRR and SRR further conveys the notification to 13) SF/S/CM, SCPO and 14) IMT-2020 slice customer for resource status updates. +- 15) SCPO sends provision status update to the customer. + +# **9 Security considerations** + +The QoS functional entities for the IMT-2020 network are subject to security and privacy measures. Sensitive QoS information should be protected in high priority in order to avoid leaking and unauthorized access. Security and privacy concerns should be aligned with the requirements specified in [b-ITU-T Q.1762], [ITU-T Y.3101] and [b-ITU-T Y.2701]. + +## Bibliography + +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-ITU-T Q.1762] Recommendation ITU-T Q.1762/Y.2802 (2007), *Fixed-mobile convergence general requirements*. +- [b-ITU-T X.1500] Recommendation ITU-T X.1500 (2011), *Overview of cybersecurity information exchange*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-3GPP TS 22.261] 3GPP TS 22.261(2018), 3rd Generation Partnership Project, *Service requirements for the 5G system, Stage 1, (Release 16)*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3112-201812-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3112-201812-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..f323eb6c9541a825e30916dcf4d07781e76bd5d1 --- /dev/null +++ b/marked/Y/T-REC-Y.3112-201812-I_PDF-E/raw.md @@ -0,0 +1,531 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.3112 + +(12/2018) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Future networks + +# --- **Framework for the support of network slicing in the IMT-2020 network** + +Recommendation ITU-T Y.3112 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## **FUTURE NETWORKS** **Y.3000–Y.3499** + +### CLOUD COMPUTING Y.3500–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3112 + +# Framework for the support of network slicing in the IMT-2020 network + +## Summary + +Recommendation ITU-T Y.3112 describes the concept of network slicing and use cases of when a single user equipment (UE) simultaneously attaches to multiple network slices in the IMT-2020 network. + +The use cases introduce the slice service type to indicate a specific network slice and the slice user group for precisely representing the network slice in terms of performance aspects and business aspects. + +This Recommendation also specifies high-level requirements and framework for the support of network slicing in the IMT-2020 network. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3112 | 2018-05-29 | 13 | 11.1002/1000/13611 | +| 2.0 | ITU-T Y.3112 | 2018-12-14 | 13 | 11.1002/1000/13810 | + +## Keywords + +IMT-2020, network function, network slice, network slice instance, network slicing. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2019 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation ..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview..... | 3 | +| 7 Framework of network slicing..... | 5 | +| 7.1 Functional aspects of network slicing ..... | 5 | +| 7.2 Use cases of network slicing ..... | 7 | +| 7.3 Network slice indication and selection ..... | 8 | +| 8 High-level requirements of network slicing ..... | 9 | +| Appendix I - Descriptions of core network functions relevant to network slicing ..... | 10 | +| I.1 Network access control function (NACF) ..... | 10 | +| I.2 Session management function (SMF) ..... | 10 | +| I.3 Network function registry function (NFR)..... | 11 | +| I.4 Network slice selection function (NSSF) ..... | 11 | +| I.5 Registration management (RM) ..... | 11 | +| Bibliography..... | 12 | + + + +# Recommendation ITU-T Y.3112 + +# Framework for the support of network slicing in the IMT-2020 network + +# 1 Scope + +This Recommendation describes the concept of network slicing and use cases of when a single UE simultaneously attaches to multiple network slices in the IMT-2020 network. + +The Recommendation specifies high-level requirements from the perspective of the service and the network, and provides a high-level framework in terms of network functions. Furthermore, this Recommendation introduces a slice service type and a slice user group for precisely indicating and representing a specific network slice in terms of performance aspects and business aspects. + +This revision of the Recommendation provides more explanation about network slice selection, and slightly modifies the structure of the text. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of IMT-2020 network*. +- [ITU-T Y.3102] Recommendation ITU-T Y.3102 (2018), *Framework of the IMT-2020 network*. +- [ITU-T Y.3111] Recommendation ITU-T Y.3111 (2017), *IMT-2020 network management and orchestration framework*. +- [ITU-T Y.3150] Recommendation ITU-T Y.3150 (2018), *High level technical characteristics of network softwarization for IMT-2020*. +- [ITU-R M.2083] Recommendation ITU-R M.2083-0 (2015), *Framework and overall objectives of the future development of IMT for 2020 and beyond*. +- [ITU-R M.2410] Report ITU-R M.2410-0 (2017), *Minimum requirements related to technical performance for IMT-2020 radio interface(s)*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 IMT-2020** [ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +**3.1.2 network function** [ITU-T Y.3100]: In the context of IMT-2020, a processing function in a network. + +NOTE 1 – Network functions include but are not limited to network node functionalities, e.g., session management, mobility management and transport functions, whose functional behaviour and interfaces are defined. + +NOTE 2 – Network functions can be implemented on a dedicated hardware or as virtualized software functions. + +NOTE 3 – Network functions are not regarded as resources, but rather any network functions can be instantiated using the resources. + +**3.1.3 network slice** [ITU-T Y.3100]: A logical network that provides specific network capabilities and network characteristics. + +NOTE 1 – Network slices enable the creation of customized networks to provide flexible solutions for different market scenarios which have diverse requirements, with respect to functionalities, performance and resource allocation. + +NOTE 2 – A network slice may have the ability to expose its capabilities. + +NOTE 3 – The behaviour of a network slice is realized via network slice instance(s). + +**3.1.4 network slice blueprint** [ITU-T Y.3100]: A complete description of the structure, configuration and work flows on how to create and control a network slice instance during its life cycle. + +NOTE – A network slice template can be used synonymously with a network slice blueprint. + +**3.1.5 network slice instance** [ITU-T Y.3100]: An instance of network slice, which is created based on network slice blueprint. + +NOTE 1 – A network slice instance is composed of a set of managed run-time network functions, and physical/logical/virtual resources to run these network functions, forming a complete instantiated logical network to meet certain network characteristics required by the service instance(s). + +NOTE 2 – A network slice instance may also be shared across multiple service instances provided by the network operator. A network slice instance may be composed of none, one or more sub-network slice instances which may be shared with another network slice instance. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation does not define any terms. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-----------------------------------------| +| 3G | Third Generation | +| 4G | Fourth Generation | +| AR | Augmented Reality | +| eMBB | enhanced Mobile Broadband | +| E2E | End-to-End | +| HD | High Definition | +| IMT | International Mobile Telecommunications | +| KPI | Key Performance Indicator | +| mMTC | massive Machine Type Communications | +| MANO | Management and Orchestration | +| MVNO | Mobile Virtual Network Operator | + +| | | +|-------|-------------------------------------------| +| NACF | Network Access Control Function | +| NF | Network Function | +| NS | Network Slice | +| NSI | Network Slice Instance | +| NSSF | Network Slice Selection Function | +| NSTI | Network Slice Type Indicator | +| SMF | Session Management Function | +| SST | Slice Service Type | +| SUG | Slice User Group | +| UE | User Equipment | +| UHD | Ultra-High Definition | +| URLLC | Ultra-Reliable Low Latency Communications | +| V2X | Vehicle to Everything | +| VR | Virtual Reality | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator and/or service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +# 6 Overview + +The IMT-2020 network is expected to be able to support a variety of services and applications beyond the current IMT [ITU-R M.2083]. In the IMT-2020 network, the services and the applications can have a variety of different requirements on functionality (e.g., priority, charging, policy control, security, and mobility), differences in performance requirements (e.g., latency, mobility, availability, reliability and data rates), or differences in serving users (e.g., public safety users, corporate customers, roamers, or hosted MVNO) [b-3GPP TS 22.261]. Network slicing is recognized as a key enabler for the support of different types of services as it can provide services over corresponding logically isolated network slices by slicing a single physical network into multiple, end-to-end (E2E) networks [ITU-T Y.3101] [b-NGMN]. + +Furthermore, a broad variety of capabilities can be tightly coupled with these intended different usage scenarios for IMT-2020 [ITU-R M.2083] [b-3GPP TS 22.261]. The usage scenarios for IMT-2020 include: + +- Enhanced mobile broadband (eMBB): This usage scenario pertains to high data rates, high user density, high user mobility, highly variable data rates, deployment and coverage. The enhanced mobile broadband will come with new application areas and requirements in + +addition to existing mobile broadband applications for improved performance and an increasingly seamless user experience. + +- Massive machine type communications (mMTC): This usage scenario is characterized by a very large number of connected devices typically transmitting a relatively low volume of non-delay-sensitive data. Devices are required to be low cost, and to have a very long battery life. +- Ultra-reliable and low latency communications (URLLC): This usage scenario has stringent requirements for capabilities such as throughput, latency and reliability. Some examples include wireless control of industrial manufacturing or production processes, remote medical surgery, distribution automation in a smart grid, transportation safety, etc. + +Network slicing enables an IMT-2020 network operator to provide customized networks by slicing a network into multiple virtual, and end-to-end networks, referred to as network slices. Each network slice can be defined according to different requirements on functionality, performance and specific users. + +Figure 6-1 illustrates the concept of network slicing. A network slice is composed of a collection of the necessary network functions (e.g., virtualized and/or physical, shared or slice specific [ITU-T Y.3101]) that support the service requirements of particular usage scenario(s). It is required to be possible to associate devices to their proper slices in order to meet the respective requirements, based on device or service type. For example, a mobile phone requesting high definition (HD) streaming service is associated to an eMBB slice. While the mMTC slice and the URLLC slice are respectively allocated to a sensor measuring the temperature for an agricultural application and an automobile using V2X communication service. + +Network slicing allows the IMT-2020 network operator to provide dedicated logical networks (i.e., network slices) with customer specific functionalities. A network slice, spanning all the network segments including radio access network, transport network and core network, can be dedicated to specific types of service [ITU-T Y.3101]. When a UE is only associated to a single dedicated network slice, the IMT-2020 network can identify the association of the UE with the network slice based on user subscription, context, service provider's policy, etc. Otherwise, if a UE accesses multiple network slice instances simultaneously, it is recommended that the UE provide information to the network to assist the network slice selection process. + +![Diagram illustrating the concept of network slicing in an IMT-2020 network. The network is represented as a cloud containing three stacked slices: eMBB slice (blue), mMTC slice (yellow), and URLLC slice (green). On the left, three devices are shown: a smartphone connected to the eMBB slice, a temperature sensor connected to the mMTC slice, and a car connected to the URLLC slice. On the right, three service scenarios are listed in colored boxes: 'Voice, Internet (e.g., AR/VR)' in blue, 'Logistics, agriculture' in yellow, and 'Automobile factory' in green. Lines connect the devices to their respective slices and the slices to their corresponding service scenarios. The entire cloud is labeled 'IMT-2020 network' at the bottom.](b8661c6c54f72ecc7ff6cb05e47b2891_img.jpg) + +Y.3112(12-18)\_F6-1 + +Diagram illustrating the concept of network slicing in an IMT-2020 network. The network is represented as a cloud containing three stacked slices: eMBB slice (blue), mMTC slice (yellow), and URLLC slice (green). On the left, three devices are shown: a smartphone connected to the eMBB slice, a temperature sensor connected to the mMTC slice, and a car connected to the URLLC slice. On the right, three service scenarios are listed in colored boxes: 'Voice, Internet (e.g., AR/VR)' in blue, 'Logistics, agriculture' in yellow, and 'Automobile factory' in green. Lines connect the devices to their respective slices and the slices to their corresponding service scenarios. The entire cloud is labeled 'IMT-2020 network' at the bottom. + +**Figure 6-1 – The concept of network slicing** + +For each network slice, dedicated resources (e.g., virtualized network functions, network bandwidth, QoS) are allocated and an error or fault that occurs in one slice does not cause any effect in other slices. + +So far, mobile networks (e.g., 3G, 4G), mainly serving mobile phones, have been optimized for voice and Internet services in a centralized deployment. However, in the IMT-2020 network, they have to serve a variety of devices with different requirements and different needs. The above-mentioned + +usage scenarios require different requirements on performance [b-Netmanias]. For instance, the mMTC usage scenario that connects stationary sensors measuring temperature, humidity, precipitation, etc. to mobile networks does not require features like handover or location update, which have been critical in serving mobile phones. For the eMBB usage scenario, high data rates are driven by the increasing use of data for services such as streaming (e.g., 4K/8K UHD) and interactive services (e.g., augmented reality (AR)). These services come with stringent requirements for user experienced data rates as well as associated latency requirements to meet service requirements [ITU-R M.2410]. On the other hand, the URLLC usage scenario (e.g., autonomous driving, remote controlled robots) requires, unlike mobile broadband services, a substantially lower latency as well as higher reliability. Table 6-1 provides examples of services and expected performance requirements corresponding to each usage scenario. + +**Table 6-1 – Examples of services corresponding to each usage scenario** + +| Usage scenario | Typical characteristics | Examples of services | +|-------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|---------------------------------------------------------------------------------------| +| eMBB | High bit rate (e.g., 20 Gbit/s downlink peak data rate) | 4K/8K UHD, hologram, AR/VR | +| mMTC | Massive connections | Sensor-network services(metering, agriculture, building, logistics, city, home, etc.) | +| URLLC | Low latency (e.g., 1 ms), high reliability, high positioning accuracy | Motion control, autonomous driving, automated factory, smart-grid service, AR/VR | +| NOTE – These requirements are not intended to restrict the full range of capabilities or performance. | | | + +Based on the concept of network slicing, some use cases for multiple network slicing are described in clause 7. Clause 8 specifies how to indicate a specific network slice and select the indicated network slice. Clause 9 and clause 10 respectively provide the high-level requirements and the framework. + +# **7 Framework of network slicing** + +## **7.1 Functional aspects of network slicing** + +When a UE accesses multiple slice instances simultaneously, it should provide the IMT-2020 network with the information to assist the network slice selection process. If a UE is only associated with a single dedicated network slice, the IMT-2020 network can identify the network slice of the UE based on user subscription, context, service provider's policy, etc. + +From the network slicing perspective, the network functions can be further divided into two types: UE level functions and service level functions. The UE level functions are functions that support user access to the IMT-2020 network. Network access control function (NACF) is a UE level function and it should be available in every registration area (RA). The NACF is responsible for providing registration management and mobility management [ITU-T Y.3102]. An instance of NACF, which has the proper capabilities to support registration and mobility management of every service session by a UE, should be selected. With the proper NACF instance selection, NACF instance relocation may happen rarely. In addition, the NACF instance logically resides in multiple network slice instances serving the UE, and interacts with other network function instances in the network slice instances. + +On the other hand, other network functions such as the session management function (SMF) belong to the service level functions. They can exist within different network slice instances providing the relevant KPIs. The SMF is responsible for providing session management and data path control in the IMT-2020 networks [ITU-T Y.3102]. When the UE requests a single service session with a specific capability, a proper instance of SMF should be selected supporting such capability. + +From the UE perspective, a number of different service sessions can be initiated at the same time, and each service session should be served by the appropriate network slice instances. In addition, each network slice instance should include the specific network function instances that satisfy the related service requirements. Therefore, the NACF instance should be selected to be able to meet the highest demand of performance requirements among the multiple NACF instances. On the other hand, the SMF instance should be selected in each corresponding network slice instance. + +From the network perspective, different network slices should be enough isolated from each other in order to minimize their interference. This means that communications between different service level network functions (e.g., SMF) within a network slice can be possible. In addition, as the network slice instance is the realization of a network slice, which is created based on network slice blueprint [ITU-T Y.3100], multiple network slice instances can be instantiated according to a corresponding usage scenario (e.g., eMBB). + +On the other hand, communications between an NACF instance and an SMF instance should be possible under the condition that a network slice instance is differently isolated. + +Therefore, the service sessions from the UE side can be established through the single UE level network function and the multiple service level network functions in the IMT-2020 network as shown in Figure 7-1 + +![Figure 7-1: Network functions from the UE perspective. The diagram shows a UE connected to a yellow box labeled 'UE level network functions' within the 'IMT-2020 network'. This yellow box is connected to two separate boxes: 'eMBB slice instance' and 'URLLC slice instance'. Each slice instance contains a box for 'Service level network functions'.](1439cb942d9e363bbb3161b5540dd8c6_img.jpg) + +The diagram illustrates the network architecture from the UE perspective. A UE (User Equipment) is shown on the left, connected to a central yellow box labeled 'UE level network functions'. This yellow box is situated within a larger container labeled 'IMT-2020 network'. From the 'UE level network functions' box, two lines extend to two separate, stacked boxes: 'eMBB slice instance' (top) and 'URLLC slice instance' (bottom). Each of these slice instance boxes contains a sub-box labeled 'Service level network functions'. The entire structure is enclosed in a large rectangle representing the IMT-2020 network. + +Figure 7-1: Network functions from the UE perspective. The diagram shows a UE connected to a yellow box labeled 'UE level network functions' within the 'IMT-2020 network'. This yellow box is connected to two separate boxes: 'eMBB slice instance' and 'URLLC slice instance'. Each slice instance contains a box for 'Service level network functions'. + +**Figure 7-1 – Network functions from the UE perspective** + +From the network deployment perspective, network functions can be classified into two types based on whether they are sensitive to key performance indicators (KPIs) or not. A KPI-sensitive network function can be located close to the user but other types of network functions do not depend on UE location in the IMT-2020 network. + +The KPI-insensitive network functions such as the network slice selection function (NSSF) and the user data management function, would be deployed in a centralized manner so that they can provide their capability support to the other network functions in the IMT-2020 network. + +On the other hand, KPI-sensitive network functions may be deployed in a distributed manner. Therefore, KPI-sensitive network functions such as mobility management, session management and data path control, can be deployed close to a UE (e.g., specific area such as a set of tracking areas (TAs) and registration area (RA) in the IMT-2020 networks. + +NOTE – A tracking area is a logical grouping of cells in an IMT-2020 network, and a registration area is the set of tracking areas. A registration area is an area in which the UE may roam without a need to perform location registration. + +## 7.2 Use cases of network slicing + +In general, a UE can access one network slice instance or multiple network slice instances simultaneously depending on the requesting service types and performance requirements. + +As an example, this clause illustrates the use case of an autonomous driving car where a UE simultaneously accesses different network slice instances. + +An autonomous driving car attaches to the network via the V2X communication service. A user, sitting in the car, initiates an HD video streaming service through the infotainment system available in the car. In this use case, the V2X communication service requires low latency but not necessarily high bit rate, whereas the HD video streaming service requires high bit rate but is tolerant to latency. + +Therefore, the V2X communication service and the HD video streaming service are attached to different network slice instances satisfying their corresponding performance requirements; for example, a URLLC slice and an eMBB slice, respectively, as shown in figure 7-2. + +![Figure 7-2: Use case for network slicing – Autonomous driving car. The diagram shows a cloud labeled 'IMT-2020 network' containing three stacked slices: 'eMBB slice' (blue), 'mMTC slice' (yellow), and 'URLLC slice' (green). On the left, a smartphone, a key fob, and a car with a navigation screen are shown with lines connecting them to the slices. On the right, three boxes represent services: 'Voice, Internet (e.g., AR/VR)' connected to the eMBB slice, 'Logistics, agriculture' connected to the mMTC slice, and 'Automobile factory' connected to the URLLC slice. The label 'Y.3112(12-18)_F7-2' is at the bottom right.](410562339ce067fdc6fa41940c118658_img.jpg) + +Y.3112(12-18)\_F7-2 + +Figure 7-2: Use case for network slicing – Autonomous driving car. The diagram shows a cloud labeled 'IMT-2020 network' containing three stacked slices: 'eMBB slice' (blue), 'mMTC slice' (yellow), and 'URLLC slice' (green). On the left, a smartphone, a key fob, and a car with a navigation screen are shown with lines connecting them to the slices. On the right, three boxes represent services: 'Voice, Internet (e.g., AR/VR)' connected to the eMBB slice, 'Logistics, agriculture' connected to the mMTC slice, and 'Automobile factory' connected to the URLLC slice. The label 'Y.3112(12-18)\_F7-2' is at the bottom right. + +**Figure 7-2 – Use case for network slicing – Autonomous driving car** + +From the business deployment perspective, a network slice may indicate the vehicles designed with a specific motor, and it can be used to efficiently manage and update configuration changes if the vehicles are of the same brand. Figure 7-3 shows a use case of network slice for autonomous driving cars using different motors. + +![Figure 7-3: Use case for network slicing – Autonomous driving cars using different motors. The diagram shows a cloud labeled 'IMT-2020 network' containing three stacked slices: 'eMBB slice' (blue), 'uRLLC_A motors slice' (yellow), and 'uRLLC_B motors slice' (green). On the left, a smartphone, a car with a navigation screen, and another car with a navigation screen are shown with lines connecting them to the slices. On the right, three boxes represent services: 'Voice, Internet (e.g., AR/VR)' connected to the eMBB slice, 'Automobile A motors' connected to the uRLLC_A slice, and 'Automobile B motors' connected to the uRLLC_B slice. The label 'Y.3112(12-18)_F7-3' is at the bottom right.](4636adff5682a064f0ae5f13a1d464a6_img.jpg) + +Y.3112(12-18)\_F7-3 + +Figure 7-3: Use case for network slicing – Autonomous driving cars using different motors. The diagram shows a cloud labeled 'IMT-2020 network' containing three stacked slices: 'eMBB slice' (blue), 'uRLLC\_A motors slice' (yellow), and 'uRLLC\_B motors slice' (green). On the left, a smartphone, a car with a navigation screen, and another car with a navigation screen are shown with lines connecting them to the slices. On the right, three boxes represent services: 'Voice, Internet (e.g., AR/VR)' connected to the eMBB slice, 'Automobile A motors' connected to the uRLLC\_A slice, and 'Automobile B motors' connected to the uRLLC\_B slice. The label 'Y.3112(12-18)\_F7-3' is at the bottom right. + +**Figure 7-3 – Use case for network slicing – Autonomous driving cars using different motors** + +According to [b-3GPP TS 22.261], the IMT-2020 network is assumed to support motion-to-photon latency in the range of 7 ms -15 ms while maintaining the required user data rate of 250 Mb/s for virtual reality (VR). A particular service like VR likely requires both high data rate and low latency, and both eMBB and URLLC usage scenarios [ITU-R M.2083] would be associated for this. It means that the UE is recommended to provide an appropriate network slice indication information to the network in order to access the network slice that the UE needs. + +## 7.3 Network slice indication and selection + +This clause specifies how to indicate network slice and select network slice. + +### 7.3.1 Indication of network slice + +In the IMT-2020 network, network slices can explicitly be associated to the kinds of service and user groups. For example, the type of network slices may be identified in terms of different requirements of functionality (e.g., charging, policy control, security and mobility), of differences in performance (e.g., latency, mobility and data rates) and specific users (e.g., corporate customers, roamers, or hosted MVNO) [ITU-T Y.3101], [b-3GPP TS 22.261]. The type of a network slice needs to be identified with a particular indicator called a network slice type indicator (NSTI). + +From the above usage scenarios, the NSTI can be defined taking into consideration three aspects: 1) key functionality, 2) performance and 3) users. + +The NSTI can be comprised of two kinds of information. + +- SST (Slice Service Type): represents the kinds of different services that require different key functionality and different performance of network functions. Basic SSTs are eMBB, URLLC and mMTC. Additional SSTs can be defined according to the need of finer segmentation of the performance requirements and/or operator's policy (e.g., eMBB+URLLC). +- SUG (Slice User Group): optional information that complements the SST and enables further differentiation of user groups (e.g. the user group with detailed performance requirements, the user group in a particular area). + +The NSTI information is required to include all slice service types that a UE is willing to request to the IMT-2020 network when the UE is initially registered or re-registered. When receiving the NSTI information from the UE, the network verifies the NSTI information to see whether the corresponding network slice is available, based on the operator's policy and the IMT-2020 network status. The UE can provide a single NSTI when requesting a particular service session establishment to the IMT-2020 network. + +### 7.3.2 Selection of network slice + +An NSTI is required to include one SST when a UE requests a specific service to the IMT-2020 network. The SST may indicate either a usage scenario (e.g., eMBB, mMTC and URLLC) or their combination (e.g., eMBB+URLLC, etc.). Furthermore, the NSTI can optionally include an SSG as well as the SST to precisely indicate a specific network slice, where the SUG can include detailed performance requirements of different user groups in a particular area. Examples are "URLLC with a latency of 100 ms", "URLLC with a latency of 5 ms", "eMBB with 100 Mbps for users in a urban area", and "eMBB with 10 Mbps for users in a rural area". + +The network determines and selects a network slice instance (NSI) based on the NSTI provided by the UE, the availability of NSI in the IMT-2020 network, operator's policy and subscription information. The NSTI can be defined more based on the operator's policy, and configured/provided to the UE. If the NSTI from UE can be applicable to the network-provided NSIs or the network-provided NSIs are a superset of the NSTI from UE, the network can select one of the NSIs to serve the UE. Otherwise, the network can reject the UE's request. + +The NSI can be instantiated in a static or a dynamic way depending on whether the NSI is created at configuration time or at run time. + +An NSI comprises the relevant network functions (NFs) required for providing a certain service. An NSI can also include multiple NF instances with the same features. Among the multiple NF instances, one of them can be selected considering load balancing. + +In static network slicing, the NSIs are instantiated and provisioned at configuration time, and the NSI already includes the proper network function (NF). Therefore, in static network slicing, the NACF instance first chooses a proper NSI among the available NSIs and then selects the necessary SMF instance in the mobile core network. It is not allowed to pick up the NF instances within the other NSIs. The NACF instance can get the related NSI information from the NSSF. + +In dynamic network slicing, the NACF instance first initiates the selection process of the proper NF instances through coordinated activities with other functions in the IMT-2020 network, and then creates an NSI comprising the NF instances according to a network slice template, in run time. + +NOTE – One of the possible dynamic methods is that the NACF is assisted by a NSSF in the creation of the NSI, where the NSSF is associated with management and orchestration (MANO) [ITU-T Y.3111]. + +NF instances can also be added dynamically to an existing NSI if the system allows it (for example, for the purpose of saving resources when an existing slice is not operating at full load at the moment of the request from the UE). A subsequent request, from a different UE requesting the same services, will not trigger the instantiation of the needed NF in the same NSI. This method may make the time to satisfy the first UE request longer, but can sensibly enhance the resource efficiency. + +# **8 High-level requirements of network slicing** + +This clause specifies the high-level requirements from the service aspect as well as from the network slicing aspect. + +- UE level network functions, e.g., registration management and mobility management, etc., are required to be shared among the multiple network slices. +NOTE 1 – Some of the shared functions can be global and be used for all network slices, whereas some of them can be shared among the specific slices serving the same users. +- The service level network functions, e.g., session management and data path control, etc., are required to allow to be used as NFs in each network slice. +- The IMT-2020 network is required to instantiate at least one network slice instance (e.g., eMBB) inherited from the characteristics of the SST (e.g., eMBB). +- A UE is recommended to provide all NSTI that it wishes to access to the IMT-2020 network when the UE registers to the network. +- A UE is required to provide a single NSTI indicating a specific network slice when the UE requests the IMT-2020 network to establish a service session. +- The IMT-2020 network is recommended to create a network slice instance based on the NSTI provided by the UE or default network slice instance if the NSTI is not available. +NOTE 2 – The availability of default network slice instances depends on the IMT-2020 network operator's policy. +- The IMT-2020 network is required to select a network slice instance based on the NSTI provided by the UE, or a default network slice instance if the NSTI is not available. +- The IMT-2020 network is recommended to allocate a default NSTI when a UE subscribes to the network. +- The IMT-2020 network is recommended to add and/or remove the network functions in order to change the configuration of a network slice instance. +- The IMT-2020 network is required to minimize the impact, in changing the configuration of a network slice, on services being provided by itself and other network slices. + +# Appendix I + +## Descriptions of core network functions relevant to network slicing + +(This appendix does not form an integral part of this Recommendation.) + +Following paragraphs, which are relevant to core network functions in IMT-2020 networks, are cited from [ITU-T Y.3102] for supporting consideration of the role of NACF. + +### I.1 Network access control function (NACF) + +The NACF functionalities include registration management, connection management and session management function (SMF) selection. + +#### – Registration management + +When a UE accesses the network, NACF provides functionalities to register and de-register the UE with the network and it establishes the user context in the network. In the registration procedure, NACF performs, but is not limited to, network slice instance selection, UE authentication, authorization of network access and network services, network access policy control. + +#### – Connection management + +When a registered UE requests network services to the network, NACF provides functionalities to establish and release signalling connections between UE and core network. This includes mobility management functionalities. + +#### – SMF selection + +When a session establishment request message is received from UE, NACF performs discovery and selection of the SMF that is the most appropriate to manage the session. + +When network slicing is used and a NACF instance, which has received a registration request through a signalling message, cannot serve an appropriate network slice for the UE's request, NACF instance re-allocation is required. Rerouting of the signalling message to the target NACF instance is required during the registration procedure to re-allocate the serving NACF instance including the transfer of the UE context. + +Depending on the deployment scenarios, the NACF functionalities in a network slice may be performed in distributed multiple NACF instances in order to minimize the signalling delays. In this case, local NACF instances distributed at the network edge can perform the mobility management functionalities for the (intra-RAT and inter-RAT) handovers. The serving NACF instance notifies UE location to SMF. If user plane function (UPF) re-allocation is required to support mobility, SMF selects a new UPF and performs inter-UPF mobility management. NACF re-allocation between local NACF instances can be performed if necessary. + +### I.2 Session management function (SMF) + +This function provides functionalities to set up the IP or non-IP protocol data unit (PDU) connectivity (i.e., PDU session) for a UE as well as to control the user plane for that connectivity (e.g., selection/re-selection of user plane network functions and user path, enforcement of policies including QoS policy and charging policy). SMF gets policy information related to session establishment from the policy control function (PCF). + +SMF also provides IP address management functionalities for allocation and release of the UE's IP address. + +### **I.3 Network function registry function (NFR)** + +This function provides functionalities to assist the discovery and selection of required network functions. Each network function instance registers itself when instantiated and updates its status (i.e., activation/de-activation) so that NFR can maintain information of the available network function instances. + +Multiple instances may be discovered by NFR per discovery request from network functions (for example, NACF uses NFR to select appropriate SMF, ASF and PCF). In such cases, NFR responds to the requesting network function with a list of discovered network functions, network function capabilities and optionally additional selection rules. The requesting network function selects an instance from the list and updates NFR to reflect its selection. + +When the discovery of network function instances in different network slices is required, NFR instances in different network slices interact with each other. A typical example is the case of discovery of network functions (e.g., user plane function) in visited public land mobile network (VPLMN) when a UE roams. + +In general, each network slice instance has its own NFR, at least logically. In certain cases, e.g., if the network slice instances are in the same administrative domain, a single NFR instance can be shared by multiple network slice instances as shown in Figures 6-1 and 6-2 of [ITU-T Y.3102]. + +### **I.4 Network slice selection function (NSSF)** + +This function provides functionalities to select appropriate network slice instances for a UE. When a UE requests registration with the network, NACF sends a network slice selection request to NSSF with preferred network slice selection information. The NSSF responds with a message including the list of appropriate network slice instances for the UE. + +### **I.5 Registration management (RM)** + +A single UE can be served simultaneously by multiple network slice instances and a single NACF instance may be shared by the different network slice instances. + +The selection of a set of network slice instances for the UE is triggered by the first NACF instance but this may lead to NACF instance relocation. For example, when a NACF instance is not proper to serve the UE's requirements related to a network slice, the NACF instance reroutes the UE registration request message to the appropriate NACF instance. + +# Bibliography + +- [b-3GPP TS 22.261] 3GPP TS 22.261 (2017), *Service requirements for the 5G system*. +- [b-3GPP TS 23.501] 3GPP TS 23.501 (2017), *System Architecture for the 5G System*. +- [b-NGMN] NGMN Alliance (2016), *Perspectives on Vertical Industries and Implications for 5G*. +- [b-Netmanias] Korea Communication Review (2015), *E2E Network Slicing - Key 5G technology*. +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3113-202102-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg b/marked/Y/T-REC-Y.3113-202102-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg new file mode 100644 index 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+## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3599 | +| BIG DATA | Y.3600–Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3113 + +# Requirements and framework for latency guarantee in large-scale networks including the IMT-2020 network + +## Summary + +Recommendation ITU-T Y.3113 specifies requirements and a framework for effective and efficient solutions for latency guarantee and cooperation among heterogeneous quality of service (QoS) domains. + +For a latency guarantee in multi-domain large-scale networks, it is necessary to clarify how the numerous data-plane functional entities should be arranged and operate in conjunction with each other. In order for the solution to be both effective and efficient, selecting an appropriate traffic granularity for network treatment is essential. The variety of granularity of flow aggregates (FAs), between flow and class, should be taken into consideration. + +On the Internet or the IMT-2020 network, there are inevitably multiple domains with possibly different QoS architectures. Even with multiple heterogeneous domains, there should be an underlying unified resource reservation and admission control functions, while the data plane functions should be based on FAs and appropriate regulations in the middle of an end-to-end path. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3113 | 2021-02-13 | 13 | 11.1002/1000/14595 | + +## Keywords + +Flow aggregate, IMT-2020, latency guarantee, large-scale network, quality of service. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2021 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-----------------------------------------------------------------------------------------------------------------------|------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 1 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Introduction ..... | 3 | +| 7 Requirements ..... | 4 | +| 8 Framework..... | 5 | +| 9 Security considerations..... | 6 | +| Appendix I – Analysis of existing solutions and the proposed framework ..... | 7 | +| Appendix II – Implementation practice of the framework ..... | 8 | +| Appendix III – Latency bounds comparison of IntServ, TSN ATS, and the proposed
framework in example networks ..... | 9 | +| Appendix IV – Gap analysis of the requirements and framework for the IMT-2020
network ..... | 16 | +| IV.1 Overview of the IMT-2020 network architecture and its QoS framework .... | 16 | +| IV.2 Gap analysis of the requirements for the IMT-2020 network ..... | 18 | +| IV.3 Gap analysis of the framework for the IMT-2020 network ..... | 20 | +| Bibliography..... | 21 | + + + +## Recommendation ITU-T Y.3113 + +# Requirements and framework for latency guarantee in large-scale networks including the IMT-2020 network + +## 1 Scope + +This Recommendation specifies requirements and a framework for latency guarantee in large-scale networks, including the IMT-2020 network, as follows: + +- the requirements for achieving latency guarantee in large-scale networks including the IMT-2020 network; +- overall framework and functional entities, and their interworking to achieve latency guarantee, effectively and efficiently. + +Routing and upper layer functions lie outside the scope of this Recommendation. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2111] Recommendation ITU-T Y.2111 (2011), *Resource and admission control functions in next generation networks*. +- [ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [ITU-R M.2083] Recommendation ITU-R M.2083 (2015), *IMT vision – Framework and overall objectives of the future development of IMT for 2020 and beyond*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 customer premises equipment** [b-ITU-T E.800]: Telecommunications equipment located at the customer installation on the customer side of the network interface. + +**3.1.2 service provider** [b-ITU-T E.800]: An organization that provides services to users and customers. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 aggregation domain**: A set of relay nodes in the path, for a flow, between the aggregation and segregation points. + +**3.2.2 domain**: A set of relay nodes and end-hosts under a single administrative control or within a closed group of administrative control; these include campus wide networks, private wide area networks, and IMT-2020 networks. + +NOTE – This definition references the description in the Introduction to [b-IETF RFC 8655]. + +**3.2.3 IMT-2020:** Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [ITU-R M.1645]. + +NOTE 1 – [ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +NOTE 2 – Based on [ITU-R M.2083]. + +**3.2.4 large-scale network:** A network or a set of networks, whose longest end-to-end path includes 16 or more relay nodes. + +**3.2.5 relay node:** A node supporting relay functionality that acts as an intermediary node, through which other nodes can pass their traffic (e.g., router, switch or gateway). + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|--------------------------------------| +| 5G | fifth Generation | +| 5QI | 5G QoS Identifier | +| AN | Access Network | +| ATS | Asynchronous Traffic Shaping | +| CN | Core Network | +| CPE | Customer Premises Equipment | +| DiffServ | Differentiated Services | +| DL | Downlink | +| DN | Data Network | +| DRR | Deficit Round Robin | +| e2e | end to end | +| FA | Flow Aggregate | +| FIFO | First In, First Out | +| GBR | Guaranteed Bit Rate | +| GFBR | Guaranteed Flow Bit Rate | +| IntServ | Integrated Services | +| IP | Internet Protocol | +| IPv4 | Internet Protocol version 4 | +| IPv6 | Internet Protocol version 6 | +| IR | Interleaved Regulator | +| MDBV | Maximum Data Burst Value | +| MFBR | Maximum Flow Bit Rate | +| NGBR | Non-GBR | +| NG-RAN | Next Generation-Radio Access Network | +| PDB | Packet Delay Budget | +| PDU | Protocol Data Unit | + +| | | +|-------|------------------------------------------| +| PGPS | Packetized Generalized Processor Sharing | +| QFI | QoS Flow Identifier | +| QoS | Quality of Service | +| RAN | Radio Access Network | +| RSpec | Request Specification | +| SDF | Service Data Flow | +| SMF | Session Management Function | +| TDM | Time Division Multiplexing | +| TSpec | Traffic Specification | +| UE | User Equipment | +| UL | Uplink | +| UPF | User Plane Function | +| uRLLC | ultra-Reliable Low Latency Communication | + +## 5 Conventions + +None. + +## 6 Introduction + +The IMT-2020 network is expected to be able to support a variety of different services and applications. Among them, the ultra-reliable and low-latency communication (uRLLC) service requires an end-to-end (e2e) network latency bound [ITU-R M.2083]. A network latency guarantee is also one of the most important requirements for the 6G network [b-ITU-T Y-Suppl.66]. For example, it is required to have a 5 ms latency upper bound for the tactile Internet. Remote industrial management control and remote robotic surgery are example applications of the tactile internet. On the Internet, when measured in 1998, 90% of hosts were within fewer than 18 hops from the University of California at Los Angeles [b-Fei]. The Internet in 2030 should not be smaller than this measurement. As such, a large-scale network is defined to include 16 or more e2e hops in this Recommendation. + +Different networks on the Internet including the IMT-2020 network, which is further divided into access network (AN), core network (CN) and data network (DN), have different quality of service (QoS) models and components. A QoS model includes the mechanisms, functions, description of QoS parameters information, and how that information should be treated and interpreted on the network. An integrated approach is necessary, which makes the various domains in the Internet work together as a whole. + +Legacy technologies, based on either microscopic flows or simple classes, are too complex to be implemented on a large-scale network, or ineffective in an arbitrary network topology. Time-synchronized approaches, which are similar to time division multiplexing (TDM), taken in IEEE Time Sensitive Network (TSN) task group (TG) are not scalable to IMT-2020 networks or the current Internet. + +In order for the solution to be both effective and efficient, selecting appropriate traffic granularity for network treatment is essential. The various granularity levels of flow aggregates (FAs), between flow and class, should be taken into consideration, and used as a basis for QoS control. + +Therefore, this Recommendation specifies requirements and a framework for a latency guarantee in large-scale networks. + +## 7 Requirements + +Req\_1. It is required to be able to specify, by the customer premises equipment (CPE) or on behalf of the CPEs with insufficient signalling capabilities, the CPE flow destination and characteristics (e.g., average data rate and maximum burst size). + +Req\_2. It is recommended to be able to specify, by the CPE or on behalf of the CPEs with insufficient signalling capabilities, the CPE desirable e2e latency upper bound. + +NOTE 1 – For detailed information about the QoS negotiation process, see [ITU-T Y.2111]. + +Req\_3. It is required that a network be able to determine the latency upper bound within the network, of a traversing flow, with the flow destination and the characteristics specified. + +Req\_4. It is recommended that the means to provide the latency upper bound be: 1) implementable in CNs where there are millions of active flows at an output port; 2) applicable to an arbitrary network topology; 3) of minimal effect on the average latency and the throughput; and 4) scalable to a large-scale network. + +Req\_5. It is recommended that the latency upper bound be susceptible to negotiation, for a flow, between the CPE and the service provider. + +NOTE 2 – The latency upper bound negotiation can be a two-way handshake, or a more complex process. The simplest negotiation is that of the integrated services (IntServ). A CPE with signalling capability specifies its flow request specification (RSpec) and traffic specification (TSpec). Based on these specifications, the service provider decides whether the CPE-requested upper bound can be met. If not, the provider is required to deny the admission. The latency bound negotiation can be more complex, in which a renegotiation process is included. If a first negotiation fails, the flow may restart with a new TSpec. For another example, the QoS provisioning is based on the network allowance. This means that an individual flow does not specify its latency bound requirement (RSpec in IntServ). Rather, as a flow determines its TSpec (e.g., its burst size and input rate), then based on the best e2e path among those can be provided, the feasible latency bound is calculated and notified to the flow. The flow decides whether to accept it. + +Req\_6. It is recommended that the dynamic latency upper bound be susceptible to negotiation. + +NOTE 3 – Dynamic negotiation refers a process in which already accepted flows and their upper bounds are reconsidered as new flows that are coming into the networks. It is necessary because as a network state changes, the guaranteed latency bound of already accepted flows can be also changed. + +Req\_7. It is required that networks be able to handle FAs as control elements. + +Req\_8. It is required that networks be able to aggregate and segregate flows at any desired points in a network or equivalently within an aggregation domain. + +Req\_9. It is required that within an aggregation domain, flows be aggregated according to an aggregation domain-specific rule (e.g., a rule that flows with the same input and output ports of the domain are aggregated into a single FA). + +Req\_10. It is recommended that aggregation domains be susceptible to merger and division on demand. + +Req\_11. It is required that flow aggregation rules be susceptible to negotiation among the aggregation domains. + +Req\_12. It is recommended that the TSpec include: a maximum burst size; an average input rate; a peak rate; and a maximum packet size. + +Req\_13. It is recommended that best-effort service traffic not affect the latency bound of high-priority flows. + +Req\_14. It is required that a traffic regulation capability be provided at the boundary of aggregation domains. + +## 8 Framework + +This Recommendation specifies a framework to overcome the current limitations that are analysed in Appendix I. In the proposed framework, flows are aggregated according to their {input, output port} pair in an aggregation domain, and minimal interleaved regulators (IRs) per FA are implemented at the boundary of the aggregation domain. The minimal IRs at aggregation domain boundaries suppress the burst accumulations with latency upper bounds intact [b-Le Boudec]. The conditions under which a minimal IR does not increase the upper latency bound can be summarized as follows. + +- 1) Every flow into the aggregation domain conforms to an arrival curve with parameters {average arrival rate, maximum burst size}. +- 2) The aggregation domain outputs all the packets first in, first out (FIFO). +- 3) The IR regulates every flow to reproduce the arrival characteristics at the ingress of the aggregation domain. +- 4) (Minimal IR) An IR transmits immediately when a packet at the head of queue meets the output condition. Such an IR is called a minimal IR. +- 5) An IR provides zero latency, including transmission latency, for packets satisfying the output condition. For example, if a packet comes in when the queue is empty, it can be cut-through if it is eligible to leave. + +The following e2e latency guarantee framework is specified based on the conditions described in the foregoing. + +- Flows are divided into high priority and low priority. +- Low priority flows are put in a single FIFO queue at the output port of all nodes and processed in strict priority mode with preemption. +- High-priority flows are handled as follows. + - A. Select an appropriately sized aggregation domain. + - B. The flows with the same {input, output port} in the aggregation domain are aggregated into a single FA. + - C. In a node, a fair queuing-based scheduling is performed per FA with a queue for each FA. This operation lets the aggregation domain for an FA become a FIFO system in condition 2). + - D. Install minimal IRs per FA at the boundaries of aggregation domains. See Figure 1. + - E. Only the flows conforming to the initial arrival characteristics or the flows from the IR are accepted into an aggregation domain. + - F. The aggregation domains with IRs are interconnected to form an entire network. See Appendix II for implementation practice. + +![Figure 1: Framework for latency guarantee. The diagram shows a sequence of aggregation domains. On the left, 'Regulated flows' (represented by four arrows) enter an 'Aggregation domain' (cloud shape). An arrow points from this domain to a central vertical stack of three boxes, each labeled 'Minimal IR per FA', with three dots between the top and bottom boxes. An arrow points from this stack to another 'Aggregation domain' (cloud shape), which then has an arrow pointing to the right. The label 'Y.3113(21)_F01' is located at the bottom right of the diagram.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +Y.3113(21)\_F01 + +Figure 1: Framework for latency guarantee. The diagram shows a sequence of aggregation domains. On the left, 'Regulated flows' (represented by four arrows) enter an 'Aggregation domain' (cloud shape). An arrow points from this domain to a central vertical stack of three boxes, each labeled 'Minimal IR per FA', with three dots between the top and bottom boxes. An arrow points from this stack to another 'Aggregation domain' (cloud shape), which then has an arrow pointing to the right. The label 'Y.3113(21)\_F01' is located at the bottom right of the diagram. + +**Figure 1 – Framework for latency guarantee** + +## **9 Security considerations** + +The QoS management of IMT-2020 network includes user equipment (UE), ANs, and CN that are subject to security and privacy measures. Sensitive information should be protected as a high priority in order to avoid leakage and unauthorized access. Security and privacy concerns should be aligned with the requirements specified in [b-ITU-T Y.2701] and [b-ITU-T Y.3101]. + +## Appendix I + +### Analysis of existing solutions and the proposed framework + +(This appendix does not form an integral part of this Recommendation.) + +Flow-based approaches such as the IntServ framework are known to provide a latency bound guarantee when the following three conditions are met. + +- 1) Every flow conforms to its predefined characteristics {the average input rate, maximum burst size}. +- 2) The sum of average input rates of flows in every output port does not exceed the link capacity of the port. +- 3) Every flow is guaranteed to receive a service rate not less than the input rate. + +Conditions 1) and 2) make resource reservation and admission control mandatory. Condition 3) requires a scheduler appropriate to the flows. IntServ scheduling complexity is proportional to the number of flows, which grows to millions in CNs. This scheduling complexity prohibits the IntServ from being implemented in real networks. + +Therefore, the differentiated services (DiffServ) framework has been proposed, which provides relative performance differentiation with 8 or 32 queues for each priority class. Flows belonging to a class are put into a queue. The queues are served with strict priority. Because of such a simplification, DiffServ has been adopted in the current Internet. However, the maximum burst of a flow increases proportionally to the sum of all maximum bursts of flows within a queue. When there is a cycle in a network, such as a mesh network, the maximum burst grows to infinity, as does the latency bound. The DiffServ framework does not provide a latency bound in a general topology network. + +IEEE 802.1 TSN [b-IEEE TSN] aims to guarantee a latency upper bound in a single domain network, therefore a small scale network only. The major part of the effort in TSN depends on the time synchronization function across the network, and the synchronized behaviour of the nodes. The asynchronous traffic shaping (ATS) [b-IEEE 802.1Qcr] technique presented in TSN employs a node with an output port with IRs for each input port, and a strict priority class-based FIFO system side by side [b-Specht]. An IR is a single queue system that examines the packet at the head of the queue and lets it leave as soon as it is qualified according to the regulation rule of the flow to which the packet belongs. The remainder of the packets in the queue may be delayed, even when they are already qualified. However, it is proven that a minimal IR does not increase the latency upper bound of the associated FIFO system, such as the class-based FIFO system employed in ATS [b-Le Boudec]. However, the ATS framework requires an IR for each input port at every output port of every node. Frequent regulation significantly affects statistical performance, such as average latency. It also implies increased implementation cost. + +IntServ, DiffServ, TSN synchronous approaches and TSN ATS have their own shortcomings when employed in large scale multi-domain networks. A new framework is required, which is less complex than IntServ and has better statistical performance than ATS. The framework has to provide latency bounds in arbitrary topology networks. It also has to be scalable to a large-scale network. + +The framework proposed in this Recommendation satisfies all the requirements mentioned in the foregoing. It has a lower scheduling complexity compared to flow-based frameworks, since the number of FAs in a scheduler is certainly less than the number of flows. Compared to the ATS, the reduced number of regulators of the suggested framework contributes to reduced cost, as well as improved average latency. A performance analysis with a simple exemplary network is provided in Appendix III. For further details, see [b-Joung]. It is shown that the proposed framework gives a better latency bound than the IntServ and the ATS. + +## Appendix II + +### Implementation practice of the framework + +(This appendix does not form an integral part of this Recommendation.) + +Figure II.1 depicts a practical implementation of the proposed framework. It contains an aggregation domain (called a "domain" in this appendix) and an ingress edge node of the adjacent domain. Only high-priority traffic is depicted. Every node fairly schedules the FAs, which are aggregated according to the input-output port of the domain. An FA in the domain is fed to the next domain, at whose ingress edge node the minimal IRs are implemented and the FA is regulated. If minimal IRs were located in the egress edge node, then the scheduled packets according to a fair scheduler should be redistributed into different IRs. The eligible times and corresponding transmission times of packets from different IRs would overlap, which causes violation of the non-zero latency condition. Exactly as in the ATS framework, it is assumed that zero latency may be provided with a switch module in a node, e.g., with an infinitely large bandwidth of the switch module. + +![Figure II.1: Example architecture of the nodes in the proposed latency guarantee framework. The diagram shows an aggregation domain with an ingress edge node, core nodes, and an egress edge node, followed by an adjacent domain's ingress edge node.](bd671b21db63e6fdb2196e9b18502aac_img.jpg) + +The diagram illustrates the architecture of nodes in a latency guarantee framework. It shows an aggregation domain and an adjacent domain's ingress edge node. + +**Aggregation Domain:** + +- Ingress edge node:** Contains two input ports. Each input port feeds into a set of "Minimal IRs per FA". These IRs feed into "Queues per FA". A "Switch module" is shown with a double-headed arrow connecting the "Minimal IRs per FA" and "Queues per FA". +- Core node:** Contains "Queues per FA". It receives traffic from the ingress edge node. +- Egress edge node:** Contains "Queues per FA". It receives traffic from the core node. + +**Adjacent Domain:** + +- Ingress edge node:** Contains two input ports. Each input port feeds into a set of "Minimal IRs per FA". These IRs feed into "Queues per FA". + +Arrows indicate the flow of traffic from the ingress edge node of the aggregation domain through the core node and egress edge node to the ingress edge node of the adjacent domain. + +Y.3113(21)\_FII.1 + +Figure II.1: Example architecture of the nodes in the proposed latency guarantee framework. The diagram shows an aggregation domain with an ingress edge node, core nodes, and an egress edge node, followed by an adjacent domain's ingress edge node. + +**Figure II.1 – Example architecture of the nodes in the proposed latency guarantee framework** + +## Appendix III + +### Latency bounds comparison of IntServ, TSN ATS, and the proposed framework in example networks + +(This appendix does not form an integral part of this Recommendation.) + +An example network for the description of the proposed framework is depicted in Figure III.1, in which minimal IRs are implemented between aggregation domains (called "domains" in this appendix). Assume the internetwork in Figure III.1 is perfectly symmetrical. A flow travels $d$ domains, with identically $h$ hops in a domain, making the total number of hops the flow travels $E=hd$ . The critical design choice in this architecture would be the value of $h$ (and thus $d$ ), given $E$ . + +![Figure III.1: An example network architecture of the proposed framework. The diagram shows a central cloud representing an internetwork. Four aggregation domains, each represented by a cloud, are connected to the central cloud via 'Minimal IR' (Inter-Router) blocks. A flow enters from the bottom-left aggregation domain, passes through a Minimal IR, and enters the central cloud. It then exits the central cloud, passes through another Minimal IR, and enters the bottom-right aggregation domain. The flow continues through the domain and exits to the right. Labels indicate that 'h hops in an aggregation domain (also called a "domain")' and 'd domains in the entire path of a flow E = hd hops in the entire path of a flow'.](75f0cb39f1cd165dfe4a6aa6c4d9388d_img.jpg) + +Y.3113(21)\_FIII.1 + +Figure III.1: An example network architecture of the proposed framework. The diagram shows a central cloud representing an internetwork. Four aggregation domains, each represented by a cloud, are connected to the central cloud via 'Minimal IR' (Inter-Router) blocks. A flow enters from the bottom-left aggregation domain, passes through a Minimal IR, and enters the central cloud. It then exits the central cloud, passes through another Minimal IR, and enters the bottom-right aggregation domain. The flow continues through the domain and exits to the right. Labels indicate that 'h hops in an aggregation domain (also called a "domain")' and 'd domains in the entire path of a flow E = hd hops in the entire path of a flow'. + +**Figure III.1 – An example network architecture of the proposed framework** + +The numerical performance analysis of the proposed framework is presented. The symbols for the parameters frequently used in the analysis are given in Table III.1. + +**Table III.1 – Mathematical Symbols used in the analysis** + +| Symbol | Quantity | +|--------------|-------------------------------------------------------| +| $L_i$ | Maximum packet length of flow $i$ | +| $L_{\max}$ | Maximum packet length of all the flows in a scheduler | +| $r$ | Link capacity | +| $\rho_i$ | Arrival rate of flow $i$ | +| $\sigma_i$ | Maximum burst size of flow $i$ | +| $\varphi_i$ | Quantum value assigned for flow $i$ | +| $\theta_i^S$ | Latency of flow $i$ at scheduler $S$ | +| $h$ | Number of hops in a network | +| $n$ | Number of flows in a flow aggregate | +| $p$ | Number of ports in a node | +| $d$ | Number of networks in a flow path | + +If a flow $i$ traverses only the latency rate (LR) schedulers $S_j$ in its path (with a total of $k$ LR schedulers), then the e2e latency experienced by the packets in the flow is bounded by Inequality III.1 [b-Stiliadis]. + +$$D_i \leq \frac{\sigma_i - L_i}{\rho_i} + \sum_{j=1}^k \theta_j^{S_j} \quad (\text{III.1})$$ + +The *latency* (written in italic) defined in the LR server context differs from the term used elsewhere in this Recommendation. Latency in non-italic is synonymous with delay. The *latency* of a scheduler in an LR server can be interpreted to be a maximum time a flow may have to wait, from the start of a busy period, to be served with its allocated service rate. The packetized generalized processor sharing (PGPS) is an ideal but complex LR scheduler. PGPS *latency* is given by Expression III.2 [b-Stiliadis]. + +$$\theta_i^{\text{PGPS}} = \frac{L_i}{\rho_i} + \frac{L_{\max}}{r} \quad (\text{III.2})$$ + +The deficit round robin (DRR) is the representative round-robin LR scheduler with reduced complexity. The *latency* of a DRR scheduler, if quantum values are smaller than the maximum packet length, is given by Expression III.3 [b-Lenzini]. + +$$\theta_i^{\text{DRR}} = \frac{1}{r} \left[ (F - \varphi_i) \left( 1 + \frac{L_i}{\varphi_i} \right) + \sum_{n=1}^N L_n \right] \quad (\text{III.3})$$ + +where $F$ is the sum of all quantum values ( $\varphi_i$ ) of active flows in the scheduler, and $N$ is the number of active flows. Quantum refers to the amount of data serviced at one time, which is determined in proportion to the service rate allocated to each flow [b-Shreedhar]. + +A FIFO scheduler is also an LR scheduler with the *latency* given by Expression III.4. + +$$\theta_i^{\text{FIFO}} = \frac{1}{r} \left[ \sum_{n=1}^N \sigma_n \right] \quad (\text{III.4})$$ + +where $N$ is the number of active flows. + +Consider an aggregation domain in which all the flows have the same characteristics and have to pass the same number of hops $h$ to depart, as shown in Figure III.2. Every node has $p$ inputs and $p$ output ports. A total of $np^h$ flows are input into an ingress port, and among them $np^{h-1}$ flows are output from the same port used for egress. On the second node, $np^{h-2}$ of these flows are output from the same egress port, and on the last node, $np^{h-h} = n$ of the flows exit from the same egress port. Therefore, there are $n$ flows having the same pair of {input and output ports} in the domain. Suppose this input/output (I/O) pattern occurs on all nodes. + +![Figure III.2: Flow aggregation architecture within an aggregation domain of the example network. The diagram shows a sequence of nodes in a network. The first node has multiple input ports (indicated by vertical dots) and multiple output ports. A blue line represents a flow path entering a node and exiting at the same output port. A red curved arrow indicates a flow path between two nodes. The second node has a label 'np^{h-2} flows exit at the same output port'. The third node has a label 'np flows enter from an input port' and 'n flows exit at the same output port'. A label 'n flows are combined into a single FA' points to the output of the third node. The diagram illustrates how flows are aggregated as they pass through nodes in the network.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +$p$ ports per node, + $np^h$ flows enter per port, +among them $np^{h-1}$ flows exit the node +at the same output port + +$np^{h-2}$ flows exit +at the same +output port + +$np$ flows enter +from an input port + +$n$ flows exit +at the same +output port + +$n$ flows are combined +into a single FA + +Y.3113(21)\_FIII.2 + +Figure III.2: Flow aggregation architecture within an aggregation domain of the example network. The diagram shows a sequence of nodes in a network. The first node has multiple input ports (indicated by vertical dots) and multiple output ports. A blue line represents a flow path entering a node and exiting at the same output port. A red curved arrow indicates a flow path between two nodes. The second node has a label 'np^{h-2} flows exit at the same output port'. The third node has a label 'np flows enter from an input port' and 'n flows exit at the same output port'. A label 'n flows are combined into a single FA' points to the output of the third node. The diagram illustrates how flows are aggregated as they pass through nodes in the network. + +**Figure III.2 – Flow aggregation architecture within an aggregation domain of the example network** + +From Expressions III.1 and III.2, the domain latency of the flow-based framework with the PGPS schedulers is given by + +$$D_i^{F\_PGPS} \leq \sum_{j=1}^k \theta_j^{F\_PGPS} = \frac{h(np^h+1)}{r/L}. \quad (\text{III.5})$$ + +Assume for simplicity that $\sigma_i = L_i = L_{\max} = L$ and $\rho_i = r/np^h$ , for all $i$ . Similarly, for an FA-based framework with the PGPS, there are $p^h$ FAs in an output port, and the maximum burst of an FA is $nL$ , therefore + +$$D_i^{\text{FA\_PGPS}} \leq \frac{nL-L}{\rho_i} + \sum_{j=1}^k \theta_j^{\text{FA\_PGPS}} = \frac{(h+n-1)p^h+h}{r/L}. \quad (\text{III.6})$$ + +Consider a case where the domain in Figure III.2 employs the ATS framework, i.e., FIFO and minimal IRs at every node. In this case Expression III.1 is applied to a single node, since the minimal IR is not an LR scheduler. Assume for simplicity that $\sigma_i = L_i = L_{\max} = L$ again. We have $np^h$ flows in an output port, whose burst sizes are all $L$ . The burst size of the aggregated flows at the FIFO scheduler is therefore $np^h L$ . Using Expressions III.1 and III.4) gives + +$$D_i^{\text{FIFO}} \leq \frac{np^h L - L}{\rho_i} + \sum_{j=1}^k \theta_j^{\text{FIFO}} = \frac{2np^h - 1}{r/L}$$ + +since we assume $\rho_i = r$ for the highest priority FIFO scheduler. We have $h$ such nodes in a domain, therefore the latency bound of the ATS domain is given by + +$$D_i^{\text{ATS}} \leq \frac{h(2np^h-1)}{r/L}. \quad (\text{III.7})$$ + +To elaborate the internetwork in Figure III.1, the number of flows entering a port is denoted, $F$ , and represented by $np^h$ , as in Figure III.2. The internetwork can now be depicted as in Figure III.3. + +![Figure III.3: The example network diagram. It shows a central cloud connected to four 'Minimal IR' boxes. Each box is connected to an external cloud. Labels include: 'Total F = np^h flows per port', 'n flows in the FA', 'p ports per node', 'h hops in a network', 'd domains in the entire path of a flow', and 'E = hd hops in the entire path of a flow'. A reference code 'Y.3113(21)_FIII.3' is at the bottom right.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +Figure III.3: The example network diagram. It shows a central cloud connected to four 'Minimal IR' boxes. Each box is connected to an external cloud. Labels include: 'Total F = np^h flows per port', 'n flows in the FA', 'p ports per node', 'h hops in a network', 'd domains in the entire path of a flow', and 'E = hd hops in the entire path of a flow'. A reference code 'Y.3113(21)\_FIII.3' is at the bottom right. + +**Figure III.3 – The example network, with parameters for the latency bound calculation of the flow under observation** + +Now consider the e2e latency bound of the internetwork, with fixed values of $E$ and $F$ . Now determine the latency bound while $h$ (and thus $n$ and $d$ ) varies. A larger value of $h$ means smaller values of $d$ and $n$ , and a lower number of minimal IRs. If $h = E$ , then there is no minimal IR. If $n = 1$ , then there is no flow aggregation, which is similar to IntServ framework. A smaller value of $h$ means a smaller domain size and more minimal IRs. If $h = 1$ , then IR resides at every node, which is similar to the ATS framework. + +Consider the e2e latency bounds of the IntServ, ATS, and the proposed framework. From the relationships between the variables $p$ , $F$ , $E$ , namely $np^h = F$ , $hd = E$ , can be obtained $d = E/h$ , $n = F/p^h$ . First, for IntServ, since it has the "pay burst only once" property, from Expression III.5, + +$$T_i^{\text{F\_PGPS}} \leq \frac{h(np^h + 1)}{r/dL}. \quad (\text{III.8})$$ + +Second, for the proposed framework, from Expression III.6, + +$$T_i^{\text{FA\_PGPS}} \leq \frac{(h+n-1)p^h + h}{r/dL}. \quad (\text{III.9})$$ + +Similarly, from Expression III.7, + +$$T_i^{\text{ATS}} \leq \frac{h(2np^h - 1)}{r/dL} \quad (\text{III.10})$$ + +Now consider a case where $p = 2$ , $E = 16$ , $F = 65\,536 = 2^{16}$ , $r = 1$ Gbit/s, $L = 10$ Kbit. The right hand side (RHS) of Expression (III.9) gives the red curve in Figure III.4. The blue line represents the value of the RHS of Expression (III.8), IntServ, which is 10.486. The value of the RHS of Expression (III.10), ATS (not shown), is 20.97. + +![Figure III.4: Latency bound of the proposed framework – Plot 1. A line graph showing a red U-shaped curve on a grid. The x-axis ranges from 0 to 16 with major ticks every 2 units. The y-axis ranges from 0 to 12 with major ticks every 2 units. A horizontal blue line is drawn at y = 10.486. The red curve intersects this line at x = 1 and x = 16. The curve reaches its minimum at x = 8, y = 1.347. A point on the curve at x = 10 is also marked.](b2d16e07bfa79d67a8adabf7e26c7764_img.jpg) + +| h | Latency Bound (s) | +|----|-------------------| +| 1 | 10.486 | +| 8 | 1.347 | +| 10 | ~1.2 | +| 16 | 10.486 | + +Figure III.4: Latency bound of the proposed framework – Plot 1. A line graph showing a red U-shaped curve on a grid. The x-axis ranges from 0 to 16 with major ticks every 2 units. The y-axis ranges from 0 to 12 with major ticks every 2 units. A horizontal blue line is drawn at y = 10.486. The red curve intersects this line at x = 1 and x = 16. The curve reaches its minimum at x = 8, y = 1.347. A point on the curve at x = 10 is also marked. + +**Figure III.4 – Latency bound of the proposed framework – Plot 1** + +The red curve is plotted with $p = 2$ , $E = 16$ , $F = 2^{16} = 65\,536$ , $r = 1$ Gbit/s, $L = 10$ Kbit, with varying $h$ . When $h = 8$ , the latency bound is 1.347 s. When $h = 1$ and $h = 16$ , it is 10.486 s, which is identical to the latency bound given with IntServ. The latency bound of the ATS framework is 20.97 s. The red curve reaches a minimum near $h = 10$ + +Note that all the possible choices of $h$ and $d$ give lower than or equal latency bounds compared to those of IntServ. They are always smaller than those of ATS. The optimal choice in this case is $\{h = 8, d = 2\}$ , which gives 1.347 s of latency bound, which is almost eight times better than IntServ, and 16 times better than ATS. + +This result is remarkable. By only dividing a path into two parts, putting a minimum IR in the path, and aggregating flows accordingly, the latency bound can be reduced by as much as to 1/8, compared to that of IntServ. The scheduler complexity is reduced by the order of $2^8$ . + +Next, consider a network with $p = 8$ , $E = 4$ , $F = 8^4 = 4\,096$ , $r = 1$ Gbit/s, $L = 10$ kbit/s. This set of parameters represents a smaller sized network with nodes with more ports. The RHS of Expression III.8 gives the red curve in Figure III.5. The blue line represents the value of the RHS of Expression III.9, IntServ, which is 0.164. The value of the RHS of Expression III.10, the latency bound of ATS (not shown), is 0.328. + +![Figure III.5 – Latency bound of the proposed framework – Plot 2. A line graph showing the latency bound (Y-axis, 0 to 0.5) versus h (X-axis, 0 to 4). A red curve starts at (0, 0.5), decreases to a minimum at (2, 0.083), and then increases to (4, 0.164). A horizontal blue line is at Y ≈ 0.164. Points are marked at (1, 0.164), (2, 0.083), (2, 819, 0.067), and (4, 0.164).](3102c32204f998dba666e1e915d5babf_img.jpg) + +Figure III.5 – Latency bound of the proposed framework – Plot 2. A line graph showing the latency bound (Y-axis, 0 to 0.5) versus h (X-axis, 0 to 4). A red curve starts at (0, 0.5), decreases to a minimum at (2, 0.083), and then increases to (4, 0.164). A horizontal blue line is at Y ≈ 0.164. Points are marked at (1, 0.164), (2, 0.083), (2, 819, 0.067), and (4, 0.164). + +**Figure III.5 – Latency bound of the proposed framework – Plot 2** + +The red curve is plotted with $p = 8$ , $E = 4$ , $F = 8^4 = 4\,096$ , $r = 1$ Gbit/s, $L = 10$ Kbit/s, with varying $h$ . When $h = 2$ , the latency bound is 0.083 s. When $h = 1$ and $h = 4$ , it is 0.164 s, which is identical to the latency bound given with IntServ. The latency bound of the ATS framework is 0.328 s. The red curve reaches the minimum with $h = 2.819$ + +The possible sets of parameters in this case are $\{h = 1, d = 4, n = 512 = 8^3\}$ , $\{h = 2, d = 2, n = 64\}$ , and $\{h = 4, d = 1, n = 1\}$ . The optimum choice for the value of $h$ is 2. It means that even in a small network with an e2e hop count of 4, dividing the path into two, aggregating flows accordingly, and inserting a minimal IR per FA would produce a latency bound that is only half that of IntServ. The scheduler complexity is also reduced by the order of $8^2$ . Table III.2 summarizes the latency bounds of three frameworks, with two network scenarios. + +**Table III.2 – Latency bounds comparison of the IntServ, the ATS, and the proposed framework** + +| Frameworks | Network parameters | | +|--------------------|--------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------| +| | Core network scenario
( $p = 2$ , $E = 16$ , $F = 2^{16} = 65\,536$ ,
$r = 1$ Gbit/s, $L = 10$ Kbit/s) | Local network scenario
( $p = 8$ , $E = 4$ , $F = 8^4 = 4\,096$ ,
$r = 1$ Gbit/s, $L = 10$ Kbit/s) | +| IntServ | 10.486 s | 0.164 s | +| ATS | 20.97 s | 0.328 s | +| Proposed framework | 1.347 s with $h = 8$ | 0.083 s with $h = 2$ | + +The proposed framework with minimal IRs and FA scheduling can be seen as a generalized framework that embraces the IntServ and the TSN ATS framework at its extreme implementation cases, as Table III.3 suggests. At one extreme the domain for flow aggregation encompasses only a single node, then IRs are in between every node, which is similar to the TSN ATS framework except that ATS uses a class-based FIFO scheduler. At the other extreme, the domain for flow aggregation encompasses the whole internetwork that does not need any IR, which is similar to the IntServ framework. The difference in this case is that the proposed framework aggregates flows according to the input and output ports of a domain. + +**Table III.3 – Categorization of three frameworks based on the IR locations and the scheduler used** + +| IR locations | Scheduler | | | +|--------------------|------------|---------------------------------------------------------|------| +| | Flow-based | Based on FA with
{input, output port} of
a domain | FIFO | +| Zero IR | IntServ | Proposed framework | | +| IR between domains | | | | +| IR at every node | | | ATS | + +The major complexity of the three frameworks comes from the scheduler. In this regard, ATS has the advantage. The proposed framework shows smaller or equal complexity to that of IntServ. The IR also contributes to the complexity, but it is negligible since it maintains a single queue. The IR still + +has to maintain and update every flow state. The drawback of the IR resides in the average latency. It is conjectured that more IRs produce larger average latency. This is for further study by analysis or simulation. The number of IRs required for the ATS framework is proportional to the square of the port numbers of all nodes in a network. The number of IRs required for the proposed framework is proportional to the square of the number of ports of all the edge nodes, which is always less than that in ATS. Therefore, the proposed framework is expected to enjoy less complexity than IntServ and a smaller average latency than the ATS, with a smaller latency bound than both. + +## Appendix IV + +### Gap analysis of the requirements and framework for the IMT-2020 network + +(This appendix does not form an integral part of this Recommendation.) + +### IV.1 Overview of the IMT-2020 network architecture and its QoS framework + +The IMT-2020 network is a complex internetwork of different architectures and purposes. IMT-2020 network components are divided into UE, AN, CN, and DN. In Figure IV.1, functional entities other than UE, AN, and DN are included in the CN. The IMT-2020 network emphasizes three features: control and user plane separation (distributed softwarization); AN and CN independence; and network slicing. The CN has multiple user plane functions (UPFs), as data plane components, physically separated and distributed, with other control plane functions virtually distributed with the network slicing. + +![Figure IV.1: Framework of the IMT-2020 network. The diagram shows the interaction between the UE, Access network (AN), and Core network (CN). The CN is divided into a Control plane and a User plane. The Control plane includes functions like Capability exposure, Network function registry, Policy control, Unified subscription management, and Application. The User plane includes Network access control, Network slice selection, Auth. server, and Session management. Data transport occurs between UE-AN, AN-CN, and CN-Data networks. A stack of User plane functions (UPFs) is shown connected to the Data networks.](7d3d5fb5d09c0cd35a9d637be241651e_img.jpg) + +The diagram illustrates the IMT-2020 network framework. It is divided into three main sections: UE (User Equipment), Access network (AN), and Core network (CN). The CN is further divided into a Control plane and a User plane. The Control plane includes the following functions: Capability exposure function, Network function registry, Policy control function, Unified subscription management function, and Application function. The User plane includes the following functions: Network access control function, Network slice selection function, Auth. server function, and Session management function. The Session management function is connected to a stack of User plane functions (UPFs). The UE and AN are connected to the CN via UE-CN signalling and AN-CN signalling. The UE and AN are also connected to the CN via UE-AN data transport and AN-CN data transport. The CN is connected to Data networks via the UPFs. The diagram is labeled Y.3113(21)\_FIV.1. + +Figure IV.1: Framework of the IMT-2020 network. The diagram shows the interaction between the UE, Access network (AN), and Core network (CN). The CN is divided into a Control plane and a User plane. The Control plane includes functions like Capability exposure, Network function registry, Policy control, Unified subscription management, and Application. The User plane includes Network access control, Network slice selection, Auth. server, and Session management. Data transport occurs between UE-AN, AN-CN, and CN-Data networks. A stack of User plane functions (UPFs) is shown connected to the Data networks. + +**Figure IV.1 – Framework of the IMT-2020 network [b-ITU-T Y.3102]** + +In this Recommendation, it is assumed that a single UPF governs an aggregation domain that is a part of a network slice and also a part of a CN, with a physically identifiable boundary. The UPF performs per-flow QoS handling, including transport level packet marking for uplink (UL) and downlink (DL), rate limiting and reflective QoS (DiffServ code point) marking on the DL [b-ETSI TS 123 501]. A domain may encompass multiple routers or switches. By default, within a UPF domain relay, nodes keep the same scheduling, queueing and regulation policy. + +Note that a session management function (SMF) belongs to a single network slice, and a UPF belongs to a single SMF, therefore a UPF belongs to a single network slice [b-ETSI TS 128 530]. + +Figure IV.2 depicts the QoS flow classification principle in the IMT-2020 network. QoS flow is the finest granularity for QoS management in the IMT-2020 core network. A QoS flow can either guarantee the bit rate or not, i.e., guaranteed bit rate (GBR) QoS flow or non-GBR (NGBR) QoS flow. With the QoS flow concept, granularity for QoS treatment (per flow) becomes different from tunnelling (per protocol data unit (PDU) session, basically), and it enables more flexible QoS control. + +The terms and concepts defined in the 3GPP 5G system are mapped to the terms used in this Recommendation in Table IV.1. + +![Figure IV.2: The principle for classification and User plane marking for QoS flows. The diagram shows the flow of data packets from the Application/Service layer through the UE, AN, and UPF. Key components include QoS rules for mapping UL packets to QoS flows and applying QoS flow marking, QoS flows (all packets marked with the same QFI), Mapping QoS flows to AN resources, AN resources, PDU session, PDRs (Classify packets for QoS flow marking and other actions), and UE/AN/UPF blocks. The diagram is labeled Y.3113(21)_FIV.2.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +Figure IV.2: The principle for classification and User plane marking for QoS flows. The diagram shows the flow of data packets from the Application/Service layer through the UE, AN, and UPF. Key components include QoS rules for mapping UL packets to QoS flows and applying QoS flow marking, QoS flows (all packets marked with the same QFI), Mapping QoS flows to AN resources, AN resources, PDU session, PDRs (Classify packets for QoS flow marking and other actions), and UE/AN/UPF blocks. The diagram is labeled Y.3113(21)\_FIV.2. + +**Figure IV.2 – The principle for classification and User plane marking for QoS flows [b-ETSI TS 123 501]** + +**Table IV.1 – Mapping of 3GPP 5G terms and concepts to terms used in this Recommendation** + +| Terms used in this Recommendation | Terms defined in 3GPP 5G System TS | Definitions in [b-ETSI TS 123 501] and [b-ETSI TS 124 501] | +|----------------------------------------|------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Flow | 5G QoS flow | All traffic mapped to the same 5G QoS flow receive the same forwarding treatment (e.g., scheduling policy, queue management policy, rate shaping policy and radio link control configuration). QoS rules are used for identification of a QoS flow. QoS rules are basically a set of packet filters that are constructed with Ethernet, Internet protocol (IP), user datagram protocol/transmission control protocol header fields. | +| – | PDU session | Association between the UE and a DN that provides a PDU connectivity service, which is a service that provides exchange of PDUs between a UE and a DN. Generally a PDU session can be mapped to one or more QoS flows (see Note). | +| Flow latency bound requirement (RSpec) | 5G QoS identifier (5QI) | A scalar that is used as a reference to a specific QoS forwarding behaviour (e.g., packet loss rate, packet delay budget (PDB)) to be provided to a 5G QoS flow. | +| High and low priority flow | GBR and NGBR QoS flow | GBR flow is a QoS flow using the GBR resource type or the delay-critical GBR resource type and requiring guaranteed flow bit rate. NGBR flow is a QoS flow using the NGBR resource type and not requiring guaranteed flow bit rate. | +| | Priority | 5QI is also associated with priority. | +| Latency upper bound | PDB | The PDB determines an upper bound for the time that a packet may be delayed between the UE and the UPF that terminates the interface between the DN and the UPF (N6). | + +**Table IV.1 – Mapping of 3GPP 5G terms and concepts to terms used in this Recommendation** + +| Terms used in this Recommendation | Terms defined in 3GPP 5G System TS | Definitions in [b-ETSI TS 123 501] and [b-ETSI TS 124 501] | +|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Average input rate | Guaranteed flow bit rate (GFBR) and maximum flow bit rate (MFBR) | The GFBR denotes the bit rate that is guaranteed to be provided by the network to the QoS flow over the averaging time window. The MFBR limits the bit rate to the highest bit rate that is expected by the QoS flow (e.g., excess traffic may get discarded or delayed by a rate shaping or policing function at the UE, radio access network (RAN), UPF). Bit rates above the GFBR value and up to the MFBR value, may be provided with relative priority determined by the priority level of the QoS flows. | +| Maximum burst size | Maximum data burst value (MDBV) | MDBV denotes the largest amount of data that the 5G-AN is required to serve within a period of 5G-AN PDB (i.e., the 5G AN part of the PDB). | +| NOTE – In a PDU session of Internet Protocol version 4 (IPv4), Internet Protocol version 6 (IPv6), IPv4v6 and Ethernet PDU session type, the non-access stratum protocol enables different forwarding treatments of UL user data packets in one or more QoS flows based on signalled QoS rules, derived QoS rules or any combination of them. In an unstructured PDU session type, all UL user data packets are associated with the same QoS flow (clause 6.2.5.1.1 of [b-ETSI TS 124 501]). | | | + +### IV.2 Gap analysis of the requirements for the IMT-2020 network + +The 5G QoS model is based on QoS flows (clause 5.7.1.1 of [b-ETSI TS 123 501]). The 5G QoS model supports both GBR QoS flows and NGBR QoS flows. The QoS flow is the finest granularity of QoS differentiation in the PDU session. A QoS flow identifier (QFI) is used to identify a QoS flow in the 5G system. User plane traffic with the same QFI within a PDU session receives the same traffic forwarding treatment (e.g., scheduling, admission threshold). The QFI is carried in an encapsulation header on the interface between the RAN and the initial UPF (N3) (and the interface between the intermediate UPF and the UPF session anchor (N9)) i.e., without any changes to the e2e packet header. A QFI shall be used for all PDU session types. The QFI shall be unique within a PDU session. The QFI may be dynamically assigned or may be equal to the 5QI, which is a static number assigned to a flow based on its characteristics. For example, the value 80 is assigned as the standardized 5QI to low latency eMBB applications augmented reality applications with the specified 10 ms PDB. + +For GBR QoS flows only, the following additional QoS parameters exist (clause 5.7.2.5 of [b-ETSI TS 123 501]): + +- GFBR – UL and DL; +- MFBR – UL and DL. + +The GFBR denotes the bit rate that is guaranteed to be provided by the network to the QoS flow over the averaging time window. The MFBR limits the bit rate to the highest bit rate that is expected by the QoS flow (e.g., excess traffic may get discarded or delayed by a rate shaping or policing function at the UE, RAN, UPF). + +Each GBR QoS flow with a delay-critical resource type shall be associated with an MDBV (clause 5.7.3.7 of [b-ETSI TS 123 501]). MDBV denotes the largest amount of data that the 5G-AN is required to serve within a 5G-AN PDB period. Every standardized 5QI (of delay-critical GBR resource type) is associated with a default value for the MDBV (specified in the QoS characteristics of Table 5.7.4-1 of [b-ETSI TS 123 501]). The MDBV may also be signalled together with a standardized 5QI to the (R)AN, and if it is received, it shall be used instead of the default value. The + +MDBV may also be signalled together with a pre-configured 5QI to the (R)AN, and if it is received, it shall be used instead of the pre-configured value. + +With these QoS parameters, the SMF binds service data flows (SDFs) to QoS flows based on the QoS and service requirements (clause 5.7.1.5 of [b-ETSI TS 123 501]). The SMF assigns the QFI for a new QoS flow and derives its QoS profile, corresponding UPF instructions and QoS rule(s) from the PCC rules and other information provided by the PCF. A mapping from IP flow to SDF and further down to 5G QoS flow may not be one-to-one, however. + +The following list of requirements is specified in clause 7, as well as the gap analysis of each requirement for the IMT-2020 network. + +Req\_1. It is required to be able to specify, by the CPE or on behalf of the CPEs with insufficient signalling capabilities, the CPE flow destination and characteristics (e.g., average data rate and maximum burst size). + +Analysis: The SMF binds SDF to QoS flows with MFBR and MDBV, which correspond to the average data rate and the maximum burst size in requirement 1. Therefore, a standard IMT-2020 network meets requirement 1 as it is. + +Req\_2. It is recommended to be able to specify, by the CPE or on behalf of the CPEs with insufficient signalling capabilities, the CPE desirable e2e latency upper bound. + +Analysis: UE or an application in a piece of UE in IMT-2020 is able to specify its PDB if the flow is GBR QoS flow. Requirement 2 is met in the current standard IMT-2020 network. + +Req\_3. It is required that a network be able to determine the latency upper bound within the network, of a traversing flow, with the flow destination and the characteristics specified. + +Analysis: A network, regardless of the AN or CN of the IMT-2020 system, or independent DN system, is required to be able to provide and announce the latency upper bound (or PDB) in a network. It is required to add a new latency bound decision function to IMT-2020 networks. + +Req\_4. It is recommended that the means to provide the latency upper bound be: 1) implementable in CNs where there are millions of active flows at an output port; 2) applicable to an arbitrary network topology; 3) of minimal effect on the average latency and the throughput; and 4) scalable to a large-scale network. + +Analysis: This requirement is the key for the successful deployment of latency critical GBR applications in a 5G system. This requirement can be met with the framework proposed in this Recommendation. It is required that IMT-2020 networks to follow the framework proposed in this Recommendation. + +Req\_5. It is recommended that the latency upper bound be susceptible to negotiation, for a flow, between the CPE and the service provider. + +Req\_6. It is recommended that the dynamic latency upper bound be susceptible to negotiation. + +Analysis of Req\_5 and Req\_6: The basic approach in an IMT-2020 network to the admission decision is based on the pre-defined QoS profile of a flow and resource availability. As such, the negotiation is as simple as determining a QoS profile. On the other hand, the QoS parameter notification control in an IMT-2020 network indicates whether notifications are requested from the next generation-radio access network (NG-RAN) when the GBR can no longer (or can again) be guaranteed for a QoS flow during its lifetime. Notification control may be used for a GBR QoS flow if the application traffic is able to adapt to the change in the QoS (clause 5.7.2.4.1 of [b-ETSI TS 123 501]). A similar admission control procedure is also specified. However, notification control focuses on re-admission control according to dynamic network environment changes. The means to determine whether to admit is not clearly specified in [b-ETSI TS 123 501] or [b-ETSI TS 123 503], but use of the performance measurements is suggested. It is recommended to add a new negotiation functionality to IMT-2020 networks. + +- Req\_7. It is required that networks be able to handle FAs as control elements. +- Req\_8. It is required that networks be able to aggregate and segregate flows at any desired points in a network or equivalently within an aggregation domain. +- Req\_9. It is required that within an aggregation domain, flows be aggregated according to an aggregation domain-specific rule (e.g., a rule that flows with the same input and output ports of the domain are aggregated into a single FA). +- Req\_10. It is recommended that aggregation domains be susceptible to merger and division on demand. +- Req\_11. It is required that flow aggregation rules be susceptible to negotiation among the aggregation domains. + +Analysis of Req\_7 and Req\_11: Requirements 7 to 11 are about flow aggregation. Currently the bearer service in IMT-2020 can be thought as a flow aggregation. A more flexible aggregation function in the IMT-2020 network is required. + +- Req\_12. It is recommended that the TSpec include: a maximum burst size; an average input rate; a peak rate; and a maximum packet size. + +Analysis: The current IMT-2020 standard specifies the MFBR and the MDBV to be QoS parameters, which correspond to the input rate and the maximum burst size. The maximum packet size is rather a network-specific parameter not specified for QoS control in a IMT-2020 network. It is recommended that the maximum packet size be a part of the TSpec in IMT-2020. + +- Req\_13. It is recommended that best-effort service traffic does not affect the latency bound of high-priority flows. +- Req\_14. It is required that a traffic regulation capability be provided at the boundary of aggregation domains. + +Analysis: It is recommended that a pre-emption capability on NGBR or low-priority traffic be implemented in IMT-2020 networks. It is also required that a regulation function (e.g., minimal IR per FA) be implemented in IMT-2020 networks. + +### **IV.3 Gap analysis of the framework for the IMT-2020 network** + +The framework in this Recommendation depends on three essential elements: flow aggregation; aggregation domain; and minimal IR. The flow in this Recommendation can be specified to be a set of packets sharing network start and end points, as well as traffic characteristics such as the latency bound. A QoS flow in the IMT-2020 network, identified by a QFI, may be an aggregation of SDFs. An SDF may also be an aggregation of IP flows. A proper mapping from IP flow to QoS flow can satisfy the specification of the flow in this Recommendation. QoS flows can use the bearer service in an IMT-2020 network. A bearer in this regard can be seen as an FA. Again a careful initiation and a termination of a bearer can be seen as flow aggregation and also segregation. However, the initiation and termination points of a bearer service are rather fixed according to the network type, i.e., whether it is access or core network. It is recommended that an aggregation domain be arbitrarily set to include multiple networks or multiple UDFs. Implementation of the minimal IRs per FA at the boundaries of aggregation domains is also required. + +## Bibliography + +- [b-ITU-T E.800] Recommendation ITU-T E.800 (2008), *Definitions of terms related to quality of service*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [b-ITU-T Y.3102] Recommendation ITU-T Y.3102 (2018), *Framework of the IMT-2020 network*. +- [b-ITU-T Y-Suppl.66] ITU-T Y-series Recommendations – Supplement 66, (2020), *ITU-T Y.3000-series Network 2030 services: Capabilities, performance and design of new communication services for the Network 2030 applications*. +- [b-ETSI TS 123 501] Technical Specification ETSI TS 123 501 V16.6.0 (2020), *5G; System architecture for the 5G System (5GS) (3GPP TS 23.501 version 16.6.0 Release 16)*. +- [b-ETSI TS 123 503] Technical Specification ETSI TS 123 503 V16.5.0 (2020), *5G; Policy and charging control framework for the 5G System (5GS); Stage 2 (3GPP TS 23.503 version 16.5.0 Release 16)*. +- [b-ETSI TS 124 501] Technical Specification ETSI TS 124 501 V16.5.1 (2020), *5G; Non-access-stratum (NAS) protocol for 5G system (5GS); Stage 3 (3GPP TS 24.501 version 16.5.1 Release 16)*. +- [b-ETSI TS 128 530] Technical Specification ETSI TS 128 530 V16.2.0 (2020), *5G; Management and orchestration; Concepts, use cases and requirements (3GPP TS 28.530 version 16.2.0 Release 16)*. +- [b-IEEE 802.1Qcr] IEEE 802.1Qcr-2020, *IEEE Standard for local and metropolitan area networks – Bridges and bridged networks – Amendment 34: Asynchronous traffic shaping*. +- [b-IEEE TSN] IEEE 802.1 Working Group (2017). *Time-Sensitive Networking Task Group*. Available [viewed 2021-03-18] at: +- [b-IETF RFC 8655] IETF RFC 8655 (2019), *Deterministic networking architecture*. +- [b-Fei] Fei A., Pei G., Liu R., Zhang L. (1998). Measurements on delay and hop-count of the Internet. In: *IEEE GLOBECOM*. Available [viewed 2021-03-18] at: . +- [b-Joung] Joung, J. (2020). Framework for delay guarantee in multi-domain networks based on interleaved regulators. *Electronics*, **9**, 436, 11 pp. Available [viewed 2021-03-18] from: . +- [b-Le Boudec] Le Boudec, J. (2018). A theory of traffic regulators for deterministic networks with application to interleaved regulators. In: *IEEE/ACM Trans. Networking*, Vol. 26, No. 6, pp. 2721-2733. doi: 10.1109/TNET.2018.2875191. +- [b-Lenzini] Lenzini, L., Mingozi, E., Stea, G. (2004). Tradeoffs between low complexity, low latency, and fairness with deficit round-robin schedulers. In: *IEEE/ACM Trans. Networking*, vol. 12, no. 4, pp. 681-693. doi: 10.1109/TNET.2004.833131. + +- [b-Shreedhar] Shreedhar, M., Varghese, G. (1996). Efficient fair queueing using deficit round-robin. In: *IEEE/ACM Trans. Networking*, Vol. 4, No. 3, pp. 375-385 doi: 10.1109/90.502236. +- [b-Specht] Specht, J., Samii, S. (2016). Urgency-based scheduler for time-sensitive switched Ethernet networks. In: *Proc. 28th Euromicro Conference on Real-Time Systems (ECRTS)*, Toulouse, pp. 75-85. doi: 10.1109/ECRTS.2016.27. +- [b-Stiliadis] Stiliadis, D., Varma A. (1998). Latency-rate servers: A general model for analysis of traffic scheduling algorithms. In: *IEEE/ACM Transactions on Networking*, vol. 6, no. 5, pp. 611-624. doi: 10.1109/90.731196. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and 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framework for cloud gaming supported by the IMT-2020 network** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3125 + +## Quality of service assurance requirements and framework for cloud gaming supported by the IMT-2020 network + +## Summary + +Recommendation ITU-T Y.3125 specifies quality of service assurance aspects for cloud gaming (CG) supported by the International Mobile Telecommunications-2020 (IMT-2020) network. + +Recommendation ITU-T Y.3125 first provides an overview of CG supported by the IMT-2020 network and then specifies high-level requirements, functional requirements, and framework for CG with that support. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3125 | 2023-09-29 | 13 | 11.1002/1000/15641 | + +## Keywords + +Cloud gaming, cloud-gaming centre, cloud-gaming edge, IMT-2020, QoS assurance. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-------------------------------------------------------------------------------|------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview ..... | 3 | +| 7 High level requirements..... | 4 | +| 8 Functional requirements ..... | 4 | +| 8.1 CG centre..... | 4 | +| 8.2 CG edge..... | 5 | +| 8.3 CG client..... | 5 | +| 8.4 Collaboration between CG centre and CG edge..... | 5 | +| 9 Framework..... | 5 | +| 10 Security considerations..... | 7 | +| Appendix I – General quality of service considerations for cloud gaming ..... | 8 | +| Appendix II – General deployment use case ..... | 10 | +| Bibliography..... | 11 | + + + +# Recommendation ITU-T Y.3125 + +## Quality of service assurance requirements and framework for cloud gaming supported by the IMT-2020 network + +# 1 Scope + +This Recommendation specifies quality of service (QoS) assurance requirements and a framework for cloud gaming (CG) supported by the International Mobile Telecommunications-2020 network (IMT-2020). This Recommendation provides: + +- an overview; +- high-level requirements; +- functional requirements; +- a framework; +- security considerations. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T G.1032] Recommendation ITU-T G.1032 (2017), *Influence factors on gaming quality of experience*. +- [ITU-T Y.3076] Recommendation ITU-T Y.3076 (2020), *Architecture of ICN-enabled edge network in IMT-2020*. +- [ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [ITU-T Y.3106] Recommendation ITU-T Y.3106 (2019), *Quality of service functional requirements for the IMT-2020 network*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud gaming** [ITU-T G.1032]: Cloud gaming is characterized by game content delivered from a server to a client as a video stream with game controls sent from the client to the server. The execution of the game logic, rendering of the virtual scene, and video encoding are performed at the server, while the client is responsible for video decoding and capturing of client input. + +**3.1.2 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related aspects that support to provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +**3.1.3 multi-access edge computing (MEC)** [b-ETSI GR MEC 001]: System which provides an IT service environment and cloud-computing capabilities at the edge of an access network which contains one or more type of access technology, and in close proximity to its users. + +**3.1.4 quality of experience (QoE)** [b-ITU-T P.10]: The degree of delight or annoyance of the user of an application or service. + +NOTE – Recognizing on-going research on this topic, this is a working definition which is expected to evolve for some time. (This note is not part of the definition.). + +**3.1.5 quality of service (QoS)** [b-ITU-T P.10]: The totality of characteristics of a telecommunications service that bear on its ability to satisfy stated and implied needs of the user of the service (see [b-ITU-T E.800]). + +**3.1.6 quality of service assurance** [b-ITU-T Y.3109]: Functionalities or mechanisms that enable service providers to make statements with a degree of confidence that the service meets the quality characteristics or objectives specified elsewhere. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 cloud-gaming centre; CG centre:** A part of a cloud-gaming (CG) server located in the data network connected to IMT-2020 network to support global management functions of CG. + +**3.2.2 cloud-gaming edge; CG edge:** A part of a cloud-gaming (CG) server located at the edge of IMT-2020 network for supporting computation-intensive and delay-sensitive functions of CG. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------------|----------------------------------------------| +| AF | Application Function | +| AN | Access Network | +| CG | Cloud Gaming | +| CG-IMT2020 | Cloud Gaming supported by IMT-2020 network | +| CN | Core Network | +| E2E | End to End | +| IMT-2020 | International Mobile Telecommunications-2020 | +| MEC | Multi-Access Edge Computing | +| NACF | Network Access Control Function | +| NFR | Network Function Repository | +| NSSF | Network Slice Selection Function | +| PCF | Policy Control Function | +| RTT | Round-Trip Time | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| RP | Reference Point | +| SMF | Session Management Function | +| UE | User Equipment | + +| | | +|-----|---------------------------------| +| UPF | User Plane Function | +| USM | Unified Subscription Management | + +# 5 Conventions + +In this Recommendation: + +The phrase "is required" indicates a requirement that must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The phrase "is recommended" indicates a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The phrase "can optionally" indicates an optional requirement that is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator or service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +# 6 Overview + +CG is characterized by game content delivered from a server to a client as a video stream with game controls sent from the client to the server. The execution of the game logic, rendering of the virtual scene and video encoding is performed on the server, while the client is responsible for video decoding and capturing of client input [ITU-T G.1032]. CG shifts the computationally intensive graphics rendering and processing from the player client devices to network servers, which means that players do not need high-performance hardware, but only basic capacities for video decoding, video display and network connection. Figure 6-1 shows a generic framework for CG. + +CG begins by collecting game controls or user interaction from the client. Then the user interaction and other relevant information is uploaded to the CG server via a network. The CG server contains powerful hardware to quickly perform the necessary computing and graphic rendering needed to create the video frames corresponding to control inputs by players. The rendered video frames are then sent to the player devices and decoded by them. + +![Figure 6-1: General concept of cloud gaming. The diagram shows a Client and a Cloud gaming service. The Client contains 'User interaction capturing' and 'Video decoding'. The Cloud gaming service contains 'Client interaction', 'Game logic', 'Game rendering', 'Video encoding', and 'Video streaming'. Arrows show 'User commands' from Client to Cloud, and 'Video stream' from Cloud to Client. Internal flows in the Cloud service are: Client interaction to Game logic, Game logic to Game rendering, Game rendering to Video encoding, and Video encoding to Video streaming.](b28af4985cdef1e519e3aaf26561dcb3_img.jpg) + +``` + +graph LR + subgraph Client + UIC[User interaction capturing] + VD[Video decoding] + end + subgraph Cloud_gaming_service [Cloud gaming service] + CI[Client interaction] + GL[Game logic] + GR[Game rendering] + VE[Video encoding] + VS[Video streaming] + end + UIC -- "User commands" --> CI + CI --> GL + GL --> GR + GR --> VE + VE --> VS + VS -- "Video stream" --> VD + +``` + +Y.3125(23) + +Figure 6-1: General concept of cloud gaming. The diagram shows a Client and a Cloud gaming service. The Client contains 'User interaction capturing' and 'Video decoding'. The Cloud gaming service contains 'Client interaction', 'Game logic', 'Game rendering', 'Video encoding', and 'Video streaming'. Arrows show 'User commands' from Client to Cloud, and 'Video stream' from Cloud to Client. Internal flows in the Cloud service are: Client interaction to Game logic, Game logic to Game rendering, Game rendering to Video encoding, and Video encoding to Video streaming. + +**Figure 6-1 – General concept of cloud gaming** + +[ITU-T G.1032] presents a list of factors that may influence the QoE of CG. The influence factors are grouped according to origin: human; system; and context. Network transmission is one important + +aspect of the system influence factor. Due to the highly interactive nature of CG, network distortion can negatively influence user experience. CG mostly suffers from latency, jitter, packet loss and insufficient bandwidth. + +With the development of the IMT-2020 network and related technologies, such as network slicing and MEC, the network gains a high performance with low latency, high bandwidth, high reliability and high isolation, such performance meets the requirements of CG. CG is expected to take advantage of the low latency enabled by an IMT-2020 network and MEC to reduce the end-to-end (E2E) application level delay. When deploying a CG service, part of the functions can be deployed on the edge data network [ITU-T Y.3076] of the IMT-2020 network that contracts the distance between the user client and the gaming server, reduces the network latency and improves the CG experience. + +Figure 6-2 shows a general framework for CG supported by an IMT-2020 network (CG-IMT2020), which consists of the CG client, CG edge and CG centre. + +![Figure 6-2: General framework for cloud gaming supported by an IMT-2020 network. The diagram shows a flow from a UE (User Equipment) containing a CG client, through an AN (Access Network), a UPF (User Plane Function), and a CN (Core Network) to a CG centre (represented by a cloud shape containing 'Global management'). Below the CN, a CG edge (represented by a cloud shape containing 'Game rendering' and 'Video encoding') is connected to the UPF. The reference Y.3125(23) is noted at the bottom right.](e6df2733626a85205c1db682e6259c46_img.jpg) + +``` + +graph LR + subgraph UE_Box [UE] + CG_client[CG client] + end + AN[AN] + UPF[UPF] + subgraph CN_Box [CN] + Global_management[Global management] + end + CG_centre((CG centre)) + subgraph CG_edge_Box [CG edge] + Game_rendering[Game rendering] + Video_encoding[Video encoding] + end + + CG_client --- AN + AN --- UPF + UPF --- CN_Box + CN_Box --- CG_centre + UPF --- CG_edge_Box + +``` + +Y.3125(23) + +Figure 6-2: General framework for cloud gaming supported by an IMT-2020 network. The diagram shows a flow from a UE (User Equipment) containing a CG client, through an AN (Access Network), a UPF (User Plane Function), and a CN (Core Network) to a CG centre (represented by a cloud shape containing 'Global management'). Below the CN, a CG edge (represented by a cloud shape containing 'Game rendering' and 'Video encoding') is connected to the UPF. The reference Y.3125(23) is noted at the bottom right. + +**Figure 6-2 – General framework for cloud gaming supported by an IMT-2020 network** + +# 7 High level requirements + +Since CG-IMT2020 is a vertical application of an IMT-2020 network, its QoS assurance is supported by the requirements and control mechanisms specified in [ITU-T Y.3101][ITU-T Y.3106]. Besides the common requirements, the CG-IMT2020-specific high level and functional ones for QoS assurance are specified in clause 7 and clause 8. + +- CG-IMT2020 is required to assure the delay, bandwidth, jitter, and packet loss for CG. +- CG-IMT2020 is required to assure CG service scalability and reliability based on the collaboration between a CG centre and CG edge. +- CG-IMT2020 is required to assure mobility management of the CG edge. + +# 8 Functional requirements + +## 8.1 CG centre + +- The CG centre is required to act as an IMT-2020 application function (AF) and to interact with the IMT-2020 policy control function (PCF) to exchange QoS subscription information. The subscription information may contain bandwidth, delay, jitter loss rate, etc. +- The CG centre is recommended to collect QoS data and report to the IMT-2020 PCF. +- The CG centre is required to perform global management functions (e.g., resource management). +- The CG centre is required to interact with CG-IMT2020 to customize the local shunting policies. + +## **8.2 CG edge** + +- The CG edge is required to act as an IMT-2020 AF and to interact with IMT-2020 PCF to exchange QoS subscription information. The subscription information may contain bandwidth, delay, jitter loss rate, etc. +- The CG edge is recommended to collect QoS data and report to the IMT-2020 PCF. +- The CG edge is required to perform computation-intensive and delay-crucial functions (e.g., video encoding and game rendering). +- The CG edge is required to support video encoding and compression mechanisms to lower the network bandwidth requirement. +- Deployment of the CG edge is required at the edge of the IMT-2020 network close to the CG client. +- The CG edge is required to adjust video frame rate dynamically based on QoS monitoring data. + +## **8.3 CG client** + +- The CG client is recommended to collect QoS data and report to the IMT-2020 PCF. +- The CG client is required to support local decoding and rendering to meet QoS assurance objectives. + +## **8.4 Collaboration between CG centre and CG edge** + +- The CG centre is required to monitor the status of the CG edge. +- The CG centre is required to support dynamic scheduling and orchestration for the CG edge. + +NOTE – Dynamic scheduling depends on the location of CG clients and the status of the CG edge. + +# **9 Framework** + +Figure 9-1 shows the framework for CG supported by an IMT-2020 network. It consists of CG client (user equipment (UE)), CG edge and CG centre. A description of each part follows. + +![Figure 9-1: Framework for cloud gaming supported by IMT-2020. The diagram illustrates the network architecture and QoS flow across different components. Key elements include: UE (User Equipment) with a CG client (User interaction capturing, Video decoding, QoS monitoring); AN (Access Network) with RP-tn and RP-an interfaces; CN (Core Network) with USM, NFR, ASF, CEF, AF, NACF, NSSF, PCF, SMF, and QoS assurance functions (planning, provisioning, monitoring, optimisation); Data network with Resource management, Access management, QoS monitoring, and CG centre; Edge data network with Game rendering, Video encoding, QoS monitoring, and CG edge; and UPF (User Plane Function) in the CN. QoS flows are indicated by solid arrows, and QoS assurance functions are highlighted in blue. Interfaces shown include UE-AN, RP-an, RP-au, RP-su, RP-ud, and RP-tn. A legend at the bottom right defines the symbols for QoS flow and QoS assurance functions.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Figure 9-1: Framework for cloud gaming supported by IMT-2020. The diagram illustrates the network architecture and QoS flow across different components. Key elements include: UE (User Equipment) with a CG client (User interaction capturing, Video decoding, QoS monitoring); AN (Access Network) with RP-tn and RP-an interfaces; CN (Core Network) with USM, NFR, ASF, CEF, AF, NACF, NSSF, PCF, SMF, and QoS assurance functions (planning, provisioning, monitoring, optimisation); Data network with Resource management, Access management, QoS monitoring, and CG centre; Edge data network with Game rendering, Video encoding, QoS monitoring, and CG edge; and UPF (User Plane Function) in the CN. QoS flows are indicated by solid arrows, and QoS assurance functions are highlighted in blue. Interfaces shown include UE-AN, RP-an, RP-au, RP-su, RP-ud, and RP-tn. A legend at the bottom right defines the symbols for QoS flow and QoS assurance functions. + +Y.3125(23) + +**Figure 9-1 – Framework for cloud gaming supported by IMT-2020** + +- The IMT-2020 network exposes the QoS assurance-related network capabilities to the CG centre and the CG edge for QoS customization [b-ITU-T Y.3108] and supports E2E QoS control. The CG centre and CG edge act as an AF and may interact with the PCF in an IMT-2020 network for QoS customization in two ways: + - i) with the PCF directly by acting as a trusted AF; + - ii) with the PCF via the capability exposure function. + When the PCF receives QoS-related requests, it starts a new QoS flow or updates the existing QoS flow and the QoS policies are applied to the flow that spans the UE, access network (AN) and user plane function (UPF). The CG traffic is routed to the CG edge as local traffic and any other types of traffic is routed to the CG centre [b-ITU-T Y.3158]. +- The CG client is thin, i.e., with basic hardware capacities. The CG client is responsible for: + - i) decoding and displaying the video stream to CG players; + - ii) capturing player interaction (input) and dispatch to the CG edge. + The CG client can also monitor and collect related QoS data and report to IMT-2020 PCF to optimize CG QoS. CG requires "playing everywhere", the CG client may move around and switch between different ANs or core networks (CNs). +- The CG centre is located in the data network and is responsible for global management functions, such as access and resources management; The CG centre acts as an AF in the IMT-2020 network and may interact with the PCF for QoS customization. The CG centre is also responsible for generating the traffic-steering policy applied on the UPF and selecting an appropriate CG edge. The CG centre can also collect QoS data and report to the IMT-2020 PCF to optimize CG QoS. +- CG edge is located at the edge near the CG client to reduce the round-trip time over the IMT-2020 network. It is managed by the CG centre and is responsible for game logic, video encoding and rendering, etc. The CG edge also collects CG QoS data and reports to the IMT-2020 PCF for QoS optimization. + +- The CG centre and CG edge collaborates to support QoS assurance in mobility, scalability and reliability. When the CG client moves, based on the CG client location and the coverage of the CG edge, the CG centre schedules the serving CG edge on demand. The CG centre also interacts with the CG edge to acquire its status. It schedules or orchestrates the CG edge: more CG edge instances are created when the resource of the serving instances is insufficient. The serving instance is destroyed when it serves no CG client. + +# **10 Security considerations** + +This Recommendation describes QoS assurance requirements and a framework for CG supported by the IMT-2020 network and general network security requirements and mechanisms in networks based on the Internet protocol and the IMT-2020 network should be applied [b-ITU-T Y.2701], [ITU-T Y.3101]. Security mechanisms, such as authentication, authority, accounting and encryption, should be adopted to ensure system security. + +# Appendix I + +## General quality of service considerations for cloud gaming + +(This appendix does not form an integral part of this Recommendation.) + +CG places substantial demands on a network in terms of delay, bandwidth, jitter, packet loss and mobility, for which QoS considerations are described as follows. + +- **Delay:** This is time lag between the user command actions and the video refresh responses on the screen. Figure I.1 shows E2E delay in CG. The network requirements for CG depend largely on the desired quality of the video and gameplay experience. Since user input is sent from the client to the game server, this means that uplink delay must be as low and consistent as downlink delay. Smoothness of gameplay for the user depends on the number of video frames per second (fps) and delay. For example, while a 30 fps game requires a frame interval of 33.3 ms, a 60 fps game requires one of 16.67 ms. More frames per second demand lower delays. The E2E delay including command collection, uplink user interaction, processing and rendering, downlink streaming and display needs to be less than or equal to the time duration of each video frame. Removing client and game server internal processing delays such as command collection, processing, rendering and display, the round-trip time (RTT) delay over an IMT-2020 system should be less than 5 ms for 60 fps [b-3GPP TR 22.842]. Furthermore, the RTT delay is more relaxed for 30 fps. The uplink will likely be a shorter process than downlink because less data needs to be sent from the device compared to the stream data sent on the downlink. + +![Figure I.1 – End-to-end delay in cloud gaming. The diagram illustrates the flow of data and processing steps between a User, a Client, and a Cloud gaming service. The Client contains 'User interaction capturing' and 'Video decoding'. The Cloud gaming service contains 'Client interaction', 'Game logic', 'Game rendering', 'Video encoding', and 'Video streaming'. The flow is: 1. User sends command to Client (1). 2. Client sends 'User commands' to Cloud (2). 3. Cloud processes (3). 4. Cloud sends 'Video stream' to Client (4). 5. Client decodes (5). 6. Client sends to Video display (6). 7. Video display shows to User (7).](a26e142d3df5bef41a84a9dd099d7825_img.jpg) + +``` +graph LR + User[User] -- 1 --> Client + subgraph Client + UIC[User interaction capturing] + VD[Video decoding] + end + subgraph Cloud_gaming_service [Cloud gaming service] + CI[Client interaction] + GL[Game logic] + GR[Game rendering] + VE[Video encoding] + VS[Video streaming] + CI --> GL + GL --> GR + GR --> VE + VE --> VS + end + Client -- 2: User commands --> Cloud_gaming_service + Cloud_gaming_service -- 4: Video stream --> Client + Client -- 6 --> VD + VD -- 7 --> Video_display[Video display] +``` + +Figure I.1 – End-to-end delay in cloud gaming. The diagram illustrates the flow of data and processing steps between a User, a Client, and a Cloud gaming service. The Client contains 'User interaction capturing' and 'Video decoding'. The Cloud gaming service contains 'Client interaction', 'Game logic', 'Game rendering', 'Video encoding', and 'Video streaming'. The flow is: 1. User sends command to Client (1). 2. Client sends 'User commands' to Cloud (2). 3. Cloud processes (3). 4. Cloud sends 'Video stream' to Client (4). 5. Client decodes (5). 6. Client sends to Video display (6). 7. Video display shows to User (7). + +Y.3125(23) + +**Figure I.1 – End-to-end delay in cloud gaming** + +List of components of E2E delay: + +1. command data collection delay; +2. uplink transmission delay of user interaction; +3. delay in receiving, processing and rendering the picture; +4. graphic preparation delay; +5. downlink transmission delay of the video steam; +6. client decoding delay; +7. delay in displaying to the user. + +- **Bandwidth:** Resolution in CG has a significant impact on the requirement for bandwidth and higher resolution usually offers a better user experience. When bandwidth is insufficient, packet loss or timeout retransmission of video streams can occur, which causes screen dullness and operation hysteresis. CG usually supports resolution such as 720 p and 1 080 p, higher resolutions 2K and 4K are also getting more popular since the IMT-2020 network provides high bandwidth. It is evaluated that 10 Mbit/s is required for 720 p, 30 Mbit/s is required for 1 080 p, 45 Mbit/s is required for 4K during the active part of CG ([b-Bell]). Besides resolution, many other factors can also affect requirements for network bandwidth, such as frame rate, compression algorithm and group of pictures. Often CG servers adjust video frame rate dynamically based on bandwidth and network round trip time. +- **Jitter:** E2E delay can vary from packet to packet, and the variation is referred to as delay jitter. Jitter determines the consistency of connection between the source and the destination. It has a perceivable influence on the CG experience because the client must receive, decode and display frames at a constant rate, and any late frames resulting from delay jitter can produce stuttering in game playback. While additional buffering can eliminate jitter in general streaming applications, but CG with high interactions and associated low E2E delay requires lower jitter. +- **Packet loss:** In CG, the effect of packet loss on the downlink is fragmentation of the video as well as keystroke loss on the uplink. A packet loss of 1% can very well compromise more than 20% of the picture in the video stream. +- **Mobility:** The user can enjoy CG services in high-speed mobile scenarios, such as in a high-speed train. As the user client connects to different ANs gradually, the delay with the original CG edge will increase. The client needs access to the appropriate CG edge based on user location in the IMT-2020 network. + +# Appendix II + +## General deployment use case + +(This appendix does not form an integral part of this Recommendation.) + +A general deployment of CG supported by IMT-2020 network is shown in Figure II.1. To meet the QoS requirement, CG service from a provider is divided into CG centre and CG edge. The CG edge is deployed in the MEC system provided by the network operator and the CG centre is deployed in the cloud from the service provider ([b-ITU-T Y.3500]). The UPF is deployed at the edge of the IMT-2020 network for better network performance; the CG traffic is routed as local traffic to the CG edge and any other types of traffic to the CG centre according to the local shunting policy, which is generated by the CG centre and sent to the IMT-2020 network. + +![Figure II.1: General deployment of CG centre and CG edge. The diagram illustrates the network architecture for CG (Cloud Gaming) service. On the left, a 'User client' (represented by a game controller and a smartphone) connects to an 'AN' (Access Network) tower. The AN connects to a 'MEC system' cloud. Inside the MEC system, there is a 'CG edge' block containing 'Rendering' and a 'UPF' (User Plane Function) block. The CG edge is connected to the AN. The MEC system is connected to a 'CN' (Core Network) block, which contains another 'UPF' block. The CN is connected to a 'Cloud' cloud, which contains a 'CG centre' block with 'Management' and 'CG centre' components. A dashed line labeled 'Collaboration' connects the CG edge and the CG centre. The Cloud is connected to a 'DN' (Data Network). The diagram is labeled 'Y.3125(23)' in the bottom right corner.](16152cf1d84aea10848758f51a91ff6a_img.jpg) + +Figure II.1: General deployment of CG centre and CG edge. The diagram illustrates the network architecture for CG (Cloud Gaming) service. On the left, a 'User client' (represented by a game controller and a smartphone) connects to an 'AN' (Access Network) tower. The AN connects to a 'MEC system' cloud. Inside the MEC system, there is a 'CG edge' block containing 'Rendering' and a 'UPF' (User Plane Function) block. The CG edge is connected to the AN. The MEC system is connected to a 'CN' (Core Network) block, which contains another 'UPF' block. The CN is connected to a 'Cloud' cloud, which contains a 'CG centre' block with 'Management' and 'CG centre' components. A dashed line labeled 'Collaboration' connects the CG edge and the CG centre. The Cloud is connected to a 'DN' (Data Network). The diagram is labeled 'Y.3125(23)' in the bottom right corner. + +**Figure II.1 – General deployment of CG centre and CG edge** + +Some essential collaboration issues between CG centre and CG edge for QoS assurance follow. + +- The CG centre needs to collaborate with the CG edge for scheduling and orchestration of CG edge. For example, the game starts when the UE (players) sends a game access request to the CG centre. After receiving the request from the UE, the CG centre schedules the UE to an existing or new CG edge based on the location of UE and the status of MEC resources. When the UE is moving (e.g., on a high-speed train) and leaves the coverage of the MEC host or if the resources of the MEC host (e.g., network resource or computing resource) run out, the CG centre should shift the player to an appropriate CG edge to meet the QoS requirements. Also, as the number of players increases, the CG centre should be able to adjust or expand the availability of CG edge resources. + +# Bibliography + +- [b-ITU-T E.800] Recommendation ITU-T E.800 (2008), *Definitions of terms related to quality of service*. +- [b-ITU-T P.10] Recommendation ITU-T P.10/G.100 (2017), *Vocabulary for performance, quality of service and quality of experience*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3108] Recommendation ITU-T Y.3108 (2019), *Capability exposure function in IMT-2020 networks*. +- [b-ITU-T Y.3109] Recommendation ITU-T Y.3109 (2021), *Quality of service assurance-related requirements and framework for virtual reality delivery using mobile edge computing supported by IMT-2020*. +- [b-ITU-T Y.3158] Recommendation ITU-T Y.3158 (2022), *Local shunting for multi-access edge computing in IMT-2020 networks*. +- [b-ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014), *Information technology – Cloud computing – Overview and vocabulary*. +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-ETSI GR MEC 001] Group Report ETSI GR MEC 001 V3.1.1 (2022), *Multi-access edge computing (MEC); Terminology*. +- [b-3GPP TR 22.842] Technical Report 3GPP TR 22.842 V17.2.0 (2019), *3rd Generation Partnership Project; Technical Specification Group Services and System Aspects; Study on network controlled interactive services (Release 17)*. +- [b-Bell] Bell Labs Consulting (2020). *Cloud gaming and 5G*, white paper. Espoo: Nokia. Available [viewed 2023-10-31] at: [https://d1p0gxncu0lvz.cloudfront.net/documents/Nokia\\_Cloud\\_gaming\\_and\\_5G\\_-\\_Realizing\\_the\\_opportunity\\_White\\_Paper\\_EN.pdf](https://d1p0gxncu0lvz.cloudfront.net/documents/Nokia_Cloud_gaming_and_5G_-_Realizing_the_opportunity_White_Paper_EN.pdf) + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone 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infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +--- + +**Future networks including IMT-2020 – +Requirements and framework for self- +organizing core network** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3127 + +# Future networks including IMT-2020 – Requirements and framework for self-organizing core network + +## Summary + +The self-organizing core network (SOCN) is a core network constituted by a group of self-organized network entities cooperating to provide core network functions based on available network capabilities and resources. It may reduce the capital expenditure and operating expense of core networks by efficiently utilizing available network capabilities and resources. Recommendation ITU-T Y.3127 provides an overview, and specifies requirements, framework and general procedures of a self-organizing core network, in the context of future networks including IMT-2020. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3127 | 2023-12-14 | 13 | 11.1002/1000/15738 | + +## Keywords + +Core network, framework, future networks, IMT-2020, requirements, self-organizing. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------------------|------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Terms defined elsewhere..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Introduction of self-organizing core network ..... | 3 | +| 7 Requirements of self-organizing core network..... | 4 | +| 7.1 General requirements of self-organizing core networks ..... | 4 | +| 7.2 Service requirements of self-organizing core networks ..... | 5 | +| 7.3 Network capability requirements of self-organizing core network..... | 5 | +| 7.4 Network resource requirements of self-organizing core networks..... | 6 | +| 8 Framework of self-organizing core network ..... | 6 | +| 8.1 High-level framework of self-organizing core network ..... | 6 | +| 8.2 Functional entities of self-organizing core network ..... | 7 | +| 8.3 Functions external to self-organizing core network ..... | 7 | +| 8.4 Reference points of self-organizing core network..... | 8 | +| 8.5 Enabling technologies of self-organizing core network ..... | 9 | +| 9 General procedures of self-organizing core network..... | 10 | +| 9.1 Network connection procedure..... | 10 | +| 9.2 Network organization procedure ..... | 11 | +| 9.3 Network operation procedure ..... | 11 | +| 9.4 Network management procedure..... | 12 | +| 10 Security considerations ..... | 13 | +| Appendix I – Use cases of self-organizing core network ..... | 14 | +| Bibliography..... | 16 | + + + +# Recommendation ITU-T Y.3127 + +# Future networks including IMT-2020 – Requirements and framework for self-organizing core network + +# 1 Scope + +This Recommendation specifies the requirements and framework for a self-organizing core network (SOCN), in the context of future networks including IMT-2020. + +The self-organizing core network is a core network constituted by a group of self-organized network entities cooperating to provide core network functions based on available network capabilities and resources. This Recommendation addresses the following aspects of self-organizing core network in future networks including IMT-2020: + +- Overview; +- Requirements; +- Framework; +- General procedures. + +Some relevant use cases are provided in Appendix I. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T X.1313] | Recommendation ITU-T X.1313 (2012), Security requirements for wireless sensor network routing . | +| [ITU-T Y.3101] | Recommendation ITU-T Y.3101 (2018), Requirements of the IMT-2020 network . | +| [ITU-T Y.3102] | Recommendation ITU-T Y.3102 (2018), Framework of the IMT-2020 network . | +| [ITU-T Y.3104] | Recommendation ITU-T Y.3104 (2018), Architecture of the IMT-2020 network . | +| [ITU-T Y.3105] | Recommendation ITU-T Y.3105 (2018), Requirements of capability exposure in the IMT-2020 network . | +| [ITU-T Y.3108] | Recommendation ITU-T Y.3108 (2019), Capability exposure function in IMT-2020 networks . | +| [ITU-T Y.3110] | Recommendation ITU-T Y.3110 (2017), IMT-2020 network management and orchestration requirements . | +| [ITU-T Y.3111] | Recommendation ITU-T Y.3111 (2017), IMT-2020 network management and orchestration framework . | +| [ITU-T Y.3114] | Recommendation ITU-T Y.3114 (2022), Future networks including IMT-2020: requirements and functional architecture of lightweight core for dedicated networks . | + +- [ITU-T Y.3172] Recommendation ITU-T Y.3172 (2019), *Architectural framework for machine learning in future networks including IMT-2020*. +- [ITU-T Y.3300] Recommendation ITU-T Y.3300 (2014), *Framework of software-defined networking*. +- [ITU-T Y.3324] Recommendation ITU-T Y.3324 (2018), *Requirements and architectural framework for autonomic management and control of IMT 2020 networks*. +- [ITU-T Y.4417] Recommendation ITU-T Y.4417 (2018), *Framework of self-organization networking in Internet of things environments*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 control plane** [b-ITU-T Y.2011]: The set of functions that controls the operation of entities in the stratum or layer under consideration, plus the functions required to support this control. + +**3.1.2 data plane** [b-ITU-T Y.2011]: The set of functions used to transfer data in the stratum or layer under consideration. + +**3.1.3 dedicated network** [ITU-T Y.3114]: A network designed for application domains with common requirements. + +**3.1.4 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +**3.1.5 machine learning (ML)** [ITU-T Y.3172]: Processes that enable computational systems to understand data and gain knowledge from it without necessarily being explicitly programmed. + +**3.1.6 network function** [b-ITU-T Y.3100]: In the context of IMT-2020, a processing function in a network. + +**3.1.7 software-defined networking** [ITU-T Y.3300]: A set of techniques that enables to directly program, orchestrate, control and manage network resources, which facilitates the design, delivery and operation of network services in a dynamic and scalable manner. + +**3.1.8 user plane** [b-ITU-T Y.2011]: A synonym for data plane. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 self-organizing core network (SOCN)**: A core network constituted by a group of self-organized network entities cooperating to provide core network functions based on the available network capabilities and resources. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|---------------------------------------------------------| +| AI | Artificial Intelligence | +| AMC | Autonomic Management and Control | +| AN | Autonomous Network | +| FCAPS | Fault, Configuration, Accounting, Performance, Security | +| FMC | Fixed Mobile Convergence | + +| | | +|------|-----------------------------------------| +| FMSC | Fixed, Mobile and Satellite Convergence | +| GBR | Guaranteed Bit Rate | +| HTTP | Hypertext Transfer Protocol | +| IP | Internet Protocol | +| LEO | Low Earth Orbit | +| ML | Machine Learning | +| NACF | Network Access Control Function | +| PCF | Policy Control Function | +| QoS | Quality of Service | +| RP | Reference Point | +| SDN | Software-Defined Networking | +| SOCN | Self-Organizing Core Network | +| SON | Self-Organized Network | +| TCP | Transmission Control Protocol | +| UAV | Unmanned Aerial Vehicle | +| UDP | User Datagram Protocol | +| UE | User Equipment | +| USM | Unified Subscription Management | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +# 6 Introduction of self-organizing core network + +The self-organizing core network (SONC) is a core network constituted by a group of self-organized network entities cooperating to provide core network functions based on available network capabilities and resources, in the context of future networks including IMT-2020. There is a single head entity and multiple member entities in a self-organizing core network. A group of network entities in a specific region, which constitute a self-organizing core network, automatically elect the head entity based on different factors, e.g., capabilities, resources, reliability, robustness, and mobility. The head entity takes the role of organizing the core network, while a member entity takes the role of constituting the core network under the control of the head entity. The head entity distributes the IMT-2020 core network functions to itself and each member entity. In the case that the head entity loses network connection, the member entities re-elect the head entity, and the + +newly-elected head entity reorganizes the core network. In the case that a member entity loses network connection, the head entity reorganizes the core network. In summary, a self-organizing core network is a kind of autonomous network (AN) [b-ITU-T Y.3061], addressing the organization and operation of a core network in the function level. + +With the introduction of innovative technologies including self-organization networking [ITU-T Y.4417], clustering networking [ITU-T X.1313], software-defined networking (SDN) [ITU-T Y.3300], and artificial intelligence (AI) / machine learning (ML) [ITU-T Y.3172], it is technically feasible to deploy the self-organizing core network in the context of future networks including IMT-2020. The self-organizing core network may reduce the capital expenditure and operating expense of core networks by efficiently utilizing available network capabilities and resources. + +The use of a self-organizing core network is suited for, but not limited to, the following use cases: + +- The use case of a network with high mobility, such as a vehicular network, an unmanned aerial vehicle (UAV) network, and a satellite network, in which the core network is required to adapt to the dynamic network topology; +- The use case of a network deployed to meet dynamic service requirements, such as emergency communications, event communications, and disaster recovery, in which the core network is required to be deployed in a timely manner; +- The use case of a network requiring extensive customization on functionalities, interfaces, protocols, and procedures, which may not fully conform to the requirements and design principles of the IMT-2020 core network [ITU-T Y.3104]; +- The use case of a network requiring secure isolation from other networks, which may not be required to be supported in the IMT-2020 core network [ITU-T Y.3104]; +- The use case of a network requiring AI/ML related capabilities, which may not be required as basic capabilities of the IMT-2020 core network [ITU-T Y.3104]. + +Specifically, the use cases of satellite-based wireless core networks and wireless core networks for emergency communications are provided in Appendix I. + +# **7 Requirements of self-organizing core network** + +## **7.1 General requirements of self-organizing core networks** + +The general requirements of the self-organizing core network are as follows: + +- It is required for self-organizing core networks to support the use cases identified in this Recommendation. +- It is required for self-organizing core networks to support the services and applications supported by the IMT-2020 network, as specified in [ITU-T Y.3101]. +- It is required for self-organizing core networks to be compatible with user equipment (UE) and access networks supported by the IMT-2020 network. +- It is required for self-organizing core networks to support interworking with IMT-2020 networks. +- It is recommended for self-organizing core networks to support interworking with different access networks, including fixed access, mobile access and satellite access. +- It is required for self-organizing core networks to automatically organize and manage the IMT-2020 core network functions, as specified in [ITU-T Y.3102] and [ITU-T Y.3104]. +- It is recommended for self-organizing core networks to support the following enabling technologies: self-organization networking [ITU-T Y.4417], clustering networking [ITU-T X.1313], SDN [ITU-T Y.3300], and AI/ML [ITU-T Y.3172]. + +- It is required for self-organizing core networks to discover and use services of the service plane. +- It is required for self-organizing core networks to have the ability to implement energy-efficient operations. +NOTE 1 – The self-organizing core network may be deployed on nodes which have limitations on energy supply, such as vehicles, UAV and satellites. +- It is required for a self-organizing core network to exploit the mobility of its nodes. +NOTE 2 – The mobile nodes may include, but are not limited to, vehicles, UAV and satellites. The mobility of nodes may affect the network connection, network organization and network management of the self-organizing core network, as specified in clause 9. +- It is required for self-organizing core networks to support the management and orchestration capability, as specified in [ITU-T Y.3110] and [ITU-T Y.3111]. +- It is recommended for self-organizing core networks to use stateless and intent-driven protocols [b-ITU-T Y.2344]. + +## **7.2 Service requirements of self-organizing core networks** + +The service requirements supported by self-organizing core networks are as follows: + +- It is required for self-organizing core networks to support the service requirements specified in [ITU-T Y.3101] and [ITU-T Y.3114]. +- It is required for self-organizing core networks to support best-effort quality of service (QoS). +- It is recommended for self-organizing core networks to support guaranteed bit rate (GBR) QoS. +- It is recommended for self-organizing core networks to support service continuity among different access networks. +- It is recommended for self-organizing core networks to support traffic routing across different access networks. +- It is recommended for self-organizing core networks to have the ability to deploy services in a distributed manner using networking, computing and storage resources of the core networks, access networks and UEs. + +## **7.3 Network capability requirements of self-organizing core network** + +The network capability requirements of self-organizing core networks are as follows: + +- It is required for self-organizing core networks to support the network capability requirements specified in [ITU-T Y.3102] and [ITU-T Y.3104]. +- It is required for self-organizing core networks to support the capability exposure requirements specified in [ITU-T Y.3105] and [ITU-T Y.3108]. +- It is required for self-organizing core networks to support the customization of network functions based on the requirements of services and applications, including with respect to networking, computing and storage resources. +- It is required for self-organizing core networks to support the self-organizing capabilities [ITU-T Y.4417]. +- It is recommended for self-organizing core networks to support fixed mobile convergence (FMC) [b-ITU-T Y.3131], and fixed, mobile and satellite convergence (FMSC) [b-ITU-T Y.3201]. +- It is required for self-organizing core network to enable the use of AI/ML functionalities. + +NOTE – The enabled AI/ML functionalities are internal to the self-organizing core network. These functionalities may be provided via an ML overlay [ITU-T Y.3172]. + +### 7.4 Network resource requirements of self-organizing core networks + +The network resource requirements of self-organizing core networks are as follows: + +- It is required for self-organizing core networks to manage the available resources. +NOTE 1 – The resources include networking (e.g., access networks, core networks), computing and storage resources. +- It is required for self-organizing core networks to discover and use new resources. +- It is required for a self-organizing core networks to be able to cope with unreliable and constrained resources. + +NOTE 2 – The self-organizing core network may be deployed on nodes which have limitation on networking, computing and storage resources; also these resources may be deployed by unreliable sources. + +- It is required to have the ability to implement self-organizing core networks using virtual resources [ITU-T Y.3300]. +- It is recommended to have the ability to implement self-organizing core networks using terrestrial and satellite related resources [b-ITU-T Y.3201]. + +# 8 Framework of self-organizing core network + +### 8.1 High-level framework of self-organizing core network + +Figure 8-1 depicts the high-level framework of the self-organizing core network, in the context of future networks including IMT-2020. + +![Figure 8-1: High-level framework of self-organizing core network. The diagram shows a central 'Self-organizing core network' box containing a 'Head entity', two 'Member entity' boxes, and an 'AI/ML entity'. The 'Head entity' is connected to both 'Member entity' boxes via 'RP-cn1' and 'RP-cn2' interfaces. The 'Head entity' is also connected to the 'AI/ML entity' via 'RP-cn3'. The 'Member entity' on the left is connected to the 'AI/ML entity' via 'RP-cn4'. The 'Self-organizing core network' is connected to external components: 'Service plane' (top) via 'RP-ex6', 'Management plane' (left) via 'RP-ex5', 'Data network' (left) via 'RP-ex4', 'User equipment (UE)' (bottom) via 'RP-ex1', 'Access network' (bottom) via 'RP-ex2', and 'IMT-2020 core network' (right) via 'RP-ex3'.](fbfa653853daf5541118a9ddecb92284_img.jpg) + +``` + +graph TD + subgraph SelfOrganizingCoreNetwork [Self-organizing core network] + HE[Head entity] + ME1[Member entity] + ME2[Member entity] + AIMLEntity[AI/ML entity] + ME1 -.->|RP-cn1| HE + ME2 -.->|RP-cn2| HE + HE -- RP-cn3 --> AIMLEntity + ME1 -.->|RP-cn4| AIMLEntity + end + + SP[Service plane] --- RP-ex6 --- SelfOrganizingCoreNetwork + MP[Management plane] --- RP-ex5 --- SelfOrganizingCoreNetwork + DN[Data network] --- RP-ex4 --- SelfOrganizingCoreNetwork + UE[User equipment (UE)] --- RP-ex1 --- SelfOrganizingCoreNetwork + AN[Access network] --- RP-ex2 --- SelfOrganizingCoreNetwork + IMT2020[IMT-2020 core network] --- RP-ex3 --- SelfOrganizingCoreNetwork + +``` + +Figure 8-1: High-level framework of self-organizing core network. The diagram shows a central 'Self-organizing core network' box containing a 'Head entity', two 'Member entity' boxes, and an 'AI/ML entity'. The 'Head entity' is connected to both 'Member entity' boxes via 'RP-cn1' and 'RP-cn2' interfaces. The 'Head entity' is also connected to the 'AI/ML entity' via 'RP-cn3'. The 'Member entity' on the left is connected to the 'AI/ML entity' via 'RP-cn4'. The 'Self-organizing core network' is connected to external components: 'Service plane' (top) via 'RP-ex6', 'Management plane' (left) via 'RP-ex5', 'Data network' (left) via 'RP-ex4', 'User equipment (UE)' (bottom) via 'RP-ex1', 'Access network' (bottom) via 'RP-ex2', and 'IMT-2020 core network' (right) via 'RP-ex3'. + +Y.3127(23) + +**Figure 8-1 – High-level framework of self-organizing core network** + +In the high-level framework, the self-organizing core network interoperates with UE, access network, data network, management plane, and service plane, and may interoperate with other IMT-2020 core network(s). The self-organizing core network consists of a single head entity, multiple member entities, and an optional single entity supporting AI/ML functionalities (AI/ML entity), working in a self-organized and dynamic fashion. The interface between the head entity and a member entity, and the interface between the head entity and the AI/ML entity are required; while + +the interface between member entities, and the interface between a member entity and the AI/ML entity are optional. + +The self-organizing core network entities, i.e., the head entity, member entities and the AI/ML entity, operate in terms of control plane and user plane of the core network. + +The self-organizing core network performs the organization and operation of a core network with the general procedures of network connection, network organization, network operation and network management, as specified in clause 9. + +### **8.2 Functional entities of self-organizing core network** + +#### **8.2.1 Head entity** + +The head entity is a required functional entity. It takes the role of organizing the core network in the function level. The role of core network organization includes, but is not limited to, distributing the core network functions to itself and each member entity; determining the service procedures between itself and each member entity; determining the service procedures between member entities; and reorganizing the core network in case that a member entity loses network connection. The head entity is automatically determined in the process of network organization; it is elected based on different factors, e.g., capabilities, resources, reliability, robustness, and mobility. The head entity consists of control related functionalities, user related functionalities and data related functionalities; and supports the processes of network organization, network operation and network management. + +NOTE – The function level corresponds to the network functions of the IMT-2020 core network [ITU-T Y.3102] and [ITU-T Y.3104]. + +#### **8.2.2 Member entity** + +A member entity is a required functional entity. It takes the role of constituting the core network in the function level, under the control of the head entity. A member entity is automatically determined in the process of network organization; it re-elects the head entity in case that the head entity loses network connection. A member entity consists of control related functionalities, user related functionalities and data related functionalities; and supports the processes of network organization, network operation and network management. + +#### **8.2.3 AI/ML entity** + +The AI/ML entity is an optional functional entity. It interacts with the head entity and the member entities to assist in the processes of self-organized network organization, network operation and network management. The AI/ML entity takes the role of AI/ML overlay [ITU-T Y.3172] internal to the self-organizing core network. The AI/ML entity may also use AI/ML related functionalities provided externally to the self-organizing core network as an AI/ML overlay. The AI/ML entity may adopt the high-level architectural framework specified in [ITU-T Y.3172]. + +### **8.3 Functions external to self-organizing core network** + +#### **8.3.1 User equipment** + +The user equipment (UE) includes, but is not limited to, handset terminals, wearable terminals, customer premise equipment, satellite terminals and multi-access terminals. + +#### **8.3.2 Access network** + +The access network includes a fixed access network, mobile access network and satellite access network. + +#### 8.3.3 IMT-2020 core network + +The IMT-2020 core network external to the self-organizing core network includes the core networks specified in [ITU-T Y.3102], [ITU-T Y.3104] and [ITU-T Y.3114]. + +#### 8.3.4 Data network + +The data network plays the same role as the data network specified in [ITU-T Y.3104]. + +#### 8.3.5 Management plane + +The management plane provides the functionalities for the management of the self-organizing core network according to the management functional areas listed in [b-ITU-T M.3010], i.e., performance management, fault management, configuration management, accounting management and security management, also known as fault, configuration, accounting, performance, security (FCAPS) functional areas. + +These functionalities are expected to include the management of the functional entities of the self-organizing core network. + +NOTE 1 – The detailed operations involving the management plane are out of scope of this Recommendation. + +NOTE 2 – [b-SMN] provides an example for self-managed network, in which the management plane functionalities are addressed. + +#### 8.3.6 Service plane + +The service plane supports communications services and third party applications. + +Communications services may use the service invoking interfaces of the self-organizing core network, while third party applications may use the capability exposure interfaces of the self-organizing core network. + +### 8.4 Reference points of self-organizing core network + +Some of the reference points of the self-organizing core network are the same as the reference points of an IMT-2020 network; while others reflect the specific requirements of the three types of involved functional entities, i.e., head entity, member entity and AI/ML entity. As shown in Figure 8-1, the self-organizing core network has 4 internal reference points (RPs) and 6 external reference points as follows: + +- RP-cn1: The reference point exists between the head entity and a member entity. This reference point is recommended to adopt the protocol stack based on hypertext transfer protocol (HTTP) [b-IETF RFC 7540] / Transmission control protocol (TCP) / Internet protocol (IP) for control plane [b-ITU-T Y.2011]; and the protocol stack based on HTTP / user datagram protocol (UDP) / IP for user plane [b-ITU-T Y.2011]. +- RP-cn2: The reference point exists between member entities. This reference point is recommended to adopt the protocol stack based on HTTP [b-IETF RFC 7540] / TCP / IP for control plane [b-ITU-T Y.2011]; and the protocol stack based on HTTP / UDP / IP for user plane [b-ITU-T Y.2011]. +- RP-cn3: The reference point exists between the head entity and the AI/ML entity. This reference point is recommended to adopt the protocol stack based on HTTP [b-IETF RFC 7540] / UDP / IP. +- RP-cn4: The reference point exists between a member entity and the AI/ML entity. This reference point is recommended to adopt the protocol stack based on HTTP [b-IETF RFC 7540] / UDP / IP. + +- RP-ex1: The reference point exists between the UE and the self-organizing core network. RP-ex1 corresponds to the reference point RP-tn as defined in [ITU-T Y.3104]. The details of this reference point are out of the scope of this Recommendation. +- RP-ex2: The reference point exists between the access network and the self-organizing core network. RP-ex2 corresponds to the reference point RP-an as defined in [ITU-T Y.3104]. The details of this reference point are out of the scope of this Recommendation. +- RP-ex3: The reference point exists between the self-organizing core network and the IMT-2020 core network. RP-ex3 corresponds to the interoperability interfaces as defined in [3GPP TS 23.501]. The details of this reference point are out of the scope of this Recommendation. +- RP-ex4: The reference point exists between the self-organizing core network and the data network. RP-ex4 corresponds to the reference point RP-ud as defined in [ITU-T Y.3104]. The details of this reference point are out of the scope of this Recommendation. +- RP-ex5: The reference point exists between the self-organizing core network and the management plane, including, but not limited to, network function management interfaces, network connection management interfaces, resource management interfaces, capability management interfaces, and user management interfaces. The details of this reference point, including the operations carried out via this reference point, are out of the scope of this Recommendation. +- RP-ex6: The reference point exists between the self-organizing core network and the service plane, including service invoking interfaces and capability exposure interfaces. The details of this reference point are out of the scope of this Recommendation. + +### 8.5 Enabling technologies of self-organizing core network + +In support of the network connection, network organization, network operation and network management of the self-organizing core network, the enabling technologies of the self-organizing core network include the following: + +- Self-organization networking + +Self-organization networking refers to networking established by individual devices where the devices interact with their peers and perform self-control. The self-organizing core network uses self-organization networking technologies for dynamic and flexible network connection and network organization of functional entities. The self-organization networking functionalities are specified in [ITU-T Y.4417]. + +- Clustering networking + +Clustering networking is a networking method in which neighbouring nodes advertise their existence to each other to form a cluster, where a clustering head has more computing resources for information processing. The self-organizing core network uses clustering networking technologies for efficient network connection and network organization of functional entities. The clustering networking functionalities are specified in [ITU-T X.1313]. + +- SDN + +SDN is a set of techniques that enables to directly program, orchestrate, control and manage network resources, which facilitates the design, delivery and operation of network services in a dynamic and scalable manner. The self-organizing core network uses SDN technologies for dynamic and flexible network connection, network organization and network management of functional entities. The basic SDN functionalities are specified in [ITU-T Y.3300]. + +- AI/ML + +The self-organizing core network uses AI/ML technologies for automatic network organization, network operation and network management of functional entities. + +NOTE – The basic ML functionalities are specified in [ITU-T Y.3172]. + +## 9 General procedures of self-organizing core network + +This clause specifies the general procedures of self-organizing core networks, including network connection procedure, network organization procedure, network operation procedure, and network management procedure. The network operation procedure and network management procedure are provided in the form of examples. These general procedures do not impact the detailed procedures of the IMT-2020 network specified in [ITU-T Y.3104], which include registration management procedures, connection management procedures, session management procedures, and handover procedures. + +### 9.1 Network connection procedure + +Figure 9-1 depicts the network connection procedure of a self-organizing core network. + +![Sequence diagram showing the network connection procedure of a self-organizing core network. The diagram involves seven entities: UE, Access network, Network entity 1, ..., Network entity N, Data network, Management plane, and Service plane. The steps are: 1. Network entities establish connections among them. 2. Network entities negotiate the roles for external network connections. 3. Network entities establish network connections to access network. 4. Network entities establish network connections to data network. 5. Network entities establish network connections to management plane. 6. Network entities establish network connections to service plane. 7. End-to-end network connections have been established.](a83ba9e3e2c1e21dd69953a7b09e45b4_img.jpg) + +``` +sequenceDiagram + participant UE + participant AN as Access network + participant NE1 as Network entity 1 + participant Dots as ..... + participant NEN as Network entity N + participant DN as Data network + participant MP as Management plane + participant SP as Service plane + + Note over NE1, NEN: 1. Network entities establish connections among them + Note over NE1, NEN: 2. Network entities negotiate the roles for external network connections + Note over AN, NE1: 3. Network entities establish network connections to access network + Note over NEN, DN: 4. Network entities establish network connections to data network + Note over NEN, MP: 5. Network entities establish network connections to management plane + Note over NEN, SP: 6. Network entities establish network connections to service plane + Note over UE, AN, NE1, Dots, NEN, DN, MP, SP: 7. End-to-end network connections have been established +``` + +Sequence diagram showing the network connection procedure of a self-organizing core network. The diagram involves seven entities: UE, Access network, Network entity 1, ..., Network entity N, Data network, Management plane, and Service plane. The steps are: 1. Network entities establish connections among them. 2. Network entities negotiate the roles for external network connections. 3. Network entities establish network connections to access network. 4. Network entities establish network connections to data network. 5. Network entities establish network connections to management plane. 6. Network entities establish network connections to service plane. 7. End-to-end network connections have been established. + +Y.3127(23) + +**Figure 9-1 – Network connection procedure of self-organizing core network** + +The steps shown in Figure 9-1 are as follows: + +- 1) A group of network entities in a specific region establish network connections among them in a self-organized manner. +- 2) The group of network entities negotiate their roles for external network connections in a self-organized manner, in which the roles include connecting to the access network, connecting to the data network, connecting to the management plane, and connecting to the service plane. +- 3) Based on the role for external network connections, some of the network entities establish network connections to the access network. +- 4) Based on the role for external network connections, some of the network entities establish network connections to the data network. +- 5) Based on the role for external network connections, some of the network entities establish network connections to the management plane. +- 6) Based on the role for external network connections, some of the network entities establish network connections to the service plane. + +- 7) The end-to-end network connections, which include the network connections among UE, access network, network entities, data network, management plane and service plane, have been established. + +### 9.2 Network organization procedure + +Figure 9-2 depicts the network organization procedure of a self-organizing core network. + +![Sequence diagram showing the network organization procedure of a self-organizing core network.](8307f6b04df072c9332f9987e034272c_img.jpg) + +The diagram illustrates the network organization procedure of a self-organizing core network. It features five lifelines: Network entity 1, Network entity 2, Network entity 3, an ellipsis (.....), and Network entity N. The process follows these steps: + +1. Network entities automatically elect head entity: A wide horizontal bar spans all lifelines. +2. Network entity 1 is elected as head entity: A box on the lifeline of Network entity 1. +3. Network entity assigns network entity 2 as AI/ML entity: An arrow points from Network entity 1 to Network entity 2. +4. Head entity assigns network entities 3 - N as member entities: An arrow points from Network entity 1 to Network entity N. +5. Core network has been organized: A wide horizontal bar spans all lifelines. + +Y.3127(23) + +Sequence diagram showing the network organization procedure of a self-organizing core network. + +**Figure 9-2 – Network organization procedure of self-organizing core network** + +The steps shown in Figure 9-2 are as follows: + +- 1) A group of network entities automatically elect the head entity in a self-organized manner, based on different factors, e.g., capabilities, resources, reliability, robustness, and mobility. +- 2) The network entity 1 is elected as the head entity, it takes the role of organizing the core network in the function level. The head entity distributes some of IMT-2020 core network functions to itself. +- 3) The head entity (network entity 1) considers the AI/ML related functionalities of other network entities, and assigns network entity 2 as the AI/ML entity. The head entity distributes some of IMT-2020 core network functions to the AI/ML entity. +- 4) The head entity (network entity 1) assigns network entities 3-N as member entities. The head entity distributes some of IMT-2020 core network functions to member entities. +- 5) The core network has been organized under the control of the head entity. + +### 9.3 Network operation procedure + +Figure 9-3 depicts an example of network operation procedure of a self-organizing core network. + +![Sequence diagram showing the network operation procedure of a self-organizing core network. The diagram involves eight entities: UE, Access network, Head entity, AI/ML entity, Member entity, Data network, Management plane, and Service plane. The steps are: 1. UE communicates with member entity (via Access network). 2. Member entity requests head entity for appropriate information. 3. Head entity requests AI/ML entity for AI/ML support. 4. Head entity produces appropriate information and sends to member entity. 5. Member entity communicates with data network. 6. Member entity communicates with management plane. 7. Member entity communicates with service plane.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +``` + +sequenceDiagram + participant UE + participant AN as Access network + participant HE as Head entity + participant AIML as AI/ML entity + participant ME as Member entity + participant DN as Data network + participant MP as Management plane + participant SP as Service plane + + Note over UE, AN, ME: 1. UE communicates with member entity + Note over ME, HE: 2. Member entity requests head entity for appropriate information + Note over HE, AIML: 3. Head entity requests AI/ML entity for AI/ML support + Note over HE, ME: 4. Head entity produces appropriate information and sends to member entity + Note over ME, DN: 5. Member entity communicates with data network + Note over ME, MP: 6. Member entity communicates with management plane + Note over ME, SP: 7. Member entity communicates with service plane + +``` + +Y.3127(23) + +Sequence diagram showing the network operation procedure of a self-organizing core network. The diagram involves eight entities: UE, Access network, Head entity, AI/ML entity, Member entity, Data network, Management plane, and Service plane. The steps are: 1. UE communicates with member entity (via Access network). 2. Member entity requests head entity for appropriate information. 3. Head entity requests AI/ML entity for AI/ML support. 4. Head entity produces appropriate information and sends to member entity. 5. Member entity communicates with data network. 6. Member entity communicates with management plane. 7. Member entity communicates with service plane. + +**Figure 9-3 – An example of network operation procedure of self-organizing core network** + +The steps shown in Figure 9-3 are as follows: + +- 1) The UE communicates with a member entity through the access network. In this example, the member entity contains the network access control function (NACF) [ITU-T Y.3102]. +- 2) The member entity requests the head entity for appropriate information for the UE. In this example, the head entity contains the policy control function (PCF) and unified subscription management (USM) [ITU-T Y.3102]; the appropriate information is the available services and corresponding QoS. +- 3) The head entity requests the AI/ML entity for AI/ML support, i.e., to use AI/ML related functionalities of AI/ML entity. In this example, the head entity requests the AI/ML entity for the expected connection data rate for the UE, which is useful for determining which services and corresponding QoS can be provided to the UE. +- 4) The head entity produces appropriate information with AI/ML support, and sends appropriate information to the member entity. +- 5) The member entity communicates with the data network. +- 6) The member entity communicates with the management plane. +- 7) The member entity communicates with the service plane. + +### 9.4 Network management procedure + +Figure 9-4 depicts an example of network management procedure of a self-organizing core network. + +![Sequence diagram illustrating the network management procedure of a self-organizing core network. The diagram shows the interaction between a Head entity, AI/ML entity, Member entities (1 to N), and a Management plane. The steps are: 1. All entities operate core network functions. 2. Head entity loses network connection. 3. Member entities re-elect head entity. 4. Member entity 1 is re-elected as head entity. 5. New head entity reorganizes core network. 6. New head entity reports to management plane.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +``` + +sequenceDiagram + participant HE as Head entity + participant AIML as AI/ML entity + participant ME1 as Member entity 1 + participant ME2 as Member entity N + participant MP as Management plane + + Note over HE, AIML, ME1, ME2: 1. Head entity, AI/ML entity and member entities operate core network functions + Note over HE: 2. Head entity loses network connection + Note over ME1, ME2: 3. Member entities re-elect head entity + Note over ME1: 4. Member entity 1 is re-elected as head entity + Note over HE, AIML, ME1, ME2: 5. New head entity reorganizes core network + Note over HE, MP: 6. New head entity reports to management plane + +``` + +Y.3127(23) + +Sequence diagram illustrating the network management procedure of a self-organizing core network. The diagram shows the interaction between a Head entity, AI/ML entity, Member entities (1 to N), and a Management plane. The steps are: 1. All entities operate core network functions. 2. Head entity loses network connection. 3. Member entities re-elect head entity. 4. Member entity 1 is re-elected as head entity. 5. New head entity reorganizes core network. 6. New head entity reports to management plane. + +**Figure 9-4 – An example of network management procedure of self-organizing core network** + +The steps shown in Figure 9-4 are as follows: + +- 1) The head entity, AI/ML entity and member entities operate core network functions, under the management of the management plane. +- 2) The head entity loses network connection. +- 3) The member entities re-elect the head entity in a self-organized manner. +- 4) The member entity 1 is re-elected as the head entity. +- 5) The new head entity (original member entity 1) reorganizes the core network, including the assignment of AI/ML entity and member entities. +- 6) The new head entity (original member entity 1) reports to the management plane about the reorganization of core network. + +# 10 Security considerations + +The security and privacy considerations of a self-organizing core network include the following aspects: + +- Functional entity security, which includes the security considerations on the head entity, member entities, and AI/ML entity. The secure operations of control related functionalities, user related functionalities, data related functionalities, and AI/ML related functionalities are to be addressed. +- Interoperation security, which refers to the secure interoperation between functional entities of the self-organizing core network and external functions (including UE, access network, IMT-2020 core network, data network, management plane, and service plane). The mechanisms for secure interoperation are to be addressed. +- User and service privacy, which include the privacy considerations on the processes of the self-organized network connection, network organization, network operation and network management, in which the privacy sensitive user data and service data are stored, cached and processed. + +In addition, the security and privacy considerations of self-organizing core network should be aligned with the requirements specified in [ITU-T Y.3101] and [b-ITU-T Y.2701]. + +## Appendix I + +### Use cases of self-organizing core network + +(This appendix does not form an integral part of this Recommendation.) + +### Use case 1: Satellite-based wireless core network + +With the development of satellite communications technologies, especially low earth orbit (LEO) satellite communications technologies, the technical capabilities of satellite communications are enhanced to the level of 4G/IMT-Advanced or 5G/IMT-2020, and the use cases and services of satellite communications are enriched. In geographic areas such as oceans, seas, deserts, deep mountain, deep forest, and polar regions, and in the scenarios of international roaming and global communications, there exists the need to introduce satellite-based core networks, which could complement and interact with land-based core networks. + +However, LEO satellite has high mobility with respect to the ground and with respect to LEO satellites of different orbits. In addition, the communications capabilities and capacity of LEO satellites are relatively limited, typically similar to a land-based base stations; it is practically impossible to deploy all the network functions of IMT-2020 core network in one LEO satellite. Therefore, it is required for satellite-based wireless core networks to support distributed deployment in dynamic network topology, and to dynamically load network functions on different LEO satellites on demand. Traditional IMT-2020 core network does not possess these capabilities. + +NOTE – Even in the same LEO constellation, the LEO satellites are distributed in different orbits. + +Consisting of a group of self-organized network entities cooperating to provide core network functions based on the available network capabilities and resources, the self-organizing core network possesses the capabilities to be deployed in dynamic network topology and to dynamically load network functions. Therefore, the self-organizing core network is a potential and technically possible solution for satellite-based core networks. + +Experiments on self-organizing core networks based on LEO satellites have been already conducted, proving it is a technically possible solution. Some of the LEO constellations have already deployed core network functions on the satellites, and self-organizing core networks may be introduced. Considering that a LEO constellation has the capabilities to provide communications services to multiple regions and multiple operators, interoperable self-organizing core networks are needed. + +### Use case 2: Wireless core network for emergency communications + +In emergency scenarios, such as earthquakes, floods, tsunamis and typhoons, land-based communications infrastructure and networks may be damaged or destroyed. However, the communications requirements increase dramatically in the geographic areas in an emergency, and it is of great importance to satisfy these communications requirements for their economic and social benefits. However, traditional IMT-2020 core network requires a relatively long time for deployment, typically a couple of days or a couple of weeks, which could not satisfy the sudden spikes in communications requirements. + +Consisting of a group of self-organized network entities cooperating to provide core network functions based on the available network capabilities and resources, the self-organizing core network requires much less time for deployment than traditional networks, typically a couple of hours. Therefore, the self-organizing core network is a potential and technically possible solution for wireless core network for emergency communications. + +The self-organizing core network has already been deployed in the form of a "5G customized core network", which aims to meet the requirements of emergency communications. Considering that emergencies may occur over a vast area, covering multiple regions and multiple operators, interoperable self-organizing core networks are needed. + +## Bibliography + +- [b-ITU-T M.3010] Recommendation ITU-T M.3010 (2000), *Principles for a telecommunications management network*. +- [b-ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [b-ITU-T Y.2344] Recommendation ITU-T Y.2344 (2024), *Scenarios and requirements of intent-based network for network evolution*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T Y.3061] Recommendation ITU-T Y.3061 (2023), *Autonomous networks - Architecture framework*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3131] Recommendation ITU-T Y.3131 (2019), *Functional architecture for supporting fixed mobile convergence in IMT-2020 networks*. +- [b-ITU-T Y.3201] Recommendation ITU-T Y.3201 (2023), *Fixed, mobile and satellite convergence – Framework for IMT-2020 networks and beyond*. +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-3GPP TS 23.501] Recommendation 3GPP TS 23.501 (2022), *System architecture for the 5G System (5GS), Stage 2 (Release 17)*. +- [b-IETF RFC 7540] IETF RFC 7540 (2020), *Hypertext Transfer Protocol Version 2 (HTTP/2)*. +- [b-SMN] M. Toy, *Self-Managed Networks with Fault Management Hierarchy*, in *Procedia Computer Science*, vol. 36, pp. 373-380, 2014. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3128-202312-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3128-202312-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..04a5936ffc08c6c87166600c10bcd2ff6282a74e --- /dev/null +++ b/marked/Y/T-REC-Y.3128-202312-I_PDF-E/raw.md @@ -0,0 +1,541 @@ + + +# Recommendation + +## **ITU-T Y.3128 (12/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +--- + +**Requirements for network function +communication between public networks and +public network integrated non-public networks +in IMT-2020** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3128 + +# Requirements for network function communication between public networks and public network integrated non-public networks in IMT-2020 + +## Summary + +Recommendation ITU-T Y.3128 specifies requirements for network function communication between public networks (PNs) and public network integrated non-public networks (NPNs) in IMT-2020. These requirements build on the analysis of relevant use cases and related network problems. + +There are two types of NPN: public network integrated non-public networks (PNI-NPN); and stand-alone non-public networks (SNPN). The requirements specified in this Recommendation concern the first type. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3128 | 2023-12-14 | 13 | 11.1002/1000/15739 | + +## Keywords + +IMT-2020, network function communication, non-public network, NPN, public network, PN, public network integrated non-public network, PNI-NPN, requirements. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|---------------------------------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of public network integrated non-public network..... | 2 | +| 7 | Network function communication problems between public networks and public network integrated non-public networks in IMT-2020 ..... | 5 | +| 8 | Requirements for network function communication between public networks and public network integrated non-public networks in IMT-2020 ..... | 6 | +| | 8.1 PN requirements ..... | 6 | +| | 8.2 NPN requirements ..... | 7 | +| | Appendix I – Use cases of communication between public networks and public network integrated non-public networks in IMT-2020..... | 8 | +| | I.1 UPF deployed in a customer's DC..... | 8 | +| | I.2 NACF, SMF, PCF, UPF deployed in a customer's DC..... | 8 | +| | I.3 SMF, PCF and UPF deployed in a customer's DC..... | 9 | +| | I.4 ASF, USM function, NACF, SMF and UPF deployed in a customer's DC... | 10 | +| | Bibliography..... | 12 | + + + +# Recommendation ITU-T Y.3128 + +## Requirements for network function communication between public networks and public network integrated non-public networks in IMT-2020 + +# 1 Scope + +This Recommendation specifies requirements for network function (NF) communication between public networks (PNs) and public network integrated non-public networks (NPNs) in IMT-2020. + +There are two types of NPN: public network integrated non-public network (PNI-NPN); and stand-alone non-public network (SNPN). The requirements specified in this Recommendation concern the PNI-NPN type. + +Relevant use cases are provided in Appendix I. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ETSI TS 123 501] Technical Specification ETSI TS 123 501 V17.10.0 (2023-09), *System architecture for the 5G System (5GS); Stage 2*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +None. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 direct communication:** Communication between network functions or network function services without using a service communication proxy. + +NOTE – Based on [ETSI TS 123 501]. + +**3.2.2 indirect communication:** Communication between network functions or network function services via a service communication proxy. + +NOTE – Based on [ETSI TS 123 501]. + +**3.2.3 non-public network:** A network that is intended for non-public use. + +NOTE – Based on [b-ITU-T X.1813]. + +**3.2.4 public network integrated non-public network:** A non-public network deployed with the support of a public land mobile network. + +NOTE – Based on [ETSI TS 123 501]. + +**3.2.5 stand-alone non-public network:** A non-public network not relying on network functions provided by a public land mobile network. + +NOTE – Based on [ETSI TS 123 501]. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|---------|----------------------------------------------| +| ASF | Authentication Server Function | +| DC | Data Centre | +| IE | Information Element | +| NACF | Network Access Control Function | +| NF | Network Function | +| NPN | Non-Public Network | +| PCF | Policy Control Function | +| PLMN | Public Land Mobile Network | +| PN | Public Network | +| PNI-NPN | Public Network Integrated Non-Public Network | +| SCP | Service Communication Proxy | +| SMF | Session Management Function | +| SNPN | Stand-alone Non-Public Network | +| UPF | User Plane Function | +| USM | Unified Subscription Management | + +# 5 Conventions + +In this Recommendation: + +The phrase "is required" indicates a requirement that must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The phrase "is recommended" indicates a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The phrase "can optionally" indicates an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator or service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +# 6 Overview of public network integrated non-public network + +With the IMT-2020 enablement of vertical industries, more and more customers are interested in using a non-public network (NPN) [b-ITU-T X.1813] to provide their private data network services. + +Two types of NPNs can be distinguished: Stand-alone non-public network (SNPN); and public network integrated non-public network (PNI-NPN) [ETSI TS 123 501]. An SNPN is operated by an NPN operator and does not rely on network functions (NFs) provided by a public land mobile network (PLMN) [b-ITU-T Q.1741.7]. A PNI-NPN is supported by PLMNs, e.g., by means of dedicated data network names [b-ETSI TS 123 003] or by one (or more) network slice instances [b-ITU-T Y.3100] allocated for the NPN. + +This Recommendation addresses in particular the PNI-NPN type, which is an easy and rapid way for operators to provide private data network services. + +Figure 1 illustrates the PNI-NPN type where all NFs are deployed in the operator's data centre (DC). + +NOTE 1 – The example NFs shown in Figure 1 (as well as in Figures 2 and 3) include NFs specified in [b-ITU-T Y.3102] and, as far as the service communication proxy (SCP) is concerned, in [ETSI TS 123 501]. + +![Figure 1: The PNI-NPN type with all NFs deployed in the operator's DC. The diagram shows a Core network (CN) containing the Operator's DC. Inside the Operator's DC, there are two rows of Network Functions (NFs). The top row contains four NFs: Network function registry, Policy control function, Unified subscription management function, and Service communication proxy. The bottom row contains five NFs: Network access control function, Network slice selection function, Auth. server function, Session management function, and User plane function. Arrows indicate connections between these NFs. Below the Core network, there are four Customer DCs (Customer 1's DC, Customer 2's DC, Customer 3's DC, and Customer 4's DC). Each Customer DC is connected to a Private data network (Private data network 1, 2, 3, and 4). The User plane function in the Operator's DC is connected to Public data networks. A legend on the right indicates that white boxes represent Public network's network function and orange boxes represent PNI-NPN's network function.](562f471e8153729557e6a4ee6343c32c_img.jpg) + +Core network (CN) + +Operator's DC + +Public network's network function + +PNI-NPN's network function + +Public data networks + +Private data network 1 + +Private data network 2 + +Private data network 3 + +Private data network 4 + +Customer 1's DC + +Customer 2's DC + +Customer 3's DC + +Customer 4's DC + +Network function registry + +Policy control function + +Unified subscription management function + +Service communication proxy + +Network access control function + +Network slice selection function + +Auth. server function + +Session management function + +User plane function + +Y.3128(23) + +Figure 1: The PNI-NPN type with all NFs deployed in the operator's DC. The diagram shows a Core network (CN) containing the Operator's DC. Inside the Operator's DC, there are two rows of Network Functions (NFs). The top row contains four NFs: Network function registry, Policy control function, Unified subscription management function, and Service communication proxy. The bottom row contains five NFs: Network access control function, Network slice selection function, Auth. server function, Session management function, and User plane function. Arrows indicate connections between these NFs. Below the Core network, there are four Customer DCs (Customer 1's DC, Customer 2's DC, Customer 3's DC, and Customer 4's DC). Each Customer DC is connected to a Private data network (Private data network 1, 2, 3, and 4). The User plane function in the Operator's DC is connected to Public data networks. A legend on the right indicates that white boxes represent Public network's network function and orange boxes represent PNI-NPN's network function. + +**Figure 1 – The PNI-NPN type with all NFs deployed in the operator's DC** + +As shown in Figure 1, the operator provides private and public data network services to end users via access network and core NFs. All NFs of the core network are deployed in the operator's DC and none in those of customers. There are four customers, which use the NFs of the operator's DC and have no control over them. Each customer holds their own private data network. + +NOTE 2 – The two-colour boxes in the two upper rows of Figure 1 illustrate NFs deployed in the operator's DC serving both a PN and PNI-NPN. + +In Figure 2, in order to meet the individual needs of private data network services, some NFs may be deployed as dedicated NFs in customers' DCs, located then in an untrusted domain out of control of the operator. + +![Figure 2: The PNI-NPN type with some NFs deployed in the customers' DCs. The diagram shows a hierarchical network structure. At the top is the 'Core network (CN)' containing the 'Operator's DC' with functions: Network function registry, Policy control function, Network slice selection function, Network access control function, Unified subscription management function, Auth. server function, Session management function, and User plane function. Below this are four 'Customer's DC' blocks: Customer 1's DC, Customer 2's DC, Customer 3's DC, and Customer 4's DC. Each customer DC contains various network functions (NFs) and connects to the core network via specific interfaces (I1, I2, I3, I4). Customer 1's DC has a User plane function connected via I1. Customer 2's DC has Network access control function, Policy control function, Session management function, and User plane function, connected via I2 and I3. Customer 3's DC has Policy control function, Session management function, and User plane function, connected via I3. Customer 4's DC has Network access control function, Unified subscription management function, Auth. server function, Session management function, and User plane function, connected via I2, I4, and I3. Public data networks are connected to the User plane function in the Operator's DC. Private data networks are connected to the User plane functions in the customer DCs. A legend indicates that white boxes represent Public network's network function and orange boxes represent PNI-NPN's network function.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 2: The PNI-NPN type with some NFs deployed in the customers' DCs. The diagram shows a hierarchical network structure. At the top is the 'Core network (CN)' containing the 'Operator's DC' with functions: Network function registry, Policy control function, Network slice selection function, Network access control function, Unified subscription management function, Auth. server function, Session management function, and User plane function. Below this are four 'Customer's DC' blocks: Customer 1's DC, Customer 2's DC, Customer 3's DC, and Customer 4's DC. Each customer DC contains various network functions (NFs) and connects to the core network via specific interfaces (I1, I2, I3, I4). Customer 1's DC has a User plane function connected via I1. Customer 2's DC has Network access control function, Policy control function, Session management function, and User plane function, connected via I2 and I3. Customer 3's DC has Policy control function, Session management function, and User plane function, connected via I3. Customer 4's DC has Network access control function, Unified subscription management function, Auth. server function, Session management function, and User plane function, connected via I2, I4, and I3. Public data networks are connected to the User plane function in the Operator's DC. Private data networks are connected to the User plane functions in the customer DCs. A legend indicates that white boxes represent Public network's network function and orange boxes represent PNI-NPN's network function. + +Y.3128(23) + +**Figure 2 – The PNI-NPN type with some NFs deployed in the customers' DCs** + +Public data network services are provided by NFs deployed in the operator's DC, while those that are private are provided jointly by NFs deployed in both the operator's and customers' DCs. + +NOTE 3 – In the operator's DC of Figure 2, similarly to Figure 1, the two-colour boxes in the two upper rows represent NFs serving both the public network (PN) and PNI-NPN, and the user plane function (UPF) deployed in the operator's DC only serves the PN. The NFs, including UPF, deployed in customers' DCs only serve PNI-NPNs. + +There are four main deployment options of the PNI-NPN type with some NFs deployed in the customers' DCs, as described in Appendix I. The options differ in the set of NFs deployed in the customers' DCs, e.g., that for customer 2's DC includes a network access control function (NACF), session management function (SMF), policy control function (PCF) and UPF. These different sets provide various network capabilities and communicate with NFs of the PN with different types of interface. The interfaces of each customer's DC to connect to the operator's DC are shown in Figure 2 as I1 for UPF, I2 for NACF, I3 for SMF and I4 for unified subscription management (USM) function. For example, in customer 1's DC, the UPF communicates with the PN through interface I1, and in customer 2's DC, the NACF and SMF communicate with the PN respectively through interface I2 and I3. Moreover, in one customer's DC, there may be multiple types of interface to communicate with the PN, as shown for customer 2's DC. + +In addition, as specified in [ETSI TS 123 501], two types of communication mode are possible for the PNI-NPN type with some NFs deployed in the customers' DCs: direct, which supports the communication between NFs directly as shown in Figure 2; and indirect, which supports the communication between NFs via a SCP as shown in Figure 3. + +![Figure 3: The PNI-NPN type with some NFs deployed in customers' DCs and usage of the indirect communication mode. The diagram shows a Core network (CN) containing an Operator's DC and three Customer DCs. The Operator's DC contains Network function registry, Policy control function, Network slice selection function, Auth. server function, Network access control function, Unified subscription management function, Service communication proxy, Session management function, and User plane function. The three Customer DCs (Customer 2's DC, Customer 3's DC, and Customer 4's DC) contain various network functions like Service communication proxy, Session management function, User plane function, Network access control function, and Unified subscription management function. Connections are shown between the Operator's DC and the Customer DCs via interfaces I5 and I4, and between the Customer DCs and Private data networks (Private data network 2, Private data network 3, Private data network 4) via interfaces I5 and I4. A Public data network is also connected to the Operator's DC. A legend indicates that white boxes represent Public network's network function and orange boxes represent PNI-NPN's network function.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Figure 3: The PNI-NPN type with some NFs deployed in customers' DCs and usage of the indirect communication mode. The diagram shows a Core network (CN) containing an Operator's DC and three Customer DCs. The Operator's DC contains Network function registry, Policy control function, Network slice selection function, Auth. server function, Network access control function, Unified subscription management function, Service communication proxy, Session management function, and User plane function. The three Customer DCs (Customer 2's DC, Customer 3's DC, and Customer 4's DC) contain various network functions like Service communication proxy, Session management function, User plane function, Network access control function, and Unified subscription management function. Connections are shown between the Operator's DC and the Customer DCs via interfaces I5 and I4, and between the Customer DCs and Private data networks (Private data network 2, Private data network 3, Private data network 4) via interfaces I5 and I4. A Public data network is also connected to the Operator's DC. A legend indicates that white boxes represent Public network's network function and orange boxes represent PNI-NPN's network function. + +Y.3128(23) + +**Figure 3 – The PNI-NPN type with some NFs deployed in customers' DCs and usage of the indirect communication mode** + +The SCPs deployed in customers' DCs communicate with the PN through the interfaces I5. + +NOTE 4 – The two-colour boxes in the two upper rows of SCP deployed in the operator's DC serve both PN and PNI-NPN, while the single colour boxes of SCP deployed in the customers' DCs only serve PNI-NPN. + +The same communication mode is used between the NFs within a given customer's DC (direct communication mode in Figure 2 and indirect in Figure 3) and between the NFs in the operator's DC (direct communication mode in Figure 2 and indirect in Figure 3). However, different communication modes may be used between one (or more) NF in a given customer's DC and one (or more) NF in the operator's DC. + +# 7 Network function communication problems between public networks and public network integrated non-public networks in IMT-2020 + +According to the use cases provided in Appendix I, some NFs of NPNs are located in customers' DCs, with some NPNs having only one NF, while others have multiple NFs. + +Different NPNs may connect to the PN through various types of interface. NPNs may also connect to the PN through one or multiple types of interface (e.g., in Figure 2, in customer 1's DC or customer 3's DC, there is one type of interface to communicate with the PN, while in customer 2's DC or customer 4's DC there are multiple types). + +The support of the described use cases causes the following problems from a network perspective. + +- Complex topology: As the number of NPNs continues to increase, and the number of point-to-point connections between the NFs of NPNs and the NFs of the PN rises, IMT-2020 network topology becomes more and more complex. For example, in the use case described in clause I.2, NACF, SMF, PCF and UPF are all deployed in a single NPN, communicating + +with an authentication server function (ASF) and USM function in the PN through different interfaces. Complexity of network topology particularly affects the direct communication mode. + +- Complex interworking: As NFs can be provided from different vendors, the interface between those of NPNs and the PN require interoperability testing. The more interfaces and more vendors there are, the more interoperability testing is required. The message information elements (IEs) on one interface are divided into three categories: mandatory; conditional; and optional. The optional IEs make interoperability testing between NPNs and the PN more complex as different vendors may implement message information elements differently, e.g., some vendors include them and others not. + +On the other hand, several IMT-2020 core network implementations based on 3GPP 5G core network specifications can be deployed, and the related 3GPP specifications continue to evolve in terms of version updates. There are compatibility issues when different versions for NPNs and PN work together. The version applied in a given NPN depends on customer demand and the time of network deployment. After network set up, the version in the NPN may not be updated at the same time as the PN upgrade. For example, various customers can deploy NPNs based on different versions of 3GPP specifications. In order to adapt to different versions of NPNs, the NFs of the PN may need to support multiple versions at the same time. + +- PN instability: Every time an NPN is deployed, data configuration, including configuration updates, must be performed on the NFs in the PN. Each data configuration and related modifications can cause a risk to the PN, as well as in terms of interworking with NPNs. +- Failure due to different communication modes: When an NF in the PN tries to communicate by using the indirect (direct) communication mode with an NPN that adopts one that is direct (indirect), the communication fails. + +# **8 Requirements for network function communication between public networks and public network integrated non-public networks in IMT-2020** + +In order to address the problems identified in clause 7, while deploying NPNs for customers on the basis of their specific requirements, and simultaneously reducing the impact of these deployments on the PN, the requirements in clauses 8.1 and 8.2 for NF communication between the PN and NPNs apply. + +## **8.1 PN requirements** + +- The PN is required to support signalling aggregation in order to reduce the number of point-to-point connections between the NFs of NPNs and the NFs of the PN. +- The PN is required to synchronize NPN user data with the NPN unidirectionally (i.e., from the PN to the NPN), in order to avoid modifications of the user data in the PN by customers. + +NOTE 1 – This applies when a dedicated USM function is deployed in a given customer's NPN. + +- The PN is required to distinguish different NPN user data and synchronize with each NPN respectively. + +NOTE 2 – This applies when a dedicated USM function is deployed in a given customer's NPN. + +- The PN is required to support the identification of the communication modes of NPNs, such as by their pre-configuration or their identification through communication requests from NPNs, so that the PN can adapt as needed. +- The PN is required to support adaptation between different communication modes. + +NOTE 3 – Adaptation applies when a given NPN adopts a communication mode different from that of the PN. + +NOTE 4 – Adaptation can include, but is not limited to, modification of the parameters in the HTTP header. + +- The PN is required to identify and process abnormal traffic from NPNs according to the operator's policy. + +NOTE 5 – Examples of abnormal traffic in a given operator's policy include unknown users and traffic carrying sensitive information. + +NOTE 6 – A firewall may be used by the PN to identify and process abnormal traffic from NPNs. The types and processing policies of abnormal traffic may be configured on the firewall. + +- Traffic from high-priority NPNs is recommended for processing first by the PN. + +NOTE 7 – This is particularly beneficial in the case of a signalling storm or large amounts of traffic from NPNs. + +NOTE 8 – The priority of NPNs may be configured in the PN, e.g., NPNs of high-value customers may receive preference. + +- The PN is recommended to avoid modifying NF configuration data frequently during the deployment of new NPNs or the modification of existing NPNs. + +### **8.2 NPN requirements** + +- An NPN is required to support signalling aggregation in order to reduce the number of point-to-point connections between the NFs of NPN and those of the PN. +- An NPN is required to receive the synchronization of NPN user data from the PN in order to avoid modifying them in the PN by customers. + +NOTE 1 – This applies when a dedicated USM function is deployed in a given customer's NPN. + +- An NPN is recommended to support high network reliability. + +NOTE 2 – Network reliability for NPN indicates that it works properly also when its connection with a PN fails. + +NOTE 3 – If a connection fails between NFs of the NPN and those of the PN, such as operator's DC server shut down, accidental cable breakage or NF version update in the PN, private data network services offered to NPN users, such as important production lines, will not be interrupted, minimizing the impact of the connection failure. + +NOTE 4 – An NPN may deploy a dedicated NACF, SMF, ASF, USM function and UPF to support network reliability. + +## Appendix I + +### Use cases of communication between public networks and public network integrated non-public networks in IMT-2020 + +(This appendix does not form an integral part of this Recommendation.) + +In order to meet the individual needs of private data network services, e.g., in terms of low latency, high reliability and controllability, some NFs may be deployed as dedicated in customers' DCs. Clauses I.1 to I.4 present some possible application scenarios. + +### I.1 UPF deployed in a customer's DC + +Figure I.1 illustrates user plane function (UPF) deployed in a customer's DC. + +![Figure I.1: UPF deployed in a customer's DC. The diagram shows a Core network (CN) containing an Operator's DC and a Customer's DC. The Operator's DC includes Network function registry, Policy control function, Unified subscription management function, Network access control function, Network slice selection function, Auth. server function, Session management function, and User plane function. The Customer's DC includes a User plane function. The User plane function in the Customer's DC communicates with the Session management function in the Operator's DC. The Operator's DC User plane function connects to Public data networks, and the Customer's DC User plane function connects to Private data networks. A legend indicates that white boxes represent Public network's network function and orange boxes represent PNI-NPN's network function.](1b5a812c8aa20fd5cba28e97001d32de_img.jpg) + +Core network (CN) + +Operator's DC + +Customer's DC + +Public data networks + +Private data networks + +Y.3128(23) + +Figure I.1: UPF deployed in a customer's DC. The diagram shows a Core network (CN) containing an Operator's DC and a Customer's DC. The Operator's DC includes Network function registry, Policy control function, Unified subscription management function, Network access control function, Network slice selection function, Auth. server function, Session management function, and User plane function. The Customer's DC includes a User plane function. The User plane function in the Customer's DC communicates with the Session management function in the Operator's DC. The Operator's DC User plane function connects to Public data networks, and the Customer's DC User plane function connects to Private data networks. A legend indicates that white boxes represent Public network's network function and orange boxes represent PNI-NPN's network function. + +**Figure I.1 – UPF deployed in a customer's DC** + +In order to meet the industry's requirements for low latency and to keep the user plane [b-ITU-T Y.3100] traffic in the customer's domain, the UPF may be deployed in the customer's DC. The UPF in the customer's DC communicates with the SMF deployed in the operator's DC. + +### I.2 NACF, SMF, PCF, UPF deployed in a customer's DC + +Figure I.2 illustrates NACF, SMF, PCF, UPF deployed in a customer's DC. + +![Figure I.2: Core network (CN) architecture showing Operator's DC and Customer's DC components. The Operator's DC includes Network function registry, Policy control function, Session management function, Network access control function, Network slice selection function, Auth. server function, Unified subscription management function, and User plane function. The Customer's DC includes Policy control function, Network access control function, Session management function, and User plane function. Public data networks and Private data networks are connected to the User plane functions. A legend indicates Public network's network function (white) and PNI-NPN's network function (orange).](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +The diagram illustrates the Core network (CN) architecture, divided into two Data Centers (DC): the Operator's DC and the Customer's DC. A legend on the right identifies white boxes as 'Public network's network function' and orange boxes as 'PNI-NPN's network function'. + +**Operator's DC (Orange border):** + +- Top row (Public network functions):** Network function registry, Policy control function, Session management function. +- Bottom row (PNI-NPN functions):** Network access control function, Network slice selection function, Auth. server function, Unified subscription management function, and User plane function. + +**Customer's DC (Orange border):** + +- Top row (PNI-NPN functions):** Policy control function, Network access control function, Session management function. +- Bottom row (PNI-NPN function):** User plane function. + +**External Connections:** + +- The **User plane function** in the Operator's DC is connected to **Public data networks** (cloud icon). +- The **User plane function** in the Customer's DC is connected to **Private data networks** (cloud icon). + +Reference: Y.3128(23) + +Figure I.2: Core network (CN) architecture showing Operator's DC and Customer's DC components. The Operator's DC includes Network function registry, Policy control function, Session management function, Network access control function, Network slice selection function, Auth. server function, Unified subscription management function, and User plane function. The Customer's DC includes Policy control function, Network access control function, Session management function, and User plane function. Public data networks and Private data networks are connected to the User plane functions. A legend indicates Public network's network function (white) and PNI-NPN's network function (orange). + +**Figure I.2 – NACF, SMF, PCF, UPF deployed in a customer's DC** + +In addition to the low latency requirement, some customers also want to apply some policies for customized access control and session management to their users, so NACF, SMF, PCF and UPF may be deployed in the customer's DC. + +In this case, there are different types of interface used for communication between the operator's and the customer's DCs. + +The interfaces between the NACF and SMF in the customer's DC and the USM function in the operator's DC are used to retrieve and subscribe to user data from the USM function. + +The interface between the NACF in the customer's DC and the ASF in the operator's DC is used for user authentication. + +The interface between the NACF in the customer's DC and the NACF in the operator's DC is used for the NACF re-allocation procedure. If the user equipment of an industry customer initially registers with the NPN without the single network slice selection assistance information [ETSI TS 123 501], the access network selects the NACF in the operator's DC by default. The NACF in the operator's DC then initiates the re-allocation procedure for the NACF in the customer's DC. + +### **I.3 SMF, PCF and UPF deployed in a customer's DC** + +Figure I.3 illustrates an SMF, PCF and UPF deployed in a customer's DC. + +![Figure I.3: Network architecture diagram showing SMF, PCF, and UPF deployment in a customer's DC. The Core network (CN) is divided into the Operator's DC and the Customer's DC. The Operator's DC contains the Network function registry, Policy control function, Session management function, Network access control function, Network slice selection function, Auth. server function, Unified subscription management function, and User plane function. The Customer's DC contains the Policy control function, Session management function, and User plane function. Public data networks connect to the User plane function in the Operator's DC, and Private data networks connect to the User plane function in the Customer's DC. A legend indicates that white boxes represent Public network's network functions and orange boxes represent PNI-NPN's network functions.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +Y.3128(23) + +Figure I.3: Network architecture diagram showing SMF, PCF, and UPF deployment in a customer's DC. The Core network (CN) is divided into the Operator's DC and the Customer's DC. The Operator's DC contains the Network function registry, Policy control function, Session management function, Network access control function, Network slice selection function, Auth. server function, Unified subscription management function, and User plane function. The Customer's DC contains the Policy control function, Session management function, and User plane function. Public data networks connect to the User plane function in the Operator's DC, and Private data networks connect to the User plane function in the Customer's DC. A legend indicates that white boxes represent Public network's network functions and orange boxes represent PNI-NPN's network functions. + +**Figure I.3 – SMF, PCF and UPF deployed in a customer's DC** + +Some vertical industry customers are mainly concerned with session management policy control, low latency and keeping the user plane traffic in the customer's domain, so only SMF, PCF and UPF may be deployed in a customer's DC. + +The SMF in the customer's DC retrieves user data from the USM function in the operator's DC and communicates with the NACF in the operator's DC while establishing protocol data unit (PDU) sessions. + +### **I.4 ASF, USM function, NACF, SMF and UPF deployed in a customer's DC** + +Figure I.4 illustrates an ASF, USM function, NACF, SMF and UPF deployed in a customer's DC. + +![Figure I.4: Network architecture diagram showing ASF, USM function, NACF, SMF, and UPF deployment in a customer's DC. The Core network (CN) is divided into the Operator's DC and the Customer's DC. The Operator's DC contains the Network function registry, Policy control function, Session management function, Network access control function, Network slice selection function, Auth. server function, Unified subscription management function, and User plane function. The Customer's DC contains the Auth. server function, Network access control function, Unified subscription management function, Session management function, and User plane function. Public data networks connect to the User plane function in the Operator's DC, and Private data networks connect to the User plane function in the Customer's DC. A legend indicates that white boxes represent Public network's network functions and orange boxes represent PNI-NPN's network functions.](41a438d7e4adc17c3a4005e7c9500091_img.jpg) + +Y.3128(23) + +Figure I.4: Network architecture diagram showing ASF, USM function, NACF, SMF, and UPF deployment in a customer's DC. The Core network (CN) is divided into the Operator's DC and the Customer's DC. The Operator's DC contains the Network function registry, Policy control function, Session management function, Network access control function, Network slice selection function, Auth. server function, Unified subscription management function, and User plane function. The Customer's DC contains the Auth. server function, Network access control function, Unified subscription management function, Session management function, and User plane function. Public data networks connect to the User plane function in the Operator's DC, and Private data networks connect to the User plane function in the Customer's DC. A legend indicates that white boxes represent Public network's network functions and orange boxes represent PNI-NPN's network functions. + +**Figure I.4 – ASF, USM function, NACF, SMF and UPF deployed in a customer's DC** + +To maintain normal running if the connection between the DCs of the operator and customer breaks down, the ASF, USM function, NACF and SMF are deployed in the NPN. + +In this case, the NACF and SMF in the customer's DC communicate with the USM function and ASF in the operator's DC when the connection between the NPN and PN works. When the connection between the NPN and the PN breaks down, NACF and SMF in the customer's DC still communicate with the USM function and ASF in the customer's DC keeping the NPN ongoing: not + +only the registered devices and the established PDU session can operate, but also a new device can access the NPN. The data between the USM function and ASF in the operator's DC and the USM function and ASF in the customer's DC are synchronized unidirectionally, i.e., only the synchronization of the USM function and ASF in the operator's DC with the USM function and ASF in the customer's DC is allowed. Meanwhile, for security purposes, the user data of the ASF and USM function in the customer's DC cannot be modified by the customer. + +The NACF re-allocation procedure is the same as that described in clause I.2. + +## Bibliography + +- [b-ITU-T Q.1741.7] Recommendation ITU-T Q.1741.7 (2011), *IMT-2000 references to Release 9 of GSM-evolved UMTS core network*. +- [b-ITU-T X.1813] Recommendation ITU-T X.1813 (2022), *Security and monitoring requirements for operation of vertical services supporting ultra-reliability and low-latency communication (URLLC) in IMT-2020 private networks*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3102] Recommendation ITU-T Y.3102 (2018), *Framework of the IMT-2020 network*. +- [b-ETSI TS 123 003] Technical Specification ETSI TS 123 003 V17.10.0 (2023-07), *Digital cellular telecommunications system (Phase 2+) (GSM); Universal Mobile Telecommunications System (UMTS); LTE; 5G; Numbering, addressing and identification*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general 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b/marked/Y/T-REC-Y.3139-202209-I_PDF-E/raw.md @@ -0,0 +1,492 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.3139 + +(09/2022) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Future networks + +--- + +**Fixed mobile convergence enhancements to +support IMT-2020 based software-defined +wide-area networking service** + +Recommendation ITU-T Y.3139 + +ITU-T + +![ITU logo](1d7527f4316cfe2d342b08d1653d1592_img.jpg) + +The logo of the International Telecommunication Union (ITU), featuring a blue globe with a network of lines and the letters 'ITU' in the center. + +ITU logo + +# ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3599 | +| BIG DATA | Y.3600–Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3139 + +# Fixed mobile convergence enhancements to support IMT-2020 based software-defined wide-area networking service + +## Summary + +IMT-2020 based fixed mobile convergence (FMC) is one of the main trends in the future development of telecommunications. The main purpose of FMC is to combine all access technologies, including fixed and mobile access method, to access the network without network constraints. When adopting IMT-2020 technologies, software-defined wide-area networking (SD-WAN) service is required to support IMT-2020 access as one of the multiple connection types. With the enhancements of FMC, an IMT-2020 based SD-WAN service could gain features such as end-to-end isolated connections and dual link transmission. Recommendation ITU-T Y.3139 provides specifications for FMC enhancements to support an IMT-2020 based SD-WAN service. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3139 | 2022-09-29 | 13 | 11.1002/1000/15056 | + +## Keywords + +FMC, IMT-2020, SDN. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-----------------------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of FMC enhancements to support a software-defined wide-area
networking (SD-WAN) service ..... | 2 | +| 7 | Scenarios of an IMT-2020 based SD-WAN service..... | 4 | +| | 7.1 The dual-link transmission scenario of IMT-2020 based SD-WAN
service..... | 4 | +| | 7.2 The end-to-end orchestration scenario of IMT-2020 based SD-WAN
service..... | 5 | +| 8 | Requirements of enhanced FMC to support an IMT-2020 based SD-WAN service ... | 6 | +| | 8.1 Service requirements of enhanced FMC ..... | 6 | +| | 8.2 Capability requirements of enhanced FMC..... | 7 | +| 9 | Architecture of enhanced FMC to support an IMT-2020 based SD-WAN service ..... | 9 | +| | 9.1 Functional architecture of enhanced FMC ..... | 9 | +| | 9.2 Reference points of enhanced FMC ..... | 10 | +| 10 | Security considerations..... | 11 | +| | Bibliography..... | 12 | + + + +# Recommendation ITU-T Y.3139 + +# Fixed mobile convergence enhancements to support IMT-2020 based software-defined wide-area networking service + +## 1 Scope + +This Recommendation specifies fixed mobile convergence (FMC) enhancements to support IMT-2020 based software-defined wide-area networking service, considering the following issues: + +- Scenarios of an IMT-2020 based SD-WAN service; +- The requirements of enhanced FMC to support an IMT-2020 based SD-WAN service; +- The architecture of enhanced FMC to support an IMT-2020 based SD-WAN service. + +The functional architecture of enhanced FMC of this Recommendation is based on [ITU-T Y.3131]. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +| | | +|----------------|-----------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Q.3741] | Recommendation ITU-T Q.3741 (2019), Signalling requirements for SD-WAN service . | +| [ITU-T Y.3130] | Recommendation ITU-T Y.3130 (2018), Requirements of IMT-2020 fixed mobile convergence . | +| [ITU-T Y.3131] | Recommendation ITU-T Y.3131 (2019), Functional architecture for supporting fixed mobile convergence in IMT-2020 networks . | + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 fixed mobile convergence** [b-ITU-T Y.3100]: In the context of IMT-2020, the capabilities that provide services and applications to end users regardless of the fixed or mobile access technologies being used and independently of the users' location. + +**3.1.2 fixed network** [b-ITU-T Q.1762]: A network that provides wire-based (e.g., copper, fibre) or wireless access to its services. The fixed network may support nomadism, but does not support mobility. + +**3.1.3 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [ITU-R M.1645]. + +**3.1.4 mobile network** [b-ITU-T Q.1762]: A network that provides wireless access to its services and supports mobility. + +### 3.2 Terms defined in this Recommendation + +None. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----------|---------------------------------------| +| APN | Access Point Name | +| Diff-Serv | Differentiated Services | +| DNN | Data Network Name | +| DPI | Deep Packet Inspection | +| FMC | Fixed Mobile Convergence | +| GRE | Generic Routing Encapsulation | +| ID | Identifier | +| L2TP | Layer2 Tunneling Protocol | +| MIMO | Multi Input Multi Output | +| mMTC | massive Machine Type Communication | +| MPLS | MultiProtocol Label Switching | +| PDU | Protocol Data Unit | +| SDN | Software-Defined Network | +| SD-WAN | Software-Defined Wide-Area Networking | +| TCP | Transmission Control Protocol | +| UDP | User Datagram Protocol | +| VPN | Virtual Private Network | +| VxLAN | Virtual extensible Local Area Network | +| WAN | Wide-Area Networking | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a specification which is recommended but which is not absolutely required. Thus, this specification need not be present to claim conformance. + +## 6 Overview of FMC enhancements to support a software-defined wide-area networking (SD-WAN) service + +An SD-WAN service enables service providers to launch such a service for enterprises. It provides high-quality wide area networking (WAN) performance, reliability and security in various ways. [ITU-T Q.3741] specifies the signalling issues of a general SD-WAN service; it uniformly manages the whole network by introducing a centralized controller to implement features such as quick deployment and flexible configuration. By adopting IMT-2020 technologies, an SD-WAN service supports IMT-2020 access as one of multiple connection types. Additionally, it can apply dynamic path selection by allowing for load sharing across WAN connections and provide a simple interface for managing WAN with both fixed and IMT-2020 access. Figure 6-1 shows the basic idea of an IMT-2020 based SD-WAN service with FMC enhancements. + +![Figure 6-1: IMT-2020 based SD-WAN service with FMC enhancements. The diagram illustrates a network architecture where three sites (Company site A, Company site B, and Headquarters) are connected via the Internet. Each site has an 'IMT-2020 core network' containing a 'UPF' (User Plane Function) and a 'Fixed network'. 'IMT-2020 access' is shown as a wireless connection to the core network, and 'Fixed access' is shown as a wired connection to the fixed network. 'FMC enhancements' (Function and Methodology Control) are represented by yellow boxes at each site, which are connected to an 'Orchestration and management' block at the top. Two data streams are shown: 'Data stream A' (red dashed line) and 'Data stream B' (green dashed line). The diagram shows how FMC enhancements enable end-to-end connectivity management across the IMT-2020 and fixed networks.](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +Figure 6-1: IMT-2020 based SD-WAN service with FMC enhancements. The diagram illustrates a network architecture where three sites (Company site A, Company site B, and Headquarters) are connected via the Internet. Each site has an 'IMT-2020 core network' containing a 'UPF' (User Plane Function) and a 'Fixed network'. 'IMT-2020 access' is shown as a wireless connection to the core network, and 'Fixed access' is shown as a wired connection to the fixed network. 'FMC enhancements' (Function and Methodology Control) are represented by yellow boxes at each site, which are connected to an 'Orchestration and management' block at the top. Two data streams are shown: 'Data stream A' (red dashed line) and 'Data stream B' (green dashed line). The diagram shows how FMC enhancements enable end-to-end connectivity management across the IMT-2020 and fixed networks. + +**Figure 6-1 – IMT-2020 based SD-WAN service with FMC enhancements** + +An IMT-2020 based SD-WAN service will utilize IMT-2020 access technology on the basis of IMT-2020 bearer and combine it flexibly with multiple connection types. With the enhancements of FMC, an IMT-2020 based SD-WAN service could have the following advantages: + +- FMC enhancements enable an SD-WAN service to establish an end-to-end isolated connection of the customer equipment from one end user of company node A to other end users of headquarter and company node B by introducing the end-to-end connectivity management functionality in FMC enhancement and by having the global view of the orchestration. Different enhanced FMC functions or platforms could cooperate together to guarantee end-to-end security and isolation. However, traditional SD-WAN service providers could only provide similar features in the Internet domain rather than end-to-end, which may not satisfy the requirements of the enterprises. +- FMC enhancements enable each company node to have the ability to transmit data traffic on dual links (IMT-2020 and fixed access network) simultaneously to ensure ultra-broad bandwidth to some critical services. However, traditional SD-WAN service could only utilize one of the two links for each session of transmissions. + +To provide these advantages to an IMT-2020 based SD-WAN service, the FMC is required to be enhanced in IMT-2020 based FMC scenarios. + +## 7 Scenarios of an IMT-2020 based SD-WAN service + +### 7.1 The dual-link transmission scenario of IMT-2020 based SD-WAN service + +![Figure 7-1: FMC enhancements to support a dual-link transmission scenario. The diagram illustrates a network architecture where data from a customer at node A is split into two streams (one via mobile access, one via fixed access) and sent to an IMT-2020 FMC network. This network then combines the streams into one and forwards it to node B, while also mirroring the traffic to be re-split and sent to node C via different paths (Internet, MPLS VPN, or dedicated line).](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +The diagram illustrates a dual-link transmission scenario for an IMT-2020 based SD-WAN service. At the top, a yellow box labeled 'FMC enhancements' has dashed lines connecting to various network components. On the left, 'The customer equipment from node A' sends data (represented by a sequence of numbers 5, 4, 3, 2, 1) which is 'Split into 2 streams'. One stream goes via 'Mobile access' (red dashed line) and the other via 'Fixed access' (green dashed line) to an 'IMT-2020 FMC network'. Inside this network, 'Traffic mirroring' occurs. The combined stream is then sent to 'The customer equipment from node B' via 'Fixed/mobile access'. Simultaneously, the mirrored stream is sent to 'The customer equipment from node C' via three possible paths: 'Internet', 'MPLS VPN/ dedicated line', and 'Fixed/mobile access'. The final output at node C is 'Combine into 1 stream' (sequence 5, 4, 3, 2, 1). The diagram is labeled 'Y.3139(22)' at the bottom right. + +Figure 7-1: FMC enhancements to support a dual-link transmission scenario. The diagram illustrates a network architecture where data from a customer at node A is split into two streams (one via mobile access, one via fixed access) and sent to an IMT-2020 FMC network. This network then combines the streams into one and forwards it to node B, while also mirroring the traffic to be re-split and sent to node C via different paths (Internet, MPLS VPN, or dedicated line). + +**Figure 7-1 – FMC enhancements to support a dual-link transmission scenario** + +With the enhancements of FMC, the dual-link transmission scenario of an IMT-2020 based SD-WAN service could be achieved, as shown in Figure 7-1. + +The dual-link transmission scenario of an IMT-2020 based SD-WAN service requires at least one IMT-2020 access and one fixed access to the network. Data traffic is transmitted by both links simultaneously to provide ultra-broad bandwidth to some important services. As shown in Figure 7-1, if the customer from node A wants to upload large files to node B by an IMT-2020 based SD-WAN connection, the data traffic can be split into two streams and transmitted by an IMT-2020 access link and a fixed access link separately. In this case, the access bandwidth of node A will be increased by utilizing the two links simultaneously. + +Several SD-WAN nodes of IMT-2020 based SD-WAN service which can be managed and controlled by the FMC enhancement system exist. When the SD-WAN node receives the data stream, it can perform operations such as traffic mirroring, stream combination and/or re-splitting according to different customer service requirements. As shown in Figure 7-1, the SD-WAN node combines the two streams transmitted by two access links from node A into one stream, and sends it to node B by one link. Meanwhile, the SD-WAN node mirrors the combined stream, re-splits it into two streams and sends them separately to node C through two different underlay links. In this case, the end-to-end connections can be carried by more than one underlay interdomain backbone network (e.g., public Internet, multiprotocol label switching virtual private network (MPLS VPN), dedicated line) simultaneously to enhance service quality. + +Additionally, some critical technologies and mechanisms need to be adopted in this scenario to guarantee service quality, such as multilink bundling technology, load balancing technology, link backup mechanism, data retransmission and verification mechanism. + +### 7.2 The end-to-end orchestration scenario of IMT-2020 based SD-WAN service + +![Figure 7-2: FMC enhancements to support end-to-end SD-WAN service. The diagram illustrates a multi-operator network architecture. At the top, a green box labeled 'Orchestration and management' is connected via dashed lines to three yellow boxes labeled 'FMC enhancements', one for each operator. The network consists of three operators: Operator 1 (yellow cloud), Operator 2 (green cloud), and Operator 3 (blue cloud). Each operator's network contains a 'GW' (Gateway) and is connected to the 'Internet' (grey cloud). Operator 1's network is connected to 'Company branch A' via 'Mobile access' and 'Fixed access'. Operator 2's network is connected to 'Company branch B' via 'Mobile access' and 'Fixed access'. Operator 3's network is connected to 'Headquarters' via 'Mobile access' and 'Fixed access'. Data streams are shown as dashed lines: 'Data stream A' (red) and 'Data stream B' (green). The legend indicates that red dashed lines represent 'Data stream A' and green dashed lines represent 'Data stream B'. The diagram shows how the unified orchestration platform manages these multi-operator paths.](5b4e774d63e0e0ed73801a9247755e5f_img.jpg) + +Y.3139(22) + +Figure 7-2: FMC enhancements to support end-to-end SD-WAN service. The diagram illustrates a multi-operator network architecture. At the top, a green box labeled 'Orchestration and management' is connected via dashed lines to three yellow boxes labeled 'FMC enhancements', one for each operator. The network consists of three operators: Operator 1 (yellow cloud), Operator 2 (green cloud), and Operator 3 (blue cloud). Each operator's network contains a 'GW' (Gateway) and is connected to the 'Internet' (grey cloud). Operator 1's network is connected to 'Company branch A' via 'Mobile access' and 'Fixed access'. Operator 2's network is connected to 'Company branch B' via 'Mobile access' and 'Fixed access'. Operator 3's network is connected to 'Headquarters' via 'Mobile access' and 'Fixed access'. Data streams are shown as dashed lines: 'Data stream A' (red) and 'Data stream B' (green). The legend indicates that red dashed lines represent 'Data stream A' and green dashed lines represent 'Data stream B'. The diagram shows how the unified orchestration platform manages these multi-operator paths. + +**Figure 7-2 – FMC enhancements to support end-to-end SD-WAN service** + +With the enhancements of FMC, the end-to-end orchestration scenario of the IMT-2020 based SD-WAN service, which mainly takes place under interoperator conditions, could be achieved. By introducing a unified global orchestration and management platform, the IMT-2020 based SD-WAN service can manage and control multiple FMC enhancement systems from different operators to interwork with each other. Orchestration and management of FMC enhancements in IMT-2020 can coordinate multidomain network resources (e.g., links, connections, bandwidth) to perform operations such as creation, retrieval, updating or deletion of end-to-end connections in different networks in order to provide an interoperator end-to-end IMT-2020 based SD-WAN service to customers. + +In the example shown in Figure 7-2, a company has one headquarters located in operator three's dominant area while its two branches – branch A and branch B – are located in operator one's and operator two's dominant area, respectively. Each site of this company can access the network by dual-link access (an IMT-2020 access and a fixed access), with the control of a local FMC enhancement system of its operator. Meanwhile, end-to-end connections can be established between any two sites by the adoption of the unified global orchestration and management platform. + +In addition, enhanced FMC could provide a slice identification management method applied to the core network side. When receiving the session connection request sent by the SD-WAN terminal and the session connection request includes its application ID, enhanced FMC finds the target slice ID matching the application ID according to the pre-set application slice identification table. Then the destination slice ID is determined according to the relationship between the target slice ID and the default slice ID signed by the terminal, so the service is carried in the transmission channel of the destination slice ID in order to achieve differentiated Quality of Service (QoS) control. + +When the target slice ID is different from the default slice ID, the target slice ID is assigned to the terminal to enable the terminal to re-initiate the session connection request carrying the target slice ID. + +When the target slice ID is the same as the default slice ID, the terminal IP is sent to the SD-WAN terminal, and a transmission channel is established between the base station and the user plane function UPF of the core network, so that the user data can be transmitted through this transmission channel. + +## **8 Requirements of enhanced FMC to support an IMT-2020 based SD-WAN service** + +### **8.1 Service requirements of enhanced FMC** + +#### **8.1.1 Requirements to support flexible networking** + +FMC enhancements enable an SD-WAN to achieve flexible end-to-end networking. The service requirements to support flexible end-to-end networking of an IMT-2020 based SD-WAN service are as follows: + +- Enable IMT-2020 access as one of the multiple access types to enrich the access capability of SD-WAN. +- Enable flexible end-to-end traffic path selection based on network policies according to customer requirements. +- Enable a link backup mechanism to guarantee end-to-end connection reliability. That is, when one of the connection links deteriorates, the system is required to immediately detect the deterioration and switch the traffic to one or more other selected links. +- Enable application identification and intelligent traffic scheduling to improve service performance or attain application acceleration. That is, the forwarding nodes of the system are required to identify different application traffic and schedule the packets according to the specific service requirements. + +#### **8.1.2 Requirements to enhance network security** + +FMC enhancements enable an SD-WAN to achieve end-to-end network security, providing higher network isolation security and data reliability for customers. The service requirements to enhance the network security of an IMT-2020 based SD-WAN service are as follows: + +- Support a multiple isolated network connection scheme to guarantee network security, which may be composed of one or more isolation technologies such as IMT-2020 based network slicing, APN/DNN isolation and various virtual tunnel technologies. +- Support multiple encryption technology to enhance data reliability and security. +- Provide a unified authentication platform and support multiple authentication, authorization and access control technologies to guarantee access security. + +#### **8.1.3 Requirements to provide enhanced quality of service (QoS)** + +FMC enhancements enable SD-WAN to achieve end-to-end QoS management, providing a comprehensive and high-quality communication service experience. The service requirements to provide enhanced QoS of an IMT-2020 based SD-WAN service are as follows: + +- Provide refined differentiated services based on a comprehensive end-to-end QoS solution including but not limited to refined QoS level design, differentiated services (diff-serv) based QoS scheduling, end-to-end congestion control and traffic shaping, unified QoS interpretation and control architecture. +- Provide multiple QoS mapping schemes that customers could choose according to their service requirements by maintaining an application slice identification table in end-to-end connectivity management functions, which stores the mapping relationship between the application ID and slice ID of the SD-WAN terminal service. +- Provide service continuity to improve the experience of the customers. + +#### **8.1.4 Requirements to enhance mobile connectivity** + +FMC enhancements enable SD-WAN to achieve advanced mobile access performance. The service requirements to enhance mobile connectivity of IMT-2020 based SD-WAN service are as follows: + +- Support high mobile access bandwidth and achieve low mobile access delay by adoption of IMT-2020 technologies such as massive multi-input multi-output (MIMO), super uplink and network slicing. +- Provide ubiquitous access coverage and support massive connections by utilizing IMT-2020 technologies which are implemented to support mMTC. +- Allow high mobility of the terminal device while providing excellent communication quality by utilizing IMT-2020's mobility enhancement. + +#### **8.1.5 Requirements to improve customer self-service management** + +FMC enhancements enable SD-WAN to provide flexible customer self-service. The service requirements to improve customer self-service management of an IMT-2020 based SD-WAN service are as follows: + +- Provide graphical management and network status monitoring for customer self-service. +- Provide end-to-end traffic path selection for customer self-service. +- Provide flexible VPN topology management for customer self-service. +- Provide flexible bandwidth adjustment function for customer self-service, by which the link bandwidth between customer sites can be adjusted in real-time based on customer needs. +- Provide value-added service function configuration for customer self-service, such as virtual firewall, traffic cleaning, traffic analysis and load balance. + +### **8.2 Capability requirements of enhanced FMC** + +The general requirements of enhanced FMC capabilities are based on the capability requirements of IMT-2020 FMC described in [ITU-T Y.3131] and with some additional aspects to fulfil the service requirements of enhanced FMC to support an IMT-2020 based SD-WAN service. + +#### **8.2.1 Global orchestration and management** + +Enhanced FMC is required to provide a global orchestration and management platform to support the following requirements: + +- Enhanced FMC is required to provide management functionality and global view concerning an end-to-end SD-WAN service by coordinating multidomain network resources, establishing end-to-end connection of the connected nodes in different networks and selecting the most appropriate access link for the SD-WAN service based on link capability, link status, user attributes and service requirements. +- Enhanced FMC is required to perform operations such as creation, retrieval, updating or deletion of end-to-end connections in different networks. +- Enhanced FMC is required to enable administrator and customers to manage the SD-WAN service by configuring the enhanced FMC network in real-time based on service requirements, such as adjusting bandwidth, changing traffic flow direction and analysing traffic information. + +#### **8.2.2 Bandwidth control** + +The requirements of bandwidth control of enhanced FMC to support an IMT-2020 based SD-WAN service include the following: + +- Enhanced FMC is required to ensure ultrabroad bandwidth utilization for services which require high data rate for simultaneous traffic streams on dual-links. + +- Enhanced FMC is required to enable the SD-WAN node to identify and process the received data flows, including performing operations such as traffic mirroring, traffic combination and/or redivision, and scheduling packets based on service requirements to improve performance. +- Enhanced FMC is required to support high mobile access bandwidth and achieve low mobile access delay by adoption of various advanced IMT-2020 technologies. +- Enhanced FMC is required to provide wide-area coverage capability supporting mobile large-scale connection. + +#### **8.2.3 QoS control** + +QoS control for enhanced FMC is aligned with the requirements of QoS control identified in [ITU-T Y.3131], in particular with the following additional requirements: + +- Enhanced FMC is required to support multiple QoS control mechanism including refined QoS level design, diff-serv based QoS scheduling, end-to-end congestion control and traffic shaping, unified QoS interpretation and control architecture, to fulfil different requests of customer services based on the characteristic of these services. +- Enhanced FMC is required to support application identification and intelligent traffic scheduling to improve service performance or attain application acceleration. +- Enhanced FMC is required to enable end-to-end network coordination and improve service communication experience in terms of delay, packet loss rate and jitter by end-to-end network QoS mapping. +- Enhanced FMC is required to map differentiated service scheduling requirements to network performance requirements and implement end-to-end traffic scheduling. +- Enhanced FMC is required to ensure an agile fixed link and mobile link backup mechanism to guarantee the end-to-end connection reliability. +- Enhanced FMC is required to provide a slice identification management method applied to the core network side. When receiving the session connection request sent by the SD-WAN terminal and the session connection request includes its application ID, enhanced FMC is required to find the target slice ID matching the application ID according to the pre-set application slice identification table. Then the destination slice ID is determined according to the relationship between the target slice ID and the default slice ID signed by the terminal, so that the service is carried in the transmission channel of the destination slice ID in order to achieve differentiated QoS control. + +#### **8.2.4 Security enhancements** + +To enhance end-to-end security for enhanced FMC to support an IMT-2020 based SD-WAN service, requirements for security enhancements include the following: + +- Enhanced FMC is required to support end-to-end service logic isolation and different isolation technologies, including network slicing, APN/DNN isolation and various virtual tunnel technologies. +- Enhanced FMC is required to ensure service access security by using various network security policies to protect user service data streams from malicious attacks. + +## 9 Architecture of enhanced FMC to support an IMT-2020 based SD-WAN service + +### 9.1 Functional architecture of enhanced FMC + +![Figure 9-1: Enhanced fixed mobile convergence (FMC) architecture to support an SD-WAN service. The diagram shows a functional architecture with three main components: Management and orchestration, UNIC-CP, and UNIC-UP. Management and orchestration connects to UNIC-CP via Umo. UNIC-CP contains Common functionalities (Authentication and authorization, Address allocation, Charging, Policy, Lawful interception, Mobility management, Session management, Capability exposure, End-to-end connectivity management) and dedicated functionalities for Cellular (MM, SM, QoS), WLAN (QoS), and Fixed BB (QoS). UNIC-CP connects to UNIC-UP via Uc. UNIC-UP contains User planes for 5G, 4G, WLAN, and fixed BB. A Service chain (Firewall, DPI, WAN acceleration, ...) connects to UNIC-UP via Ud. Converged user data is shown as a database connected to UNIC-CP via Ud. A legend indicates that orange boxes represent enhanced parts. Reference Y.3139(22) is noted.](724c7777b608e53be38b12b6fb3c43bc_img.jpg) + +The diagram illustrates the functional architecture of enhanced FMC. It is divided into three main sections: Management and orchestration, UNIC-CP, and UNIC-UP. Management and orchestration is connected to UNIC-CP via the Umo interface. UNIC-CP is further divided into Common functionalities (Authentication and authorization, Address allocation, Charging, Policy, Lawful interception, Mobility management, Session management, Capability exposure, End-to-end connectivity management) and dedicated functionalities for Cellular (MM, SM, QoS), WLAN (QoS), and Fixed BB (QoS). UNIC-CP is connected to UNIC-UP via the Uc interface. UNIC-UP contains User planes for 5G, 4G, WLAN, and fixed BB. A Service chain (Firewall, DPI, WAN acceleration, ...) is connected to UNIC-UP via the Ud interface. Converged user data is shown as a database connected to UNIC-CP via the Ud interface. A legend indicates that orange boxes represent enhanced parts. Reference Y.3139(22) is noted. + +Figure 9-1: Enhanced fixed mobile convergence (FMC) architecture to support an SD-WAN service. The diagram shows a functional architecture with three main components: Management and orchestration, UNIC-CP, and UNIC-UP. Management and orchestration connects to UNIC-CP via Umo. UNIC-CP contains Common functionalities (Authentication and authorization, Address allocation, Charging, Policy, Lawful interception, Mobility management, Session management, Capability exposure, End-to-end connectivity management) and dedicated functionalities for Cellular (MM, SM, QoS), WLAN (QoS), and Fixed BB (QoS). UNIC-CP connects to UNIC-UP via Uc. UNIC-UP contains User planes for 5G, 4G, WLAN, and fixed BB. A Service chain (Firewall, DPI, WAN acceleration, ...) connects to UNIC-UP via Ud. Converged user data is shown as a database connected to UNIC-CP via Ud. A legend indicates that orange boxes represent enhanced parts. Reference Y.3139(22) is noted. + +**Figure 9-1 – Enhanced fixed mobile convergence (FMC) architecture to support an SD-WAN service** + +To support an IMT-2020 based SD-WAN service, some functions are added or enhanced to enhanced FMC compared with the common functionalities of FMC. The enhanced functions are described as follows. + +#### 1) UNIC-CP + +In order to support an SD-WAN service, the following functionalities are required to be extended in UNIC-CP component: + +The end-to-end connectivity management functionality is required to be supported in the architecture of enhanced FMC. The end-to-end connection needs to be managed by this functionality, and could involve SD-WAN topology management, SD-WAN connection management, SD-WAN service performance management, SD-WAN service traffic monitoring or alarm monitoring. The end-to-end connectivity management functionality also supports slice ID management which is used to store the mapping relationship between the application ID and slice ID of the SD-WAN terminal service. The functionality of slice ID management supports receiving the session connection request sent by the SD-WAN terminal, while the session connection request includes the application ID of the terminal service. It also includes a matching module for finding the target slice ID matching the application ID according to the pre-set application slice identification table, and a determination module for determining the destination slice ID according to the relationship between the target slice ID and the default slice ID signed by the terminal, so that the terminal service is carried in the transmission channel corresponding to the destination slice ID. + +The session management functionality is required to be enhanced to support an SD-WAN service. For example, PDU session management needs to support SD-WAN tunnel (such as generic routing encapsulation (GRE), Layer2 tunnelling protocol (L2TP), Virtual extensible local area network (VxLAN)) detection, selection and configuration of traffic steering as user plane function also needs to support an SD-WAN tunnel. + +Policy functionality is required to support the SD-WAN service, such as a different network selection policy, and an SD-WAN service steering policy and splitting policy, to provide a unified policy for end users. + +A charging functionality is required to support an SD-WAN service based on different SD-WAN service policy and real-time cost. + +Address allocation functionality needs to provide unified address allocation for end users irrespective of whether a fixed network, mobile network or even a network from different operators is involved; this is possible with an SD-WAN service. + +A capability exposure functionality needs to include an SD-WAN service in network capability exposure, such as QoS control, network slice control and network status of SD-WAN service. + +#### 2) UNIC-UP + +As an SD-WAN service is based on network tunnel technologies, the user plane for fixed broadband is taken to be the responsibility of an SD-WAN service as part of its user plane and the UNIC-UP is required to support tunnel technologies used in an SD-WAN service. + +#### 3) Converged user data function + +Data from different enterprises need to be well saved and managed, to ensure the reliability, security and efficiency of the data. + +#### 4) Management and orchestration function + +As the network resources an SD-WAN service uses have some special features, such as network performance not being stable, costs are comparatively low, and the real-time network performance should be taken into consideration during network management, service management, user management and resource orchestration. + +#### 5) Service chain + +As an SD-WAN service is based on Internet access to an enterprise's internal network, network delay, jitter or packet loss may cause service to be affected or interrupted, so a WAN acceleration function is suggested to be introduced in the service chain part for a better service experience. The following functionalities are recommended to be introduced: + +- A DPI functionality, which is used to detect the packet feature, not only on the IP layer, but also on the transmission control protocol (TCP) / user datagram protocol (UDP) layer, even on the application layer, to be aware of the service types. +- An intelligent service analysis functionality, which is used to analyse the service types, features and network requirements for further processing. +- A TCP acceleration functionality, which is used to control TCP performance through network congestion status detection and optimize the algorithm or parameters on the TCP layer. +- A UDP acceleration functionality, which is used to control UDP performance through network congestion status detection and optimize the algorithm or parameters on the UDP layer. +- An application layer acceleration functionality, which is used to decrease the service affection due to network layer problems, by adoption of application layer packet loss compensation technology. + +### 9.2 Reference points of enhanced FMC + +This clause describes enhanced FMC related reference points. + +#### 1) Enhanced reference point Uc + +As an SD-WAN service is possibly based on an unpredictable network, end-to-end connectivity management and real-time network performance monitoring are required to be enhanced via reference point Uc. + +#### 2) Enhanced reference point Ud + +Enhanced reference point Ud exists between UNIC-CP and converged user data. The enhanced functionalities such as the end-to-end connectivity management function can use this enhanced reference point to accomplish user authentication and authorization, user data downloading and updating, user information query, user data restoration, desensitized user data exposure, etc. + +#### 3) Enhanced reference point Umo + +SD-WAN service resources, SD-WAN service connectivity status and SD-WAN service performance are required to be exchanged in the process of network management, service management, user management and resource orchestration via reference point Umo. + +# **10 Security considerations** + +Enhanced FMC to support IMT-2020 SD-WAN service should take into account the issues of security and privacy, and the security and privacy concerns in this Recommendation should be aligned with the requirements specified in [ITU-T Y.3130] and [ITU-T Y.3131]. + +## Bibliography + +- [b-ITU-T Q.1762] Recommendation ITU-T Q.1762/Y.2802 (2007), *Fixed-mobile convergence general requirements*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation 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+Future networks + +--- + +### **Service brokering network framework for trusted reality** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## **FUTURE NETWORKS** **Y.3000–Y.3499** + +### CLOUD COMPUTING Y.3500–Y.3599 + +### BIG DATA Y.3600–Y.3799 + +### QUANTUM KEY DISTRIBUTION NETWORKS Y.3800–Y.3999 + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3140 + +# Service brokering network framework for trusted reality + +## Summary + +Recommendation ITU-T Y.3140 describes a service brokering network framework for trusted reality featuring application-aware brokering capabilities in terms of context, data and computation. The service brokering network framework for trusted reality aims to deliver a customized immersive application service experience with real-time communication and recognition of knowledge and information in a safe and convenient way for anyone throughout the automated connection of the real and cyber worlds. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3140 | 2023-03-13 | 13 | 11.1002/1000/15236 | + +## Keywords + +Edge computing, service brokering, trusted reality. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References ..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation ..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview of service brokering network framework for trusted reality ..... | 2 | +| 6.1 Backgrounds and features ..... | 2 | +| 6.2 Concepts and design considerations ..... | 4 | +| 6.3 Service scenarios ..... | 5 | +| 7 Requirements of service brokering network framework for trusted reality ..... | 6 | +| 7.1 Orchestration for immersive application ..... | 6 | +| 7.2 Resource optimization for access and edge network ..... | 6 | +| 7.3 Access-edge based real-cyber interworking ..... | 6 | +| 8 Functional architecture of service brokering network framework for trusted reality ... | 7 | +| 8.1 Layers ..... | 7 | +| 8.2 Planes ..... | 7 | +| 8.3 Functional blocks ..... | 8 | +| 8.4 Reference points ..... | 8 | +| 9 Procedures for service brokering network framework for trusted reality ..... | 9 | +| 9.1 Procedures for location-based service placement ..... | 9 | +| 9.2 Procedures for event-based context brokering service ..... | 10 | +| 9.3 Procedures for traffic data brokering service ..... | 11 | +| 9.4 Procedures for compute brokering service ..... | 12 | +| 10 Security considerations ..... | 13 | +| Bibliography ..... | 14 | + + + +# Recommendation ITU-T Y.3140 + +## Service brokering network framework for trusted reality + +## 1 Scope + +The service brokering network framework for trusted reality provides application-aware brokering capabilities in terms of context, data and computation to deliver a customized immersive application service experience. It allows end users to communicate and recognize knowledge and information in a safe and convenient way throughout the automated connection of the real and cyber world. + +This draft Recommendation describes the following aspects of the service brokering network framework for trusted reality: + +- Background and features; +- Concepts and design considerations; +- Service scenarios; +- Requirements; +- Architecture; +- Procedures; +- Security considerations. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3130] Recommendation ITU-T Y.3130 (2018), *Requirements of IMT-2020 fixed mobile convergence*. + +[ITU-T Y.3131] Recommendation ITU-T Y.3131 (2019), *Functional architecture for supporting fixed mobile convergence in IMT-2020 networks*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 mobility management** [b-ITU-T Q.1706]: The set of functions used to provide mobility. These functions include authentication, authorization, location updating, paging, download of user information and more. + +**3.1.2 network service** [b-ETSI GS NFV 003]: Composition of network functions, defined by its functional and behavioural specification. + +NOTE – The network service contributes to the behaviour of the higher layer service, which is characterized by at least performance, dependability, and security specifications. The end-to-end network service behaviour is the result of the combination of the individual network function behaviours as well as the behaviours of the network infrastructure composition mechanism. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 service brokering network:** The network with application-aware service brokering capabilities in terms of context, data and computation to realize the trusted reality. + +**3.2.2 trusted reality:** A customized immersive application service experience with real-time communication and recognition of knowledge and information in a safe and convenient way for anyone throughout the automated connection of the real and cyber world. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|-----------------------------| +| AB | Application Broker | +| AI | Artificial Intelligence | +| D2D | Device to Device | +| EB | Edge Broker | +| EM | Edge Manager | +| IoT | Internet of Things | +| MAR | Mobile Augmented Reality | +| MCC | Mobile Cloud Computing | +| MEC | Mobile Edge Computing | +| PE | Physical Entities | +| QoE | Quality of Experience | +| SBN | Service Brokering Networks | +| SM | Service Manager | +| TR | Trusted Reality | +| URI | Uniform Resource Identifier | +| VE | Virtual Entities | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +## 6 Overview of service brokering network framework for trusted reality + +### 6.1 Backgrounds and features + +The future of mobile service is increasingly gaining traction with wearables as post-smartphones, especially as immersive applications such as mobile augmented reality solutions which are expected to hit the market. Mobile augmented reality (MAR) augments a real-world environment with computer-generated sensory information such as text, sound, and graphics. With advanced MAR + +technologies, the information about a person's surrounding physical environment can be brought out of the digital world and overlaid with the person's perceived real world. MAR will be widely adopted in various industries such as tourism, entertainment, advertisement, education, manufacturing and so on. + +Mobile edge computing (MEC) is a new networking paradigm in which computing nodes are placed in close proximity to mobile devices for highly responsive cloud services. Leveraging MEC, cloud-based MAR systems can further improve their responsiveness and potentially enable large-scale services. However, it is not trivial to push cloud servers to the edge of the network because edge servers are usually less powerful than cloud servers. + +The Internet of things (IoT) is another paradigm that connects a plethora of physical objects to the Internet and enables them to make intelligent decisions. However, the centralization of cloud computing and the growing traffic demands of IoT may result in huge bottlenecks degrading the network performance. Edge computing architectures could potentially overcome the drawbacks of this approach, moving service provisioning closer to the network edge. + +But we need a holistic approach to improve the robustness of edge computing architectures for IoT to face the dynamic characteristics of wireless network traffic, which bring intermittent connectivity with objects and consequently degrade data quality. Furthermore, in the process of moving service provisioning toward the edge, mobile devices keep advancing technologically and getting smarter with regard to communication and computing capabilities. However, these capabilities have not been fully explored yet in the IoT context. + +Accordingly, the service brokering network (SBN) framework for trusted reality has key technical features that should be considered as follows. + +- At the heart of future mobile services is the trust principle where privacy and security for confidential information should be guaranteed thoroughly. +- Next-generation smartphones should be able to respond intuitively, especially from the perspective of viewers. This intuitive feature specializes in services of the post smartphones era from the end user's perspective. +- With the influx of videos, games, and applications day after day, one cannot afford to install and execute those content in a passive manner that was done before for conventional smartphones. A highly efficient way to provide exact service to the end users with limited resources around them is needed. +- Post smartphones should go along with the social trends that feature sharing and openness to allow tailored service offering with disparate types of devices, clients and contexts. Especially preferences of individual customers as well as their environments such as things and devices should be considered. + +### 6.2 Concepts and design considerations + +![Conceptual diagram of SBN-TR showing the architecture of Trusted Reality across Cloud, Edge, and IoT layers, connecting the Cyber world and Physical world.](f4fdd410cdb84df81274da55721e56fb_img.jpg) + +The diagram illustrates the SBN-TR architecture, showing the flow of data and services between the Cyber world and the Physical world. + +- Trusted reality** (top): A gray box containing the text: "Customized immersive application service experience with real-time communication and recognition of knowledge and information in a safe and convenient way for anyone throughout the automated connection of physical and cyber world". +- Cloud computing**: A green box labeled "Application server" containing three server icons. It is connected to the "The Internet" cloud. +- Edge computing**: A blue box containing three service brokers: "Context broker", "Data broker", and "Compute broker". It is connected to the "IoT/devices" layer. +- IoT/devices**: A yellow box labeled "Things" containing several device icons. It is connected to the "Users" layer. +- Users**: Four human icons at the bottom. +- Cyber world**: A vertical double-headed arrow on the right side, spanning from the "Application server" layer down to the "Edge computing" layer. +- Physical world**: A vertical double-headed arrow on the right side, spanning from the "Edge computing" layer down to the "Users" layer. +- Service brokering**: A red label next to an image of a person wearing AR glasses, labeled "Immersive application". +- Y.3140(23)**: A reference code at the bottom right. + +Conceptual diagram of SBN-TR showing the architecture of Trusted Reality across Cloud, Edge, and IoT layers, connecting the Cyber world and Physical world. + +**Figure 6-1 – Conceptual diagram of SBN-TR** + +As introduced, the service brokering network for trusted reality (TR) encompasses IoT and MAR applications in the context of trusted reality as shown in Figure 6-1. + +Trusted reality is defined as a customized immersive application service experience with real-time communication and recognition of knowledge and information in a safe and convenient way for anyone throughout the automated connection of the real and cyber world. + +Trusted reality is distinguished by its real-time customized immersive experiences offered with automated real-cyber interconnection based on trust features such as safety and convenience compared to augmented reality which is defined as an interactive experience of a real-world environment where the objects that reside in the real world are "augmented" by computer-generated perceptual information, sometimes across multiple sensory modalities. + +There are three service brokering functions to realize trusted reality. Firstly, context brokering refers to the provision of customized services according to the situation of three elements: things, devices, and network elements based on their conditions and predefined rules. It is necessary to provide services based on personal tendencies or profiles and to provide application services linking information from IoT devices such as sensor data. + +Data brokering provides the necessary services by dynamically linking the actual data such as the video stream that comes from the above three elements to the one that needs them. Data can be compressed and optimized between layers through filters. It is used relatively in applications for processing a large amount of stream information compared to context brokering. + +Compute brokering is used for offloading, device to device (D2D) collaboration, and inter-layer collaboration of edges. This can be an intelligent collaboration based on artificial intelligence (AI) or + +the collaborative use of the computing power of things or devices and the device power of the network layer. + +### 6.3 Service scenarios + +![Figure 6-2: Service scenarios of SBN-TR operations. The diagram illustrates a service brokering architecture. At the top, 'Applications' and 'Policy' boxes lead to a 'Brokering rule' box. Below this is a large 'Service brokering' block containing three horizontal process flows: 1) Event (Analysis -> Context rule -> Action), 2) Data (Classification -> Traffic rule -> Forwarding), and 3) Service request (Discovery -> Deployment rule -> Delivery). A dashed box encloses the 'Context rule', 'Traffic rule', and 'Deployment rule' components. On the left, a group of 'PEs' (Physical Entities) and 'VEs' (Virtual Entities) sends 'Event', 'Data', and 'Service request' to the 'Service brokering' block. On the right, the 'Service brokering' block sends 'Event command', 'Data', and 'Service response' to another group of 'PEs' and 'VEs'. The 'VEs' are represented by icons: a function symbol (f), information (i), and a task symbol (T). The 'PEs' are represented by icons: a sensor, a heart, glasses, a person, and a camera. The diagram is labeled 'Y.3140(23)' at the bottom right.](e9314c83043183351ed74908e9bf2f90_img.jpg) + +Figure 6-2: Service scenarios of SBN-TR operations. The diagram illustrates a service brokering architecture. At the top, 'Applications' and 'Policy' boxes lead to a 'Brokering rule' box. Below this is a large 'Service brokering' block containing three horizontal process flows: 1) Event (Analysis -> Context rule -> Action), 2) Data (Classification -> Traffic rule -> Forwarding), and 3) Service request (Discovery -> Deployment rule -> Delivery). A dashed box encloses the 'Context rule', 'Traffic rule', and 'Deployment rule' components. On the left, a group of 'PEs' (Physical Entities) and 'VEs' (Virtual Entities) sends 'Event', 'Data', and 'Service request' to the 'Service brokering' block. On the right, the 'Service brokering' block sends 'Event command', 'Data', and 'Service response' to another group of 'PEs' and 'VEs'. The 'VEs' are represented by icons: a function symbol (f), information (i), and a task symbol (T). The 'PEs' are represented by icons: a sensor, a heart, glasses, a person, and a camera. The diagram is labeled 'Y.3140(23)' at the bottom right. + +**Figure 6-2 – Service scenarios of SBN-TR operations** + +Figure 6-2 illustrates service brokering services to create new applications by connecting physical and virtual entities. + +The service brokering networks – trusted reality (SBN-TR) service brokering supports the interaction in and between physical space and virtual space. The physical space represents a real world consisting of physical entities (PEs) such as sensors and devices while the virtual space in the cyber world has disparate types of virtual entities (VEs) including functions, applications, information, etc. + +Context brokering follows the context rules based on the policy of the application service. This means that event information from the physical or virtual entities can be communicated to other entities or controlled by the context rules according to the policy of applications. For example, when event data come from multiple functional sensors, the context broker applies the corresponding rules on the received data and conducts available actions: delivery of sensor data to virtual or physical entities or replying with the corresponding command such as control of the other sensors. + +Data brokering follows the traffic rules based on the policies of the application services and serves to receive data traffic from the physical-virtual entities and transfer it to other entities as needed. The representative use case of data brokering service is streaming data interconnection. Video streaming from a camera could be transferred to the designated display or devices or virtual entities such as face recognition or object recognition for AI services. Data brokering service gives another use case that multiple virtual entities could be chained for single streaming data as well. + +Compute brokering receives service requests from real-virtual entities, discovers the service, and routes the service request to the destination by the deployment rules based on the policies of the application services. Compute brokering is mostly used for service offloading from the devices to the networks because devices would not be able to desirably perform due to insufficient computing resources available. Another use case of compute brokering is the customized service for users who + +are challenged in recognition such as intellectual, visual and hearing. Compute brokering enables providing appropriate services for them followed by the recognition and identification process. + +## **7 Requirements of service brokering network framework for trusted reality** + +### **7.1 Orchestration for immersive application** + +SBN-TR has the following requirements to provide the user with the microservice-based cognitive functions required for the immersive application services in an optimal location close to the user based on policy. The scope of orchestration in this context covers the discovery, deployment and execution of functions to deliver immersive services to the users. + +- SBN-TR is required to support the deployment and execution of the required application services based on the user's location and the response time of the application service. +- SBN-TR is required to provide the necessary application service functions to augment the cognition required by the user based on the user's profile. +- SBN-TR is required to support the deployment and execution of the required application services based on intuitive information, such as the viewpoint of the end users on wearables. +- SBN-TR is recommended to deliver application services both in a proactive manner according to predefined service specifications and in a reactive manner provided on-the-fly, depending on the event. + +### **7.2 Resource optimization for access and edge network** + +For the optimization of application services over access and edge networks, SBN-TR has the following requirements to deploy and execute micro-services, considering the available resources of access and edge networks. + +- SBN-TR is required to support monitoring the quality of the deployed and running applications and the health of the infrastructure resources. +- SBN-TR is required to support service rearrangement and reconfiguration based on the monitoring information. +- SBN-TR is required to support the distribution of the microservices, the unit functions that make up the application, across access, edges, cores, and clouds, considering the computing load distribution of the user equipment. +- SBN-TR is required to support network load balancing by utilizing the network status of user devices, access, and edges to provide the desired quality of service. + +### **7.3 Access-edge based real-cyber interworking** + +For real-cyber interworking application services, SBN-TR has the following requirements to collect information to control and interconnect physical and virtual objects based on the viewpoint of users. + +- SBN-TR is required to support the identification of nearby physical objects based on visual images through user devices. +- SBN-TR is required to support the collection of information on the identified physical objects including properties and control interfaces. +- SBN-TR is required to support discovering a correlation between identified physical objects and other objects. +- SBN-TR is required to support establishing a data network between objects involved in the application based on context rules. +- SBN-TR is required to support establishing a control network between objects involved in the application based on context rules. + +## 8 Functional architecture of service brokering network framework for trusted reality + +This clause identifies functional architecture for service brokering network framework for trusted reality. SBN-TR is located between the real world and the cyber world and plays a role of connecting and interworking them through context-based relaying of various data and events as illustrated in Figure 8-1. + +The framework architecture of SBN-TR could be described in terms of layers, planes, and constituent functional blocks. There are two hierarchical layers and two independent planes with four functional blocks which extended across both layers and planes. + +![Figure 8-1: Functional architecture of SBN-TR. The diagram shows a multi-layered architecture. At the top is 'Applications'. Below it is the 'Application plane' (dashed orange line). The 'Core layer' (dashed blue line) contains the 'SBN-TR application broker' (yellow box) with sub-blocks: Monitoring, Analytics, Exposure, Collection, Authentication, and Policy. To the right is the 'Management plane' (dashed green line) containing the 'SBN-TR service manager' (green box) with a 'Service orchestrator' block. Below the Core layer is the 'Edge layer' (dashed blue line) containing the 'SBN-TR edge broker' (yellow box) with sub-blocks: Rules engine, Virtual entities (three), Context broker, Data broker, and Compute broker. To the right is the 'SBN-TR edge manager' (green box) with 'Micro-service manager' and 'Infrastructure manager' blocks. At the bottom is 'Physical entities'. Vertical dashed lines connect the layers and planes. A reference 'Y.3140(23)' is at the bottom right.](ff0952ef692c9d960ce5f6708bcc9711_img.jpg) + +Y.3140(23) + +Figure 8-1: Functional architecture of SBN-TR. The diagram shows a multi-layered architecture. At the top is 'Applications'. Below it is the 'Application plane' (dashed orange line). The 'Core layer' (dashed blue line) contains the 'SBN-TR application broker' (yellow box) with sub-blocks: Monitoring, Analytics, Exposure, Collection, Authentication, and Policy. To the right is the 'Management plane' (dashed green line) containing the 'SBN-TR service manager' (green box) with a 'Service orchestrator' block. Below the Core layer is the 'Edge layer' (dashed blue line) containing the 'SBN-TR edge broker' (yellow box) with sub-blocks: Rules engine, Virtual entities (three), Context broker, Data broker, and Compute broker. To the right is the 'SBN-TR edge manager' (green box) with 'Micro-service manager' and 'Infrastructure manager' blocks. At the bottom is 'Physical entities'. Vertical dashed lines connect the layers and planes. A reference 'Y.3140(23)' is at the bottom right. + +**Figure 8-1 – Functional architecture of SBN-TR** + +### 8.1 Layers + +SBN-TR edge layer consists of a distributed edge node as a point of presence of network service which can take advantage of proximity to provide service at the location close to the user. SBN-TR edge layer can be configured hierarchically, and each layer is optimized for virtualization-based microservices under the consideration of the characteristics of the service. + +The SBN-TR core layer oversees the distributed SBN-TR edge nodes to provide network service across the edge network. It also has a role of integration and management of the network service from a point of global view by gathering data from each node involved in network service instances. Integrated data for network service includes operational and management data while network service is up and running for end users. + +### 8.2 Planes + +Management plane is to facilitate optimal networking and workload orchestration for underlying SBN-TR infrastructure and covers ranging from provider's network management to virtual resource management to lifecycle management of each network service instance. By the request of the application, the management plane sets up the network service instance across the SBN-TR edge nodes and performs orchestration and management of the created network service instances by the administrative policy. + +The application plane is to facilitate secure and manageable interoperability between the application-level interfaces and value-add SBN-TR applications. It works more on the application endpoint. Events that occur while the application service is running are collected at the edge layer and gathered at the core layer to determine the next operation or command to the internal or external entities by the application policy. + +### **8.3 Functional blocks** + +SBN-TR service manager (SM) functional block, residing at the core layer and belonging to the management plane, is a virtual service management functional block that models virtual services and manages the lifecycle using real-time resource and policy information. Technically it has a feature set of closed-loop virtual service modelling, microservice-based viewpoint networking, cyber-physical system management, and virtual service mobility management technologies. + +SBN-TR edge manager (EM) functional block in the edge layer as a component of the management plane is an infrastructure management functional block that creates a virtual network between various virtual objects based on glasses, point of view objects, and augmentation function virtualization, and manages the virtual infrastructure resources. It has technical requirements of dynamic infrastructure virtualization based on viewpoint networking, real-time monitoring over virtual entities and tenant management of the virtual group. + +SBN-TR application broker (AB) functional block working at the core layer as a component of the application plane has a role of an application level operational management, policy-based application enablement, and real-time control over application service. It has a set of functions including user profile management, authentication and service profile management, and active policy enforcement based on data gathering from the edge layer. + +SBN-TR edge broker (EB) functional block is for physical and virtual entities created correspondingly and manages the transfer and exchange of information according to the type of service to be provided in the edge layer on the application plane. Its main role is brokering between entities involved in the specific network service instance by tracking the context of entities from incoming events defined previously in clause 8.2. + +### **8.4 Reference points** + +Reference points are a way to identify peer-to-peer relationships between functional blocks. Descriptions of the interfaces provide a deeper understanding of how capabilities provided by a producer functional block are exposed to other consumer functional blocks [b-ETSI GS NFV 006]. + +There are six reference points in the architecture of the service brokering network framework for trusted reality as listed in the following: + +#### **8.4.1 AB-EB reference point** + +The reference point is used for message exchanges between the application broker and the edge broker to support the following interfaces. + +- Interfaces for service authentication for the users to access the SBN-TR edge node. +- Interfaces for service discovery to support the delivery of the required services by the users. +- Interfaces for service policy and rule query for the edge node to provide designated service operations. +- Interfaces for information delivery to send the event and data to the edge node where the identification and detection process is running. + +#### **8.4.2 SM-EM reference point** + +The reference point is used for message exchanges between the service manager and the edge manager to support the following interfaces. + +- Interfaces for resource management of the edge nodes distributed in the network. +- Interfaces for VE placement management on the edge nodes. +- Interfaces for VE lifecycle management on the edge nodes. +- Interfaces for the link and network management of the network service composed of multiple VEs. + +#### **8.4.3 EB-PE reference point** + +The reference point is used for information exchanges between the edge broker and the physical entities to support the following interfaces. + +- Interfaces for data from PEs to EB. +- Interfaces for command from EB to PEs. + +Data from PEs refers to the data generated from the PEs including sensor data, streaming data, or control data such as an HTTP request. + +#### **8.4.4 AB-SM reference point** + +The reference point is used for message exchanges between the application broker and the service manager to support the following interfaces. + +- Interfaces for application-level service deployment. +- Interfaces for application policy and rollout options. +- Interfaces for service monitoring information such as fault, alarm and status. + +#### **8.4.5 EB-EM reference point** + +The reference point is used for message exchanges between the edge broker and the edge manager to support the following interfaces. + +- Interfaces for VE and the broker instantiation. +- Interfaces for VE and the broker instance management including query, update, scaling and termination. +- Interfaces for VE, broker configuration and event notification. + +#### **8.4.6 App-AB reference point** + +The reference point is used for information exchanges between the application and the application broker to support the following interfaces. + +- Interfaces for application deployment request and response. +- Interfaces for application policy and brokering rule enforcement. +- Interfaces for application configuration and event notification. + +# **9 Procedures for service brokering network framework for trusted reality** + +This clause describes representative high-level procedures for the service brokering network framework for trusted reality to clarify how the function blocks work with each other through the defined interfaces in the architecture. + +### **9.1 Procedures for location-based service placement** + +According to the requirements of service brokering networks – trusted reality (SBN-TR), it is required to support the deployment and execution of the application services based on the user's location considering the response time of the application service. To place the service near the user optimally, SBN-SM should collect and record the information of every edge node in advance. Authentication and authorization processes during the login procedure enable the service to be placed near the + +location of the users. The following figure describes the procedure for location-based SBN-TR services placement. + +- 1) SBN-SM requests information about the edge node information to SBN-EM. The edge node information should include location-related information to deploy the VEs. +- 2) SBN-SM saves the edge node information received. +- 3) The user logs in to start the service. The user authentication information such as password, biometric, or computer recognition information is delivered to the SBN-AB. +- 4) SBN-AB performs user authentication with the login information received. +- 5) After successful user authentication, SBN-AB sends a service provisioning request to the SBN-SM with information on services that are supposed to provide for the corresponding user. +- 6) SBN-SM queries the service repository about service information which includes service metadata, service deployment options and specification. +- 7) SBN-SM prepares to start the service instance using the acquired service-related information such as VEs and the virtual link information. +- 8) SBN-SM determines the edge nodes and the SBN-EM based on the location information and sends a service instantiation message to the SBN-EM. +- 9) SBN-EM applies VE and virtual links to the virtual infrastructure of the corresponding edge nodes. +- 10) SBN-EM replies to the result of the service instantiation request with the details of the service instance. + +![Sequence diagram illustrating the procedures for location-based service. The diagram shows interactions between User, SBN-AB, SBN-SM, SBN-EM, and Repository. The process starts with a User login (3) to SBN-AB, followed by authentication (4) and service provisioning (5). SBN-AB then sends a service provisioning request to SBN-SM (6). SBN-SM queries the Repository (6) for service information and receives a response (7). SBN-SM then sends a service start request to SBN-EM (8). SBN-EM starts the service (9) and sends a service status response to SBN-SM (10). Finally, SBN-SM sends a login result (service list) back to the User. The diagram is labeled Y.3140(23) at the bottom right.](0f985b39edc1d52ba3600c438bc8f0a5_img.jpg) + +``` + +sequenceDiagram + participant User + participant SBN-AB + participant SBN-SM + participant SBN-EM + participant Repository + + Note over SBN-SM, SBN-EM: 1. Node Info. request + SBN-SM->>SBN-EM: 1. Node Info. request + Note over SBN-EM, SBN-SM: Node Info. response (Edge node Info.) + SBN-EM-->>SBN-SM: Node Info. response (Edge node Info.) + Note over SBN-SM: 2. Save edge node Info. + Note over User: 3. Login + User->>SBN-AB: Login Info. + Note over SBN-AB: 4. User authentication + Note over SBN-AB: 5. Service list for user + SBN-AB->>SBN-SM: Service provisioning request + Note over SBN-SM, Repository: 6. Service Info. request + SBN-SM->>Repository: 6. Service Info. request + Note over Repository, SBN-SM: Service Info. response (Service/VE/Vlink Descriptor) + Repository-->>SBN-SM: Service Info. response (Service/VE/Vlink Descriptor) + Note over SBN-SM: 7. Save service/VE/Vlink Info. + Note over SBN-SM: 8. Select SBN-Edge + SBN-SM->>SBN-EM: Service start request + Note over SBN-EM: 9. VE/Vlink start + SBN-EM->>SBN-SM: 10. Service status response + Note over SBN-SM: Service status response + SBN-SM-->>User: Login result (Service list) + +``` + +Y.3140(23) + +Sequence diagram illustrating the procedures for location-based service. The diagram shows interactions between User, SBN-AB, SBN-SM, SBN-EM, and Repository. The process starts with a User login (3) to SBN-AB, followed by authentication (4) and service provisioning (5). SBN-AB then sends a service provisioning request to SBN-SM (6). SBN-SM queries the Repository (6) for service information and receives a response (7). SBN-SM then sends a service start request to SBN-EM (8). SBN-EM starts the service (9) and sends a service status response to SBN-SM (10). Finally, SBN-SM sends a login result (service list) back to the User. The diagram is labeled Y.3140(23) at the bottom right. + +**Figure 9-1 – Procedures for location-based service** + +### 9.2 Procedures for event-based context brokering service + +Event-based context brokering service premises to gather reachable context data from the registered objects and identify defined events to apply actions by context rules. The following figure describes the overall context brokering services in the SBN-TR framework. + +- 1) Define events and context brokering rules in SBN-AB. + +- 2) SBN-AB sends events and context brokering rules to SBN-EB #1 where events and rules over occurred events are applied. +- 3) SBN-EB #1 monitors data from the physical and virtual objects (Object #1) to check whether the received data value falls within the range defined by the events. +- 4) Brokering rule is applied to perform the subsequent action defined according to the event identified. +- 5) In the case of local brokering, SBN-EB #1 takes actions defined in the rule such as the delivery of the event data to other objects (Object #2) or control the objects in the local domain. +- 6) If the detected event has global significance, the event is delivered to SBN-AB for interaction with other SBN-EB #1. +- 7) Transfer the event to another SBN-EB #2 to take actions defined in the rule such as the delivery of the event data to other objects or control the objects. + +![Sequence diagram illustrating the procedures for event-based dynamic context brokering service. The diagram shows interactions between Object #1, SBN-EB #1, SBN-AB, Object #2, and SBN-EB #2. The steps are: 1. Define event and context brokering rules (SBN-AB); 2. Apply event and context brokering rules (SBN-AB to SBN-EB #1); 3. Collect sensor data (Object #1 to SBN-EB #1); 4. Apply rules and conduct action defined (SBN-EB #1, branching into Local and Global); 5. Deliver data or control objects (SBN-EB #1 to Object #2); 6. Deliver event data (SBN-EB #1 to SBN-AB); 7. Event notification (SBN-AB to SBN-EB #2).](c85ded401105f62f2d6ff26b3b5eb4af_img.jpg) + +``` + +sequenceDiagram + participant O1 as Object #1 + participant S1 as SBN-EB #1 + participant S2 as SBN-AB + participant O2 as Object #2 + participant S3 as SBN-EB #2 + + S2->>S1: 2. Apply event and context brokering rules + S1->>S1: Save event in analysis module and context brokering rules into action module + O1->>S1: 3. Collect sensor data (Illuminance, temperature, humidity, etc.) + S1->>S1: Verify event condition in analysis module + S1->>S1: 4. Apply rules and conduct action defined + S1->>O2: 5. Deliver data or control objects + S1->>S2: 6. Deliver event data + S2->>S3: 7. Event notification + S2->>S2: Verify event condition in analysis module + +``` + +Y.3140(23) + +Sequence diagram illustrating the procedures for event-based dynamic context brokering service. The diagram shows interactions between Object #1, SBN-EB #1, SBN-AB, Object #2, and SBN-EB #2. The steps are: 1. Define event and context brokering rules (SBN-AB); 2. Apply event and context brokering rules (SBN-AB to SBN-EB #1); 3. Collect sensor data (Object #1 to SBN-EB #1); 4. Apply rules and conduct action defined (SBN-EB #1, branching into Local and Global); 5. Deliver data or control objects (SBN-EB #1 to Object #2); 6. Deliver event data (SBN-EB #1 to SBN-AB); 7. Event notification (SBN-AB to SBN-EB #2). + +**Figure 9-2 – Procedures for event-based dynamic context brokering service** + +### 9.3 Procedures for traffic data brokering service + +Traffic brokering service determines the traffic directions and conducts traffic steering between physical and virtual objects. One of the representative traffic brokering services is a service chaining service that traverses the traffic by a defined service forwarding graph. The following figure shows the service chaining procedure for a data brokering service in the SBN-TR. + +- 1) Applications request SBN-AB to register service chaining services by connecting VEs. +- 2) SBN-AB sends service provisioning request to SBN-SM with information on services as described in procedure 9.1. +- 3) During the deployment of the service, SBN-EM makes a virtual link based on the defined service chain. +- 4) After the deployment of service in virtual space, SBN-AB creates a forwarding graph for the service chain. +- 5) SBN-AB sends the forwarding information to SBN-EB. + +- 6) SBN-EB receives forwarding information from SBN-AB and creates connections between physical links and virtual links. +- 7) When service requests from the object (user) is sent, SBN-EB is the first component that receives a service request. +- 8) SBN-EB delivers request from the physical link to the mapped virtual link based on the data brokering rule (i.e., forwarding graph). +- 9) Connect service and response. + +![Sequence diagram showing the procedures for traffic data brokering service between Application, User, SBN-AB, SBN-SM, SBN-EM, and SBN-EB.](ff7ce44f3fdd51bae7b231f34df07c6a_img.jpg) + +``` + +sequenceDiagram + participant Application + participant User + participant SBN-AB + participant SBN-SM + participant SBN-EM + participant SBN-EB + + Application->>SBN-AB: 1. Register service + SBN-AB->>SBN-SM: 2. Service provisioning request + SBN-SM->>SBN-EM: Service start request + SBN-EM->>SBN-EB: 3. Set chaining link + SBN-AB->>SBN-EB: 5. Send forwarding information + SBN-AB->>SBN-EB: 4. Create forwarding graph + SBN-EB->>SBN-EB: 6. Create forwarding graph + User->>SBN-EB: 7. Service request + SBN-EB->>User: 8. Forward data + SBN-EB->>User: 9. Service response + +``` + +Y.3140(23) + +Sequence diagram showing the procedures for traffic data brokering service between Application, User, SBN-AB, SBN-SM, SBN-EM, and SBN-EB. + +**Figure 9-3 – Procedures for traffic data brokering service** + +### 9.4 Procedures for compute brokering service + +With the increasing number of intelligent applications (e.g., augmented reality and face recognition) that require much more computational power, there is a shift to perform computation offloading to the cloud, known as mobile cloud computing (MCC). Unfortunately, the cloud is usually far away from end devices, leading to a high latency as well as a bad quality of experience (QoE) for latency-sensitive applications. In the procedure, SBN-TR framework extends the cloud to the edge of the network for computation offloading towards edge computing. + +The user or physical object does not have application server information available for the desired service. SBN-EB knows the all service list from the SBN-AB and supports the information of the best application server when the client starts service. The following figure describes the procedures. + +- 1) SBN-AB manages the service deployment. +- 2) SBN-AB sends all the services information to SBN-EB. The service information includes metadata for the service. +- 3) The user (physical object) requests services with a service ID and service description. +- 4) SBN-EB performs a service discovery process to find an application (VE) of optimal service. +- 5) SBN-EB replies with connection information for the service. Uniform resource identifier (URI) or IP and port could be examples of the connection information. +- 6) User or physical object requests service based on connection information. + +![Sequence diagram showing the procedures for computation brokering service between User (Physical object), SBN-EB, and SBN-AB. The process includes service deployment, information exchange, request handling, and service execution on a Virtual Environment (VE).](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +``` + +sequenceDiagram + participant User as User +(Physical object) + participant SBN-EB + participant SBN-AB + participant VE as VE + + Note over SBN-AB: 1. Deploy services + SBN-AB->>SBN-EB: 2. Send services Info. + Note over SBN-EB: Save services Info. +(Service data in/out) + User->>SBN-EB: 3. Service request +(Service ID, in/out data) + Note over SBN-EB: 4. Service discovery + SBN-EB->>User: 5. Service Info. +(Service connection Info.) + User->>VE: 6. Service request + VE-->>User: Service result + +``` + +Y.3140(23) + +Sequence diagram showing the procedures for computation brokering service between User (Physical object), SBN-EB, and SBN-AB. The process includes service deployment, information exchange, request handling, and service execution on a Virtual Environment (VE). + +**Figure 9-4 – Procedures for computation brokering service** + +## 10 Security considerations + +The service brokering network framework for trusted reality is required to take into account the issues of security and privacy. The architecture and each component of the SBN-TR framework should be aligned with the requirements specified in [ITU-T Y.3130] and [ITU-T Y.3131] to protect information and avoid unauthorized access to it. + +## Bibliography + +- [b-ITU-T Q.1706] Recommendation ITU-T Q.1706/Y.2801 (2006), *Mobility management requirements for NGN*. +- [b-ETSI GS NFV 003] ETSI GS NFV 003 V1.4.1 (2018), *Network Functions Virtualisation (NFV); Terminology for Main Concepts in NFV*. +<[https://www.etsi.org/deliver/etsi\\_gs/nfv/001\\_099/003/01.04.01\\_60/gs\\_nfv003v010401p.pdf](https://www.etsi.org/deliver/etsi_gs/nfv/001_099/003/01.04.01_60/gs_nfv003v010401p.pdf)> +- [b-ETSI GS NFV 006] ETSI GS NFV 006 V2.1.1 (2021), *Network Functions Virtualisation (NFV) Release 2; Management and Orchestration; Architectural Framework Specification*. +<[https://www.etsi.org/deliver/etsi\\_gs/nfv/001\\_099/006/02.01.01\\_60/gs\\_nfv006v020101p.pdf](https://www.etsi.org/deliver/etsi_gs/nfv/001_099/006/02.01.01_60/gs_nfv006v020101p.pdf)> + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information 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Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3141 + +# Energy efficiency management of virtual resources in IMT-2020 networks and beyond + +## Summary + +Recommendation ITU-T Y.3141 specifies energy efficiency management (EEM) assisted by artificial intelligence of virtual resources in IMT-2020 networks and beyond, including: + +- functional requirements; +- an architectural model; +- reference points; +- procedures. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3141 | 2023-12-14 | 13 | 11.1002/1000/15740 | + +## Keywords + +AI-assisted, energy efficiency, virtual resources. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-----------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview..... | 3 | +| 7 | Functional requirements of energy efficiency management of virtual resources in
IMT-2020 networks and beyond ..... | 3 | +| | 7.1 Requirements for energy efficiency-related data management..... | 3 | +| | 7.2 Requirements for energy efficiency-related model management..... | 3 | +| | 7.3 Requirements for network status awareness and prediction for energy
saving..... | 4 | +| | 7.4 Requirements for energy efficiency-related policy management..... | 4 | +| | 7.5 Requirements for energy-saving abnormal situation management ..... | 4 | +| | 7.6 Requirements for security management ..... | 5 | +| 8 | Architectural model of energy efficiency management of virtual resources in IMT-
2020 networks and beyond ..... | 5 | +| | 8.1 Architectural model and energy efficiency management service..... | 5 | +| | 8.2 Detailed functional components of the energy efficiency orchestrator..... | 6 | +| 9 | Reference points of energy efficiency management of virtual resources in IMT-
2020 networks and beyond ..... | 9 | +| | 9.1 Requirements for EEM-RP1..... | 9 | +| | 9.2 Requirements for EEM-RP2..... | 9 | +| 10 | Procedures of energy efficiency management of virtual resources in IMT-2020
networks and beyond ..... | 9 | +| | 10.1 Procedure of capacity management for virtual machine ..... | 9 | +| | 10.2 Procedure of on/off control for server nodes..... | 10 | +| | 10.3 Procedure of virtual machine migration based on load balancing ..... | 11 | +| | 10.4 Procedure of energy efficiency management for VNF instances..... | 13 | +| 11 | Security consideration ..... | 13 | +| | Bibliography..... | 14 | + + + +# Recommendation ITU-T Y.3141 + +## Energy efficiency management of virtual resources in IMT-2020 networks and beyond + +## 1 Scope + +This Recommendation specifies energy efficiency management assisted by artificial intelligence (AI) of virtual resources in IMT-2020 networks and beyond, including: + +- functional requirements; +- an architectural model; +- reference points; +- procedures. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|-------------------|-----------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.3111] | Recommendation ITU-T Y.3111 (2017), IMT-2020 network management and orchestration framework . | +| [ITU-T Y.3150] | Recommendation ITU-T Y.3150 (2020), High-level technical characteristics of network softwarization for IMT-2020 . | +| [ITU-T Y.3156] | Recommendation ITU-T Y.3156 (2020), Framework of network slicing with AI-assisted analysis in IMT-2020 networks . | +| [ITU-T Y.3179] | Recommendation ITU-T Y.3179 (2021), Architectural framework for machine learning model serving in future networks including IMT-2020 . | +| [ETSI ES 203 228] | ETSI Standard ETSI ES 203 228 V1.4.1 (2022), Environmental engineering (EE); Assessment of mobile network energy efficiency . | + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 virtual resource** [b-ITU-T Y.3011]: An abstraction of physical or logical resource, which may have different characteristics from the physical or logical resource and whose capability may be not bound to the capability of the physical or logical resource. + +**3.1.2 network function** [b-ITU-T Y.3100]: In the context of IMT-2020, a processing function in a network. + +NOTE 1 – Network functions include but are not limited to network node functionalities, e.g., session management, mobility management and transport functions, whose functional behaviour and interfaces are defined. + +NOTE 2 – Network functions can be implemented on a dedicated hardware or as virtualized software functions. + +NOTE 3 – Network functions are not regarded as resources, but rather any network functions can be instantiated using the resources. + +**3.1.3 virtualized network function** [b-ITU-T Y.3321]: A network function whose functional software is decoupled from hardware, and runs on virtual machine(s). + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-------------------------------------------| +| AI | Artificial Intelligence | +| CPU | Central Processing Unit | +| DV | Data Volume | +| EC | Energy Consumption | +| EE | Energy Efficiency | +| EEM | Energy Efficiency Management | +| EEO | Energy Efficiency Orchestrator | +| ID | Identifier | +| I/O | Input/Output | +| IP | Internet Protocol | +| MANO | Management and Orchestration | +| ML | Machine Learning | +| MN | Mobile Network | +| NF | Network Function | +| NFV | Network Function Virtualization | +| RAN | Radio Access Network | +| REEM | Energy Efficiency Management of Resources | +| RP | Reference Point | +| SDN | Software-Defined Networking | +| VNF | Virtualized Network Function | + +## **5 Conventions** + +In this Recommendation: + +The phrase "is required" indicates a requirement that must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The phrase "is recommended" indicates a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# **6 Overview** + +Virtualization technology builds infrastructure into a resource pool, including the three underlying resources of network, computing and storage, forming the integration of these resources. With the deployment and application of IMT-2020 networks, the continuous increase of new services has brought the complexity of resource management and control, how to flexibly schedule, integrate and release resources to improve the energy efficiency is a challenge. The introduction of AI technology will help to enable intelligent network management and improve energy efficiency of IMT-2020 network. + +With the growth of IMT-2020 networks, it is expected that, of total network energy consumption (EC), by 2025: the radio access network (RAN) will account for 50.6%; data centres for 23.3%; edge and core networks, as well as the service core for 13.3%; and others for 12.8% [b-Lorincz]. AI-assisted energy saving methods for RAN equipment has been introduced in [b-ITU-T L.1390] and [b-ITU-T M.3381]. Besides energy efficiency of RAN, AI-assisted energy efficiency management (EEM) of virtual resources will also play an important role to reduce EC of IMT-2020 networks. + +AI-assisted EEM needs to: monitor and collect data related to energy usage of virtual resources; detect resource utilization patterns with AI algorithms; make intelligent energy-saving decisions taking workload characteristics and energy usage into consideration; dynamically adjust the allocation and status of virtual resources; and optimize energy efficient policies based on the evaluation of energy-saving effect and changes in workload demands and environmental conditions. + +# **7 Functional requirements of energy efficiency management of virtual resources in IMT-2020 networks and beyond** + +## **7.1 Requirements for energy efficiency-related data management** + +This clause describes high-level requirements of energy efficiency-related data management to enable EEM of virtual resources in IMT-2020 networks and beyond. + +[REQ-DM-001]: Energy efficiency management of resources (REEM) is required to support the management of multiple data sets. The data sets are required to include network data (traffic data, resource configuration data, etc.) and EC data (current, voltage, power, etc.). + +[REQ-DM-002]: REEM is recommended to support the collection and storage of different types of data by various collection frequencies. + +[REQ-DM-003]: REEM is required to support the real-time backup of key EC data and keyword querying of specified query conditions. + +[REQ-DM-004]: REEM is required to support cleaning, auditing and validation of data collected from different data sources. + +[REQ-DM-005]: REEM is required to label data based on data-labelling rules. + +[REQ-DM-006]: REEM is recommended to provide visualization of EC information, temperature information and energy saving statistics. + +## **7.2 Requirements for energy efficiency-related model management** + +This clause describes high-level requirements of energy efficiency-related model management of virtual resources in IMT-2020 networks and beyond. + +[REQ-MM-001]: REEM is required to support energy efficiency-related model selection, model training and model interference [ITU-T Y.3179]. + +[REQ-MM-002]: REEM is required to support the iteration of the model based on network performance and EC. + +[REQ-MM-003]: REEM is recommended to support construction of an energy management model library, in which the historical models stored can be selected for reuse in the same and similar energy management scenarios. + +[REQ-MM-004]: REEM is recommended to encapsulate the inference model as an API service or image file for invocation. + +[REQ-MM-005]: REEM is recommended to support version management and maintenance of AI models. + +## **7.3 Requirements for network status awareness and prediction for energy saving** + +This clause describes high-level requirements of status awareness to enable EEM of virtual resources in IMT-2020 networks and beyond. + +[REQ-NSAP-1]: REEM is required to continuously monitor network operation status (latency, jitter, bandwidth, resource usage, etc.) and be aware of the requirements for triggering energy saving. + +[REQ-NSAP-2]: REEM is required to intelligently predict network traffic, service load and dynamically adjust energy-saving policies. + +## **7.4 Requirements for energy efficiency-related policy management** + +This clause describes high-level requirements of policy management to enable EEM of virtual resources in IMT-2020 networks and beyond. + +[REQ-PM-001]: REEM is required to support effective energy-saving policies on adjustment, evaluation, iteration and execution. + +[REQ-PM-002]: REEM is required to support the manual adjustment based on the policy generated by the energy efficiency orchestrator (EEO). + +[REQ-PM-003]: REEM is required to support the energy-saving effect evaluation before and after the execution of energy-saving policies. + +[REQ-PM-004]: REEM is recommended to support building an energy-saving policy library to record the policies generated in all cases, and support addition, deletion, modification and checking of energy-saving policies in the policy library. + +[REQ-PM-005]: REEM is recommended to support labelling the policies that have no energy-saving effects or may cause anomalies. + +### **7.5 Requirements for energy-saving abnormal situation management** + +This clause describes high-level requirements of energy-saving abnormal situation management in IMT-2020 networks and beyond. + +[REQ-ASM-1]: REEM is required to support real-time abnormality detection and pre-warning, update the energy-saving policy or recover the original policy (namely without using energy-saving policy) if the abnormal results are caused by the implementation of energy-saving policies. + +[REQ-ASM-2]: Abnormal situation management is required to adjust the resource configuration of a virtualized network function (VNF) to ensure network performance and user experience if network congestion and other faults occur after the execution of the energy-saving policies. + +[REQ-ASM-3]: REEM is required to support the statistics and analysis of alarms caused by energy-saving policies. + +[REQ-ASM-004]: REEM is recommended to support construction of an alarm-processing policy library to handle the energy-saving abnormal situation in a timely and efficient manner. + +## 7.6 Requirements for security management + +This clause describes high-level requirements of security management to enable EEM of virtual resources in IMT-2020 networks and beyond. + +[REQ-SM-1]: REEM is required to provide security protection and privacy preservation for data sets, model training, model aggregation and (machine-learning) ML services. + +[REQ-SM-2]: REEM is required to support the authorization and authentication of consumers to invoke energy-saving services. + +# 8 Architectural model of energy efficiency management of virtual resources in IMT-2020 networks and beyond + +## 8.1 Architectural model and energy efficiency management service + +The architecture model of EEM is depicted in Figure 8-1. The architecture model consists of four layers for resources, data service, EEM and EEM consumers. + +The resource layer consists of software-defined networking (SDN) infrastructure, network function virtualization (NFV) infrastructure, cloud infrastructure and physical infrastructure [ITU-T Y.3150]. + +The data service layer collects network data and EC data from the resource layer. + +The EEM layer is performed by the EEO, and can act as data service consumer and EEM provider. It consumes energy efficiency-related data provided by data service layer, and provides EEM services to the consumer layer. + +The EEM consumer invokes services such as data analysis, energy efficiency models, energy-saving policies and energy efficiency evaluation services. It executes energy-saving policies to reduce the EC of the resource within its management domain. + +![Architectural model of energy efficiency management of virtual resources in IMT-2020 networks and beyond. The diagram shows a four-layer architecture. At the top is the 'Energy efficiency management consumer'. Below it is the 'Energy efficiency management layer', which contains the 'Energy efficiency orchestrator'. The 'Energy efficiency management layer' is connected to the 'Data service layer' via reference point 'EEM-RP2' and 'Energy efficiency data service'. The 'Data service layer' is connected to the 'Resource layer' via reference point 'EEM-RP1' and 'Energy efficiency management service'. The 'Resource layer' consists of four sub-layers: 'SDN infrastructure', 'NFV infrastructure', 'Cloud infrastructure', and 'Physical infrastructure'. The diagram is labeled Y.3141(23) at the bottom right.](b3c108e7145f2017957569d06ea359cb_img.jpg) + +``` +graph TD + EEMC[Energy efficiency management consumer] + EEMRP1[EEM-RP1] + EEMRP2[EEM-RP2] + EEMO[Energy efficiency orchestrator] + EEDS[Energy efficiency data service] + DSL[Data service layer] + RL[Resource layer] + SDN[SDN infrastructure] + NFV[NFV infrastructure] + Cloud[Cloud infrastructure] + Physical[Physical infrastructure] + + EEMC --- EEMRP1 + EEMRP1 --- EEMO + EEMO --- EEMRP2 + EEMRP2 --- EEDS + EEDS --- DSL + DSL --- RL + RL --- SDN + RL --- NFV + RL --- Cloud + RL --- Physical +``` + +Architectural model of energy efficiency management of virtual resources in IMT-2020 networks and beyond. The diagram shows a four-layer architecture. At the top is the 'Energy efficiency management consumer'. Below it is the 'Energy efficiency management layer', which contains the 'Energy efficiency orchestrator'. The 'Energy efficiency management layer' is connected to the 'Data service layer' via reference point 'EEM-RP2' and 'Energy efficiency data service'. The 'Data service layer' is connected to the 'Resource layer' via reference point 'EEM-RP1' and 'Energy efficiency management service'. The 'Resource layer' consists of four sub-layers: 'SDN infrastructure', 'NFV infrastructure', 'Cloud infrastructure', and 'Physical infrastructure'. The diagram is labeled Y.3141(23) at the bottom right. + +**Figure 8-1 – Architectural model of energy efficiency management of virtual resources in IMT-2020 networks and beyond** + +The EEM layer communicates with the EEM consumer via reference point EEM-RP1, and it exchanges information with the data service layer via EEM-RP2. These two RPs are defined in detail in clause 9. + +## 8.2 Detailed functional components of the energy efficiency orchestrator + +EEM services are provided by the EEO, of which Figure 8-2 shows the functional components. + +The EEO consists of five functions: data management; AI modelling and model management; energy efficiency policy management; energy efficiency evaluation; and abnormal situation management for EEM. + +![Figure 8-2: Functional components of the energy efficiency orchestrator. The diagram shows a central box labeled 'Energy efficiency orchestrator' at the bottom, with five stacked boxes above it: 'Data management', 'AI model management', 'Energy efficiency policy management', 'Energy efficiency evaluation', and 'Abnormal situation management'.](27b06ec9f42b5d727a2630f61a5f1861_img.jpg) + +Y.3141(23) + +Figure 8-2: Functional components of the energy efficiency orchestrator. The diagram shows a central box labeled 'Energy efficiency orchestrator' at the bottom, with five stacked boxes above it: 'Data management', 'AI model management', 'Energy efficiency policy management', 'Energy efficiency evaluation', and 'Abnormal situation management'. + +**Figure 8-2 – Functional components of the energy efficiency orchestrator** + +### 8.2.1 Data management + +The data management function supports the collection, storage and processing of multiple data sets. + +##### 1) Data collection of energy-consuming objects + +Energy-consuming objects include virtual machines, server nodes that run a set of virtual machines and resource clusters located in a set of racks or a data centre. The data that need to be collected from these energy-consuming objects are listed in Table 1. + +**Table 1 – Data collection of energy-consuming objects** + +| Data type | Information element | +|-----------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Configuration data of virtual machines | The configuration data of virtual machines can be resource identifier (ID), resource Internet protocol (IP), service type, host resource ID to which it belongs, central processing unit (CPU) core number, memory size, the number and size of network ports, disk capacity, active service port traffic, collection time, etc. | +| Operation data of virtual machines | The operation data of virtual machines can be resource ID, maximum CPU usage, minimum CPU usage, average CPU usage, maximum memory usage, minimum memory usage, average memory usage, maximum network traffic, minimum network traffic, average network traffic, maximum disk input/output (I/O), minimum disk I/O, average disk I/O, maximum hard disk usage, minimum hard disk usage, average hard disk usage, collection time, etc. | +| Configuration data of server nodes | The configuration data of server nodes can be resource ID, host type, host role, resource name, resource IP, service type, CPU model, CPU cores, memory size, disk capacity, rated power, active service port traffic, collection time, etc. | +| Operation data of server nodes | The operation data of server nodes can be resource ID, maximum CPU usage, minimum CPU usage, average CPU usage, maximum memory usage, minimum memory usage, average memory usage, maximum network traffic, minimum network traffic, average network traffic, maximum disk I/O, minimum disk I/O, average disk I/O, maximum hard disk usage, minimum hard disk usage, average hard disk usage, collection time, etc. | +| Configuration data of resource clusters | The configuration data of resource clusters can be cluster ID, data centre ID, cluster activation time, number of hosts, cluster type, collection time, etc. | + +**Table 1 – Data collection of energy-consuming objects** + +| Data type | Information element | +|-----------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Configuration data of services | The configuration data of services can be service ID, data centre ID, service activation date, number of hosts, service description, collection time, etc. | +| EC-related data | CPU load, CPU temperature, fan speed, active power of electricity | +| NOTE – The collection frequency of configuration data is recommended by day. The collection frequency of operation data is recommended by hour or minute. | | + +##### 2) Data management and maintenance + +The data management function provides the capabilities of data query, update and deletion. + +The data management function provides data quality management such as cleaning, auditing and validation of data collected from different data sources, evaluates the current data quality based on some key data dimensions and provides analysis for data quality improvement. + +NOTE – Data quality relates to the accuracy of data format, ranges, values, collection frequency, etc. + +The data management function provides visualization of EC information, energy reduction information and machine temperature trend information. + +### **8.2.2 AI model management** + +The AI model management function provides energy-saving model training, retraining and interference, as well as models for version management and energy management model library maintenance. + +#### 1) Energy-saving model training and retraining + +The AI model management function can train different energy-saving models for energy-consuming objects based on the collected data, such as the energy-saving model for virtual machines in clause 10.1 and energy-saving model for server nodes in clause 10.2. + +Energy-saving models retrain if data quality is improved and model accuracy needs to be improved. + +#### 2) Energy management model library + +The AI model management function provides evaluation (such as application and accuracy) of each model in the model library. Newly trained models including online training models and offline training models are recommended for update in the model library once model test validation is successful. + +### **8.2.3 Energy efficiency policy management** + +The energy efficiency policy management function provides policy generation, execution and manual adjustment. + +##### 1) Energy efficiency policy generation + +Energy efficiency policy generation can be triggered through timed tasks, a condition threshold or by force. + +Timed tasks triggering: By configuring timed tasks, energy-saving policies are generated based on task execution frequency. + +Condition threshold triggering: By configuring a condition threshold, energy-saving policies are generated if some energy-saving indicators (such as CPU usage, memory usage and disk usage) reach the threshold. + +Forced triggering: Energy efficiency policy generation is triggered by personnel through interface operations. + +##### 2) Energy efficiency policy confirmation + +When some energy-saving policies involve important services, the policies need to be manually verified before execution. Personnel can review policies, revise energy-saving policies or exclude adjustments from energy-consuming objects if the services performed on them cannot be affected by EC. + +General energy-saving policies can be configured automatically. + +##### 3) Energy efficiency policy switch + +The energy efficiency policy management function provides a switch between using a policy that is energy saving or one that is not. + +#### 8.2.4 Energy efficiency evaluation function + +The energy efficiency evaluation function provides energy-saving metrics measurement and visualization, such as daily average energy saving, cumulative energy saving, annualized energy saving, average energy saving rate and energy efficiency. + +##### 1) Energy-saving value measurement + +Energy-saving value measurement indicates the calculation of daily average energy saving, cumulative energy saving and annualized energy saving. The daily average energy saving can be measured by calculating the difference between EC before and after the execution of energy-saving policies and energy-saving duration in similar service condition. Cumulative energy saving and annualized energy saving can be measured based on daily average energy saving and total energy saving time duration. + +##### 2) Energy-saving rate measurement + +Energy-saving rate measurement is energy-saving value divided by the EC in a non-energy-saving state. + +##### 3) Energy efficiency measurement + +Energy efficiency of IMT-2020 networks relies on the following principles. + +The energy efficiency in the mobile network by data volume, $EE_{MN,DV}$ , is based on two high-level key performance indicators specified in [ETSI ES 203 228]: + +$$EE_{MN,DV} = \frac{DV_{MN}}{EC_{MN}}$$ + +where $DV_{MN}$ is data volume of the mobile network; + +$EC_{MN}$ is energy consumption of the mobile network. + +$EE_{MN,DV}$ requires the collection of both data volume (DV) and EC of IMT-2020 network functions (NFs); measurement methods for VNFs lie outside the scope of this Recommendation. + +#### 8.2.5 Abnormal situation management function + +The abnormal situation management function provides real-time abnormality detection, pre-warning and abnormal recovery. + +##### 1) Abnormal situation automatically handling + +If the alarms are detected by implementation of the energy-saving policy, then the abnormal situation management function automatically switches to the original policy in a non-energy-saving state. + +##### 2) Alarm policy library + +The abnormal situation management function builds an alarm policy library to provide solutions to handle energy-saving abnormal situations. + +# **9 Reference points of energy efficiency management of virtual resources in IMT-2020 networks and beyond** + +In the architectural model of EEM of virtual resources in IMT-2020 networks and beyond, EEM-RP1 and EEM-RP2 are specified in clause 8. These two RPs need to support the capabilities for exchanging information and managing energy. + +### **9.1 Requirements for EEM-RP1** + +[REQ-EEM-RP1-001]: The EEO is required to provide EEM services to the consumer via EEM-RP1. + +[REQ-EEM-RP1-002]: The EEO is recommended to provide energy efficiency data analysis, energy efficiency models, energy-saving policies, and energy efficiency evaluation services to the consumer via EEM-RP1. + +[REQ-EEM-RP1-003]: The EEO is recommended to provide comprehensive energy efficiency analysis services of different domains (e.g., core network, transport network and cloud) to the consumer via EEM-RP1. + +[REQ-EEM-RP1-004]: It is recommended that the consumer subscribes to or requests EEM policies such as scaling down and ending up a VNF instance, from the EEO via EEM-RP1. + +## **9.2 Requirements for EEM-RP2** + +[REQ-EEM-RP2-001]: The EEO is required to collect data from the data service layer via EEM-RP2. + +[REQ-EEM-RP2-002]: It is recommended that the data service layer provide data from different domains (e.g., core network, transport network and cloud) to the EEO via EEM-RP2. + +[REQ-EEM-RP2-003]: The EEO is recommended to subscribe to and query service information (e.g., service type and resource usage) via EEM-RP2. + +[REQ-EEM-RP2-004]: The EEO is recommended to subscribe to and query configuration and usage information of cloud resources (e.g., virtual machine, bare metal server and cloud storage) via EEM-RP2. + +[REQ-EEM-RP2-005]: The EEO is recommended to subscribe to and query network status and performance data of transport devices (e.g., virtual switches and routers) via EEM-RP2. + +[REQ-EEM-RP2-006]: The EEO is recommended to subscribe to and query configuration and performance data of VNF instances of the core network via EEM-RP2. + +## **10 Procedures of energy efficiency management of virtual resources in IMT-2020 networks and beyond** + +## **10.1 Procedure of capacity management for virtual machine** + +Figure 10-1 illustrates the procedure for capacity management of a virtual machine, which avoids the waste of virtual machine resources in the idle state. + +![Sequence diagram illustrating the procedure of capacity management for virtual machines. The diagram shows four main components: Data service layer, Energy efficiency orchestrator (containing Data management, AI model management, and Energy efficiency policy management), and Energy efficiency management consumer. The process follows four steps: 1. Obtains the service data of virtual machines from the Data service layer to Data management. 2. Determines the role category of each virtual machine within AI model management. 3. Determines capacity requirement and makes energy efficiency policy for each virtual machine with the determined role category within Energy efficiency policy management. 4. Sends the capacity management policies to the consumer from Energy efficiency policy management.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +``` + +sequenceDiagram + participant DSL as Data service layer + participant EEO as Energy efficiency orchestrator + participant EEMC as Energy efficiency management consumer + + EEO -->> DSL : 1. Obtains the service data of virtual machines + EEO -->> EEO : 2. Determines the role category of each virtual machine + EEO -->> EEO : 3. Determines capacity requirement and makes energy efficiency policy for each virtual machine with the determined role category + EEO -->> EEMC : 4. Sends the capacity management policies to the consumer + +``` + +Y.3141(23) + +Sequence diagram illustrating the procedure of capacity management for virtual machines. The diagram shows four main components: Data service layer, Energy efficiency orchestrator (containing Data management, AI model management, and Energy efficiency policy management), and Energy efficiency management consumer. The process follows four steps: 1. Obtains the service data of virtual machines from the Data service layer to Data management. 2. Determines the role category of each virtual machine within AI model management. 3. Determines capacity requirement and makes energy efficiency policy for each virtual machine with the determined role category within Energy efficiency policy management. 4. Sends the capacity management policies to the consumer from Energy efficiency policy management. + +**Figure 10-1 – Procedure of capacity management for virtual machine** + +1. The EEO obtains the service data of each virtual machine in the cloud server from the data service layer, and the service data refers to the configuration parameter information required for service execution. +2. The AI model management of the EEO uses the service data to train AI clustering models and to determine the role category of each virtual machine. + NOTE 1 – The categories of role that virtual machines execute are indicated by service, such as that for traffic, disk, memory and CPU. + NOTE 2 – The input of clustering models is service data of virtual machines and the output of clustering models for virtual machines includes multiple clustering sets. For each cluster, the virtual machine in the cluster can be divided into at least two subsets (such as a task subset and a non-task subset) based on whether the virtual machine executes the service of the cluster set, and the role category of the virtual machine is then determined based on subsets to which it belongs. +3. The energy efficiency policy management of the EEO analyses and determines the capacity requirements of each virtual machine according to the role categories, and makes energy efficiency policies (e.g., reducing CPU cores or memory size) of capacity management for each virtual machine with the determined role category. + NOTE 3 – The priority list is pre-configured to avoid capacity scaling down for some virtual machines. If the role category of a virtual machine belongs to the priority list, then the capacity resource of the virtual machine can be adjusted but scaling down is excepted. If the virtual machine does not belong to the priority list, its capacity resource can be scaled down. +4. The EEO sends the energy efficiency policies for capacity management of virtual machines to the consumer who subscribes to or requests the services of energy efficiency analysis (e.g., cloud resource management system). + +## 10.2 Procedure of on/off control for server nodes + +Figure 10-2 illustrates the procedure of on/off control for server nodes in the idle state. + +NOTE – The server nodes represent the infrastructure that carry some of the IMT-2020 NFs, IMT-2020 network controllers, IMT-2020 management systems, IMT-2020 services, etc. + +![Sequence diagram illustrating the procedure of on/off control for server nodes. The diagram shows four main components: Data service layer, Energy efficiency orchestrator (EEO), and Energy efficiency management consumer. The EEO is composed of three sub-components: Data management, AI model management, and Energy efficiency policy management. The process follows five steps: 1. Data service layer sends resource characteristic data to AI model management. 2. AI model management determines target node roles. 3. Energy efficiency policy management obtains resource usage policy information. 4. Energy efficiency policy management decides control policy information. 5. Energy efficiency policy management sends on/off control policies to the consumer.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +``` + +sequenceDiagram + participant DSL as Data service layer + participant EEO as Energy efficiency orchestrator + participant EEMC as Energy efficiency management consumer + + EEO -->> DM as Data management + EEO -->> AIM as AI model management + EEO -->> EEPM as Energy efficiency policy management + + DSL->>AIM: 1. Obtains the resource characteristic data of the servers potentially to be controlled + AIM->>AIM: 2. Determines the target node roles of the servers by using the pre-trained role recognition model + AIM->>EEPM: 3. Obtains the resource usage policy information corresponding to the target node role + EEPM->>EEPM: 4. Decides the control policy information for the servers according to the resource usage policy information + EEPM->>EEMC: 5. Sends the on/off control policies for server nodes to the consumer + +``` + +Y.3141(23) + +Sequence diagram illustrating the procedure of on/off control for server nodes. The diagram shows four main components: Data service layer, Energy efficiency orchestrator (EEO), and Energy efficiency management consumer. The EEO is composed of three sub-components: Data management, AI model management, and Energy efficiency policy management. The process follows five steps: 1. Data service layer sends resource characteristic data to AI model management. 2. AI model management determines target node roles. 3. Energy efficiency policy management obtains resource usage policy information. 4. Energy efficiency policy management decides control policy information. 5. Energy efficiency policy management sends on/off control policies to the consumer. + +**Figure 10-2 – Procedure of on/off control for server nodes** + +1. The EEO obtains the resource characteristic data (e.g., maximum, minimum or average: CPU usage; memory usage; and network traffic) of the servers potentially to be controlled from the data service layer. +2. The AI model management of the EEO uses the pre-trained role recognition model to process the characteristic data in order to determine the target node roles of the servers to be controlled, + NOTE 1 – The role recognition model is pre-trained using the characteristic data in the collection period and the node role label that can be an ID of a node role (e.g., standby node ID and data node ID). +3. The energy efficiency policy management of the EEO obtains resource usage policy information corresponding to the target node role based on the node information database. The resource usage policy information indicates the resource usage threshold when server nodes have on/off behaviour. + NOTE 2 – The node information database is built by the node role label and resource state information (e.g., CPU and memory resource usage) and configuration information of servers in the sampling period. +4. The energy efficiency policy management of the EEO decides the control policy information (e.g., switch control on to off) for the servers potentially to be controlled, according to the resource usage policy information corresponding to the target node role and the current resource state information. + NOTE 3 – If the target node role belongs to a preset role (e.g., necessary task role) in the target cluster, control policy information of the server is determined as maintaining running state. +5. The EEO sends the energy efficiency policies for on/off control of server nodes to the consumer (e.g., bare metal server management system). + +## 10.3 Procedure of virtual machine migration based on load balancing + +Figure 10-3 illustrates the procedure for virtual machine migration based on load balancing, which ensures the dynamic load balance in the cluster, and improves the overall utilization rate. + +![Sequence diagram showing the procedure of virtual machine migration based on load balancing. The diagram involves four main components: Data service layer, Energy efficiency orchestrator (containing Data management, AI model management, and Energy efficiency policy management), and Energy efficiency management consumer. The process follows five steps: 1. Selection of VMs and hosts, 2. Querying performance data, 3. Calculating negative correlation, 4. Determining migration policy, and 5. Notifying the consumer.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +``` + +sequenceDiagram + participant DSL as Data service layer + participant EEO as Energy efficiency orchestrator + participant EEMC as Energy efficiency management consumer + + EEO -->> DSL : 2. Queries the operation data of certain performance metrics of virtual machines to be moved out and the host machines to be moved in + EEO -->> EEO : 1. Selects the sets of virtual machine to be moved out and the host machine to be moved in + DSL -->> EEO : 3. Calculates the negative correlation of the performance metrics between the virtual machine to be moved out and the host machines to be moved in + EEO -->> EEO : 4. Determines virtual machine migration policy based on negative correlation + EEO -->> EEMC : 5. Notifies virtual machine migration policy to the consumer + +``` + +Y.3141(23) + +Sequence diagram showing the procedure of virtual machine migration based on load balancing. The diagram involves four main components: Data service layer, Energy efficiency orchestrator (containing Data management, AI model management, and Energy efficiency policy management), and Energy efficiency management consumer. The process follows five steps: 1. Selection of VMs and hosts, 2. Querying performance data, 3. Calculating negative correlation, 4. Determining migration policy, and 5. Notifying the consumer. + +**Figure 10-3 – Procedure of virtual machine migration based on load balancing** + +1. The EEO selects the sets of virtual machines to be moved out and the host machines to be moved in from the host cluster. The EEO calculates the number of hosts to be moved out based on the configuration of host and virtual machine resource, and the EEO selects hosts according to the disequilibrium of CPU and memory resource usage of the host and resource requirement priority information, thus all virtual machines on these selected hosts need to be moved out. The set of host machines to be moved in is selected to meet the resource configuration requirement of the virtual machine previously mentioned. +NOTE 1 – Step 1 is triggered by the EEO itself based on pre-configured policies for load balancing. +2. The EEO queries the operation data of certain performance metrics (e.g., CPU and memory usage ratio) during collection periods of virtual machines to be moved out and the host machines to be moved in from the data service layer. +3. The EEO calculates the negative correlation between the virtual machine to be moved out and the host machines to be moved in according to the respective operation data of the performance metrics, and negative correlation calculation could focus on one main performance metric if this type of virtual machine resource is scarce. +NOTE 2 – The EEO builds time series based on the respective operation data of the virtual machine to be moved out and the host machines to be moved in, and then calculates the negative correlation. +NOTE 3 – The length and interval of the time series can be changed based on the actual situation, the length of the time series can be weeks, months, days, intervals of the time series can be 1 min, 5 min, 15 min, etc. +4. The EEO determines virtual machine migration policies, including selection of the virtual machine that has the highest priority from the set of virtual machines to be moved out and then migrates it into the potential host machine that can meet the resource requirement and has the highest negative correlation. +5. The EEO notifies the consumer who subscribes to the load-balancing analysis and energy-saving management service. + +## 10.4 Procedure of energy efficiency management for VNF instances + +Figure 10-4 illustrates the procedure of EEM for VNF instances. If VNF instances meet energy-saving requirements, energy management will be triggered to release the resources in the idle and low usage states. + +![Sequence diagram illustrating the procedure of energy efficiency management for VNF instances.](2b3a967f6ce4f23649be995a353e39f8_img.jpg) + +``` +sequenceDiagram + participant DSL as Data service layer + participant EEO as Energy efficiency orchestrator + participant EEMC as Energy efficiency management consumer + + EEO -->> DSL : 1. Obtains the network energy efficiency related data + EEO -->> AI : 2. Trains the energy efficiency indicators prediction models and obtains energy efficiency indicators prediction result + EEO -->> EEMC : 3. Decides energy efficiency management policies for VNF instances whose energy efficiency indicators prediction meets the energy-saving requirements + EEO -->> EEMC : 4. Sends energy efficiency management policies for VNF instances +``` + +The diagram illustrates the procedure of energy efficiency management for VNF instances. It features four main components: Data service layer, Energy efficiency orchestrator (EEO), Energy efficiency management consumer, and Energy efficiency policy management. The EEO is further divided into Data management, AI model management, and Energy efficiency policy management. The process follows four steps: 1. The Data service layer obtains network energy efficiency related data and sends it to the EEO. 2. The AI model management within the EEO trains energy efficiency indicators prediction models and obtains the prediction results. 3. The Energy efficiency policy management within the EEO decides on energy efficiency management policies for VNF instances whose predicted energy efficiency indicators meet the energy-saving requirements. 4. The EEO sends these management policies to the Energy efficiency management consumer. + +Sequence diagram illustrating the procedure of energy efficiency management for VNF instances. + +Y.3141(23) + +**Figure 10-4 – Procedure of energy efficiency management for VNF instances** + +1. The EEO obtains network energy efficiency-related data, which includes dynamic operation data (e.g., energy cost, VNF instance throughput and VNF instance resource usage data) and static data (e.g., configuration information) from the data service layer. +2. The AI model management of the EEO trains energy efficiency indicator prediction models (e.g., neural network models) and obtains their results. +3. The energy efficiency policy management of the EEO decides EEM policies for VNF instances by deactivating or terminating those whose predicted energy efficiency indicators reach the energy-saving threshold. +4. The EEO sends EEM policies for VNF instances to the consumer (e.g., management and orchestration (MANO) system). + +# 11 Security consideration + +This Recommendation specifies AI-assisted EEM of virtual resources in IMT-2020 networks and beyond. It is assumed that security considerations in general are based on the security of IMT-2020 network MANO [ITU-T Y.3111] and IMT-2020 network slicing with AI-assisted analysis [ITU-T Y.3156]. Specifically, the major security requirements for EEM of virtual resources in IMT-2020 networks and beyond are listed as follows. + +[REQ-SM-1]: REEM is required to provide security protection and privacy preservation for data sets, model training, model aggregation and ML services. + +[REQ-SM-2]: REEM is required to support the authorization and authentication of consumers to invoke the energy-saving services. + +## Bibliography + +- [b-ITU-T L.1390] Recommendation ITU-T L.1390 (2022), *Energy saving technologies and best practices for 5G radio access network (RAN) equipment*. +- [b-ITU-T M.3381] Recommendation ITU-T M.3381 (2022), *Requirements for energy saving management of 5G radio access network (RAN) systems with artificial intelligence (AI)*. +- [b-ITU-T Y.3011] Recommendation ITU-T Y.3011 (2012), *Framework of network virtualization for future networks*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3321] Recommendation ITU-T Y.3321 (2015), *Requirements and capability framework for NICE implementation making use of software-defined networking technologies*. +- [b-Lorincz] Lorincz, J., Capone, A., Wu, J. (2019). Greener, energy-efficient and sustainable networks: state-of-the-art and new trends. *Sensors*, **19**(22), 4864, 29 pp. DOI: [10.3390/s19224864](https://doi.org/10.3390/s19224864) + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3143-202409-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3143-202409-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..c2d2422e446a3f1624296f89cd81796ab02c35b2 --- /dev/null +++ b/marked/Y/T-REC-Y.3143-202409-I_PDF-E/raw.md @@ -0,0 +1,568 @@ + + +# Recommendation + +## **ITU-T Y.3143 (09/2024)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +--- + +**Quality of service assurance requirements and framework for smart healthcare supported by IMT-2020 and beyond** + +## ITU-T Y-SERIES RECOMMENDATIONS + +# Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3143 + +# Quality of service assurance requirements and framework for smart healthcare supported by IMT-2020 and beyond + +## Summary + +Recommendation ITU-T Y.3143 specifies the quality of service (QoS) assurance requirements and framework for smart healthcare (SH) supported by international mobile telecommunications 2020 (IMT-2020) and beyond. + +It first provides an overview of SH supported by IMT-2020 and beyond. The QoS considerations for SH supported by IMT-2020 and beyond are then described. This is followed by the specification of the QoS assurance requirements and a framework to reflect the identified QoS considerations. Finally, the smart healthcare application scenarios, along with QoS metrics extended from the requirements, are described in Appendix I. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3143 | 2024-09-13 | 13 | 11.1002/1000/16102 | + +## Keywords + +Framework, IMT-2020, QoS assurance, requirements, smart healthcare. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Terms defined elsewhere..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview ..... | 4 | +| 7 QoS considerations ..... | 4 | +| 8 QoS assurance requirements..... | 6 | +| 8.1 High level requirements ..... | 6 | +| 8.2 QoS planning..... | 7 | +| 8.3 QoS provisioning..... | 7 | +| 8.4 QoS monitoring ..... | 7 | +| 8.5 QoS optimization..... | 8 | +| 9 Framework..... | 8 | +| 10 Security considerations..... | 10 | +| Appendix I – Smart healthcare application scenarios with QoS metrics..... | 11 | +| I.1 Remote health monitoring ..... | 11 | +| I.2 Remote medical diagnosis..... | 12 | +| I.3 Remote robot aided surgery..... | 12 | +| I.4 Mobile emergency rescue..... | 13 | +| Bibliography..... | 14 | + + + +# Recommendation ITU-T Y.3143 + +# Quality of service assurance requirements and framework for smart healthcare supported by IMT-2020 and beyond + +# 1 Scope + +This Recommendation specifies QoS assurance high-level and functional requirements and a framework for the smart healthcare (SH) supported by IMT-2020 and beyond, the scope of this Recommendation is as follows: + +- Overview; +- QoS considerations; +- Requirements; +- Framework; +- Applications scenarios. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|-----------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T F.780.5] | Recommendation ITU-T F.780.5 (2024), Requirements, reference framework and use cases for telemonitoring systems in rapid deployment hospitals. | +| [ITU-T H.810] | Recommendation ITU-T H.810 (2019), Interoperability design guidelines for personal connected health systems: Introduction. | +| [ITU-T Y.3102] | Recommendation ITU-T Y.3102 (2018), Framework of the IMT-2020 network. | +| [ITU-T Y.3104] | Recommendation ITU-T Y.3104 (2018), Architecture of the IMT-2020 network. | +| [ITU-T Y.3106] | Recommendation ITU-T Y.3106 (2019), Quality of service functional requirements for the IMT-2020 network. | +| [ITU-T Y.3107] | Recommendation ITU-T Y.3107 (2019), Functional architecture for QoS assurance management in the IMT-2020 network. | +| [ITU-T Y.3109] | Recommendation ITU-T Y.3109 (2021), Quality of service assurance-related requirements and framework for virtual reality delivery using mobile edge computing supported by IMT-2020. | +| [ITU-T Y.3124] | Recommendation ITU-T Y.3124 (2023), Quality of service monitoring requirements and framework for IMT-2020 and beyond. | +| [ITU-T Y.3130] | Recommendation ITU-T Y.3130 (2018), Requirements of IMT-2020 fixed mobile convergence. | + +| | | +|----------------|------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.3158] | Recommendation ITU-T Y.3158 (2022), Local shunting for multi-access edge computing in IMT-2020 networks . | +| [ITU-T Y.3170] | Recommendation ITU-T Y.3170 (2018), Requirements for machine learning-based quality of service assurance for the IMT-2020 network . | +| [ITU-T Y.3172] | Recommendation ITU-T Y.3172 (2019), Architectural framework for machine learning in future networks including IMT-2020 . | +| [ITU-T Y.3175] | Recommendation ITU-T Y.3175 (2020), Functional architecture of machine learning-based quality of service assurance for the IMT-2020 network . | +| [ITU-T Y.4000] | Recommendation ITU-T Y.4000/Y.2060 (2012), Overview of the Internet of things . | + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE 1 – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +NOTE 2 – This definition is based on [b-ITU-R M.2083-0]. + +**3.1.2 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +**3.1.3 multi-access edge computing** [b-ETSI GS MEC 001]: System which provides an IT service environment and cloud-computing capabilities at the edge of an access network which contains one or more type of access technology, and in close proximity to its users. + +**3.1.4 quality of experience (QoE)** [b-ITU-T P.10]: The degree of delight or annoyance of the user of an application or service. + +NOTE – Recognizing on-going research on this topic, this is a working definition which is expected to evolve for some time. (This note is not part of the definition.) + +**3.1.5 quality of service (QoS)** [b-ITU-T P.10]: The totality of characteristics of a telecommunications service that bear on its ability to satisfy stated and implied needs of the user of the service (see [b-ITU-T E.800]). + +**3.1.6 quality of service assurance** [ITU-T Y.3109]: Functionalities or mechanisms that enable service providers to make statements with a degree of confidence that the service meets the quality characteristics or objectives specified elsewhere. + +## 3.2 Terms defined in this Recommendation + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----|-------------------------| +| AF | Application Function | +| AI | Artificial Intelligence | + +| | | +|-------|------------------------------------------| +| AN | Access Network | +| CEF | Capability Exposure Function | +| CN | Core Network | +| CT | Computed Tomography | +| DN | Data Network | +| E2E | End to End | +| ECG | Electrocardiogram | +| FMC | Fixed Mobile Convergence | +| HIS | Healthcare Information System | +| ICT | Information and Communication Technology | +| MEC | Multi-access Edge Computing | +| ML | Machine Learning | +| NACF | Network Access Control Function | +| NFR | Network Function Registry | +| NSSF | Network Slice Selection Function | +| PCF | Policy Control Function | +| PHD | Personal Health Devices | +| PHG | Personal Health Gateway | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| QRC | Quick Response Code | +| RP | Reference Point | +| SH | Smart Healthcare | +| SLA | Service Level Agreement | +| UE | User Equipment | +| UPF | User Plane Function | +| USM | Unified Subscription Management | +| VR | Virtual Reality | +| WAN | Wide Area Network | +| WBASN | Wireless Body Area Sensor Network | + +# 5 Conventions + +This Recommendation uses the following conventions: + +The term "is required to" indicates a requirement which must be strictly followed, and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Overview + +Today's healthcare systems are under great pressure to deliver high-quality care in the face of aging world population and changing patient expectations – and to do so while becoming more efficient, competitive, and sustainable [b-wp-smart healthcare]. Smart healthcare (SH) is the application of new information and communication technologies (ICTs) such as mobile communications, the Internet of Things (IoT), cloud computing, big data, artificial intelligence (AI), etc., together with modern biotechnology to establish a smart healthcare information system (HIS) platform. + +SH will transform the traditional healthcare system in many ways, making healthcare more efficient, more convenient, and more personalized. + +- From the perspective of patients, the use of new ICTs can enhance the experience of patients. They can use wearable devices to monitor their health at all times, seek medical support through virtual assistants. +- From the perspective of doctors, a variety of intelligent medical decision support systems are used to assist and improve diagnosis. More advanced remote surgery can be achieved through tactile surgical robots [b-3GPP TS 22.104] and virtual reality (VR) / augmented reality (AR) technologies [ITU-T Y.3109]. +- From the perspective of hospitals, new ICT technologies can be used to manage personnel materials and the supply chain, using integrated management platforms to collect information and assist decision-making. + +Through the use of these technologies, SH can effectively reduce the cost and risk of medical procedures, improve the utilization efficiency of medical resources, promote exchanges and cooperation in different regions, push the development of self-service medical care, and ultimately make personalized medical services ubiquitous [b-smart healthcare]. + +Capabilities in the IMT-2020 networks and beyond such as high coverage, high bandwidth, low latency, massive connectivity are key enablers for SH. They enable SH to overcome existing barriers with current connectivity solutions, save precious time and save more lives. + +SH applications supported by IMT-2020 networks have diverse and dynamic QoS [b-ITU-T P.10] and quality of experience (QoE) [b-ITU-T P.10] requirements (bandwidth, latency, jitter, mobility, etc.) and heterogeneous connectivity (fixed, mobile, etc.). Knowledge of those requirements is important for all stakeholders, including developers, network providers, and regulatory authorities to facilitate safe and effective healthcare. + +This Recommendation summarizes the representative SH applications and identifies the QoS considerations for SH. Based on these QoS considerations, this Recommendation specifies the QoS assurance requirements and a framework for efficient network QoS planning, QoS provisioning, QoS monitoring [ITU-T Y.3124] and QoS optimization [ITU-T Y.3106] [ITU-T Y.3107]. + +# 7 QoS considerations + +The representative SH applications supported by IMT-2020 networks and beyond include (see Figure 1): + +- 1) Remote health monitoring; +- 2) Remote medical diagnosis; +- 3) Remote robot aided surgery; +- 4) Mobile emergency rescue. + +![Figure 1: Representative smart healthcare applications supported by IMT-2020 and beyond. The diagram is organized into four vertical columns: User equipment, Access and transport network, Core network and data centre, and Smart healthcare information system. Each column contains icons and labels for various applications and network components.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +The diagram illustrates the architecture and applications of smart healthcare systems supported by IMT-2020 and beyond. It is divided into four main sections: + +- User equipment:** Includes icons for remote health monitoring (person with monitor), remote medical diagnosis (doctor and patient), remote robot aided surgery (robotic arm), and mobile emergency rescue (ambulance). +- Access and transport network:** Includes icons for IMT-2020/5G (antenna), Personal health gateway (router), and Fixed network (cable modem). +- Core network and data centre:** Includes icons for CN (5G logo), Computing (server rack), Storage (storage unit), and Network (network switch). +- Smart healthcare information system:** Includes icons for remote health monitoring (doctor and patient), remote medical diagnosis (doctor and patient), remote robot aided surgery (robotic arm), and mobile emergency rescue (ambulance and hospital). + +Y.3143(24) + +Figure 1: Representative smart healthcare applications supported by IMT-2020 and beyond. The diagram is organized into four vertical columns: User equipment, Access and transport network, Core network and data centre, and Smart healthcare information system. Each column contains icons and labels for various applications and network components. + +**Figure 1 – Representative smart healthcare applications supported by IMT-2020 and beyond** + +**Remote health monitoring** in hospital or at home can provide complex, continuous, and ubiquitous monitoring data through personal health devices (PHDs) [ITU-T H.810] [ITU-T F.780.5]. It allows a healthcare professional to remotely interpret data necessary for a patient's medical follow-up and, if necessary, make decisions regarding the patient's state of health. Example PHDs include: pulse oximeter, blood pressure monitor, thermometer or weighing scales capabilities classes, where the physical transport media could be ZigBee, Bluetooth, USB or NFC. + +These wearable and portable devices can be organized in an individual's wireless body area sensor network (WBASN), which collects and periodically sends patients' data to SH data center through a personal health gateway (PHG) [ITU-T H.810] [ITU-T F.780.5]. It can be equipped with additional sensors for measuring temperature, humidity, and light exposure data. In some cases, cameras can monitor the patient activity, especially for those at risk of falling. Physiological data of patients maybe continuously collected and processed to maintain a reliable picture of the patient's status. Therefore, the high connection and traffic density given by a high number of monitored patients within the limited area of the hospital or densely populated urban area (e.g., with over 2000 inhabitants/km2) can challenge the IMT-2020 fix mobile convergence communication network. + +The QoS requirements on IMT-2020 network and beyond include, for example, could stably approach 300 Mbit/s to 1 Gbit/s (including image/video data), latency (250 ms), jitter (25 ms), and service availability (99.9%) [b-Giulia]. + +**Remote medical diagnosis** will help to serve patients in rural, remote or underdeveloped areas, where specialized physicians are hardly present. It involves a remote expert in a large central hospital who controls a diagnosis robotic system deployed in a local medical facility. In this scenario, an advanced fixed mobile convergence (FMC) communication network is needed to provide seamless remote video interaction with both the local physician and the patient, and to collect data from biosensors and other examination equipment through, e.g. body images. AI or machine learning (ML) powered medical imaging auxiliary diagnosis tools can be deployed to analyse medical images based on pattern recognition, and to relieve medical staff with heavy burdens. Deep learning models can also be developed to extract visual features from volumetric chest computed tomography (CT) exams + +[b-COVID]. Real-time video and diagnosis image transmission brings more severe challenges to the processing capabilities, latency and reliability. + +The QoS requirements on IMT-2020 network and beyond include, for example, high bandwidth (20-50 Mbit/s), low delay (80-100 ms), high reliability (99.999%) and low jitter (20 ms) [b-Giulia]. + +**Remote robot aided surgery** is seeing a rapid development and a spreading of use, given its many advantages over traditional surgery. Remote robot aided surgery is particularly suitable to invasive surgical procedures that require delicate tissue manipulation and access to areas with difficult exposure. It is achieved through complex systems that translate the surgeon's hand movements into smaller, precise movements of tiny instruments that can generally bend and rotate far more than a human hand is capable of doing inside the patient's body. Typical surgery robotic systems can have around 40 actuators and the same number of sensors, which allows to compute the data rate required in each direction in order to execute a given movement. In order to make telesurgery remotely available, highly demanding communications requirements have been recently identified. Indeed, in order to experience a natural perception during surgery, physicians should be supported by a stable, real-time, haptic, and visual feedback coming from the surgical device and the camera pointing at the anatomical target. + +This requires, for example, data rates of at least 1 Gbit/s, deterministic latency (less than 5 ms) and jitters (less than 2 ms), and the reliability should not be lower than (99.99999%) [b-3GPP-TS-22.104] [b-Giulia]. + +**Mobile emergency rescue** involves life signs and custody, diagnosis and examination and video consultation. The data volume for diagnosis and examination depends on the category of inspection, which can be performed remotely. The surveillance information of life signs is continuously uploaded, and the communication rate is about 200 kbit/s. The mainstream of car video diagnosis is 1080P, which requires 10 Mbit/s communication speed. In the future, the communication rate required for 4K high-definition video consultation will be further increased. + +These solutions, as teleconference, require high data rates (more than 10 Mbit/s) and low latency (less than 10 ms), in order to guarantee smooth streaming at moderately high-speed ambulance (e.g., up to 100 km/h) [b-Giulia]. + +Based on the high-level QoS considerations described above, clause 8 specifies QoS assurance requirements for SH supported by IMT-2020 and beyond (SH-IMT2020). To fulfil the requirements, a framework of QoS assurance for SH is specified in clause 8. + +# **8 QoS assurance requirements** + +### **8.1 High level requirements** + +- SH-IMT2020 is required to support different types of SH services with different QoS objectives; +- SH-IMT2020 is required to support life-critical service continuity and reliability for SH users and organizations; +- SH-IMT2020 is required to support fixed and/or mobile network connectivity for supporting different types of medical sensors and devices; + +NOTE 1 – Example of medical devices: medical diagnosis equipment, medical monitoring equipment, medical robots, ambulances, office computers, cell phones, wearable equipment, personal health gateways etc.; + +- SH-IMT2020 is required to support real time massive data acquisition and monitoring of the patients' multiple physiological parameter data; + +NOTE 2 – examples of physiological parameter data are electrocardiogram (ECG), heart rate, blood pressure, blood sugar, blood oxygen saturation, and body temperature; + +- SH-IMT2020 is required to support high bandwidth for ultra-high-definition systems for efficient and intelligent medical diagnosis; +- SH-IMT2020 is required to support high data rates, low latency and high mobility for mobile emergency rescue; +- SH-IMT2020 is required to support end to end (E2E) QoS lifecycle management and assurance for SH services and applications; +- SH-IMT2020 is required to support monitoring and analysis of SH network and service status; +- SH-IMT2020 is required to support joint scheduling of network/computing/storage resources for SH service; +- SH-IMT2020 is recommended to support high reliability for time sensitive remote medical diagnosis and remote robot aided surgery. + +## **8.2 QoS planning** + +- SH-IMT2020 is required to support translation of an SH service level agreement (SLA) into the IMT-2020 and beyond network QoS policy rules; +- SH-IMT2020 is required to support the estimation of network coverage, capacity, bandwidth, and delay with the consideration of SH service types, SH user equipment (UE) types and UE numbers; +- SH-IMT2020 is required to support topology design and route planning per SH service type to ensure QoS assurance; +- SH-IMT2020 is required to support joint planning of networking/computing/storage resources and SH service capabilities to ensure QoS assurance; +- SH-IMT2020 is recommended to support seamless roaming design in the FMC IMT-2020 network for mobile SH users to ensure QoS assurance [ITU-T Y.3130]. + +## **8.3 QoS provisioning** + +- SH-IMT2020 is required to support unified and access-agnostic QoS provisioning for SH UEs from a core network (CN) perspective; +- SH-IMT2020 is required to support E2E QoS provisioning; +- SH-IMT2020 is recommended to support QoS mapping among SH UEs, PHGs, fixed/mobile access network (AN), transport network, CN, data network (DN), and smart healthcare information system, etc.; +- SH-IMT2020 is required to support healthcare service specific QoS enforcement enabled by flow classification, marking, congestion avoidance, queue shaping and queue scheduling; +- SH-IMT2020 is required to support joint scheduling of network/computing/storage resources and SH service capabilities to ensure QoS assurance; +- SH-IMT2020 is recommended to support autonomous QoS policy management with a global network view and agile, softwarized network functions. + +## **8.4 QoS monitoring** + +- SH-IMT2020 is required to support QoS related status monitoring of SH UEs, PHGs, network/computing/storage resources and healthcare information system (HIS) for SH service; +- SH-IMT2020 is required to support SH service specific QoS data collection of SH UEs, PHGs, AN, CN, and HIS [ITU-T Y.3124]; + +- SH-IMT2020 is required to support SH service specific QoS data pre-processing of UEs, PHGs, AN, CN, and HIS [ITU-T Y.3124]; +- SH-IMT2020 is required to support autonomic SH QoS measurement and QoS anomaly detection; +- SH-IMT2020 is required to report healthcare service specific QoS events upon detecting QoS anomalies that violate the SH service SLAs. + +## **8.5 QoS optimization** + +- SH-IMT2020 is recommended to support QoS optimization based on joint scheduling of network/computing/storage resources and SH service capabilities; +- SH-IMT2020 is recommended to support healthcare service specific QoS optimization enabled by multi-access edge computing (MEC), ML/ AI [ITU-T Y.3158] [b-ETSI GS MEC 001] [ITU-T Y.3170] [ITU-T Y.3172] [ITU-T Y.3175], etc.; +- SH-IMT2020 is recommended to support healthcare service specific QoS anomaly prediction based on the analysis of QoS data [ITU-T Y.3170] [ITU-T Y.3172] [ITU-T Y.3175]. +- SH-IMT2020 is recommended to support traffic prediction based on the analysis of collected QoS data; +- SH-IMT2020 is recommended to support healthcare service specific routing optimization, traffic switching, splitting and steering based on the current SH traffic status. + +# **9 Framework** + +A conceptual framework of QoS assurance for SH supported by IMT-2020 and beyond is shown in Figure 2. + +![Figure 2: A conceptual framework of QoS assurance for smart healthcare supported by IMT-2020 and beyond. The diagram shows four main components: User equipment (UE), Access network (AN), Core network (CN), and Smart health information system. UE includes services like remote health monitoring, medical diagnosis, robotic surgery, and emergency rescue, with a personal health gateway for QoS monitoring. AN includes IMT-2020 mobile and fixed access networks with SH QoS monitoring and provisioning, and an SH edge. CN includes NFR, USM, SMF, ASF, CEF, NACF, NSSF, AF(SH), PCF (SH QoS control), SH QoS planning/provisioning/optimization/monitoring, and SH UPF QoS provisioning/monitoring. The Smart health information system includes remote health monitoring, medical diagnosis, robotic surgery, emergency rescue, and SLA management/QoS monitoring. Interconnections are shown between UE-AN (RP-tn), AN-CN (RP-an), AN-CN (RP-au), and CN-DN (RP-ud).](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +Y.3143(24) + +CEF: capability exposure function + USM: unified subscription management + SMF: session management function + UPF: user plane function + +NFR: network function registry + NACF: network access control function + ASF: authentication server function + RP-tn: reference point between UE and NACF + +PCF: policy control function + NSSF: network slice selection function + AF: application function + RP-an: reference point between AN and NACF + RP-au: reference point between AN and UPF + RP-ud: reference point between UPF and data network + +Figure 2: A conceptual framework of QoS assurance for smart healthcare supported by IMT-2020 and beyond. The diagram shows four main components: User equipment (UE), Access network (AN), Core network (CN), and Smart health information system. UE includes services like remote health monitoring, medical diagnosis, robotic surgery, and emergency rescue, with a personal health gateway for QoS monitoring. AN includes IMT-2020 mobile and fixed access networks with SH QoS monitoring and provisioning, and an SH edge. CN includes NFR, USM, SMF, ASF, CEF, NACF, NSSF, AF(SH), PCF (SH QoS control), SH QoS planning/provisioning/optimization/monitoring, and SH UPF QoS provisioning/monitoring. The Smart health information system includes remote health monitoring, medical diagnosis, robotic surgery, emergency rescue, and SLA management/QoS monitoring. Interconnections are shown between UE-AN (RP-tn), AN-CN (RP-an), AN-CN (RP-au), and CN-DN (RP-ud). + +**Figure 2 – A conceptual framework of QoS assurance for smart healthcare supported by IMT-2020 and beyond** + +The framework is built over an IMT-2020 FMC network with SH QoS assurance-related capabilities. The access network consists of both the IMT-2020 mobile access network and fixed access network. The QoS assurance-related capabilities for SH are distributed among UEs, AN, CN and smart HIS. + +The description of the role of each component is as follows. + +- The smart healthcare information system supports different SH services and management functions. Smart healthcare information system supports SLA management and service level QoS monitoring functions. It can be seen as an application function (AF) with SH capabilities supported by IMT-2020 and beyond. +- The SH AF can interact with IMT-2020 policy control function (PCF) through service-based interfaces or capability exposure function interfaces [ITU-T Y.3102] [ITU-T Y.3104]. The SH AF provides application function exposure services to NFs in core network. The exposed service experience information includes: service experience information, UE mobility information, user data congestion information, exception information, etc. [b-3GPP-TS29.517]. It can also influence traffic routing by providing this service information to the PCF in support of its QoS policy rule generation. +- E2E SH QoS control is supported in the IMT-2020 core network (CN). The QoS functionalities (planning, provisioning, monitoring and optimization) are distributed across both the control plane (CP) and user plane function (UPF). The machine learning based AI technologies can be used for SH QoS optimization [ITU-T Y.3170] [ITU-T Y.3172] [ITU-T Y.3175]. + +- The SH access network is an IMT-2020 FMC network which support various SH applications with different QoS requirements. SH QoS provisioning and monitoring for QoS enforcement and QoS data collection is supported in the FMC network. +- The SH edge is located near to the SH UEs. The SH edge is responsible for interaction with the CN and smart healthcare information system for time sensitive service optimization [ITU-T Y.3109]. Thanks to the local access, computing, storage and bandwidth provided by the SH edge, a one-stop solution is available for efficient live video delivery. Furthermore, the traffic cost of the smart healthcare information system can be reduced. +- There are many different types of SH terminals (e.g., medical diagnosis equipment, medical monitoring equipment, medical IoT devices, robots, ambulances, office computers, cell phones, wearable equipment, etc.) [ITU-T H.810] [ITU-T F.780.5] with fixed or mobile access capabilities which have different QoS requirements (see Appendix I). These terminals are connected to the IMT-2020 FMC network directly or through a PHG. The PHG should support at least one kind of wide area network (WAN) to provide basic communication services, such as public cellular network (e.g., IMT-2020) [ITU-T F.780.5] [ITU-T Y.4000]. + +## **10 Security considerations** + +This Recommendation describes the QoS assurance requirements and framework for SH supported by IMT-2020 and beyond. Therefore, general network security requirements and mechanisms in IP-based networks and IMT-2020 network should be applied [b-ITU-T Y.2701], [b-ITU-T Y.3101]. The security mechanisms such as authentication, authority, accounting and encryption should be adopted to ensure security of SH and IMT-2020 system. + +## Appendix I + +### Smart healthcare application scenarios with QoS metrics + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Remote health monitoring + +Remote health monitoring in hospital can provide complex, continuous, and ubiquitous monitoring data (blood pressure, oxygenation, heartbeat rate, and other vitals) for many patients. Data are integrated, in real time, to determine the current health condition of the patient, and in critical situations, an assistance request can be automatically triggered. + +Pervasive monitoring generates traffic with data rates up to 1 Mb/s/patient. In general, units and physiological data of patients may be continuously collected and processed (in the cloud) to maintain a reliable picture of the patient's status. Therefore, the high connection and traffic density given by a high number of monitored patients within the limited area of the hospital can challenge the communication network. The overall data rate could stably approach 300 Mb/s (including image data), while moderate requirements on latency (250 ms), jitter (25 ms), and service availability ( $1-10^{-3}$ ) are expected. + +Remote health monitoring at home can shift monitoring from hospital to the individual's home. In this scenario, cheaper, yet reliable, biosensors can be provided to the user to monitor vitals and other physiological activities, e.g. the glucose level. Moreover, a smart house can be equipped with additional tiny and unobtrusive sensors for measuring temperature, humidity, and light exposure data. In some cases, cameras can monitor the patient activity, especially for those at risk of falling. Biosensors can include traditional acquisition systems, such as Holter electrocardiograms (ECGs), but also wearable and portable devices that can be organized in an individual's wireless body area sensor network (WBASN), which collects and periodically sends patient data to a hospital, clinical centre, or even an ambulance, for both real-time monitoring and data storage. + +Here, real-time continuous and heterogeneous big data collection, transmission, analysis, and feedback must be performed by the IMT-2020 network and beyond in order to generate alarms when needed. Therefore, the latency requirement, together with the massive data transmission, could challenge the network performance: 1 Gb/s traffic can be generated by monitoring a densely populated urban area (e.g., with over 2000 inhabitants/km2). Moreover, with IMT-2020, a specific priority could be accommodated for different pervasive monitoring at-home modalities, e.g. video streaming or alarms, offering different QoS levels. + +The key requirements of remote health monitoring for IMT-2020 and beyond are as illustrated in Table I.1 [b-Giulia] [b-Tactile]. + +**Table I.1 – Remote health monitoring** + +| Application Scenario | Data type | Latency | Bandwidth | Reliability | Jitter | Connection density | +|--------------------------|------------------|----------|----------------|-------------|---------|---------------------------------------------------------------------------------------------------------------------------------------| +| Remote health monitoring | Temperatures | ≤ 250 ms | 10 kbit/s | 99.9% | ≤ 25 ms | Remote health monitoring in hospital: 1000 devices/km 2
Remote health monitoring at home: 20000 devices/km 2 | +| | Blood pressure | ≤ 250 ms | 10 kbit/s | 99.9% | ≤ 25 ms | | +| | Heart rate | ≤ 250 ms | 10 kbit/s | 99.9% | ≤ 25 ms | | +| | Respiration rate | ≤ 250 ms | 10 kbit/s | 99.9% | ≤ 25 ms | | +| | ECG | ≤ 250 ms | 10 kbit/s | 99.9% | ≤ 25 ms | | +| | 3D camera | ≤ 150 ms | 300 M-1 Gbit/s | 99.9% | ≤ 30 ms | | +| | Audio | ≤ 150 ms | 10 kbit/s | 99% | ≤ 30 ms | | + +### I.2 Remote medical diagnosis + +Sparse points-of-care are intended to serve patients in rural, remote or underdeveloped areas, where specialized physicians are hardly present (thus, with low traffic and connection density). At those sites, general physicians may be available for patient basic examination with medical equipment. The examination record can be stored and encoded as quick response code (QRC). The examination record can be read and shared remotely on the Internet by scanning the QRC [b-remote-consult]. They could receive teleconsultation by more expert colleagues through video conferencing systems. + +The typical data for remote medical consultation is real-time 4K video. In addition, advanced examinations could be conducted by a remote expert clinician with the help of the local physician. Image remote diagnosis provides patient clinical medical records and image data, including image data collected by medical imaging equipment and some video data [b-5G-Hospital]. + +AI or ML powered medical imaging auxiliary diagnosis tools can be deployed to analyse medical images based on pattern recognition and to relieve medical staff with heavy burdens. Deep learning models can also be developed to extract visual features from volumetric chest computed tomography (CT) exams [b-COVID]. Real-time video and diagnosis image transmission brings more severe challenges to the processing capabilities, latency and reliability. + +The key requirements of intelligent remote medical consultation and image diagnosis for IMT-2020 and beyond are as illustrated in Table I.2 [b-Giulia]. + +**Table I.2 – Remote medical consultation and image diagnosis** + +| Application Scenario | Latency | Uplink rate | Downlink rate | Reliability | Jitter | +|-----------------------------|---------------|-------------|---------------|-------------|--------| +| Remote medical consultation | $\leq 100$ ms | 20 Mbit/s | 20 Mbit/s | 99.9999% | 20 ms | +| Remote image diagnosis | $\leq 80$ ms | 50 Mbit/s | 50 Mbit/s | 99.9999% | 20 ms | + +### I.3 Remote robot aided surgery + +Remote robot aided surgery is seeing a rapid development and a spreading of use, given its many advantages over traditional surgery. It enables visual guidance during surgery and reduces invasiveness thus making the patient's recovery faster. + +Remote robot aided surgery is particularly suitable to invasive surgical procedures that require delicate tissue manipulation and access to areas with difficult exposure. It is achieved through complex systems that translate the surgeon's hand movements into smaller, precise movements of tiny instruments that can generally bend and rotate far more than a human hand is capable of doing inside the patient's body. Typical surgery robotic systems can have around 40 actuators and the same number of sensors which allows to compute the data rate required in each direction in order to execute a given movement. + +In order to make telesurgery remotely available, highly demanding communications requirements have been recently identified. Indeed, in order to experience a natural perception during surgery, physicians should be supported by a stable, real-time, haptic, and visual feedback coming from the surgical device and the camera pointing at the anatomical target: this requires high data rates (at least 1 Gbit/s), short latency (less than 5 ms), small jitters (less than 2 ms), and high reliability (not be lower than $1-10^{-7}$ ), with low traffic connection density. + +Furthermore, in some recent attempts, the integration of holographic models of the target anatomical structure has been proposed. In this case, requirements become further demanding: indeed, the real-time holographic rendering needs end-to-end latency below 5 ms. At the same time, the user data rate could easily jump to 2 Gbit/s. + +The key requirements of intelligent distribution automation for IMT-2020 and beyond are as illustrated in Table I.3 [b-Giulia]. + +**Table I.3 – Remote robot aided surgery** + +| Application Scenario | Data type | Latency | Uplink rate | Reliability | Jitter | +|----------------------------|----------------------|---------------|-------------------|-------------|-------------| +| Remote robot aided surgery | Real time Multimedia | $\leq 150$ ms | 1 Gbit/s-2 Gbit/s | 99.9% | $\leq 5$ ms | +| | Physical vital signs | $\leq 5$ ms | 2 Mbit/s | 99.99999% | $\leq 2$ ms | +| | Haptic feed back | $\leq 5$ ms | 400 Kbit/s | 99.99999% | $\leq 2$ ms | + +### I.4 Mobile emergency rescue + +Emergency rescue refers to first-aid medical services carried out by cooperation among emergency personnel, ambulances, emergency command centres and hospitals. At the rescue and natural disaster rescue site, medical staff need to urgently perform injuries for patients, check and transmit the inspection results to the emergency command centre and hospital. For patients with troubles, remote treatment will be guided by the hospital through the mobile terminal. The equipment included a 4K camera providing detailed real-time videos of the patient with high colour resolution to clinicians assisting the paramedical staff from the hospital. + +Emergency rescue involves life signs and custody, diagnosis and examination and video consultation. The data volume for diagnosis and examination depends on the category of inspection, which can be performed remotely. The surveillance information of life signs is continuously uploaded, and the communication rate is about 200 kbit/s. The mainstream car video diagnosis is 1080P, which requires 10 Mbit/s communication speed [b-ITU-T Y.3122]. In the future, the communication rate required for 4K high-definition video consultation will be further increased. + +These solutions, such as teleconference, require high data rates and low latency, in order to guarantee smooth streaming at moderately high-speed ambulance (up to 100 km/h). + +The key requirements of intelligent distribution automation for IMT-2020 and beyond are as illustrated in Table I.4 [b-Giulia]. + +**Table I.4 – Mobile emergency rescue** + +| Application Scenario | Data | Latency | Bandwidth | Reliability | Jitter | Mobility | +|-------------------------|---------------------------|--------------|------------|-------------|-------------|----------| +| Mobile emergency rescue | Information of life signs | $\leq 10$ ms | 200 kbit/s | 99.9% | $\leq 2$ ms | 100 km/h | +| | Car video (1080P) | $\leq 10$ ms | 10 Mbit/s | 99.9% | $\leq 2$ ms | 100 km/h | + +## Bibliography + +- [b-ITU-T E.800] Recommendation ITU-T E.800 (2008), *Definitions of terms related to quality of service.* +- [b-ITU-T P.10] Recommendation ITU-T P.10/G.100 (2017), *Vocabulary for performance, quality of service and quality of experience.* +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1.* +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network.* +- [b-ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network.* +- [b-ITU-T Y.3122] Recommendation ITU-T Y.3122 (2023), *Quality of service assurance requirements and framework for smart grid supported by IMT-2020 and beyond.* +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000.* +- [b-ITU-R M.2083-0] Recommendation ITU-R M.2083-0 (2015), *IMT vision – Framework and overall objectives of the future development of IMT for 2020 and beyond.* +- [b-COVID] FG-AI4H Output, DT4HE Output 1(2020), *Guidance on AI and digital technologies for COVID health emergency.* +- [b-ETSI GS MEC 001] ETSI GS MEC 001 (2019), *Multi-access edge computing (MEC) terminology.* +- [b-Giulia] Cisotto, Giulia, Edoardo Casarin, and Stefano Tomasin (2019), *Performance Requirements of Advanced Healthcare Services over Future Cellular Systems.* + +- [b-remote-consult] A QR code help consultation to solve the problem of patients in the seventies. + +- [b-5G-Hospital] Specification for Hospital Network Construction Based on 5G Technology (Radio Access Network Part); (in Chinese) + [b-smart healthcare] Tian S, Yang W, Le Grange J M, et al (2019), *Smart healthcare: making medical care more intelligent[J]*. Global Health Journal, 3(3): 62-65. +- [b-3GPP TS 22.104] 3GPP TS 22.104 V19.1.0 (2023-09), *Technical Specification Group Services and System Aspects; Service requirements for cyber-physical control applications in vertical domains; Stage 1 (Release 19).* +- [b-3GPP-TS29.517] 3GPP TS 29.517 V18.4.0 (2023-12), *Technical Specification Group Core Network and Terminals; 5G System; Application Function Event Exposure Service; Stage 3 (Release 18).* + +- [b-tactile] Zhang Q, Liu J, Zhao G. (2018), *Towards 5G enabled tactile robotic telesurgery*[J]. arXiv preprint arXiv:1803.03586. +- [b-wp-smart healthcare] Siemens white paper. Smart Healthcare Digital Transformation, . + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general 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addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3144 + +# Future networks including IMT-2020 – Requirements and functional architecture of distributed core network + +## Summary + +The distributed core network is a core network which builds on network functional units collaborating in a distributed manner to provide the network functions of control plane, user plane and data plane. Recommendation ITU-T Y.3144 specifies the enabling features, requirements, functional architecture, network function enhancements and procedures of the distributed core network, in the context of future networks including IMT-2020. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3144 | 2024-09-13 | 13 | 11.1002/1000/16103 | + +## Keywords + +Distributed core network, IMT-2020, network functional unit, network functionality. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Terms defined elsewhere..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 General considerations on distributed core network ..... | 3 | +| 6.1 Overview of distributed core network..... | 3 | +| 6.2 Enabling features of distributed core network..... | 5 | +| 7 Requirements of distributed core network..... | 7 | +| 7.1 General requirements..... | 7 | +| 7.2 Requirements on network function atomization..... | 8 | +| 7.3 Requirements on network functional units..... | 8 | +| 7.4 Requirements on distributed collaboration..... | 8 | +| 7.5 Requirements on core network autonomy ..... | 8 | +| 7.6 Requirements on AI/ML agent..... | 9 | +| 8 Functional architecture of distributed core network..... | 9 | +| 8.1 Architecture reference model ..... | 9 | +| 8.2 Control plane functions ..... | 10 | +| 8.3 User plane functions ..... | 10 | +| 8.4 Data plane functions ..... | 10 | +| 8.5 AI/ML agents..... | 11 | +| 8.6 Reference points ..... | 11 | +| 9 Network function enhancements of distributed core network..... | 12 | +| 9.1 Network function enhancements of control plane..... | 12 | +| 9.2 Network function enhancements of user plane ..... | 12 | +| 9.3 Network function enhancements of data plane ..... | 13 | +| 9.4 Functions of the AI/ML agent ..... | 13 | +| 10 Procedures of distributed core network ..... | 13 | +| 10.1 Procedure of atomization of network functions ..... | 13 | +| 10.2 Procedure of organization of network functional units ..... | 14 | +| 10.3 Procedure of distributed collaboration of network functional units..... | 15 | +| 10.4 Procedure of core network autonomy..... | 16 | +| 10.5 Service procedures..... | 18 | +| 11 Security considerations..... | 18 | +| Appendix I – Use cases of distributed core network ..... | 19 | +| Bibliography..... | 20 | + + + +# Recommendation ITU-T Y.3144 + +# Future networks including IMT-2020 – Requirements and functional architecture of distributed core network + +# 1 Scope + +This Recommendation specifies the distributed core network in the context of future networks including IMT-2020. The distributed core network is a core network which builds on network functional units collaborating in a distributed manner to provide the network functions of control plane, user plane and data plane, in which the network functional unit is a core network software unit consisting of atomic network functionalities on the basis of IMT-2020 core network functions. + +This Recommendation addresses the following aspects of distributed core network: + +- General considerations; +- Requirements; +- Functional architecture; +- Network function enhancements; +- Procedures. + +Some relevant use cases are provided in Appendix I. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T M.3010] Recommendation ITU-T M.3010 (2000), *Principles for a telecommunications management network*. +- [ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [ITU-T Y.3102] Recommendation ITU-T Y.3102 (2018), *Framework of the IMT-2020 network*. +- [ITU-T Y.3104] Recommendation ITU-T Y.3104 (2018), *Architecture of the IMT-2020 network*. +- [ITU-T Y.3114] Recommendation ITU-T Y.3114 (2022), *Future networks including IMT-2020: requirements and functional architecture of lightweight core for dedicated networks*. +- [ITU-T Y.3127] Recommendation ITU-T Y.3127 (2023), *Future networks including IMT-2020 – Requirements and framework for self-organizing core network*. +- [ITU-T Y.3172] Recommendation ITU-T Y.3172 (2019), *Architectural framework for machine learning in future networks including IMT-2020*. +- [ITU-T Y.3174] Recommendation ITU-T Y.3174 (2020), *Framework for data handling to enable machine learning in future networks including IMT-2020*. + +- [ITU-T Y.3187] Recommendation ITU-T Y.3187 (2024), *Architectural Framework for Machine Learning Function Orchestrator in future networks including IMT-2020*. +- [ITU-T Y.3201] Recommendation ITU-T Y.3201 (2023), *Fixed, mobile and satellite convergence – Framework for IMT-2020 networks and beyond*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 dedicated network** [ITU-T Y.3114]: A network designed for application domains with common requirements. + +**3.1.2 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related technologies that support to provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +**3.1.3 machine learning (ML)** [ITU-T Y.3172]: Processes that enable computational systems to understand data and gain knowledge from it without necessarily being explicitly programmed. + +**3.1.4 machine learning overlay** [ITU-T Y.3172]: A loosely coupled deployment model of machine learning functionalities whose integration and management with network functions are standardized. + +NOTE – A machine learning overlay aims to minimise interdependencies between machine learning functionalities and network functions using standard interfaces, allowing for parallel evolution of functionalities of the two. + +**3.1.5 management plane** [b-ITU-T Y.2011]: The set of functions used to manage entities in the stratum or layer under consideration, plus the functions required to support this management. + +**3.1.6 network function** [b-ITU-T Y.3100]: In the context of IMT-2020, a processing function in a network. + +## 3.2 Terms defined in this Recommendation + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|---------------------------------------------------------| +| AF | Application Function | +| AI | Artificial Intelligence | +| ASF | Authentication Server Function | +| CEF | Capability Exposure Function | +| DLT | Distributed Ledger Technology | +| FCAPS | Fault, Configuration, Accounting, Performance, Security | +| FQDN | Fully Qualified Domain Name | +| HTTP | Hypertext Transfer Protocol | +| IP | Internet Protocol | + +| | | +|------|------------------------------------------| +| IPFS | InterPlanetary File System | +| ML | Machine Learning | +| NACF | Network Access Control Function | +| NFR | Network Function Registry function | +| NSSF | Network Slice Selection Function | +| PCF | Policy Control Function | +| PDU | Protocol Data Unit | +| QoS | Quality of Service | +| SMF | Session Management Function | +| TCP | Transmission Control Protocol | +| UE | User Equipment | +| UPF | User Plane Function | +| URL | Uniform Resource Locator | +| USM | Unified Subscription Management function | +| XR | extended Reality | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 General considerations on distributed core network + +## 6.1 Overview of distributed core network + +This Recommendation specifies the distributed core network in the context of future networks including IMT-2020. The distributed core network is a core network which builds on network functional units collaborating in a distributed manner to provide the network functions of control plane, user plane, and data plane, in which the network functional unit is a core network software unit consisting of atomic network functionalities on the basis of IMT-2020 core network functions. + +In the distributed core network, the control plane is a pool of control related network functionalities which enable control functions such as enhanced IMT-2020 control, sensing control, computing control, security control and energy efficiency. The user plane is a pool of user related network functionalities which enable user functions such as traffic processing, service processing and policy enforcement. The data plane is a pool of data related network functionalities which enable data functions such as data storage management, data agent and data orchestration. + +NOTE 1 – The distributed core network aims to provide a method for the configuration of network entities, where a network entity integrates the network functional units of a specific network node for network deployment purposes. + +With the support of atomic network functionalities and a separate control plane, user plane, and data plane, the distributed core network is expected to facilitate the introduction of new features and optimize energy consumption by maximizing the reuse of network functionalities. In addition, the + +distributed core network is expected to achieve good performance on latency in a distributed manner of network deployment and service provision. Thus, it could support the emerging services of future networks including IMT-2020, such as extended reality (XR), cloud gaming and Industrial Internet. + +As specified in clause 6.2, the enabling features of distributed core network include, but are not limited to: atomization of network functions, organization of network functional units, distributed collaboration of network functional units and core network autonomy. + +Figure 6-1 depicts the design reference model of distributed core network, in the context of future networks including IMT-2020. + +![Figure 6-1: Design reference model of distributed core network. The diagram illustrates a distributed core network architecture. At the top, three boxes represent the 'Management plane', 'Service plane', and 'AI/ML overlay'. These connect to a large dashed box labeled 'Distributed core network'. Inside this box, three 'AI/ML agent' boxes are shown at the top. Below them are three main functional areas: 'Control plane', 'User plane', and 'Data plane'. Each plane contains 'Network functional unit' boxes. The 'Control plane' has one unit at the top and two at the bottom. The 'User plane' has one unit at the top and two at the bottom. The 'Data plane' has one unit at the top and one at the bottom. A legend indicates that blue circles represent 'Atomic network functionality' for the control plane, green circles for the user plane, and pink circles for the data plane. The diagram is divided into 'Central location' (top) and 'Edge location' (bottom). At the bottom, four boxes represent 'User equipment (UE)', 'Access network', 'IMT-2020 core network', and 'Data network', all connected to the distributed core network.](e6df2733626a85205c1db682e6259c46_img.jpg) + +Y.3144(24) + +Figure 6-1: Design reference model of distributed core network. The diagram illustrates a distributed core network architecture. At the top, three boxes represent the 'Management plane', 'Service plane', and 'AI/ML overlay'. These connect to a large dashed box labeled 'Distributed core network'. Inside this box, three 'AI/ML agent' boxes are shown at the top. Below them are three main functional areas: 'Control plane', 'User plane', and 'Data plane'. Each plane contains 'Network functional unit' boxes. The 'Control plane' has one unit at the top and two at the bottom. The 'User plane' has one unit at the top and two at the bottom. The 'Data plane' has one unit at the top and one at the bottom. A legend indicates that blue circles represent 'Atomic network functionality' for the control plane, green circles for the user plane, and pink circles for the data plane. The diagram is divided into 'Central location' (top) and 'Edge location' (bottom). At the bottom, four boxes represent 'User equipment (UE)', 'Access network', 'IMT-2020 core network', and 'Data network', all connected to the distributed core network. + +**Figure 6-1 – Design reference model of distributed core network** + +The distributed core network takes the role of the core network, which consists of control plane network functional units, user plane network functional units, data plane network functional units, and artificial intelligence (AI) / machine learning (ML) agents. The network functional units are deployed at a central location and edge locations, and collaborate in a distributed manner. The distributed core network interacts with user equipment (UE), access network, IMT-2020 core network, data network, management plane, service plane and AI/ML overlay. The distributed core network supports interworking with IMT-2020 core networks and other distributed core networks. The distributed core network supports reorganizing in case that one or multiple network functional units are out of service. + +The network functionalities are derived from the IMT-2020 core network functions [ITU-T Y.3102], including network access control function (NACF), session management function (SMF), policy control function (PCF), capability exposure function (CEF), network function registry function (NFR), unified subscription management function (USM), network slice selection function (NSSF), authentication server function (ASF), application function (AF) and user plane function (UPF). + +NOTE 2 – An example of network functional unit is the "network access control", which contains network functionalities originating from NACF, ASF and USM, including access management, location management, handover management, registration management and authentication management. This network functional unit could be deployed at a central location or an edge location. + +NOTE 3 – The UE includes, but is not limited to, mobile phones, wearable devices, customer premises equipment and satellite terminal. It is required for distributed core network to be compatible (via interoperable interfaces) with UEs supported by the IMT-2020 network. + +NOTE 4 – The access network includes fixed access network, mobile access network and satellite access network. It is required for distributed core network to be compatible (via interoperable interfaces) with access networks supported by the IMT-2020 network. + +NOTE 5 – The IMT-2020 core network is specified in [ITU-T Y.3102] and [ITU-T Y.3104]. + +NOTE 6 – The data network plays the same role as the data network specified in [ITU-T Y.3104]. + +NOTE 7 – The management plane provides the functionalities for the management of the distributed core network according to the management functional areas listed in [ITU-T M.3010], i.e., performance management, fault management, configuration management, accounting management and security management, also known as fault, configuration, accounting, performance and security (FCAPS) functional areas. + +NOTE 8 – The service plane supports communications services and third-party applications. The service plane plays the same role as the service plane specified in [ITU-T Y.3114]. + +NOTE 9 – The AI/ML overlay plays the same role as the ML overlay specified in [ITU-T Y.3172]. + +## **6.2 Enabling features of distributed core network** + +#### **6.2.1 Atomization of network functions** + +The atomization of network functions consists in the decomposition of the IMT-2020 core network functions [ITU-T Y.3102] and newly introduced core network functions supporting new features, into atomic network functionalities, i.e., network functionalities of minimum granularity, and in the separation of these network functionalities into control plane, user plane and data plane. + +NOTE 1 – Given the control related nature of these core network functions, the atomized network functions from NACF, SMF, PCF, CEF, NFR, NSSF and AF are within the control plane. + +NOTE 2 – Given the user related nature of these core network functions, the atomized network functions from UPF are within the user plane. + +NOTE 3 – Given the data related nature of these core network functions, the atomized network functions from USM and ASF are within the data plane. + +NOTE 4 – Minimum granularity means that a network function cannot be further decomposed in terms of network functionalities, i.e., the resulting network functionalities are atomic network functionalities. The detailed granularity depends on the implementations of network operators, thus it is out of the scope of this Recommendation. + +#### **6.2.2 Organization of network functional units** + +A network functional unit integrates atomic network functionalities within the same plane (control plane, user plane or data plane) and at the same location (central location or edge location). The network functional units are organized at the function level, which is the same level as the IMT-2020 core network functions [ITU-T Y.3102]. The organization of network functional units is based on the similarity of atomic network functionalities (at a specific location, the atomic network functionalities with high similarity are integrated into one network functional unit) and on the availability of resources (including networking, computing and storage resources). + +NOTE 1 – A network functional unit includes at least one atomic network functionality. Different atomic network functionalities can be integrated into one or more network functional units. + +The network functional units are aggregated from the atomic network functionalities, which are the result of the decomposition of specific IMT-2020 core network functions or newly introduced network functions. + +NOTE 2 – For example, the network functional unit "network access control" may contain network functionalities originating from NACF, ASF and USM; while the network functional unit "network session management" may contain network functionalities originating from NACF, SMF and USM. + +#### **6.2.3 Distributed collaboration of network functional units** + +The network functional units collaborate with each other in a distributed manner by using distribution-enabling technologies, such as distributed ledger technology (DLT) [b-ITU-T X.1402] and InterPlanetary File System (IPFS) [b-ITU-T X.1353]. There is no super node (such as the head entity in [ITU-T Y.3127]) taking the role of organizing the distributed core network. Distribution-enabling technologies, including DLT and IPFS, enable an efficient information exchange mechanism for the support of information synchronization among network functional units. + +The network functional units are organized by means of network entities. A network entity corresponds to a group of network functional units, which includes at least one network functional unit. The configuration of the network entities in a specific network node is based on the specific networking, computing and storage resource contexts of the network node. + +The user context data in each network functional unit may have privacy issues, and trust is the basis for collaboration among network functional units. Security protection aspects, such as those related to decentralized trust framework and multi-party computation [b-ITU-T F.748.13], can be considered for distributed core network. + +Since the distributed core network is required to be compatible with different types of access networks, including fixed access network, mobile access network and satellite access network [ITU-T Y.3201], the network functional units that compose the DCN need to collaborate to provide dedicated control plane or user plane related procedures, by means of appropriate technologies, such as service function chaining [b-ITU-T Y.2242], network slicing [b-ITU-T Y.3100] and potential network customization mechanisms, in order to match the diverse user connection capabilities (e.g., performance of user connections). + +In order to support low latency and high reliability of data transmission in distributed core network, appropriate technologies such as edge computing [b-ITU-T Y.3540] and multi-path transmission control [b-ITU-T Y.2029] can be considered. + +As distributed core network needs to support distributed AI/ML capabilities and distributed computing capabilities, appropriate technologies for coordination of networking and computing [b-ITU-T Y.3400] could be explored. + +#### **6.2.4 Core network autonomy** + +The network entities in a given network region may be grouped into one autonomy region. The distributed core network achieves the autonomy [b-Kephart 2003] of a core network for a specific region (i.e., an autonomy region), with the self-management and self-orchestration of network entities supported by the management plane. Within a single autonomy region, the intra-region networking is formed and used for point-to-point communications between the network entities of the autonomy region. + +The global core network may consist of multiple autonomy regions. The distributed core network achieves the autonomy of the global core network intended as the interconnection of multiple regional-level core networks, with the cross-region self-management and self-orchestration supported by the management plane. In case of multiple autonomy regions, the inter-region networking is formed and used for group-to-group communications between different autonomy regions. + +NOTE – The group-to-group communications refers to the communications between a group of network entities (i.e., one or more network entities) in one autonomy region and a group of network entities in another autonomy region. + +## **7 Requirements of distributed core network** + +## **7.1 General requirements** + +The general requirements of distributed core network are as follows: + +- It is required for distributed core network to support the services and applications supported by the IMT-2020 network, as specified in [ITU-T Y.3101]. +- It is required for distributed core network to support customized services and applications. +- It is required for distributed core network to support the service requirements specified in [ITU-T Y.3101]. +- It is required for distributed core network to support the network capability requirements specified in [ITU-T Y.3102] and [ITU-T Y.3104]. +- It is required for distributed core network to be compatible with UEs and access networks supported by the IMT-2020 network. +- It is required for distributed core network to support interworking with IMT-2020 core networks. +- It is required for distributed core network to support interworking with other distributed core networks. +- It is required for distributed core network to support interaction with the AI/ML overlay. +- It is required for distributed core network to support deployment at a central location and edge locations. +- It is required for distributed core network to support some enabling features including atomization of network functions, organization of network functional units, distributed collaboration of network functional units and core network autonomy. +- It is recommended for distributed core network to facilitate the introduction of new features. +- It is recommended for distributed core network to optimize energy consumption by maximizing the reuse of network functionalities. +- It is recommended for distributed core network to reduce the end-to-end latency compared to IMT-2020 core network. +- It is recommended for distributed core network to enable collaboration among network functional units, in order to accommodate different types of access networks. +- It is recommended for distributed core network to support the customization of control plane, user plane and data plane in order to match the diverse user connection capabilities. +- It is recommended for distributed core network to support the multi-access path selection [b-ITU-T Y.2029] and provide low latency and reliable data transmissions for users. +- It is recommended for distributed core network to support security protection aspects such as those related to decentralized trust framework and multi-party computation [b-ITU-T F.748.13], to guarantee the trustworthy collaboration among network functional units. +- It is recommended for distributed core network to support coordination of networking and computing [b-ITU-T Y.3400], in order to enable distributed AI/ML capabilities and distributed computing capabilities. + +### **7.2 Requirements on network function atomization** + +The requirements on network function atomization in distributed core network are as follows: + +- It is required for distributed core network to support atomization of network functions from the IMT-2020 core network functions [ITU-T Y.3102], including NACF, SMF, PCF, CEF, NFR, USM, NSSF, ASF, AF and UPF. +- It is required for distributed core network to support atomization of network functions from the newly introduced core network functions supporting new features. +- It is required for distributed core network to support atomization of network functions with minimum granularity. +- It is required for distributed core network to support the separation of network functionalities into control plane, user plane and data plane. + +## **7.3 Requirements on network functional units** + +The requirements on network functional units in distributed core network are as follows: + +- It is required for distributed core network to support the integration of atomic network functionalities of the same plane (control plane or user plane or data plane) and of the same location (central location or edge location) into a network functional unit. +- It is required for distributed core network to organize network functional units based on the similarity of network functionalities and on the availability of resources. + +NOTE 1 – The resources include networking, computing and storage resources. + +NOTE 2 – In the use cases involving satellite network or airborne network, the availability of resources may change over time. + +- It is recommended for distributed core network to support the customization of network functional units based on the service requirements of users. + +### **7.4 Requirements on distributed collaboration** + +The requirements on distributed collaboration in distributed core network are as follows: + +- It is required for distributed core network to support the collaboration and coordination between network functional units in a distributed manner. +- It is required for distributed core network to support distributed networking capabilities. +- It is required for distributed core network to support the continuity of ongoing sessions when there is a handover between network functional units. +- It is required for distributed core network to support re-organizing in case that one or multiple network functional units are out of service. +- It is recommended for distributed core network to use distribution-enabling technologies in support of distributed collaboration. + +NOTE – Distribution-enabling technologies include DLT and IPFS. + +### **7.5 Requirements on core network autonomy** + +The requirements on core network autonomy in distributed core network are as follows: + +- It is required for distributed core network to achieve the autonomy of a core network for a specific region (i.e., an autonomy region), with the self-management and self-orchestration of network entities. +- It is required for distributed core network to achieve the autonomy of the global core network, with the cross-region self-management and self-orchestration. + +- It is required for distributed core network to achieve the local and global core network autonomy with the support of management plane and AI/ML agents. + +NOTE – AI/ML agents provide AI/ML related capabilities for self-management and self-orchestration. + +### **7.6 Requirements on AI/ML agent** + +The requirements on AI/ML agent in distributed core network are as follows: + +- It is required for AI/ML agent to support distributed deployment and distributed collaboration. +- It is required for AI/ML agent to satisfy the ML overlay related requirements specified in [ITU-T Y.3172] and [ITU-T Y.3187]. +- It is required for AI/ML agent to satisfy the data handling framework specified in [ITU-T Y.3174]. +- It is required for AI/ML agent to support the deployment of ML pipeline nodes in the distributed core network. +- It is required for AI/ML agent to manage the core network operator's policies applicable to operations on ML pipeline nodes. +- It is required for AI/ML agent to support the network capability requirements specified in [ITU-T Y.3102] and [ITU-T Y.3104]. + +## **8 Functional architecture of distributed core network** + +## **8.1 Architecture reference model** + +The distributed core network consists of control plane network functional units, user plane network functional units, data plane network functional units and AI/ML agents, working in a distributed manner. The distributed core network interoperates with UE, access network, IMT-2020 core network, data network, management plane, service plane and AI/ML overlay. + +Figure 8-1 depicts the architecture reference model of distributed core network, in the context of future networks including IMT-2020. + +![Figure 8-1: Architecture reference model of distributed core network. The diagram shows a hierarchical architecture. At the top are three planes: Management plane (RP-ex5), Service plane (RP-ex6), and AI/ML overlay (RP-ex7). These connect to a central 'Distributed core network' block. Inside this block are three AI/ML agents: 'AI/ML agent for control plane' (RP-cn4), 'AI/ML agent for user plane' (RP-cn4), and 'AI/ML agent for data plane' (RP-cn4). Below these agents are three planes: Control plane, User plane, and Data plane. The Control plane contains: Enhanced IMT-2020 control functions, Sensing control function, Computing control function, Security control function, and Energy efficiency function. The User plane contains: Policy enforcement function, Service processing function, and Traffic processing function. The Data plane contains: Data orchestration function, Data agent function, and Data storage management function. At the bottom are four reference points: RP-ex1 (User equipment (UE)), RP-ex2 (Access network), RP-ex3 (IMT-2020 core network), and RP-ex4 (Data network). The diagram also includes reference points RP-cn1, RP-cn2, and RP-cn3 within the distributed core network.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +Y.3144(24) + +Figure 8-1: Architecture reference model of distributed core network. The diagram shows a hierarchical architecture. At the top are three planes: Management plane (RP-ex5), Service plane (RP-ex6), and AI/ML overlay (RP-ex7). These connect to a central 'Distributed core network' block. Inside this block are three AI/ML agents: 'AI/ML agent for control plane' (RP-cn4), 'AI/ML agent for user plane' (RP-cn4), and 'AI/ML agent for data plane' (RP-cn4). Below these agents are three planes: Control plane, User plane, and Data plane. The Control plane contains: Enhanced IMT-2020 control functions, Sensing control function, Computing control function, Security control function, and Energy efficiency function. The User plane contains: Policy enforcement function, Service processing function, and Traffic processing function. The Data plane contains: Data orchestration function, Data agent function, and Data storage management function. At the bottom are four reference points: RP-ex1 (User equipment (UE)), RP-ex2 (Access network), RP-ex3 (IMT-2020 core network), and RP-ex4 (Data network). The diagram also includes reference points RP-cn1, RP-cn2, and RP-cn3 within the distributed core network. + +**Figure 8-1 – Architecture reference model of distributed core network** + +NOTE – In Figure 8-1, the reference point RP-cn1 includes the connection between the control plane and the user plane, the connection between the control plane and the data plane, and the connection between the control plane and the AI/ML agent for control plane. The reference points RP-cn2 and the reference point RP-cn3 also include the three connections. + +### 8.2 Control plane functions + +The control plane is a pool of control related network functionalities, organized in the form of network functional units. The functions of control plane include enhanced IMT-2020 control functions, sensing control function, computing control function, security control function and energy efficiency function. The control plane functions support the network capability requirements specified in [ITU-T Y.3102] and [ITU-T Y.3104]. + +## 8.3 User plane functions + +The user plane is a pool of user related network functionalities, organized in the form of network functional units. The functions of user plane include traffic processing function, service processing function and policy enforcement function. The user plane functions support the network capability requirements specified in [ITU-T Y.3102] and [ITU-T Y.3104]. + +## 8.4 Data plane functions + +The data plane is a pool of data related network functionalities, organized in the form of network functional units. The functions of data plane include data storage management function, data agent + +function and data orchestration function. The data plane functions support the network capability requirements specified in [ITU-T Y.3102] and [ITU-T Y.3104]. + +## 8.5 AI/ML agents + +The AI/ML agent aims to enable the use of AI/ML related functionalities internal to the distributed core network. The AI/ML agent interacts with control plane, user plane and data plane to assist in the procedures of distributed core network. The AI/ML agent takes the role of ML overlay [ITU-T Y.3172] internal to the distributed core network. The AI/ML agent may also use AI/ML related functionalities provided externally to the distributed core network as an ML overlay. + +## 8.6 Reference points + +The reference points of distributed core network are as follows: + +- RP-cn1: The reference point for control plane of distributed core network. RP-cn1 enables the use of control plane network capabilities. RP-cn1 is expected to adopt a protocol stack based on Hypertext Transfer Protocol (HTTP) [b-IETF RFC 7540] / Transmission Control Protocol (TCP) / Internet Protocol (IP). +- RP-cn2: The reference point for user plane of distributed core network. RP-cn2 enables the use of user plane network capabilities. RP-cn2 is expected to adopt a protocol stack based on HTTP/TCP/IP. +- RP-cn3: The reference point for data plane of distributed core network. RP-cn3 enables the use of data plane network capabilities. RP-cn3 is expected to adopt a protocol stack based on HTTP/TCP/IP. +- RP-cn4: The reference point for AI/ML agent of distributed core network. RP-cn4 enables the use of AI/ML related capabilities. RP-cn4 is expected to adopt a protocol stack based on HTTP/TCP/IP. +- RP-ex1: The reference point exists between the UE and the distributed core network. RP-ex1 corresponds to the reference point RP-tn as defined in [ITU-T Y.3104]. The details of this reference point are out of the scope of this Recommendation. +- RP-ex2: The reference point exists between the access network and the distributed core network. RP-ex2 corresponds to the reference point RP-an as defined in [ITU-T Y.3104]. The details of this reference point are out of the scope of this Recommendation. +- RP-ex3: The reference point exists between the distributed core network and the IMT-2020 core network. RP-ex3 corresponds to the interoperability interfaces as defined in [b-3GPP TS 23.501]. The details of this reference point are out of the scope of this Recommendation. +- RP-ex4: The reference point exists between the distributed core network and the data network. RP-ex4 corresponds to the reference point RP-ud as defined in [ITU-T Y.3104]. The details of this reference point are out of the scope of this Recommendation. +- RP-ex5: The reference point exists between the distributed core network and the management plane, including, but not limited to, network function management interfaces, network connection management interfaces, resource management interfaces, capability management interfaces and user management interfaces. The details of this reference point, including the operations carried out via this reference point, are out of the scope of this Recommendation. +- RP-ex6: The reference point exists between the distributed core network and the service plane, including service invoking interfaces and capability exposure interfaces. The details of this reference point are out of the scope of this Recommendation. + +- RP-ex7: The reference point exists between the distributed core network and the AI/ML overlay. RP-ex7 enables the use of AI/ML related capabilities. RP-ex7 is expected to adopt a protocol stack based on HTTP/TCP/IP. + +## **9 Network function enhancements of distributed core network** + +This clause presents the network function enhancements of distributed core network by providing examples of network functions. The control plane functions, user plane functions and data plane functions for distributed core network are not limited to the network functions addressed in this Recommendation. + +## **9.1 Network function enhancements of control plane** + +In the distributed core network, the control plane contains five control plane functions: enhanced IMT-2020 control functions, sensing control function, computing control function, security control function and energy efficiency function. + +The enhanced IMT-2020 control functions include: enhanced NACF, enhanced SMF, enhanced PCF, enhanced CEF, enhanced NFR, enhanced NSSF and enhanced AF. They are enhanced in order to support the distributed mechanisms. + +The sensing control function supports the control of sensing related network capabilities, including the location management, sensing information processing and sensing information exposure. + +The computing control function supports the control of computing and storage resources, as well as the control of computing related network capabilities. The two controls include computing resource control, storage resource control, computing task quality of service (QoS) assurance and coordination function of networking and computing. + +The security control function supports the control, scheduling and coordination of security capabilities and trust capabilities. This enables the distributed core network with the capability of life cycle security management. + +The energy efficiency function supports the energy efficiency control capabilities in the system level, the network entity level and the user level, aiming to decrease the overall energy consumption of distributed core network. + +NOTE – The system level energy efficiency control is implemented on the entire distributed core network; the network entity level energy efficiency control is implemented on specific network entities; and the user level energy efficiency control is implemented on detailed parameter configurations based on the energy saving preferences of a specific user. + +The above control plane functions are derived from the IMT-2020 core network functions NACF, SMF, PCF, CEF, NFR, NSSF and AF and control related new core network functions. + +### **9.2 Network function enhancements of user plane** + +In the distributed core network, the user plane contains three user plane functions: traffic processing function, service processing function and policy enforcement function. + +The traffic processing function supports the traffic routing and forwarding capability, the traffic filtering capability, the traffic off-load capability and the protocol data unit (PDU) session tunnel management capability. + +The service processing function supports the service identification capability [ITU-T Y.3114], the user plane exposure capability [b-ITU-T Y.3108] and the fully qualified domain name (FQDN)/uniform resource locator (URL) resolution capability [ITU-T Y.3114]. + +The policy enforcement function supports the QoS enforcement capability and the network slicing enforcement capability. + +The above user plane functions are derived from the IMT-2020 core network function UPF, and user related new core network functions. + +## **9.3 Network function enhancements of data plane** + +In the distributed core network, the data plane contains three data plane functions: data storage management function, data agent function and data orchestration function. + +In the context of future networks including IMT-2020, there are multiple types of data that need to be stored, including sensing data, AI data, network data and user data. In addition to USM and ASF, additional storage capabilities are needed. The data storage management function is introduced to manage the diverse data storage capabilities. + +NOTE 1 – The sensing data includes sensing measurement data and sensing result data. The AI data includes training/inference data sets, ML models and related parameters. The network data includes the network operation data. The user data includes the user subscription data. + +The data plane is designed to provide data for different functions of the core network by providing data collection, processing, storage, forwarding and analysis services. Data agent functions are introduced to provide the capabilities of data collection, processing, storage, forwarding and analysis. + +NOTE 2 – Data agent functions may be built into network functional units or be standalone (data agent specific network functional units). A data agent function may include multiple capabilities of data collection, processing, storage, forwarding and analysis. + +The data orchestration function is introduced to manage and control data agent functions. The data orchestration function is used to select appropriate data agent functions for collaboration, and to establish data transmission pipeline(s). + +The above data plane functions are derived from the IMT-2020 core network functions USM and ASF, and data related new core network functions. + +## **9.4 Functions of the AI/ML agent** + +In the distributed core network, there are three types of AI/ML agents: the AI/ML agent for control plane, the AI/ML agent for user plane and the AI/ML agent for data plane. These AI/ML agents enable the new AI/ML capabilities of the distributed core network compared to the IMT-2020 core network functions. + +An AI/ML agent contains three AI/ML agent functions: AI/ML service orchestration, AI/ML task control and AI/ML resource control. The AI/ML service orchestration provides service support for the orchestration of the AI/ML capabilities. The AI/ML task control provides support for the control of the AI/ML related network functions. The AI/ML resource control provides support for the control of the AI/ML related networking, computing and storage resources. + +NOTE – The detailed description of AI/ML agent functions are out of the scope of this Recommendation. + +## **10 Procedures of distributed core network** + +The procedures of distributed core network include the following: + +- Procedure of atomization of network functions; +- Procedure of organization of network functional units; +- Procedure of distributed collaboration of network functional units; +- Procedure of core network autonomy; +- Service procedures. + +### **10.1 Procedure of atomization of network functions** + +Figure 10-1 depicts the procedure of atomization of network functions. + +![Figure 10-1: Procedure of atomization of network functions. This diagram illustrates the process of decomposing network functions into atomic functionalities and mapping them to control, user, and data planes. It features five vertical lanes: 'IMT-2020 core network functions', 'New core network functions', 'Control plane', 'User plane', and 'Data plane'. The process follows six steps: 1. Analysis of IMT-2020 core functions. 2. Decomposition of IMT-2020 functions into atomic functionalities. 3. Separation of these atomic functionalities into control, user, and data planes. 4. Analysis of new core network functions. 5. Decomposition of new core functions into atomic functionalities. 6. Separation of these new atomic functionalities into control, user, and data planes. Arrows indicate the flow of information and the mapping of atomic functionalities to the respective planes.](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +The diagram illustrates the procedure of atomization of network functions across five vertical lanes: IMT-2020 core network functions, New core network functions, Control plane, User plane, and Data plane. The process follows six steps: + +1. IMT-2020 core network functions are analysed +2. IMT-2020 core network functions are decomposed into atomic network functionalities +3. Atomic network functionalities are separated into control plane, user plane, and data plane +4. New core network functions are analysed +5. New core network functions are decomposed into atomic network functionalities +6. Atomic network functionalities are separated into control plane, user plane, and data plane + +Arrows indicate the flow of information and the mapping of atomic functionalities to the respective planes. The diagram is labeled Y.3144(24) in the bottom right corner. + +Figure 10-1: Procedure of atomization of network functions. This diagram illustrates the process of decomposing network functions into atomic functionalities and mapping them to control, user, and data planes. It features five vertical lanes: 'IMT-2020 core network functions', 'New core network functions', 'Control plane', 'User plane', and 'Data plane'. The process follows six steps: 1. Analysis of IMT-2020 core functions. 2. Decomposition of IMT-2020 functions into atomic functionalities. 3. Separation of these atomic functionalities into control, user, and data planes. 4. Analysis of new core network functions. 5. Decomposition of new core functions into atomic functionalities. 6. Separation of these new atomic functionalities into control, user, and data planes. Arrows indicate the flow of information and the mapping of atomic functionalities to the respective planes. + +**Figure 10-1 – Procedure of atomization of network functions** + +The steps shown in Figure 10-1 are as follows: + +- 1) The IMT-2020 core network functions in a given network region are analysed. +- 2) The IMT-2020 core network functions in a given network region are decomposed into atomic network functionalities, i.e., network functionalities of minimum granularity. +- 3) The atomic network functionalities derived from IMT-2020 core network functions are separated into control plane, user plane and data plane. +- 4) The new core network functions in a given network region are analysed. +- 5) The new core network functions in a given network region are decomposed into atomic network functionalities. +- 6) The atomic network functionalities derived from new core network functions are separated into control plane, user plane and data plane. + +### 10.2 Procedure of organization of network functional units + +Figure 10-2 depicts the procedure of organization of network functional units. + +![Figure 10-2: Procedure of organization of network functional units. The diagram illustrates a sequence of six steps for integrating atomic network functionalities into network functional units across two locations: 'Network at edge location' and 'Network at central location'. Each location is divided into three planes: Control plane, User plane, and Data plane, represented by vertical lines. The steps (1-6) are shown as boxes connected to these vertical lines in a descending staircase pattern from left to right. Step 1 connects to the Edge Control plane, Step 2 to the Edge User plane, Step 3 to the Edge Data plane, Step 4 to the Central Control plane, Step 5 to the Central User plane, and Step 6 to the Central Data plane.](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +``` + +Network at edge location Network at central location +------------------------ --------------------------- +Control User Data Control User Data + plane plane plane plane plane plane + | | | | | | +[Step 1] | | | | | + | | | | | | + | [Step 2] | | | | + | | | | | | + | | [Step 3] | | | + | | | | | | + | | | [Step 4] | | + | | | | | | + | | | | [Step 5] | + | | | | | | + | | | | | [Step 6] + | | | | | | + +``` + +Y.3144(24) + +Figure 10-2: Procedure of organization of network functional units. The diagram illustrates a sequence of six steps for integrating atomic network functionalities into network functional units across two locations: 'Network at edge location' and 'Network at central location'. Each location is divided into three planes: Control plane, User plane, and Data plane, represented by vertical lines. The steps (1-6) are shown as boxes connected to these vertical lines in a descending staircase pattern from left to right. Step 1 connects to the Edge Control plane, Step 2 to the Edge User plane, Step 3 to the Edge Data plane, Step 4 to the Central Control plane, Step 5 to the Central User plane, and Step 6 to the Central Data plane. + +**Figure 10-2 – Procedure of organization of network functional units** + +The steps shown in Figure 10-2 are as follows: + +- 1) Atomic network functionalities in the control plane of the network at edge location are integrated into network functional units. +- 2) Atomic network functionalities in the user plane of the network at edge location are integrated into network functional units. +- 3) Atomic network functionalities in the data plane of the network at edge location are integrated into network functional units. +- 4) Atomic network functionalities in the control plane of the network at central location are integrated into network functional units. +- 5) Atomic network functionalities in the user plane of the network at central location are integrated into network functional units. +- 6) Atomic network functionalities in the data plane of the network at central location are integrated into network functional units. + +### 10.3 Procedure of distributed collaboration of network functional units + +Figure 10-3 depicts the procedure of distributed collaboration of network functional units. + +![Figure 10-3: Procedure of distributed collaboration of network functional units. The diagram shows two parallel processes for 'Network at edge location' and 'Network at central location'. Each process starts with three planes (Control, User, Data) and proceeds through two steps: 1. Collaboration in a distributed manner, and 2. Organization by means of network entities. The edge location process is completed before the central location process begins.](e69b9188aa2c14ec6b21c83f711fef65_img.jpg) + +The diagram illustrates the procedure of distributed collaboration of network functional units across two network locations: edge and central. Each location is represented by a dashed box containing three planes: Control plane, User plane, and Data plane. Vertical lines connect these planes to the steps below. + +**Network at edge location:** + +- 1. Network functional units collaborate with each other in a distributed manner +- 2. Network functional units are organized by means of network entities + +**Network at central location:** + +- 3. Network functional units collaborate with each other in a distributed manner +- 4. Network functional units are organized by means of network entities + +Y.3144(24) + +Figure 10-3: Procedure of distributed collaboration of network functional units. The diagram shows two parallel processes for 'Network at edge location' and 'Network at central location'. Each process starts with three planes (Control, User, Data) and proceeds through two steps: 1. Collaboration in a distributed manner, and 2. Organization by means of network entities. The edge location process is completed before the central location process begins. + +**Figure 10-3 – Procedure of distributed collaboration of network functional units** + +The steps shown in Figure 10-3 are as follows: + +- 1) The network functional units in the network at edge location collaborate in a distributed manner, by using distribution-enabling technologies. +- 2) The network functional units in the network at edge location are organized by means of network entities, based on the specific networking, computing and storage resource contexts of the network node. +- 3) The network functional units in the network at central location collaborate in a distributed manner, by using distribution-enabling technologies. +- 4) The network functional units in the network at central location are organized by means of network entities, based on the specific networking, computing and storage resource contexts of the network node. + +### **10.4 Procedure of core network autonomy** + +Figure 10-4 depicts the procedure of core network autonomy. + +![Figure 10-4: Procedure of core network autonomy. The diagram illustrates an 8-step process for achieving core network autonomy across two locations: edge and central. At the top, 'Network at edge location' contains entities 1, 2, and 3, while 'Network at central location' contains entities 4, 5, and 6. A 'Management plane' is positioned between them. The steps are: 1. Grouping edge entities into autonomy region 1. 2. Achieving autonomy of the core network at the edge location, supported by the management plane. 3. Forming intra-region networking for point-to-point communications at the edge. 4. Grouping central entities into autonomy region 2. 5. Achieving autonomy of the core network at the central location, supported by the management plane. 6. Forming intra-region networking for point-to-point communications at the central location. 7. Achieving autonomy of the global core network, supported by the management plane. 8. Forming inter-region networking for group-to-group communications. Vertical lines connect the entities to their respective steps, and horizontal lines group the steps into two main sections corresponding to the edge and central locations.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +Network at edge location + +Network entity 1, Network entity 2, Network entity 3 + +Management plane + +Network at central location + +Network entity 4, Network entity 5, Network entity 6 + +1. Network entity 1, 2 and 3 are grouped into autonomy region 1 +2. Autonomy of core network at edge location is achieved, supported by management plane +3. Intra-region networking is formed and used for point-to-point communications +4. Network entity 4, 5 and 6 are grouped into autonomy region 2 +5. Autonomy of core network at central location is achieved, supported by management plane +6. Intra-region networking is formed and used for point-to-point communications +7. Autonomy of the global core network is achieved, supported by management plane +8. Inter-region networking is formed and used for group-to-group communications + +Y.3144(24) + +Figure 10-4: Procedure of core network autonomy. The diagram illustrates an 8-step process for achieving core network autonomy across two locations: edge and central. At the top, 'Network at edge location' contains entities 1, 2, and 3, while 'Network at central location' contains entities 4, 5, and 6. A 'Management plane' is positioned between them. The steps are: 1. Grouping edge entities into autonomy region 1. 2. Achieving autonomy of the core network at the edge location, supported by the management plane. 3. Forming intra-region networking for point-to-point communications at the edge. 4. Grouping central entities into autonomy region 2. 5. Achieving autonomy of the core network at the central location, supported by the management plane. 6. Forming intra-region networking for point-to-point communications at the central location. 7. Achieving autonomy of the global core network, supported by the management plane. 8. Forming inter-region networking for group-to-group communications. Vertical lines connect the entities to their respective steps, and horizontal lines group the steps into two main sections corresponding to the edge and central locations. + +**Figure 10-4 – Procedure of core network autonomy** + +The steps shown in Figure 10-4 are as follows: + +- 1) The network entities 1, 2 and 3 in the network at edge location are grouped into the autonomy region 1. +- 2) The autonomy of the core network at edge location in autonomy region 1 is achieved with the self-management and self-orchestration of network entities supported by the management plane. +- 3) The intra-region networking is formed and used for the point-to-point communications between the network entities of autonomy region 1. +- 4) The network entities 4, 5 and 6 in the network at central location are grouped into the autonomy region 2. +- 5) The autonomy of the core network at central location in autonomy region 2 is achieved, with the self-management and self-orchestration of network entities supported by the management plane. +- 6) The intra-region networking is formed and used for the point-to-point communications between the network entities of the autonomy region 2. +- 7) The autonomy of the global core network is achieved, with the cross-region self-management and self-orchestration supported by the management plane. +- 8) The inter-region networking is formed and used for group-to-group communications between different autonomy regions. + +### **10.5 Service procedures** + +The service procedures of the distributed core network include registration management procedure, connection management procedure, session management procedure, handover procedure, capability exposure procedure and network slicing procedure. The above service procedures are based on the procedures specified in [ITU-T Y.3104], [b-ITU-T Y.3108] and [b-ITU-T Y.3153]; and they support the newly defined network functional units and the distributed mechanisms. + +## **11 Security considerations** + +The security and privacy considerations on distributed core network include the following aspects: + +- The security aspects related to the enabling features of distributed core network, including atomization of network functions, organization of network functional units, distributed collaboration of network functional units and core network autonomy. +- The security aspects related to the network function enhancements of distributed core network, including control plane functions, user plane functions, data plane functions and AI/ML agents. +- The security aspects related to the procedures of distributed core network, including distributed organization and networking procedures and service procedures. +- User and service privacy, which include the privacy considerations on data plane, which is key for collecting, storing, caching and processing the privacy sensitive user data and service data. + +In addition, the security and privacy considerations on distributed core network should be aligned with the requirements specified in [ITU-T Y.3101] and [b-ITU-T Y.2701]. + +# **Appendix I** + +## **Use cases of distributed core network** + +(This appendix does not form an integral part of this Recommendation.) + +The use cases of the distributed core network for future networks including IMT-2020 are as follows. + +Use case 1: The core networks for public users and application domains + +Operator A is serving the public users and application domains. The existing core network solutions provide different network deployments for public users and application domains, in which network functions are not fully reused, and the upgradation of core network involves all network functions. + +The distributed core network provides unified network deployment for public users and application domains. Logic isolation, rather than physical isolation, is implemented between public users and application domains. The network functionalities are reused for public users and application domains. The upgradation of core network only involves the related network functionalities; therefore, the impact on the core network is expected to be minimized. + +Use case 2: The core networks at central location and edge location + +Operator B manages cloud sites both at the central location and edge location. The existing core network solutions deploy a full set of network functions both at central location and edge location, in which network functions are duplicated. + +In the distributed core network, the network functional units at the central location and edge location are customized based on the requirements and environment. This means that only a part of network functions are supported by each of network functional units, and the duplication of network functions is expected to be minimized. + +Use case 3: The core networks require optimized energy consumption + +Operator C is trying to optimize the energy consumption. Some of the network functionalities across different IMT-2020 core network functions may be duplicated, such as access management, location management, handover management, registration management and authentication management, which implies that the energy consumption of the core network is not optimized (these network functionalities being used multiple times). + +In the distributed core network, the network functional unit is organized based on the similarity of network functionalities. The network functionalities with high similarity will be integrated into one network functional unit. In this way, the different network functional units at the same location may not have the same network functionalities, and the energy consumption of the core network is then expected to be optimized. + +## Bibliography + +- [b-ITU-T F.748.13] Recommendation ITU-T F.748.13 (2021), *Technical framework for a shared machine learning system*. +- [b-ITU-T X.1353] Recommendation ITU-T X.1353 (2023), *Security methodology for zero-touch deployment in massive IoT based on blockchain*. +- [b-ITU-T X.1402] Recommendation ITU-T X.1402 (2020), *Security framework for distributed ledger technology*. +- [b-ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [b-ITU-T Y.2029] Recommendation ITU-T Y.2029 (2015), *A multi-path transmission control in multi-connection*. +- [b-ITU-T Y.2242] Recommendation ITU-T Y.2242 (2018), *Service function chaining in mobile networks*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3108] Recommendation ITU-T Y.3108 (2019), *Capability exposure function in IMT-2020 networks*. +- [b-ITU-T Y.3153] Recommendation ITU-T Y.3153 (2019), *Network slice orchestration and management for providing network services to 3rd party in the IMT-2020 network*. +- [b-ITU-T Y.3400] Recommendation ITU-T Y.3400 (2023), *Coordination of networking and computing in IMT-2020 networks and beyond – Requirements*. +- [b-ITU-T Y.3540] Recommendation ITU-T Y.3540 (2023), *Edge computing – Overview and high-level requirements*. +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-3GPP TS 23.501] 3GPP TS 23.501 (2024), *System architecture for the 5G System (5GS); Stage 2 (Release 17)*. +- [b-IETF RFC 7540] IETF RFC 7540 (2020), *Hypertext Transfer Protocol Version 2 (HTTP/2)*. +- [b-Kephart 2003] J. O. Kephart and D. M. Chess, "The vision of autonomic computing," *Computer (Long. Beach. Calif.)*, vol. 36, no. 1, pp. 41–50, 2003. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3148-202508-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3148-202508-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..794b2acca779d5ecec11eead0b4b59f364a71647 --- /dev/null +++ b/marked/Y/T-REC-Y.3148-202508-I_PDF-E/raw.md @@ -0,0 +1,547 @@ + + +# Recommendation + +## **ITU-T Y.3148 (08/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +--- + +**Functional architecture for stateless fair queuing in large scale networks including IMT-2020 and beyond** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3148 + +## Functional architecture for stateless fair queuing in large scale networks including IMT-2020 and beyond + +## Summary + +Recommendation ITU-T Y.3148 specifies the functional architecture, functional entities, operational procedures, and packet metadata to fulfil the requirements and framework specified in Recommendation ITU-T Y.3129. It enables deterministic networking with a set of work conserving packet schedulers in the data plane, which guarantees end-to-end (E2E) latency bounds to flows. + +In particular, the procedures for metadata usage, metadata creation and update, priority queue management and time difference compensation are specified. The use of first-in first-out (FIFO) instead of priority queue, as an approximated implementation of stateless fair queuing, is also specified. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3148 | 2025-08-29 | 13 | 11.1002/1000/16441 | + +## Keywords + +Data plane, fair queuing, finish time, flow isolation, latency guarantee, packet metadata, scheduler. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 1 | +| 4 Abbreviations and acronyms ..... | 1 | +| 5 Conventions ..... | 2 | +| 6 Introduction..... | 2 | +| 7 Functional architecture ..... | 3 | +| 7.1 General description..... | 3 | +| 7.2 Control plane functional entities ..... | 4 | +| 7.3 Data plane functional entities ..... | 4 | +| 7.4 Resources..... | 5 | +| 8 Operational procedures ..... | 5 | +| 8.1 General description..... | 5 | +| 8.2 Metadata creation ..... | 5 | +| 8.3 Metadata update..... | 6 | +| 8.4 Queue management and packet transmission..... | 8 | +| 9 Considerations for the notation of time ..... | 9 | +| 10 Considerations for IMT-2020 networks ..... | 9 | +| 11 Security considerations ..... | 10 | +| Bibliography..... | 11 | + + + +# Recommendation ITU-T Y.3148 + +## Functional architecture for stateless fair queuing in large scale networks including IMT-2020 and beyond + +# 1 Scope + +This Recommendation specifies the functional architecture, functional entities, operational procedures and packet metadata to fulfil the requirements and framework specified in [ITU-T Y.3129]. It enables deterministic networking with a set of work conserving packet schedulers in the data plane, which guarantees end-to-end (E2E) latency bounds to flows. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[[ITU-T E.800](#)] Recommendation ITU-T E.800 (2008), *Definitions of terms related to quality of service*. + +[[ITU-T Y.3129](#)] Recommendation ITU-T Y.3129 (2024), *Requirements and framework for stateless fair queuing in large scale networks including IMT-2020 and beyond*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 IMT-2020** [b-ITU-R M.2083]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +**3.1.2 large scale network** [b-ITU-T Y.3120]: A network or a set of interconnected networks, with diameter of 16 or larger, in which the numbers of flows and nodes are proportional to the diameter of the network. + +**3.1.3 relay node** [b-ITU-T Y.3113]: A node supporting relay functionality that acts as an intermediary node, through which other nodes can pass their traffic (e.g., router, switch or gateway). + +## 3.2 Terms defined in this Recommendation + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|----------------------------| +| ACF | Admission Control Function | +| AN | Access Network | + +| | | +|------|------------------------------------------| +| CDV | Clock Difference Value | +| CMF | Clock Management Function | +| CN | Core Network | +| DN | Data Network | +| E2E | End-to-End | +| FE | Functional Entity | +| FIFO | First-In First-Out | +| FQ | Fair Queuing | +| FT | Finish Time | +| GBR | Guaranteed Bit Rate | +| HoQ | Head-of-Queue | +| MMF | Metadata Management Function | +| PGPS | Packetized Generalized Processor Sharing | +| PIFO | Push-In First-Out | +| QMF | Queue Management Function | +| QoS | Quality of Service | +| TCF | Time Compensation Function | +| UE | User Equipment | +| WFQ | Weighted Fair Queuing | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keyword "optionally" indicates an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Introduction + +There are emerging applications that require both latency and jitter bounds in large scale networks [b-ITU-T Y-Sup66]. One of the key mechanisms that determine the latency and jitter performance of a network is packet scheduling. Our objective is to specify a scheduling mechanism that can isolate a flow from other flows that are sharing a link. An ideal flow isolation scheduling mechanism would provide service to a flow, as if there are no other flows in an imaginary link whose capacity is equal to the allocated service rate to the flow. In this case the latency upper bound depends only on the flow characteristics such as maximum packet size and maximum burst size. + +The fair queuing (FQ) technique is known to provide the maximum flow isolation while guaranteeing end-to-end (E2E) latency. It limits interference between flows to the degree of maximum packet size. Packetized generalized processor sharing (PGPS) and weighted fair queuing (WFQ) are representative examples of this technology. In this technology, the key is to record the service status of the flow in real time to provide exactly the assigned amount of service. When this technique is applied, the worst delay at each node is proportional to the maximum packet length. However, for this purpose, managing and recording a large amount of state information for each flow is complex, hence it is not usually applied in practice. + +[ITU-T Y.3129] provides scalable solutions while preserving the performance of FQ. The first node in the network creates state information for each packet, including the finish time (FT) and other necessary information, and records them as packet metadata. Subsequent nodes infer the exact flow states at the node based on these metadata without managing flow state information. + +![Figure 1: Framework for E2E latency guarantee with stateless fair queuing [ITU-T Y.3129]. The diagram shows a network topology from Source to Destination. Above the topology, packets from a flow under observation are shown as a sequence of boxes labeled p+1, Packet p, and p-1, with an arrow pointing right. The network path consists of nodes: Source, 0, 1, ..., h-1, h, ..., H, Destination. Node 0 is labeled 'Entrance node; keeps flow state, generates FT'. A bracket under nodes 1 through H is labeled 'Core nodes; stateless, update FT'. The reference 'Y.3148(25)' is at the bottom right.](562f471e8153729557e6a4ee6343c32c_img.jpg) + +Figure 1: Framework for E2E latency guarantee with stateless fair queuing [ITU-T Y.3129]. The diagram shows a network topology from Source to Destination. Above the topology, packets from a flow under observation are shown as a sequence of boxes labeled p+1, Packet p, and p-1, with an arrow pointing right. The network path consists of nodes: Source, 0, 1, ..., h-1, h, ..., H, Destination. Node 0 is labeled 'Entrance node; keeps flow state, generates FT'. A bracket under nodes 1 through H is labeled 'Core nodes; stateless, update FT'. The reference 'Y.3148(25)' is at the bottom right. + +**Figure 1 – Framework for E2E latency guarantee with stateless fair queuing [ITU-T Y.3129]** + +The framework in [ITU-T Y.3129] specifies a mechanism to guarantee E2E latency bounds, while meeting the requirements. It specifies how to obtain FT in core nodes and how to configure a network for latency guarantee. It also specifies the roles of entrance nodes and core nodes for generation and update of FT, how to mitigate the complexity of the entrance node and the time difference compensation mechanisms. First, in the entrance node, where the flow arrives to the network, FT is calculated in the same way as a FQ scheduler, e.g., by virtual clock [b-Zhang], with the flow state. Next, in a core node, the FT has to be updated by a new value that is the sum of the current FT and a delay factor, without the need for flow state. This framework is depicted in Figure 1. + +This Recommendation specifies the functional architecture, functional entities, operational procedures and packet metadata to fulfil the requirements and framework specified in [ITU-T Y.3129]. The procedures for metadata usage, metadata creation and update, priority queue management and time difference compensation are specified. The use of first-in first-out (FIFO) instead of priority queue, as an approximated implementation of the stateless FQ, is specified as well. The precision of and the number of bits to identify time are also specified. + +# 7 Functional architecture + +## 7.1 General description + +This clause specifies the functional architecture and functional entities, their functions and interactions. + +The overall hierarchical architecture and functional entities (FEs) are depicted in Figure 2. The FEs are grouped into control plane, data plane and resources. The main focus of this Recommendation is on the data plane. However, in order to specify the behaviour of the data plane accurately, it is necessary to understand how the data plane interacts with upper and lower layers. However, the control plane functions, and the resources are out of scope of this Recommendation. + +![Figure 2: Functional architecture for stateless fair queuing. The architecture is divided into three horizontal layers: Control plane, Data plane, and Resource. The Control plane (dashed border) contains Admission control function and Time compensation function. The Data plane (solid border) contains Metadata management function, Queue management function, and Clock management function. The Resource layer (dashed border) contains Switching module, Buffer, Link, and Clock. A reference Y.3148(25) is noted at the bottom right.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +``` + +graph TD + subgraph Control_plane [Control plane] + ACF[Admission control function] + TCF[Time compensation function] + end + subgraph Data_plane [Data plane] + MMF[Metadata management function] + QMF[Queue management function] + CMF[Clock management function] + end + subgraph Resource [Resource] + SM[Switching module] + B[Buffer] + L[Link] + C[Clock] + end + Control_plane --- Data_plane + Data_plane --- Resource + +``` + +Y.3148(25) + +Figure 2: Functional architecture for stateless fair queuing. The architecture is divided into three horizontal layers: Control plane, Data plane, and Resource. The Control plane (dashed border) contains Admission control function and Time compensation function. The Data plane (solid border) contains Metadata management function, Queue management function, and Clock management function. The Resource layer (dashed border) contains Switching module, Buffer, Link, and Clock. A reference Y.3148(25) is noted at the bottom right. + +**Figure 2 – Functional architecture for stateless fair queuing** + +NOTE – This Recommendation focuses on the data plane functions, which are depicted with solid lines. + +## 7.2 Control plane functional entities + +Control plane FEs include admission control function (ACF) and a time compensation function (TCF). These FEs can reside in a certain node or in a central network control unit, if such a unit exists. These FEs can also be distributed over multiple nodes. + +ACF guarantees that the sum of service rates allocated to the flows within the link of a relay node does not exceed the capacity of any link in the network. ACF can be dependent on the underlying data plane entities regarding the link utilization information. ACF is also responsible for the management of the current maximum packet lengths information of the links. + +TCF ensures that the time difference between adjacent nodes does not prevent the FQ scheduler from performing as intended. It obtains the value for compensation when updating FT, based on the time difference obtained in clock management function (CMF) in the data plane. Optionally, TCF can obtain the compensation value by directly communicating with CMF of other nodes. In this case, a special purpose packet is produced by TCF and sent to nodes to gather the clock information of these nodes. Note that the time difference between the nodes is mainly composed of the clock difference value (CDV) and the propagation delay. The time difference is calculated and distributed to the nodes. This information is used to compensate for the FT values. + +The functionality of ACF and TCF is described to support the understanding of the data plane functions. The details of the control plane FEs are out of scope of this Recommendation. + +## 7.3 Data plane functional entities + +Data plane FEs include metadata management function (MMF), queue management function (QMF), and CMF. These FEs reside in a node and are not shared across nodes. + +MMF reads the metadata in the header of an incoming packet and obtain the necessary information for stateless FQ. It may store the packet on the fly from the switching module to the output port temporarily and then extract the metadata. MMF also updates the metadata fields in accordance with the time difference information obtained from TCF, the node specific parameters and other metadata fields. MMF notifies QMF the FT value of the packet, so that QMF can schedule the packet appropriately. + +QMF enqueues and dequeues packets in accordance with their FT values, the parameters of the packet and the flow, and the queue management scheme. The queue management scheme can include FIFO and priority queuing (e.g., push-in first-out (PIFO)). In doing so, QMF reads and writes to the buffer. + +CMF reads a packet arrival time to the node based on the clock in the node. It obtains the departure time of the packet from the adjacent upstream node by some means, compares them and calculates + +the time difference with the upstream node. In doing so, the departure time of a packet can be written as a metadata. Otherwise, out-of-band signalling can be used to obtain the departure time. However, this process is performed on demand, since the clock difference caused by the clock drift is relatively small compared with the absolute CDV. + +## 7.4 Resources + +It is assumed that each node has hardware resources such as switching module, buffer, link and clock. It is further assumed that buffer and link belong to an output port, while switching module and clock are shared among the output ports of a node. + +Switching module transfers packets from an input port to an output port of the node. The transferred packet to an output port is stored to the buffer or a temporary storage area for the handling MMF. MMF extracts metadata from the packet and informs QMF for the enqueue operation. + +Buffer stores packets until they are transmitted to the next node through the link. + +Link, and the link layer functions, are responsible for the reliable transmission to the next downstream node. + +The clock is used as an anchor for the compensation of time values from different input nodes, such that the clock differences with upstream nodes and propagation delays of the links to the current node do not prevent FQ operating as intended. + +# 8 Operational procedures + +## 8.1 General description + +This clause defines the operational procedures for the stateless FQ in relay nodes, including entrance node and core nodes with creation and update of FT values of packets. Before going into the detailed description, the symbols used in this Recommendation are summarized in Table 1. + +**Table 1 – Mathematical symbols used in this Recommendation** + +| Symbol | Quantity | +|---------------|--------------------------------------------------------------------------------------------| +| $p$ | $p$ th packet of the flow under observation | +| $h$ | $h$ th node in the path of the flow under observation | +| $F_h(p)$ | 'Finish time' of packet $p$ at node $h$ | +| $A_h(p)$ | Arrival time of packet $p$ at node $h$ | +| $L(p)$ | Length of packet $p$ | +| $L$ | Maximum observed length of the packets from the flow under observation | +| $L_h$ | Maximum observed length of the packets at node $h$ , over all the flows | +| $r$ | Service rate of the flow under observation | +| $R_h$ | Link capacity of node $h$ | +| $d_h(p)$ | Finish time increment parameter of packet $p$ at node $h$ , called "delay factor" | +| $\Delta_h(p)$ | Time difference between the nodes $h-1$ and $h$ , at the arrival of packet $p$ at node $h$ | +| $U_h, W_h$ | Latency upper bound, lower bound of all the flows in node $h$ | + +## 8.2 Metadata creation + +The metadata, FT, $L$ , and $r$ , of a packet are created at the entrance node of the packet, or equivalently to the flow to which the packet belongs. An entrance node is defined to be the first relay node, for a flow, in the network within which the stateless FQ is executed. By definition an entrance node can + +receive packets of the flow from a source or an upstream node, or generate the packets. The requirements for metadata creation are specified in clause 7.1 of [ITU-T Y.3129]. The framework for metadata creation is specified in clause 8.4 of [ITU-T Y.3129]. + +The operational procedure for metadata generation is depicted in Figure 3. + +![Figure 3: Operational procedure for metadata creation. The diagram shows a flow of information between several modules: ACF, TCF, MMF, CMF, QMF, Switching module, Buffer, Link, and Clock. ACF provides 'Max packet length (L) and service rate (r) information' (labeled 2) to MMF. MMF maintains flow state (labeled 1), obtains packet length L(p) (labeled 4), and calculates flow time F0(p) (labeled 5). CMF provides 'Arrival time (A0(p)) information upon packet arrival' (labeled 3) to MMF. CMF also receives a 'Clock read' from the Clock module. QMF is connected to MMF and CMF. The Switching module, Buffer, and Link are also shown in the flow path.](042733dc5e8e7f5f30b60adba3266cde_img.jpg) + +Figure 3: Operational procedure for metadata creation. The diagram shows a flow of information between several modules: ACF, TCF, MMF, CMF, QMF, Switching module, Buffer, Link, and Clock. ACF provides 'Max packet length (L) and service rate (r) information' (labeled 2) to MMF. MMF maintains flow state (labeled 1), obtains packet length L(p) (labeled 4), and calculates flow time F0(p) (labeled 5). CMF provides 'Arrival time (A0(p)) information upon packet arrival' (labeled 3) to MMF. CMF also receives a 'Clock read' from the Clock module. QMF is connected to MMF and CMF. The Switching module, Buffer, and Link are also shown in the flow path. + +**Figure 3 – Operational procedure for metadata creation** + +Entrance node in this Recommendation is denoted as 0. ① MMF of an entrance node, or equivalently node 0, maintains flow state, e.g., FT of packet $(p - 1)$ at node 0 ( $F_0(p - 1)$ ), the maximum packet length of the flow ( $L$ ), and the service rate allocated to the flow ( $r$ ). ② The maximum packet length, $L$ , and the service rate, $r$ , information are obtained from ACF upon admission of the flow and maintained by MMF of the entrance node. + +In order to calculate $F_0(p)$ , ③ MMF acquires the time of packet $p$ 's arrival to the node, $A_0(p)$ , from CMF. Note that an arrival of a packet is either the arrival to the output port where MMF resides, or the generation of a packet by the entrance node, in the case when the entrance node is the source of the flow. ④ The packet length of the packet, $L(p)$ , information is assumed to be included in the packet header. + +⑤ MMF of node 0 creates FT and writes it into a packet as metadata, in accordance with the following equation. + +$$F_0(p) = \max\{F_0(p - 1), A_0(p)\} + \frac{L(p)}{r} \quad (1)$$ + +where $F_0(p)$ is the FT of packet $p$ at the entrance node. $F_0(p)$ , $L$ , and $r$ are recorded in the packet as metadata. + +## 8.3 Metadata update + +Among the metadata, the FT of a packet is updated at every node, including the entrance node and the core nodes of the packet, or equivalently of the flow to which the packet belongs. A core node is defined to be the relay node excluding an entrance node, for a flow, in the network within which the stateless FQ is executed. By definition, a core node receives packets of the flow from an upstream node. The requirements for FT update are specified in clause 7.1 of [ITU-T Y.3129]. The framework for FT update is specified in clause 8.5 of [ITU-T Y.3129]. + +FT is updated in a node $h$ as in equation (2) + +$$F_{h+1}(p) = F_h(p) + d_h(p) + \Delta_{h+1}(p) \quad (2)$$ + +where $d_h(p)$ is the delay factor of packet $p$ at node $h$ , and $\Delta_h(p)$ is the time difference between the nodes $h - 1$ and $h$ , at the arrival of packet $p$ and node $h$ , $h - 1$ denotes the upstream node of the flow under observation travelled just before node $h$ . + +$d_h(p)$ can be a simple value only dependent on the node, i.e., $d_h(p) = d_h$ . In this case, $d_h$ may be acknowledged by exchanging information through out-of-band communication between nodes. A simple choice of $d_h = U_h$ or $d_h = W_h$ can also meet the requirements specified in clause 7 of [ITU-T Y.3129], where $U_h$ and $W_h$ are the latency upper bound and lower bound of all the flows at node $h$ , respectively. + +$d_h(p)$ can also be decided by equation (3). + +$$d_h(p) = \frac{L_h}{R_h} + L/r \quad (3)$$ + +for any $h \geq 0$ . $L_h$ is the maximum packet length over all the flows that pass the link, and $R_h$ is the capacity of the link. The operational procedure for metadata updates, when equation (3) is used, is depicted in Figure 4. + +![Figure 4: Operational procedure for metadata update. The diagram shows a flow of information between several modules: ACF (Maintains L_h), TCF (Maintains Delta_h for input/output pairs), MMF (Metadata Management Function), CMF (Clock Management Function), QMF (Queue Management Function), and a Clock. The process starts with a 'Clock read' from the Clock to the CMF. The CMF sends 'Current time information' to the TCF. The TCF sends 'Time difference information: Delta_h(p)' to the MMF. The MMF also receives 'L_h information' from the ACF. The MMF performs five steps: 1. Obtains F_h(p), L, r from packet metadata; 2. Calculates d_h(p); 3. Calculates F_{h+1}(p) and writes it in the packet. The MMF is connected to a 'Switching module' and a 'Buffer'. The Buffer is connected to a 'Link'. The Link is connected to the 'Clock'.](410562339ce067fdc6fa41940c118658_img.jpg) + +``` + +graph TD + ACF[ACF: Maintains L_h] -- "2 L_h information" --> MMF + subgraph MMF [MMF] + 1[1 Obtains F_h(p), L, r from packet metadata] + 2[2 Calculates d_h(p)] + 3[3 Calculates F_{h+1}(p). Writes F_{h+1}(p) in the packet.] + end + TCF[TCF: Maintains Delta_h for input/output pairs] -- "3 Time difference information: Delta_h(p)" --> MMF + CMF[CMF] -- "Current time information" --> TCF + Clock[Clock] -- "Clock read" --> CMF + QMF[QMF] + SM[Switching module] + B[Buffer] + L[Link] + + MMF <--> SM + SM <--> B + B <--> L + L <--> Clock + +``` + +Figure 4: Operational procedure for metadata update. The diagram shows a flow of information between several modules: ACF (Maintains L\_h), TCF (Maintains Delta\_h for input/output pairs), MMF (Metadata Management Function), CMF (Clock Management Function), QMF (Queue Management Function), and a Clock. The process starts with a 'Clock read' from the Clock to the CMF. The CMF sends 'Current time information' to the TCF. The TCF sends 'Time difference information: Delta\_h(p)' to the MMF. The MMF also receives 'L\_h information' from the ACF. The MMF performs five steps: 1. Obtains F\_h(p), L, r from packet metadata; 2. Calculates d\_h(p); 3. Calculates F\_{h+1}(p) and writes it in the packet. The MMF is connected to a 'Switching module' and a 'Buffer'. The Buffer is connected to a 'Link'. The Link is connected to the 'Clock'. + +**Figure 4 – Operational procedure for metadata update** + +In this case, $L$ and $r$ information are required to be written in the packet as metadata. ① The packet metadata, $L$ , $r$ , and $F_h(p)$ , should be retrieved from the packet. $L_h$ and $R_h$ are maintained by the MMF of the node. Maintaining $R_h$ is trivial, but maintaining $L_h$ is not. ② It is required for MMF to be informed of $L_h$ from ACF. Note that ACF maintains the flow's traffic specification (TSpec), which includes the maximum packet length value. + +Moreover, the time difference $\Delta_h(p)$ has to be reflected in (2). $\Delta_h(p)$ is decided by equation (4) + +$$\Delta_h(p) = A_h(p) - C_{h-1}(p) \quad (4)$$ + +where $C_h(p)$ is the departure time, or equivalently the service completion time, of packet $p$ from node $h$ . Note that both $A_h(p)$ and $C_h(p)$ are measured by the clock in node $h$ . By convention, a packet is considered departed or arrived when its last bit is departed or arrived. + +The $C_h$ information is obtained on demand, by TCF. Note that how TCF obtains this information is out of the scope of this Recommendation. ③ The $\Delta_h$ information is obtained for every input/output port pair, and applied to a packet in accordance with its input/output ports. ④ $d_h(p)$ is calculated by (3). ⑤ $F_{h+1}(p)$ is calculated by (2) and written in the packet, replacing $F_h(p)$ . + +## 8.4 Queue management and packet transmission + +The operations for queue management and packet transmission are depicted in Figure 5. + +![Figure 5 – Operational procedures for queue management and packet transmission. The diagram illustrates the flow of a packet through various modules: Switching module, Buffer, MMF, QMF, and Link. It also shows auxiliary modules like ACF, TCF, CMF, and a Clock. The numbered steps 1 through 7 show the sequence of operations from packet storage to transmission.](4ee27dbf5ef12e7b58b0ef0937bc5a5e_img.jpg) + +``` +graph TD + ACF[ACF] + TCF[TCF] + MMF[MMF] + QMF[QMF] + CMF[CMF] + Switching[Switching module] + Buffer[Buffer] + Link[Link] + Clock[Clock] + + Switching -- "① Packet store" --> Buffer + Buffer -- "② Packet arrival notification" --> MMF + MMF -- "③ Metadata retrieval and update" --> Buffer + MMF -- "④ F_h(p) information" --> QMF + QMF -- "⑤ Enqueue" --> Buffer + Buffer -- "⑥ Dequeue" --> QMF + QMF -- "⑦ Packet TX" --> Link +``` + +Figure 5 – Operational procedures for queue management and packet transmission. The diagram illustrates the flow of a packet through various modules: Switching module, Buffer, MMF, QMF, and Link. It also shows auxiliary modules like ACF, TCF, CMF, and a Clock. The numbered steps 1 through 7 show the sequence of operations from packet storage to transmission. + +**Figure 5 – Operational procedures for queue management and packet transmission** + +① A packet is transferred from the switching module of a node to the buffer in an output port. ② MMF is notified of the arrival of the packet. ③ MMF retrieves the metadata; $F_h(p)$ , $L$ and $r$ . Note that $F_h(p)$ , the current node's FT, is calculated in the previous node $h - 1$ . ④ After the metadata update procedure specified in clause 8.3, MMF notifies QMF the value of $F_h(p)$ . ⑤ Based on this FT value, which will determine the service order of the packet, ⑥ QMF enqueues the packet in the queue. ⑦ When appropriate, the packet is dequeued and transmitted through the link. + +The enqueue and dequeue operations follow the service policy of the network. It can be used either FIFO queues or one of the priority queuing schemes, e.g., PIFO queue. While using PIFO can exactly implement the intended operation of stateless FQ specified in [ITU-T Y.3129], approximating PIFO with FIFO queues can also provide a similar performance [b-Joung]. + +As it can be determined using equation (3), the service rate ( $r$ ) and the maximum packet size ( $L$ ) of a flow are important pieces of information for determining the FT values in core nodes. A FIFO queue is assigned to the set of flows of a similar or same type. Compared with implementing a separate queue for each flow, using a queue for each flow type requires fewer queues, which can be predicted based on the environment, making implementation easier. + +Moreover, the parameters $r$ and $L$ are already present in the packet metadata. Therefore, by examining the packet metadata, the flow type that a packet belongs to can be identified. Further, the FT values of head-of-queue (HoQ) packets of FIFO queues are compared, and the packet with the smallest FT is selected for the transmission. A typical implementation practice of FQ in core nodes with FIFO is depicted in Figure 6. + +![Figure 6: A typical implementation practice of stateless FQ in core nodes with FIFO. The diagram shows a switching device with multiple input ports. Traffic is classified into high and low priority. High priority traffic goes through multiple 'M' (marking) blocks and 'S' (scheduling) blocks, each with a 'FIFO queue for similar flows'. Low priority traffic goes through a 'Low priority queue'. All traffic then enters a 'Strict priority scheduler with preemption'. The output goes through an 'Output port module' and then to the 'Output port'. The entire node is labeled 'Node = Output port module'.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +Figure 6: A typical implementation practice of stateless FQ in core nodes with FIFO. The diagram shows a switching device with multiple input ports. Traffic is classified into high and low priority. High priority traffic goes through multiple 'M' (marking) blocks and 'S' (scheduling) blocks, each with a 'FIFO queue for similar flows'. Low priority traffic goes through a 'Low priority queue'. All traffic then enters a 'Strict priority scheduler with preemption'. The output goes through an 'Output port module' and then to the 'Output port'. The entire node is labeled 'Node = Output port module'. + +**Figure 6 – A typical implementation practice of stateless FQ in core nodes with FIFO** + +When PIFO is used, a single PIFO can arrange packets in the ascending order of their FT values. The packet at the HoQ, with the least FT value, is selected for the transmission. + +# 9 Considerations for the notation of time + +The metadata FT is denoted as time. The time can be of a range only up to 1 second and it wraps around because the required E2E latency bounds of flows are not more than tens of milliseconds. + +For the precision of a time, the number of bits should be 32 or more. + +If 32 bits are used as a time, then to cover 1 s, the precision should be around $2^{-32}$ s/bit which is around $10^{-9}/4$ s/bit. For 1 Gbit/s links, the margin is 4 to be considered to have enough precision to distinguish bit levels. For 10G links, a byte level precision can be provided with 32 bits. + +However, if the aim is to support 1 Tbps links, more than 32 bits are needed. As 100 is around $2^7$ , it needs 8 more bits to support 1 Tbps links. In this case, the precision can be maintained as desired. + +# 10 Considerations for IMT-2020 networks + +The 5G QoS model is based on "QoS flows" (clause 5.7.1.1 of [b-ETSI TS 123 501]). The QoS flow is the finest granularity traffic entity for QoS management in the IMT-2020 core network. A QoS flow can either guarantee the bit rate or not, i.e., guaranteed bit rate (GBR) QoS flow or non-GBR (NGBR) QoS flow. The flow defined in this Recommendation matches the GBR QoS flow in IMT-2020 networks. For GBR QoS flows, network resources are permanently allocated with QoS flow-level guaranteed flow bit rate (GFBR) values. + +IMT-2020 network consists of user equipment (UE), access network (AN), core network (CN), and data network (DN) [b-ITU-T Y.3102]. IMT-2020 network emphasizes three features: control and user plane separation (distributed softwarization), AN and CN independence, and network slicing. The CN has multiple user plane functions as data plane components, physically separated and distributed, with other control plane functions are virtually distributed with the network slicing. + +This Recommendation distinguishes the roles of the entrance node and core node. An entrance node is the first node that a flow enters into a network domain that provides a latency bound. A core node is the subsequent node of the flow over its path in the network domain. A network domain can be any set of consecutive nodes within a whole network. Note that a core node is not necessarily a node in the CN of IMT-2020 networks. Therefore, there is no restriction on the exact locations of an entrance node and core nodes. However, as an example, the entrance node can be mapped to a node in AN, + +while the core nodes can be mapped to the nodes in CN and DN. As another example, the entrance node can be the edge node placed at the boundary of a CN or a DN. In this case, the core nodes can be the nodes that are located within the core of the CN or the DN. + +Figure 7 suggests an example that shows such locations. In this example, the UE directly interfaces with an entrance node in AN. All the subsequent nodes until the destination, which resides in an external DN, can be considered core nodes. This network architecture ensures an E2E latency bound from source to destination. Note that there are many possible locations for an entrance node and the core nodes, other than those suggested by this example. + +![Figure 7: The example network architecture of this Recommendation when applied to IMT-2020 networks. The diagram shows a sequence of network components: User equipment (containing a Source node), Access network (containing an Entrance node labeled 0), Core network (containing core nodes 1, ..., h-1, h), and External data network (containing nodes ..., H and a Destination node). A bracket under the core nodes is labeled 'Core nodes'. The diagram is labeled Y.3148(25) in the bottom right corner.](0f985b39edc1d52ba3600c438bc8f0a5_img.jpg) + +The diagram illustrates a network architecture divided into four main sections: User equipment, Access network, Core network, and External data network. In the User equipment section, there is a rounded rectangle labeled 'Source'. In the Access network section, there is a circle labeled '0' with the text 'Entrance node' below it. In the Core network section, there is a sequence of circles labeled '1', followed by an ellipsis, then 'h-1', then 'h'. A bracket underneath the circles from '1' to 'h' is labeled 'Core nodes'. In the External data network section, there is a sequence of circles labeled 'h', followed by an ellipsis, then 'H', and finally a rounded rectangle labeled 'Destination'. All these components are connected in a linear sequence from left to right. The diagram is labeled 'Y.3148(25)' in the bottom right corner. + +Figure 7: The example network architecture of this Recommendation when applied to IMT-2020 networks. The diagram shows a sequence of network components: User equipment (containing a Source node), Access network (containing an Entrance node labeled 0), Core network (containing core nodes 1, ..., h-1, h), and External data network (containing nodes ..., H and a Destination node). A bracket under the core nodes is labeled 'Core nodes'. The diagram is labeled Y.3148(25) in the bottom right corner. + +**Figure 7 – The example network architecture of this Recommendation when applied to IMT-2020 networks** + +# 11 Security considerations + +The QoS management of IMT-2020 network includes user equipment, access networks and core networks that are subject to security and privacy measures. Sensitive information should be protected as a high priority in order to avoid leaking and unauthorized access. Security and privacy concerns should be aligned with the requirements specified in [b-ITU-T Y.2701] and [b-ITU-T Y.3101]. + +# Bibliography + +- [[b-ITU-T Y.2701](#)] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [[b-ITU-T Y.3101](#)] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [[b-ITU-T Y.3102](#)] Recommendation ITU-T Y.3102 (2018), *Framework of the IMT-2020 network*. +- [[b-ITU-T Y.3113](#)] Recommendation ITU-T Y.3113 (2021), *Requirements and framework for latency guarantee in large-scale networks including the IMT-2020 network*. +- [[b-ITU-T Y.3120](#)] Recommendation ITU-T Y.3120 (2023), *Functional architecture for latency guarantee in large scale networks including IMT-2020 and beyond*. +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-ITU-R M.2083] Recommendation ITU-R M.2083-0 (2015), *IMT Vision – Framework and overall objectives of the future development of IMT for 2020 and beyond*. +- [b-ITU-T Y-Sup66] ITU-T Y-series Recommendations – Supplement 66 (2020), *ITU-T Y.3000-series – Network 2030 services: Capabilities, performance and design of new communication services for the Network 2030 applications*. +- [b-ETSI TS 123 501] Technical Specification ETSI TS 123 501 V18.5.0 (2024), *System architecture for the 5G System (5GS)* (3GPP TS 23.501 version 18.5.0 Release 18). +- [b-Joung] Joung, J., J. Kwon, J. -D. Ryoo and T. Cheung (2023), *Scalable flow isolation with work conserving stateless core fair queuing for deterministic networking*, in IEEE Access, Vol. 11, pp. 105225-105247, doi: 10.1109/ACCESS.2023.3318479. +- [b-Zhang] Zhang, L. (1990), *Virtual clock: A new traffic control algorithm for packet switching networks*, In Proceedings of the ACM symposium on Communications Architectures & Protocols, pp. 19–29. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3149-202508-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3149-202508-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..ceac6bdb8c0a716a7848853a9b6b2472c9e7ddf0 --- /dev/null +++ b/marked/Y/T-REC-Y.3149-202508-I_PDF-E/raw.md @@ -0,0 +1,510 @@ + + +# Recommendation + +## ITU-T Y.3149 (08/2025) + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +## --- Quality of service assurance requirements for the tactile Internet + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3149 + +## Quality of service assurance requirements for the tactile Internet + +## Summary + +Recommendation ITU-T Y.3149 specifies the quality of service (QoS) assurance requirements for the tactile Internet (TI). + +It first provides an overview of the TI. It then specifies the QoS considerations and QoS assurance requirements for the TI. The application scenarios of the TI are described in Appendix I. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3149 | 2025-08-29 | 13 | 11.1002/1000/16442 | + +## Keywords + +QoS assurance, requirements, tactile Internet. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (e.g., to ensure interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Terms defined elsewhere ..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview of the TI..... | 3 | +| 7 QoS considerations for the TI..... | 4 | +| 7.1 Example TI system ..... | 4 | +| 7.2 QoS considerations ..... | 5 | +| 8 QoS assurance requirements..... | 6 | +| 8.1 High level requirements ..... | 6 | +| 8.2 Functional requirements ..... | 7 | +| 9 Security considerations ..... | 8 | +| Appendix I – Application scenarios of the tactile Internet ..... | 9 | +| I.1 Haptic interpersonal communication..... | 9 | +| I.2 Remote industry operation ..... | 10 | +| I.3 Tactile VR games ..... | 11 | +| Bibliography..... | 12 | + + + +# Recommendation ITU-T Y.3149 + +## Quality of service assurance requirements for the Tactile Internet + +# 1 Scope + +This Recommendation specifies the quality of service (QoS) assurance requirements for the Tactile Internet (TI); the scope of this Recommendation is as follows: + +- Overview; +- QoS considerations; +- QoS assurance requirements; +- Application scenarios. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a standalone document, the status of a Recommendation. + +- [[ITU-T Y.3102](#)] Recommendation ITU-T Y.3102 (2018), *Framework of the IMT-2020 network*. +- [[ITU-T Y.3104](#)] Recommendation ITU-T Y.3104 (2018), *Architecture of the IMT-2020 network*. +- [[ITU-T Y.3106](#)] Recommendation ITU-T Y.3106 (2019), *Quality of service functional requirements for the IMT-2020 network*. +- [[ITU-T Y.3107](#)] Recommendation ITU-T Y.3107 (2019), *Functional architecture for QoS assurance management in the IMT-2020 network*. +- [[ITU-T Y.3109](#)] Recommendation ITU-T Y.3109 (2021), *Quality of service assurance-related requirements and framework for virtual reality delivery using mobile edge computing supported by IMT-2020*. +- [[ITU-T Y.3124](#)] Recommendation ITU-T Y.3124 (2023), *Quality of service monitoring requirements and framework for IMT-2020 and beyond*. +- [[ITU-T Y.3158](#)] Recommendation ITU-T Y.3158 (2022), *Local shunting for multi-access edge computing in IMT-2020 networks*. +- [[ITU-T Y.3170](#)] Recommendation ITU-T Y.3170 (2018), *Requirements for machine learning-based quality of service assurance for the IMT-2020 network*. +- [[ITU-T Y.3172](#)] Recommendation ITU-T Y.3172 (2019), *Architectural framework for machine learning in future networks including IMT-2020*. +- [[ITU-T Y.3175](#)] Recommendation ITU-T Y.3175 (2020), *Functional architecture of machine learning-based quality of service assurance for the IMT-2020 network*. +- [[ITU-T Y.3302](#)] Recommendation ITU-T Y.3302 (2017), *Functional architecture of software-defined networking*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related aspects that support to provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE 1 – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +NOTE 2 – This definition is based on [b-ITU-R M.2083-0]. + +**3.1.2 multi-access edge computing (MEC)** [b-ETSI GS MEC 001]: System which provides an IT service environment and cloud-computing capabilities at the edge of an access network which contains one or more type of access technology, and in close proximity to its users. + +**3.1.3 quality of experience (QoE)** [b-ITU-T P.10]: The degree of delight or annoyance of the user of an application or service. + +NOTE – Recognizing on-going research on this topic, this is a working definition which is expected to evolve for some time. (This note is not part of the definition.) + +**3.1.4 quality of service (QoS)** [b-ITU-T P.10]: The totality of characteristics of a telecommunications service that bear on its ability to satisfy stated and implied needs of the user of the service (see [b-ITU-T E.800]). + +**3.1.5 quality of service assurance** [ITU-T Y.3109]: Functionalities or mechanisms that enable service providers to make statements with a degree of confidence that the service meets the quality characteristics or objectives specified elsewhere. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 tactile Internet (TI)**: A concept relating to the evolution of the Internet, which purports to bring a new dimension into human-to-machine and human-to-human interactions by enabling haptic sensations. + +NOTE 1 – The main network characteristic of the TI is extremely low latency, in combination with high availability, reliability and security. + +NOTE 2 – This definition is based on [b-ITU-T TWR TI]. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|------------------------------------| +| AI | Artificial Intelligence | +| E2E | End-to-End | +| HIC | Haptic Interpersonal Communication | +| HTC | Holographic-Type Communication | +| MEC | Multi-access Edge Computing | +| ML | Machine Learning | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| SDN | Software-Defined Networking | + +| | | +|-----|-------------------------| +| SLA | Service Level Agreement | +| TI | Tactile Internet | +| TD | Tactile Device | +| TG | Tactile Gateway | +| TE | Tactile Edge | +| VR | Virtual Reality | + +# 5 Conventions + +This Recommendation uses the following conventions: + +The term "is required to" indicates a requirement which must be strictly followed, and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Overview of the TI + +The TI is a concept on the Internet evolution that purports to bring a new dimension into human-to-machine and human-to-human interactions, by enabling haptic sensations [b-ITU-T TWR TI] [b-ITU-T Q.4065]. From the communication network perspective, the main difference between the traditional Internet and the TI is that the feedback in a TI system can be in terms of various kinesthetic and vibro-tactile parameters, such as position, motion, vibration and surface texture, in addition to audio/visual feedback [b-tactile-5G]. + +The TI envisions the creation of a paradigm shift from content delivery to skill-delivery networks. For example, using the TI, an operator may be able to perform a remote industry operation on a distant machine. The operator operates the haptic devices and performs the actions based on the real-time audio/visual feed and the haptic feedback. + +TI applications require the network to have very low end-to-end (E2E) network latency (5 ms or less) for real-time tactile interaction, along with guaranteed high bandwidth to support the audio/visual feedback. It also requires strict synchronization between the various feeds to allow interactive control. If such guarantees cannot be met, not only does the quality of experience (QoE) [b-ITU-T P.10] for users deteriorate, but the applications themselves may become unusable [b-Network2030-G2]. + +This Recommendation summarizes the representative TI applications and identifies the associated QoS [b-ITU-T P.10] considerations. Based on these QoS considerations, this Recommendation specifies the QoS assurance [ITU-T Y.3109] requirements for TI QoS planning, QoS provisioning, QoS monitoring [ITU-T Y.3124] and QoS optimization [ITU-T Y.3106] [ITU-T Y.3107]. + +## 7.1 Example TI system + +There are many TI applications, such as haptic interpersonal communication (HIC), remote industry operation and tactile virtual reality (VR) games, which are described in Appendix I. Based on these application scenarios, a general example TI system is illustrated in Figure 1. + +![Figure 1 – Example TI system architecture diagram. The diagram shows a bi-directional communication system between a Slave domain and a Master domain, connected via a central Network domain. The Slave domain includes a Tactile device (with controller, encoding/decoding, sensor, and actuator) and a Tactile edge (slave) (with controller, gateway, and cloud). The Master domain includes a Tactile edge (master) (with controller, gateway, and cloud) and a Tactile device (with controller, encoding/decoding, sensor, and actuator). The Network domain consists of a Tactile service controller, Application layer, Control layer, and Resource layer. Data flows include Video signals (blue), Audio signals (green), and Haptic signals (purple) between the domains. Applications shown are Haptic interpersonal communication, Remote industry operation, and Tactile VR game, each in both slave and master roles.](e6df2733626a85205c1db682e6259c46_img.jpg) + +The diagram illustrates the architecture of an Example TI system, divided into three main domains: Slave domain, Network domain, and Master domain. + +- Slave domain:** Contains a Tactile device (with Tactile device controller, Tactile encoding/decoding, Sensor, and Actuator) and a Tactile edge (slave) (with Tactile edge controller, Tactile gateway, and Tactile edge cloud). +- Network domain:** Contains a Tactile service controller, Application layer, Control layer, and Resource layer. +- Master domain:** Contains a Tactile edge (master) (with Tactile edge controller, Tactile gateway, and Tactile edge cloud) and a Tactile device (with Tactile device controller, Tactile encoding/decoding, Sensor, and Actuator). + +Applications shown on both sides include Haptic interpersonal communication, Remote industry operation, and Tactile VR game. Data flows are indicated by colored arrows: Video signals (blue), Audio signals (green), and Haptic signals (purple). + +Y.3149(25) + +Figure 1 – Example TI system architecture diagram. The diagram shows a bi-directional communication system between a Slave domain and a Master domain, connected via a central Network domain. The Slave domain includes a Tactile device (with controller, encoding/decoding, sensor, and actuator) and a Tactile edge (slave) (with controller, gateway, and cloud). The Master domain includes a Tactile edge (master) (with controller, gateway, and cloud) and a Tactile device (with controller, encoding/decoding, sensor, and actuator). The Network domain consists of a Tactile service controller, Application layer, Control layer, and Resource layer. Data flows include Video signals (blue), Audio signals (green), and Haptic signals (purple) between the domains. Applications shown are Haptic interpersonal communication, Remote industry operation, and Tactile VR game, each in both slave and master roles. + +**Figure 1 – Example TI system** + +The example TI system consists of master domain, slave domain and network domain. Master/slave domains include tactile devices (TDs) and tactile edges (TEs). In the master and slave domains, both sensors and actuators are used to generate and transform data to realize a haptic control system. + +The master domain typically consists of a human controller or a machine controller. The types of sensors needed in the master domain are motion, position and force sensors. The slave domain consists of entities which are remotely controlled by the master domain. Haptic actuators in the master domain receive the kinaesthetic force feedback from the remote TD when handling objects. This is generated by using force sensors in the remote slave domain. In addition to the sensors and actuators, video/audio signals are sent from the slave side for better dexterity of object handling [b-HoIP]. + +The network domain provides the medium for bi-directional multimodality communication information exchange between the master and slave domains. Such bi-directional information exchange may result in a closed loop control system. + +The TD consists of sensor/actuator, tactile coding/decoding, and tactile device controller functionalities. With the sensing, actuation and processing capabilities, it can support haptic sensing, actuation, coding/decoding, network connectivity and tactile control functions. + +The TE consists of tactile gateway (TG), tactile cloud edge and TE controller functionalities. One challenge is to enable tactile communications across larger networks and wider geographic areas with ultra-low latency. Performance design targets run into physical limitations due to signal propagation that cannot exceed the speed of light (300 km one-way in one millisecond, or 200 km in an optical fibre). For those reasons, the distances across which tactile communication services can be offered + +will still be bounded, and tactile networking applications may need to leverage additional techniques, such as multi-access edge computing (MEC) [ITU-T Y.3158] [b-ETSI GS MEC 001], and machine learning (ML)/artificial intelligence (AI), to mitigate those limitations [b-Network2030-G2]. + +The TG is an entity with enhanced networking capabilities that provides interconnection functionality between a TE and the network domain. The TE control is an entity that handles the operation of the TE through intelligent network-side and device-side functions. TE cloud, with local caching and rendering capabilities, pushes haptic processing and storage to the network edges, so as to enable computation-intensive and latency-critical applications on resource-limited TDs. + +The network domain provides the medium for bi-directional information exchange between the TEs. It generally involves three channels to provide a tactile control loop [b-Network2030-G2], as follows: + +- A haptic feedback channel used to communicate haptic data from one or more remote haptic sensors (e.g., sensors in a robotic arm) to a haptic effector (e.g., a "data glove" rendering tactile sensations to a user). Haptic data includes tactile data such as surface texture and pressure points, and kinesthetic data such as force feedback and location/positioning awareness. +- A control channel used to operate a remote actuator (e.g., a robotic arm). +- An additional channel for live audio/visual feed(s) from the remote location (e.g., high-resolution video, immersive video/VR and holograms), and live telemetry feed(s) from the remote location. + +The typical network domain is a software-defined networking (SDN) [ITU-T Y.3302] enabled IMT-2020 network [ITU-T Y.3102] [ITU-T Y.3104]. The tactile service controller, an SDN application, supports tactile service control, TE coordination and network resource scheduling through network programming interface. + +## 7.2 QoS considerations + +The following QoS features should be considered for the TI: + +**Diverse application scenarios:** A large number of emerging TI applications (e.g., haptic interpersonal communication, remote industry operation and tactile VR games) have put forward new requirements on the TI. These applications and services consume networking, computing and storage resources, and propose diverse QoS requirements in the aspects of bandwidth, latency and reliability. + +**Efficient haptic processing:** These cover haptic information acquisition, storage, transmission and delivery. Multi-modal encoding schemes must be defined to support the different modalities (i.e., vocal, visual and haptic) of TI information, without increasing the E2E latency. Currently, visual and auditory information encoding has been studied extensively, but not haptic encoding. Meeting the challenge of haptic will also require customized interfaces to support and distinguish between human-to-machine, machine-to-human and machine-to-machine interactions. + +**High bandwidth:** Bandwidth is especially important in the case of remote TI visual feeds (from a traditional 2D image to 360° video, up to holograms), which means that the bandwidth requirements grow drastically. For instance, bandwidth up to 5 Gbps might be required for VR feeds, increasing up to 1 Tbit/s for large sized holograms [b-Network2030-G2]. + +**Low latency:** Latency is most crucial for high-precision applications, such as those described in the TI use cases (latency is expected to be ultra-low). The maximum delay that goes unnoticed by the human eye is about 5 ms. Moreover, for the operation to be smooth and immersive, the new paradigm even demands E2E latency at sub-ms levels, for instantaneous haptic feedback in some tactile cases [b-Network2030-G2]. + +**Synchronization and coordination:** The human being has different reaction times to different sensory inputs, e.g., tactile (1 ms), visual (10 ms), and audio (100 ms) [b-ITU-T TWR TI]. Thus, in tactile cases, the real-time feedback from hybrid sensory inputs which possibly arise from different + +locations, must be strictly synchronized. When multiple senses (audio, video and touch) participate in an interaction, the time-lag of the feedback for different senses must be synchronized and imperceptible. It is required that users do not feel delays among different flows. The different flows can be synchronized accordingly to ensure they are transferred to users within reasonable time windows, so that users do not feel delays among different flows. For example, when users are playing immersive tactile VR games [ITU-T Y.3109], they will see the movement of teammates, hear the sound of the actions, and feel the haptic at the same time, without any lag. + +**High reliability:** Remote industry operation puts forward requirements for the high reliability of communications, including the availability, resilience and recovery of communication system. For example, the reliability for remote industry operation should be at least 99.99999%. + +**Network capability exposure:** Applications have better access to packet content, which is more convenient when the data flow is processed based on the importance of the content. But application solutions are customized to special use cases and are therefore not general solutions. In some cases, the application might not be aware of the current condition of the network, so it may miss the best opportunity to make adjustments before, resulting in worse user experience. To better coordinate with applications on tactile and multi-modality service, the network can provide applications with the ability to subscribe to network quality changes (including network quality decreases and increases). It requests TI data flow QoS parameters and provides notification to applications when there are changes in the network [b-tactile-enabler]. Network capability exposure, and application and network coordination are important for the TI in handling and processing multi-modality service. The joint scheduling, management, and provisioning of network, computing and storage resources are performed. + +**Intelligent haptic computation and prediction:** These deal with all the computational aspects of haptic communications, including processing haptic feedback for a real-time interaction 'feel' and running the prediction intelligence program. While computations may be resource- and time-consuming, they should not affect the E2E latency requirement. These are related to the intelligence required for haptic information prediction (e.g., to predict a user's next move). This covers the actions, movements and feedback predictions, to enhance the latency and reduce communication delays and interruptions. + +**Distributed edge intelligence:** Suitable AI/ML techniques need to be investigated to be employed at the edge-side of the TI networks in order to facilitate the interpolation/extrapolation of human activities and predictive caching for reducing the E2E latency. Furthermore, AI/ML-based predictive actuation methods need to be investigated in order to enhance the range of tactile services/applications. + +# **8 QoS assurance requirements** + +## **8.1 High level requirements** + +- It is required the TI system to support different TI application scenarios (e.g., haptic interpersonal communication, remote industry operation and tactile VR games) with different QoS requirements (bandwidth, latency, reliability, etc.). +- It is recommended the TI system to be modular and scalable, which consists of master domain, slave domain and network domain. +- It is recommended the master/slave domain consists of TDs and TEs with QoS assurance capabilities. +- It is recommended the TD to support tactile sensor/actuator, tactile coding/decoding, and TD controller functionalities. +- It is recommended the TE to support TG, tactile cloud edge and TE controller functionalities. + +- It is recommended the TE cloud to support local caching and rendering capabilities so as to enable computation-intensive and latency-critical applications on resource-limited TDs. +- It is recommended the TG to support enhanced networking capabilities that provide different network inter-connectivity, including wired and wireless dedicated and shared network technologies among TDs, TE and the network domain. +- It is recommended the TI system to support efficient multimedia data (e.g., audio, video, text, haptic and operation), acquisition, encoding/decoding, storage, transmission and delivery. +- It is recommended the TI system to provide different channels (e.g., a haptic feedback channel, a control channel and an additional channel) for bi-directional multimedia tactile information exchange between the master domain and the slave domain. +- It is recommended the TI system to support coordination and synchronization among different channel flows to ensure they have been transferred within reasonable time windows, so that users do not feel delays among different flows. +- It is recommended the TI system to support network/service interaction and joint scheduling/provision/management of networking, computing and storage resources, to ensure the QoS requirements of TI applications. +- It is recommended the TI system to use AI, ML and edge-computing technologies to enhance the QoS assurance capabilities for TI applications. +- It is recommended to support effective QoS assurance life cycle management capabilities, which include QoS planning, provisioning, monitoring and optimization. + +## **8.2 Functional requirements** + +### **8.2.1 QoS planning** + +- It is recommended to support the translation of a TI service level agreement (SLA) with different service channel (audio/video, haptic feedback, control, etc.) requirements into network QoS policy rules. +- It is recommended to support the precise estimation of network coverage, capacity, bandwidth and delay with the consideration of TI service types, TD types and numbers. +- It is recommended to support channel, topology design and route planning per TI service type (audio/video, haptic feedback, control, etc.) to ensure QoS assurance. +- It is recommended to support joint resource planning of networking/computing/storage resources and TI service capabilities, to ensure QoS assurance. +- It is recommended to support optimization planning based on (MEC) [ITU-T Y.3158] [b-ETSI GS MEC 001], ML/AI [ITU-T Y.3170] [ITU-T Y.3172] [ITU-T Y.3175], etc. + +### **8.2.2 QoS provisioning** + +- It is required to support E2E TI QoS provisioning for TI service (audio/video, haptic feedback, control, etc.). +- It is required to support QoS mapping among tactile master, tactile slave, network domain, etc. +- It is required to support TI service specific QoS enforcement enabled by TI flow classification, marking, congestion avoidance, queue shaping and queue scheduling. +- It is required to support network capability exposure and joint scheduling of network/computing/storage resources, to ensure the TI application QoS requirements. +- It is required to support coordination and synchronization among different TI channel data flows, to ensure they have been transferred within reasonable time windows. + +- It is recommended to support autonomous QoS policy management with global network view and agile softwarized network functions. + +### **8.2.3 QoS monitoring** + +- It is required to support QoS-related status monitoring of different TI channel data flows. +- It is required to support TI service-specific QoS data collection of TDs, TE, network/computing/storage resources [ITU-T Y.3124]. +- It is required to support TI service-specific QoS data pre-processing of TDs, TE, network/computing/storage resources [ITU-T Y.3124]. +- It is recommended to support autonomic QoS measurement and QoS anomaly detection. +- It is required to support TI service-specific QoS data reporting of TDs, TE, network/computing/storage resources to network/service controller [ITU-T Y.3124]. +- It is recommended to support TI service-specific QoS anomaly prediction based on the analysis of QoS data [ITU-T Y.3170] [ITU-T Y.3172] [ITU-T Y.3175]. +- It is recommended to support TI traffic prediction based on the analysis of collected QoS data. + +### **8.2.4 QoS optimization** + +- It is recommended to support QoS optimization based on network capability exposure and joint scheduling of network/computing/storage resources. +- It is recommended to support TI service-specific QoS optimization enabled by MEC, ML/AI [ITU-T Y.3158] [b-ETSI GS MEC 001] [ITU-T Y.3170] [ITU-T Y.3172] [ITU-T Y.3175], etc. +- It is recommended to support TI service-specific routing optimization, traffic switching, splitting and steering based on the current TI traffic status. + +# **9 Security considerations** + +This Recommendation describes the QoS assurance for the TI. Therefore, general network security requirements and mechanisms in IP-based networks should be applied [b-ITU-T Y.2701]. Many TI applications require ultra-low latency and a high level of reliability and security to function correctly and safely. The security mechanisms, such as authentication, authority, accounting and encryption, should be adopted to ensure the security and safety of the TI. + +# Appendix I + +## Application scenarios of the tactile Internet + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Haptic interpersonal communication + +The forms of human touch, including handshakes, pats and hugs, are fundamental to physical, social and emotional interactions of humans. For example, touch from family and friends plays a prominent role in effective communication. HIC aims to facilitate mediated touch (kinesthetic and/or tactile) over a communication network, to feel the presence of a remote user and to perform social interactions. The application spectrum for HIC systems extends from social networking to education, training and health care. + +Figure I.1 shows a typical HIC system comprises a local user, a remote participant, a remote participant model at the local environment, and a local user model at the remote environment. Maintaining a human model for remote users involves the exchange of haptic data (position, velocity, interaction forces, etc.) and nonhaptic video/audio data (gestures, head movements and posture, eye contact, facial expressions, voice, etc.). The human models (remote participant or local user) can be either a physical entity (e.g., a social robot) or a virtual representation (e.g., a virtual reality avatar). With the advances of the TI, HIC systems can enjoy the high level of co-presence via the offered real-time reliable communication services. + +![Diagram of Haptic interpersonal communication system showing local and remote environments connected via a computer network.](9ae17964ddd9b814c7d905b1af2fddf2_img.jpg) + +The diagram illustrates a Haptic Interpersonal Communication (HIC) system. It is divided into two main sections: the Local environment and the Remote environment, connected by a central Computer network cloud. + +**Local environment:** Contains a Local user (represented by a man icon) and a Remote participant model (represented by a woman icon). The interactions are as follows: + +- A curved arrow labeled "Dialoguing" points from the Local user to the Remote participant model. +- A straight arrow labeled "Haptic interaction" points from the Remote participant model to the Local user. +- A curved arrow labeled "Observing" points from the Remote participant model to the Local user. + +**Remote environment:** Contains a Local user model (represented by a man icon) and a Remote participant (represented by a woman icon). The interactions are as follows: + +- A curved arrow labeled "Observing" points from the Remote participant to the Local user model. +- A straight arrow labeled "Haptic interaction" points from the Local user model to the Remote participant. +- A curved arrow labeled "Dialoguing" points from the Remote participant to the Local user model. + +The Computer network cloud is connected to both environments via double-headed arrows, indicating bidirectional data flow. + +Y.3149(25) + +Diagram of Haptic interpersonal communication system showing local and remote environments connected via a computer network. + +**Figure I.1 – Haptic interpersonal communication** + +In order to experience a natural perception in HIC systems, local users should be supported by a stable, real-time, haptic and visual feedback coming from the remote user. This requires high data rates (100-600 Mbit/s), short latency (less than 10 ms), small jitters (less than 2 ms), high reliability (99.999%), and strict synchronization. The key requirements of HIC for the TI are illustrated in Table I.1 [b-Holland] [b-Network2030-TR]. + +**Table I.1 – Haptic interpersonal communication** + +| Application scenario | Data type | Latency | Bandwidth | Reliability | Jitter | Synchronization | +|----------------------|-----------------------|--------------|--------------------------|-------------|-------------|-----------------| +| HIC | Nonhaptic-audio/video | $\leq 50$ ms | 100 Mbit/s
600 Mbit/s | 99.9% | $\leq 5$ ms | Strict | +| | Haptic feedback | $\leq 10$ ms | 400 kbit/s | 99.999% | $\leq 2$ ms | Strict | + +### I.2 Remote industry operation + +The TI envisions the real-time control of remote infrastructure, creating a plethora of opportunities and opening new areas of applications within sectors such as Industry 4.0. The holographic type communication (HTC) streaming technology will enable real-time and immersive interaction between a human operator and remote machinery. + +Figure I.2 shows a TI system for remote industry operation. It involves real-time monitoring and control of industrial infrastructure operations. Tactile sensors aid a remote human operator to control the machinery by means of kinaesthetic feedback. A crucial component of such operation between an operator and a machine is the real-time visual monitoring of the remote infrastructure, accompanied by haptic control. This can be provided by immersive audio-visual feeds, such as VR video streaming or other HTC-based streaming methods, together with haptic-sensing data synchronization [b-Network2030-TR]. + +![Diagram of a TI system for remote industry operation. A human operator wearing a VR headset and haptic gloves is connected via a cloud labeled 'TI' to an industrial robot. The robot is equipped with multiple cameras. Arrows indicate the flow of 'Streaming feed feedback signals' from the robot to the operator and 'Streaming control command signals' from the operator to the robot. The diagram is labeled Y.3149(25) in the bottom right corner.](a83ba9e3e2c1e21dd69953a7b09e45b4_img.jpg) + +Diagram of a TI system for remote industry operation. A human operator wearing a VR headset and haptic gloves is connected via a cloud labeled 'TI' to an industrial robot. The robot is equipped with multiple cameras. Arrows indicate the flow of 'Streaming feed feedback signals' from the robot to the operator and 'Streaming control command signals' from the operator to the robot. The diagram is labeled Y.3149(25) in the bottom right corner. + +**Figure I.2 – Remote industry operation** + +The increase in complexity of the visual feed (from a traditional 2D image to 360° video, up to holograms) means that the bandwidth requirements grow drastically. This requires high data rates (5 Gbit/s-1 Tbit/s), short latency (less than 5 ms), small jitters (less than 2 ms), high reliability (99.99999%), and strict synchronization. The key requirements of remote industry operation for the TI are illustrated in Table I.2. + +**Table I.2 – Remote industry operation** + +| Application scenario | Data type | Latency | Bandwidth | Reliability | Jitter | Synchronization | +|---------------------------|---------------------------------|---------------|-------------------|-------------|-------------|-----------------| +| Remote industry operation | HTC-based, real-time multimedia | $\leq 150$ ms | 5 Gbit/s-1 Tbit/s | 99.9% | $\leq 5$ ms | Strict | +| | Physical vital signs | $\leq 5$ ms | 2 Mbit/s | 99.99999% | $\leq 2$ ms | Strict | +| | Haptic feedback | $\leq 5$ ms | 400 kbit/s | 99.99999% | $\leq 2$ ms | Strict | + +### I.3 Tactile VR games + +Cloud VR gaming is the most typical strong-interaction application and introduces cloud computing technology to VR game platforms. Although the future of VR games is promising, most VR games currently lack virtual tactile interaction, and the content and types of games are still relatively monotonous. The types of games and the ways they are played are also somewhat limited. Virtual tactile interaction is an important means to achieve realism in VR games. It can simulate and provide tactile feedback to enhance the immersion and participation of players, thereby increasing the fun of the game [ITU-T Y.3109] [b-ITU-T Y.3125]. + +In tactile VR games, as Figure I.3 depicts, a tactile glove is often required to capture the position and motion data of the player's hand, such as the degree of finger bending and pressure. In addition, it can simulate real physical tactile sensations through vibration sensors, weight sensors and other devices embedded in the glove, allowing players to feel tactile interaction feedback. When players enter VR games integrated with tactile capabilities, it feels as if they have transcended time and space and entered a completely digitally constructed other world. Here, they can feel the breeze, the flow of water, and even touch everything in the virtual world. Every jump, every punch, is accompanied by real tactile interaction, making the player feel as if they are truly in that world [b-Network2030-TR]. + +![Diagram of Tactile VR games architecture showing a user with a VR headset and glove connected to a network and a VR game interface.](8307f6b04df072c9332f9987e034272c_img.jpg) + +The diagram illustrates the architecture of tactile VR games. On the left, a user is shown wearing a VR headset and a tactile glove. The glove is connected to a central processing unit (represented by three colored boxes: blue for 'VR A/V signals', green for 'Control signals', and purple for 'Haptic signals'). These signals are transmitted through a 'Network' (represented by a blue cloud) to a 'VR GAMES' interface on the right, which shows a virtual hand interacting with a game environment. The label 'Y.3149(25)' is located at the bottom right of the diagram. + +Diagram of Tactile VR games architecture showing a user with a VR headset and glove connected to a network and a VR game interface. + +Figure I.3 – Tactile VR games + +This requires high data rates (1 Gbit/s), short latency (less than 5 ms), small jitters (less than 2 ms), high reliability (99.99999%), and strict synchronization. The key requirements of tactile VR games for the TI are illustrated in Table I.3. + +Table I.3 – Tactile VR games + +| Application scenario | Data type | Latency | Bandwidth | Reliability | Jitter | Synchronization | +|----------------------|----------------------|---------|------------|-------------|--------|-----------------| +| Tactile VR games | 6 degrees of freedom | ≤ 5 ms | 1 Gbit/s | 99.9% | ≤ 5 ms | Strict | +| | Physical vital signs | ≤ 5 ms | 2 Mbit/s | 99.99999% | ≤ 2 ms | Strict | +| | Haptic feedback | ≤ 5 ms | 400 kbit/s | 99.99999% | ≤ 2 ms | Strict | + +# Bibliography + +- [[b-ITU-T E.800](#)] Recommendation ITU-T E.800 (2008), *Definitions of terms related to quality of service*. +- [[b-ITU-T P.10](#)] Recommendation ITU-T P.10/G.100 (2017), *Vocabulary for performance, quality of service and quality of experience*. +- [[b-ITU-T Q.4065](#)] Recommendation ITU-T Q.4065 (2021), *Framework of model network for tactile Internet testing*. +- [[b-ITU-T Y.3100](#)] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [[b-ITU-T Y.3125](#)] Recommendation ITU-T Y.3125 (2023), *Quality of service assurance requirements and framework for cloud gaming supported by the IMT-2020 network*. +- [b-ITU-T TWR TI] ITU-T Technology Watch Report (August 2014), *The Tactile Internet*; [https://www.itu.int/dms\\_pub/itu-t/oth/23/01/T23010000230001PDFE.pdf](https://www.itu.int/dms_pub/itu-t/oth/23/01/T23010000230001PDFE.pdf) +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-ITU-R M.2083-0] Recommendation ITU-R M.2083-0 (2015), *IMT vision – Framework and overall objectives of the future development of IMT for 2020 and beyond*. +- [b-ETSI GS MEC 001] ETSI GS MEC 001 V2.1.1 (2019), *Multi-access Edge Computing (MEC); Terminology*. +[https://www.etsi.org/deliver/etsi\\_gs/MEC/001\\_099/001/02.01.01\\_60/gs\\_MEC001v020101p.pdf](https://www.etsi.org/deliver/etsi_gs/MEC/001_099/001/02.01.01_60/gs_MEC001v020101p.pdf) +- [b-Holland] Holland, Oliver, et al. (2019), *The IEEE 1918.1 "Tactile Internet" Standards Working Group and its Standards*. Proceedings of the IEEE 107.2. +- [b-HoIP] Monnet, Wrya, and Tara Ali Yahya. (2020), *HoIP Performance for Tactile Internet over 5G Networks: A Teleoperation Case Study*. 2020 IEEE 11th International Conference on the Network of the Future (NOF). IEEE. +- [b-Network2030-G2] Deliverable of FG-NET2030 – Focus Group on Technologies for Network 2030 (2019), *New Services and Capabilities for Network 2030 Description, Technical Gap and Performance Target Analysis*. +- [b-Network2030-TR] Technical Report of FG-NET2030 – Focus Group on Technologies for Network 2030 (2020), *Representative use cases and key network requirements for Network 2030*. +- [b-tactile-5G] *Tactile internet and its applications in 5G era: A comprehensive review*; +- [b-tactile-enabler] Shi, Xiaonan, Tangqing Liu, and Lu Lu. (2021), *5G-Advanced Network Enable Tactile and Multimodality Communication Service*. 2021 IEEE 21st International Conference on Communication Technology (ICCT). IEEE. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3151-201904-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3151-201904-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..2cb48544971e6cd9bba6ddd821b2217ca0ffa8f4 --- /dev/null +++ b/marked/Y/T-REC-Y.3151-201904-I_PDF-E/raw.md @@ -0,0 +1,629 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.3151 + +(04/2019) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Future networks + +# --- High-level technical characteristics of network softwarization for IMT-2020 – Part: SDN + +Recommendation ITU-T Y.3151 + +ITU-T + +![ITU International Telecommunication Union logo](1d7527f4316cfe2d342b08d1653d1592_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU International Telecommunication Union" to its right. + +ITU International Telecommunication Union logo + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +### INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +### **FUTURE NETWORKS** **Y.3000–Y.3499** + +### CLOUD COMPUTING + +Y.3500–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3151 + +# High-level technical characteristics of network softwarization for IMT-2020 – Part: SDN + +## Summary + +With the advent of network slicing technology for IMT-2020, which is the most typical substantiation of the network softwarization approach, this Recommendation describes the technical aspects of the software-defined networking (SDN) part of network slice support, which assists in handling individual components of a network slice, and contains network infrastructure and its control/management (Recommendation ITU-T Y.3150). This Recommendation addresses the technical aspects of the SDN environment: architectural model, functionalities and interfaces. In particular, the high-level specifications of SDN control interfaces are treated based on a standard of SDN control of transport networks (Recommendation ITU-T G.7702). + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3151 | 2019-04-29 | 13 | 11.1002/1000/13892 | + +## Keywords + +Control interface, network slice, network softwarization, SDN + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2019 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation ..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview of SDN for network slice support ..... | 3 | +| 6.1 High-level architectural model of network slice support ..... | 3 | +| 6.2 The SDN part in network slice support ..... | 4 | +| 6.3 Examples of applications using specific resource control..... | 5 | +| 6.4 Management function..... | 6 | +| 7 Control interfaces for network slicing ..... | 6 | +| 7.1 Reference points ..... | 6 | +| 7.2 Control interface between network slice orchestration and SDN controller.. | 6 | +| 7.3 Control interface between SDN controller and SDN infrastructure..... | 7 | +| 8 Security considerations ..... | 7 | +| Appendix I – Examples of critical applications ..... | 9 | +| I.1 Introduction of critical applications..... | 9 | +| I.2 An example of time critical application ..... | 10 | +| I.3 An example of power consumption critical application..... | 11 | +| Appendix II – Examples of existing SDN-based open source software ..... | 12 | +| Bibliography..... | 13 | + + + +## Recommendation ITU-T Y.3151 + +# High-level technical characteristics of network softwarization for IMT-2020 – Part: SDN + +## 1 Scope + +This Recommendation addresses the technical aspects of the SDN environment for network slicing: an SDN architectural model, functionalities and interfaces. This Recommendation focuses especially on the SDN control interfaces of transport networks. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T G.7702] Recommendation ITU-T G.7702 (2018), *Architecture for SDN control of transport networks*. +- [ITU-T Y.3100 C1] Recommendation ITU-T Y.3100 (2017) Corrigendum 1 (2018), *Terms and definitions for IMT-2020 network*. +- [ITU-T Y.3150] Recommendation ITU-T Y.3150 (2018), *High-level technical characteristics of network softwarization for IMT-2020*. +- [ITU-T Y.3300] Recommendation ITU-T Y.3300 (2014), *Framework of software-defined networking*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 management** [ITU-T Y.3100 C1]: In the context of IMT-2020, the processes aiming at fulfilment, assurance, and billing of services, network functions, and resources in both physical and virtual infrastructure including compute, storage, and network resources. + +**3.1.2 network function** [ITU-T Y.3100 C1]: In the context of IMT-2020, a processing function in a network. + +NOTE 1 – Network functions include but are not limited to network node functionalities, e.g., session management, mobility management and transport functions, whose functional behaviour and interfaces are defined. + +NOTE 2 – Network functions can be implemented on a dedicated hardware or as virtualized software functions. + +NOTE 3 – Network functions are not regarded as resources, but rather any network functions can be instantiated using the resources. + +**3.1.3 network slice** [ITU-T Y.3100 C1]: A logical network that provides specific network capabilities and network characteristics. + +NOTE 1 – Network slices enable the creation of customized networks to provide flexible solutions for different market scenarios which have diverse requirements, with respect to functionalities, performance and resource allocation. + +NOTE 2 – A network slice may have the ability to expose its capabilities. + +NOTE 3 – The behaviour of a network slice is realized via network slice instance(s). + +**3.1.4 network slice blueprint** [ITU-T Y.3100 C1]: A complete description of the structure, configuration and work flows for how to create and control a network slice instance during its life cycle. + +NOTE – A network slice template can be used synonymously with a network slice blueprint. + +**3.1.5 network slice instance** [ITU-T Y.3100 C1]: An instance of network slice, which is created based on network slice blueprint. + +NOTE 1 – A network slice instance is composed of a set of managed run-time network functions, and physical/logical/virtual resources to run these network functions, forming a complete instantiated logical network to meet certain network characteristics required by the service instance(s). + +NOTE 2 – A network slice instance may also be shared across multiple service instances provided by the network operator. A network slice instance may be composed of none, one or more sub-network slice instances which may be shared with another network slice instance. + +**3.1.6 network softwarization** [ITU-T Y.3100 C1]: An overall approach for designing, implementing, deploying, managing and maintaining network equipment and/or network components by software programming. + +NOTE – Network softwarization exploits the natures of software such as flexibility and rapidity all along the lifecycle of network equipment/components, for the sake of creating conditions enabling the re-design of network and services architectures, optimizing costs and processes, enabling self-management and bringing added values in network infrastructures. + +**3.1.7 orchestration** [ITU-T Y.3100 C1]: In the context of IMT-2020, the processes aiming at the automated arrangement, coordination, instantiation and use of network functions and resources for both physical and virtual infrastructure by optimization criteria. + +**3.1.8 virtual network (VN)** [b-ITU-T G.7701]: A designated subset of abstracted network resources. + +NOTE – The network resources in the VN may be at different levels of abstraction and may correspondingly use identifiers from different name spaces. + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|------------------------------------------------------------| +| API | Application Programming Interface | +| CMUD | Create, Monitor, Update and Delete | +| DBA | Dynamic Bandwidth Allocation | +| E2E | End to End | +| eMBB | Enhanced Mobile Broadband | +| EMS | Element Management System | +| FCAPS | Fault, Configuration, Accounting, Performance and Security | +| IMT-2020 | International Mobile Telecommunications for 2020 | +| ITS | Intelligent Transport System | + +| | | +|--------|----------------------------------------------| +| MEC | Multi-access Edge Computing | +| NFV | Network Functions Virtualization | +| OLT | Optical Line Terminal | +| ONU | Optical Network Unit | +| OSS | Operations Support System | +| OTN | Optical Transport Network | +| PON | Passive Optical Network | +| ROADM | Reconfigurable Optical Add/Drop Multiplexer | +| RRH | Remote Radio Head | +| SDN | Software-Defined Networking | +| UE | User Equipment | +| URLLC | Ultra-Reliable and Low Latency Communication | +| VN | Virtual Network | +| vPON | Virtual PON | +| VR | Virtualized Resource | +| vROADM | Virtual ROADM | +| vSW | Virtual Switch | + +## 5 Conventions + +None. + +## 6 Overview of SDN for network slice support + +Software-defined networking (SDN) provides abilities to programme automated behaviours in a network to coordinate the SDN-enabled networking hardware and software elements to support applications and services via application programming interfaces (APIs) [ITU-T Y.3300]. + +This clause addresses the outline of SDN for network slice support, which contains SDN-relevant functionalities for the creation, monitor, update and delete (CMUD) processes of network slice instances [ITU-T Y.3150]. + +### 6.1 High-level architectural model of network slice support + +An IMT-2020 system for providing network slices can be modelled by three key functional entities as shown in Figure 6-1 [ITU-T Y.3150]. These are: + +- Network slice customer/application: requests the creation/usage of network slices (instances) based on their service requirements. +- Network slice orchestration: manages network slices (instances) based on the requests. +- Network slice support: handles individual components of a network slice instance. The network slice support consists of network infrastructures and their management and control features. There are three kinds of network infrastructures in the network slice support: SDN part, network functions virtualization (NFV) part and other infrastructure part, which may include cloud computing resources. + +This document focuses on functionalities of the SDN part in the network slice support. + +![Figure 6-1: High-level architectural model for network slice support. The diagram shows a hierarchical structure. At the top is 'Network slice customer/application'. Below it is 'Network slice orchestration', which is connected to 'OSS' on the left. Below 'Network slice orchestration' is a large box labeled 'Network slice support'. Inside this box are three dashed-line boxes: 'SDN part', 'NFV part', and 'Other infrastructure part'. The label 'Y.3151(19)_F6-1' is at the bottom right.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 6-1: High-level architectural model for network slice support. The diagram shows a hierarchical structure. At the top is 'Network slice customer/application'. Below it is 'Network slice orchestration', which is connected to 'OSS' on the left. Below 'Network slice orchestration' is a large box labeled 'Network slice support'. Inside this box are three dashed-line boxes: 'SDN part', 'NFV part', and 'Other infrastructure part'. The label 'Y.3151(19)\_F6-1' is at the bottom right. + +**Figure 6-1 – High-level architectural model for network slice support** + +### 6.2 The SDN part in network slice support + +The SDN of network slice support consists of an SDN controller and an SDN infrastructure. + +Figure 6-2 illustrates SDN relevant functional blocks within the SDN part in Figure 6-1. Basic functional roles of the SDN controller and the SDN infrastructure are as follows: + +- SDN controller: provides virtual networks (VNs) composed of various virtualized resources (VRs) and links according to requests of the network slice orchestration. +- SDN Infrastructure: provides various virtualized resources according to requests of the SDN controller. + +![Figure 6-2: General architectural model of SDN part. This diagram provides a detailed view of the SDN part from Figure 6-1. It shows 'Network slice customer/application' at the top, connected to 'Network slice orchestration'. 'Network slice orchestration' is connected to 'OSS' on the left. Below 'Network slice orchestration' is the 'SDN controller', which contains 'Abstraction, etc.'. A double-headed arrow between 'Network slice orchestration' and 'SDN controller' is labeled 'VN (VN-1, VN-2, ...)'. Below the 'SDN controller' is the 'SDN infrastructure', which contains a 'Resource controller (Stack, DBA, etc.)' and two 'H/W' blocks separated by an ellipsis. A double-headed arrow between 'SDN controller' and 'SDN infrastructure' is labeled 'VR (vPON, vROADM, vSW, etc.)'. The label 'Y.3151(19)_F6-2' is at the bottom right.](053f1077d592e6622cd21dc4bb4cb366_img.jpg) + +Figure 6-2: General architectural model of SDN part. This diagram provides a detailed view of the SDN part from Figure 6-1. It shows 'Network slice customer/application' at the top, connected to 'Network slice orchestration'. 'Network slice orchestration' is connected to 'OSS' on the left. Below 'Network slice orchestration' is the 'SDN controller', which contains 'Abstraction, etc.'. A double-headed arrow between 'Network slice orchestration' and 'SDN controller' is labeled 'VN (VN-1, VN-2, ...)'. Below the 'SDN controller' is the 'SDN infrastructure', which contains a 'Resource controller (Stack, DBA, etc.)' and two 'H/W' blocks separated by an ellipsis. A double-headed arrow between 'SDN controller' and 'SDN infrastructure' is labeled 'VR (vPON, vROADM, vSW, etc.)'. The label 'Y.3151(19)\_F6-2' is at the bottom right. + +**Figure 6-2 – General architectural model of SDN part** + +The SDN controller can open an interface that allows it to be exposed to clients including network slice orchestration and other management functions. The SDN controller presents a view of resources (i.e., a form of a VN) to its client(s) via the interface in a client context. + +NOTE – For supporting network slicing in the transport network, [b-GSTR-TN5G] assumed that: + +- Transport network management functions are implemented by the SDN controller. +- Transport networks will be presented as an independent set of VNs. + +- The transport network is directly visible to clients including the management system and each VN instance may be viewed as a part or complete constituents of a network slice instance. +- A transport network VN instance supports each type of IMT-2020 services (e.g., URLLC, eMBB). +- Each transport network VN instance will provide a (logically) separate management interface. +- Transport network VN instances will not be aware of the end-to-end (E2E) slice instances because of the differences in granularity. Therefore, each transport network VN will support zero or more E2E slice instances. + +The SDN controller has functions of resource abstraction for making a model of VNs; physical/abstracted resource conversion defining abstract elements, acquisition, setting and management of physical resource information; allocation and management of abstracted resource. In the case of the usage of hierarchical and segmented controllers, the orchestration function of the SDN controller supports multilevel control hierarchy, multi-layer control and multi-domain control [ITU-T G.7702]. + +The SDN infrastructure consists of a resource controller and network equipment. Examples of the network equipment are an optical line terminal (OLT), a reconfigurable add/drop multiplexer (ROADM), an L2 and/or L3 switch, a router etc. + +The SDN infrastructure has functions supporting the monitoring and controlling of the network equipment. + +A resource controller provides the usage of various VRs (e.g., virtual passive optical network (vPON), vROADM, vSW), and controls the VRs using subordinate network equipment groups. The resource controller provides information on VRs' states to the SDN controller. + +As for the above-mentioned SDN functionalities, they can be implemented using existing SDN-related open source software. + +NOTE – Candidates of standardized specifications on resource control interface are OpenFlow [b-ONF TS-025], NETCONF [b-RFC 6241]/YANG [b-RFC 6020], OVSDB [b-OVSDB] and OpenConfig [b-OpenConfig], etc. + +Figure 6-3 shows the applicability of the usage of open source software for implementation of key SDN functionalities. + +![Figure 6-3: Function elements of SDN for network slice support. The diagram is divided into two main sections: 'SDN controller' and 'SDN infrastructure'. The 'SDN controller' section includes 'Abstraction of resources', 'Conversion of physical/abstracted resources', 'Acquisition/setting of physical resource information (Configuration and properties)', 'Inter-level/layer/domain orchestration', 'Management and allocation of abstracted resources (Virtual networks)', and 'Management of physical resources (Virtualized resources)'. The 'SDN infrastructure' section includes 'Support of physical resource control/monitoring' and 'Resource controller'. Below the 'SDN infrastructure' section, there are two boxes: 'Open source software for abstraction can be utilized' and 'Open source software for resource control interface can be utilized'. The diagram also shows hardware (H/W) components connected to the resource controller.](c78c2eefd86269d1740ab85a916f24f2_img.jpg) + +The diagram illustrates the functional elements of SDN for network slice support, organized into two main layers: the SDN controller and the SDN infrastructure. + +- SDN controller:** This layer is responsible for high-level management and abstraction. It includes: + - Abstraction of resources:** A solid box indicating a core function. + - Conversion of physical/abstracted resources:** A solid box indicating a core function. + - Acquisition/setting of physical resource information (Configuration and properties):** A dashed box indicating a function that can be implemented using open source software. + - Inter-level/layer/domain orchestration:** A solid box indicating a core function. + - Management and allocation of abstracted resources (Virtual networks):** A solid box indicating a core function. + - Management of physical resources (Virtualized resources):** A solid box indicating a core function. +- SDN infrastructure:** This layer handles the physical resource control and monitoring. + - Support of physical resource control/monitoring:** A dashed box indicating a function that can be implemented using open source software. + - Resource controller:** A solid box that manages the physical resources. It is connected to hardware (H/W) components, represented by boxes labeled 'H/W'. + +At the bottom of the diagram, two boxes specify the applicability of open source software: + +- Open source software for abstraction can be utilized:** A solid box. +- Open source software for resource control interface can be utilized:** A dashed box. + +The diagram is labeled Y.3151(18)\_F6-3 in the bottom right corner. + +Figure 6-3: Function elements of SDN for network slice support. The diagram is divided into two main sections: 'SDN controller' and 'SDN infrastructure'. The 'SDN controller' section includes 'Abstraction of resources', 'Conversion of physical/abstracted resources', 'Acquisition/setting of physical resource information (Configuration and properties)', 'Inter-level/layer/domain orchestration', 'Management and allocation of abstracted resources (Virtual networks)', and 'Management of physical resources (Virtualized resources)'. The 'SDN infrastructure' section includes 'Support of physical resource control/monitoring' and 'Resource controller'. Below the 'SDN infrastructure' section, there are two boxes: 'Open source software for abstraction can be utilized' and 'Open source software for resource control interface can be utilized'. The diagram also shows hardware (H/W) components connected to the resource controller. + +**Figure 6-3 – Function elements of SDN for network slice support** + +### 6.3 Examples of applications using specific resource control + +Examples of applications which need specific resource control functions are as follows: + +- Time critical application: requests to fulfil specific requirements about latency of data communication; +- Power consumption critical application: requests to fulfil specific requirements of network power consumption. + +NOTE 1 – Appendix I introduces examples of the applications. + +NOTE 2 – Several issues on resource efficiency and/or processing time may occur in these applications that require dynamic control. As a solution to the issues, a resource control function handling abstracted resources should be located in the infrastructure layer. + +### 6.4 Management function + +Management aspects of the SDN controller are as follows: + +- Management aspects for the SDN controller are described in [ITU-T G.7702]. +- An element management system (EMS) needs to send and receive VR management signals for interactions with the OSS. + +## 7 Control interfaces for network slicing + +This clause describes specifications of control interfaces for CMUD of a network slice instance. + +NOTE – Interfaces for fault, configuration, accounting, performance and security (FCAPS) management are out of the scope of this Recommendation. + +### 7.1 Reference points + +Reference points relevant to SDN are R1S and R2S in Figure 7-1: + +- R1S: a control interface between network slice orchestration and an SDN controller. +- R2S: a control interface between the SDN controller and an SDN infrastructure. + +R2S refers to and expands standardized specifications of [ITU-T G.7702], and R1S is specified in accordance with the specifications of R2S. + +![Figure 7-1: Reference points of SDN for network slicing. The diagram shows a vertical stack of three main components: Network slice orchestration at the top, SDN controller in the middle, and SDN infrastructure at the bottom. Between Network slice orchestration and SDN controller is a bidirectional arrow labeled 'R1S' on the left and 'VN' on the right. Inside the SDN controller box is a sub-box labeled 'Abstraction, etc.'. Between SDN controller and SDN infrastructure is a bidirectional arrow labeled 'R2S' on the left and 'VR' on the right. Inside the SDN infrastructure box is a sub-box labeled 'Resource controller (Stack, DBA, etc.)' and below it are two boxes labeled 'H/W' separated by an ellipsis '...'.](0019f09403376d6444ee323591fa2e98_img.jpg) + +Y.3151(19)\_F7-1 + +Figure 7-1: Reference points of SDN for network slicing. The diagram shows a vertical stack of three main components: Network slice orchestration at the top, SDN controller in the middle, and SDN infrastructure at the bottom. Between Network slice orchestration and SDN controller is a bidirectional arrow labeled 'R1S' on the left and 'VN' on the right. Inside the SDN controller box is a sub-box labeled 'Abstraction, etc.'. Between SDN controller and SDN infrastructure is a bidirectional arrow labeled 'R2S' on the left and 'VR' on the right. Inside the SDN infrastructure box is a sub-box labeled 'Resource controller (Stack, DBA, etc.)' and below it are two boxes labeled 'H/W' separated by an ellipsis '...'. + +**Figure 7-1 – Reference points of SDN for network slicing** + +### 7.2 Control interface between network slice orchestration and SDN controller + +Parameters transmitted via R1S are used for CMUD of VNs (instances). + +Request parameters, which are sent from a network slice orchestration to an SDN controller for slice orchestration for CMUD of VN instances, can be: + +- network slice instance requirements (e.g., performance, security); +- service policy (e.g., resource allocation policy for URLLC, power saving). + +Result parameters, which return from the SDN controller to the network slice orchestration, can be: + +- VN information (e.g., topology, latency, capacity); +- VN status (e.g., failure alarm). + +### **7.3 Control interface between SDN controller and SDN infrastructure** + +Parameters transmitted via R2S consists of general parameters based on specifications of [ITU-T G.7702] and expanded parameters for CMUD of VRs. + +#### **7.3.1 General parameters** + +General parameters defined in [ITU-T G.7702] are as follows: + +- identifiers in the client/server context (e.g., connection identifiers); +- requests for the operation of VN instances; +NOTE 1 – These are supported in client contexts. +- transport network connection parameters (e.g., end points, capacity, network layer, latency, cost); +- notification subscription(s); +NOTE 2– A transport resource (e.g., a link) may be requested to subscribe to a type of notification regarding that resource (e.g., alarm). +- success/failure; +NOTE 3 – The results of requesting parameters from the SDN infrastructure. +- operational state. +NOTE 4 – The operational state gives the information about the real capability of a resource to provide or not provide service [b-ITU-T M.3701]. + +#### **7.3.2 Expanded parameters** + +Expanded request parameters, which are sent from an SDN controller to an SDN infrastructure for getting information of the SDN infrastructure, can be: + +- request of a type of network function (e.g., router, Ethernet switch, firewall, optical transport network (OTN) switch, PON); +- the number of access network equipment when an access network is controlled by the SDN controller; +- service policy such as capacity allocation (e.g., guarantee, best effort, fairness); +NOTE – A combination of values of these parameters are expected to be used. For example, the SDN controller offers allocation policies (e.g., best effort, fairness) to the SDN infrastructure. The SDN infrastructure allocates bandwidth while considering these policies. + +Expanded result parameters, which returns from the SDN infrastructure to the SDN controller, can be: + +- A type of network function; +- VR information (e.g., latency, capacity). + +## **8 Security considerations** + +The security and reliability of SDN networks remains a high priority. This Recommendation focuses particularly on interfaces of an SDN controller. Therefore, the access control of its interfaces (e.g., authorization, authentication and security policy management) is the key to confront security threats. + +In addition, the SDN controller is responsible for the creation of a connection. This includes creating both a working connection and a protection connection, or providing connection specific configuration information for a protection scheme [ITU-T G.7702]. + +For general security treatment in IP-based networks, relevant security requirements are also identified by clauses 7 and 8 of [b-ITU-T Y.2701]. + +## Appendix I + +### Examples of critical applications + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Introduction of critical applications + +A time critical application and a power consumption critical application are introduced in this appendix. + +#### I.1.1 Time critical applications + +For control of devices and/or systems in process automation, factory automation, intelligent transport system (ITS) and train control, specific requirements on latency of data communication (including URLLC) may be requested. Figure I.1 shows an image of a time critical application. + +Ovals A, B, C and D in Figure I.1 are network slices which include UEs, access nodes, servers or multi-access edge computing (MEC). Servers in the figure mainly deal with transactions for non-URLLC applications and deliver and aggregate relevant information. On the other hand, the MEC mainly supports URLLC applications and treats their data transmission. The non-URLLC means an application category in which ultra-low latency is not requested but a certain level of latency and processing time is requested. For example, "xx ms" on straight arrows in the figure shows the transfer latency time, and "yy ms" on curved arrows shows the transaction time. As also shown in the figure, an access node conducts real-time resource allocation by grasping both the status and quantity of resource for the applications in order to meet the requirements of the transfer latency time in each network slice. The access node also decides which route of a data flow is appropriate (i.e., a data flow to servers or to the MEC). + +![Figure I.1: An image of a time critical application. The diagram illustrates a network architecture and its timing requirements. The architecture shows four UEs connected to an Access node via four network slices (Slice-A, Slice-B, Slice-C, Slice-D). The Access node is connected to a MEC (Multi-access Edge Computing) and two Servers (PA and TC). The MEC is connected to a Server (FA ITS). The Access node is also connected to a Server (TC). The diagram shows the flow of data from UEs to the Access node, then to the MEC or Servers. The timing requirements are shown in a table below the diagram.](c67d21fb3d9042e88cdc669f071b4e7c_img.jpg) + +| Application Type | Transfer Latency (ms) | Transaction Time (ms) | +|---------------------------------------|-----------------------|-----------------------| +| Time critical application (URLLC) | 5 ms (max) | 30 ms (max) | +| | 5 ms (max) | 30 ms (max) | +| Time critical application (NON-URLLC) | 25 ms (max) | 200 ms (max) | +| | 25 ms (max) | 200 ms (max) | +| Not time critical application | ??? ms | ??? ms | +| | ??? ms | ??? ms | + +Y.3151(19)\_FI.1 + +Figure I.1: An image of a time critical application. The diagram illustrates a network architecture and its timing requirements. The architecture shows four UEs connected to an Access node via four network slices (Slice-A, Slice-B, Slice-C, Slice-D). The Access node is connected to a MEC (Multi-access Edge Computing) and two Servers (PA and TC). The MEC is connected to a Server (FA ITS). The Access node is also connected to a Server (TC). The diagram shows the flow of data from UEs to the Access node, then to the MEC or Servers. The timing requirements are shown in a table below the diagram. + +Figure I.1 – An image of a time critical application + +#### I.1.2 Power consumption critical applications + +Mobile communication networks are requested to meet requirements on network power consumption in total. Figure I.2 illustrates an image of a power consumption critical application. + +A network slice consists of UEs, front-haul networks, access nodes, backhaul networks and servers. Servers in the figure conduct data delivery to or data aggregate form UEs, and treat relevant information processing. + +When UEs move to different hexagons a, b and c, which mean mobile cells, along red arrows, required power consumption is changed based on the movement. Grayed ovals 'Slice-X' also show the image of change of a network slice according to the move. + +For optimizing power consumption, it is necessary to figure out the number of UEs and resource states in each mobile cell and to carry out real-time resource allocation. An access node plays roles in the scheduling and controlling of relevant resource allocation processes. + +![Figure I.2: A diagram illustrating a power consumption critical application. It shows three mobile cells (a, b, c) represented by hexagons. Red arrows indicate UE mobility between these cells. An 'Access node' box contains 'Resource schedule' and 'Control/management total power consumption'. The 'Front haul' connects the cells to the access node, and the 'Backhaul/core' connects the access node to a 'Server'. Below the cells, three line graphs show the 'Numbers of UEs in each cell' for cells a, b, and c. To the right, three step-like graphs show 'Resource allocation' for cells a, b, and c. At the bottom, three purple ovals labeled 'Slice-X' represent network slices. The diagram is labeled 'Y.3151(19)_FI.2' in the bottom right corner.](0f985b39edc1d52ba3600c438bc8f0a5_img.jpg) + +Figure I.2: A diagram illustrating a power consumption critical application. It shows three mobile cells (a, b, c) represented by hexagons. Red arrows indicate UE mobility between these cells. An 'Access node' box contains 'Resource schedule' and 'Control/management total power consumption'. The 'Front haul' connects the cells to the access node, and the 'Backhaul/core' connects the access node to a 'Server'. Below the cells, three line graphs show the 'Numbers of UEs in each cell' for cells a, b, and c. To the right, three step-like graphs show 'Resource allocation' for cells a, b, and c. At the bottom, three purple ovals labeled 'Slice-X' represent network slices. The diagram is labeled 'Y.3151(19)\_FI.2' in the bottom right corner. + +**Figure I.2 – An image of a power consumption critical application** + +### I.2 An example of time critical application + +This clause introduces a time critical application in an optical access system (e.g., passive optical network (PON)). Generally, the PON requests high-speed processing functions such as dynamic bandwidth allocation (DBA). + +Figure I.3 shows an example of a time critical application when a PON applies to an SDN infrastructure. + +A resource controller gets total bandwidth and the number of optical network units (ONUs) which connect to optical line terminal (OLT) hardware, and conveys virtualized resources (vPON) information to an SDN controller. For example, in a case where the bit rate of PON 1 is 10 Gbps and number of users are 12, the bit rate of PON 2 is 8 Gbps and number of users are 8, vPON information which is conveyed to the SDN controller is that total bit rate is 18 Gbps and total number of users is 20. The SDN controller conveys a service policy (e.g., guarantee, best effort and delay) and requests to construct vPON to the resource controller. For example, vPON1 is 6 Gbps and 3 users, and vPON2 is 4 Gbps and 5 users. The resource controller constructs vPON in according with the instructions of the SDN controller and replies completion as a kind of vPON information to the SDN controller. The SDN controller abstracts vPON information as virtual network (VN) information and conveys the information to a network slice orchestration. The network slice orchestration constructs a network slice instance based on the VN information. The resource controller controls the OLT hardware in order to allow it to complete bandwidth allocation of ONUs in the DBA cycle time. + +![Figure I.3: An example of a time critical application for PON. The diagram shows a hierarchical control structure. At the top is 'Slice orchestration', which connects to an 'SDN controller' via a blue arrow labeled 'VN'. The 'SDN controller' connects to a 'Resource controller' via a dashed line labeled 'R2S' and a blue arrow labeled 'v-resources (vPON)'. The 'Resource controller' is part of the 'SDN infrastructure' and manages 'OLT HW' blocks. These OLT HW blocks are connected to multiple 'ONU' blocks. To the left, two groups of PONs are shown: 'PON 1' with a bit rate of 10 Gbps and 12 users, and 'PON 2' with a bit rate of 8 Gbps and 8 users. To the right, a table for 'vPON' shows a bit rate of 18 Gbps and 20 users. The entire system is labeled 'SDN infrastructure'.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +| PON 1 | | +|----------|----------| +| Bit rate | 10 Gbps | +| User | 12 users | + +| PON 2 | | +|----------|---------| +| Bit rate | 8 Gbps | +| User | 8 users | + +| vPON | | +|----------|----------| +| Bit rate | 18 Gbps | +| User | 20 users | + +Y.3151(19)\_FI.3 + +Figure I.3: An example of a time critical application for PON. The diagram shows a hierarchical control structure. At the top is 'Slice orchestration', which connects to an 'SDN controller' via a blue arrow labeled 'VN'. The 'SDN controller' connects to a 'Resource controller' via a dashed line labeled 'R2S' and a blue arrow labeled 'v-resources (vPON)'. The 'Resource controller' is part of the 'SDN infrastructure' and manages 'OLT HW' blocks. These OLT HW blocks are connected to multiple 'ONU' blocks. To the left, two groups of PONs are shown: 'PON 1' with a bit rate of 10 Gbps and 12 users, and 'PON 2' with a bit rate of 8 Gbps and 8 users. To the right, a table for 'vPON' shows a bit rate of 18 Gbps and 20 users. The entire system is labeled 'SDN infrastructure'. + +**Figure I.3 – An example of a time critical application for PON** + +### I.3 An example of power consumption critical application + +Figure I.4 shows an example of a power consumption critical application. A resource controller gets user information which connects to switch hardware, and conveys virtual switch (vSW) information to an SDN controller. The SDN controller requests the resource controller to construct vSW. The resource controller constructs vSW in according with the instructions of the SDN controller and conveys completion as a kind of vSW information to the SDN controller. The SDN controller abstracts vSW information as VN information and conveys the information to a network slice orchestration. The network slice orchestration constructs network slice instances based on the VN information. In case that users move from remote radio head (RRH)1-RRH4 to RRH4-RRH7, the resource controller sleeps RRH1-3 and makes RRH5-RRH7 wake up. + +![Figure I.4: An example of a power consumption critical application for RRHs. The diagram shows a hierarchical control structure. At the top is 'Slice orchestration', which connects to an 'SDN controller' via a blue arrow labeled 'VN'. The 'SDN controller' connects to a 'Resource controller' via a dashed line labeled 'R2S' and a blue arrow labeled 'v-resources (vSW)'. The 'Resource controller' is part of the 'SDN infrastructure' and manages 'SW HW' blocks. These SW HW blocks are connected to multiple 'RRH' blocks. To the left, a legend shows two states: 'Before the move' with a red dashed circle and a green dashed circle, and 'After the move' with a blue dashed circle and a green dashed circle. The RRHs are labeled RRH1 through RRH7. The entire system is labeled 'SDN infrastructure'.](df82d77a0d2637cbf2da9ea920a554fa_img.jpg) + +Before the move: ○ + ○ + +After the move: ○ + ○ + +Y.3151(19)\_FI.4 + +Figure I.4: An example of a power consumption critical application for RRHs. The diagram shows a hierarchical control structure. At the top is 'Slice orchestration', which connects to an 'SDN controller' via a blue arrow labeled 'VN'. The 'SDN controller' connects to a 'Resource controller' via a dashed line labeled 'R2S' and a blue arrow labeled 'v-resources (vSW)'. The 'Resource controller' is part of the 'SDN infrastructure' and manages 'SW HW' blocks. These SW HW blocks are connected to multiple 'RRH' blocks. To the left, a legend shows two states: 'Before the move' with a red dashed circle and a green dashed circle, and 'After the move' with a blue dashed circle and a green dashed circle. The RRHs are labeled RRH1 through RRH7. The entire system is labeled 'SDN infrastructure'. + +**Figure I.4 – An example of a power consumption critical application for RRHs** + +## **Appendix II** + +### **Examples of existing SDN-based open source software** + +(This appendix does not form an integral part of this Recommendation.) + +Several organizations provide open source software for i) abstraction functions and ii) resource control interfaces. In this appendix, OpenDayLight and Ryu are introduced as representative examples. + +- 1) Abstraction functions: + - a) OpenDayLight [b-OpenDayLight] +NW service: Topology/NW status/switch management +Abstraction: L2 switch, group based policy, virtual tenant network, etc. + - b) Ryu [b-Ryu] +Library: NW topology detection, Packet generation and analyze, etc. +- 2) Resource control interfaces: +OpenFlow, OVSD, Netconf/YANG, OpenConfig, etc. + +## Bibliography + +- [b-ITU-T G.7701] Recommendation ITU-T G.7701 (2016), *Common control aspects*. +- [b-ITU-T M.3701] Recommendation ITU-T M.3701 (2010), *Common management services – State management – Protocol neutral requirements and analysis*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-GSTR-TN5G] Technical Report ITU-T GSTR-TN5G (2018), *Transport network support of IMT-2020/5G*. +- [b-ONF TS-025] ONF Technical Specification TS-025 (2015), *OpenFlow Switch Specification Version 1.5.1 (Protocol version 0x06)*. +- [b-OpenConfig] +- [b-OpenDayLight] +- [b-OVSDB] IETF RFC 7047 (2013), *The Open vSwitch Database Management Protocol*. +- [b-RFC 6020] IETF RFC 6020 (2011), *A Data Model Language for the Net Configuration Protocol (NETCONF)*. +- [b-RFC 6241] IETF RFC 6241 (2011), *Network Configuration Protocol (NETCONF)*. +- [b-Ryu] + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | 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INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3154 + +# Resource pooling for scalable network slice service management and orchestration in the IMT-2020 network + +## Summary + +Managing the lifecycle of network slices has recently attracted much attention as well as constructing end-to-end network slices. Especially, the agility and flexibility in resource allocation to network slices becomes more important for rapid service delivery to network slice service customers in the International Mobile Telecommunications-2020 (IMT-2020) network. Recommendation ITU-T Y.3154 describes scalable service management and orchestration framework using the middle layer named "resource pool", which intensively stores a variety of virtual resources information collected from the underlying infrastructure layer relevant to network slice instances (NSIs). NSIs can be created from the resources reserved according to a network slice service demand forecast. The proposed approach in Recommendation ITU-T Y.3154 is generic and thus applicable to a wide variety of organizational entities in network slicing, such as a network infrastructure provider, network slice provider, network slice service provider and network slice service customer. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3154 | 2020-04-29 | 13 | 11.1002/1000/14254 | + +## Keywords + +Management and orchestration, network slice (instance), network softwarization, resource pool, service instance, scalability + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-----------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 3 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Conventions ..... | 3 | +| 6 Introduction of resource pooling for scalable management and orchestration..... | 4 | +| 6.1 Overview ..... | 4 | +| 6.2 End-to-end service instance..... | 4 | +| 6.3 Provisioning by demand forecast ..... | 5 | +| 7 Key performance indicator of end-to-end service instance ..... | 5 | +| 8 Resource pool modelling ..... | 6 | +| 8.1 Fundamental structure of resource pool ..... | 6 | +| 8.2 A typical model for providing network service..... | 7 | +| 8.3 Resource pool hierarchical service model..... | 8 | +| 9 Workflows of resource pooling ..... | 9 | +| 9.1 Workflow of lifecycle management of service instance ..... | 9 | +| 9.2 Workflow of lifecycle management of an NSI..... | 10 | +| 10 Security consideration ..... | 11 | +| Appendix I – An example of an IMT-2020 system workflow..... | 12 | +| Bibliography..... | 14 | + + + +# Recommendation ITU-T Y.3154 + +# Resource pooling for scalable network slice service management and orchestration in the IMT-2020 network + +# 1 Scope + +This Recommendation provides an overview of resource pooling for scalable service management and orchestration of end-to-end network slicing. This Recommendation describes the following points on resource pooling: + +- typical characteristics contributing to scalable management and orchestration; +- a hierarchical service model; +- key performance indicators; +- general workflows of network slice lifecycle management and orchestration (LCM&O). + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|--------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T X.1601] | Recommendation ITU-T X.1601 (2015), Security framework for cloud computing . | +| [ITU-T Y.2701] | Recommendation ITU-T Y.2701 (2007), Security requirements for NGN release 1 . | +| [ITU-T Y.3101] | Recommendation ITU-T Y.3101 (2018), Requirements of the IMT-2020 network . | +| [ITU-T Y.3102] | Recommendation ITU-T Y.3102 (2018), Frameworks of the IMT-2020 network . | +| [ITU-T Y.3150] | Recommendation ITU-T Y.3150 (2018), High level technical characteristics of network softwarization for IMT-2020 . | +| [ITU-T Y.3111] | Recommendation ITU-T Y.3111 (2017), IMT-2020 network management and orchestration framework . | +| [ITU-T Y.3500] | Recommendation ITU-T Y.3500 (2014) ISO/IEC 17788:2014, Information technology – Cloud computing – Overview and vocabulary . | + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 IMT-2020** [b-ITU-T Y.3100]: (Based on [b-ITU-R M.2083-0]) Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +**3.1.2 management** [b-ITU-T Y.3100]: In the context of IMT-2020, the processes aiming at fulfilment, assurance, and billing of services, network functions, and resources in both physical and virtual infrastructure including compute, storage, and network resources. + +**3.1.3 network function** [b-ITU-T Y.3100]: In the context of IMT-2020, a processing function in a network. + +NOTE 1 – Network functions include but are not limited to network node functionalities, e.g., session management, mobility management and transport functions, whose functional behaviour and interfaces are defined. + +NOTE 2 – Network functions can be implemented on a dedicated hardware or as virtualized software functions. + +NOTE 3 – Network functions are not regarded as resources, but rather any network functions can be instantiated using the resources. + +**3.1.4 network slice** [b-ITU-T Y.3100]: A logical network that provides specific network capabilities and network characteristics. + +NOTE 1 – Network slices enable the creation of customized networks to provide flexible solutions for different market scenarios which have diverse requirements, with respect to functionalities, performance and resource allocation. + +NOTE 2 – A network slice may have the ability to expose its capabilities. + +NOTE 3 – The behaviour of a network slice is realized via network slice instance(s). + +**3.1.5 network slice blueprint** [b-ITU-T Y.3100]: A complete description of the structure, configuration and work flows for how to create and control a network slice instance during its life cycle. + +NOTE – A network slice template can be used synonymously with a network slice blueprint. + +**3.1.6 network slice instance** [b-ITU-T Y.3100]: An instance of network slice, which is created based on a network slice blueprint. + +NOTE 1 – A network slice instance is composed of a set of managed run-time network functions, and physical/logical/virtual resources to run these network functions, forming a complete instantiated logical network to meet certain network characteristics required by the service instance(s). + +NOTE 2 – A network slice instance may also be shared across multiple service instances provided by the network operator. A network slice instance may be composed of none, one or more sub-network slice instances which may be shared with another network slice instance. + +**3.1.7 network softwarization** [b-ITU-T Y.3100]: An overall approach for designing, implementing, deploying, managing and maintaining network equipment and/or network components by software programming. + +NOTE – Network softwarization exploits the nature of software such as flexibility and rapidity all along the lifecycle of network equipment and/or components, for the sake of creating conditions enabling the re-design of network and services architectures, the optimization of costs and processes, self-management and bring added values in network infrastructures. + +**3.1.8 orchestration** [b-ITU-T Y.3100]: In the context of IMT-2020, the processes aiming at the automated arrangement, coordination, instantiation and use of network functions and resources for both physical and virtual infrastructures by optimization criteria. + +**3.1.9 service instance** [b-ITU-T Y.3100]: An instance of a service that is realized within a network slice. + +NOTE 1 – A service may be represented by one or more service instances. + +NOTE 2 – A service instance may be provided by the network slice operator or a third party. + +**3.1.10 resource allocation** [b-ISO/IEC 19099]: Process of assigning, separating, reserving, granting share of, or emulating resources for use by a consumer. + +**3.1.11 resource pool** [b-ISO/IEC 19099]: Abstract entity exposed by the virtualization platform for the purpose of allocation of allocated resources to consumers. + +**3.1.12 virtual resource** [b-ITU-T Y.3011]: An abstraction of physical or logical resource, which may have different characteristics from the physical or logical resource and whose capability may be not bound to the capability of the physical or logical resource. + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|------------------------------------------------------------| +| BSS | Business Support System | +| CAPEX | Capital Expenditure | +| CPU | Central Processing Unit | +| CSP | Communication Service Provider | +| eMBB | enhanced Mobile Broadband | +| FCAPS | Fault, Configuration, Accounting, Performance and Security | +| ICN | Information Centric Networking | +| ICN-SP | Information Centric Network Service Provider | +| IMT-2020 | International Mobile Telecommunications-2020 | +| IoT | Internet of Things | +| IoT-SP | Internet of Things Service Provider | +| LCM&O | Lifecycle Management and Orchestration | +| mMTC | massive Machine Type Communication | +| NFV | Network Function Virtualization | +| NSI | Network Slice Instance | +| MVNE | Mobile Virtual Network Enabler | +| MVNO | Mobile Virtual Network Operator | +| OAM | Operation Administration and Maintenance | +| OPEX | Operational Expenditure | +| OSS | Operation Support System | +| URLLC | Ultra-Reliable and Low Latency Communication | + +## **5 Conventions** + +None. + +# **6 Introduction of resource pooling for scalable management and orchestration** + +### **6.1 Overview** + +Network softwarization is an overall approach to designing, implementing, deploying, managing and maintaining network equipment and network components by software. It exploits the characteristics, such as flexibility and rapidity, of software throughout the lifecycle of network equipment or components. + +This Recommendation focuses on resource pooling for scalable management and orchestration for providing both service providers and their service customers with network slice services in the International Mobile Telecommunications-2020 (IMT-2020) network [ITU-T Y.3102]. Resource pooling realizes the dynamics and flexibility of resource usage for network slice services depending on various situations (e.g., in natural disasters, between peak and non-peak hours, between different locations) due to the following characteristics. + +A middle layer named "resource pool" mediates between a lower service provider layer and an upper service customer layer. This layered model has a structure that is recursive and hierarchical in nature. There are three key characteristics of resource pooling: resource abstraction; multiple service provider or domain support; and flexible resource assignment. + +Resource pooling can be managed by a network slice LCM&O, which is a functional entity that provides and manages network slice instances based on requests from organizational entities or applications in the upper layer [ITU-T Y.3150]. + +The first merit of resource pooling is to reduce direct interaction processes between functionalities in the lower and upper layers. In other words, the characteristic of the model is that service providers can support multiple customers while at the same time using abstraction to mask the complexity of the process from customers [ITU-T Y.3500]. + +Resources in the lower layer that the resource pool can manage are categorized into diverse types depending on the nature of the functions of each appliance or application. For instance, the number of CPU cores, memory size and storage space are typical computing resources. Bandwidth, latency, and address space are network resources. Furthermore, other types of physical resources, such as routers, gateways, firewalls and even the radio frequencies of Internet of things (IoT) devices, can be represented as virtual resources. All the virtual resources mentioned can be represented as digitalized virtual assets. + +The second merit is to mediate the provision of virtual resource distribution over multiple providers or multiple domains, or to provide aggregated tenancy for the same virtual resource because of the flexibility of the location of the resource pool (see clause 8 for details). + +The third merit is a capability for swift and elastic increase or decrease in the assignment of resources on demand. It is expected that a network slice is created proactively by a network slice provider based on the specific network slice service demand forecast (see clause 6.3). + +### **6.2 End-to-end service instance** + +An end-to-end service instance includes a complete set of service(s) that is realized within an end-to-end network slice, which may contain several network slices. Network slice stitching, which means a concatenation of multiple network slices, has therefore to be considered for realizing an end-to-end service instance. From the networking viewpoint, network slice stitching performs the interconnection of domain-specific network slices, each of which is operated within a dedicated maintenance domain. + +NOTE – Clause 8.1 of [ITU-T Y.3150] introduces cases on the concatenation of partial network slices to provide an end-to-end network service. In Figure 6-1 a), three network slice instances (NSIs) in different domains are stitched to serve a single service instance. + +Resource pooling has a feature that treats information in a service provider's virtual resources relevant to an NSI in the lower layer. The information can be aggregated in order to serve one or more service customers in the upper layer by using the form of a service instance(s). Figure 6-1 shows the typical relations between the lower NSI(s) and the upper service instance(s). A service instance can correspond to more than one NSI (e.g., a roaming service by multiple operators), or a single NSI shared among multiple service instances. + +a) A service instance composed of multiple network slice instances + +![Diagram a) A service instance composed of multiple network slice instances. A box labeled 'Service instance' is at the top, with three lines connecting it to three separate boxes labeled 'NSI' below it.](e9314c83043183351ed74908e9bf2f90_img.jpg) + +``` + +graph TD + SI[Service instance] --- NSI1[NSI] + SI --- NSI2[NSI] + SI --- NSI3[NSI] + +``` + +Diagram a) A service instance composed of multiple network slice instances. A box labeled 'Service instance' is at the top, with three lines connecting it to three separate boxes labeled 'NSI' below it. + +b) A network slice instance shared with multiple service instances + +![Diagram b) A network slice instance shared with multiple service instances. Three boxes labeled 'Service instance' are at the top, with lines from each connecting to a single box labeled 'NSI' at the bottom.](d26959f4514c26ca19c3d6f00da85956_img.jpg) + +``` + +graph TD + SI1[Service instance] --- NSI[NSI] + SI2[Service instance] --- NSI + SI3[Service instance] --- NSI + +``` + +Diagram b) A network slice instance shared with multiple service instances. Three boxes labeled 'Service instance' are at the top, with lines from each connecting to a single box labeled 'NSI' at the bottom. + +Y.3154(20)\_F6-1 + +**Figure 6-1 – Models between NSIs and service instances** + +### 6.3 Provisioning by demand forecast + +When service demands increase dramatically or new services are about to be provided, a new service-line(s) would be reinforced. In the former case, the current network slice provided in IMT-2020 communication facilities may need to be scaled-up (i.e., increase in the same types of facilities). For the latter, a new network slice may need to be scaled out (i.e., addition of new types of facilities or replacement by the same type of facilities). + +The service demand forecast estimates the volume of network resources sufficient for resource pooling and they can be reserved for future service. The response time for offering a network slice service is shortened because the only configuration of pre-assigned virtual resources is a required process. + +## 7 Key performance indicator of end-to-end service instance + +This clause addresses a scalability key performance indicator (KPI) of an end-to-end service instance. The end-to-end service instance may contain several network slices operated in each dedicated maintenance domain. Three KPIs to evaluate the performance of management and orchestration processes for the complex end-to-end network slice stitching are described in 1) to 3) as follows. + +### 1) Total number of instances + +This KPI indicates a total number of instance objects, which the scalable management and orchestration should handle. This KPI corresponds to "number of slices", "heterogeneity" and "hierarchy level" in Table 7-1. High degrees of heterogeneity or hierarchy level may cause additional operational expenditure (OPEX) on scalable management and orchestration. + +### 2) Total operation frequency + +This KPI indicates a total number of operations (e.g., creation, reservation, activation, deactivation and termination) of the managed instance objects. This KPI corresponds to "frequency of status change" and "lifecycle time" in Table 7-1. Less status change leads to lower OPEX. + +### 3) Performance of assigned resources + +This KPI indicates a performance of assigned computing resource (e.g., memory size, number of CPU cores) and networking resource (e.g., bandwidth, wireless capacity). + +This KPI corresponds to the efficiency management of the number of instances, frequency of status change and hierarchy level in Table 7-1. For example, it is important for computing resource to have sufficient memory and CPU performance to execute all expected functions and operations. Also it is important for networking resources to evaluate network performance in wireless systems (e.g., special multiplexing and beams, assigned frequency in radio and frequency efficiency relevant to propagation channel conditions). Increases in both number of instances and frequency of status change are, however, critical from the capital expenditure (CAPEX) viewpoint. + +In terms of the scalability to manage an end-to-end NSI and a network slice service instance, examples of KPI parameters are shown in Table 7-1. + +In general, these parameters are stored in the resource pool and administered by the management and orchestration functionality, such as network slice LCM&O. + +**Table 7-1 – Examples of KPI parameters** + +| No. | KPI | Description | +|-----------------------------------------------------------------------------------------------------------------------------------|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| 1 | Number of instances | The number of a NSIs for a specific service (e.g., enhanced mobile broadband (eMBB), ultra-reliable and low latency communication (URLLC) and massive machine type communication (mMTC)), and the number of service instances associated with them | +| 2 | Network performance | Evaluation of network performance in wireless systems, depending on the location of devices | +| 3 | Frequency of status change | Total number of status changes (creation, activation, de-activation, etc.) of all NSI and service instances in a fixed period | +| 4 | Lifecycle time | The runtime duration (e.g., a day, month or year) of an NSI, and runtime durations of a service instance associated with the corresponding NSIs. See Note 1 | +| 5 | Heterogeneity | The number of network domains to make an end-to-end service instance. See Note 2 | +| 6 | Hierarchy level | The number of vertically nested NSIs. See Notes 3 and 4 | +| NOTE 1 – The runtime duration depends on the use case. | | | +| NOTE 2 – In Figure 6-1 a), a service instance is provided over three network domains | | | +| NOTE 3 – The number of instances in each layer should be counted. The total for a whole layer is related to the management cost. | | | +| NOTE 4 – The number of layers is closely related to the number of service providers involved in a network service (See clause 8). | | | + +## 8 Resource pool modelling + +### 8.1 Fundamental structure of resource pool + +The usage of a resource pool is intended to enhance scalability and agility of network slice services as a partial role in the network management and orchestration framework [ITU-T Y.3111]. + +The resource pool is an information database of logical instances to represent virtual resources corresponding to the NSIs. A fundamental model of resource pooling is illustrated in Figure 8-1. Key entities relevant to resource pooling are as follows. + +- Resource provider: an organizational entity or an application in the lower layer that registers information of its own network resources including NSIs in the resource pool. +- Service requestor: an organizational entity or an application in the upper layer that requests a network service, which is an integration of NSIs registered in the resource pool. +- Management functions: a set of management functions for resource pooling. For example, an operation support system and business support system (OSS/BSS) or a network slice LCM&O (see clause 6) can be used, depending on the role of the owner or administrator of the resource pool. + +NOTE – Clause 6.1 of [ITU-T Y.3103] introduces various business roles from a network slicing perspective. The structure with lower resource provider and upper service requestor is generally applicable to a network infrastructure provider, network slice provider, network service provider and network slice service customer. + +![Figure 8-1: A fundamental model of resource pooling. The diagram shows a vertical flow: 'Upper layer: Service requestor' at the top, connected to a central 'Resource pool' (represented by a cylinder). Below the 'Resource pool' is 'Lower layer: Resource provider'. To the right of the 'Resource pool' is a box labeled 'Management functions', connected to the pool by a horizontal line. The label 'Y.3154(20)_F8-1' is at the bottom right.](eefe19c5e14dc4d6c316b7f7fbb7d7d7_img.jpg) + +Figure 8-1: A fundamental model of resource pooling. The diagram shows a vertical flow: 'Upper layer: Service requestor' at the top, connected to a central 'Resource pool' (represented by a cylinder). Below the 'Resource pool' is 'Lower layer: Resource provider'. To the right of the 'Resource pool' is a box labeled 'Management functions', connected to the pool by a horizontal line. The label 'Y.3154(20)\_F8-1' is at the bottom right. + +**Figure 8-1 – A fundamental model of resource pooling** + +### 8.2 A typical model for providing network service + +A typical model for providing a service instance is shown in Figure 8-2. In this case, the resource pool is owned and managed by a network slice LCM&O provider. Multiple network resource providers register their virtual resources with a resource pool. A network slice service provider creates a service instance consisting of NSIs that are assembled from the virtual resources registered in the resource pool. + +![Figure 8-2: A typical model for providing a network service. The diagram shows a complex flow: At the bottom, 'Network resource provider A' and 'Network resource provider B' each contain a 'Virtual resource'. Arrows from these point to a 'Resource pool' (cylinder) which contains two 'NSI' (Network Slice Instance) boxes. From the 'Resource pool', arrows point to a 'Service instance' box. The 'Service instance' box is connected to a 'Network slice service customer' at the top. Below the 'Service instance' is a 'Network slice service provider', which is connected to the 'Service instance' and the 'Network slice LCM&O provider'. The 'Network slice LCM&O provider' is connected to the 'Resource pool' and the 'Network resource providers'. The label 'Y.3154(20)_F8-2' is at the bottom right.](ddc7460821484f1ae2835c67955c554c_img.jpg) + +Figure 8-2: A typical model for providing a network service. The diagram shows a complex flow: At the bottom, 'Network resource provider A' and 'Network resource provider B' each contain a 'Virtual resource'. Arrows from these point to a 'Resource pool' (cylinder) which contains two 'NSI' (Network Slice Instance) boxes. From the 'Resource pool', arrows point to a 'Service instance' box. The 'Service instance' box is connected to a 'Network slice service customer' at the top. Below the 'Service instance' is a 'Network slice service provider', which is connected to the 'Service instance' and the 'Network slice LCM&O provider'. The 'Network slice LCM&O provider' is connected to the 'Resource pool' and the 'Network resource providers'. The label 'Y.3154(20)\_F8-2' is at the bottom right. + +**Figure 8-2 – A typical model for providing a network service** + +The organizational entities in Figure 8-2 are as follows. + +- Network resource provider: provides the virtual resource to assemble a network slice in the resource pool and assists the network slice LCM&O to gather information about individual components of the network slice. + - Network slice LCM&O provider: offers network slice LCM&O functionality as a service. + - Network slice service provider: requests the creation of an NSI based on service requests from an entity in the upper layer, and serves NSIs as a service. + - Network slice service customer: a user of the network slice service. +- NOTE – [ITU-T Y.3150] introduces the detailed relation among resources, a network slice LCM&O and a network slice customer. + +### 8.3 Resource pool hierarchical service model + +Figure 8-3 shows an example of a hierarchical service model mediated by the hierarchical use of the resource pool. + +![Figure 8-3: An example of a hierarchical network service model. The diagram illustrates a multi-layered architecture. At the top is the 'Network slice service customer'. Below it is the 'Network slice service provider' layer, which contains three service instances: 'Service instance #1 (MVNO)', 'Service instance #2 (ICN-SP)', and 'Service instance #3 (IoT-SP)'. These instances are associated with 'Resource pool #1', 'Resource pool #2', and 'Resource pool #3' respectively. Below the service provider layer is the 'Network slice provider' layer, which contains two network slice instances: 'NSI #1 (MVNE)' and 'NSI #2 (CSP)'. These are associated with 'Resource pool #12' and 'Resource pool #13' respectively. At the bottom is the 'Network infrastructure provider' layer. Dashed arrows indicate the flow of resources and services between these layers, showing how virtual resources are pooled and then used to create service instances for the customer.](a33da0f14e456f92539ce3e9b7d81f9a_img.jpg) + +Y.3154(20)\_F8-3 + +Figure 8-3: An example of a hierarchical network service model. The diagram illustrates a multi-layered architecture. At the top is the 'Network slice service customer'. Below it is the 'Network slice service provider' layer, which contains three service instances: 'Service instance #1 (MVNO)', 'Service instance #2 (ICN-SP)', and 'Service instance #3 (IoT-SP)'. These instances are associated with 'Resource pool #1', 'Resource pool #2', and 'Resource pool #3' respectively. Below the service provider layer is the 'Network slice provider' layer, which contains two network slice instances: 'NSI #1 (MVNE)' and 'NSI #2 (CSP)'. These are associated with 'Resource pool #12' and 'Resource pool #13' respectively. At the bottom is the 'Network infrastructure provider' layer. Dashed arrows indicate the flow of resources and services between these layers, showing how virtual resources are pooled and then used to create service instances for the customer. + +**Figure 8-3 – An example of a hierarchical network service model** + +Figure 8-3 shows network slice service providers offering service instances to network slice service customers. Diverse types of network slice service providers are assumed as follows. + +- Mobile virtual network operator (MVNO): offers a mobile service to its customers. +- Mobile virtual network enabler (MVNE): provides an MVNO with network services, and does not have a direct relationship with the MVNO's customers. +- Information centric networking service provider (ICN-SP): provides an information centric networking (ICN) service to its customer. +- Communication service provider (CSP): provides communication services (e.g., private peer-to-peer network and Internet) to its customers. + +- Internet of things service provider (IoT-SP): provides an IoT service to its customer. + +MVNO and ICN-SP are service instances composed of NSIs provided two network slice service providers, MVNE and CSP, respectively, in Figure 8-3. On the other hand, an IoT service consisting of a network slice is directly created by an IoT-SP itself by using virtual resources of a network infrastructure provider. + +As shown in this example, the relationship between service customers and service providers can be hierarchical based on their own business model. Each provider in this hierarchical model may have resource pools to mediate between upper layer requirements and lower layer virtual resources. The resource pool in each layer stores different sets of virtual resource information according to management purpose or its owner's role. For instance, resource pool No. 12 is used for the lifecycle management of NSI Nos 1 and 2, and resource pool No. 1 is used for the lifecycle management of service instance No. 1, which is relevant to NSI No. 1. Therefore, resource pool No. 1 stores a partial replication of information stored in resource pool No. 12. + +NOTE – For reference, the 3rd Generation Partnership Project (3GPP) specification [b-TS 28.530] introduces the relation among organizational entities in network slice services. + +# 9 Workflows of resource pooling + +### 9.1 Workflow of lifecycle management of service instance + +The LCM&O of a service instance consists of two phases: i) service preparation phase; and ii) service instance runtime management phase. + +In the first service preparation phase, necessary virtual resources for a requested service are reserved and a service template is created beforehand. + +In the second service instance runtime management phase, the service instance (e.g., creation or termination, activation or deactivation) is managed during its run time. + +Table 9-1 shows general processes relevant to the service instance. + +**Table 9-1 – Processes of service instance management** + +| No. | Process name | Description | +|-----|---------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| 1-0 | Service registration | A service requirement (e.g., geographical coverage or lifecycle time) is provided by a service requestor. See Note 1 | +| 1-1 | Service template creation | A service template is created in advance based on a service demand analysis or a service catalogue. See Note 2 | +| 1-2 | Service creation | A service instance is created after service template selection and parameter configuration. A reserved network slice in the resource pool is assigned to a specific service instance | +| 1-3 | Slice validation check | The availability of reserved NSIs is tested. See Note 3 | +| 1-4 | Service activation | A service instance is activated, and corresponding NSIs are also activated | +| 1-5 | In-service OAM | Service instance operation, administration and maintenance (OAM), including fault, configuration, accounting, performance and security (FCAPS) functionalities, are executed | +| 1-6 | Service de-activation | A network slice service instance is de-activated. See Note 4. | + +**Table 9-1 – Processes of service instance management** + +| No. | Process name | Description | +|-----|---------------------|-----------------------------------------------------------| +| 1-7 | Service termination | A network slice service instance is destroyed. See Note 5 | + +NOTE 1 – The service requestor may analyse the past and current demand and forecast the future demand by itself. In other cases, the service demand forecast can be conducted by a management functionality based on past service requirements. + +NOTE 2 – A service template typically denotes service specifications including a set of functions or a connectivity performance for a specific industry, e.g., end-to-end connectivity over multiple domains, network capabilities and functions or the specification of an NSI. + +NOTE 3 – If a test fails due to insufficient network slice capability, the NSI is terminated, and service registration may be restarted. + +NOTE 4 – Corresponding slice instances may be de-activated. + +NOTE 5 – Corresponding NSIs may be terminated. + +Figure 9-1 illustrates the general workflow of service instance management. + +![Figure 9-1: A workflow of service instance management. The diagram shows two main phases: 'Service preparation' and 'Service instance runtime management'. 'Service preparation' includes 'Service registration (1-0)' and 'Service template creation (1-1)'. 'Service instance runtime management' includes 'Service creation (1-2)', 'Slice validation check (1-3)', 'Service activation (1-4)', 'In-service OAM (1-5)', 'Service de-activation (1-6)', and 'Service termination (1-7)'. Arrows indicate the flow: 1-0 to 1-1, 1-1 to 1-2, 1-2 to 1-3, 1-3 to 1-4, 1-4 to 1-5, 1-5 to 1-6, 1-6 to 1-7, and 1-7 to 1-0.](1a827b10290f33d4fec04d0e8ef7a897_img.jpg) + +``` + +graph LR + subgraph Service_preparation [Service preparation] + SR[Service registration 1-0] --> STC[Service template creation 1-1] + end + subgraph Service_instance_runtime_management [Service instance runtime management] + SC[Service creation 1-2] --> SVC[Slice validation check 1-3] + SVC --> SA[Service activation 1-4] + SA --> ISOAM[In-service OAM 1-5] + ISOAM --> SDA[Service de-activation 1-6] + SDA --> ST[Service termination 1-7] + ST --> SR + end + STC --> SC + +``` + +Y.3154(20)\_F9-1 + +Figure 9-1: A workflow of service instance management. The diagram shows two main phases: 'Service preparation' and 'Service instance runtime management'. 'Service preparation' includes 'Service registration (1-0)' and 'Service template creation (1-1)'. 'Service instance runtime management' includes 'Service creation (1-2)', 'Slice validation check (1-3)', 'Service activation (1-4)', 'In-service OAM (1-5)', 'Service de-activation (1-6)', and 'Service termination (1-7)'. Arrows indicate the flow: 1-0 to 1-1, 1-1 to 1-2, 1-2 to 1-3, 1-3 to 1-4, 1-4 to 1-5, 1-5 to 1-6, 1-6 to 1-7, and 1-7 to 1-0. + +**Figure 9-1 – A workflow of service instance management** + +A network slice service management starts with the initial process No. 1-0 (service registration). It is assumed that each lifecycle of a service instance will be triggered by the service requestor. + +NOTE – Appendix I provides an example of the detailed workflow of an IMT-2020 system based on resource pooling. + +### 9.2 Workflow of lifecycle management of an NSI + +The lifecycle management of an NSI conducts its two-phase processes: i) network slice preparation phase; and ii) network slice runtime management phase. + +In the first network slice preparation phase, resource orchestration functionalities for multiple slice customers are executed. + +In the second NSI runtime management phase, the lifecycle of the NSI is managed during its runtime. + +Table 9-2 illustrates the general processes for NSI management. + +**Table 9-2 – Processes of NSI management** + +| No. | Process name | Description | +|-----|----------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| 2-0 | Pool registration | Management functionalities of a resource provider registers virtual resources with a resource pool | +| 2-1 | Resource reservation | Virtual resources to assemble a NSI is reserved according to a service template. The reserved virtual resources are registered with the resource pool. See Note 1 | +| 2-2 | Slice creation | An NSI is built from registered virtual resources | +| 2-3 | Slice registration | An NSI is registered with the resource pool | +| 2-4 | Slice activation | An NSI is activated | +| 2-5 | In-slice OAM | An NSI operation and management including FCAPS is executed | +| 2-6 | Slice de-activation | An NSI is de-activated. See Note 2 | +| 2-7 | Slice termination | An NSI is terminated. | + +NOTE 1 – Resource pooling can use a service demand forecast to evaluate the volume of reserved resources. +NOTE 2 – Re-activation or re-use of instances may occur in case of service instance scale up or out. + +Figure 9-2 illustrates the general workflow of NSI management. + +![Figure 9-2: A workflow of NSI management. The diagram shows two main phases: 'Network slice preparation' and 'Network slice instance runtime management'. The preparation phase includes 'Pool registration (2-0)' and 'Resource reservation (2-1)'. The runtime management phase includes 'Slice creation (2-2)', 'Slice registration (2-3)', 'Slice activation (2-4)', 'In-slice OAM (2-5)', 'Slice de-activation (2-6)', and 'Slice termination (2-7)'. Arrows indicate the flow from preparation to runtime management, and from runtime management back to preparation for re-activation.](8307f6b04df072c9332f9987e034272c_img.jpg) + +``` + +graph LR + subgraph Preparation [Network slice preparation] + P20[Pool registration 2-0] --> P21[Resource reservation 2-1] + end + subgraph Runtime [Network slice instance runtime management] + P21 --> R22[Slice creation 2-2] + R22 --> R23[Slice registration 2-3] + R23 --> R24[Slice activation 2-4] + R24 --> R25[In-slice OAM 2-5] + R25 --> R26[Slice de-activation 2-6] + R26 --> R27[Slice termination 2-7] + R27 --> P21 + end + +``` + +Y.3154(20)\_F9-2 + +Figure 9-2: A workflow of NSI management. The diagram shows two main phases: 'Network slice preparation' and 'Network slice instance runtime management'. The preparation phase includes 'Pool registration (2-0)' and 'Resource reservation (2-1)'. The runtime management phase includes 'Slice creation (2-2)', 'Slice registration (2-3)', 'Slice activation (2-4)', 'In-slice OAM (2-5)', 'Slice de-activation (2-6)', and 'Slice termination (2-7)'. Arrows indicate the flow from preparation to runtime management, and from runtime management back to preparation for re-activation. + +**Figure 9-2 – A workflow of NSI management** + +Network slice preparation to assemble NSIs may be on-demand or proactively executed in process No. 2-1 (resource reservation) for realizing fast network slice provisioning. + +NOTE 1 – The proactive reservation can be based on the forecast. + +NOTE 2 – Appendix I provides an example of the workflow of an IMT-2020 system based on resource pooling. + +# 10 Security consideration + +General security requirements for IP-based networks in [ITU-T Y.2701] and for IMT-2020 systems in [ITU-T Y.3101] are fundamentals for network softwarization. Network softwarization consist of SDN, network function virtualization (NFV) and cloud computing techniques; therefore, security threats in each technical field should be taken care of. + +Security and privacy issues related to cloud computing services and some of the issues identified may occur in network softwarization environments using network virtualization techniques. The issues described in [ITU-T X.1601], which introduces a general security framework for cloud computing, should be considered during planning and designing networks for mitigating the issues. + +# **Appendix I** + +### **An example of an IMT-2020 system workflow** + +(This appendix does not form an integral part of this Recommendation.) + +Figure I.1 illustrates an example of the workflow of an IMT-2020 system based on resource pooling. + +The abstracted workflow of the service requestor is described in clause 9.1 and that of the resource pool in clause 9.2. + +The resource provider converts physical resources to virtual resources. + +The management function is responsible for a service demand forecast by analysing service requests according to the service request in this example. Availability of virtual resources and slice is evaluated and notified to the service requestor. + +![A flowchart illustrating an example workflow of an IMT-2020 system based on resource pooling. The diagram is divided into four main sections: Network resource provider, Resource pool, Management functions, and Service requestor. The workflow starts with 'Past service requirements' in the Service requestor, leading to 'Service requirement analysis' and 'Service template creation' in Management functions. This is followed by 'Service requirement registration' and 'Service template selection' in the Service requestor, then 'Service parameter notification'. In Management functions, 'Required resources conversion' leads to 'Resources provisioning' and 'Conformity notification'. The Resource pool handles 'Resource pool registration', 'Virtual resources reservation', 'Slice instance creation', 'Slice instance registration', 'Termination', 'Slice instance activation', 'Slice instance OAM', 'Slice instance de-activation', and 'Slice instance termination'. The Network resource provider manages 'Physical resources virtualization', 'Physical resources allocation', and 'Physical resources de-allocation'. The Service requestor also performs 'Resource validation check', 'Service instance creation', 'Slice instance validation check', 'Service instance activation', 'Service instance OAM', 'Service instance de-activation', and 'Service instance termination'. Decision points 'Acceptable?' are shown in the Service requestor section. The diagram is labeled Y.3154(20)_FI.1 in the bottom right corner.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +``` + +graph TD + subgraph Network_resource_provider [Network resource provider] + P1[Physical resources virtualization] + P2[Physical resources allocation] + P3[Physical resources de-allocation] + end + + subgraph Resource_pool [Resource pool] + RP1[Resource pool registration] + RP2[Virtual resources reservation] + RP3[Slice instance creation] + RP4[Slice instance registration] + RP5[Termination] + RP6[Slice instance activation] + RP7[Slice instance OAM] + RP8[Slice instance de-activation] + RP9[Slice instance termination] + end + + subgraph Management_functions [Management functions] + MF1[Service requirement analysis] + MF2[Service template creation] + MF3[Required resources conversion] + MF4[Resources provisioning] + MF5[Conformity notification] + MF6[Slice availability notification] + end + + subgraph Service_requestor [Service requestor] + SR1[Past service requirements] + SR2[Service requirement registration] + SR3[Service template selection] + SR4[Service parameter notification] + SR5[Resource validation check] + SR6{Acceptable?} + SR7[Service instance creation] + SR8[Slice instance validation check] + SR9{Acceptable?} + SR10[Service instance activation] + SR11[Service instance OAM] + SR12[Service instance de-activation] + SR13[Service instance termination] + end + + P1 --> RP1 + RP1 --> RP2 + RP2 --> MF3 + MF3 --> MF4 + MF4 --> MF5 + MF5 --> SR5 + SR5 -- N --> SR2 + SR2 --> SR3 + SR3 --> SR4 + SR4 --> MF2 + MF2 --> MF1 + MF1 --> SR1 + MF2 --> RP3 + MF3 --> RP3 + MF4 --> RP3 + MF5 --> RP3 + MF6 --> RP4 + RP3 --> RP4 + RP4 --> MF6 + MF6 --> SR8 + SR8 -- N --> RP5 + RP5 --> RP3 + RP4 --> RP6 + RP6 --> RP7 + RP7 --> RP8 + RP8 --> RP9 + RP9 --> RP3 + RP6 --> SR10 + RP7 --> SR11 + RP8 --> SR12 + RP9 --> SR13 + SR10 --> RP6 + SR11 --> RP7 + SR12 --> RP8 + SR13 --> RP9 + SR6 -- Y --> SR7 + SR7 --> SR8 + SR8 -- Y --> SR10 + SR10 --> SR11 + SR11 --> SR12 + SR12 --> SR13 + +``` + +Y.3154(20)\_FI.1 + +A flowchart illustrating an example workflow of an IMT-2020 system based on resource pooling. The diagram is divided into four main sections: Network resource provider, Resource pool, Management functions, and Service requestor. The workflow starts with 'Past service requirements' in the Service requestor, leading to 'Service requirement analysis' and 'Service template creation' in Management functions. This is followed by 'Service requirement registration' and 'Service template selection' in the Service requestor, then 'Service parameter notification'. In Management functions, 'Required resources conversion' leads to 'Resources provisioning' and 'Conformity notification'. The Resource pool handles 'Resource pool registration', 'Virtual resources reservation', 'Slice instance creation', 'Slice instance registration', 'Termination', 'Slice instance activation', 'Slice instance OAM', 'Slice instance de-activation', and 'Slice instance termination'. The Network resource provider manages 'Physical resources virtualization', 'Physical resources allocation', and 'Physical resources de-allocation'. The Service requestor also performs 'Resource validation check', 'Service instance creation', 'Slice instance validation check', 'Service instance activation', 'Service instance OAM', 'Service instance de-activation', and 'Service instance termination'. Decision points 'Acceptable?' are shown in the Service requestor section. The diagram is labeled Y.3154(20)\_FI.1 in the bottom right corner. + +**Figure I.1 – An example workflow of an IMT-2020 system based on resource pooling** + +# Bibliography + +- [b-ITU-T Y.3011] Recommendation ITU-T Y.3011 (2012), *Framework of network virtualization for future networks*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3103] Recommendation ITU-T Y.3103 (2018), *Business role-based models in IMT-2020*. +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-ITU-R M.2083-0] Recommendation ITU-R M.2083-0 (2015), *IMT vision – Framework and overall objectives of the future development of IMT for 2020 and beyond*. +- [b-ISO/IEC 19099] ISO/IEC 19099:2014, *Information technology – Virtualization management specification*. +- [b-TS 28.530] 3GPP TS 28.530 (2020), *Management and orchestration of 5G networks: Concepts, use case and requirements (Release-16)*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3158-202209-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3158-202209-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..9b55fa9b91032ee7ed5c324794f819490ef1c873 --- /dev/null +++ b/marked/Y/T-REC-Y.3158-202209-I_PDF-E/raw.md @@ -0,0 +1,523 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.3158 + +(09/2022) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Future networks + +# --- **Local shunting for multi-access edge computing in IMT-2020 networks** + +Recommendation ITU-T Y.3158 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3599 | +| BIG DATA | Y.3600–Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3158 + +# Local shunting for multi-access edge computing in IMT-2020 networks + +## Summary + +Recommendation ITU-T Y.3158 describes the relationship between international mobile telecommunication 2020 (IMT-2020) networks and a multi-access edge computing (MEC) system, and specifies an architecture for transmitting traffic flows at the edge of IMT-2020 networks. Recommendation ITU-T Y.3158 specifies the requirements, architecture, functional entities, reference points and information flows for MEC in IMT-2020 networks. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3158 | 2022-09-29 | 13 | 11.1002/1000/15057 | + +## Keywords + +Data network, edge service data flow, IMT-2020 networks, local data network, local shunting, MEC. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-------------------------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of local shunting for multi-access edge computing in IMT-2020 networks..... | 3 | +| 7 | Requirements for local shunting for multi-access edge computing in IMT-2020 networks..... | 4 | +| | 7.1 General requirements..... | 4 | +| | 7.2 Local traffic requirement for local shunting..... | 4 | +| | 7.3 Public traffic requirement for local shunting..... | 5 | +| | 7.4 Traffic adjustment requirement for local shunting..... | 5 | +| | 7.5 Functional requirement for local shunting based on a software-defined network..... | 5 | +| 8 | Architecture, functional entities and reference points for local shunting for multi-access edge computing in IMT-2020 networks..... | 5 | +| | 8.1 Architecture ..... | 5 | +| | 8.2 Functional entities ..... | 6 | +| | 8.3 Reference points ..... | 7 | +| 9 | Information flows for local shunting for multi-access edge computing in IMT-2020 networks..... | 7 | +| 10 | Security considerations..... | 8 | +| | Appendix I – Local shunting for MEC development for smart port scenario based on operator network..... | 9 | +| | Bibliography..... | 10 | + + + +# Recommendation ITU-T Y.3158 + +# Local shunting for multi-access edge computing in IMT-2020 networks + +# 1 Scope + +The Recommendation specifies the requirements, architecture, functional entities, reference points and information flows of local shunting for multi-access edge computing (MEC) in International Mobile Telecommunication 2020 (IMT-2020) networks. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3104] Recommendation ITU-T Y.3104 (2018), *Architecture of the IMT-2020 network*. + +[ITU-T Y.3150] Recommendation ITU-T Y.3150 (2020), *High-level technical characteristics of network softwarization for IMT-2020*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 backhaul** [ITU-T Y.3100]: A network path between base station systems and a core network. + +**3.1.2 functional entity** [b-ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +**3.1.3 multi-access edge computing** [b-ETSI GS MEC 001]: System which provides an IT service environment and cloud-computing capabilities at the edge of an access network which contains one or more type of access technology, and in close proximity to its users. + +**3.1.4 network softwarization** [ITU-T Y.3100]: An overall approach for designing, implementing, deploying, managing and maintaining network equipment and/or network components by software programming. + +NOTE – Network softwarization exploits the nature of software such as flexibility and rapidity all along the lifecycle of network equipment and/or components, for the sake of creating conditions that enable the redesign of network and services architectures, the optimization of costs and processes, self-management and bring added values in network infrastructures. + +**3.1.5 orchestration** [ITU-T Y.3100]: In the context of IMT-2020, the processes aiming at the automated arrangement, coordination, instantiation and use of network functions and resources for both physical and virtual infrastructures by optimization criteria. + +**3.1.6 service function** [b-ITU-T Y-Suppl.41]: A function, specifically representing network service function, that is responsible for specific treatment of received packets other than the normal, standard functions of an IP router (e.g., IP forwarding and routing functions) on the network path between a source host and destination host. + +**3.1.7 service function chain** [b-ITU-T Y-Suppl.41]: A chain that defines an ordered set of abstract service functions and ordering constraints that must be applied to packets and/or frames and/or flows selected as a result of classification and/or policy. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|---------------------------------------------| +| Ack | Acknowledgement | +| AF | Application Function | +| AN | Access Network | +| ASF | Authentication Server Function | +| CEF | Capability Exposure Function | +| CN | Core Network | +| HD | High Definition | +| ID | Identifier | +| IMT-2020 | International Mobile Telecommunication 2020 | +| IP | Internet Protocol | +| IT | Information Technology | +| MEC | Multi-access Edge Computing | +| NACF | Network Access Control Function | +| NFR | Network Function Repository | +| NSSF | Network Slice Selection Function | +| PCF | Policy Control Function | +| RP | Reference Point | +| SDN | Software-Defined Network | +| SFC | Service Function Chain | +| SMF | Session Management Function | +| UE | User Equipment | +| UPF | User Plane Function | +| USM | Unified Subscription Management | + +# **5 Conventions** + +In this Recommendation: + +The phrase "is required" indicates a requirement that must be strictly followed and from which no deviation is permitted, if conformity to this Recommendation is to be claimed. + +The phrase "is recommended" indicates a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformity. + +The phrase "can optionally" indicates an optional requirement that is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator or service provider. Rather, it means the vendor may optionally provide the feature and still claim conformity with this Recommendation. + +# **6 Overview of local shunting for multi-access edge computing in IMT-2020 networks** + +At present, the requirements of traffic density and the expected data rate from users of IMT-2020 networks are growing rapidly, which brings great challenges to IMT-2020 networks. Core networks (CNs) also experience a larger data traffic impact; MEC technology can effectively reduce the bandwidth requirements of network backhaul through local shunting and alleviate the pressure of data transmission for CNs. Local shunting for MEC can be realized by network softwarization technology specified in [ITU-T Y.3150]. MEC is an effective way to deploy IMT-2020 network service applications by network providers close to the users, and the users can access dynamically according to their needs. It is benefit for satisfying the users' experience with low latency and high bandwidth. + +Figure 6-1 shows the relationship between IMT-2020 networks specified in [ITU-T Y.3104] and an MEC system. As one of the core technologies of IMT-2020, MEC can be deployed at the edge of IMT-2020 network and can provide services closer to the users. Network providers (e.g., operators) can use MEC to provide information technology (IT) services and computing functions needed by users, and build an environment with high performance, low latency and high bandwidth, so that the users can enjoy high-quality service experience. + +In this Recommendation, an MEC system is designed to transmit traffic flows at the edge of IMT-2020 networks. Local shunting for MEC in IMT-2020 networks can meet the network transmission requirements of local and public network services. All of these service traffic flows go through the MEC system, and are then forwarded to the public or local data network based on local shunting policies. + +Figure 6-1 shows the following general roles of local shunting. + +- Local traffic: the traffic flow does not need to go through the CN, and is directly diverted from an MEC system to the local data network. User equipment (UE) can directly access local data networks through the MEC system. Local shunting can reduce backhaul bandwidth consumption, service access latency and improve service experience. +- Public traffic: the traffic flow goes through a CN to the data network via an MEC system. When UE needs to access the public network, the MEC system sends the public network traffic flows directly to the CN, then forwards them to the data network. +- Typical scenario: Live high-definition (HD) video broadcasting can be a typical scenario to use the local shunting mechanism. Traditional CN solutions may cause high latency. However, the traffic flows of video broadcasting can be diverted through an MEC system to a local network, which can better satisfy user real-time demand. + +![Figure 6-1: Relationship between IMT-2020 networks and an MEC system. The diagram shows the architecture of IMT-2020 networks and how a MEC system integrates with them. It includes User Equipment (UE), Access Network (AN), and Core Network (CN). The CN contains several functional blocks: CEF, NFR, PCF, USM, AF, NACF, NSSF, ASF, and SMF. The MEC system is shown as a red cloud containing the UPF (User Plane Function). Traffic flows are indicated by arrows: orange for public traffic and black for local traffic. Key reference points (RP) are labeled: RP-tn, RP-an, RP-su, RP-ud, and RP-au. A dashed line separates the Control plane and User plane. A legend at the bottom right explains the traffic types and reference points.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Y.3158(22) + +Figure 6-1: Relationship between IMT-2020 networks and an MEC system. The diagram shows the architecture of IMT-2020 networks and how a MEC system integrates with them. It includes User Equipment (UE), Access Network (AN), and Core Network (CN). The CN contains several functional blocks: CEF, NFR, PCF, USM, AF, NACF, NSSF, ASF, and SMF. The MEC system is shown as a red cloud containing the UPF (User Plane Function). Traffic flows are indicated by arrows: orange for public traffic and black for local traffic. Key reference points (RP) are labeled: RP-tn, RP-an, RP-su, RP-ud, and RP-au. A dashed line separates the Control plane and User plane. A legend at the bottom right explains the traffic types and reference points. + +| | | | | +|-----|------------------------------|------|----------------------------------| +| AF | application function | ASF | authentication server function | +| CEF | capability exposure function | NACF | network access control function | +| NFR | network function repository | NSSF | network slice selection function | +| PCF | policy control function | RP | reference point | +| SMF | session management function | USM | unified subscription management | + +NOTE – For the RP suffixes, see [ITU-T Y.3104]. + +**Figure 6-1 – Relationship between IMT-2020 networks and an MEC system** + +# 7 Requirements for local shunting for multi-access edge computing in IMT-2020 networks + +## 7.1 General requirements + +[REQ-GR1]: The IMT-2020 network is required to support traffic offloading based on UE request. + +[REQ-GR2]: The IMT-2020 network is required to provide application programming interfaces that allow an MEC system authorized in an IMT-2020 network to divert data traffic from UE to the network edge close to the UE location. + +[REQ-GR3]: The IMT-2020 network is required to allow an authorized MEC system to control UE access to applications on the network edge of a network operator. + +[REQ-GR4]: The IMT-2020 network is required to allow an authorized MEC system to monitor relevant traffic. + +[REQ-GR5]: The IMT-2020 network is required to steer local service data traffic from an MEC system to local applications or local data networks. + +[REQ-GR6]: Local shunting for MEC in IMT-2020 networks is required to avoid affecting other traffic in IMT-2020 networks. + +## 7.2 Local traffic requirement for local shunting + +Traffic flow regarding the service needs to be processed locally and can be routed directly from the edge data routing module system to local traffic without going through the CN in the IMT-2020 network. The edge data routing module system is specified in clause 8. + +Local shunting not only reduces the consumption of backhaul bandwidth, but also can reduce the service access latency and improve user service experience. + +[REQ-LT1]: Local shunting for MEC in IMT-2020 networks is required to support control local traffic data streams. + +## **7.3 Public traffic requirement for local shunting** + +In public traffic, there are two types of local shunting: 1) the edge data routing module system sends public service data to the data network by pass-through CN; 2) the edge data routing module system streams specific service data to the local network and then accesses the data network through the local network. + +[REQ-PT1]: Local shunting for MEC in IMT-2020 networks is required to support access to public traffic services. + +## **7.4 Traffic adjustment requirement for local shunting** + +It is necessary to adjust edge service traffic base on local shunting policies. + +[REQ-TA1]: Local shunting for MEC in IMT-2020 networks is required to support adjustment for edge service traffic when a local shunting policy is changed or deleted. + +## **7.5 Functional requirement for local shunting based on a software-defined network** + +Local shunting for MEC in IMT-2020 networks can be executed based on a software-defined network (SDN). SDN technology is an effective mechanism for orchestrating, controlling and managing the network resources of an MEC system. Furthermore, the management and configuration of MEC network resources are carried out by the SDN controller. The following service capabilities should be supported. + +[REQ-FR1]: The SDN controller is required to create and enable edge service traffic paths and path policies for edge service data traffic. + +[REQ-FR2]: The SDN controller is required to generate according to routing rules a flow table, which contains traffic flow information and a diversion strategy. + +[REQ-FR3]: The diversion gateway is required to conduct local shunting according to the flow table. + +[REQ-FR4]: Local shunting based on SDN is recommended to shorten the response time between UE and applications, + +[REQ-FR5]: Local shunting based on SDN is recommended to ensure the continuity requirements of end-user data traffic. + +[REQ-FR6]: The SDN controller can optionally create a service function chain (SFC) and perform the orchestration of the service function when receiving an MEC service request. + +NOTE – An SFC for MEC local shunting is also considered in this Recommendation. An SFC is identified in [b-ITU-T Y.2242] and [b-ITU-T Y-Suppl.41]. If operator applications, edge user applications, or third party applications are deployed on the edge of an IMT-2020 network, an SFC can provide an elastic and automatic service deployment mechanism based on the conditions of multiple access networks and MEC service requirements, then end users can select personalized edge services. + +# **8 Architecture, functional entities and reference points for local shunting for multi-access edge computing in IMT-2020 networks** + +## **8.1 Architecture** + +Local shunting for MEC in IMT-2020 networks includes three functional areas for: control; edge data routing module system; and edge application. See Figure 8-1. + +The control functional area provides the following functions. + +- Controller function: determine and update the routing rules of traffic flow regarding MEC service data traffic and the local shunting policy per UE or per flow, and orchestrate an SFC when needed. + +NOTE – MEC service data traffic that is diverted via the MEC system contains two types of flow: 1) traffic for local applications or local data networks, called "local service data traffic"; 2) traffic going through a CN, called "public service data traffic". + +The edge data routing module system area provides the following functions. + +- Edge data routing function: routes traffic based on the rules of MEC service data traffic determined by the SDN controller function. +- Classifier function: classifies the traffic based on local shunting policies and traffic flows that can be routed to a public data network or directly to a local data network without going through the CN in the IMT-2020 network. + +The edge application area provides MEC applications, e.g., live HD video broadcasting, cloud gaming. The applications can be provided by operators, edge users or third parties. + +![Figure 8-1: Architecture of local shunting for MEC in IMT-2020 networks.](08441fa90c5fd11994626f662ac13f19_img.jpg) + +``` + +graph LR + UE[UE] <--> AN[Access network] + subgraph MEC_System [MEC system] + SDN[SDN controller] + subgraph EDRMS [Edge data routing module system] + EDR[Edge data routing] + UC[Uplink classifier] + end + subgraph EA [Edge applications] + OA[Operator applications] + EUA[Edge user applications] + TPA[Third party applications] + end + end + CN[Core network] <--> DN[Data network] + LDN[Local data network] + + AN <--> EDR + EDR <--> UC + UC <--> CN + UC <--> LDN + SDN -- C1 --> EDR + SDN -- C2 --> UC + EDR <--> OA + EDR <--> EUA + EDR <--> TPA + + %% Traffic Flow Styling + %% Blue: Public data traffic + %% Red: Local data traffic + +``` + +The diagram illustrates the architecture of local shunting for MEC in IMT-2020 networks. It shows the flow of traffic between various components: UE, Access network, MEC system (containing SDN controller, Edge data routing module system, and Edge applications), Uplink classifier, Core network, Data network, and Local data network. Blue arrows represent public data traffic, and red arrows represent local data traffic. The SDN controller (C1, C2) manages the Edge data routing and Uplink classifier. The Edge data routing module system includes Edge data routing and Uplink classifier. The Edge applications include Operator applications, Edge user applications, and Third party applications. The Local data network is connected to the Uplink classifier. + +Figure 8-1: Architecture of local shunting for MEC in IMT-2020 networks. + +**Figure 8-1 – Architecture of local shunting for MEC in IMT-2020 networks** + +NOTE – Flows between edge data routing and operator applications, edge user applications and third party applications are omitted in Figure 8-1. + +## 8.2 Functional entities + +### 8.2.1 SDN controller + +The SDN controller performs the following functions: + +- obtains the current status of all equipment under control, UE traffic information and other related information; +- performs local shunting for an MEC system: designs traffic flows are either local traffic or public traffic; +- creates, updates or deletes a local shunting policy and transfers it to an uplink classifier; +- monitors the routers or switches under control and monitors edge applications connected to edge data routing; + +- when an SFC is needed in an MEC service, the SDN controller orchestrates service functions, including designating which service functions are included in an SFC, and determining the sequence of service functions in the SFC. + +### 8.2.2 Uplink classifier + +The uplink classifier performs the following functions: + +- obtains local shunting policies from the SDN controller function; +- receives local traffic flows and applies a corresponding local shunting policy to them to steer the traffic going through the local data network. + +## 8.3 Reference points + +### 8.3.1 Reference point C1 + +A SDN controller function interacts with an edge data routing function via a reference point C1 to get information about switches under its control. The SDN controller function sends path information of a traffic flow with regard to MEC service data traffic to the edge data routing function. + +### 8.3.2 Reference point C2 + +An uplink classifier interacts with the SDN controller function via a reference point C2 to receive path information of flow with regard to MEC service data traffic created by the controller function; the uplink classifier then applies the rules to the flow. + +# 9 Information flows for local shunting for multi-access edge computing in IMT-2020 networks + +This clause describes information flows for local shunting when creating a new edge service data traffic path. See Figure 9-1. + +![Sequence diagram showing the creation of a new edge service data traffic path between an SDN controller, an Uplink classifier, and an Edge data routing function.](5a9282ac54ca7bc50f1d2ab6cfb376ba_img.jpg) + +``` + +sequenceDiagram + participant SDN_controller as SDN controller + participant Uplink_classifier as Uplink classifier + participant Edge_data_routing as Edge data routing + + SDN_controller->>Edge_data_routing: 1. Configure a new edge service data traffic path + Edge_data_routing-->>SDN_controller: 2. ACK of the new edge service data traffic path + SDN_controller->>Uplink_classifier: 3. Enable a new edge service data traffic path policy + Uplink_classifier-->>SDN_controller: 4. ACK of completion of creation + +``` + +Y.3158(22) + +Sequence diagram showing the creation of a new edge service data traffic path between an SDN controller, an Uplink classifier, and an Edge data routing function. + +**Figure 9-1 – Creation of a new edge service data traffic path** + +The main steps for creating a new edge service data traffic path are as follows. + +Step 1: An SDN controller creates and enables a new edge service data traffic path. The SDN controller configures the related edge data routers with the forwarding rules. + +Step 2: Edge data routers reply to the SDN controller with an acknowledgement (Ack) character. + +Step 3: The SDN controller creates a new edge service data traffic path policy with path rules. Attributes of rules include the application identifier (ID), edge service characteristics, the ID of the edge service data traffic path and destination information of the traffic. The SDN controller then sends the new policy for target flows to the uplink classifier. + +NOTE – The policy can be composed of several path rules. + +- The application ID can be derived from the UE. +- The edge service characteristics are the information that is used to identify edge services and can be pre-configured by the SDN controller. Edge services may have the characteristics like: 1) isolation from data network (e.g., the service data only transmit locally); 2) low latency (e.g., the services need synchronized information among devices and control devices remotely); 3) high bandwidth (e.g., the services need large traffic data transmission). +- The ID of the edge service data traffic path is used to apply the rules to the edge service data traffic path created by the SDN controller. +- The destination information of the traffic is used to specify service traffic flows to the local or public data network. + +Step 4: The uplink classifier replies to the SDN controller with an Ack character. When traffic enters the uplink classifier, it carries information like the application ID, edge service characteristic and destination information. The uplink classifier distinguishes traffic flows for local shunting by searching and selecting the edge service data traffic path rules with the same ID carried by users, and then steers the traffic to the local or public data network. + +# **10 Security considerations** + +This Recommendation is recognized as an enhancement of mobile networks based on the Internet protocol (IP). Thus, it is assumed that security considerations in general are based on the security considerations identified by [b-ITU-T Y.2701][b-ITU-T Y.3101]. + +The IMT-2020 network including UE, ANs and CN are subject to security and privacy measures. Sensitive information should be protected as a high priority in order to avoid leakage and unauthorized access. Specific security concerns highlighted in this Recommendation deal with MEC system authentication, as specified in clause 7.1. + +# Appendix I + +## Local shunting for MEC development for smart port scenario based on operator network + +(This appendix does not form an integral part of this Recommendation.) + +See Table I.1. + +**Table I.1 – Local shunting for MEC development for smart port +scenario based on operator network** + +| | | +|-------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

In the construction of a local data network of smart ports, traditional wireless fidelity cannot guarantee service effectiveness such as coverage, stability, security and service continuity. The construction should meet design requirements, such as the isolation between local and public data networks, and ensure the security of the local network. The following aspects should be considered:

  1. 1) internal transmission of enterprise data;
  2. 2) interconnection, remote control among devices with low latency requirements;
  3. 3) port real-time video monitoring with high bandwidth requirements
| +| Technical points for consideration |
  • – Deployment of applications in edge areas
  • – Identification in a local network
  • – Local traffic flow distribution
| +| Figure (optional) |

Image: Diagram illustrating local shunting for MEC development for smart port scenario based on operator network. The diagram shows a Core network (Internet) and an Access/convergence layer. The Core network contains an IMT-2020 core network and Network equipments. The Access/convergence layer contains a MEC (Multi-access Edge Computing) block and an Enterprise local network. Arrows indicate traffic flow: Local traffic (blue arrow) flows from the Enterprise local network to the MEC, and Internet traffic (red arrow) flows from the MEC to the IMT-2020 core network. A legend at the bottom right shows a blue arrow for Local traffic and a red arrow for Internet traffic. The reference Y.3158(22) is noted at the bottom right.

Y.3158(22)

| +| Solution description |

The MEC system identifies edge service traffic flows, the traffic flows to the enterprise local network based on the edge service data path policy

| +| Derived requirements |

The traffic flows of a local data network can be routed directly from the edge data-routing module system to the local data network without going through the core network

| + +## Bibliography + +- [b-ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [b-ITU-T Y.2242] Recommendation ITU-T Y.2242 (2018), *Service function chaining in mobile networks*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [b-ITU-T Y-Suppl.41] ITU-T Y-series Recommendations – Supplement 41 (2016), *ITU-T Y.2200-series – Deployment models of service function chaining*. [b-ETSI GS MEC 001] ETSI Group Specification MEC 001 V2.1.1 (2019), *Multi-access edge computing (MEC); Terminology*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet 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+| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3159 + +# Framework for classifying network slice levels in future networks including IMT-2020 + +## Summary + +The objective of Recommendation ITU-T Y.3159 is to specify a framework for classifying network slice levels in future networks, including IMT-2020. This framework is guidance for network slice deployment and management. A method for classifying network slice levels of future networks, including IMT-2020, is introduced. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3159 | 2023-10-23 | 13 | 11.1002/1000/15237 | + +## Keywords + +Framework, IMT-2020, isolation, network slice level. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview of framework for classifying network slice levels..... | 3 | +| 6.1 Principle for classifying network slice levels..... | 3 | +| 6.2 Classification of network slice levels ..... | 4 | +| 7 Methods for classifying network slice levels..... | 6 | +| 7.1 Network slicing isolation capability ..... | 6 | +| 7.2 Security capabilities of IMT-2020 network slices..... | 9 | +| 7.3 Exposure of network management and orchestration capabilities ..... | 9 | +| 8 Security considerations..... | 10 | +| Bibliography..... | 11 | + + + +# Recommendation ITU-T Y.3159 + +## Framework for classifying network slice levels in future networks including IMT-2020 + +## 1 Scope + +This Recommendation specifies a framework for classifying network slice levels in future networks, including IMT-2020. This framework is guidance for network slice deployment and management. This Recommendation also introduces a method for classifying network slice levels of future networks, including IMT-2020. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [ITU-T Y.3102] Recommendation ITU-T Y.3102 (2018), *Framework of the IMT-2020 network*. +- [ITU-T Y.3104] Recommendation ITU-T Y.3104 (2018), *Architecture of the IMT-2020 network*. +- [3GPP TS 23.501] 3GPP TS 23.501 V18.0.0 (2022), *System architecture for the 5G System (5GS); Stage 2 (Release 18)*. +- [3GPP TS 28.530] 3GPP TS 28.530 V17.3.0 (2022), *Management and orchestration; Concepts, use cases and requirements*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application domain** [b-ITU-T Y.4100]: An area of knowledge or activity applied for one specific economic, commercial, social or administrative scope. + +NOTE – Transport application domain, health application domain and government application domain are examples of application domains. + +**3.1.2 IMT-2020** [ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +**3.1.3 network function** [ITU-T Y.3100]: In the context of IMT-2020, a processing function in a network. + +NOTE 1 – Network functions include but are not limited to network node functionalities, e.g., session management, mobility management and transport functions, whose functional behaviour and interfaces are defined. + +NOTE 2 – Network functions can be implemented on a dedicated hardware or as virtualized software functions. + +NOTE 3 – Network functions are not regarded as resources, but rather any network functions can be instantiated using the resources. + +**3.1.4 network slice** [ITU-T Y.3100]: A logical network that provides specific network capabilities and network characteristics. + +NOTE 1 – Network slices enable the creation of customized networks to provide flexible solutions for different market scenarios which have diverse requirements, with respect to functionalities, performance and resource allocation. + +NOTE 2 – A network slice may have the ability to expose its capabilities. + +NOTE 3 – The behaviour of a network slice is realized via network slice instance(s). + +**3.1.5 orchestration** [ITU-T Y.3100]: In the context of IMT-2020, the processes aiming at the automated arrangement, coordination, instantiation and use of network functions and resources for both physical and virtual infrastructures by optimization criteria. + +**3.1.6 service level agreement (SLA)** [b-ITU-T Y.3106]: A formal agreement between two or more entities reached after a negotiating activity with the scope to assess service characteristics, responsibilities and priorities of every part. A SLA may include statements about performance, billing, service delivery but also legal and economic issues. + +NOTE – Definition based on [b-ITU-T E.860]. + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|---------------------------------------------| +| API | Application Programming Interface | +| ASF | Authentication Server Function | +| CEF | Capability Exposure Function | +| CN | Core Network | +| E2E | End-to-End | +| eMBB | enhanced Mobile Broadband | +| FlexE | Flexible Ethernet | +| FlexO | Flexible Optical transport network | +| IMT-2020 | International Mobile Telecommunication 2020 | +| IoT | Internet of Things | +| KPI | Key Performance Indicator | +| MPLS | Multi-Protocol Label Switching | +| MTN | Metro Transport Network | +| NE | Network Equipment | +| NF | Network Function | +| NR | New Radio | +| NRF | Network Function Registry Function | +| NSSF | Network Slice Selection Function | + +| | | +|---------|--------------------------------------------------------| +| OAM | Operation, Administration and Management | +| OTN | Optical Transport Network | +| PCF | Policy Control Function | +| QoS | Quality of Service | +| RAN | Radio Access Network | +| RB | Radio Bear | +| SLA | Service Level Agreement | +| SMF | Session Management Function | +| S-NSSAI | Single- Network Slice Selection Assistance Information | +| UE | User Equipment | +| UPF | User Plane Function | +| USM | Unified Subscription Management Function | +| VPN | Virtual Private Network | + +## 5 Conventions + +In this Recommendation, the keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +## 6 Overview of framework for classifying network slice levels + +### 6.1 Principle for classifying network slice levels + +Unlike a traditional network that works in "one pipe and best effort" mode, the IMT-2020 network in combination with network slicing aims to provide various end-to-end logical private networks that run on a shared infrastructure and a shared network to cater for the specific requirements of vertical industries. As defined in [3GPP TS 23.501], network slices may differ for supported features and network function optimizations, in which case such network slices may have e.g., different S-NSSAIs with different slice/service types. The operator can deploy multiple network slices delivering exactly the same features but for different groups of users, e.g., as they deliver a different committed service and/or because they are dedicated to a customer, in which case such network slices may have e.g., different S-NSSAIs with the same slice/service type but different slice differentiators. Based on analytics of performance indicators, flexible functions, network requirements and OAM modes, users who uses network slice as a service can be the communication service provider or the communication service customer defined in [3GPP TS 28.530]. Here, for IMT-2020 networks these can fall into two types: + +- Public network users: + +The services for public network users that traditional networks provide are all retained in an IMT-2020 network with a consistent or even better user experience. + +- Application domain users: + - Application domain users can be divided into general application domain users and special application domain users. + - General application domain users have general requirements for service isolation and quality, and may call for a differentiation in customization, in terms such as connection management. + +- Special application domain users who have specific requirements (for example, high isolation or high service quality assurance) demand extremely high security, such as power grids, government and armies. + +In accordance with public network users and application domain users, the network architecture forms public networks and application domain networks, where public networks and application domain networks share core network hardware, transport resources and radio resources, as shown in Figure 1. This sharing mechanism gives full play to a network scale effect. IoT numbers and public network numbers are used to separate user equipment (UE) on different networks, and network equipment (NE), resources and base stations can be exclusively used by different networks, enabling flexible architecture and configuration modes. + +![Figure 1: Architecture of public networks and application domain networks. The diagram shows two main network stacks: 'Public network' and 'Application domain network (General and special)'. The Public network stack includes USM1, PCF1, SMF1, UPF1, and ASF1. The Application domain network stack includes USM2, PCF2, SMF2, UPF2, and ASF2. Between these stacks are NSSF and NFR blocks. Below the stacks are UPF1 and UPF2 blocks. The bottom part of the diagram shows a radio access network with three types of slices: 'Public network' (blue oval), 'Customized network' (yellow oval), and 'Public network' (blue oval). The Customized network slice is further divided into two sub-slices. Various user equipment icons (mobile phones, IoT devices, vehicles, etc.) are shown connected to these slices. The reference 'Y.3159(23)' is located at the bottom right of the diagram.](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +Figure 1: Architecture of public networks and application domain networks. The diagram shows two main network stacks: 'Public network' and 'Application domain network (General and special)'. The Public network stack includes USM1, PCF1, SMF1, UPF1, and ASF1. The Application domain network stack includes USM2, PCF2, SMF2, UPF2, and ASF2. Between these stacks are NSSF and NFR blocks. Below the stacks are UPF1 and UPF2 blocks. The bottom part of the diagram shows a radio access network with three types of slices: 'Public network' (blue oval), 'Customized network' (yellow oval), and 'Public network' (blue oval). The Customized network slice is further divided into two sub-slices. Various user equipment icons (mobile phones, IoT devices, vehicles, etc.) are shown connected to these slices. The reference 'Y.3159(23)' is located at the bottom right of the diagram. + +**Figure 1 – Architecture of public networks and application domain networks** + +To meet these IMT-2020 network slicing requirements and those concerning isolation, deployment, and operation, two relatively independent IMT-2020 networks slices are available: public network slices and application domain network slices. This Recommendation defines multilevel slices with varying capabilities to meet the corresponding requirements of users. + +Network functions interact with each other to provide the IMT-2020 network services specified in [ITU-T Y.3102]. Interaction procedures between network functions in order to provide network services are specified in clause 7 of [ITU-T Y.3104]. + +### 6.2 Classification of network slice levels + +This clause provides the overall classification of network slice levels. Depending on the existing network capabilities, the radio access network (RAN), transport network, core network, security and operation capabilities are holistically considered for different slice levels to match the most possible network deployment policies. A total of five slice capability levels are provided to meet the two types of IMT-2020 network slicing requirements, as shown in Table 1. + +**Table 1 – The classification of network slice level** + +| Network slice level | Title | Type | Definition | Customized resources | Service experience | | | +|---------------------|----------------------------|----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------|---------------------------------|---------------------------------------------------------------|--------------------| +| | | | | Isolation | Security | Exposure of network management and orchestration capabilities | Customized service | +| L0 | Public network | General | Based on IMT-2020 public network infrastructure, no special requirements | Fully shared | Basic safety | None | Default | +| L1 | | High-quality users | Based on IMT-2020 public network infrastructure, superimposed customization requirements | Fully shared | Encryption | None | Differentiation | +| L2 | General application domain | General | Based on IMT-2020 application domain network infrastructure, providing value-added services. | Fully shared | Boundary isolation | Visible | Differentiation | +| L3 | | High-quality users | Based on the IMT-2020 application domain network infrastructure, it provides exclusive resources and advanced services. | Partially exclusive | Boundary isolation + Encryption | Manageable | Differentiation | +| L4 | Special application domain | Special application domain users | Based on the construction of IMT-2020 application domain private network facilities, it provides exclusive resources and reliability services for all resources. | Completely independent | Advanced security | Manageable | Differentiation | + +– Slice level: +Five slice levels, including L0 to L4, are defined. + +- Network type: +Two network types, including public network and application domain network. +- Level classification: +Public networks have two levels: general and high-quality users. Application domain networks have three levels: general, high-quality users and special. +- Slice level definition: +It defines each slice level. +- Resource customization: +Three options are available, including fully shared, partially exclusive and completely independent. At initial construction, public networks and application domain networks are separated, delivering original isolation. Resource customization refers to the degree of resource isolation among the RAN, transport network and core network. +- Service experience: + - Security: +Five options are available, including basic security, enhanced Mobile Broadband (eMBB) enhanced security, service feature security, high-level service feature security and high-level security. +- Exposure of network management and orchestration capabilities: +Three options are available, including no need for exposure, application domain visualization for exposure information and application domain manageability for exposure information. +- Customized service: +Except for general users on public networks that have no special requirements, L1 to L4 require different assurance capabilities, which are to be tailored to specific scenarios and requirements. + +In addition to the aforementioned basic network capabilities (network resources, isolation, exposure, security and customized services), different vertical industries have their own customization requirements. Network slicing needs to provide customization capabilities, which can be found as the attributes of network slices/services in [b-GSMA NG.116], such as support for non-IP transmission, clock synchronization, and high-speed device processing, and such capabilities can be added to each of the capability levels. + +## **7 Methods for classifying network slice levels** + +This clause provides detailed solutions to the aforementioned five capability levels in terms of RAN, transport network, core network and management system in the preceding dimensions. + +### **7.1 Network slicing isolation capability** + +#### **7.1.1 RAN slice isolation solution** + +Table 2 provides the classification of a RAN slice level. The RAN slice isolation solution aims to isolate and guarantee resources for network slices on RAN. Slice-specific QoS assurance, air interface dynamic radio bear (RB) resource sharing, and static RB resource reservation are available, differentiating in service latency, reliability and isolation requirements. + +NOTE – The specific technology of RAN is out of scope of this Recommendation. + +**Table 2 – Suggestions on RAN slice levels** + +| Network slice level | Title | Type | RAN slice capability | Application domain | +|---------------------|----------------------------|----------------------------------|-----------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| L0 | Public network | General | Capability 1: RB resource sharing and QoS-specific slice | Enterprise broadband | +| L1 | | High-quality users | | | +| L2 | General application domain | General | | | +| L3 | | High-quality users | Capability 2: partially reserved RB resources and dynamically shared slices
Or
Capability 3: resource-exclusive slice | For Capability 2: Basic service assurance is required. Example services include smart grid inspection and media live broadcast.

For Capability 3: Strong requirements are put on service isolation and bandwidth. Examples include power grid distribution automation, government and public security private networks. | +| L4 | Special application domain | Special application domain users | | | + +#### 7.1.2 Transport network slice isolation solution + +Table 3 provides the classification of a TN slice level. The isolation on transport networks between RANs and core networks (CNs) can be hard isolation or soft isolation, depending on latency, slice security and reliability requirements. The isolation technology can be: + +- i) physical isolation: metro transport network (MTN) interface isolation adapting Flex Ethernet (FlexE) [b-ITU-T G.8310] [b-ITU-T G.8312], optical transport network (OTN) isolation including Flex OTN (FlexO) in ITU-T G.709 series [b-ITU-T G.709]; or +- ii) soft isolation: multi-protocol label switching (MPLS) in ITU-T G.8100 series [b-ITU-T G.8110]/VPN+QoS [b-ITU-T Y.1311.1] isolation. + +**Table 3 – Suggestions on TN slice levels** + +| Slice level | Title | Type | TN slice capability | Application domain | +|-------------|----------------|--------------------|-----------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------| +| L0 | Public network | General | Softwarized sharing | Internet access and OTT video | +| L1 | | High-quality users | Softwarized sharing +physical isolation (tunnel isolation, Gbit/s-level services) | Cloud gaming, home cloud VR, and application domain applications such as mobile rescue, drones and mobile surveillance | + +**Table 3 – Suggestions on TN slice levels** + +| Slice level | Title | Type | TN slice capability | Application domain | +|-------------|----------------------------|----------------------------------|--------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------| +| L2 | General application domain | General | soft isolation +physical isolation (physical isolation, tunnel isolation, Gbit/s-level services) | Power grid, manufacturing, healthcare, mining, port and IoV | +| L3 | | High-quality users | Partial physical isolation | Government and enterprise private line, meter reading and collection, video surveillance and live broadcast | +| L4 | Special application domain | Special application domain users | E2E physical isolation | Private lines for government, finance, securities and power grid customers | + +#### 7.1.3 Core network slice isolation solution + +Table 4 provides the classification of CN slice levels. The core network slice isolation solution helps isolate core network slice resources from the networking and guarantees the customized services. The resource view mainly includes the hardware resource layer, virtual resource layer and network function (NF) layer allocated for slice isolation. + +- Hardware resource layer: This mainly refers to a variety of servers, which can support both "shared" and "dedicated" isolation modes. +- Virtual resource layer: The communication functions are carried on the general hardware through virtual machines, containers and other virtualization technologies, which can realize rapid development, deployment and flexible scaling up of new business. The virtual resource layer can also support both "shared" and "dedicated" isolation modes. +- NF layer: The network function/virtual network function layer of the core network can support the on-demand isolation mode at different levels to ensure the independence of different slices. + +**Table 4 – Suggestions on CN slice levels** + +| Slice level | Title | Type | CN slice capability | Application domain | +|-------------|----------------------------|--------------------|-----------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------| +| L0 | Public network | General | NF layer, virtual resource layer and hardware resource layer shared | Internet access and OTT video | +| L1 | | High-quality users | NF layer, virtual resource layer and hardware resource layer shared or partially shared | Cloud gaming, home cloud VR, and application domain applications such as mobile rescue, drones and mobile surveillance | +| L2 | General application domain | General | NF layer, virtual resource layer and hardware resource layer shared or partially shared | Power grid, manufacturing, healthcare, mining, port and IoV | + +**Table 4 – Suggestions on CN slice levels** + +| Slice level | Title | Type | CN slice capability | Application domain | +|-------------|----------------------------|----------------------------------|-----------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------| +| L3 | | High-quality users | NF layer, virtual resource layer and hardware resource layer shared or partially shared | Government and enterprise private line, meter reading and collection, video surveillance and live broadcast | +| L4 | Special application domain | Special application domain users | NF layer, virtual resource layer and hardware resource layer isolation | Private lines for government, finance, securities and power grid customers | + +### 7.2 Security capabilities of IMT-2020 network slices + +To support end-to-end (E2E) security protection for different services, flexible security architecture is required to provide multilevel slice security assurance. When vertical application domain users have specific security requirements, they can request customized network slices with different security protection levels from carriers. Differentiated security capabilities include security management capabilities, security capabilities of network protocols and network device resource security capabilities. + +NOTE – The specific technology of security capabilities of IMT-2020 network slices is out of scope of this Recommendation. + +### 7.3 Exposure of network management and orchestration capabilities + +Table 5 provides the classification of orchestration and management levels for exposure. As defined in [b-ITU-T Y.3108], in terms of interaction with CEF, the network management and orchestration capabilities [ITU-T Y.3110] expose a set of management data required by the customer and authorized by the network operator. For example, network operation status and current network performance can be exposed to third parties through CEF within an operator's policy. + +The exposure of network management and orchestration capabilities for network slices can be divided into several scenarios based on the operator's policy. + +**Table 5 – Suggestions on orchestration and management levels for exposure** + +| Slice level | Title | Type | Degree of capability openness | Visible for exposure information | Manageable for exposure information | +|-------------|----------------------------|--------------------|---------------------------------|------------------------------------------------------------------------------------------------------------------------|-------------------------------------| +| L0 | Public network | General | None | None | Managed by operator. | +| L1 | | High-quality users | None | None | Managed by operator. | +| L2 | General application domain | General | User portal (KPI visualization) | Users can view slice status, UE information, bills and obtain SLA reports through the network slice provider's portal. | Managed by operator. | + +**Table 5 – Suggestions on orchestration and management levels for exposure** + +| Slice level | Title | Type | Degree of capability openness | Visible for exposure information | Manageable for exposure information | +|--------------------|----------------------------|----------------------------------|-------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| L3 | | High-quality users | User P portal (KPI visualization + self-service business) | Users can view slice status, UE information, bills and obtain SLA reports through the network slice provider's portal. | It can be implemented through a self-service portal:
1) Business subscription, modification and termination, etc.
2) UE lifecycle management, such as UE account opening and cancellation, shutdown and recovery, etc.
3) Simple failure diagnosis, such as real-time diagnosis, diagnosis based on historical information correlation (non-real-time diagnosis), location services, etc. | +| L4 | Special application domain | Special application domain users | Open API capabilities (KPI visualization + self-service business) | Users implement slice business monitoring using APP through open API. | Users implement slice business management using APP through open API. | + +## **8 Security considerations** + +This Recommendation defines methods for classifying network slice levels, including a slice isolation solution for RAN, transport and core networks, security capabilities and OAM modes. Thus, it is assumed that security considerations in general are based on the security of IMT 2020 network management and orchestration [ITU-T Y.3111]. + +## Bibliography + +- [b-ITU-T E.860] Recommendation ITU-T E.860 (2002), *Framework of a service level agreement*. +- [b-ITU-T G.709] Recommendation ITU-T G.709/Y.1331 (2020), *Interfaces for the optical transport network*. +- [b-ITU-T G.8110] Recommendation ITU-T G.8110/Y.1370 (2005), *MPLS layer network architecture*. +- [b-ITU-T G.8310] Recommendation ITU-T G.8310 (2020), *Architecture of the metro transport network*. +- [b-ITU-T G.8312] Recommendation ITU-T G.8312 (2020), *Interfaces for metro transport networks*. +- [b-ITU-T Y.1311.1] Recommendation ITU-T Y.1311.1 (2001), *Network-based IP VPN over MPLS architecture*. +- [b-ITU-T Y.3106] Recommendation ITU-T Y.3106 (2019), *Quality of service functional requirements for the IMT-2020 network*. +- [b-ITU-T Y.3108] Recommendation ITU-T Y.3108 (2019), *Capability exposure function in IMT-2020 networks*. +- [b-ITU-T Y.3111] Recommendation ITU-T Y.3111 (2019), *IMT-2020 network management and orchestration framework*. +- [b-ITU-T Y.4100] Recommendation ITU-T Y.4100/Y.2066 (2014), *Common requirements of the Internet of things*. +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-GSMA NG.116] GSMA NG.116 v3.0 (2020), *Generic Network Slice Template*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3160-202305-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3160-202305-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..7c94b22755ecebb4fd65c6965df1454231557f16 --- /dev/null +++ b/marked/Y/T-REC-Y.3160-202305-I_PDF-E/raw.md @@ -0,0 +1,556 @@ + + +# Recommendation + +## **ITU-T Y.3160 (05/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +--- + +**Architectural framework of end-to-end service level objective guarantee for future networks including IMT-2020** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3160 + +# Architectural framework of end-to-end service level objective guarantee for future networks including IMT-2020 + +## Summary + +Recommendation ITU-T Y.3160 describes the architectural framework of end-to-end service level objective (SLO) guarantee for future networks including IMT-2020, which considers the following issues: + +- Overview of SLO guarantee; +- A mechanism for SLO guarantee; +- The SLO design and acceptance method. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3160 | 2023-05-14 | 13 | 11.1002/1000/15533 | + +## Keywords + +IMT-2020, network slice, service level objective, SLO guarantee. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Introduction of end-to-end SLO guarantee..... | 3 | +| 7 SLO guarantee mechanism ..... | 4 | +| 7.1 Requirements for end-to-end SLO break down..... | 4 | +| 7.2 End-to-end SLO break down with AI-assisted analysis..... | 4 | +| 7.3 SLO monitoring and guarantee ..... | 5 | +| 8 SLO oriented network slicing design and acceptance ..... | 5 | +| 8.1 SLO oriented NS life cycle..... | 5 | +| 8.2 SLO oriented NS design procedure..... | 6 | +| 8.3 SLO oriented network acceptance process..... | 9 | +| 9 Security considerations..... | 10 | +| Bibliography..... | 11 | + + + +# Recommendation ITU-T Y.3160 + +# Architectural framework of end-to-end service level objective guarantee for future networks including IMT-2020 + +# 1 Scope + +This Recommendation specifies high-level end-to-end service level objective (SLO) guarantee architecture, and the network planning impact and acceptance method for future networks including IMT-2020. This Recommendation includes: + +- An overview of SLO guarantee; +- A mechanism for SLO guarantee; +- SLO design and acceptance method. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T E.860] | Recommendation ITU-T E.860 (2002), Framework of a service level agreement . | +| [ITU-T Y.3100] | Recommendation ITU-T Y.3100 (2017), Terms and definitions for IMT-2020 network . | +| [ITU-T Y.3154] | Recommendation ITU-T Y.3154 (2020), Resource pooling for scalable network slice service management and orchestration in the IMT-2020 network . | +| [ITU-T Y.3156] | Recommendation ITU-T Y.3156 (2020), Framework of network slicing with AI-assisted analysis in IMT-2020 networks . | + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 key performance indicator (KPI)** [b-ITU-T Y.4051]: Indicator representing the resource usage effectiveness or efficiency of a given system. + +**3.1.2 network slice instance** [ITU-T Y.3100]: An instance of network slice, which is created based on a network slice blueprint. + +NOTE 1 – A network slice instance is composed of a set of managed run-time network functions, and physical/logical/virtual resources to run these network functions, forming a complete instantiated logical network to meet certain network characteristics required by the service instance(s). + +NOTE 2 – A network slice instance may also be shared across multiple service instances provided by the network operator. A network slice instance may be composed of none, one or more sub-network slice instances which may be shared with another network slice instance. + +**3.1.3 service level agreement (SLA)** [b-ITU-T Y.3106]: A formal agreement between two or more entities reached after a negotiating activity with the scope to assess service characteristics, responsibilities and priorities of every part. A SLA may include statements about performance, billing, service delivery but also legal and economic issues. + +**3.1.4 service level objective (SLO)** [b-ETSI ZSM 007]: Element in a service level specification that is defined in terms of parameters, and related metrics, thresholds and tolerances associated with the parameters. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 acceptance testing:** The process of evaluating the function, performance and quality of the services according to industry standards and commercial contracts at the time of services delivery. + +**3.2.2 service shelf:** The service shelf is a series of service/product categories that are provided for customers to choose from. + +NOTE – Each specific shelf service has a corresponding configurable template. Accordingly, the product can be on or off shelf, which indicates the product's status of in or not in use respectively. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|---------------------------------------------| +| AN | Access Network | +| BER | Bit Error Ratio | +| CN | Core Network | +| IMT-2020 | International Mobile Telecommunication 2020 | +| KQI | Key Quality Indicator | +| KPI | Key Performance Indicator | +| M&O | Management and Orchestration | +| NS | Network Slice | +| NSC | Network Slice Customer | +| NSI | Network Slice Instance | +| NSP | Network Slice Provider | +| PDU | Protocol Data Unit | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| SLA | Service Level Agreement | +| SLO | Service Level Objective | +| TN | Transport Network | +| UE | User Equipment | +| UPF | User Plane Function | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Introduction of end-to-end SLO guarantee + +As defined in [ITU-T E.860], the service level agreement (SLA) is a formal agreement between two or more entities reached after a negotiating activity with the scope to assess service characteristics, responsibilities and priorities of every part. A SLA may include statements about performance, tariffing and billing, service delivery and compensations. The network slice customers need to sign the SLA with network slice providers, when the network slice providers offer services, the SLA contains information about the communication service to be provided to the customer. + +The information includes service specific information, i.e., service level objective (SLO) attributes and values that are needed to configure the communication service, and customer specific information, i.e., SLO attributes and values that are needed to configure the service with customer's specific information such as coverage and quality of experience (QoE) related attributes. + +The SLO is the element in a service level specification that is defined in terms of parameters, and related metrics, thresholds and tolerances associated with the parameters. After receiving the SLA requirements from the network slice customers, the network slice providers can map them into SLO attributes, which can be used for configuration directly in IMT 2020 network, as shown in Figure 6-1. + +![Figure 6-1: Overview of the architectural framework of end-to-end SLO guarantee. The diagram shows a flow from a Network slice customer to a Network slice provider, passing through an SLA (Service-Level-Agreement) and SLO (Configuration parameters). These parameters are then processed by Slice management and orchestration, which includes Cross domain M&O and three domain-specific M&O blocks (Access, Transport, Core). Cross domain SLO assurance is shown as a feedback loop from the domain M&O blocks back to Cross domain M&O. Inner domain SLO assurance is shown as feedback loops within each domain M&O block.](a234352dfaccdc24745c88eef7724cc6_img.jpg) + +``` +graph TD + NSC[Network slice customer] --> SLA[SLA (Service-Level-Agreement)] + SLA --> NSP[Network slice provider] + NSP --> SLO[SLO (Configuration parameters)] + SLO --> SMO[Slice management and orchestration] + + subgraph SMO [Slice management and orchestration] + CDMO[Cross domain M&O] + ANMO[Access network domain M&O] + TNMO[Transport network domain M&O] + CNMO[Core network domain M&O] + + CDMO -- "SLO break down" --> ANMO + CDMO -- "SLO break down" --> TNMO + CDMO -- "SLO break down" --> CNMO + + ANMO -- "Inner domain SLO assurance" --> CDMO + TNMO -- "Inner domain SLO assurance" --> CDMO + CNMO -- "Inner domain SLO assurance" --> CDMO + + CDMO -- "Cross domain SLO assurance" --> CDMO + end +``` + +Figure 6-1: Overview of the architectural framework of end-to-end SLO guarantee. The diagram shows a flow from a Network slice customer to a Network slice provider, passing through an SLA (Service-Level-Agreement) and SLO (Configuration parameters). These parameters are then processed by Slice management and orchestration, which includes Cross domain M&O and three domain-specific M&O blocks (Access, Transport, Core). Cross domain SLO assurance is shown as a feedback loop from the domain M&O blocks back to Cross domain M&O. Inner domain SLO assurance is shown as feedback loops within each domain M&O block. + +**Figure 6-1 – Overview of the architectural framework of end-to-end SLO guarantee** + +NOTE – The scope of this Recommendation is to specify functionalities inside the system "slice management and orchestration". + +For SLO guarantee, the slice management and orchestration (M&O) system needs to achieve closed loop assurance, including cross-domain SLO guarantee and sub-domain inner SLO guarantee, based on the network status and QoE feedbacks of each domain, the slice management and orchestration conducts network configuration adjustments to ensure the users' service experience. + +The network slice provider (NSP) needs to take into account their customers' requirements in preparation and runtime phases of the network, which may include: + +- Supporting the service requirements of the customers. +- Identifying how slice M&O could guarantee SLO with AI-assisted capabilities. +- Supporting the SLO monitoring and guarantee. +- Identifying how to design the network slicing and the acceptance method before the network deployment. + +# **7 SLO guarantee mechanism** + +## **7.1 Requirements for end-to-end SLO break down** + +The slice M&O system is required to break down the SLO requirements into sub-domains, which include a set of attributes. These attributes can be performed by sub-domain M&Os (access network domain M&O, transport network domain M&O and core network domain M&O). + +For supporting the access network (AN) slice SLO, attributes in the access network are recommended to contain attributes including AN slice profile ID, maximum number of user equipment (UEs), maximum number of protocol data unit (PDU) sessions, maximum bit error ratio (BER), coverage area, delay, terminal mobility level and resource sharing level. + +For supporting the transport network (TN) slice SLO, attributes in the transport network are recommended to contain attributes including TN slice profile ID, guaranteed latency, guaranteed bandwidth, jitter, packet loss rate, recovery time and resource sharing level. + +For supporting the core network (CN) slice SLO, attributes in core network are recommended to contain attributes including CN slice profile ID, maximum number of UEs, maximum number of PDU sessions, service area, latency, key performance indicators (KPIs) for monitoring and resource sharing level. + +## **7.2 End-to-end SLO break down with AI-assisted analysis** + +The slice M&O will decompose the SLO into sub-domain SLOs, which represent the properties of the network slice related requirements that should be supported by a network slice instance. Some attributes of a SLO in sub-domain may be generated according to the related SLO requirements by the slice M&O, for example CN slice profile ID, AN slice profile ID, etc. Some attributes in a sub-domain may be inherited from the related slice M&O, for example, maximum number of UEs, maximum number of PDU sessions, guaranteed bandwidth of a network slice instance, etc. Some attributes in a sub-domain need to be broken down from slice M&O based on the properties of the sub-domain network slice instance, for example, guaranteed latency, packet loss rate, jitter, etc. When multiple network slices may be configured in the slice M&O, AI-assisted analysis and coordination of the allocation of the network slice resources is required. + +AI-assisted analysis as defined in [ITU-T Y.3156] can be introduced to enable the SLO guarantee of the slice M&O. + +The cross-domain M&O collects historical data from the sub-domain M&O, and the AI-assisted analysis can use AI/ML algorithms to analyse the relationship between the deployment information (e.g., service type, template information, resource characteristics, configuration parameters) and the SLO measurement data of sub-slice instances of access network, transport network and core network + +(e.g., delay, bandwidth, bit rate, number of UEs), so the expected SLO requirements can match the corresponding deployment information. The cross-domain M&O decides the optimal SLO mapping based on the AI-assisted analysis, and allocates the corresponding configuration result to the sub-domain M&O. + +## **7.3 SLO monitoring and guarantee** + +End-to-end network slice SLO monitoring is to support monitoring of the running status, security, faults and performance of the network slice, so as to provide network slice operation and maintenance, and network slice SLO predictions and guarantee control. + +Network slice SLO monitoring and guarantee includes the following aspects: + +### a) SLO monitoring and guarantee: + +The network slice SLO monitoring includes: + +- Monitoring of sub-domain performance attributes requirements specified in clause 7.1 and over-threshold setting of sub-domain performance; +- Monitoring of end-to-end performance attributes (e.g., end-to-end delay) which are calculated after receiving the measurement results of each sub-domain M&O, and over-threshold setting of end-to-end performance to generate real-time warning; +- Monitoring of warning and fault information of the sub-domain and end to end network slice; +- Monitoring of security by detecting attacks and risks. + +### b) SLO prediction and guarantee: + +The network slice SLO prediction includes: + +- Prediction of sub-domain performance attributes requirements specified in clause 7.1 and over-threshold setting of future sub-domain performance values; +- Prediction of end-to-end performance attributes, and over-threshold setting of future end to end performance to generate pre-warning; +- Prediction of fault information of the sub-domain and end to end network slice to trigger a failback or repair; +- Prediction of attack and risk behaviour to guarantee network security. + +# **8 SLO oriented network slicing design and acceptance** + +## **8.1 SLO oriented NS life cycle** + +SLO oriented network slice (NS) lifecycle management should be considered for IMT-2020 network. SLO acts on all phases of NS lifecycle procedures for the service level guarantee of an NS. + +A network slice instance (NSI) as defined in [ITU-T Y.3100], can be provided by network slice provider. [ITU-T Y.3154] introduces the lifecycle management of the NSI as shown in Figure 8-1. The lifecycle of the NSI conducts two process phases: + +- i) preparation phase; and +- ii) runtime management phase. + +![Figure 8-1 – Network slicing lifecycle procedure [ITU-T Y.3154]. The diagram shows two main phases: Preparation and Runtime management. The Preparation phase includes Services/products design, Template design, and Scalability/network resource design. The Runtime management phase includes Creation, Activation, In-service OAM, De-activation, and Termination. Arrows indicate the flow from Preparation to Runtime management, and a feedback loop from In-service OAM back to Scalability/network resource design.](d4af765160d04ecef538e5066006dc77_img.jpg) + +``` + +graph LR + subgraph Preparation + A[Services/products design] --> B[Template design] + C[Scalability/network resource design] + end + subgraph Runtime_management [Runtime management] + D[Creation] --> E[Activation] + E --> F[In-service OAM] + F --> G[De-activation] + G --> H[Termination] + end + B --> D + F --> C + +``` + +Y.3160(23) + +Figure 8-1 – Network slicing lifecycle procedure [ITU-T Y.3154]. The diagram shows two main phases: Preparation and Runtime management. The Preparation phase includes Services/products design, Template design, and Scalability/network resource design. The Runtime management phase includes Creation, Activation, In-service OAM, De-activation, and Termination. Arrows indicate the flow from Preparation to Runtime management, and a feedback loop from In-service OAM back to Scalability/network resource design. + +**Figure 8-1 – Network slicing lifecycle procedure [ITU-T Y.3154]** + +In the preparation phase, it is necessary to give feedback from the runtime management phase for achieving SLO guarantee. + +The preparation phase of network slicing is expected to include: + +- Services/products design: It may include design of service functions, service key performance indicators (KPIs) and their monitoring, control and management methods and billing abilities with consideration of the network slice providers' business predictions and cost trade-offs. The services/products design can be used to design a network slice, which can be selected in the service shelf by customers. +- Scalability/network resources design: It contributes to NS related network resource preparation. Scalability of the NS is relevant to the number of terminals, location and area, etc. The NS may be designed in accordance with different isolation requirements and resource occupancy. +- Template design: An NSP may provide a range of parameter values and a suggestion for a typical service by using pre-configurable templates to meet SLOs. + +In the preparation phase, the NSI will be designed based on the procedures of services/products design, template design and scalability/network resources design. + +In the runtime management phase, the NSP can provide the NSI to the NSC, and the NSI will go through the lifecycle of creation, activation, in-service operation and monitoring, de-activation and termination. + +## **8.2 SLO oriented NS design procedure** + +### **8.2.1 Key SLOs** + +In the preparation phase, the NSP should prepare network resources based on SLO requirements. Figure 8-2 shows the composition of key SLOs. + +![A hierarchical diagram showing the relationship between Key SLOs and their design components. 'Key SLO of in preparation' branches into 'Design of service/products' and 'Design of scalability/network resource'. 'Design of service/products' further branches into 'Service function', 'Service KPI', 'KQI monitor', and 'Billing ability'. 'Design of scalability/network resource' branches into 'Location and area' and 'Number of terminals'.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +``` + +graph LR + A[Key SLO of in preparation] --> B[Design of service/products] + A --> C[Design of scalability/network resource] + B --> D[Service function] + B --> E[Service KPI] + B --> F[KQI monitor] + B --> G[Billing ability] + C --> H[Location and area] + C --> I[Number of terminals] + +``` + +Y.3160(23) + +A hierarchical diagram showing the relationship between Key SLOs and their design components. 'Key SLO of in preparation' branches into 'Design of service/products' and 'Design of scalability/network resource'. 'Design of service/products' further branches into 'Service function', 'Service KPI', 'KQI monitor', and 'Billing ability'. 'Design of scalability/network resource' branches into 'Location and area' and 'Number of terminals'. + +**Figure 8-2 – Key SLOs in NS design** + +- Design of service/products refers to service/products requirements including functions, KPIs, key quality indicators (KQIs), monitoring and billing ability, etc. +- Design of scalability/network resources refers to the resource requirements of network location and the size, etc. + +In the runtime management phase, each NS service provided by an NSP will occupy specific network resource coordinated with services/products and the scalability in order to provide NS services to guarantee the SLO requirements. When the available resources cannot meet the assignment of the current NS design, the NSP should prepare more resources and optimize the resource allocation. + +### 8.2.2 Typical NS templates + +A series of service/product categories is composed of service shelves for NSCs to choose from. Each specific service/product should be related to some typical NS templates with different SLO attributes such as network type, customized resources and the attributes related to the service experience of NSCs. + +### 8.2.3 Monitor and evaluate the network resources + +In the process of run time management, the NSP should evaluate the usage of resources. This clause describes the process of monitoring and evaluating the network resources. + +For closed loop optimization, during the run time management phase, the result of monitoring and evaluation of the network resources should be feedback to the preparation phase, including service/products design and the scalability and resource design. If the resources cannot satisfy the SLO requirements, the NSI deployment will be refused or delayed until the resources are available. + +### 8.2.4 NS resources adaptive adjustment for conflict prevention + +Due to a burst in service demand of network slice customers, two or more network slices may request the same shared resources at a certain time. In order to ensure SLO of the network slices of high-priority services, slice resources need to be dynamically adjusted to prevent conflicts with network slices of low-priority services. The adaptive adjustment procedure is shown in Figure 8-3 + +![Sequence diagram showing the procedures of NS resources adaptive adjustment between NSC, NSP, and Slice management and orchestration components.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +``` + +sequenceDiagram + participant NSC + participant NSP + participant SMO as Slice management and orchestration + participant CDMO as Cross domain M&O + participant CNTNAN as CN/TN/AN domain M&O + participant AIA as AI-assisted analysis + + NSP->>CDMO: 0. Create NS monitoring request + CDMO-->>NSP: 1. NS SLO monitoring response + NSC->>NSP: 2. NS service demand change request + NSP->>CDMO: 3. NS resource adjustment request + CDMO->>AIA: + AIA->>CNTNAN: 4. Analyse the spike of traffic load and analyses the spike impact on SLO + CNTNAN->>AIA: 5. Redefines the slice priorities and analyses resource status + AIA->>CDMO: 6. Analysis of required and available resources, slice priorities + CDMO->>NSP: 7. Recalculates and decides NS resource allocation + CDMO->>CNTNAN: 8.1 NS resource reallocation policies + CNTNAN->>CNTNAN: 8.2 Policies mapping, validation, configuration and resource adjustment execution + CNTNAN-->>CDMO: 8.3 NS resource reallocation response + CDMO-->>NSP: 9. NS resource adjustment response + NSP-->>NSC: 10. NS service demand change result + +``` + +Y.3160(23) + +Sequence diagram showing the procedures of NS resources adaptive adjustment between NSC, NSP, and Slice management and orchestration components. + +**Figure 8-3 – Procedures of NS resources adaptive adjustment** + +Network slice providers (NSPs) can prevent NS resource conflicts by the following actions: + +- 0) NSP requests slice management and orchestration to create NS monitoring once the network slice (NS) service is created for NSC. +- 1) NSP continuously receives NS SLO monitoring results and evaluates NS resource usage through the monitoring procedure described in clause 7.3. +- 2) NSP receives a service change request from NSC (e.g., emergency live video, etc.) which will cause a sudden increase of resource demand and may cause network slices resource conflicts. +- 3) NSP sends the NS resource adjustment request to the cross-domain M&O, and the cross-domain M&O forwards an analysis request of resources to the AI-assisted analysis function defined in [ITU-T Y.3156]. +- 4) The AI-assisted analysis function detects and predicts the spike of traffic load in a specific zone, initiates NS resource adaptive adjustment analysis, and analyses if the spike will impact on the service delivery on whatever strict SLO is agreed. +- 5) The AI-assisted analysis function redefines the slice priorities based on NSC's requirements of each network slice and the agreed SLO to avoid the conflict, and analyses required and available resources for each network slice. +- 6) The AI-assisted analysis function sends the analysis results of network slice resources and priorities to the cross-domain management and orchestration function. + +- 7) The cross-domain management and orchestration function recalculates and decides NS resource allocation based on priority and analysis results, for NSs with higher priority, the policy will be scaling up/out resources, and for NSs with lower priority, the policy may be traffic control, admission control, etc. +- 8.1) The cross-domain management and orchestration function sends the NS resource reallocation policies to the single domain (e.g., AN/TN/CN) management and orchestration function. +- 8.2) The sub-domain management and orchestration function adjusts resources after mapping, validation and configuration based on the NS resource reallocation policies. +- 8.3) The sub-domain management and orchestration function responds the results of NS resource reallocation to the cross-domain M&O. +- 9) The slice management and orchestration function sends the NS resource adjustment response to NSP. +- 10) The NSP sends the notification of conflict prevention of the NS service demand change to the NSC. + +## 8.3 SLO oriented network acceptance process + +### 8.3.1 SLO oriented acceptance requirements + +Acceptance is a process conducted to determine if the requirements of a specification or contract are met. SLO oriented acceptance refers to the evaluate and guarantee process to determine if the NS capabilities delivered to customers in vertical industries meet the requirements of SLOs. The process shall be provided at the time of network delivery and during its runtime. Unlike individual users, the requirements of vertical industry customers are characterized by complex scenarios, diverse requirements and significant customization. Even different customers in the same industry may have different network functions and performance requirements. For instance, the rate should be a key attribute of the NS capability in the ultra HD video-on-demand scenarios. Ultra-low latency and ultra-high reliability should be the key attributes in V2X requirements. Low power consumption and coverage should be the key attributes in the massive IoT scenarios. SLO oriented network acceptance is therefore required. + +### 8.3.2 SLO oriented acceptance process in NS lifecycle + +After the preparation phase shown in Figure 8-1, the NS lifecycle procedure enters the runtime management phase in which the creation stage is expected to consist of two processes which are the building process and the acceptance process, as shown in Figure 8-4. The building process creates a NSI in which all resources to the NSI have been created and pre-configured to satisfy the network slice requirements. Acceptance process executes the final verification. The acceptance process includes acceptance testing, network commissioning and complete commissioning. The NS lifecycle procedure enters the activation stage after the stage of complete commissioning. + +![Figure 8-4: Composition of creation stage in NS lifecycle. The diagram shows a flow from 'Building' to 'General acceptance', which is further divided into 'Acceptance testing', 'Network-commissioning', and 'Complete commissioning'.](9ae17964ddd9b814c7d905b1af2fddf2_img.jpg) + +``` + +graph LR + subgraph Creation + Building[Building] --> AcceptanceTesting[Acceptance testing] + AcceptanceTesting --> NetworkCommissioning[Network-commissioning] + NetworkCommissioning --> CompleteCommissioning[Complete commissioning] + end + subgraph GeneralAcceptance [General acceptance] + AcceptanceTesting + NetworkCommissioning + CompleteCommissioning + end + +``` + +Y.3160(23) + +Figure 8-4: Composition of creation stage in NS lifecycle. The diagram shows a flow from 'Building' to 'General acceptance', which is further divided into 'Acceptance testing', 'Network-commissioning', and 'Complete commissioning'. + +**Figure 8- 4 – Composition of creation stage in NS lifecycle** + +- Acceptance testing: Successful completion of acceptance testing means the tested NS capabilities can meet customers' SLO requirements. + +- Network commissioning: In this step, a NSI is created and can be used for services. A set of key network attributes should be monitored in this step. +- Complete commissioning: When the monitored attributes can meet the SLO requirements and the network commissioning period is finished, the network slices can be delivered to the customers. + +# **9 Security considerations** + +The architectural framework of end-to-end service level objective assurance of IMT-2020 network includes AN, TN and CN that are subject to security and privacy measures. Security and privacy concerns should be aligned with the requirements specified in [ITU-T E.860], [b-ITU-T Y.3106] and [b-ITU-T Y.4051]. + +# Bibliography + +- [b-ITU-T Y.3106] Recommendation ITU-T Y.3106 (2019), *Quality of service functional requirements for the IMT-2020 network*. +- [b-ITU-T Y.4051] Recommendation Y.4051 (2019), *Vocabulary for smart cities and communities*. +- [b-ETSI ZSM 007] ETSI GS ZSM 007 V1.1.1 (2019), *Zero-touch network and Service Management (ZSM); Terminology for concepts in ZSM*. + + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | 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Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## **FUTURE NETWORKS** + +**Y.3000–Y.3499** + +## CLOUD COMPUTING + +Y.3500–Y.3999 + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3174 + +# Framework for data handling to enable machine learning in future networks including IMT-2020 + +## Summary + +Recommendation ITU-T Y.3174 describes a framework for data handling to enable machine learning in future networks including International Mobile Telecommunications (IMT)-2020. The requirements for data collection and processing mechanisms in various usage scenarios for machine learning in future networks including IMT-2020 are identified along with the requirements for applying machine learning output in the machine learning underlay network. Based on this, a generic framework for data handling and examples of its realization on specific underlying networks are described. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3174 | 2020-02-06 | 13 | 11.1002/1000/14134 | + +## Keywords + +Architecture, data handling, IMT-2020, machine learning, requirements, training. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|--------------------------------------------------------------------------------------------------|-------------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Introduction..... | 4 | +| 7 | High-level requirements for data handling ..... | 5 | +| | 7.1 High-level requirements ..... | 5 | +| | 7.2 High-level requirements for ML data output..... | 8 | +| | 7.3 High-level requirements for ML data processing..... | 9 | +| 8 | High-level framework for data handling ..... | 10 | +| | 8.1 Framework components and interfaces ..... | 10 | +| | 8.2 High-level architecture ..... | 13 | +| | 8.3 Sequence diagrams for ML data handling..... | 15 | +| 9 | Security considerations..... | 22 | +| | Appendix I – Example realizations of the data handling framework ..... | 23 | +| | Appendix II – Mapping of requirements and capabilities of cloud computing based big
data..... | 24 | +| | Bibliography..... | 27 | + + + +## Recommendation ITU-T Y.3174 + +# Framework for data handling to enable machine learning in future networks including IMT-2020 + +# 1 Scope + +This Recommendation provides a framework for data handling to enable machine learning (ML) in future networks including International Mobile Telecommunications (IMT)-2020. + +The scope of this Recommendation includes: + +- background and motivations; +- high-level requirements of data handling and data models (DMs); +- framework for data handling to enable ML in future networks including IMT-2020; +- guidelines and examples for usage of the framework in future networks including IMT-2020. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions, which, through reference in this text, constitute provisions of this deliverable. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this deliverable are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this deliverable does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3111] Recommendation ITU T Y.3111 (2017), *IMT-2020 network management and orchestration framework*. + +[ITU-T Y.3172] Recommendation ITU-T Y.3172 (2019), *Architectural framework for machine learning in future networks including IMT-2020*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 machine learning (ML)** [ITU-T Y.3172]: Processes that enable computational systems to understand data and gain knowledge from it without necessarily being explicitly programmed. + +NOTE 1 – Definition adapted from [b-ETSI GR ENI 004]. + +NOTE 2 – Supervised machine learning and unsupervised machine learning are examples of two types of machine learning. + +**3.1.2 machine learning function orchestrator (MLFO)** [ITU-T Y.3172]: A logical node with functionalities that manage and orchestrate the nodes in a machine learning pipeline. + +**3.1.3 machine learning overlay** [ITU-T Y.3172]: A loosely coupled deployment model of machine learning functionalities whose integration and management with network functions, are standardized. + +NOTE – A machine learning overlay aims to minimize interdependencies between machine learning functionalities and network functions using standard interfaces, allowing for parallel evolution of functionalities of the two. + +**3.1.4 machine learning pipeline** [ITU-T Y.3172]: A set of logical nodes, each with specific functionalities, that can be combined to form a machine learning application in a telecommunication network. + +NOTE – The nodes of a machine learning pipeline are entities that are managed in a standard manner and can be hosted in a variety of network functions [b-ITU-T Y.3100]. + +**3.1.5 machine learning sandbox** [ITU-T Y.3172]: An environment in which machine learning models can be trained, tested and their effects on the network evaluated. + +NOTE – A machine learning sandbox is designed to prevent a machine learning application from affecting the network, or to restrict the usage of certain machine learning functionalities. + +**3.1.6 machine learning underlay network** [ITU-T Y.3172]: A telecommunication network and its related network functions which interface with corresponding machine learning overlays. + +NOTE – An IMT-2020 network is an example of machine learning underlay network. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 application programming interface-generic:** A generic set of application programming interfaces for a machine learning data model (DM) to be used in a machine learning overlay and stored in a machine learning metadata store. + +**3.2.2 application programming interface-specific:** A specific set of application programming interfaces for a machine learning data model (DM) to be used by a machine learning underlay network. + +NOTE – Application programming interface-specific is used for specific operations on data in a machine learning underlay network (e.g., on collected data or on configuration management data in the underlay network). + +**3.2.3 machine learning database:** A component which stores data related to machine learning in the machine learning overlay. + +**3.2.4 machine learning data model:** The format which describes the data used for data handling in machine learning (ML) applications. + +NOTE 1 – An ML data model may specify the data exchanged between an ML overlay and an ML underlay network. + +NOTE 2 – An ML data model includes the data structures as well as a semantic description used while collecting data from an ML underlay network and while applying the ML output from the ML overlay to this ML underlay network. + +**3.2.5 machine learning data broker:** A component which maps machine learning data models (DMs) from a machine learning underlay network to source and sink nodes of a machine learning pipeline. + +**3.2.6 machine learning metadata store:** A component which stores machine learning data models (DMs) with their corresponding application programming interfaces. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-----------------------------------------------| +| AF | Application Function | +| AF-s | Simulated Application Function | +| API | Application Programming Interface | +| BDAP | Big Data Application Provider | +| BDIP | Big Data Infrastructure Provider | +| BDSU | Big Data Service User | +| CP | Control Plane | +| CSC | Cloud Service Customer | +| CSN | Cloud Service Partner | +| CSP | Cloud Service Provider | +| CU | Central Unit | +| DB | Database | +| DM | Data Model | +| DP | Data Provider | +| DU | Distributed Unit | +| IMT | International Mobile Telecommunications | +| KPI | Key Performance Indicator | +| MEC | Multi-Access Edge Computing | +| ML | Machine Learning | +| MLFO | Machine Learning Function Orchestrator | +| NF | Network Function | +| NF-s | Simulated Network Function | +| NFV | Network Functions Virtualisation | +| NFVO | Network Functions Virtualisation Orchestrator | +| NMS | Network Management Subsystem | +| RAN | Radio Access Network | +| SBA | Service Based Architecture | +| SDO | Standards Development Organization | +| SINK | Sink node | +| SO | Service Orchestrator | +| SRC | Source | +| UE | User Equipment | +| UP | User Plane | + +# 5 Conventions + +In this Recommendation, requirements are classified as follows: + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. +- The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, such requirements need not be present to claim conformance. +- The keywords "can optionally" and "may" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the NOP/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Introduction + +Machine learning (ML) is a significant trend in the industry. There is a broad agreement about the remarkable potential of ML to lead innovation, boost commerce and drive progress among leaders in the industry, academia and governments. IMT-2020 networks, featured by diverse services, e.g., mobile Internet, Internet of things, cloud computing and other types of communication, will lead to the growth of data traffic and to the need of handling large amounts of data in the network. [b-ITU-T Y.Sup.55] describes use cases where ML provides innovative and efficient solutions to problems in future networks including IMT-2020. A high-level architectural framework to enable ML in these future networks is also described in [ITU-T Y.3172]. + +The following three challenges are addressed in this Recommendation: + +- 1) various components in the network produce data with differing characteristics. This diversity in network data sources forms one of the biggest challenges to implement the architectural framework defined in [ITU-T Y.3172]; +- 2) future networks are expected to be more flexible and agile, and this may increasingly complicate the configurations of these networks. As examples, the introduction of flexible air interface, service-based architecture (SBA) [b-ETSI 129 500] and central unit (CU)/distributed unit (DU) disaggregated architecture into IMT-2020 networks enables agile deployments with richer configuration options. This increased flexibility and agility makes it challenging to enable the use of ML mechanisms in future networks including IMT-2020; +- 3) evolution of networking techniques has resulted in evolving sources of data together with a multiplicity of applicable network configuration parameters and policies. Adapting to the changes in future networks while preserving the quality of data needed for ML applications is a challenge. + +In this Recommendation, a data handling framework for enabling ML in future networks including IMT-2020 is provided to address these challenges. + +NOTE 1 – Clause 8 of this Recommendation provides for an explanation on how these challenges are addressed using this data handling framework. + +Building on the data handling reference points defined in [ITU-T Y.3172], the data handling framework for enabling ML in future networks including IMT-2020 includes ML data collection, ML data processing and ML data output. See Figure 6-1. + +![A triangle diagram representing the main concepts of data handling for ML. The top vertex is labeled 'ML data collection'. The bottom-left vertex is labeled 'ML data output'. The bottom-right vertex is labeled 'ML data processing'. Below the 'ML data processing' label is the identifier 'Y.3174(20)_F6-1'.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +A triangle diagram representing the main concepts of data handling for ML. The top vertex is labeled 'ML data collection'. The bottom-left vertex is labeled 'ML data output'. The bottom-right vertex is labeled 'ML data processing'. Below the 'ML data processing' label is the identifier 'Y.3174(20)\_F6-1'. + +**Figure 6-1 – Main concepts of data handling for ML** + +By analysing various use cases in [b-ITU-T Y.Sup.55], this Recommendation identifies a set of ML data collection requirements, ML data output requirements and ML data processing requirements. Then, taking into account these requirements, a framework for data handling is proposed for future networks including IMT-2020. The framework aims to solve the challenges previously listed and examples of realization of such a data handling framework for a specific underlay are described. + +NOTE 2 – Implementation of the data handling framework may use existing solutions enabled by cloud computing based big data capabilities [b-ITU-T Y.3600]. Appendix II describes such an implementation option. + +# **7 High-level requirements for data handling** + +By analysing use cases described in [b-ITU-T Y.Sup.55], the following high-level requirements for data handling are derived. + +### **7.1 High-level requirements** + +#### **7.1.1 Storage requirements in ML data collection** + +**REQ-ML-DH-001:** ML data collection is recommended to support the storage and management of collected data. + +**REQ-ML-DH-002:** ML data collection is required to support time synchronization of data from various sources (SRCs) [ITU-T Y.3172] and of output data to various sink nodes (SINKs) [ITU-T Y.3172]. + +NOTE 1 – Enabling time synchronization between SRCs and SINKs depends on the ML applications. + +**REQ-ML-DH-003:** It is recommended that, in case of applications where time synchronization is enabled between SRCs and SINKs, time synchronization is maintained in a persistent manner for data which is stored with timestamp in database. + +**REQ-ML-DH-004:** ML data collection is required to support transformation of data while passing data between different ML pipeline nodes. + +NOTE 2 – Examples of transformation include the mapping of data format between different DMs used in the various ML pipeline nodes and the pre-processing of data. + +**REQ-ML-DH-005:** ML data collection is required to be able to define data retention policies at granular level, in accordance with regulations and privacy laws. + +**REQ-ML-DH-006:** ML data collection is required to support run-time queries about data deletion or archiving. + +NOTE 3 – A human operator may be able to query for which data have been deleted and the reason for deletion, e.g., the data have no more relevance to the ML application. + +**REQ-ML-DH-007:** ML data collection is required to perform time sensitivity analysis of stored data. + +NOTE 4 – Time sensitivity analysis may indicate, e.g., whether the stored data are still valid after a period of time. + +**REQ-ML-DH-008:** ML data collection is required to perform location sensitivity analysis of stored data. + +NOTE 5 – Location sensitivity analysis may indicate, e.g., whether the stored data are valid to be used for an ML application with consideration of geographic locations. + +**REQ-ML-DH-009:** ML data collection is recommended to optimize the deletion and archiving of stored data. + +NOTE 6 – The optimization may be based on factors such as predictability of the data, relativity of the data, priority service data preservation and requirements of ML DMs. + +**REQ-ML-DH-010:** ML data collection is required to enable the use of archived data, information or context at different levels of an ML pipeline. + +**REQ-ML-DH-011:** ML data collection is required to support the ability to select the type of storage for data. + +NOTE 7 – The type of storage for data includes distributed and centralized storage. + +#### **7.1.2 ML-data-collection-level** + +**REQ-ML-DH-012:** ML data collection is recommended to be done at various levels in the network. + +NOTE 1 – Examples of network levels include access network network management systems (NMSs) and core networks. + +NOTE 2 – Data collection may be automated in order to maximize the integration of ML pipelines and network elements. + +**REQ-ML-DH-013:** ML data collection is recommended to enable the use of application programming interfaces (APIs) for collecting data for ML and applying ML data output over the various levels in the network. + +**REQ-ML-DH-014:** ML data collection is required to support the collection of data from the operator hosted network functions (NFs) or from outside the operator hosted network functions. + +NOTE 3 – Data sourced from outside the operator-hosted network functions may include channel measurement data and environmental data obtained from probes and sensors. + +NOTE 4 – Environmental data may include position estimation, e.g., from a global positioning system (GPS), external network detection information and information obtained from users, e.g., propagation environment, three dimensional (3D) maps transmitter and receiver location; reflectors and scatters, material electromagnetic (EM) properties, surface roughness and propagation mechanisms. + +NOTE 5 – Additional examples of data sourced from outside the operator-hosted network include user equipment (UE) and base station (BS) location and location/mobility predictions, e.g., GPS or channel information inferred distance and angular information, geo-tag traffic data with additional context information, e.g., cell identifier (Cell ID), number of antennas and spatial information. + +#### **7.1.3 ML-data-collection-timing** + +**REQ-ML-DH-015:** ML data collection is required to support diverse frequencies of data collection including continuous data collection. + +**REQ-ML-DH-016:** ML data collection is required to support real-time collection of large volumes of traffic. + +#### **7.1.4 ML-data-collection-statistics** + +**REQ-ML-DH-017:** ML data collection is required to support collection of real-time statistics. + +NOTE – Examples of real-time statistics include network performance data, current number of UEs and traffic speed of the UEs, radio bearer (RB) utilization of current cell and neighbour cell, the number of radio resource control (RRC) connections requests in current cell and neighbour cell and physical and virtual resource status. + +#### **7.1.5 ML-data-collection-data model** + +**REQ-ML-DH-018:** ML data collection is required to support a variety of structures and characteristics for the collected data. + +NOTE 1 – Examples of structures include geographic location, events, alarms and log files. + +NOTE 2 – The structure of data may depend on the type of ML underlay networks and ML applications. + +**REQ-ML-DH-019:** ML data collection is required to support the dynamic addition of SRCs associated with new data models. + +**REQ-ML-DH-020:** ML data collection is required to support the collection of simulated data. + +**REQ-ML-DH-021:** ML data collection is required to be able to reuse existing interfaces to input data from network functions in the underlying networks. + +**REQ-ML-DH-022:** ML data collection is required to support the capability to use application-specific data model. + +NOTE 3 – An application function (AF) may support specific data models for output of data and input of configurations into the AF. The AF and the specific data model may be specified in the ML intent. + +**REQ-ML-DH-023:** ML data collection is recommended to support the capability to use stored knowledge [b-ITU-T Y.Sup.55] derived from real and simulated environments. + +NOTE 4 – Data may be generated by simulators in an ML sandbox for training of ML models. This can generate knowledge that can be used in a real network deployment of the ML pipeline. + +**REQ-ML-DH-024:** ML data collection is recommended to support collection of data related to network resource status and network topology. + +NOTE 5 – This capability may be used for the correlation with alarms and events. + +**REQ-ML-DH-025:** ML data collection is recommended to record the metadata related to each session of data collection. + +NOTE 6 – Examples of such metadata are location of measurement, system configuration parameters such as antenna parameters, multiple input multiple output (MIMO) mode, frequency band, transmit power and bandwidth. + +**REQ-ML-DH-026:** ML data collection is required to support performance counters and key performance indicators (KPIs) collected from the network functions at the radio access, transport and core network levels. + +NOTE 7 – This may include data from network slices at various levels. Network state data may include cell identification, number of users per cell, number of handovers per cell, etc. + +**REQ-ML-DH-027:** ML data collection is required to include the ability to collect user plane (UP) data along with relevant metadata. + +NOTE 8 – Examples of metadata are protocol fields, 5-tuple (IP source address, IP destination address, source port, destination port and protocol) and network topology. + +#### 7.1.6 ML-data-collection-specification + +**REQ-ML-DH-028:** ML data collection is required to have the ability to be configured by network operator policies. + +**REQ-ML-DH-029:** ML data collection is required to be controlled by the specification of ML applications. + +NOTE 1 – The specification of ML applications may include: a) latency criteria bounding the ML data collection, which influence the positioning of the related data handling components; (b) the overhead of training, e.g., minimum sample size, which influences the size of data collected for training. + +**REQ-ML-DH-030:** ML data collection is required to be done securely, based on the ML application's requirements. + +**REQ-ML-DH-031:** ML data collection is required to comply with all regulations while optimizing the size of collected data. + +NOTE 2 – Examples of optimization methods for the size of collected data are compression and quantization. + +**REQ-ML-DH-032:** ML data collection is required to understand and report the overhead of training for ML applications. + +NOTE 3 – The report may include the estimation of latency and resource requirements to transfer, receive and store information and training data across the network. + +### 7.2 High-level requirements for ML data output + +#### 7.2.1 ML-data-output-levels + +**REQ-ML-DH-033:** ML data output is recommended to have the ability to be applied at the different phases of the network design, operation and management. + +**REQ-ML-DH-034:** ML data output is required to have the ability to be applied to network functions at any levels. + +NOTE 1 – ML data output may be applied to network functions in, e.g., multi-access edge computing (MEC), access network (AN), core network (CN), gNB, NMS, and central and edge servers including their adaptive real time configurations. + +NOTE 2 – ML data output may be used, for example, for proactive resource allocation, optimized handovers, predictive caching, advanced energy saving schemes, transmission control protocol (TCP) window decision model, TCP packet transmission rate and scheduling of UEs among different cells. + +NOTE 3 – ML data output may be used for automatic recovery actions. + +**REQ-ML-DH-035:** ML data output may be applied using a variety of structures and characteristics of parameters in the ML underlay networks. + +**REQ-ML-DH-036:** ML data output is required to reuse existing standard protocols while applying the output across multiple levels and to different underlay technologies, wherever possible. + +**REQ-ML-DH-037:** ML data output is required to support abstraction of network configuration where needed and hence enable it to be applied at various granularities of network levels. + +NOTE 4 – Configuration may be done at AN level or CU or DU level. Correspondingly the parameters and interfaces need to be adapted and the right level of abstraction and interface needs to be applied. + +**REQ-ML-DH-038:** ML data output is required to support efficient management of network resources. + +NOTE 5 – ML data output may interface with, e.g., the cloud orchestrator in network slice resource management [ITU-T Y.3111]. + +#### 7.2.2 ML-output-data model + +**REQ-ML-DH-039:** ML data output is required to be able to reuse existing interfaces to configure the NFs in the underlying networks. + +**REQ-ML-DH-040:** ML data output is recommended to support adaptive real-time network configuration. + +NOTE 1 – ML data output may include, e.g., information for proactive resource allocation, optimized handovers, predictive caching and advanced energy saving schemes. + +**REQ-ML-DH-041:** ML data output is required to interface with the NMS for network configuration management. + +NOTE 2 – ML data output may include, e.g., an indication to the NMS whether to perform cell splitting/merging and choose a related set of configuration parameters in order to balance the UEs connected to the radio access network (RAN) managed by the NMS. + +**REQ-ML-DH-042:** ML data output is required to support dynamic addition of SINKs with new schemas for configuration. + +NOTE 3 – Schemas are unknown at design time and revealed at run-time. + +NOTE 4 – As an example, ML output may lead to tagging the user-plane packets. + +**REQ-ML-DH-043:** ML data output is recommended to be used for optimizing the performance of the network. + +NOTE 5 – As an example, optimizing the performance may include scaling-in or scaling-out of network resources. + +#### 7.2.3 ML-output-policy + +**REQ-ML-DH-044:** ML data output is required to be controlled by network operator policies. + +**REQ-ML-DH-045:** ML data output is required to be done securely. + +**REQ-ML-DH-046:** ML data output is required to maintain its integrity and consistency when applied to NFs in underlying networks and not be affected by the methods used in managing ML data collection, ML data processing and ML data output. + +#### 7.2.4 ML-output-timing + +**REQ-ML-DH-047:** ML data output is required to be bounded by the latency criteria which are specified by ML applications. + +**REQ-ML-DH-048:** ML data output is required to support real-time configuration in the underlying network. + +NOTE 1 – ML data output may interface with NFs that perform real time processing, e.g., the BS scheduler. + +NOTE 2 – Real time configuration depends on the capabilities exposed by the NFs in the ML underlay. + +### 7.3 High-level requirements for ML data processing + +#### 7.3.1 ML-processing-models + +**REQ-ML-DH-049:** ML data processing is required to use a data model which is general and underlying technology agnostic to manipulate data used in different network management and operation systems. + +#### 7.3.2 ML-processing-data + +**REQ-ML-DH-050:** ML data processing is required to support the analysis and learning of a large volume of data. + +**REQ-ML-DH-051:** ML data processing is recommended to use data sets from simulated or live ML underlay networks for training. + +**REQ-ML-DH-052:** ML data processing is required to be done securely. + +#### 7.3.3 ML-processing-levels + +**REQ-ML-DH-053:** ML data processing may be hosted at various levels in the network. + +#### 7.3.4 ML-processing-KPI + +**REQ-ML-DH-054:** ML data processing is required to optimize size of collected data. + +**REQ-ML-DH-055:** ML data processing is required to be bounded by the latency criteria specified by ML applications. + +**REQ-ML-DH-056:** ML data processing is required to understand and report the overhead of training for ML applications. + +## 8 High-level framework for data handling + +This clause describes a high-level framework for data handling which supports the requirements defined in clause 7. This includes the description of the framework components and sequence diagrams for data handling operations. + +Building on the high-level architecture framework of [ITU-T Y.3172], the data handling framework enables the use of DMs for ML functionalities and corresponding APIs which are independent of the (technology-specific) underlay networks in the following two ways: + +- 1) Data models published by standards development organizations (SDO) or industry bodies can be used where available. These data models can be referred in the ML intent and can be downloaded from repositories, e.g., ML model repositories which host ML models trained using data which follows these data models. Generally, by reusing published data models where available, the need for defining new data models for ML is reduced and above all, allows training of ML models based on such data models, before they are deployed in the ML pipeline. See Figure 8-3 below. +- b) Data models specific to implementations may be referred in the ML intent. These data models can be downloaded from corresponding repositories, e.g., ML model repositories which host ML models. This option gives network operators the flexibility to use such unpublished data models to train ML models. See Figure 8-5 below. + +The identified data model and corresponding APIs have to be mapped to the data used in the technology-specific underlay networks. Appendix I gives examples of applying the data handling framework on technology-specific underlay networks. + +### 8.1 Framework components and interfaces + +This clause describes the high-level architectural components of the data handling framework for enabling the machine learning in future networks including IMT-2020. Integration of such components to an ML underlay network by interfacing with NFs, along with the placement of the ML functionalities, forms the data handling framework. + +Figure 8-1 shows the high-level architectural components of the data handling framework. + +![Figure 8-1: High-level architectural components of the data handling framework. The diagram shows a Management subsystem (MLFO, ML intent, DM and API-s specifications) interacting with an ML overlay (MLDB, DBr-CP, ML metadata store subsystem, ML pipeline subsystem). The ML pipeline subsystem includes SRC and SINK nodes with DBr-UP components. The ML overlay is connected to ML underlay networks (NF, AF) and Simulated ML underlay networks (NF-s, AF-s).](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +The diagram illustrates the high-level architectural components of the data handling framework. It is organized into several layers and subsystems: + +- Management subsystem:** Contains 'Other management and orchestration functions' and the 'MLFO' (Machine Learning Function Orchestrator). It receives 'ML intent' and 'DM and API-s specifications' as input. +- ML overlay:** This layer contains: + - MLDB:** Machine Learning Database. + - DBr-CP:** Data Broker Control Plane. + - ML metadata store subsystem:** Contains 'DM and API-g specifications'. + - ML pipeline subsystem:** Contains 'SRC' (Source) and 'SINK' nodes, each with a 'DBr-UP' (Data Broker User Plane) component. A red curved arrow indicates a feedback loop between SRC and SINK. +- ML underlay networks:** Consists of 'NF' (Network Functions) and 'AF' (Application Functions). +- Simulated ML underlay networks:** Consists of 'NF-s' (Simulated Network Functions) and 'AF-s' (Simulated Application Functions). + +The MLFO interacts with the ML pipeline subsystem via the MLDB and DBr-CP. The ML pipeline subsystem interacts with the ML underlay networks and Simulated ML underlay networks. + +Y.3174(20)\_F8-1 + +Figure 8-1: High-level architectural components of the data handling framework. The diagram shows a Management subsystem (MLFO, ML intent, DM and API-s specifications) interacting with an ML overlay (MLDB, DBr-CP, ML metadata store subsystem, ML pipeline subsystem). The ML pipeline subsystem includes SRC and SINK nodes with DBr-UP components. The ML overlay is connected to ML underlay networks (NF, AF) and Simulated ML underlay networks (NF-s, AF-s). + +**Figure 8-1 – High-level architectural components of the data handling framework** + +#### 8.1.1 Reused components defined in ITU-T Y.3172 + +The following three high-level architectural components defined in [ITU-T Y.3172] are reused in the data handling framework: + +- 1) **ML sandbox:** an environment in which machine learning models can be trained, tested and their effects on the network evaluated; + +NOTE 1 – Simulated ML underlay networks are a part of ML sandbox. + +NOTE 2 – Even though it is not shown in Figure 8-1, an ML sandbox can be used in combination with data handling framework to train and test machine learning models in the network. This is achieved by using ML pipeline deployment in the ML sandbox, simulated ML underlay networks and data handling reference points 1 and 2 as shown in Figure 4 in [ITU-T Y.3172]. + +- 2) **ML pipeline:** a machine learning pipeline is a set of logical nodes, each with specific functionalities, that can be combined to form a machine learning application in a telecommunication network. In particular, the ML pipeline includes the following nodes: + - **SRC:** this node is the source of data that can be used as input to the ML pipeline. + - **SINK:** this node is the target of the ML output, on which it takes action. + +NOTE 3 – The newly defined data handling architectural component data broker user plane (DBr-UP) is instantiated in SRC and SINK nodes to map the data from and to the ML underlay networks. An instance of DBr-UP in SRC and SINK maps API-s (via reference point 4) to API-g used in DMs in the ML pipeline subsystem and vice versa. + +- 3) **MLFO:** a machine learning function orchestrator (MLFO) is a logical node with functionalities that manage and orchestrate the nodes in a machine learning pipeline. + +#### 8.1.2 Newly defined data handling architectural components + +##### 8.1.2.1 ML metadata store + +The ML metadata store is an architectural component which stores the DMs usable in the network for ML applications. DM specifications present in the ML metadata store may have companion API specifications denoted as API-g as shown in Figure 8-2. + +The purpose of such DMs includes application management, resource management and network management. DMs can be standardized or may be implemented with extensions and specific customizations. While specifying the ML applications, the use case designer can re-use any such standard DM, but the following challenges remain: + +- 1) vendor implementations of such DMs in the ML underlay networks may differ; +- 2) a given ML application may need access to data from multiple levels used within ML underlay networks (e.g., core network, access network, management plane). It is also possible that a given ML application may need access to data from varied ML underlay networks. Thus, a unified view of DMs is needed for machine learning use cases. + +The DMs specified for management purposes may not be sufficient for ML applications, nor be applicable to ML applications. In such cases, additional effort may be required to enable and map DMs from ML underlay networks to the ML DMs used in the ML overlay. Hence the DMs and corresponding API-g to be used for the ML applications are stored in the ML metadata store. + +NOTE – The DMs stored in an ML metadata store are used as abstractions for data used across domains and across ML underlay networks for enabling ML applications. Specifications of DMs where available (e.g., from SDOs such as 3rd Generation Partnership Project (3GPP), Open Radio Access Network (O-RAN) Alliance, TM Forum (TMF)), may be imported and reused from ML model repositories. + +##### 8.1.2.2 API-g + +The API-g is an architectural component which represents the API for a machine learning DMs to be used in a machine learning (ML) overlay. By defining it, ML data processing can be implemented without depending on the underlay specific DM. DBr-UP maps the API-g to the API-s which is specific to ML underlay networks. + +NOTE 1 – API-g is defined by ML application provider and provided as a service by the ML pipeline. API-g depends on the DM used in the ML application. It also depends on the data used by the ML model which is used in the ML application. ML application provider specifies the DM to be used for the ML application, trains the ML model in the ML sandbox accordingly and then provisions the ML DM in the ML metadata store. + +NOTE 2 – Trained ML models may be then published in ML model repositories. + +##### 8.1.2.3 API-s + +The API-s is an architectural component which represents the API which has to be used towards corresponding ML underlay networks. API-s is used by DBr-UP, in conjunction with API-g, to map the generic API to the specific APIs of ML underlay networks. + +NOTE 1 – API-s is defined by ML underlay network provider and provided as a service by the SRC and SINK nodes, i.e., instantiated in these ML pipeline nodes. API-s depends on the DM used in the ML underlay network. It also depends on the application which uses such data in the ML underlay network. e.g., the ML underlay network specifies the DM to be used for the management application, provisions the element manager or virtualised network functions manager (VNFM) accordingly and then provisions the DM in the ML database, and lastly provisions third party management applications like operations support system/business support system (OSS/BSS), orchestrators. Hence the DMs and corresponding API-s to be used towards the ML underlay network are stored in the management subsystem. + +API-s may be implemented as loadable modules based on the API definitions exposed by the ML underlay networks. Interworking between the data broker (DBr-UP) and the NF in the ML underlay network may use API-s. + +NOTE 2 – In many cases, the mapping of DM used in the ML overlay to the DM used in the ML underlay is implementation-dependent. This mapping has to be handled by the ML data broker (DBr-UP) using API-s. + +NOTE 3 – Instantiation of DBr-UP and API-s may follow the same approach as for SRC and SINK nodes as mentioned in REQ-ML-INT-003 in [ITU-T Y.3172]. + +##### **8.1.2.4 ML data broker control plane** + +The ML data broker control plane (DBr-CP) is an architectural component supporting functionalities of an ML data broker which controls the mapping of data between an ML underlay network to SRC nodes of an ML pipeline and also the ML data output from SINK nodes of the ML pipeline to the ML underlay network. This control is managed by the MLFO. DBr-CP is responsible for configuring involved DBr-UPs based on the decisions taken by the MLFO regarding the DM and corresponding mapping to ML underlay networks. This architectural component uses interface 5.3 towards MLFO. + +##### **8.1.2.5 ML data broker user plane** + +The ML data broker user plane (DBr-UP)s is an architectural component which facilitates the use of appropriate API-s towards the ML underlay network functions and maps the incoming data from the ML underlay network functions to the ML DM used in the ML overlay. + +NOTE – The location of a given DBr-UP in a technology specific underlay network may depend on the constraints specified in the ML intent by the ML application designer. For example, data inputs for a given ML application may be coming from AN, CN or MEC platforms, and correspondingly, the location of required DBr-UPs can be determined by the MLFO so that the data requirements including latency budgets can be met by the ML underlay networks. + +##### **8.1.2.6 ML database** + +The ML database (DB) is an architectural component providing storage support for data used for ML applications. This storage may be used for sharing data between various architectural components of the data handling framework. The schema of data storage may depend on the ML application and the components that are exchanging the data. The ML DB component interfaces with MLFO using reference point 5.1. MLFO may control the interfaces (API-g and API-s), DMs used by the ML DB for storage of data and the optimization of storage capacity using reference point 5.1. + +NOTE – The ML DB implementation may use a distributed or centralized approach. + +#### **8.1.3 Data handling framework supporting aspects** + +##### **8.1.3.1 ML model repository** + +This is a repository of machine learning models. + +NOTE – The ML model repository may contain metadata which points to the DMs used for training a given ML model. + +### **8.2 High-level architecture** + +Figure 8-2 shows the high-level architecture of the data handling framework. This architecture builds upon the architectural components described in clause 8.1. + +![Figure 8-2: High-level architecture of the data handling framework. The diagram shows a Management subsystem (MLFO, ML DB, ML metadata store subsystem, ML pipeline subsystem) interacting with ML underlay networks and Simulated ML underlay networks. Reference points 1, 2, 4, 6, 6.1, 7, 10, 11, 11.1, 11.2, 11.3 are indicated.](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +The diagram illustrates the high-level architecture of the data handling framework. It is divided into several main components: + +- Management subsystem:** Contains 'Other management and orchestration functions' and the 'MLFO' (Management Function Orchestrator). It interacts with 'ML intent' and 'DM and API-s specifications' via reference point 6. The MLFO is connected to the 'ML DB' (reference point 11.1), 'ML metadata store subsystem' (reference point 11.2), and 'DBr-CP' (reference point 11.3). It also has a bidirectional connection with 'Other management and orchestration functions' via reference point 7. +- ML overlay:** Contains the 'ML metadata store subsystem' (with 'DM and API-g specifications') and the 'ML pipeline subsystem'. The ML pipeline subsystem includes 'SRC' (Source) and 'Sink' nodes, each with a 'DBr-UP' (Data Bridge User Plane) component. The ML overlay is connected to the 'ML model repository' via reference point 10. +- ML underlay networks:** Consist of 'NF' (Network Functions) and 'AF' (Application Functions). They are connected to the ML pipeline subsystem via reference point 4. +- Simulated ML underlay networks:** Consist of 'NF-s' (Simulated Network Functions) and 'AF-s' (Simulated Application Functions). They are connected to the ML pipeline subsystem via reference point 6.1. + +Reference points 1 and 2 are used for data handling between simulated ML underlay networks and the ML overlay. Reference point 4 is used for data handling between ML underlay networks and the ML overlay. Reference point 6.1 is used for data handling between simulated ML underlay networks and the ML overlay. Reference point 7 is used for the interface between the MLFO and the data handling components in the ML overlay. Reference point 10 is used for the interface between the MLFO and the ML model repository. Reference point 11 is used for the interface between the MLFO and the data handling components in the ML overlay. + +Figure 8-2: High-level architecture of the data handling framework. The diagram shows a Management subsystem (MLFO, ML DB, ML metadata store subsystem, ML pipeline subsystem) interacting with ML underlay networks and Simulated ML underlay networks. Reference points 1, 2, 4, 6, 6.1, 7, 10, 11, 11.1, 11.2, 11.3 are indicated. + +Y.3174(20)\_F8-2 + +**Figure 8-2 – High-level architecture of the data handling framework** + +The data handling framework uses the ML intent to understand the nature of the ML applications including the DMs to be used. While this helps in setting up the initial data handling reference points (e.g., with SRC and SINK nodes), the dynamic changes in the ML underlay networks are indicated by orchestrators of these ML underlay networks to the MLFO via the reference point 7 in [ITU-T Y.3172]. The MLFO in turn uses reference point 5 in [ITU-T Y.3172] to adapt the data handling framework components to handle the changes in the ML underlay networks. Examples of such changes include provisioning of new services in the ML underlay network (triggered by the service orchestrator (SO)) or changes in the topology (triggered by the virtualised infrastructure manager (VIM)). The interface to orchestrator via reference point 7 allows the data handling framework to adapt to such changes in the ML underlay. An example scenario of addition of a new SRC is described in Figure 8-3. + +The high-level architecture depicted in Figure 8-2 uses the reference points described as follows: + +- reference points 1 (for SINK), and 2 (for SRC) defined in [ITU-T Y.3172] are used as data handling reference points between simulated ML underlay networks and ML overlay; + +NOTE 1 – This reference point uses API-s which provides the interface for the DM specified by the simulated ML underlay network. + +- reference point 4 defined in [ITU-T Y.3172] is used as the data handling reference point between ML underlay networks and ML overlay; + +NOTE 2 – This reference point uses API-s which provides the interface for the DM specified by the ML underlay network. + +- reference point 11 serves as the interface between the MLFO and the data handling components in the ML overlay. This reference point is further decomposed as follows: + - reference point 11.1 is used between the MLFO and the ML DB. This reference point supports the requirements under ML-data-collection-storage in clause 7.1. In addition, + +as mentioned in clause 8.1.2.6, this reference point is used to provision the ML DB with the DMs and to manage the optimizations in the data storage; + +- reference point 11.2 is used between the MLFO and the ML metadata store. This reference point is used by the MLFO for querying and managing DMs in the ML metadata store; + - reference point 11.3 is used between the MLFO and the DBr-CP. This reference point is used by the MLFO for controlling the mapping of data between the ML underlay networks and the ML overlay. This control is performed by the MLFO through the use of data broker sessions. The selected DM and the API-s to be used towards the ML underlay networks are signalled by the MLFO to the DBr-CP using reference point 5.3. +- reference point 6 defined in [ITU T Y.3172] as the interface between the MLFO and ML sandbox subsystem is decomposed here as point 6.1. Reference point 6.1 is used between MLFO and simulated ML underlay networks; + - reference point 7 defined in [ITU T Y.3172] is used as the interface between the MLFO and the management and orchestration functions of ML underlay networks, e.g., those defined in [ITU-T Y.3111]; + - reference point 10 is between the ML model repository and ML metadata store. It is used to transfer ML DMs. + +NOTE 3 – Only the reference points between the components of the data handling framework are shown, e.g., those between the ML pipeline nodes are not shown in Figure 8-2. + +NOTE 4 – As discussed in [ITU-T Y.3172], ML pipeline can be used in an ML sandbox or in the live network. In both cases, the subsystems for data handling are the same. Hence Figure 8-2 depicts these deployments of ML pipeline, irrespective of they are ML sandbox or live network, in a common manner and are not shown separately in the figure. + +### **8.3 Sequence diagrams for ML data handling** + +This clause illustrates the interaction between the framework components for various scenarios in the form of sequence diagrams. + +#### **8.3.1 Instantiation of data handling framework** + +Figures 8-3-a and 8-3-b describe the instantiation of a data handling framework. + +![Sequence diagram for Figure 8-3-a: Instantiation of a data handling framework (part a). The diagram shows interactions between MLFO, DBr-CP, SRC, SINK, ML metadata store, ML underlay network, ML DB, and ML pipeline. Key steps include: 1. ML intent (MLFO to ML pipeline), 2. DM lookup request (MLFO to ML metadata store), 3. DM lookup response (ML metadata store to MLFO), 4. Create DBr-session (MLFO to DBr-CP), 5. Provision DM request (DBr-CP to SRC), 6. Create DBr-UP instance (DBr-CP to SRC), 7. Provision DM response (SRC to DBr-CP), 8. Provision DM request (DBr-CP to SINK), 9. Create DBr-UP instance (DBr-CP to SINK), 10. Provision DM response (SINK to DBr-CP). A sub procedure 'Create ML pipeline' spans from step 4 to step 10. A 'Provision NF' box is shown between ML metadata store and ML underlay network.](e69b9188aa2c14ec6b21c83f711fef65_img.jpg) + +Y.3174(20)\_F8-3a + +Sequence diagram for Figure 8-3-a: Instantiation of a data handling framework (part a). The diagram shows interactions between MLFO, DBr-CP, SRC, SINK, ML metadata store, ML underlay network, ML DB, and ML pipeline. Key steps include: 1. ML intent (MLFO to ML pipeline), 2. DM lookup request (MLFO to ML metadata store), 3. DM lookup response (ML metadata store to MLFO), 4. Create DBr-session (MLFO to DBr-CP), 5. Provision DM request (DBr-CP to SRC), 6. Create DBr-UP instance (DBr-CP to SRC), 7. Provision DM response (SRC to DBr-CP), 8. Provision DM request (DBr-CP to SINK), 9. Create DBr-UP instance (DBr-CP to SINK), 10. Provision DM response (SINK to DBr-CP). A sub procedure 'Create ML pipeline' spans from step 4 to step 10. A 'Provision NF' box is shown between ML metadata store and ML underlay network. + +**Figure 8-3-a – Instantiation of a data handling framework (part a)** + +![Sequence diagram for Figure 8-3-b: Instantiation of data handling framework (part b). The diagram shows interactions between MLFO, DBr-CP, SRC, SINK, ML metadata store, ML underlay network, ML DB, and ML pipeline. Key steps include: 11a. Provision DM request (DBr-CP to ML DB), 11b. Provision DM request (DBr-CP to ML pipeline), 12a. Provision DM response (ML DB to DBr-CP), 12b. Provision DM response (ML pipeline to DBr-CP), 13. Create DBr-session response (DBr-CP to MLFO), 14. Data via API-s (SRC to ML underlay network), 15a. Data via API-g (SRC to ML DB), 15b. Data via API-g (SRC to ML pipeline), 16. Data storage (ML DB to ML pipeline), 17. ML output via API-g (ML pipeline to SINK), 18. ML output via API-s (SINK to ML underlay network). A dashed box labeled '16. Data storage' is shown between ML DB and ML pipeline.](d53cd0fd1cf896a9353fd63de1505ba2_img.jpg) + +Y.3174(20)\_F8-3b + +Sequence diagram for Figure 8-3-b: Instantiation of data handling framework (part b). The diagram shows interactions between MLFO, DBr-CP, SRC, SINK, ML metadata store, ML underlay network, ML DB, and ML pipeline. Key steps include: 11a. Provision DM request (DBr-CP to ML DB), 11b. Provision DM request (DBr-CP to ML pipeline), 12a. Provision DM response (ML DB to DBr-CP), 12b. Provision DM response (ML pipeline to DBr-CP), 13. Create DBr-session response (DBr-CP to MLFO), 14. Data via API-s (SRC to ML underlay network), 15a. Data via API-g (SRC to ML DB), 15b. Data via API-g (SRC to ML pipeline), 16. Data storage (ML DB to ML pipeline), 17. ML output via API-g (ML pipeline to SINK), 18. ML output via API-s (SINK to ML underlay network). A dashed box labeled '16. Data storage' is shown between ML DB and ML pipeline. + +**Figure 8-3-b – Instantiation of data handling framework (part b)** + +NOTE 1 – It is assumed that the ML underlay network has been provisioned with necessary NFs according to the network operator's procedures, e.g., commissioning of base station. + +NOTE 2 – In case the ML underlay network is a simulated one, the ML pipeline is assumed to be in the ML sandbox and used for training and testing. In case the ML underlay network is a live network (not simulated), + +then the ML pipeline is assumed to be in the ML overlay and used for inference in the network. The sequence diagrams shown in Figures 8-3-a and 8-3-b include the following steps: + +- 1) the ML intent is provided as input to the MLFO. This includes the data elements to be used in the ML application, the DM which is proposed (if any) and any other inputs to the MLFO; +- 2) using reference point 11.2, the MLFO looks up in the ML metadata store, the DM which satisfies the requirements of the ML application; +- 3) the ML metadata store responds through reference point 11.2 with a DM that matches to the ML application requirements. + +NOTE 3 – In this flow, it is assumed that a match is found with a standard DM and that therefore the message "DM lookup response" in Figure 8-3-a contains a reference to that standard DM. The case where no match is found handled in Figure 8-5. + +NOTE 4 – At this point, an ML pipeline is created under the control of the MLFO as per the specification of the ML application. This includes the instantiation of all the required ML pipeline nodes as specified in [ITU-T Y.3172]. + +- 4) the MLFO interacts with the DBr-CP using reference point 11.3 to create a session for the ML application. In the Create DBR-session request sent to the DBr-CP, the MLFO provides information about the DM to be used and the address of the SRC and SINK nodes. In case there are multiple SRCs and/or SINKs, timing synchronization requirements between them may be also specified by the MLFO in this step. Any latency constraints for the ML application in terms of data collection or configuration is used at this stage to configure the DBr-CP accordingly; +- 5) the DBr-CP interacts with the SRC node to provision the DM using the internal reference point 8. This interaction also allows loading the associated API-g to the SRC node; +- 6) after the receipt of the "Provision DM request", the SRC node creates a DBr-UP instance. This step also instantiates the corresponding API-s to be used towards the ML underlay network. This step is also used to configure the characteristics of the data collection, e.g., periodicity and storage characteristics; +- 7) following the creation of the DBr-UP instance, the SRC node sends a confirmation response message to the DBr-CP. The response message may include the characteristics of the created DBr-UP instance, e.g., the overhead introduced by the DBr-UP instance in terms of latency; +- 8) the DBr-CP interacts with the SINK node to provision the DM using the internal reference point 8. This step also instantiates the associated API-g in the SINK node; +- 9) after the receipt of the "Provision DM request", the SINK node creates a DBr-UP instance. This step also instantiates the corresponding API-s to be used towards the ML underlay network; +- 10) following the creation of the DBr-UP instance, the SINK node sends a confirmation response message to the DBr-CP. The response message may include the characteristics of the created DBr-UP instance, e.g., the overhead introduced by the DBr-UP instance in terms of latency; +- 11) step 11 includes two parts (not shown separately). First, in step 11a, the DM is provisioned by the MLFO in the ML DB so that any storage of data received from the SRC node using API-g can be done (cf. step 15 a). This step provisions also the metadata regarding policies and lifetime for the data stored in the ML DB. Second, in step 11b: the DM is provisioned in the ML pipeline so that any processing of data received from the SRC node(s) can be done in the ML pipeline (cf. step 15b); + +- 12) step 12 includes two parts (shown separately). In step 12a, the ML DB sends a "Provision DM" confirmation response back to the DBr-CP. In step 12b, the ML pipeline sends a "Provision DM" confirmation response back to the DBr-CP; +- 13) at this point, the DBr-CP may have an estimate of the overhead, e.g., the overhead introduced by the data handling (cf. indications potentially received from DBr-UP instances in steps 7 and 10). This estimation may be optionally provided to the MLFO via the "Create DBr Session" response; +- 14) data specific to the ML underlay networks starts arriving at the SRC node via API-s; +- 15) the DBr-UP instance in the SRC node maps the received data received to API-g (communicated by MLFO in step 5). This step involves: + - step 15a: the SRC node optionally sends the received data via API-g to the ML DB for storing; + - step 15b: the SRC node sends the received data via API-g to the next node in the ML pipeline. +- 16) the ML DB stores any received data according to policies communicated by the MLFO in step 11. This is an optional step; +- 17) the ML pipeline uses API-g provided by the MLFO (cf. step 8) to provide the ML output data to the SINK node; +- 18) the DBr-UP instance in the SINK node maps the received ML output data to the ML underlay network using API-s. + +#### 8.3.2 Addition of new SRC in data handling framework + +Figures 8-4-a and 8-4-b describe the addition of a new SRC node in the data handling framework. + +![Sequence diagram Figure 8-4-a showing the addition of a new SRC node. Participants from left to right: MLFO, DBr-CP, New SRC, Existing SRC, ML metadata store, ML underlay network, ML DB, and ML pipeline. 1. ML Intent modification (MLFO to ML metadata store). 2. DM Lookup request (MLFO to ML metadata store). 3. DM Lookup response (ML metadata store to MLFO). A box 'Provision new NF' sits between ML metadata store and ML underlay network. A large blue box 'Sub procedure: Modify ML pipeline' spans all participants. 4. Modify DBr-session (MLFO to DBr-CP). 5. Provision DM request (DBr-CP to New SRC). 6. Create DBr-UP instance (internal to New SRC). 7. Provision DM response (New SRC to DBr-CP). 8a. Provision DM request (DBr-CP to ML DB). 8b. Provision DM request (DBr-CP to ML pipeline). 9a. Provision DM response (ML DB to DBr-CP). 9b. Provision DM response (ML pipeline to DBr-CP).](ae53f90bb87d6d09e2d6b5278d7c338f_img.jpg) + +``` + +sequenceDiagram + participant MLFO + participant DBr-CP + participant New SRC + participant Existing SRC + participant MLMS as ML metadata store + participant MLUN as ML underlay network + participant MLDB as ML DB + participant MLP as ML pipeline + + MLFO->>MLMS: 1. ML Intent modification + MLFO->>MLMS: 2. DM Lookup request + MLMS-->>MLFO: 3. DM Lookup response + + Note over MLMS, MLUN: Provision new NF + + rect rgb(200, 225, 255) + Note over MLFO, MLP: Sub procedure: Modify ML pipeline + MLFO->>DBr-CP: 4. Modify DBr-session + DBr-CP->>New SRC: 5. Provision DM request + Note over New SRC: 6. Create DBr-UP instance + New SRC-->>DBr-CP: 7. Provision DM response + DBr-CP->>MLDB: 8a. Provision DM request + DBr-CP->>MLP: 8b. Provision DM request + MLDB-->>DBr-CP: 9a. Provision DM response + MLP-->>DBr-CP: 9b. Provision DM response + end + +``` + +Y.3174(20)\_F8-4a + +Sequence diagram Figure 8-4-a showing the addition of a new SRC node. Participants from left to right: MLFO, DBr-CP, New SRC, Existing SRC, ML metadata store, ML underlay network, ML DB, and ML pipeline. 1. ML Intent modification (MLFO to ML metadata store). 2. DM Lookup request (MLFO to ML metadata store). 3. DM Lookup response (ML metadata store to MLFO). A box 'Provision new NF' sits between ML metadata store and ML underlay network. A large blue box 'Sub procedure: Modify ML pipeline' spans all participants. 4. Modify DBr-session (MLFO to DBr-CP). 5. Provision DM request (DBr-CP to New SRC). 6. Create DBr-UP instance (internal to New SRC). 7. Provision DM response (New SRC to DBr-CP). 8a. Provision DM request (DBr-CP to ML DB). 8b. Provision DM request (DBr-CP to ML pipeline). 9a. Provision DM response (ML DB to DBr-CP). 9b. Provision DM response (ML pipeline to DBr-CP). + +**Figure 8-4-a – Addition of new SRC in data handling framework (part a)** + +![Sequence diagram showing the addition of a new SRC in the data handling framework. The diagram involves nine participants: MLFO, DBr-CP, SINK, New SRC, Existing SRC, ML metadata store, ML underlay network, ML DB, and ML pipeline. The sequence of steps is: 10. MLFO sends 'Modify DBr session response' to DBr-CP. 11. Existing SRC sends 'Data via API-s' to New SRC. 12a. Existing SRC sends 'Data via API-g' to ML DB. 12b. Existing SRC sends 'Data via API-g' to ML pipeline. 13. Data storage (dashed box) in ML DB. 14. Existing SRC sends 'Data via API-s' to New SRC. 15a. Existing SRC sends 'Data via API-g' to ML DB. 15b. Existing SRC sends 'Data via API-g' to ML pipeline. 16. Data storage (dashed box) in ML DB. 17. Aggregation (dashed box) in ML pipeline. 17. New SRC sends 'ML output via API-g' to SINK. 18. New SRC sends 'ML output via API-s' to ML underlay network.](7133ccf78043568ca62ecbcd43628a4a_img.jpg) + +``` + +sequenceDiagram + participant MLFO + participant DBrCP as DBr-CP + participant SINK + participant NewSRC as New SRC + participant ExistingSRC as Existing SRC + participant MLMS as ML metadata store + participant MLUN as ML underlay network + participant MLDB as ML DB + participant MLP as ML pipeline + + MLFO->>DBrCP: 10. Modify DBr session response + ExistingSRC->>NewSRC: 11. Data via API-s + ExistingSRC-->>MLDB: 12a. Data via API-g + ExistingSRC-->>MLP: 12b. Data via API-g + Note over MLDB: 13. Data storage + ExistingSRC->>NewSRC: 14. Data via API-s + ExistingSRC-->>MLDB: 15a. Data via API-g + ExistingSRC-->>MLP: 15b. Data via API-g + Note over MLDB: 16. Data storage + Note over MLP: 17. Aggregation + NewSRC->>SINK: 17. ML output via API-g + NewSRC->>MLUN: 18. ML output via API-s + +``` + +Y.3174(20)\_F8-4b + +Sequence diagram showing the addition of a new SRC in the data handling framework. The diagram involves nine participants: MLFO, DBr-CP, SINK, New SRC, Existing SRC, ML metadata store, ML underlay network, ML DB, and ML pipeline. The sequence of steps is: 10. MLFO sends 'Modify DBr session response' to DBr-CP. 11. Existing SRC sends 'Data via API-s' to New SRC. 12a. Existing SRC sends 'Data via API-g' to ML DB. 12b. Existing SRC sends 'Data via API-g' to ML pipeline. 13. Data storage (dashed box) in ML DB. 14. Existing SRC sends 'Data via API-s' to New SRC. 15a. Existing SRC sends 'Data via API-g' to ML DB. 15b. Existing SRC sends 'Data via API-g' to ML pipeline. 16. Data storage (dashed box) in ML DB. 17. Aggregation (dashed box) in ML pipeline. 17. New SRC sends 'ML output via API-g' to SINK. 18. New SRC sends 'ML output via API-s' to ML underlay network. + +**Figure 8-4-b – Addition of new SRC in data handling framework (part b)** + +**NOTE 1** – As prerequisites, it is assumed that the data handling framework is already instantiated as shown in Figures 8-3-a and 8-3-b. It is also assumed that the NF which acts as a new source of data has been provisioned in the ML underlay network as per network operator procedures. + +The sequence diagrams shown in Figures 8-4-a and 8-4-b include the following steps: + +- 1) the modified ML intent is provided as input to the MLFO. This ML intent includes the data elements to be used in the new SRC node and the suggested DM to be used; +- 2) the MLFO queries the ML metadata store for a DM which satisfies the requirements of the new SRC node; +- 3) the ML metadata store responds with a DM which matches the requirements communicated by the MLFO; + +**NOTE 2** – In this flow, it is assumed that a match is found with a standard DM and that therefore the message "DM lookup response" in Figure 8-4-a contains a reference to that standard DM. The case where no match is found handled in Figure 8-5. + +- 4) the MLFO interacts with the DBr-CP to modify the established session for the ML application. It provides the new DM to be used as well as the address of the new SRC node to be added; + +**NOTE 3** – The ML pipeline is assumed to be modified using another procedure, which is not detailed here. This procedure may involve changes in the chaining of ML pipeline nodes to include the new SRC node. + +- 5) the DBr-CP interacts with the new SRC node to provision the ML DM. This step also instantiates the corresponding API-g; +- 6) a DBr-UP instance is created in the new SRC node. This step also instantiates the corresponding API-s to be used towards the ML underlay network; + +**NOTE 4** – It is assumed that there are no other changes in the ML underlay network except the addition of a new NF which acts as new SRC node in the ML overlay. + +- 7) the new SRC node sends a response to the DBr-CP upon creation of the DBr-UP instance. This message may include the characteristics of the created DBr-UP instance, e.g., the overhead introduced by this instance in terms of latency; +- 8) the DM for the new SRC node is provisioned in the framework. + - step 8a: this may include provisioning DM in the ML DB so that any storage of data can be done (cf. step 15a). This includes the metadata regarding policies and lifetime; + - step 8b: this may also include provisioning DM in the ML pipeline (cf. step 15b). +- 9) in step 9a, the ML DB sends a confirmation response back to the DBr-CP. In step 9b, the ML pipeline sends a confirmation response back to the DBr-CP; +- 10) at this point the DBr-CP may have an estimate of the new overhead, e.g., the overhead introduced by the newly created DBr-UP instance in terms of latency, introduced by the new SRC node in data handling. This estimate may optionally be given to the MLFO via the "Modify DBr Session" response; +- 11) data specific to the ML underlay network starts arriving at the new SRC node via API-s; +- 12) the DBr-UP instance in the new SRC node maps the received data to the API-g. This involves: + - step 12a: optionally sending the data to ML DB for storing; + - step 12b: sending the data to the next node in the ML pipeline from the SRC. +- 13) the ML DB stores any data according to the data retention policies. This is an optional step; +- 14) data specific to the ML underlay network continues arriving at the other already active/running SRC nodes via API-s; +- 15) the DBr-UP instances in the other already active/running SRC nodes map received data to the API-g. This involves: + - step 15a: optionally sending the data to ML DB for storing; + - step 15b: sending the data to the next node in the ML pipeline from the SRC. +- 16) the ML DB stores any data according to the data retention policies. This is an optional step; +- 17) the ML pipeline uses API-g provided by the MLFO (cf. step 8) to provide the ML output data to the SINK node; +- 18) the DBr-UP instance in the SINK node maps the received ML output data to the ML underlay network using API-s. + +#### 8.3.3 DM not present in the ML metadata store + +Figure 8-5 describes the scenario where the ML intent refers to a new DM which is used by the ML application, but the DM is not known to the ML metadata store. + +![Sequence diagram showing the interaction between MLFO, ML metadata store, ML pipeline in ML sandbox, Simulated underlay network, and ML underlay network. The diagram illustrates a process starting with an ML Intent, followed by a DM Lookup request and failure response, model selection, training pipeline creation, data handling framework instantiation, model evaluation and monitoring, and finally inference pipeline creation and data handling framework instantiation on the underlay network.](aaf3e6e44cdeabd6d1df869c5f392ea1_img.jpg) + +``` + +sequenceDiagram + participant MLFO + participant ML_metadata_store as ML metadata store + participant ML_pipeline as ML pipeline in ML sandbox + participant Simulated_underlay_network as Simulated underlay network + participant ML_underlay_network as ML underlay network + + MLFO->>MLFO: 1. ML Intent (new data model) + MLFO->>ML_metadata_store: 2. DM Lookup request + ML_metadata_store-->>MLFO: 3. DM Lookup (failure) response + MLFO->>MLFO: 4. Select ML model + MLFO->>ML_pipeline: 5. Sub procedure: Create ML pipeline for training (ML sandbox) + MLFO->>ML_pipeline: 6. Sub procedure: Instantiate data handling framework (ML sandbox) + MLFO->>ML_pipeline: 7. Sub procedure: Evaluate ML model + MLFO->>ML_pipeline: 8. Monitor ML model request + ML_pipeline-->>MLFO: 9. Monitor ML model response + MLFO->>ML_pipeline: 10. Evaluate ML model + MLFO->>ML_underlay_network: 11. Sub procedure: Create ML pipeline for inference (ML underlay) + MLFO->>ML_underlay_network: 6. Sub procedure: Instantiate data handling framework (ML underlay) + +``` + +Sequence diagram showing the interaction between MLFO, ML metadata store, ML pipeline in ML sandbox, Simulated underlay network, and ML underlay network. The diagram illustrates a process starting with an ML Intent, followed by a DM Lookup request and failure response, model selection, training pipeline creation, data handling framework instantiation, model evaluation and monitoring, and finally inference pipeline creation and data handling framework instantiation on the underlay network. + +Y.3174(20)\_F8-5 + +**Figure 8-5 – DM not known in the ML metadata store** + +The sequence diagram shown in Figure 8-5 includes the following steps: + +- 1) the SRC in the ML intent uses a new DM (not present in the ML metadata store); +- 2) the MLFO queries the ML metadata store for the DM; +- 3) a DM lookup failure response is sent by the ML metadata store; + +NOTE 1 – The case of lookup failure is considered in this scenario to handle the situation where the DM is not present in the ML metadata store. + +- 4) based on the requirements provided in the ML intent and the characteristics of the input data from the SRC for the ML application, the MLFO selects an untrained ML model; +- 5) the MLFO creates an ML pipeline in the ML sandbox for training; +- 6) a data handling framework is deployed in the ML sandbox by the MLFO (i.e., according to the sequence diagram described in clause 8.3.1). + +NOTE 2 – This step results in the simulated ML underlay network generating data which is used for training the model. + +- 7) a procedure for monitoring and evaluating the ML model is started. This may involve the following three steps: + - a) the MLFO monitors the ML model in the ML sandbox according to the requirements in the ML intent; + - b) the ML pipeline in the ML sandbox provides a reporting of the monitored parameters; + - c) the output from the monitoring is used to evaluate the ML model. +- 8) based on the evaluation, an ML pipeline is deployed on the ML underlay network. This deployment includes the trained ML model in the ML pipeline; + +- 9) a data handling framework is instantiated on the ML underlay network (i.e., according to the sequence diagram described in clause 8.3.1). + +# **9 Security considerations** + +The security considerations specified in [ITU-T Y.3172] are also applicable to this Recommendation. Additional specific security considerations are provided in the requirements clause of this Recommendation. + +## Appendix I + +### Example realizations of the data handling framework + +(This appendix does not form an integral part of this Recommendation.) + +Figure I.1 gives an example of realization of the data handling framework described in this Recommendation on an IMT-2020 network [b-ITU-T Y.3104] and [ITU-T Y.3111]. + +![Figure I.1: Example of realization in an IMT-2020 network. The diagram illustrates the architecture of an IMT-2020 network with ML components. It is divided into four main sections: User equipment (UE), Access network (AN), Core network (CN), and ML overlay/Management subsystem. The Core network (CN) is further divided into Control plane and User plane. The ML overlay contains an ML pipeline with API-g, ML metadata store, and ML DB. The Management subsystem contains MLFO, DBr-UP, API-s, and SINK. The Access network (AN) contains DBr-CP and DBr-UP. The Core network (CN) contains CEF, NFR, PCF, USM, AF, NACF, NSSF, ASF, and SMF. The User plane contains SRC, SINK, and UPF. The Control plane contains DBr-UP, API-s, and DBr-CP. The diagram shows data flows: UE-AN data transport, RP-an, RP-tn, RP-su, RP-au, and RP-ud. The diagram is labeled Y.3173(20)_Fl.1.](474a819357587e34949a3e110ff19b30_img.jpg) + +Y.3173(20)\_Fl.1 + +Figure I.1: Example of realization in an IMT-2020 network. The diagram illustrates the architecture of an IMT-2020 network with ML components. It is divided into four main sections: User equipment (UE), Access network (AN), Core network (CN), and ML overlay/Management subsystem. The Core network (CN) is further divided into Control plane and User plane. The ML overlay contains an ML pipeline with API-g, ML metadata store, and ML DB. The Management subsystem contains MLFO, DBr-UP, API-s, and SINK. The Access network (AN) contains DBr-CP and DBr-UP. The Core network (CN) contains CEF, NFR, PCF, USM, AF, NACF, NSSF, ASF, and SMF. The User plane contains SRC, SINK, and UPF. The Control plane contains DBr-UP, API-s, and DBr-CP. The diagram shows data flows: UE-AN data transport, RP-an, RP-tn, RP-su, RP-au, and RP-ud. The diagram is labeled Y.3173(20)\_Fl.1. + +**Figure I.1 – Example of realization in an IMT-2020 network** + +The example of realization is represented in the following manner: The positions of the ML database (ML DB), ML data broker components (i.e., DBr-CP and DBr-UP), ML metadata store and API-s and API-g are illustrated along with the underlay network. + +Taking the load balance and cell splitting/merging use case as an example, the SRC, DBr-UP and DBr-CP can be deployed in the radio access network, the ML metadata store and the ML DB in the ML overlay and the MLFO in the management subsystem. To facilitate the ML learning enabled load balance and cell splitting and merging, load prediction and mobility prediction are needed. The well-defined DMs for the 3GPP network functions can be imported in the ML metadata store. SRC and SINK to be used for this ML application are specified by the ML intent input to the MLFO. The MLFO looks up the ML metadata store to check whether the required DMs exist. If yes, the MLFO creates a data broker session for this ML application. After the MLFO has instantiated the DBr-UP and DBr-CP, the SRC node collects data from the radio access network via API-s and the corresponding data are provided to the ML pipeline deployed in the ML overlay via API-g. The ML data output for these ML applications, e.g., cell reselection parameters and/or handover parameters, are delivered to the SINK nodes in the ML pipeline via API-g and then to radio access networks via API-s. + +## Appendix II + +### Mapping of requirements and capabilities of cloud computing based big data + +(This appendix does not form an integral part of this Recommendation.) + +The roles in cloud computing based big data system context are defined in [b-ITU-T Y.3600] such as: + +- cloud service partner (CSN):data provider (DP) (CSN:DP); +- cloud service provider (CSP):big data infrastructure provider (CSP:BDIP); +- CSP:big data application provider (CSP:BDAP); +- cloud service customer (CSC):big data service user (CSC:BDSU). + +![Diagram of Cloud computing based big data system context showing roles, sub-roles, and activities.](7d2d1d3870cd224c4430d19334557716_img.jpg) + +The diagram illustrates the cloud computing based big data system context, showing the flow of data and services between three main entities: Cloud service partner (CSN), Cloud service provider (CSP), and Cloud service customer (CSC). + +- Cloud service partner (CSN):** Contains the role **CSN: Data provider** with activities: Generate data, Publish data, and Brokerage data. +- Cloud service provider (CSP):** Contains two sub-roles: + - CSP: Big data application provider** (Sub-role) with activities: Visualize data and Analyse data. + - CSP: Big data infrastructure provider** (Sub-role) with activities: Perform data collection, Provide data pre-processing, Perform data storage, Manage data protection, Provide data integration, and Manage data provenance. +- Cloud service customer (CSC):** Contains the role **CSC: Big data service user** with activity: Use big data service. + +**Data Flow:** + +- Raw data** flows from CSN to CSP. +- Processed data** flows from CSP to CSN. +- Big data services** flow from CSP to CSC. +- Raw data** flows from CSC to CSP. + +**Legend:** + +- Role: Rectangle +- Sub-role: Hexagon +- Activity: Oval + +Y.3174(20)\_Fil.1 + +Diagram of Cloud computing based big data system context showing roles, sub-roles, and activities. + +NOTE – Taken from Figure 7-1 in [b-ITU-T Y.3600] + +**Figure II.1 – Cloud computing based big data system context** + +[b-ITU-T Y.3600] also defines the activities for the above listed roles. The data provider (CSN:DP) includes data generation, data publishing and data brokerage activities. The cloud service provider (CSP) has two sub-roles for big data analytics (CSP:BDAP) and infrastructure (CSP:BDIP). The big data service user (CSC:BDSU) is the end-user or is a system that uses the results or services from the CSP. + +Table I.5 – Mobile network user behaviour big data analysis in [b-ITU-T Y.3600] describes a use case for cloud computing in support of big data, specifically in a mobile network. It further describes the possible scenarios of telecom operators to setup big data analytics in their network. Telecom operators can set up a private big data infrastructure using cloud computing technologies or use services provided by a cloud service provider: big data infrastructure provider (CSP:BDIP) and build big data application services or use services provided by a cloud service provider: big data application provider (CSP:BDAP). Telecom operators could also act as a big data service customer, using that for providing value-added services to end-users. + +In case of the scenario described above, depending on the agreements with the CSP, telecom operators could choose to use the high-level architecture framework for ML in future networks including IMT-2020 as described in [ITU-T Y.3172] and the data handling framework described in this document, to support the roles and activities of CSN:DP, CSP:BDIP, CSP:BDAP and CSC:BDSU. This will facilitate the use of standardised ML pipeline based architecture and reference points described in [ITU-T Y.3172] for deployment scenarios described in Table I-5 of [b-ITU-T Y.3600]. Thus, the telecom operator is able to use a uniform architecture in case of deployments of ML pipeline in future networks including IMT-2020, as well as cloud computing based big data analysis. + +Figure II.2 provides an example of instantiation of data handling framework for ML in a cloud computing based big data environment under agreement between a CSP and a telecom operator. In such deployments, reference point 4 could use the data handling framework described in this Recommendation. + +![Figure II.2: Example of instantiation of data handling framework for ML in cloud computing based big data. The diagram shows a Management subsystem on the left, connected via reference points 11 and 5 to a dashed box labeled 'ML overlay instantiation by Telecom operator'. This box contains three main components: CSN:DP, CSP:BDIP, and CSP:BDAP. CSN:DP receives 'DPI data' from a 'Telecom operator' and connects to CSP:BDIP via reference point 4. CSP:BDIP includes SRC, DBr-UP, ML DB, ML metadata store, and DBr-CP. It performs data collection, storage, integration, and provides data pre-processing and provenance management. CSP:BDIP connects to CSP:BDAP via an upward arrow. CSP:BDAP includes Visualize data and Analyse data components, with an 'ML Pipeline' indicated by a red arrow. CSP:BDAP connects to CSC:BDSU via an upward arrow. CSC:BDSU includes a SINK and DBr-UP, which connects to a 'Telecom operator' via reference point 4. An 'Analysis result' is sent from CSC:BDSU to CSP:BDAP. The Management subsystem contains 'Other management and orchestration functions', 'MLFO', and 'DM and API-s specifications'.](dcf37c460c66ec011dbe6ca08de44ff9_img.jpg) + +Figure II.2: Example of instantiation of data handling framework for ML in cloud computing based big data. The diagram shows a Management subsystem on the left, connected via reference points 11 and 5 to a dashed box labeled 'ML overlay instantiation by Telecom operator'. This box contains three main components: CSN:DP, CSP:BDIP, and CSP:BDAP. CSN:DP receives 'DPI data' from a 'Telecom operator' and connects to CSP:BDIP via reference point 4. CSP:BDIP includes SRC, DBr-UP, ML DB, ML metadata store, and DBr-CP. It performs data collection, storage, integration, and provides data pre-processing and provenance management. CSP:BDIP connects to CSP:BDAP via an upward arrow. CSP:BDAP includes Visualize data and Analyse data components, with an 'ML Pipeline' indicated by a red arrow. CSP:BDAP connects to CSC:BDSU via an upward arrow. CSC:BDSU includes a SINK and DBr-UP, which connects to a 'Telecom operator' via reference point 4. An 'Analysis result' is sent from CSC:BDSU to CSP:BDAP. The Management subsystem contains 'Other management and orchestration functions', 'MLFO', and 'DM and API-s specifications'. + +Y.3174(20)\_FII.1 + +**Figure II.2 – Example of instantiation of data handling framework for ML in cloud computing based big data** + +Table II.1 provides a mapping of functionalities between the data handling framework for ML described in this Recommendation and the services provided by cloud computing based big data. + +NOTE – The mapping assumes that telecom operator buys cloud services from CSP and builds and/or customizes the ML pipeline and data handling based on the terms of agreement with the CSP. + +**Table II.1 – Functionality mapping between data handling framework and cloud computing based big data** + +| Functionality in this Recommendation | Mapping to terminology and services in cloud computing based big data | +|---------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| ML underlay network | For the purposes of ML applications, telecom operators' networks would function as ML underlay networks.
The activities of CSN:DP and CSC:BDSU are mapped to the network functions that correspond to SRC nodes and SINK nodes for ML output, respectively. | +| DBr-UP | The activities of the CSP:BDAP and CSP:BDIP can be mapped to these functionalities, e.g., collecting data, storing data, integrating data, data analysis and data management. | +| API-s | | +| ML DB | | +| DBr-CP | | +| API-g | | +| ML metadata store | CSN:DP acts as the corresponding functionality in the cloud computing based big data. The meta-information registry, a catalogue for searching usable data, can be used for building the ML metadata store. | +| MLFO, reference point 5 [ITU-T Y.3172] and reference point 11 | It is expected that the service orchestrator in the CSP:BDAP can support the MLFO functionalities and can use reference points 5 and 11 to manage the ML overlay components and data handling components, respectively. | +| Reference point 4 [ITU-T Y.3172] | The data interfaces between the CSN:DP, the CSP:BDAP and the CSC:BDSU, which are used for the transfer of raw data, processed data and big data services, are mapped to the reference point 4. | + +## Bibliography + +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3104] Recommendation ITU-T Y.3104 (2018), *Architecture of the IMT-2020 network*. +- [b-ITU-T Y.3600] Recommendation ITU-T Y.3600 (2015), *Big Data-Cloud computing based requirements and capabilities*. +- [b-ITU-T Y.Sup.55] Supplement 55 to ITU-T Y-series Recommendations (2019), *ITU-T Y.3170-series – Machine learning in future networks including IMT-2020: Use cases*. +- [b-ETSI 129 500] ETSI TS 129 500 V15.0.0 (2018-07) 5G; 5G System; *Technical Realization of Service Based Architecture*. +- [b-ETSI GR ENI 004] ETSI GR ENI 004 V1.1.1 (2018), *Experiential Networked Intelligence (ENI); Terminology for Main Concepts in ENI*. +- [b-3GPP 23501] 3rd Generation Partnership Project; *Technical Specification Group Services and System Aspects; System Architecture for the 5G System; Stage 2 (Release 16)*. +- [b-3GPP 38201] 3rd Generation Partnership Project; *Technical Specification Group Radio Access Network; NR; Physical layer; General description*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3176-202009-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3176-202009-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..dcf96756d3658aff71ad77ee1f91cdceebcadc54 --- /dev/null +++ b/marked/Y/T-REC-Y.3176-202009-I_PDF-E/raw.md @@ -0,0 +1,1147 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.3176 + +(09/2020) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Future networks + +# --- **Machine learning marketplace integration in future networks including IMT-2020** + +Recommendation ITU-T Y.3176 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## **FUTURE NETWORKS Y.3000–Y.3499** + +### CLOUD COMPUTING Y.3500–Y.3599 + +### BIG DATA Y.3600–Y.3799 + +### QUANTUM KEY DISTRIBUTION NETWORKS Y.3800–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3176 + +# Machine learning marketplace integration in future networks including IMT-2020 + +## Summary + +Recommendation ITU-T Y.3176 provides high-level requirements and the architecture for integrating machine learning (ML) marketplaces in future networks including IMT-2020. Based on these requirements, the Recommendation describes the architecture for the integration of ML marketplaces is taking into account the architectural framework in Recommendation ITU-T Y.3172 as a basis. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3176 | 2020-09-29 | 13 | 11.1002/1000/14402 | + +## Keywords + +Architecture, federation, future networks, IMT-2020, life-cycle, machine learning, management, marketplace, model, network functions, requirements. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Introduction ..... | 3 | +| 7 High-level requirements for ML marketplace integration..... | 4 | +| 7.1 ML model metadata related requirements..... | 4 | +| 7.2 ML marketplace related requirements..... | 5 | +| 8 Architecture for ML marketplace integration..... | 6 | +| 8.1 Architecture framework components ..... | 7 | +| 8.2 Reference points ..... | 7 | +| 8.3 Sequence diagrams ..... | 17 | +| 9 Security Considerations ..... | 22 | +| Bibliography..... | 23 | + + + +# Recommendation ITU-T Y.3176 + +# Machine learning marketplace integration in future networks including IMT-2020 + +# 1 Scope + +This Recommendation provides high-level requirements and the architecture for integration of ML marketplaces in future networks including IMT-2020. + +The scope of this Recommendation includes: + +- The main motivations and challenges related to ML marketplace integration in networks, +- High level requirements of ML marketplace integration, +- Architecture for the integration of ML marketplaces in networks. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. + +[ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. + +[ITU-T Y.3172] Recommendation ITU-T Y.3172 (2019), *Architectural framework for machine learning in future networks including IMT-2020*. + +[ITU-T Y.3174] Recommendation ITU-T Y.3174 (2020), *Framework for data handling to enable machine learning in future networks including IMT-2020*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 machine learning (ML)** [ITU-T Y.3172]: Processes that enable computational systems to understand data and gain knowledge from it without necessarily being explicitly programmed. + +NOTE 1 – Definition adapted from [b-ETSI GR ENI 004]. + +NOTE 2 – Supervised machine learning and unsupervised machine learning are two examples of machine learning types. + +**3.1.2 machine learning database** [ITU-T Y.3174]: A component which stores data related to machine learning in the machine learning overlay. + +**3.1.3 machine learning function orchestrator (MLFO)** [ITU-T Y.3172]: A logical node with functionalities that manage and orchestrate the nodes in a machine learning pipeline. + +**3.1.4 machine learning model** [ITU-T Y.3172]: Model created by applying machine learning techniques to data to learn from. + +NOTE 1 – A machine learning model is used to generate predictions (e.g., regression, classification, clustering) on new (untrained) data. + +NOTE 2 – A machine learning model may be encapsulated in a deployable fashion in the form of a software (e.g., virtual machine, container) or hardware component (e.g., IoT device). + +NOTE 3 – Machine learning techniques include learning algorithms (e.g., learning the function that maps input data attributes to output data). + +**3.1.5 machine learning pipeline** [ITU-T Y.3172]: A set of logical nodes, each with specific functionalities, that can be combined to form a machine learning application in a telecommunication network. + +NOTE – The nodes of a machine learning pipeline are entities that are managed in a standard manner and can be hosted in a variety of network functions [b-ITU-T Y.3100]. + +**3.1.6 machine learning sandbox** [ITU-T Y.3172]: An environment in which machine learning models can be trained, tested and their effects on the network evaluated. + +NOTE – A machine learning sandbox is designed to prevent a machine learning application from affecting the network, or to restrict the usage of certain machine learning functionalities. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 machine learning model metadata**: Information which describes the characteristics of a machine learning model. + +NOTE – Machine learning (ML) model metadata include, but is not limited to, the name of the ML model, ML model's author, version of the ML model, license information of the ML model, description of the data inputs and outputs of the ML model and the runtime environment of the ML model. + +**3.2.2 machine learning marketplace**: A component which provides capabilities facilitating the exchange and delivery of machine learning models among multiple parties. + +NOTE 1 – Examples of parties include suppliers and users of ML models. Capabilities provided to users of ML models include functionalities to find, learn about, deploy (or download) and use ML models. Capabilities provided to suppliers of ML models (e.g., data scientist) include functionalities to share (on-board, upload), describe (learn about) and market their ML models. + +NOTE 2 – A network operator may use a machine learning marketplace deployed internally and/or externally to the network operator's administrative domains. Internal and external marketplaces differ only in the deployment perspective. A marketplace which is internal to a network operator may act as an external marketplace to another network operator and vice versa. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|----------------------------------------| +| API | Application Programming Interface | +| Enum | Enumeration | +| ID | Identifier | +| KPI | Key Performance Indicator | +| ML | Machine Learning | +| MLFO | Machine Learning Function Orchestrator | +| MLDB | Machine Learning Database | + +| | | +|-----|-----------------------------| +| MPP | Mobility Pattern Prediction | +| SRC | Source | +| URI | Uniform Resource Identifier | + +# 5 Conventions + +In this Recommendation, requirements are classified as follows: + +- The keywords "**is required to**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. +- The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus, such requirements need not be present to claim conformance. +- The keywords "can optionally" and "**may**" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Introduction + +Use cases for the use of machine learning (ML) in future networks including IMT-2020 are described in [b-ITU-T Y-Sup.55] while an architectural framework for ML in future networks including IMT-2020 is presented in [ITU-T Y.3172]. + +The main motivations for ML marketplace integration in future networks including IMT-2020 are highlighted below: + +- 1) Evolution of ML models may happen independently of the technology evolution in future ML underlay networks. Integration of ML marketplaces will provide a mechanism for network operators to follow the innovation curve in the domain of machine learning. +NOTE – For example, as and when new, innovative and proven ML mechanisms and techniques are published by ML researchers and corresponding ML models are made available in the marketplace, network operators are able to use those models using the ML marketplace integration described in this Recommendation. +- 2) Efficient exchange and deployment of ML models using standard interfaces will help not only in solving network problems using ML techniques but also in sharing and monetizing ML techniques in the network domain. + +However, the following main challenges need to be addressed for the integration of ML marketplaces in ML-enabled networks: + +- ML models may be hosted in varied types of ML marketplaces (e.g., Acumos [b-LF Acumos]). While designing the ML application, network operators need interoperable mechanisms for identification of the ML marketplace which may be used as a source for ML models. +NOTE 1 – This points to the need for network operators to use standard ML intent mechanisms to specify the ML marketplace to be used for the ML application. +- Network operators need interoperable, automated mechanisms to select the appropriate ML models from the ML marketplaces. +NOTE 2 – For example, the latest advances in analytics or algorithms [b-DL Survey] have no dependency on the network architecture evolution of ML underlay networks. Cloud computing-hosted ML marketplaces may attract developers of innovative ML mechanisms and algorithms to host their ML models. + +NOTE 3 – Metadata used for describing ML models stored in ML marketplaces may be exploited for the selection process. In such a context, availability of standardized ML model metadata is of prime importance. + +- Network operators should be able to follow the innovation curve in the ML marketplace without sacrificing their network key performance indicators (KPI) [b-3GPP TS 28.554]. + +NOTE 4 – Network operators may use a ML sandbox to isolate the effect of training and testing of ML models from the live network. + +- Lack of standard mechanisms to exchange ML models and related metadata between ML marketplaces and the network operator's ML deployment environments limits the interoperability. There is a need to study and develop standard mechanisms for the interfaces between ML marketplaces and network operator's ML deployment environments in order to allow for efficient exchange and deployment of ML models. + +NOTE 5 – For example, exchange and deployment of ML models from a ML marketplace may be done using export of ML models to standard file format [b-ONNX], ML model compression using standard methods [b-ISO-IEC 15938-17] and secure file transfer to the network operator's ML deployment environments. + +NOTE 6 – Deployment of internal ML marketplaces enables collaborative development and use of ML models within different ML deployment environments of the network operator, e.g., operations and maintenance, research and development. It also enables the development of regional or enterprise specific ML models which conform to local regulations and organizational policies on data handling. + +- As mentioned in [ITU-T Y.3172], building complex ML models by chaining ML models is an important need for network operators. However, selecting the appropriate ML models from disparate ML marketplaces and chaining them requires support for such mechanisms from ML marketplaces. + +NOTE 7 – This points to the need for the availability of standardized metadata for the ML models and the need to interoperate with ML sandbox. + +- Efficient use of testing methods requires sharing of information between ML marketplaces and network operators, e.g., data which was used for testing, test results, current KPIs for the ML model. +- Deployment of ML models depends on the targeted deployment environment of the network operator, which differ from a virtualisation technology standpoint, e.g., container or virtual machine based [b-ETSI-GS-NFV-EVE]. ML models hosted in ML marketplaces need to be amenable to such different types of deployment environment. + +NOTE 8 – For example, a containerization of ML model may be needed to deploy the model in a container-based virtualization environment of the network operator. + +This Recommendation provides high-level requirements and architectural components for integrating ML marketplaces in future networks including IMT-2020. + +# **7 High-level requirements for ML marketplace integration** + +This clause provides high-level requirements for ML marketplace integration, i.e., ML model metadata related requirements and ML marketplace requirements. + +## **7.1 ML model metadata related requirements** + +**REQ-ML-MKT-METADATA-01:** The ML model metadata is required to indicate the training status and chaining status of the ML model. + +NOTE 1 – Examples of indicated training status information include whether the ML model is trained or not, and in case of trained models, the training datasets used. + +NOTE 2 – Examples of indicated chaining status information include whether the ML model is compatible with any other model to be chained. + +**REQ-ML-MKT-METADATA-02:** The ML model metadata is required to indicate the testing maturity of the model. + +NOTE 3 – Examples of testing maturity indications of a ML model include the following: + +- 1) Performance benchmarks with respect to published or standard test cases, e.g., latency benchmarks of the ML model, memory requirements of the ML model, accuracy of the ML model. +- 2) Reference to standard test cases and corresponding compliance of the ML model to those test cases. +- 3) Applicability of ML output from the ML model to various types of ML underlay networks, e.g., ML output from mobility pattern prediction (MPP) model may be applicable to urban and rural areas. +- 4) A rank or score based on testing or user experience from network operators. + +NOTE 4 – For example, a network operator may score the ML model (based on the use case under consideration) as "10" on a scale from "0" (lowest score) to "10" (top score). This score may be used by another network operator to select the ML model (to be used for a similar use case) from the ML marketplace. + +**REQ-ML-MKT-METADATA-03:** The ML model metadata is required to indicate the input and output characteristics of the ML model. + +NOTE 5 – Examples of indicated characteristics include the dimensions of input data and ML output, and data models used in exchange of data with ML underlay [ITU-T Y.3174]. + +**REQ-ML-MKT-METADATA-04:** The ML model metadata is required to indicate the compression status of the ML model. + +NOTE 6 – Examples of indicated compression status information include whether the ML model is compressed or not, and in case of compressed models, the compression method used. + +**REQ-ML-MKT-METADATA-05:** The ML model metadata is required to indicate the type of learning that the ML model supports. + +NOTE 7 – Examples of learning type indication include supervised or unsupervised learning. + +NOTE 8 – The indication about the learning type is used for the training or retraining of the ML model. Depending on the type of learning indicated, the MLFO is able to select an appropriate type of ML pipeline to be instantiated in order to train such an ML model. + +**REQ-ML-MKT-METADATA-6:** The ML model metadata is required to indicate the resource requirements and constraints for ML models. + +NOTE 9 – Specified resource requirements and constraints include compute, storage and network requirements for the ML model to function and to meet the KPIs of ML use cases. Examples are deployment environment of the ML model, prediction time, budget for communication latency, and validity time for ML output. Example of temporal validity for ML output is the case where prediction from the ML model may be valid for use only for a limited time, after that the prediction needs to be refreshed based on new data. + +## **7.2 ML marketplace related requirements** + +**REQ-ML-MKTPLACE-01:** The ML marketplace is recommended to support functionalities for the searching of ML models based on the metadata describing these ML models. + +NOTE 1 – For example, a ML marketplace may support an interface that takes metadata (or its components) as input for selection and returns a list of ML models satisfying the best match for those metadata. + +**REQ-ML-MKTPLACE-02:** The ML marketplace is recommended to support functionalities for exporting ML models according to standardized formats. + +NOTE 2 – Example of standardized model format for exporting includes ONNX [b-ONNX]. + +**REQ-ML-MKTPLACE-03:** The ML marketplace is recommended to support asynchronous notifications to the MLFO about additions, modifications and deletions of new ML models. + +NOTE 3 – Asynchronous notifications are used for the discovery of ML models by the MLFO. + +**REQ-ML-MKTPLACE-04:** The ML marketplace is required to support query of functionalities offered, on the interface between the ML marketplace and MLFO. + +NOTE 4 – Discovery of ML models is an example of functionality supported by ML marketplace, which can be queried by MLFO. + +**REQ-ML-MKTPLACE-05:** The ML marketplace is required to support functionalities for pushing ML models to the ML sandbox and/or ML pipeline subsystem. + +NOTE 5 – Pushing ML models may be performed using secure file transfer protocols. + +NOTE 6 – Pushing may be performed using a standardized format for ML models, including metadata. + +**REQ-ML-MKTPLACE-06:** The ML marketplace is recommended to support usage of trained and untrained ML models. + +NOTE 7 – In case of untrained ML models, the offline training may be done using stored data. This training may be done in the ML sandbox. + +NOTE 8 – The ML marketplace may provide capabilities for publishing, storing, discovering and querying of trained as well as untrained ML models. + +# 8 Architecture for ML marketplace integration + +The architecture for ML marketplace integration is shown in Figure 1 and is intended to fulfil the requirements provided in clause 7. + +NOTE 1 – Figure 1 is built on the basis or using elements of Figure 4 of [ITU-T Y.3172]. + +![Figure 1: Architecture for ML marketplace integration in network. The diagram shows a Management subsystem on the left containing 'Other management and orchestration functions' (connected to MLFO via reference point 7) and 'MLFO' (connected to ML intent via reference point 5). The ML intent is represented by a stack of documents. On the right, the ML marketplace stack includes 'External ML marketplace' (optional, connected to Internal ML marketplace via reference point 12), 'Internal ML marketplace' (connected to ML sandbox subsystem via reference point 13), 'ML sandbox subsystem' (connected to ML pipeline subsystem via reference point 3), 'ML pipeline subsystem' (connected to ML underlay networks via reference point 4), and 'ML underlay networks'. Horizontal reference points connect the Management subsystem to the marketplace stack: 15 between Other management and orchestration functions and Internal ML marketplace; 6 between MLFO and ML sandbox subsystem; 5 between ML intent and ML pipeline subsystem. A large blue arrow labeled 14 points from the Internal ML marketplace down to the ML underlay networks. A legend at the bottom left defines the arrow types: a light blue arrow for 'ML intent input to MLFO', a double-lined light blue arrow for 'Reused reference points', and a thick blue arrow for 'New reference points'. The identifier 'Y.3176(20)_F01' is at the bottom right.](5a95b187de0044da69b7322e04761b86_img.jpg) + +Y.3176(20)\_F01 + +Figure 1: Architecture for ML marketplace integration in network. The diagram shows a Management subsystem on the left containing 'Other management and orchestration functions' (connected to MLFO via reference point 7) and 'MLFO' (connected to ML intent via reference point 5). The ML intent is represented by a stack of documents. On the right, the ML marketplace stack includes 'External ML marketplace' (optional, connected to Internal ML marketplace via reference point 12), 'Internal ML marketplace' (connected to ML sandbox subsystem via reference point 13), 'ML sandbox subsystem' (connected to ML pipeline subsystem via reference point 3), 'ML pipeline subsystem' (connected to ML underlay networks via reference point 4), and 'ML underlay networks'. Horizontal reference points connect the Management subsystem to the marketplace stack: 15 between Other management and orchestration functions and Internal ML marketplace; 6 between MLFO and ML sandbox subsystem; 5 between ML intent and ML pipeline subsystem. A large blue arrow labeled 14 points from the Internal ML marketplace down to the ML underlay networks. A legend at the bottom left defines the arrow types: a light blue arrow for 'ML intent input to MLFO', a double-lined light blue arrow for 'Reused reference points', and a thick blue arrow for 'New reference points'. The identifier 'Y.3176(20)\_F01' is at the bottom right. + +**Figure 1 – Architecture for ML marketplace integration in network** + +Figure 1 includes a ML marketplace hosted internally to the network operator's administrative domain(s) (shown as "Internal ML marketplace" architectural component) which optionally interfaces with another ML marketplace hosted externally to the network operator's administrative domain(s) (shown as "External ML marketplace" architectural component). + +NOTE 2 – The external ML marketplace component may represent a federation of different ML marketplaces hosted externally to the network operator's administrative domains. + +In Figure 1, reference points 3, 4, 5, 6 and 7 are reused from [ITU-T Y.3172]. New reference points to [ITU-T Y.3172] are as follows: + +- Reference point 12 is an optional reference point between the internal ML marketplace and the external ML marketplace components. This reference point is used in case of ML marketplaces' federation between network operators, +- Reference point 13 is the reference point between the internal ML marketplace and the ML sandbox subsystem, +- Reference point 14 is the reference point between the internal ML marketplace and the ML pipeline subsystem, +- Reference point 15 between the internal ML marketplace and the management subsystem allows the network operators to manage the internal ML marketplace. + +Further details of these new reference points, including application programming interfaces (APIs) and corresponding information elements, are provided in clause 8.2 and the reused reference points from [ITU-T Y.3172] are called out. In addition, clause 8.1 describes new architectural components (internal and external ML marketplaces) as compared to [ITU-T Y.3172]. The use of these APIs is further explained in clause 8.3 using the sequence diagrams corresponding to the main scenarios for integration of ML marketplace with operator networks. + +## **8.1 Architecture framework components** + +This clause describes new architectural components as compared to [ITU-T Y.3172]. + +### **8.1.1 Internal ML marketplace** + +A machine learning marketplace deployed internally to the network operator's administrative domain is an internal marketplace. The internal marketplace enables exchange of ML models within the network operator's administrative domain, e.g., query, select, push, discovery and deploy ML models by MLFO in the ML sandbox or ML pipeline subsystem. + +NOTE – The internal marketplace can interface with external marketplaces, e.g., to a federation of ML marketplaces, and query, pull and discovery ML models from external marketplaces. + +### **8.1.2 External ML marketplace** + +A machine learning marketplace deployed outside the network operator's administrative domain is an external marketplace. While the external marketplace cannot directly interface with the network operator's administrative domain, it enables exchange of ML models, e.g., query, pull, and discovery of ML models, with the internal marketplace via an optional interface, e.g., to a federation of ML marketplaces. + +## **8.2 Reference points** + +The functionalities enabled by reference points from [ITU-T Y.3172] shown in Figure 1 are described in clause 8.2.1 while new reference points 12, 13, 14 and 15 which are directly related to ML marketplaces are described in clause 8.2.2. + +### **8.2.1 Reused reference points** + +#### **8.2.1.1 Reference point 3** + +Reference point 3 [ITU-T Y.3172] is used for the deployment or update of ML models in the ML pipeline subsystem. + +#### **8.2.1.2 Reference point 4** + +Reference point 4 [ITU-T Y.3172] is used for handling data from ML underlay networks and configuring ML underlay networks. + +#### 8.2.1.3 Reference point 5 + +Reference point 5 [ITU-T Y.3172] enables ML model monitoring functionality. After a ML model is pushed to a ML pipeline subsystem, the MLFO triggers the monitoring operation in the ML pipeline subsystem and receives the monitoring results reported from the ML pipeline subsystem. + +#### 8.2.1.4 Reference point 6 + +Reference point 6 [ITU-T Y.3172] is used by the management subsystem to manage the ML models pushed from the internal marketplace to the ML sandbox. For example, the MLFO may trigger and monitor the training, optimization, chaining and deployment process of an ML model in the ML sandbox. + +#### 8.2.1.5 Reference point 7 + +Reference point 7 [ITU-T Y.3172] allows the MLFO to monitor the capabilities of ML underlay networks with respect to network intelligence. + +### 8.2.2 New reference points + +This clause describes new reference points to [ITU-T Y.3172]. + +#### 8.2.2.1 Reference point 12 + +Reference point 12 between internal ML marketplaces and external ML marketplaces is optional and used for sharing ML models between internal and external ML marketplaces. Using reference point 12, the internal ML marketplace is capable of getting access to the ML models which are authorized to be shared by the external ML marketplace via this reference point. + +The APIs supported through reference point 12 are described in the following clauses. + +##### 8.2.2.1.1 Model\_Query API + +The Model\_Query API enables the internal ML marketplace to query from the external ML marketplace for a particular set of ML models that meet the requirements indicated in ML intent. + +###### Model\_Query-request: + +**Direction:** Internal ML marketplace → External ML marketplace + +Table 8-1 lists information elements in the Model\_Query-request. + +**Table 8-1 – Model\_Query-request information elements** + +| Information element | Type | Mandatory/Optional/Conditional | Description | +|---------------------|----------------------------------------|--------------------------------|----------------------------------------------| +| Model identifier | String | Optional | Identifies of the ML model that is queried | +| Model metadata | array
See Note 1 | Conditional
See Note 2 | Provides metadata about the queried ML model | + +NOTE 1 (applicable to all equivalent table cases in clause 8.2) – Each pair corresponds to a metadata about the model. An array of such pairs may be used for this query. Examples of pair are , , . + +NOTE 2 – This information element is present only if the model identifier information element is not present in the Model\_Query-request. + +###### Model\_Query-response: + +**Direction:** External ML marketplace → Internal ML marketplace + +Table 8-2 lists the information elements of the Model\_Query-response. + +**Table 8-2 – Model\_Query-response information elements** + +| Information element | Type | Mandatory/Optional/Conditional | Description | +|---------------------|--------------------------|--------------------------------|---------------------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("success" or "failure") of a Model_Query-request. | +| Model Identifier | String | Conditional
See Note 3 | Identifier of a ML model that meets the criteria provided in the Model_Query - request | +| Model metadata | array | Conditional
See Note 3 | Contains the metadata of a ML model whose identifier is present in the Model_Query-response | + +NOTE 3 – This information element is present only if the Result information element indicates "success". + +##### 8.2.2.1.2 Model\_Selection API + +The Model\_Selection API enables an internal ML marketplace to select ML model(s) from an external ML marketplace. + +**Model\_Selection-request:** + +**Direction:** Internal ML marketplace → External ML marketplace + +Table 8-3 lists the information elements of the Model\_Selection-request. + +**Table 8-3 – Model\_Selection-request information elements** + +| Information element | Type | Mandatory/Optional/Conditional | Description | +|---------------------|--------|--------------------------------|-------------------------------------------------------------| +| Model identifier | String | Mandatory | Identifier of the ML model that is requested to be selected | + +**Model\_Selection-response:** + +**Direction:** External ML marketplace → Internal ML marketplace + +Table 8-4 lists the information elements of the Model\_Selection-response. + +**Table 8-4 – Model\_Selection-response information elements** + +| Information element | Type | Mandatory/Optional/Conditional | Description | +|---------------------|--------|--------------------------------|---------------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success" or "Failure") of the Model_Selection-request | +| Model identifier | String | Conditional
See Note | Identifier of the ML model(s) that are successfully selected | + +NOTE – This information element is present only if the Result information element indicates "success". + +##### 8.2.2.1.3 Model\_Pull API + +The Model\_Pull API enables the internal ML marketplace to pull a ML model from the external ML marketplace. This API allows a ML model available in a federated marketplace to be pushed to the internal marketplace. + +###### Model\_Pull-request: + +**Direction:** Internal ML marketplace → External ML marketplace + +Table 8-5 lists the information elements of the Model\_Pull-request. + +**Table 8-5 – Model\_Pull-request information elements** + +| Information element | Type | Mandatory/Optional/Conditional | Description | +|---------------------|--------|--------------------------------|-----------------------------------------------------------| +| Model identifier | String | Mandatory | Identifier of the ML model that is requested to be pulled | + +###### Model\_Pull-response: + +**Direction:** External ML marketplace → Internal ML marketplace + +Table 8-6 lists the information elements of the Model\_Pull-response. + +**Table 8-6 – Model\_Pull-response information elements** + +| Information element | Type | Mandatory/Optional/Conditional | Description | +|---------------------|--------------------------|--------------------------------|--------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success", "Failure") of the Model_Pull-request | +| Model identifier | String | Conditional
See Note 1 | Identifier of the ML model that is accepted to be pulled | +| Model metadata | array | Conditional
See Note 1 | Contains metadata of the ML model that is accepted to be pulled | +| Model object | Object
See Note 2 | Conditional
See Note 1 | Contains the model object | + +NOTE 1 – This information element is present only if the Result information element indicates "success". + +NOTE 2 – The Object may be represented using a URL which points to a repository where the ML model can be found for download or ML model itself. In case the ML model itself is present in the API, it may use a binary format. + +##### 8.2.2.1.4 Model\_Discovery\_Poll API + +The Model\_Discovery\_Poll API enables the internal ML marketplace to poll for updated versions of ML models from an external ML marketplace. This is of interest for ML models that are or being deployed in a ML pipeline subsystem by the internal ML marketplace. + +###### Model\_Discovery\_Poll-request: + +**Direction:** Internal ML marketplace → External ML marketplace + +Table 8-7 lists the information elements of the Model\_Discovery\_Poll-request. + +**Table 8-7 – Model\_Discovery\_Poll-request information elements** + +| Information element | Type | Mandatory/Optional/Conditional | Description | +|---------------------|--------|--------------------------------|-----------------------------------------| +| Model identifier | String | Mandatory | The identifier of the searched ML model | + +###### **Model\_Discovery\_Poll-response:** + +**Direction:** External ML marketplace → Internal ML marketplace + +Table 8-8 lists the information elements of the Model\_Discovery\_Poll-response. + +**Table 8-8 – Model\_Discovery\_Poll-response information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------------------------|---------------------------------|------------------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success", "Failure") of the Model_Discovery_Poll-request | +| Model identifier | String | Conditional
See Note | Identifier of the ML model that is polled | +| Model metadata | array | Conditional
See Note | Indicates the metadata of the polled ML model present in the external marketplace | + +NOTE – This information element is present only if the Result information element indicates "success". + +##### **8.2.2.1.5 Model\_Discovery\_Asynchronous\_Update API** + +The Model\_Discovery\_Asynchronous\_Update API enables the external marketplace to asynchronously indicate that a ML model has been updated and to provide the associated updated metadata. This is of interest for ML models from the external marketplace that are or being deployed by the internal ML marketplace. + +**Direction:** External ML marketplace → Internal ML marketplace + +Table 8-9 lists the information elements of the Model\_Discovery\_Asynchronous\_Update. + +**Table 8-9 – Model\_Discovery\_Asynchronous\_Update information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------------------------|---------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| +| Model identifier | String | Mandatory | Identifier of the updated ML model. | +| Model metadata | array | Optional | Contains the metadata of the updated ML model
Indicates the updated metadata if the model is updated in the external marketplace | + +#### **8.2.2.2 Reference point 13** + +Reference point 13 provides functionality to update the models from ML sandbox to the internal marketplace as well as push ML models from the internal marketplace to the ML sandbox. + +##### **8.2.2.2.1 Model\_Update API** + +The Model\_Update API enables the ML sandbox to send a newly trained ML model to the internal ML marketplace. + +###### **Model\_Update-request:** + +**Direction:** ML sandbox → ML marketplace + +Table 8-10 lists information elements of the Model\_Update-request. + +**Table 8-10 – Model\_Update-request information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------------------------|---------------------------------|-----------------------------------------------------| +| Model identifier | String | Mandatory | Identifier of the newly trained ML model | +| Model metadata | array | Mandatory | Contains the metadata of the newly trained ML model | +| Model object | Object | Mandatory | Contains the ML model object | + +**Model\_Update-response:** + +**Direction:** ML marketplace → ML sandbox + +Table 8-11 lists the information elements of the Model\_Update-response. + +**Table 8-11 – Model\_Update-response information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------|---------------------------------|----------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success", "Failure") of the Model_Update-request | +| Model identifier | String | Conditional
See Note | Identifier of the updated ML model | + +NOTE – This information element is present only if the Result information element indicates "success". + +##### 8.2.2.2.2 Model\_Push API + +The Model\_Push API enables the internal ML marketplace to push a ML model to the ML sandbox upon trigger by the MLFO. + +**Model\_Push-request:** + +**Direction:** ML marketplace → ML sandbox + +Table 8-12 lists the information elements of the Model\_Push-request. + +**Table 8-12 – Model\_Push-request information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------------------------|---------------------------------|----------------------------------------------| +| Model identifier | String | Mandatory | Identifier of the pushed ML model | +| Model metadata | array | Mandatory | Contains the metadata of the pushed ML model | +| Model object | Object | Mandatory | Contains the ML model object | + +**Model\_Push-response:** + +**Direction:** ML sandbox → ML marketplace + +Table 8-13 lists the information elements of the Model\_Push-response. + +**Table 8-13 – Model\_Push-response information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------|---------------------------------|--------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success", "Failure") of the Model_Push-request | +| Model identifier | String | Conditional
See Note | Identifier of the pushed ML model | + +NOTE – This information element is present only if the Result information element indicates "success". + +#### 8.2.2.3 Reference point 14 + +##### 8.2.2.3.1 Model\_Push API + +The Model\_Push API enables the internal ML marketplace to push a ML model to the ML pipeline subsystem upon trigger by the MLFO. + +**Model\_Push-request:** + +**Direction:** ML marketplace → ML pipeline + +Table 8-14 lists the information elements of the Model\_Push-request. + +**Table 8-14 – Model\_Push-request information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------------------------|---------------------------------|----------------------------------------------| +| Model identifier | String | Mandatory | Identifier of the pushed ML model | +| Model metadata | array | Mandatory | Contains the metadata of the pushed ML model | +| Model object | Object | Mandatory | Contains the ML model object | + +**Model\_Push-response:** + +**Direction:** ML pipeline → ML marketplace + +Table 8-15 lists the information elements of the Model\_Push-response. + +**Table 8-15 – Model\_Push-response information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------|---------------------------------|---------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success", "Failure") of the Model_Push-request. | +| Model identifier | String | Conditional
See Note | Identifier of the pushed ML model | + +NOTE – This information element is present only if the Result information element indicates "success". + +#### 8.2.2.4 Reference point 15 + +Reference point 15 provides MLFO with functionalities of query, selection, discovery and deployment of ML models from the internal marketplace. + +##### 8.2.2.4.1 Model\_Query API + +The Model\_Query API enables the MLFO to query from the ML marketplace for a particular set of ML models that meet the requirements indicated in ML intent. + +**Model\_Query-request:** + +**Direction:** MLFO → ML marketplace + +Table 8-16 lists the information elements of the Model\_Query-request. + +**Table 8-16 – Model\_Query-request information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------------------------|---------------------------------|--------------------------------------------------------------------------------| +| Model identifier | String | Optional | Identifier of the ML model that is queried. This is used if known by the MLFO. | +| Model metadata | array | Mandatory | Metadata criteria to be met in the query of ML models | + +**Model\_Query-response:** + +**Direction:** ML marketplace → MLFO + +Table 8-17 lists information elements of Model\_Query-response. + +**Table 8-17 – Model\_Query-response information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------------------------|---------------------------------|---------------------------------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success", "Failure") of the Model_Query-request | +| Model Identifiers | Array of Strings | Conditional
See Note | Identifiers of the ML models returned by the ML marketplace and successfully meeting the query criteria | +| Model metadata | array | Conditional
See Note | Contains the metadata of the ML models meeting the query criteria | + +NOTE – This information element is present only if the Result information element indicates "success". + +##### 8.2.2.4.2 Model\_Selection API + +The Model\_Selection API enables the MLFO to select a ML model from the ML marketplace for deployment in the ML pipeline subsystem. + +**Model\_Selection-request:** + +**Direction:** MLFO → ML marketplace + +Table 8-18 lists the information elements of the Model\_Selection-request. + +**Table 8-18 – Model\_Selection-request information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------|---------------------------------|--------------------------------------------------------------------------------------------| +| Model identifier | String | Mandatory | Identifier of the ML model requested to be selected (already known from a previous search) | + +**Model\_Selection-response:** + +**Direction:** ML marketplace → MLFO + +Table 8-19 lists the information elements of the Model\_Selection-response. + +**Table 8-19 – Model\_Selection-response information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------|---------------------------------|-------------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success", "Failure") of the Model_Selection-request | +| Model identifier | String | Conditional
See Note | Identifier of the selected ML model | + +NOTE – This information element is present only if the Result information element indicates "success". + +##### 8.2.2.4.3 Model\_Discovery\_Poll API + +The Model\_Discovery\_Poll API enables the MLFO to poll the ML marketplace for updated versions of ML models that are already deployed in ML pipeline subsystem. + +**Model\_Discovery\_Poll-request:** + +**Direction:** MLFO → ML marketplace + +Table 8-20 lists information elements for Model\_Discovery\_Poll-request. + +**Table 8-20 – Model\_Discovery\_Poll-request information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------|---------------------------------|----------------------------------------------------------------------------------------| +| Model identifier | String | Mandatory | Identifier of the ML model that is polled
MLFO already knows the ID from the search | + +**Model\_Discovery\_Poll-response:** + +**Direction:** ML marketplace → MLFO + +Table 8-21 lists the information elements of the Model\_Discovery\_Poll-response. + +**Table 8-21 – Model\_Discovery\_Poll-response information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------------------------|---------------------------------|------------------------------------------------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success", "Failure") of the Model_Discovery_Poll-request | +| Model identifier | String | Conditional
See Note | Identifier of the polled ML model | +| Model metadata | array | Conditional
See Note | Contains the metadata of the polled ML model
Indicates the updated metadata if the model is updated in Marketplaces | + +NOTE – This information element is present only if the Result information element indicates "success". + +##### 8.2.2.4.4 Model\_Discovery\_Asynchronous\_Update API + +The Model\_Discovery\_Asynchronous\_Update API enables the ML marketplace to asynchronously update the MLFO for models that are already deployed in ML pipeline subsystem. + +**Direction:** ML marketplace → MLFO + +Table 8-22 lists the information elements of the Model\_Discovery\_Asynchronous\_Update. + +**Table 8-22 – Model\_Discovery\_Asynchronous\_Update information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|---------------------|--------------------------|---------------------------------|------------------------------------| +| Model identifier | String | Mandatory | Identifier of the updated ML model | +| Model metadata | array | Mandatory | Metadata of the updated ML model | + +##### 8.2.2.4.5 Model\_Deployment API + +The Model\_Deployment API enables the MLFO to request the deployment of an ML model in the ML pipeline subsystem. + +**Model\_Deployment-request:** + +**Direction:** MLFO → ML marketplace + +Table 8-23 lists the information elements of the Model\_Deployment-request. + +**Table 8-23 – Model\_Deployment-request information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|------------------------|--------|---------------------------------|----------------------------------------------------------------------------------------------------------------------------------------| +| Model identifier | String | Mandatory | Identifier of a ML model to be deployed
MLFO already knows the ID | +| ML pipeline identifier | String | Mandatory | Identifier of the ML pipeline to be deployed. The ML pipeline may be deployed in a ML sandbox or in a ML underlay network. See Note 1. | + +NOTE 1 – This identifier may be in the form of a URI. + +###### Model\_Deployment-response: + +**Direction:** ML marketplace → MLFO + +Table 8-24 lists the information elements of Model\_Deployment-response. + +**Table 8-24 – Model\_Deployment-response information elements** + +| Information element | Type | Mandatory/Optional /Conditional | Description | +|------------------------|--------|---------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------| +| Result | Enum | Mandatory | Indicates the handling result ("Success", "Failure") of the Model_Deployment-request. | +| Model identifier | String | Conditional
See Note 2 | Identifier of deployed ML model | +| ML pipeline identifier | String | Conditional
See Note 2 | Identifier of the ML pipeline in which the ML model is deployed. This may be deployed in a ML sandbox or an ML underlay network. See Note 3. | + +NOTE 2 – This information element is present only if the Result information element indicates "success". + +NOTE 3 – This identifier may be in the form of a URI. + +## 8.3 Sequence diagrams + +This clause provides sequence diagrams related to the integration of an ML marketplace in a network. These sequence diagrams cover the following aspects: model search, model selection and push, model discovery, model training and model deployment in a ML pipeline subsystem. + +NOTE – In the sequence diagrams provided in this clause, the following points are important for integrating ML marketplaces in networks: + +- Use of ML intent and MLFO to search and select the ML model from the ML marketplace, based on the needs of the ML application. +- Rich, standard metadata is used in the interface between the ML marketplace and the MLFO to search and select the ML model most suited for the requirements of the ML application. +- Interface between ML sandbox and/or ML pipeline subsystem and ML marketplace is used to push the ML model from the ML marketplace to the ML sandbox and/or ML pipeline subsystem. + +### 8.3.1 Model search + +The model search sequence diagram is shown in Figure 2. + +![Sequence diagram for Model search involving MLFO, Internal ML marketplace, and External ML marketplace.](c5452f95f3b28f1bfe29e84fbc2e1267_img.jpg) + +``` + +sequenceDiagram + participant MLFO + participant InternalML as Internal ML marketplace + participant ExternalML as External ML marketplace + + Note over InternalML, ExternalML: 0. Prerequisite: Federation setup + MLFO->>MLFO: 1. ML intent + MLFO->>MLFO: 2. Decide the query to the ML marketplace (based on use case requirements) + MLFO->>InternalML: 3. Model_Query-request + Note over InternalML, ExternalML: 4. Search the ML models based on the metadata from ML internal and external marketplace. Arrive at search results (models). + InternalML-->>MLFO: 5. Model_Query-response + +``` + +Y.3176(20)\_F02 + +Sequence diagram for Model search involving MLFO, Internal ML marketplace, and External ML marketplace. + +**Figure 2 – Model search** + +Prerequisites: External ML marketplace and internal ML marketplace are federated. + +The sequences shown in Figure 2 are as follows: + +- 1) An ML intent which describes the ML use case requirements is received by the MLFO. +- 2) Based on the received ML intent, the MLFO generates ML pipeline requirements, which may include the functional and performance requirements of the ML model. The MLFO decides whether the model query can use the federation mode of ML marketplaces. +NOTE – The federation mode specifies how the ML models are searched, i.e., from the internal ML marketplace only or throughout the ML marketplace federation, i.e., whether ML models from external ML marketplaces can be searched or not. The federation mode is part of the model metadata (see Table 8-1). +- 3) The MLFO sends a Model\_Query-request message to the ML internal marketplace based on the use case requirements from Step 2. +- 4) If the query uses the federation mode of ML marketplaces, the internal ML marketplace searches for ML models that meet the requirements according to the received ML model metadata from internal and external ML marketplaces and arrives at best matching ML models. +- 5) The internal ML marketplace responds to the MLFO with a list of matching ML models and their associated information which may include ID, metadata and source of the model. + +### 8.3.2 Model selection and push + +The model selection and push sequence diagram is shown in Figure 3. + +![Sequence diagram showing the model selection and push process between MLFO, Internal ML marketplace, External ML marketplace, and ML sandbox.](7133ccf78043568ca62ecbcd43628a4a_img.jpg) + +``` + +sequenceDiagram + participant MLFO + participant Internal_ML_marketplace as Internal ML marketplace + participant External_ML_marketplace as External ML marketplace + participant ML_sandbox as ML sandbox + + Note over MLFO: 0. Prerequisite: "Model search" is completed + Note over MLFO: 1. Select model (Based on ML intent and the search results, selection may involve policy and human review) + MLFO->>Internal_ML_marketplace: 2. Model_Selection-request + Note over Internal_ML_marketplace: 3. Use the ML models ID to pick the ML model + Note over Internal_ML_marketplace: 4. Use the federation mode and ML model ID to pick the ML model from external marketplace + Note over Internal_ML_marketplace: 5. ML model onboarding (optional, it happens when the selected model belongs to the external marketplace) + Internal_ML_marketplace->>ML_sandbox: 6. Model_Push-request + ML_sandbox-->>Internal_ML_marketplace: 7. Model_Push-response + Internal_ML_marketplace-->>MLFO: 8. Model_Selection-response (Candidate models) + +``` + +Y.3176(20)\_F03 + +Sequence diagram showing the model selection and push process between MLFO, Internal ML marketplace, External ML marketplace, and ML sandbox. + +**Figure 3 – Model selection and push** + +The sequences shown in Figure 3 are as follows: + +Prerequisites: "Model search" (see clause 8.3.1) is completed. + +- 1) Based on the ML intent (received in Step 1, Figure 2), the MLFO selects a ML model from the search results (received in the Model\_Query-response message, see Step 5 in Figure 2). +NOTE – Initial deployments of integrated ML marketplaces in networks may involve a human supervision of the ML models selected by the MLFO. This may be needed to verify whether the selected model is appropriate for the use case or whether it is as per network operator's defined policies. At a later stage, the selection of models is completely automated in the MLFO and this will remove the need for any human intervention. +- 2) The MLFO sends a Model\_Selection-request message to the internal ML marketplace to indicate the selection, which may include ID of the selected model, the address of the ML pipeline subsystem in the ML sandbox, etc. +- 3) The ML internal marketplace or external marketplace picks the selected ML model using the ML model ID received in the Model\_Selection-request message from the MLFO. +- 4) If the selected model belongs to the external ML marketplace, the internal ML marketplace uses the federation mode of ML marketplaces and the ML model ID to pick the ML model. +- 5) The selected model is on-boarded to the ML internal marketplace if the selected model belongs to an external ML marketplace. +- 6) The internal ML marketplace sends a Model\_Push-request message to send the selected model object to the targeted ML sandbox. +- 7) The ML sandbox sends a Model\_Push-response response message to the internal ML marketplace to indicate whether or not the model object was successfully received. +- 8) The internal ML marketplace sends a Model\_Selection-response message to the MLFO to indicate whether or not the model selection was successfully completed. + +### 8.3.3 Model discovery + +The model discovery sequence diagram is shown in Figure 4. + +![Sequence diagram for Model discovery between MLFO and ML marketplace.](5a1abd59a95fa47ae192807de151e9eb_img.jpg) + +``` +sequenceDiagram + participant MLFO + participant ML_marketplace as ML marketplace + Note over MLFO, ML_marketplace: 0. Prerequisite: "Model selection and push" is completed + ML_marketplace->>MLFO: 1. New version of ML model is published + Option-1 + MLFO->>ML_marketplace: 2. Model_Discovery_Poll-request + ML_marketplace-->>MLFO: 3. Model_Discovery_Poll-response + Option-2 + Note over ML_marketplace: 2. Check if the model ID is already known to the MLFO + ML_marketplace-->>MLFO: 3. Model_Discovery_Asynchronous_Update +``` + +The diagram illustrates the model discovery process between the MLFO (Machine Learning Function Owner) and the ML marketplace. It begins with a prerequisite: "Model selection and push" is completed. The process then follows two options. Option-1 involves a poll request from the MLFO to the ML marketplace, which responds with a poll response. Option-2 involves the ML marketplace checking if the model ID is already known to the MLFO, and then sending an asynchronous update message to the MLFO. The diagram is labeled Y.3176(20)\_F04. + +Sequence diagram for Model discovery between MLFO and ML marketplace. + +**Figure 4 – Model discovery** + +The sequences shown in Figure 4 are as follows: + +Prerequisites: "Model selection and push" (see clause 8.3.2) is completed. + +- 1) A new version of a ML model is published in the ML marketplace. + +NOTE – This applies to both external and internal ML marketplaces. + +Option-1: + +- 2) A Model\_Discovery\_Poll-request message has been received from the MLFO. +- 3) The ML marketplace responds with a Model\_Discovery\_Poll-response message to the MLFO. + +Option-2: + +- 2) The ML marketplace checks if the ML model is known to the MLFO. +- 3) A Model\_Discovery\_Asynchronous\_Update message containing ML model metadata or the ID of the newly published ML model is sent to the MLFO by the ML marketplace. + +### 8.3.4 Model training + +The model training sequence diagram is shown in Figure 5. + +![Sequence diagram for Model training involving MLFO, ML sandbox, and Internal ML marketplace.](aaf3e6e44cdeabd6d1df869c5f392ea1_img.jpg) + +``` + +sequenceDiagram + participant MLFO + participant ML_sandbox as ML sandbox + participant Internal_ML_marketplace as Internal ML marketplace + + Note over MLFO: 0. Prerequisite: "Model selection and push" is completed + Note over MLFO: 1. According to the ML intent, decide the ML pipeline. + MLFO->>ML_sandbox: 2. Model training trigger + Note over ML_sandbox: 3. Configure ML pipeline for training, data handling framework, simulator + Note over ML_sandbox: 4. Data from SRC (ML pipeline) or MLDB + Note over ML_sandbox: 5. Model training and evaluation + ML_sandbox->>MLFO: 6. Model training notification + MLFO->>ML_sandbox: 7. Model update trigger request + ML_sandbox->>Internal_ML_marketplace: 8. Model_Update-request + Internal_ML_marketplace->>ML_sandbox: 9. Model_Update-response + ML_sandbox->>MLFO: 10. Model update trigger response + +``` + +Y.3176(20)\_F05 + +Sequence diagram for Model training involving MLFO, ML sandbox, and Internal ML marketplace. + +**Figure 5 – Model training** + +The sequences shown in Figure 5 are as follows: + +Prerequisites: "Model selection and push" (see clause 8.3.2) is completed. + +- 1) According to the received ML intent, the MLFO provisions a ML pipeline for training purposes. +- 2) The MLFO triggers the training of models in the ML sandbox. +- 3) The ML pipeline for training and the data handling components [ITU-T Y.3174] are configured in the ML sandbox. +- 4) Data from a source (SRC) node [ITU-T Y.3172] or machine learning database (MLDB) [ITU-T Y.3174] is given as input for training the ML model. +NOTE – The SRC node in the ML pipeline [ITU-T Y.3172] provides data from simulated and/or live underlay network. +- 5) ML model training and evaluation are done in the ML sandbox. +- 6) After the ML model is trained and evaluated, the ML sandbox notifies the MLFO. +- 7) The MLFO sends a model update trigger request message to the ML sandbox. +- 8) The ML sandbox sends a Model\_Update-request message to the internal ML marketplace. The newly trained model is then published in the internal ML marketplace. +- 9) The internal ML marketplace notifies the result by sending a Model\_Update-response message to the ML sandbox. +- 10) The ML sandbox notifies the result by sending a model update trigger response to the MLFO. + +### 8.3.5 Model deployment + +The model deployment sequence diagram is shown in Figure 6. + +![Sequence diagram for Model deployment involving MLFO, ML marketplace, and ML pipeline subsystem.](8c348bf9c2c81b018017ae1d19506a9a_img.jpg) + +``` + +sequenceDiagram + participant MLFO + participant ML_marketplace as ML marketplace + participant ML_pipeline_subsystem as ML pipeline subsystem + + Note over MLFO: 0. Prerequisite: "Model training" is completed + Note over MLFO: 1. Decide for deployment in ML pipeline subsystem (based on evaluation in sandbox) + MLFO->>ML_marketplace: 2. Model_Deployment-request + ML_marketplace->>ML_pipeline_subsystem: 3. Model_Push-request + ML_pipeline_subsystem-->>ML_marketplace: 4. Model_Push-response + ML_marketplace-->>MLFO: 5. Model_Deployment-response + Note over MLFO, ML_marketplace, ML_pipeline_subsystem: 6. Instantiate data handling framework + Note over ML_pipeline_subsystem: 7. Data from SRC (ML pipeline) or MLDB + ML_pipeline_subsystem->>ML_pipeline_subsystem: 8. Model inference + +``` + +Y.3176(20)\_F06 + +Sequence diagram for Model deployment involving MLFO, ML marketplace, and ML pipeline subsystem. + +**Figure 6 – Model deployment** + +The sequences shown in Figure 6 are as follows: + +Prerequisites: "Model training" (see clause 8.3.4) is completed. + +- 1) Based on the reached performance of the ML model in the ML sandbox, the MLFO decides that the ML model is ready for deployment in the ML pipeline subsystem. +- 2) The MLFO sends a Model\_Deployment-request message to the ML marketplace. +NOTE –This applies to both external and internal ML marketplaces. +- 3) A Model\_Push-request message is sent to the ML pipeline subsystem. +- 4) After the model is pushed to the ML pipeline subsystem, a Model-Push-response message is sent back to the ML marketplace. +- 5) A ML\_Deploy-response message is sent back to the MLFO acknowledging the successful deployment of the ML model in the ML pipeline subsystem. +- 6) According to clause 8.3.1 of [ITU-T Y.3174], MLFO instantiates the data handling components. +- 7) Data from SRC or MLDB is used as input for model inference. +- 8) Model inference is executed to make analyses, classifications or predictions, etc. + +# 9 Security Considerations + +General network security requirements and mechanisms in [ITU-T Y.2701] and [ITU-T Y.3101] are applicable for the integration of ML marketplaces in future networks including IMT-2020. + +# Bibliography + +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3104] Recommendation ITU-T Y.3104 (2018), *Architecture of the IMT-2020 network*. +- [ITU-T Y.3110] Recommendation ITU-T Y.3110 (2017), *IMT-2020 network management and orchestration requirements*. +- [ITU-T Y.3111] Recommendation ITU-T Y.3111 (2017), *IMT-2020 network management and orchestration framework*. +- [b-ITU-T Y-Sup.55] Supplement 55 to ITU-T Y.3170-series (2019), *Machine learning in future networks including IMT-2020: use cases*. +- [b-ETSI-GS NFV-EVE] ETSI GS NFV-EVE 004 V1.1.1 (2016), *Network Functions Virtualisation (NFV); Virtualisation Technologies; Report on the application of Different Virtualisation Technologies in the NFV Framework*. +- [b-ETSI GR ENI 004] ETSI GR ENI 004 V2.1.1 (2019), *Experiential Networked Intelligence (ENI); Terminology for Main Concepts in ENI*. +- [b-ISO-IEC 15938-17] ISO/IEC WD 15938-17 *Information technology – Multimedia content description interface – Part 17: Compression of neural networks for multimedia content description and analysis*. +- [b-3GPP TS 28.554] 3GPP TS 28.554 Release 15, *Management and orchestration; 5G end to end Key Performance Indicators (KPI)*. +- [b-DL Survey] Zhang, Chaoyun, Paul Patras, and Hamed Haddadi (2019), *Deep learning in mobile and wireless networking: A survey*. IEEE Communications Surveys & Tutorials. +- [b-LF Acumos] Acumos AI Marketplace. + +- [b-ONNX] Open Neural Network Exchange (ONNX). + + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, 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+| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3186 + +# Requirements and framework for distributed joint learning to enable machine learning in future networks including IMT-2020 + +## Summary + +Recommendation ITU-T Y.3186 specifies scenarios, requirements, a framework and a flow diagram for distributed joint learning to enable machine learning in future networks including IMT-2020. Recommendation ITU-T Y.3186 can help to realize a highly automated, intelligent and multi-party collaborative network. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3186 | 2024-04-29 | 13 | 11.1002/1000/15871 | + +## Keywords + +Distributed joint learning, future network, machine learning. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Overview..... | 3 | +| 7 | Scenarios of DJL in future networks including IMT-2020 ..... | 3 | +| | 7.1 Scenarios from the perspective of the data source of participating DJL
nodes..... | 4 | +| | 7.2 Scenarios from the perspective of data distribution in DJL ..... | 6 | +| 8 | Requirements of DJL in future networks including IMT-2020..... | 8 | +| | 8.1 JL task management ..... | 8 | +| | 8.2 DJL node management..... | 8 | +| | 8.3 DJL resource management ..... | 9 | +| | 8.4 DJL model management..... | 9 | +| | 8.5 DJL data management ..... | 9 | +| | 8.6 DJL interfaces..... | 10 | +| | 8.7 DJL connectivity ..... | 10 | +| | 8.8 DJL reliability management ..... | 10 | +| | 8.9 DJL security and privacy protection..... | 10 | +| 9 | Framework of DJL in future networks including IMT-2020..... | 11 | +| | 9.1 Architectural components of DJL ..... | 11 | +| | 9.2 Architectural framework ..... | 13 | +| | 9.3 Deployment options of the DJL components ..... | 15 | +| | 9.4 DJL data transmission optimization ..... | 15 | +| 10 | Flow diagram for DJL ..... | 16 | +| 11 | Security considerations..... | 17 | +| | Bibliography..... | 18 | + + + +# Recommendation ITU-T Y.3186 + +# Requirements and framework for distributed joint learning to enable machine learning in future networks including IMT-2020 + +# 1 Scope + +This Recommendation specifies requirements and framework for distributed joint learning (DJL) to enable machine learning (ML) in future networks including IMT-2020. This Recommendation addresses the following topics concerning DJL to enable ML in future networks including IMT-2020: + +- scenarios; +- requirements; +- a framework; +- a flow diagram. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T F.747.13] Recommendation ITU-T F.747.13 (2023), *Requirements and reference framework of cloud-edge collaboration in industrial machine vision systems*. +- [ITU-T Y.3115] Recommendation ITU-T Y.3115 (2022), *AI integrated cross-domain network architectural requirements and framework for future networks including IMT-2020*. +- [ITU-T Y.3172] Recommendation ITU-T Y.3172 (2019), *Architectural framework for machine learning in future networks including IMT-2020*. +- [ITU-T Y.3179] Recommendation ITU-T Y.3179 (2021), *Architectural framework for machine learning model serving in future networks including IMT-2020*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 machine learning (ML)** [ITU-T Y.3172]: Processes that enable computational systems to understand data and gain knowledge from it without necessarily being explicitly programmed. + +NOTE 1 – This definition is adapted from [b-ETSI GR ENI 004]. + +NOTE 2 – Supervised machine learning and unsupervised machine learning are two examples of machine learning types. + +**3.1.2 machine learning function orchestrator (MLFO)** [ITU-T Y.3172]: A logical node with functionalities that manage and orchestrate the nodes in a machine learning pipeline. + +**3.1.3 machine learning overlay** [ITU-T Y.3172]: A loosely coupled deployment model of machine learning functionalities whose integration and management with network functions are standardized. + +**3.1.4 machine learning pipeline** [ITU-T Y.3172]: A set of logical nodes, each with specific functionalities, that can be combined to form a machine learning application in a telecommunication network. + +**3.1.5 machine learning underlay network** [ITU-T Y.3172]: A telecommunication network and its related network functions which interfaces with corresponding machine learning overlays. + +NOTE – An IMT-2020 network is an example of a machine learning underlay network. + +**3.1.6 federated machine learning** [ITU-T F.747.13]: Federated machine learning is a framework or system that enables multiple participants to collaboratively build and use machine learning models without disclosing the raw and private data owned by the participants while achieving good performance. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 distributed joint learning (DJL); decentralized learning:** Techniques that use multiple computing nodes for machine learning. + +NOTE – This approach deals with data and parameters located at the edge. It includes, but is not limited to, federated learning, partitioned learning and distributed reinforcement learning. + +**3.2.2 Internet protocol network; IP network:** A network corresponding to IP-based packet data networks that provide a transport mechanism between the core network and external IP networks. An IP network represents packet networks connected to the core network including the public Internet, private IP backbone networks and private IP networks such as a corporate Intranets. + +NOTE – Based on [b-ITU-T Q.1742.3]. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|----------------------------------------| +| AF | Application Function | +| AI | Artificial Intelligence | +| DJL | Distributed Joint Learning | +| FTL | Federated Transfer Learning | +| HFL | Horizontal Federated Learning | +| ID | Identifier | +| IP | Internet Protocol | +| ML | Machine Learning | +| MLFO | Machine Learning Function Orchestrator | +| NF | Network Function | +| PCF | Policy Control Function | +| QoS | Quality of Service | +| SDN | Software-Defined Networking | +| UE | User Equipment | + +| | | +|-----|-----------------------------| +| V2X | Vehicle to Everything | +| VFL | Vertical Federated Learning | + +# 5 Conventions + +In this Recommendation: + +The phrase "is required" indicates a requirement that must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The phrase "is recommended" indicates a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The phrase "can optionally" indicates a requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator or service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +In this Recommendation, for brevity "DJL" alone is intended to mean "DJL to enable ML". + +# 6 Overview + +The in-depth development of intelligence in the network field is playing a vital role in improving network efficiency and optimizing network operations and maintenance. When collecting and training data from various sources, new challenges have to be considered, in particular the issues of data islands and data privacy, as well as the efficiency of data and model computing. This has a significant impact on artificial intelligence (AI) or ML technologies that require big data analysis. + +Concerning intelligent closed loops in the IMT-2020 network, their functionalities are used collaboratively inside a network domain or across domains, as specified in [ITU-T Y.3115]. However, it is difficult to centralize the raw data that are distributed in different areas in a single domain or across domains. It is desirable to share ML model or data analytics in a closed loop in a single domain or across domains. The introduction of a DJL-based approach becomes necessary to address this issue. + +DJL capabilities, dealing with both data and parameters located at the edge, go beyond the capabilities enabled by the federated learning-based approach, by supporting other capabilities to address computing requirements. + +In this Recommendation, the DJL approach is introduced to enable ML into future networks including IMT-2020. This exercise can help to realize a highly automated, intelligent and multi-party collaborative network. + +# 7 Scenarios of DJL in future networks including IMT-2020 + +Comprehensive data is very important for training a high-quality AI model. Nonetheless, data in many fields or areas may be limited or of poor quality. However, due to privacy protection or a large amount of data transmission, it is difficult to fuse the data together in a common site by transporting the data across organizations. So DJL is a suitable solution to break the barriers between data sources. DJL participants with different data sources do not need to directly exchange their raw data, but only the intermediate results of model training so as to achieve distributed joint training of models based on different data sources. + +NOTE – Clauses 7.1 and 7.2 illustrate scenarios from two different perspectives referring to the IMT-2020 network, but are expected to be applicable also to future networks. + +## 7.1 Scenarios from the perspective of the data source of participating DJL nodes + +Multiple data sources participate in DJL. As shown in Figure 7-1, the data used in DJL may come from the IMT-2020 network and other sources. + +The data from the IMT-2020 network is generated in network nodes. A network node may be part of a cluster, a cluster may be part of a region, a region may be part of an IMT-2020 network, and different IMT-2020 networks may belong to different network operators. The different network nodes may belong to the same or different clusters, the same or different regions or the same or different IMT-2020 networks. + +Other data may come from user equipment (UE) and application functions (AFs) (e.g., vehicle to everything (V2X) application servers, information technology systems of external enterprises, network functions (NFs) from other network operators). + +NOTE 1 – A cluster is a collection of the IMT-2020 network nodes that are grouped for a particular purpose. For example, the network nodes of an access network may be grouped into a cluster. + +NOTE 2 – A region indicates a geographical location, and an IMT-2020 network may span one or more regions. + +![Figure 7-1: The distribution of data sources in joint learning. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Region n' contains 'Network node m'. A 'UE' box is connected to the left side of the IMT-2020 network, and an 'AF' box is connected to the right side. The reference 'Y.3186(24)' is at the bottom right.](053f1077d592e6622cd21dc4bb4cb366_img.jpg) + +The diagram illustrates the distribution of data sources in joint learning. It shows a large container labeled "The IMT-2020 network". Inside this container, there are two main regions: "Region 1" and "Region n". "Region 1" contains "Cluster 1" and "Cluster n". "Cluster 1" contains "Network node 1" and "Network node n". "Region n" contains "Network node m". A "UE" (User Equipment) box is connected to the left side of the IMT-2020 network, and an "AF" (Application Function) box is connected to the right side. The reference "Y.3186(24)" is located at the bottom right of the diagram. + +Figure 7-1: The distribution of data sources in joint learning. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Region n' contains 'Network node m'. A 'UE' box is connected to the left side of the IMT-2020 network, and an 'AF' box is connected to the right side. The reference 'Y.3186(24)' is at the bottom right. + +**Figure 7-1 – The distribution of data sources in joint learning** + +### 7.1.1 The IMT-2020 network enables DJL with the use of network data + +DJL can be used to aggregate network data in the IMT-2020 network in order to train AI/ML models that can be used in the IMT-2020 network. + +The DJL scenarios with respect to the use of network data are as follows: DJL on data from different regions in the IMT-2020 network (sub-scenario 1); DJL on data from different clusters of the same region (sub-scenario 2); DJL on data from different network nodes in the same cluster (sub-scenario 3). + +As far as sub-scenario 1 is concerned, data of different network nodes in different regions can be aggregated and applied through DJL for AI/ML applications. As shown in Figure 7-2, the shaded nodes are data source examples for the scenario. + +![Figure 7-2: Different network nodes in different regions of the same operator's network as data sources for DJL. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Region n' contains 'Network node m'. The 'Network node 1', 'Network node n', and 'Network node m' boxes are shaded. A 'UE' box is connected to the left side of the IMT-2020 network, and an 'AF' box is connected to the right side. The reference 'Y.3186(24)' is at the bottom right.](fc69ceb1dee1da7e33bd6c38fc4ceab9_img.jpg) + +The diagram illustrates different network nodes in different regions of the same operator's network as data sources for DJL. It shows a large container labeled "The IMT-2020 network". Inside this container, there are two main regions: "Region 1" and "Region n". "Region 1" contains "Cluster 1" and "Cluster n". "Cluster 1" contains "Network node 1" and "Network node n". "Region n" contains "Network node m". The "Network node 1", "Network node n", and "Network node m" boxes are shaded. A "UE" (User Equipment) box is connected to the left side of the IMT-2020 network, and an "AF" (Application Function) box is connected to the right side. The reference "Y.3186(24)" is located at the bottom right of the diagram. + +Figure 7-2: Different network nodes in different regions of the same operator's network as data sources for DJL. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Region n' contains 'Network node m'. The 'Network node 1', 'Network node n', and 'Network node m' boxes are shaded. A 'UE' box is connected to the left side of the IMT-2020 network, and an 'AF' box is connected to the right side. The reference 'Y.3186(24)' is at the bottom right. + +**Figure 7-2 – Different network nodes in different regions of the same operator's network as data sources for DJL** + +As far as sub-scenario 2 is concerned, data of different network nodes in the different clusters of the same region can be aggregated and applied through DJL for AI/ML applications. As shown in Figure 7-3, the shaded nodes are data source examples for the scenario. + +NOTE 1 – For example, data from access network nodes, core network nodes, and transport network nodes can be aggregated and applied through DJL. + +![Figure 7-3: Diagram of the IMT-2020 network structure for sub-scenario 2. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Cluster n' contains 'Network node m'. A 'UE' (User Equipment) is connected to the left side of the network, and an 'AF' (Application Function) is connected to the right side. The nodes 'Network node 1', 'Network node n', and 'Network node m' are shaded, indicating they are data source examples.](e9314c83043183351ed74908e9bf2f90_img.jpg) + +Figure 7-3: Diagram of the IMT-2020 network structure for sub-scenario 2. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Cluster n' contains 'Network node m'. A 'UE' (User Equipment) is connected to the left side of the network, and an 'AF' (Application Function) is connected to the right side. The nodes 'Network node 1', 'Network node n', and 'Network node m' are shaded, indicating they are data source examples. + +**Figure 7-3 – Different network nodes in the different clusters of the same region as data sources for DJL** + +As far as sub-scenario 3 is concerned, data of different network nodes in the same cluster can be aggregated and applied through DJL for AI/ML applications. As shown in Figure 7-4, the shaded nodes are data source examples for the scenario. + +NOTE 2 – For example, DJL can be applied among distributed UPF network nodes in the same cluster. + +![Figure 7-4: Diagram of the IMT-2020 network structure for sub-scenario 3. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Cluster n' is empty. A 'UE' (User Equipment) is connected to the left side of the network, and an 'AF' (Application Function) is connected to the right side. The nodes 'Network node 1' and 'Network node n' are shaded, indicating they are data source examples.](5e92d9e8e9ce204e405bff2367f88176_img.jpg) + +Figure 7-4: Diagram of the IMT-2020 network structure for sub-scenario 3. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Cluster n' is empty. A 'UE' (User Equipment) is connected to the left side of the network, and an 'AF' (Application Function) is connected to the right side. The nodes 'Network node 1' and 'Network node n' are shaded, indicating they are data source examples. + +**Figure 7-4 – Different network nodes in the same cluster as data sources for DJL** + +### 7.1.2 The IMT-2020 network enables DJL with the use of network data and external data + +DJL can be used to aggregate network data and external network data in the IMT-2020 network in order to train the AI/ML models that can be used within it. + +Other sources of data can be UEs or AFs. As shown in Figure 7-5, the shaded nodes are data source examples for the scenario. + +![Figure 7-5: Diagram of the IMT-2020 network structure for sub-scenario 4. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Cluster n' is empty. A 'UE' (User Equipment) is connected to the left side of the network, and an 'AF' (Application Function) is connected to the right side. The nodes 'Network node 1', 'Network node n', and the 'AF' are shaded, indicating they are data source examples.](b3c108e7145f2017957569d06ea359cb_img.jpg) + +Figure 7-5: Diagram of the IMT-2020 network structure for sub-scenario 4. The diagram shows a large box labeled 'The IMT-2020 network'. Inside, there are two main regions: 'Region 1' and 'Region n'. 'Region 1' contains 'Cluster 1' and 'Cluster n'. 'Cluster 1' contains 'Network node 1' and 'Network node n'. 'Cluster n' is empty. A 'UE' (User Equipment) is connected to the left side of the network, and an 'AF' (Application Function) is connected to the right side. The nodes 'Network node 1', 'Network node n', and the 'AF' are shaded, indicating they are data source examples. + +**Figure 7-5 – IMT-2020 network nodes as data sources and UEs or AFs as other data sources for DJL** + +NOTE – V2X scenario [b-3GPP TS 22.186] is a typical use case, in which the AF corresponds to the V2X application server function and the UE corresponds to a V2X terminal. + +## 7.2 Scenarios from the perspective of data distribution in DJL + +The operations of vertical federated learning (VFL), horizontal federated learning (HFL) and federated transfer learning (FTL) for data sources are shown in Figure 7-6-a, b and c, respectively. + +![Diagram of Vertical Federated Learning (VFL)](042733dc5e8e7f5f30b60adba3266cde_img.jpg) + +The diagram illustrates Vertical Federated Learning (VFL). It shows two data sets, DATA SET A and DATA SET B, stacked vertically. DATA SET A contains 'Feature set X' with users USER 1, USER 2, USER 3, ..., USER N. DATA SET B contains 'Feature set Y' with users USER 2, USER 3, USER 4, ..., USER M. A red dashed box labeled 'Vertical federated learning' encloses the overlapping users (USER 2 and USER 3) across both data sets. The reference Y.3186(24) is located at the bottom right. + +Diagram of Vertical Federated Learning (VFL) + +**Figure 7-6-a – Vertical federated learning** + +![Diagram of Horizontal Federated Learning (HFL)](1439cb942d9e363bbb3161b5540dd8c6_img.jpg) + +The diagram illustrates Horizontal Federated Learning (HFL). It shows two data sets, DATA SET A and DATA SET B, side-by-side. DATA SET A contains 'User set N' with features Feature 1, Feature 2, Feature 3, ..., Feature X. DATA SET B contains 'User set M' with features Feature 2, Feature 3, Feature 4, ..., Feature Y. A red dashed box labeled 'Horizontal federated learning' encloses the overlapping features (Feature 2 and Feature 3) across both data sets. The reference Y.3186(24) is located at the bottom right. + +Diagram of Horizontal Federated Learning (HFL) + +**Figure 7-6-b – Horizontal federated learning** + +![Diagram illustrating Federated Transfer Learning (FTL). It shows two data sets: DATA SET A (Source domain) and DATA SET B (Destination domain). DATA SET A has features 1, 2, ..., X and users 1, 2, ..., N. DATA SET B has features 4, 5, ..., Y and users 4, 4, ..., M. A red arrow labeled 'Federated transfer learning' points from DATA SET A to DATA SET B, indicating the transfer of knowledge from the source domain to the destination domain.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +**Source domain: DATA SET A** + +| | Feature 1 | Feature 2 | ... | Feature X | +|--------|-----------|-----------|-----|-----------| +| USER 1 | | | | | +| USER 2 | | | | | +| ... | | | | | +| USER N | | | | | + +**Federated transfer learning** → + +| | Feature 4 | Feature 5 | ... | Feature Y | +|--------|-----------|-----------|-----|-----------| +| USER 4 | | | | | +| USER 4 | | | | | +| ... | | | | | +| USER M | | | | | + +**Source domain: DATA SET B** Y.3186(24) + +Diagram illustrating Federated Transfer Learning (FTL). It shows two data sets: DATA SET A (Source domain) and DATA SET B (Destination domain). DATA SET A has features 1, 2, ..., X and users 1, 2, ..., N. DATA SET B has features 4, 5, ..., Y and users 4, 4, ..., M. A red arrow labeled 'Federated transfer learning' points from DATA SET A to DATA SET B, indicating the transfer of knowledge from the source domain to the destination domain. + +**Figure 7-6-c – Federated transfer learning** + +As shown in Figure 7-6-a, VFL – also known as feature-based federated learning – is a type of federated machine learning [ITU-T F.747.13] suitable for scenarios where data is vertically distributed. + +NOTE 1 – The two data sets shown in Figure 7-6-a share the same user identifier (ID) space but differ in feature space. + +NOTE 2 – "Feature" (as used in ML) represents a subset of measurable properties of data items. + +As shown in Figure 7-6-b, HFL is a type of FML suitable for the scenarios where data is horizontally distributed. + +NOTE 3 – The two data sets shown in Figure 7-6-b share the same feature space but differ in user ID space. + +As shown in Figure 7-6-c, FTL is a type of FML suitable for the scenarios where data is heterogeneously distributed. + +NOTE 4 – The two data sets shown in Figure 7-6-c differ in both user ID space and feature space. + +NOTE 5 – FTL takes advantage of transfer learning techniques to provide solutions for different user ID and feature spaces under a federation. If DATA SET A is considered to represent the source domain and DATA SET B the destination domain, FTL learns the distribution of features in the former and migrates it to the latter, while the local data does not leave the local area. + +The IMT-2020 network may enable DJL with the use of VFL. + +Data generated by a user (same user ID) in the IMT-2020 network with different features (i.e., from different sources) can be collected, analysed, and used to train a model that can obtain more comprehensive preferences and characteristics of the user. + +The IMT-2020 network may enable DJL with the use of HFL. + +Data generated by different users (different user IDs) in the IMT-2020 network with the same feature can be collected and analysed, and used to train a model that can be more appropriate to characterize these users. + +The IMT-2020 network may enable DJL with the use of FTL. Data generated by different users (different user IDs) in the IMT-2020 network with different features can be collected, analysed, and used to train a model from one data set, this model is then transferred to another data set, and so on: this allows performance improvement of the model through coordination among the different data sets. + +# **8 Requirements of DJL in future networks including IMT-2020** + +Based on the high-level architectural requirements for the design of the architectural framework for ML in future networks including IMT-2020 described in [ITU-T Y.3172], and those for ML model serving described in [ITU-T Y.3179], the following high-level requirements of DJL in future networks including IMT-2020 are derived. + +## **8.1 JL task management** + +This clause describes high-level requirements related to DJL task management to enable ML in future networks including IMT-2020. + +REQ-DJL-TASK-001: The architectural framework for DJL is required to support task orchestration, including decomposing tasks into different ML functions according to their requirements. + +NOTE – ML functions include data collection and processing, AI model training and AI model-training collaboration. + +REQ-DJL-TASK-002: The architectural framework for DJL is required to support task assignment and control, including task decomposition, selection of appropriate ML function nodes to participate in federated learning, task balancing according to the status of resources and the task load of all DJL participants, and task life cycle management. + +REQ-DJL-TASK-003: The architectural framework for DJL is required to support task execution status tracking, including monitoring of the execution and completion status of tasks, and evaluation of the quality of the task execution process in real time. + +REQ-DJL-TASK-004: The architectural framework for DJL is required to support task scheduling and optimization, including DJL node selection and network parameter configuration. + +REQ-DJL-TASK-005: The architectural framework for DJL is required to support the coordination of tasks and the synchronization of intermediate results between DJL participants, and the transmission of model parameters and intermediate results among different participants in order to ensure the efficiency of task execution. + +## **8.2 DJL node management** + +This clause describes high-level requirements related to DJL node management to enable ML in future networks including IMT-2020. Registration, selection and collaborative mechanisms of DJL nodes are required to be supported by their management functionalities. + +REQ-DJL-NODE-001: The architectural framework for DJL is required to support the running of ML functions on DJL nodes. + +REQ-DJL-NODE-002: The architectural framework for DJL is required to support coordination among DJL nodes, including model parameter aggregation and distribution of aggregation parameters. + +NOTE 1 – The task of parameter aggregation can be undertaken by a central DJL node or decentralized DJL nodes. + +REQ-DJL-NODE-003: The architectural framework for DJL is required to support the participation in and exit of DJL nodes from task training, in order to ensure the stability of DJL node management. + +NOTE 2 – The stability of DJL node management refers to node management adaptation to changes in the number of DJL participating nodes in order to maintain continuity of the task training. + +REQ-DJL-NODE-004: The architectural framework for DJL is required to support optimization mechanisms to improve training efficiency, such as data compression and asynchronous training. + +## **8.3 DJL resource management** + +This clause describes high-level requirements related to DJL resource management to enable ML in future networks including IMT-2020. + +REQ-DJL-RES-001: The architectural framework for DJL is required to support the selection strategy of DJL nodes according to the computing resource status of DJL nodes and the communication resource status of network. + +NOTE 1 – As indicated in Note 2 in clause 7.2 of [ITU-T Y.3179], computing resources may include capabilities of a graphics processing unit, central processing unit and field programmable gate array. + +NOTE 2 – As indicated in Note 4 in clause 7.2 of [ITU-T Y.3179], communication resources may include the specific radio bearer and bandwidth to fulfil latency and throughput requirements. + +## **8.4 DJL model management** + +This clause describes high-level requirements related to DJL model management to enable ML in future networks including IMT-2020. + +REQ-DJL-MODEL-001: The architectural framework for DJL is required to support DJL model storage. + +REQ-DJL-MODEL-002: The architectural framework for DJL is required to support the creation, retrieval, update and deletion of DJL models. + +NOTE 1 – For a given application scenario, due to different performance requirements, such as accuracy or size, model-training requirements may differ. Therefore, the DJL architecture needs to have the ability to train matching models based on performance requirements. + +REQ-DJL-MODEL-003: The architectural framework for DJL is required to support partition and aggregation of DJL models. + +NOTE 2 – As an example, in some application scenarios where deep neural network models are trained, the training cost of large models is very high. By segmenting the deep neural network model, some DJL nodes are responsible for training the partial instead of the whole model. After training of the segmented model is complete, the whole model can be obtained by merging the partial models. This model segmentation strategy reduces the transmission amount of training parameters at a specific time and improves communication efficiency. + +NOTE 3 – Due to the continuous generation of data, the trained model needs to be iterated to adapt to the latest requirements, so model aggregation is a way to update the model iteratively. In this case, the weighted aggregation of models is supported according to their performance. + +REQ-DJL-MODEL-004: The architectural framework for DJL is required to support secure management of models. + +REQ-DJL-MODEL-005: The architectural framework for DJL is required to support model version control for their comparison and rollback to previous versions if needed. + +REQ-DJL-MODEL-006: The architectural framework for DJL is required to support logging of models to track model usage. + +## **8.5 DJL data management** + +This clause describes high-level requirements related to DJL data management to enable ML in future networks including IMT-2020. + +REQ-DJL-DAT-001: The architectural framework for DJL is required to support management of data from different data sources. + +REQ-DJL-DAT-002: The architectural framework for DJL is required to support storage of data from multiple data sources. + +REQ-DJL-DAT-003: The architectural framework for DJL is required to support real-time acquisition of distributed data. + +REQ-DJL-DAT-004: The architectural framework for DJL is required to support data real-time backup and retrieval. + +## **8.6 DJL interfaces** + +This clause describes the high-level requirements related to DJL interfaces to enable ML in future networks including IMT-2020. + +REQ-DJL-INT-001: Compatible and standardized interfaces are required to support coordination among datasets sharing the same features and characteristics for HFL. + +REQ-DJL-INT-002: Compatible and standardized interfaces are required to coordinate intermediate results between decentralized data collection, storage, and processing entities for VFL. + +REQ-DJL-INT-003: Compatible and standardized interfaces are required to support model reuse or transfer for FTL in future networks. + +## **8.7 DJL connectivity** + +This clause describes high-level requirements related to DJL connectivity to enable ML in future networks including IMT-2020. + +REQ-DJL-CON-001: The architectural framework for DJL is required to support data transfer among DJL nodes, and the transmission delay is required to be less than the maximum tolerable for each DJL node. + +## **8.8 DJL reliability management** + +This clause describes high level requirements related to DJL reliability to enable ML in future networks including IMT-2020. + +REQ-DJL-ABN-001: The architectural framework for DJL is required to support real-time detection of abnormal conditions. + +REQ-DJL-ABN-002: The architectural framework for DJL is required to support recording of information concerning self-correction and self-adjustment based on abnormal event handling. + +## **8.9 DJL security and privacy protection** + +This clause describes high-level requirements related to DJL security and privacy protection to enable ML in future networks including IMT-2020. + +REQ-DJL-SEC-001: The architectural framework for DJL is required to support privacy preservation of training data and training models. + +NOTE 1 – Privacy preservation refers to the avoidance of information leakage. Aggregated information from the models provided by DJL clients does not leak source data information, and attackers cannot infer the participant information by eavesdropping model parameters during the training or inference stages. + +REQ-DJL-SEC-002: The architectural framework for DJL is required to support DJL nodes that can trust each other to avoid false attacks. + +NOTE 2 – This also allows DJL nodes to receive and send data from or to other components without being blocked. + +REQ-DJL-SEC-003: The architectural framework for DJL is required to support data security mechanisms for data privacy, such as differential privacy and homomorphic encryption. + +REQ-DJL-SEC-004: The architectural framework for DJL is required to support the identification of exceptions of training updates from DJL clients, and the deletion of training updates that may cause communication or processing errors. + +# 9 Framework of DJL in future networks including IMT-2020 + +This clause specifies those architectural components that are essential parts of the DJL architectural framework. Integration of such components into a network architecture by interfacing with the ML underlay network, along with the placement of the ML functionalities in such a network, forms the architecture framework of DJL. + +## 9.1 Architectural components of DJL + +Architectural components for DJL, as shown in Figure 9-1, comprise five different components: ML consumer; machine learning function orchestrator (MLFO) services function; data services function; training services function; and model repository. + +![Figure 9-1: Architectural components for DJL. The diagram shows the interaction between five main components: ML consumer, MLFO services function, Data services function, Training services function, and Model repository. The ML consumer is on the left, connected to the MLFO services function by a dashed arrow. The MLFO services function is at the top, connected to the Data services function by a solid double-headed arrow. The Data services function is in the center, containing 'Data collection' and 'Data processing' sub-components. Below it is the Training services function, which contains 'DJL server' and 'DJL client' sub-components. The MLFO services function is also connected to the Training services function by a solid double-headed arrow. The Training services function is connected to the Model repository (a cylinder) by a solid arrow. The MLFO services function is also connected to the Model repository by a dashed arrow. A legend at the bottom indicates that dashed arrows represent 'Control signalling data' and solid arrows represent 'Training service-related data'. The reference 'Y.3186(24)' is noted at the bottom right.](33a8f3f01dfa8bce75d23017855a13c5_img.jpg) + +``` +graph TD + ML_consumer[ML consumer] + MLFO_services[MLFO services function] + subgraph Data_services [Data services function] + Data_collection[Data collection] + Data_processing[Data processing] + end + subgraph Training_services [Training services function] + DJL_server[DJL server] + DJL_client[DJL client] + end + Model_repository[(Model repository)] + + ML_consumer -.-> MLFO_services + MLFO_services <--> Data_services + Data_services <--> Training_services + MLFO_services <--> Training_services + Training_services --> Model_repository + MLFO_services -.-> Model_repository +``` + +←-----> Control signalling data      <-----> Training service-related data + +Y.3186(24) + +Figure 9-1: Architectural components for DJL. The diagram shows the interaction between five main components: ML consumer, MLFO services function, Data services function, Training services function, and Model repository. The ML consumer is on the left, connected to the MLFO services function by a dashed arrow. The MLFO services function is at the top, connected to the Data services function by a solid double-headed arrow. The Data services function is in the center, containing 'Data collection' and 'Data processing' sub-components. Below it is the Training services function, which contains 'DJL server' and 'DJL client' sub-components. The MLFO services function is also connected to the Training services function by a solid double-headed arrow. The Training services function is connected to the Model repository (a cylinder) by a solid arrow. The MLFO services function is also connected to the Model repository by a dashed arrow. A legend at the bottom indicates that dashed arrows represent 'Control signalling data' and solid arrows represent 'Training service-related data'. The reference 'Y.3186(24)' is noted at the bottom right. + +**Figure 9-1 – Architectural components for DJL** + +With reference to Figure 9-1, the dashed data arrows show the paths of control signal interaction between DJL components, and the continuous line data arrows show the path of the training traffic data between DJL components. + +[ITU-T Y.3115] specifies a cross-domain collaboration framework for the process of achieving overall network intelligence. The architecture framework of DJL is the enhancement of this cross-domain collaboration framework: it specifies in more detail the MLFO services function, the training services function and the data services function, as well as the interaction between these functions; it also specifies deployment modes of these functions to support DJL. Clauses 9.1.1 to 9.1.5 detail the different architectural components. + +### 9.1.1 Training services function + +This component is an ML function that consists of specific functionalities for DJL, including DJL server and DJL client functionalities. + +The nodes with DJL functionalities can be deployed in a distributed manner, where a DJL client node is a distributed learning execution node, which is responsible for model training based on local data, and a DJL server node is a parameter aggregation node, which is responsible for aggregating model parameters of several DJL client nodes in order to achieve joint learning among multiple DJL client nodes without exposing their private data. This distributed deployment constitutes a typical deployment of the training services function. + +NOTE 1 – The training services function component provides training services as specified in [ITU-T Y.3115]. + +Specifically, the DJL client gets training data from the corresponding data service according to the configuration of the MLFO services function and performs iterative training processes for several rounds. The parameter value in training model is sent to the DJL servers, which aggregate the gradient information from multiple DJL clients according to the aggregation policy to generate new model parameters. The new model parameters are then sent to DJL clients, which continue to execute the next round of the training process until the exit criteria are met. Finally, the trained model is sent to the ML consumer and the MLFO services function is notified. + +NOTE 2 – The DJL server and DJL clients are registered with the MLFO services function so that they can be discovered during the orchestration of DJL (see clause 9.1.4). + +NOTE 3 – The training services function receives DJL task instructions from the MLFO services function. The quality of service (QoS) requirement of a DJL task may include the accuracy and size of the generated AI model. + +NOTE 4 – Gradient [b-Shome] is an example of the parameters used for iterative optimization in DJL algorithms. + +### 9.1.2 Data services function + +This component is an ML function that consists of specific functionalities for DJL, including those for data collection and data processing, the last one including data cleaning and data normalization. The DJL nodes supporting data collection or data processing can be deployed in a distributed manner. The component provides data services to the training services function. + +NOTE 1 – The data services function provides authorized consumers with the capabilities of collecting, processing, retrieving and sharing data as defined in [ITU-T Y.3115]. + +NOTE 2 – Normalization of the data [b-ETSI GS ENI 005] enables ML models to learn more quickly the optimal parameters for each DJL node. It also reduces complex computational problems associated with floating point number precision. + +### 9.1.3 ML consumer + +This component is the consumer of DJL services, which requests from the MLFO services function. The training services function performs specific DJL tasks and returns the DJL results to the ML consumer. + +The ML consumer may be not only an internal NF of the IMT-2020 network, i.e., an internal ML consumer, but also an external ML consumer, such as a UE, an AF, which requests DJL services from the IMT-2020 network via an exposure interface. + +### 9.1.4 MLFO services function + +This component is responsible for the management and orchestration of the DJL nodes of ML pipelines in the IMT-2020 network [ITU-T Y.3172]. + +It includes three functionalities, namely task management and status monitoring, task analysis, and network connection control, as shown in Figure 9-2. The first two are jointly responsible for analysing and orchestrating tasks in the MLFO, and the third is responsible for monitoring, controlling, and optimizing data transmission connections between DJL nodes. Details of the three functionalities follow. + +- The task management and status-monitoring functionality is responsible for the information registration and dynamic monitoring of the DJL nodes. The complex information of DJL nodes (e.g., node ID, survival status, resource status and data category) and DJL node relationships (e.g., different DJL nodes with complementary or similar data categories for the same DJL task) may be organized and extracted based on the knowledge graph technique [b-Tian]. +- The task analysis functionality is responsible for parsing DJL service requests from the ML consumer into corresponding DJL tasks, providing the analysis of the selection strategy of + +DJL nodes and orchestrating the DJL nodes of ML pipelines [ITU-T Y.3172]. The analysis of the DJL node selection strategy is based on the requirements of the DJL tasks and the DJL node information from the task management and status monitoring functionality. + +- The network connection control functionality is responsible for the optimization of data transmission connections when the quality of the network connections between the DJL nodes does not meet the QoS requirements of DJL tasks. + +NOTE 1 – [ITU-T Y.3172] specifies the MLFO as a logical node with functionalities that manage and orchestrate the nodes of an ML pipeline. The architectural framework of DJL extends the MLFO functionalities as described in [ITU-T Y.3172] in order to support DJL scenarios. + +NOTE 2 – The knowledge graph technique organizes information in a structured way and explicitly describes complex relationships between entities. In DJL, a knowledge graph may be constructed by using the information of multiple DJL nodes in order to represent the relationships among DJL nodes and make the selection of DJL nodes fast and comprehensive. + +![Diagram of MLFO services function components](10781f43062bf3e9601a1e086710556c_img.jpg) + +The diagram illustrates the functional components of the MLFO services function. It consists of a large rectangular container labeled "MLFO services function" at the top center. Inside this container, there are three smaller, rounded rectangular boxes arranged horizontally. From left to right, these boxes are labeled: "Task management and status monitoring", "Task analysis", and "Network connection control". The reference "Y.3186(24)" is located at the bottom right corner of the diagram. + +Diagram of MLFO services function components + +**Figure 9-2 – Functionalities of the MLFO services function** + +### 9.1.5 Model repository + +This component is a repository of ML models, from where ML models can be retrieved for the purpose of ML model serving [ITU-T Y.3179]. + +## 9.2 Architectural framework + +The components for DJL described in clause 9.1 can be integrated into the architectural framework for DJL in future networks including IMT-2020, as shown in Figure 9-3. + +![Figure 9-3 – Architectural framework for DJL. The diagram illustrates the interaction between the ML overlay and ML underlay networks. The ML overlay (top) contains the MLFO services function, data services functions (with data collection/processing), training services functions (with DJL clients), and a model repository. The ML underlay networks (bottom) consist of multiple networks (e.g., NF 1 to NF n) interfacing with UEs and AFs. UEs and AFs contain data collection/processing and DJL server/client components. Dashed arrows represent control signalling data, and solid arrows represent training service-related data. A legend at the bottom identifies the ML consumer (star symbol), control signalling data (dashed arrow), and training service-related data (solid arrow). Reference Y.3186(24) is noted in the bottom right.](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +★ ML consumer    $\dashleftarrow \dashrightarrow$ Control signalling data    $\longleftrightarrow$ Training service-related data + +Y.3186(24) + +Figure 9-3 – Architectural framework for DJL. The diagram illustrates the interaction between the ML overlay and ML underlay networks. The ML overlay (top) contains the MLFO services function, data services functions (with data collection/processing), training services functions (with DJL clients), and a model repository. The ML underlay networks (bottom) consist of multiple networks (e.g., NF 1 to NF n) interfacing with UEs and AFs. UEs and AFs contain data collection/processing and DJL server/client components. Dashed arrows represent control signalling data, and solid arrows represent training service-related data. A legend at the bottom identifies the ML consumer (star symbol), control signalling data (dashed arrow), and training service-related data (solid arrow). Reference Y.3186(24) is noted in the bottom right. + +**Figure 9-3 – Architectural framework for DJL** + +The integration of the components for DJL by interfacing them with the NFs of the ML underlay network, along with the placement of the ML functionalities in such a network, forms the architecture framework for DJL. + +The ML overlay comprises ML components for DJL including ML consumer, MLFO services function, data services function, training services function and model repository, as described in clause 9.1. + +The DJL components (within the ML overlay) interact with each other to handle control signalling data required for DJL tasks and to handle training service-related data required for DJL tasks. + +The DJL components (within the ML overlay) interact with the ML underlay network to handle control signalling data required for DJL service requests and notifications, as well as to handle training service-related data required for DJL tasks when collecting network and external data. + +The DJL nodes with the functionalities of the training services function and the data services function can be deployed in a distributed manner. These DJL nodes can not only be deployed on an ML overlay, but also on UEs and AFs. + +NOTE 1 – Figure 9-3 shows a distributed deployment of the training services function component (the DJL server and DJL client functionalities are typically distributed). + +The ML underlay networks as described in [ITU-T Y.3172] are a set of telecommunication networks, and their related NFs, which interface with corresponding ML overlays. + +NOTE 2 – The two distinct ML underlay networks (numbered 1 and 2) aim to illustrate different types of technology-specific ML underlay networks, such as an IMT-2020 network [b-ITU-T Y.3104] and an IP network [b-ITU-T Q.1742.3]. + +## **9.3 Deployment options of the DJL components** + +### **9.3.1 DJL nodes deployed on a machine learning overlay** + +The DJL nodes of MLFO, DJL server, DJL client, data collection and data processing are deployed on an ML overlay in the IMT-2020 network. This option is applied for DJL scenarios with the use of network data, which are described in clause 7.1.1. + +The DJL nodes deployed in a distributed manner on an ML overlay interact and exchange training service-related data with other DJL nodes in the ML underlay network. + +### **9.3.2 DJL nodes deployed on UEs and AFs** + +The DJL nodes of DJL server, DJL client, and data collection and data processing are deployed on UEs and AFs. This option is applied for DJL scenarios with the use of network data and external data, which are described in clause 7.1.2. + +The DJL nodes deployed on UEs interact with other DJL nodes for control signalling data in the control plane and exchange training service-related data with other DJL nodes in the user plane in the IMT-2020 network. + +The DJL nodes deployed on AFs interact with other DJL nodes for control signalling data through the exposure interface of the ML underlay network, and exchange training service-related data with other DJL nodes in the ML underlay network. + +## **9.4 DJL data transmission optimization** + +As described in requirement REQ-DJL-CON-001, the quality assurance of data transmission between DJL nodes is important for the performance of DJL. + +NOTE – During the running of DJL, a large amount of training service-related data is transmitted among DJL server, DJL clients and data services function. Therefore, high-quality transmission is required, otherwise, the performance of DJL may be affected. + +In order to achieve the optimization of data transmission between DJL nodes, the MLFO interacts with the ML underlay network to establish optimal data transmission connections in the ML underlay network. Clauses 9.4.1 and 9.4.2 describe how data transmission optimization is achieved. + +### **9.4.1 DJL data transmission optimization based on network control in the ML underlay network** + +When DJL nodes are deployed on an ML overlay or AFs, data transmission between the DJL nodes is carried on the ML underlay network. The dynamic optimization of the data transmission connections between DJL nodes can be achieved by the network control functions in the ML underlay network, upon request by the MLFO. + +NOTE – Take the IP network as an example of ML underlay network: an IP network includes two relevant components from the data transmission viewpoint, software defined networking (SDN) controller and router. The SDN controller is responsible for the routing policy in the IP network, the router executes the routing policy. They cooperate with each other to realize the routing and optimization of IP-based packet data transmission. When the quality of the data transmission between the DJL nodes does not meet service requirements, the MLFO may interact with the IP network to request the optimization of the data transmission connections, so that the performance of the DJL may be improved. + +### 9.4.2 DJL data transmission optimization based on policy control in the IMT-2020 network + +When DJL nodes are deployed on UE, dynamic optimization of the data transmission connections between DJL nodes can be achieved by policy control function (PCF) [ITU-T Y.3102], which is responsible for the control and management of policy rules for QoS enforcement. + +When the quality of the data transmission between the DJL nodes does not meet service requirements, the MLFO sends a data transmission connection optimization request to the PCF, and the PCF configures policy rules, including rules for QoS enforcement and traffic routing of the UE IP flow [ITU-T Y.3102] according to the data transmission connection optimization requirements in order to achieve the data transmission optimization. + +# 10 Flow diagram for DJL + +Figure 10-1 is a flow diagram for DJL. + +![Flow diagram for DJL showing interactions between ML consumer, MLFO, DJL server, DJL clients, Data services function, and ML underlay network.](7d3d5fb5d09c0cd35a9d637be241651e_img.jpg) + +``` +sequenceDiagram + participant ML_consumer as ML consumer + participant MLFO + participant DJL_server as DJL server + participant DJL_clients as DJL clients + participant Data_services as Data services function + participant ML_underlay as ML underlay network + + ML_consumer->>MLFO: 1. DJL service request + MLFO->>ML_consumer: 2. Analysis and orchestrate the DJL nodes of ML pipeline + MLFO->>DJL_server: 3. Send the information related to the ML pipeline orchestration results + MLFO->>DJL_clients: 3. Send the information related to the ML pipeline orchestration results + MLFO->>Data_services: 3. Send the information related to the ML pipeline orchestration results + DJL_server-->>DJL_clients: 4. Run DJL tasks + DJL_clients-->>Data_services: 4. Run DJL tasks + DJL_server-->>MLFO: 5. Request the optimization of data transmission connections among DJL nodes + DJL_clients-->>MLFO: 5. Request the optimization of data transmission connections among DJL nodes + Data_services-->>MLFO: 5. Request the optimization of data transmission connections among DJL nodes + ML_underlay-->>MLFO: 6. Optimize data transmission connections among DJL nodes + MLFO->>ML_consumer: 7. Response to the DJL service request +``` + +Y.3186(24) + +Flow diagram for DJL showing interactions between ML consumer, MLFO, DJL server, DJL clients, Data services function, and ML underlay network. + +**Figure 10-1 – Flow diagram for DJL** + +1. The ML consumer sends a DJL service request to the MLFO. +2. Upon receipt of the DJL service request, the MLFO analyses the strategy for DJL node selection and orchestrates the DJL nodes of the ML pipeline. +3. The MLFO sends the information related to the ML pipeline orchestration results to the selected DJL nodes including DJL server, DJL clients and data services function. +4. The selected DJL nodes collaborate with each other to run DJL tasks, including data collection, data processing, model training and model parameter aggregation. +5. When the MLFO detects that the data transmission quality among the DJL nodes is lower than the set threshold, the data transmission optimization process is triggered. The MLFO requests the network control functions to optimize the data transmission connections among the DJL nodes in the ML underlay network. +6. The optimization of the data transmission connections among the DJL nodes is performed in the ML underlay network. + +NOTE – Steps 5 and 6 can be triggered on demand throughout the running of the DJL tasks. + +7. The response to the DJL service request is notified to the ML consumer after the DJL tasks are completed. + +# **11 Security considerations** + +The security and privacy related requirements specified in [ITU-T Y.3172] are applicable to this Recommendation. + +High-level requirements related to DJL security and privacy protection are addressed in clause 8.9. + +When the IMT-2020 network exposes its capabilities to third parties, including by exchanging DJL control signalling data, authentication and authorization of third parties to access the exposed network capabilities is required. + +# Bibliography + +- [b-ITU-T Q.1742.3] Recommendation ITU-T Q.1742.3 (2004), *IMT-2000 references (approved as of 30 June 2003) to ANSI-41 evolved core network with cdma2000 access network*. +- [b-ITU-T Y.3104] Recommendation ITU-T Y.3104 (2018), *Architecture of the IMT-2020 network*. +- [b-3GPP TS 22.186] Technical Specification 3GPP TS 22.186 V18.0.1 (2024), *Enhancement of 3GPP support for V2X scenarios: Stage 1 (Release 18)*. +- [b-ETSI GR ENI 004] Group Report ETSI GR ENI 004 V3.1.1 (2023), *Experiential networked intelligence (ENI); Terminology*. +- [b-ETSI GS ENI 005] Group Specification ETSI GS ENI 005 V3.1.1 (2023), *Experiential networked intelligence (ENI); System architecture*. +- [b-Shome] Shome, D., Waqar, O., Khan, W.U. (2021). Federated learning and next generation wireless communications: A survey on bidirectional relationship. *Trans. Emerg. Telecom. Technol.* **33**(7), e4458. DOI: 10.1002/ett.4458 +- [b-Tian] Tian, L., Zhou, X., Wu, Y.P., Zhou, W.T., Zhang, J.H., Zhang, T.S. (2022), Knowledge graph and knowledge reasoning: A systematic review. *J. Electron. Sci. Technol.* **20**(2), 100159. DOI: 10.1016/j.jnlest.2022.100159 + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects 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Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3208 + +# Fixed, mobile and satellite convergence – Session management with satellite backhaul for IMT-2020 networks and beyond + +## Summary + +Fixed, mobile and satellite convergence (FMSC) is the capability that provides services and applications to end users regardless of the fixed, mobile or satellite access technologies. Recommendation ITU-T Y.3208 specifies the session management (SM) requirements, framework, procedures, and security considerations for the FMSC with satellite backhaul in the IMT-2020 networks and beyond. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3208 | 2024-09-13 | 13 | 11.1002/1000/16107 | + +## Keywords + +FMSC, IMT-2020, satellite backhaul, session management. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|------------------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 1 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview..... | 3 | +| 7 Requirements of the SM for FMSC with satellite backhaul..... | 5 | +| 8 Framework of FMSC with satellite backhaul..... | 5 | +| 9 Service procedures of SM for FMSC with satellite backhaul ..... | 7 | +| 9.1 Session establishment procedure for satellite backhaul ..... | 7 | +| 9.2 Dynamic delay monitoring and QoS adaptation procedure for satellite
backhaul..... | 8 | +| 9.3 Event report procedure for changing the backhaul delay to PCF/AF ..... | 9 | +| 10 Security considerations..... | 10 | +| Appendix I – The normative work for satellite backhaul connection in 3GPP ..... | 11 | +| Bibliography..... | 12 | + + + +# Recommendation ITU-T Y.3208 + +# Fixed, mobile and satellite convergence – Session management with satellite backhaul for IMT-2020 networks and beyond + +## 1 Scope + +This Recommendation aims to describe the session management (SM) framework for fixed, mobile and satellite convergence (FMSC) with satellite backhaul in IMT-2020 networks and beyond. This Recommendation covers the following issues: + +- Requirements of SM for supporting FMSC with satellite backhaul in IMT-2020 networks and beyond. +- Framework of SM for FMSC with satellite backhaul. +- Service procedures for FMSC with satellite backhaul. +- Security considerations. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. + +[ITU-T Y.3130] Recommendation ITU-T Y.3130 (2018), *Requirements of IMT-2020 fixed mobile convergence*. + +[ITU-T Y.3200] Recommendation ITU-T Y.3200 (2022), *Fixed, mobile and satellite convergence – Requirements for IMT-2020 networks and beyond*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 fixed, mobile and satellite convergence** [ITU-T Y.3200]: The capabilities that provide services and applications to end users regardless of the fixed, mobile or satellite access technologies being used independently of the users' location. + +**3.1.2 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +### 3.2 Terms defined in this Recommendation + +None. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-----------------------------------------| +| ACK | Acknowledgement | +| AF | Application Function | +| BP | Branch Point | +| CEF | Capability Exposure Function | +| CN | Core Network | +| CP | Control Plane | +| DNS | Domain Name System | +| FMSC | Fixed, Mobile and Satellite Convergence | +| GEO | Geostationary Earth Orbit | +| GPRS | General Packet Radio Service | +| GSO | Geostationary Orbit | +| GTP-U | GPRS Tunneling Protocol – User plane | +| HEO | High Earth Orbits | +| ID | Identifier | +| IP | Internet Protocol | +| ISL | Inter-Satellite Link | +| LEO | Low Earth Orbit | +| MEC | Multiple-access Edge Computing/Cloud | +| MEO | Medium Earth Orbit | +| NACF | Network Access Control Function | +| NFR | Network Function Registry | +| NGSO | Non-Geostationary Satellite Orbit | +| PCC | Policy and Charging Control | +| PCF | Policy Control Function | +| PDU | Packet Data Unit | +| PSA | PDU Session Anchor | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| RAN | Radio Access Network | +| SM | Session Management | +| SMF | Session Management Function | +| TCP | Transmission Control Protocol | +| UE | User Equipment | +| UP | User Plane | +| UPF | User Plane Function | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +## 6 Overview + +It is well known that satellites can provide mobile broadband access to end users even in areas without terrestrial network coverage, e.g., deserts or oceans. Since satellites can provide mobile broadband access with continuous coverage, they are used by operators to provide backhaul service for access nodes in fringe areas (e.g., remote rural areas) and in cases of emergency or temporary measure (e.g., a disaster area or in place of a microwave link while waiting for licence approval). + +Figure 6-1 shows the FMSC with the satellite backhaul use case. + +![Diagram of FMSC with satellite backhaul use case showing GSO and NGSO satellite links to access nodes and a core network.](0b87abe67b21a93777287649c33e755d_img.jpg) + +The diagram illustrates a satellite backhaul use case for Fixed Mobile Service (FMS). On the left, a box contains a mobile phone icon and two access nodes: a 'Fixed access node' and a 'Mobile access node'. A 'GSO' (Geostationary Orbit) satellite is positioned at the top, connected to the access nodes via 'User link' (blue lightning bolts). A 'NGSO satellite' (Non-Geostationary Orbit) is shown in a dashed box, connected to the access nodes via 'User link' (green lightning bolts). The NGSO satellite is also connected to the GSO satellite via 'ISL' (Inter-Satellite Link). On the right, a 'Satellite gateway' is connected to the GSO satellite via a 'Feeder link' (blue lightning bolt) and to the NGSO satellite via a 'Feeder link' (green lightning bolt). The gateway is connected to an 'IMT-2020 FMC network' cloud. The label 'Y.3208(24)' is located at the bottom right of the diagram. + +Diagram of FMSC with satellite backhaul use case showing GSO and NGSO satellite links to access nodes and a core network. + +**Figure 6-1 – FMSC with satellite backhaul use case** + +When the fixed access node and mobile access node are deployed in the desert or in a ship that does not deploy the terrestrial backhaul (e.g., optical fibre), the fixed access node and mobile access node can connect the core network (CN) through the satellite backhaul. Different satellite backhaul types, such as the geostationary orbit (GSO) satellite backhaul and the non-geostationary satellite orbit (NGSO) satellite backhaul, can connect the access node and the CN. The GSO satellite includes geostationary Earth orbit (GEO) satellite. The NGSO satellite includes the high Earth orbit (HEO), medium Earth orbit (MEO) and low Earth orbit (LEO). + +When a mobile access node or fixed node connects to the CN via the NGSO satellite link, the satellite providing backhaul link will dynamically change due to the movement of GSO satellites. When only one satellite link can be used simultaneously, the access node or fixed node will be subject to transport layer service interruption and packet loss, which significantly impacts the quality of experience (QoE) of users connecting to this access node or fixed node. Therefore, the access node or fixed node shall be able to support multiple satellite links as backhaul connections, to avoid this service interruption and packet loss. + +In the terrestrial IMT-2020 network, the backhaul connections are mostly over optical fibre or short-distance wireless connection, which have negligible latency. However, if a non-terrestrial backhaul is in use, e.g., satellite, there would be long packet delivery latency, impacting the service support. For NGSO satellites, if the inter-satellite link (ISL) is used to support the backhaul connection between the access node and CN, there is a possibility that the latency introduced by the satellite backhaul is higher than the delay budget supposed by some services. The IMT-2020 network shall be able to be aware of the latency introduced by the satellite backhaul and then select/determine suitable quality of service (QoS) parameters. + +When an ISL is involved in the backhaul connection, the satellite backhaul category cannot be determined based only on network configuration. It cannot represent the latency over the satellite backhaul, as delay introduced by multi-hops of ISL may contribute largely to whole backhaul latency, which makes the policy control function (PCF) and application function (AF) not know whether existing QoS requirements can be met. When the backhaul connection of an access node is changed (e.g., between satellite and terrestrial backhauls, between different types of satellite backhauls, or between satellite backhaul with ISL and feeder link), the access node may be subject to service interruption, or user plane (UP) connection lost if the access node's Internet protocol (IP) address changes. When an access node has a discontinuous backhaul, e.g., due to a discontinuous satellite beam projected by a sparse satellite constellation, there will be interruptions for signalling/data transmission. + +The access node may use different control plane (CP) transport layer information for satellite backhauls on the access network (AN) interface for FMSC scenarios. The network access control function (NACF) determines the satellite backhaul category (e.g., GEO, HEO, MEO or LEO) based on the local configuration access node identifier (ID) and CP transport layer information used by the access node on the AN interface. + +The IMT-2020 network can use the multi-hops of ISL or multi-types of backhaul, and an access node may have UP connections, each of which is over different satellites. Before establishing the UP connection of the packet data unit (PDU) session, the NACF may not know what kind of satellite backhaul is used to serve the PDU session. In such a case, a single satellite backhaul category alone is not enough to describe the dynamic satellite backhaul characteristics. In addition, since the backhaul information (e.g., backhaul delay or backhaul category) can be changed/adjusted dynamically, the AF may request the backhaul information for application layer optimization or adjustment. + +When the backhaul between the access node and user plane function (UPF) uses satellites, the ISL may be changed due to the satellite movement. This modification of the transmission path may happen without user equipment (UE) mobility due to the ISL changing, which is usually not perceived by the CN. The change in the transmission path may increase the transmission latency and cause performance decline and user experience degradation, especially for transmission control protocol (TCP)-based applications. In such cases, the traffic of the service flow of an application may need in-sequence delivery by the network. + +When the satellite deploys the multiple-access edge computing/cloud (MEC), the UE can achieve an efficient service delivery through the reduced end-to-end latency and load on the transport network. To enable MEC service to be deployed on the satellite, the MEC should be connected through a UPF deployed onboard. + +The UE should discover the IP address of the MEC onboard using a domain name system (DNS) based on the service requirement. If the UE selects the suitable MEC onboard, the session management function (SMF) should select the UPF onboard with the MEC. The SMF can select the UPF as anchor UPF or branch point (BP) UPF, based on the operator's policy. + +## **7 Requirements of the SM for FMSC with satellite backhaul** + +The requirements of the SM for the FMSC network with satellite backhaul are as follows: + +- The IMT-2020 network is required to support the detection of the packet delivery latency change over satellite backhaul. +- The IMT-2020 network is required to support the detection of the bandwidth change over satellite backhaul. +- The IMT-2020 network is required to determine suitable QoS parameters based on the awareness of packet delivery latency and bandwidth over the satellite backhaul. +- The IMT-2020 network is required to support stationary and/or moving platform-mounted access nodes and select the available backhaul(s). +- The IMT-2020 network is required to expose the backhaul information to AF for selecting the suitable backhaul. +- The IMT-2020 network is required to provide the mechanism to prevent packet out-of-sequence introduced by dynamic satellite backhaul. +- The IMT-2020 network is required to enhance the network function to support the satellite backhaul. +- The IMT-2020 network is required to provide the satellite backhaul information (e.g., the satellite backhaul category or the delay) for charging and network statistics. +- The IMT-2020 network is required to deploy the UPF onboard and MEC onboard. +- The IMT-2020 network is required to provide the mechanism to discover the MEC onboard, e.g., MEC onboard can be discovered by pre-configuration or by the network function registry (NFR). +- The NACF is required to notify the UP connection information of the satellite backhaul to the SMF. +- The SMF is required to trigger path monitoring when the satellite backhaul is used and report the QoS monitoring results to the PCF. +- The PCF is required to receive the UP connection information if the satellite backhaul takes it into account for policy control decisions and exposes dynamic satellite backhaul information (e.g., packet delivery latency or bandwidth) to the capability exposure function (CEF). +- The AF is required to request dynamic satellite backhaul information (e.g., packet delivery latency or bandwidth). +- The CEF is required to expose dynamic satellite backhaul information (e.g., packet delivery latency or bandwidth). + +## **8 Framework of FMSC with satellite backhaul** + +In FMSC scenarios, the fixed access node and mobile access node can connect to the CN through the satellite backhaul. Different satellite backhaul types, such as the GSO satellite backhaul and the NGSO satellite backhaul, can connect the access node and the CN. + +For GSO satellite backhaul and one NGSO satellite backhaul scenario, the IMT-2020 network is required to adjust the policy/QoS, based on the latency introduced by the satellite. For NGSO satellite backhaul with ISL scenario, the IMT-2020 network is required to enhance the architecture, based on the dynamical change of latency. + +When the fixed access node and mobile access node connect the IMT-2020 network with hybrid backhauls (e.g., satellite and terrestrial backhauls or different types of satellite backhauls), the + +IMT-2020 network is required to consider the SM mechanism, to select suitable backhaul in case of backhaul connection change. + +Figure 8-1 shows the framework of the satellite backhaul in the IMT-2020 network and beyond. + +![Figure 8-1: Framework of satellite backhaul in the IMT-2020 network. The diagram illustrates a multi-tier satellite backhaul system. At the top, a GSO (Geostationary Orbit) satellite contains a UPF (User Plane Function) and MEC (Multi-access Edge Computing) block. Below it, an NGSO (Non-Geostationary Orbit) satellite also contains a UPF and MEC block. The NGSO satellite is connected to the GSO satellite via ISL (Inter-Satellite Link). The NGSO satellite is also connected to a ground station on the Earth's surface. The ground station is connected to a core network consisting of CEF (Control Element Function), AF (Application Function), PCF (Policy Control Function), and NFR (Network Function Repository). The core network also includes NACF (Network Access Control Function), SMF (Session Management Function), and CHF (Charging Function). A separate UPF block is shown connected to the core network. The ground station is also connected to a mobile device (UE) via a ground backhaul. The UE is also connected to the GSO satellite via a satellite backhaul. The diagram shows the flow of data and control signals between the UE, the satellites, and the core network.](042733dc5e8e7f5f30b60adba3266cde_img.jpg) + +Figure 8-1: Framework of satellite backhaul in the IMT-2020 network. The diagram illustrates a multi-tier satellite backhaul system. At the top, a GSO (Geostationary Orbit) satellite contains a UPF (User Plane Function) and MEC (Multi-access Edge Computing) block. Below it, an NGSO (Non-Geostationary Orbit) satellite also contains a UPF and MEC block. The NGSO satellite is connected to the GSO satellite via ISL (Inter-Satellite Link). The NGSO satellite is also connected to a ground station on the Earth's surface. The ground station is connected to a core network consisting of CEF (Control Element Function), AF (Application Function), PCF (Policy Control Function), and NFR (Network Function Repository). The core network also includes NACF (Network Access Control Function), SMF (Session Management Function), and CHF (Charging Function). A separate UPF block is shown connected to the core network. The ground station is also connected to a mobile device (UE) via a ground backhaul. The UE is also connected to the GSO satellite via a satellite backhaul. The diagram shows the flow of data and control signals between the UE, the satellites, and the core network. + +**Figure 8-1 – Framework of satellite backhaul in the IMT-2020 network** + +Suppose the satellite backhaul involves multi-hops of ISL for the NGSO cases or backhaul connections over different satellites and terrestrial networks. In that case, the capabilities provided by the satellite backhaul can be changed/adjusted dynamically. If ISLs are used on the backhaul path, the delay and bandwidth of the backhaul may be impacted due to the traffic engineering on the links. The satellite backhaul category should describe such dynamic satellite backhaul characteristics. The IMT-2020 and beyond network can indicate the satellite backhaul information via a satellite backhaul category indication, e.g., static or dynamic satellite backhaul category. + +The NACF and SMF can select a suitable backhaul based on the packet delivery latency bandwidth or both satellite backhauls on the UP path. The PCF can provide the related QoS and policy, based on the determined packet delivery latency, bandwidth, or both of the satellite backhauls on the UP path. The PCF can provide the satellite backhaul information (e.g., backhaul delay and/or bandwidth) to the CEF, and the CEF can expose the satellite backhaul information to the AF for application layer optimization or adjustment. + +When the MEC is deployed with UPF and MEC services onboard the satellite, the SMF selects the UPF onboard as an anchor or BP UPF, based on the service policy. + +When the UE connects the access node using the satellite backhaul, the NACF gets the satellite backhaul category and sends the satellite backhaul category to the PCF. If the satellite backhaul category is indicated, the PCF should generate or update the UE route selection policy and initiate PDU session establishment with PDU session anchor (PSA) UPF on the satellite. + +The NACF can determine the satellite ID serving the UE and send it to the SMF based on the configuration, e.g., the access node ID associated with the satellite backhaul. The SMF determines the data network ID based on the configuration, data network name, or the satellite ID received from the NACF. + +The SMF performs UPF selection and insertion during the PDU session establishment or PDU session modification procedure to select the UPF onboard based on the data network ID corresponding to the satellite ID provided by the NACF. + +## 9 Service procedures of SM for FMSC with satellite backhaul + +### 9.1 Session establishment procedure for satellite backhaul + +Figure 9-1 shows the procedure of the PDU session establishment when the access node has multiple satellite backhaul UP connections. + +![Sequence diagram for PDU session establishment with multiple satellite backhaul UP connections.](ff0952ef692c9d960ce5f6708bcc9711_img.jpg) + +The diagram illustrates the PDU session establishment procedure involving the following entities: UE, Access node, NACF, SMF, UPF, PCF, CEF, and AF. The steps are as follows: + +1. PDU session establishment request (UE to NACF) +2. CreateSMContext (NACF to SMF) +3. CreateSMPolicyControl (SMF to PCF) +4. N4 association update (SMF to UPF) +5. N4 report/ACK (UPF to SMF) +6. I-UPF and PSA selection (SMF internal action) +7. PDU session establishment (Access node to PCF) +8. AF sessionWithQoS create request (AF to CEF) +9. PolicyAuthorization create request (CEF to PCF) +10. PolicyAuthorizationNotify (PCF to CEF) +11. AF sessionWithQoSNotify (CEF to AF) + +Y.3208(24) + +Sequence diagram for PDU session establishment with multiple satellite backhaul UP connections. + +**Figure 9-1 – PDU session establishment when the access node has multiple satellite backhaul UP connections** + +The steps shown in Figure 9-1 are as follows: + +- 1 The UE initiates the PDU session establishment procedure. +- 2 The NACF selects the SMF and creates the satellite backhaul information based on the access node information (e.g., ID or the configuration of the access node). If the NACF is aware that more than one type of backhaul networks (e.g., multi-types of satellites or multi-hops of ISL) can be used by the serving access node, or different backhaul networks can be used in the CP and the UP at the same time or in the UP only, the NACF can CreateSMContext to inform the SMF of the satellite backhaul information, indicating dynamic satellite backhaul in use. + +If the NACF is aware that the UE is accessing the access node using the satellite backhaul based on the configuration, the NACF includes the satellite ID in the SM context. + +- 3 SMF informs the PCF of the satellite backhaul information by including the "dynamic satellite backhaul in use" indication during the SM policy association establishment procedure. Based on the indication, the PCF generates policy charging control (PCC) rules for satellite backhaul, where the PCC rules indicate activating QoS monitoring. In addition, if downgraded QoS requirements are allowed, the PCF may provide an alternative QoS profile for downgraded QoS requirements. + +- 4 The SMF determines the data network ID based on the configuration, data network name, or satellite ID received from the NACF. The SMF selects the suitable UPF. Then, based on the received + +PCC rules, the SMF requests to activate QoS monitoring for the general packet radio service (GPRS) tunneling protocol – user plane (GTP-U) path between the UPF and the access node serving the UE via the N4 association update procedure, a the UPF confirms to perform the GTP-U path monitoring. + +5 The UPF sends the QoS monitoring results to the SMF. + +6 Upon receiving the QoS monitoring results from the UPF(s) in step 6, the SMF selects the suitable UPF, e.g., a UPF with the minimum backhaul latency. + +Based on the received QoS monitoring results, the SMF may determine whether to apply the QoS profile for downgraded QoS requirements or initiate an SM policy association modification procedure. + +7 Complete the follow-up PDU session establishment process. If the SMF selects the UPF onboard and establishes the PDU session, the UE can connect the MEC onboard. + +8 The AF may request from the CEF the satellite backhaul information for an AF session. + +9 The CEF authorizes the AF request and interacts with the PCF to obtain the satellite backhaul information. + +10 The PCF provides the satellite backhaul information (e.g., backhaul delay and/or bandwidth) to the CEF by reporting QoS monitoring information. + +11 The CEF exposes the satellite backhaul information to the AF for application layer optimization or adjustment. + +### 9.2 Dynamic delay monitoring and QoS adaptation procedure for satellite backhaul + +Figure 9-2 shows the satellite backhaul's dynamic delay monitoring and QoS adaptation procedure. + +![Sequence diagram showing the dynamic delay monitoring and QoS adaptation procedure for satellite backhaul. The diagram involves six entities: UE, NACF, SMF, PCF, UPF, and Charging functionalities. The steps are: 1. PDU session establishment (UE to NACF), 2. Create/UpdateSMContext (NACF to SMF), 3. SM policy association establishment/modification (SMF to PCF), 4. SMF requests GTP-U path monitoring (SMF to UPF), 5. Path-monitoring result (UPF to SMF), 6. SM policy association modification (PCF to SMF), 7. SMF informs the charging functionalities of satellite backhaul (SMF to Charging functionalities), and 8. PCF policy control (PCF to Charging functionalities).](704082cc3e11776bda29595c76411362_img.jpg) + +``` +sequenceDiagram + participant UE + participant NACF + participant SMF + participant PCF + participant UPF + participant Charging as Charging functionalities + + Note over UE, NACF: 1. PDU session establishment + Note over NACF, SMF: 2. Create/UpdateSMContext + Note over SMF, PCF: 3. SM policy association establishment/modification + Note over SMF, UPF: 4. SMF requests GTP-U path monitoring + Note over UPF, SMF: 5. Path-monitoring result + Note over PCF, SMF: 6. SM policy association modification + Note over SMF, Charging: 7. SMF informs the charging functionalities of satellite backhaul + Note over PCF, Charging: 8. PCF policy control +``` + +Sequence diagram showing the dynamic delay monitoring and QoS adaptation procedure for satellite backhaul. The diagram involves six entities: UE, NACF, SMF, PCF, UPF, and Charging functionalities. The steps are: 1. PDU session establishment (UE to NACF), 2. Create/UpdateSMContext (NACF to SMF), 3. SM policy association establishment/modification (SMF to PCF), 4. SMF requests GTP-U path monitoring (SMF to UPF), 5. Path-monitoring result (UPF to SMF), 6. SM policy association modification (PCF to SMF), 7. SMF informs the charging functionalities of satellite backhaul (SMF to Charging functionalities), and 8. PCF policy control (PCF to Charging functionalities). + +Y.3208(24) + +**Figure 9-2 – Dynamic delay monitoring and QoS adaptation procedure for satellite backhaul** + +The steps shown in Figure 9-2 are as follows: + +- 1 The NACF determines the satellite backhaul category based on the operator's policy when the access node connects the different backhaul categories due to the PDU session modification or handover procedure during the PDU session establishment. +- 2 The NACF uses the Create/Update SM context procedure to inform the SMF of satellite backhaul by including the satellite backhaul category. +- 3 SMF informs PCF of the satellite backhaul by including the satellite backhaul category during the SM policy association establishment/modification procedure. Based on the satellite backhaul category, the PCF may indicate SMF to activate QoS monitoring in the PCC rules. +- 4 The SMF initiates GTP-U path monitoring based on the PCC rules. +- 5 The SMF receives GTP-U path-monitoring results, including the observed delay. +- 6 The SMF initiates the SM policy association modification procedure to inform the PCF of the satellite backhaul category and delay. +- 7 The SMF may inform the charging functionalities of the satellite backhaul category and the delay for charging and network statistics. +- 8 PCF adjusts the QoS policy based on the delay. + +### 9.3 Event report procedure for changing the backhaul delay to PCF/AF + +If the satellite backhaul involves multi-hops of ISL, in some cases, the propagation delay of backhaul paths may change dramatically with the movement of the satellite; such change is normally periodic and can be well predicted based on the operation information of the satellite constellation. + +It is worthwhile reporting such kinds of predictable and crucial events and their lasting time to PCF/AF, e.g., to help with the understanding that the dramatic packet latency/jitter increase is inevitable over a period of time. AF may start to perform application layer coding compensation, or PCF may make a firm decision to release the PDU session if the QoS requirement is not satisfied. + +Figure 9-3 shows the event report procedure when the backhaul delay changes. + +![Sequence diagram showing the event report procedure for changing the backhaul delay to PCF/AF. The diagram involves eight entities: UE, Access network, NACF, SMF, USM, PCF, CEF, and AF. The procedure consists of four main steps: 1. PDU session establishment request, 2. AF/PCF request report of backhaul delay change, 3. Determine that backhaul delay will change based on satellite operation information, and 4. Report backhaul delay change information.](9ae17964ddd9b814c7d905b1af2fddf2_img.jpg) + +``` + +sequenceDiagram + participant UE + participant AN as Access network + participant NACF + participant SMF + participant USM + participant PCF + participant CEF + participant AF + + Note over UE, AN, NACF, SMF, USM, PCF, CEF, AF: 1. PDU session establishment request + Note over AF, PCF: 2. AF/PCF request report of backhaul delay change + Note over NACF, SMF: 3. Determine that backhaul delay will change based on satellite operation information + Note over AF, PCF: 4. Report backhaul delay change information + +``` + +Y.3208(24) + +Sequence diagram showing the event report procedure for changing the backhaul delay to PCF/AF. The diagram involves eight entities: UE, Access network, NACF, SMF, USM, PCF, CEF, and AF. The procedure consists of four main steps: 1. PDU session establishment request, 2. AF/PCF request report of backhaul delay change, 3. Determine that backhaul delay will change based on satellite operation information, and 4. Report backhaul delay change information. + +**Figure 9-3 – Event report procedure for changing the backhaul delay to PCF/AF** + +The steps shown in Figure 9-3 are as follows: + +- 1 NACF determines the satellite constellation information based on local configuration and reports the satellite constellation information to PCF/AF during the PDU session establishment procedure. + +2 If satellite backhaul with NGSO. + +3 If satellite constellation information is received, AF/PCF requests a report for backhaul delay change information. + +3-4 Based on satellite operation information, NACF determines that the backhaul delay will change and reports the delay change information to PCF/AF. Then NACF reports the delay change information to SMF, and SMF reports the related events to PCF/AF. + +## **10 Security considerations** + +The FMSC in the IMT-2020 network is required to be aligned with the security requirements contained in [b-ITU-T Q.1762] and the requirements of security and personal data protection contained in [ITU-T Y.3101], with the following additional ones: + +- The FMSC in the IMT-2020 network is required to provide mechanisms to support data confidentiality and integrity for fixed, mobile and satellite ANs. +- The FMSC in the IMT-2020 network is required to provide secure storage, handling, and enforcement of policies. +- The FMSC in the IMT-2020 network is required to provide a security coordination function [ITU-T Y.3130] to coordinate the security policies of each AN involved. + +## Appendix I + +### The normative work for satellite backhaul connection in 3GPP + +(This appendix does not form an integral part of this Recommendation.) + +The 3GPP SA2 had studied the satellite backhaul connection for 5G system (5GS) in REL 17. The study of SA2 mainly focuses on cases where only one satellite (GSO or NGSO satellite) is involved in the backhaul connection, as shown in Figure I.1. + +![Figure I.1: The scenarios of satellite backhaul in 3GPP SA2. The diagram shows two scenarios. The left scenario shows a GEO SAT (Geostationary Earth Orbit Satellite) connected to a gNB (5G NodeB) and a 5GC (5G Core Network). The right scenario shows an NGSO SAT (Non-Geostationary Earth Orbit Satellite) connected to a gNB and a 5GC. A red box in the center says 'Supported in REL 17'. Below the right scenario, text reads 's2. gNB connects to 5GC via a single NGSO satellite'. The reference 'Y.3208(24)' is at the bottom right.](df82d77a0d2637cbf2da9ea920a554fa_img.jpg) + +Figure I.1 illustrates two scenarios for satellite backhaul in 3GPP SA2. The left scenario shows a GEO SAT (Geostationary Earth Orbit Satellite) connected to a gNB (5G NodeB) and a 5GC (5G Core Network). The right scenario shows an NGSO SAT (Non-Geostationary Earth Orbit Satellite) connected to a gNB and a 5GC. A red box in the center indicates 'Supported in REL 17'. Below the right scenario, text reads 's2. gNB connects to 5GC via a single NGSO satellite'. The reference 'Y.3208(24)' is at the bottom right. + +Figure I.1: The scenarios of satellite backhaul in 3GPP SA2. The diagram shows two scenarios. The left scenario shows a GEO SAT (Geostationary Earth Orbit Satellite) connected to a gNB (5G NodeB) and a 5GC (5G Core Network). The right scenario shows an NGSO SAT (Non-Geostationary Earth Orbit Satellite) connected to a gNB and a 5GC. A red box in the center says 'Supported in REL 17'. Below the right scenario, text reads 's2. gNB connects to 5GC via a single NGSO satellite'. The reference 'Y.3208(24)' is at the bottom right. + +**Figure I.1 – The scenarios of satellite backhaul in 3GPP SA2** + +Key issue #5 describes the issue for QoS with satellite backhaul in the 3GPP TR 23.737. In cases where satellite connectivity is used as backhaul between terrestrial radio access network (RAN) nodes (e.g., at a remote location or in a moving platform such as an airplane or ship) and terrestrial CN nodes (e.g., at a central location), this satellite connection may not be able to provide appropriate QoS for all flows. For instance, ultra-low latency (e.g., using 5G QoS indicator (5QI) = 81, with a packet delay budget of 5 ms) may be required, but the satellite link may be a GEO satellite link with a typical one-way latency of at least 240 ms-280 ms (see Annex A of this Technical Report for typical propagation delays). + +The enhancements to support satellite backhaul in REL 17 include: + +- Detecting satellite backhaul category based on network configuration; +- Event report to PCF on change of the backhaul; +- Policy determination based on satellite backhaul category; +- Notifying the AF on changes of the satellite backhaul category. + +The following cases of using satellite backhaul connection for 5GS have not been studied in REL17: + +- 5G nodeB (gNB) connects to 5G core network (5GC) via satellites with ISL; +- gNB connects to 5GC with hybrid backhauls (e.g., satellite and terrestrial backhauls or different types of satellite backhauls); +- gNB onboard connects to 5GC via satellites. + +In these cases, existing enhancements may not work or may need to be adjusted, e.g., if ISL is involved in the backhaul connection, the satellite backhaul category cannot be determined based on network configuration and cannot represent the latency over the satellite backhaul. + +### Bibliography + +- [b-ITU-T Q.1762] Recommendation ITU-T Q.1762/Y.2802 (2007), *Fixed-mobile convergence general requirements*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3102] Recommendation ITU-T Y.3102 (2018), *Framework of the IMT-2020 network*. +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-3GPP TR 23.737] 3GPP TR 23.737 (2021), *Study on architecture aspects for using satellite access in 5G (Release 17)*. + + + +### SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3210-202409-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3210-202409-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..37d5e369f273f8e8c9d84dd54c03adde1623f5c7 --- /dev/null +++ b/marked/Y/T-REC-Y.3210-202409-I_PDF-E/raw.md @@ -0,0 +1,576 @@ + + +# Recommendation + +## **ITU-T Y.3210 (09/2024)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +--- + +**Fixed, mobile and satellite convergence – +Distributed ledger technology for IMT-2020 +networks and beyond** + +## ITU-T Y-SERIES RECOMMENDATIONS + +# Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3210 + +# Fixed, mobile and satellite convergence – Distributed ledger technology for IMT-2020 networks and beyond + +## Summary + +Recommendation ITU-T Y.3210 aims to describe the framework of distributed ledger technology (DLT) for fixed, mobile and satellite convergence (FMSC) in IMT-2020 networks and beyond. This Recommendation specifies the overview, requirements, framework and information flows of distributed ledger technology for fixed, mobile and satellite convergence (FMSC). + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3210 | 2024-09-13 | 13 | 11.1002/1000/16128 | + +## Keywords + +Distributed ledger technology, FMSC, IMT-2020. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of DLT for FMSC ..... | 3 | +| 7 | Requirements of DLT for FMSC..... | 4 | +| | 7.1 General high-level requirements of DLT for FMSC..... | 4 | +| | 7.2 Requirements of interoperability in FMSC-DLT ..... | 5 | +| | 7.3 Requirements of governance in FMSC-DLT ..... | 6 | +| | 7.4 Requirements of scalability in FMSC-DLT ..... | 6 | +| | 7.5 Requirements for FMSC..... | 6 | +| 8 | Framework and information flows of DLT for FMSC..... | 7 | +| | 8.1 Framework of DLT for FMSC ..... | 7 | +| | 8.2 Information flows of DLT for FMSC..... | 9 | +| 9 | Security considerations..... | 9 | +| | Appendix I – Scenario and use cases of DLT for FMSC in IMT-2020 networks and beyond | 11 | +| | I.1 Access control for multi-access UE ..... | 11 | +| | I.2 Resource sharing between multiple FMSC networks ..... | 11 | +| | I.3 Handover between satellite and mobile access network in FMSC networks . | 12 | +| | I.4 Ubiquitous connectivity in FMSC-DLT..... | 13 | +| | Bibliography..... | 15 | + + + +# Recommendation ITU-T Y.3210 + +# Fixed, mobile and satellite convergence – Distributed ledger technology for IMT-2020 networks and beyond + +# 1 Scope + +This Recommendation aims to describe the framework of distributed ledger technology (DLT) for fixed, mobile and satellite convergence (FMSC) in IMT-2020 networks and beyond. This Recommendation covers the following issues: + +- Overview of DLT for FMSC; +- Requirements of DLT for FMSC; +- Framework and information flows of DLT for FMSC; + +Scenarios and use cases of DLT for FMSC in IMT-2020 networks and beyond are provided in Appendix I. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T F.751.0] Recommendation ITU-T F.751.0 (2020), *Requirements for distributed ledger systems*. +- [ITU-T F.751.2] Recommendation ITU-T F.751.2 (2020), *Reference framework for distributed ledger technologies*. +- [ITU-T X.1400] Recommendation ITU-T X.1400 (2020), *Terms and definitions for distributed ledger technology*. +- [ITU-T Y.3200] Recommendation ITU-T Y.3200 (2022), *Fixed, mobile and satellite convergence – Requirements for IMT-2020 networks and beyond*. +- [ITU-T Y.3201] Recommendation ITU-T Y.3201 (2023), *Fixed, mobile and satellite convergence – Framework for IMT-2020 networks and beyond*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 distributed ledger** [ITU-T X.1400]: A type of ledger that is shared, replicated, and synchronized in a distributed and decentralized manner. + +**3.1.2 distributed ledger technology (DLT)** [b-ISO/TC 307]: Technology that enables the operation and use of distributed ledgers. + +**3.1.3 DLT system** [b-ISO/TC 307]: A system that implements a distributed ledger. + +**3.1.4 fixed mobile convergence** [b-ITU-T Y.3100]: In the context of IMT-2020, the capabilities that provide services and applications to end users regardless of the fixed or mobile access technologies being used and independently of the users' location. + +**3.1.5 fixed, mobile and satellite convergence** [ITU-T Y.3200]: The capabilities that provide services and applications to end users regardless of the fixed, mobile or satellite access technologies being used and independently of the users' location. + +**3.1.6 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +**3.1.7 interoperability** [b-ITU-T Y.101]: The ability of two or more systems or applications to exchange information and to mutually use the information that has been exchanged. + +**3.1.8 smart contract** [ITU-T X.1400]: A program written on a distributed ledger system which encodes the rules for specific types of distributed ledger system transactions in a way that can be validated, and triggered by specific conditions. + +NOTE – This Recommendation focuses on the technical feature of smart contract. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|--------------------------------------------------------------------------------| +| DL | Distributed Ledger | +| DLT | Distributed Ledger Technology | +| FMSC | Fixed, Mobile and Satellite Convergence | +| FMSC-DLT | Fixed, Mobile and Satellite Convergence based on Distributed Ledger Technology | +| gNB | Next Generation NodeB | +| IDS | Intrusion Detection System | +| IMT-2020 | International Mobile Telecommunications-2020 | +| IPS | Intrusion Prevention System | +| NGSO | Non-Geostationary Satellite Systems | +| SC | Smart Contract | +| UE | User Equipment | + +# **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option, and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +# 6 Overview of DLT for FMSC + +To provide global seamless communication services and enhance network robustness, the international mobile telecommunications for 2020 (IMT-2020) network and beyond shall support satellite access, which can be referred to as fixed, mobile and satellite convergence (FMSC) network. + +Currently, benefiting from the well-established infrastructure of existing network (including fixed and mobile parts), terrestrial system mostly adopts centralized managing schemes. Besides, current spatial systems are usually built independently, so centralized management can meet system requirements and reduce complexity. However, in a future FMSC network, the huge gap between terrestrial and spatial network characteristics (e.g., link latency, topology dynamic, link resources constraints, etc.) may extremely impact network management efficiency under a centralized framework. Heavy communication overhead caused by frequent interaction under a centralized scheme is an unacceptable burden for FMSC network entities, especially satellites. + +Considering the new features such as high latency and dynamic topology of satellite communications, some enabling technologies are required to be introduced into the FMSC network, including, but not limited to, mobility management, connection management, authentication and authorization, and network self-organizing requirements. Additionally, generic enabling technologies, such as artificial intelligence and distributed ledger technology (DLT), are required to be applied according to the service and network capability requirements of the FMSC network. [ITU-T Y.3200] + +DLT can be used to realize the FMSC network in a decentralized and efficient manner. DLT-enabled solutions have the ability to internalize and automate the execution of procedures for sustainability via smart contracts [b-ITU-T FG-DLT D5.1]. + +Deploying DLT in the FMSC network can manage various network entities and enable efficient coordination in a decentralized way. Network entities could operate management functions by querying and validating information recording on the DLT through any DLT nodes, which releases the burden of communication overhead. The smart contract automates the collaboration and information sharing/distributing within the FMSC network. This smart contract can handle pre-defined operations based on specific criteria, enabling FMSC network participants to join or quit the network, as well as to acquire the information generated or stored by stakeholders, automatically. + +Besides, in the FMSC network, satellites with wide coverage capabilities and multi/broadcast properties can facilitate the transmission of DLT consensus results among participants. + +Figure 6-1 shows the influence of DLT in the FMSC network. DLT is complementary to FMSC by providing the decentralized capability. The applicability level varies due to the differences among FMSC network functions and applications. As shown in Figure 6-1, the shading of the colour represents the level of applicability in general terms, e.g., the dark colour means high applicability. Appendix I provides typical use cases of DLT in FMSC. + +![Figure 6-1 – Applicability of DLT in FMSC. This diagram illustrates the network architecture and the applicability of DLT across different components. On the left, a 'Multi-access UE' connects to three access networks: 'Fixed access network (Fixed gateway)', 'Mobile access network (Mobile gateway)', and 'Satellite access network (SAT and SAT gateway)'. These access networks connect to a 'Satellite backhaul network (SAT and SAT gateway)'. All three access networks also connect directly to the 'Converged core network'. The 'Converged core network' contains three functional blocks: 'Control plane functions', 'User plane functions', and 'Service plane functions', with 'Management plane functions' listed below them. The core network connects to a 'Data network' and a 'Service platform'. At the bottom, three boxes indicate the applicability of DLT: 'High applicability' (yellow), 'Medium applicability' (orange), and 'Low applicability' (light yellow). The 'Satellite access network' and 'Satellite backhaul network' are in the 'High applicability' box. The 'Fixed access network', 'Mobile access network', and 'Converged core network' are in the 'Medium applicability' box. The 'Data network' and 'Service platform' are in the 'Low applicability' box. The reference 'Y.3210(24)' is in the bottom right corner.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 6-1 – Applicability of DLT in FMSC. This diagram illustrates the network architecture and the applicability of DLT across different components. On the left, a 'Multi-access UE' connects to three access networks: 'Fixed access network (Fixed gateway)', 'Mobile access network (Mobile gateway)', and 'Satellite access network (SAT and SAT gateway)'. These access networks connect to a 'Satellite backhaul network (SAT and SAT gateway)'. All three access networks also connect directly to the 'Converged core network'. The 'Converged core network' contains three functional blocks: 'Control plane functions', 'User plane functions', and 'Service plane functions', with 'Management plane functions' listed below them. The core network connects to a 'Data network' and a 'Service platform'. At the bottom, three boxes indicate the applicability of DLT: 'High applicability' (yellow), 'Medium applicability' (orange), and 'Low applicability' (light yellow). The 'Satellite access network' and 'Satellite backhaul network' are in the 'High applicability' box. The 'Fixed access network', 'Mobile access network', and 'Converged core network' are in the 'Medium applicability' box. The 'Data network' and 'Service platform' are in the 'Low applicability' box. The reference 'Y.3210(24)' is in the bottom right corner. + +**Figure 6-1 – Applicability of DLT in FMSC** + +# **7 Requirements of DLT for FMSC** + +### **7.1 General high-level requirements of DLT for FMSC** + +In [ITU-T Y.3200], it is suggested that the FMSC network can optionally support DLT in the areas of mobility management, connection management, and authentication and authorization. In [ITU-T Y.3201], it is specified that, within the FMSC network, DLT is implemented to enhance mobility management, connection management, authentication and authorization. + +#### **7.1.1 Mobility management requirements** + +The converged network is required to support unified mobility management for fixed access, mobile access, and satellite access. The detailed requirements of DLT in FMSC mobility management are as follows. + +It is required for DLT to ensure the reliability of connection during the process of mobility of user equipment (UE), including the scenarios where UE crosses multi-access networks, changes the type of access network, crosses the coverage boundary (cell boundary) of two adjacent cells of the same non-geostationary satellite systems (NGSO) satellite, or enters the coverage area of the adjacent NGSO satellite. + +It is required for DLT to facilitate the workflows to accomplish service continuity during the mobility process of UE. + +It is required for DLT to provide transparent location information of UE for converged network function to consider whether to conduct handover operation. + +It is required for DLT to store authentication information of UE to support fast handover authentication and achieve service continuity. + +#### **7.1.2 Connection management requirements** + +The converged network is required to support unified connection management for fixed access, mobile access, and satellite access. The detailed requirements of DLT in FMSC connection management are as follows. + +It is required for the DLT to collect the distributed connection information from fixed access, mobile access, and satellite access. + +It is required for DLT to record connection information and guarantee its reliability for the converged network functions to conduct connection operations. + +#### 7.1.3 Authentication and authorization requirements + +The converged network is required to support unified authentication and authorization for fixed access, mobile access, and satellite access. The detailed requirements of DLT in FMSC authentication and authorization are as follows. + +It is required for DLT to ensure the reliability of authenticated and authorized information for converged network. + +It is required for DLT to prevent leakage of UE information during the process of authentication and authorization. + +### 7.2 Requirements of interoperability in FMSC-DLT + +As shown in Figure 7-1, each FMSC network is configured with DLT, and multiple FMSC networks can form a consortium based on DLT with the support of consensus nodes in DLT system. The service-related smart contracts (SCs) are designed and deployed within the DLT system by FMSC network service providers. The FMSC network service provider provides network services by operating the FMSC network, including configuring network services, deploying SCs, etc. + +![Figure 7-1: Overview of interoperability in FMSC-DLT. The diagram illustrates a multi-network architecture where multiple FMSC networks (1, 2, 3, 4, ..., n) are interconnected within a central DLT system. Each network is managed by an FMSC network service provider (1, 2, 3, 4, ..., n). Multi-access UEs connect to these networks. The DLT system contains consensus nodes (cylinders) and blockchain links (dashed lines). Smart contracts (blue squares) are deployed within the DLT system. A detailed view of FMSC network 1 shows its internal structure: it includes a Satellite access network, Mobile access network, and Fixed access network, all connected to a Satellite-based core network and a Land-based core network. These core networks are further connected to Satellite-based data networks, Land-based data networks, and service platforms (Satellite-based and Land-based). A legend defines the symbols: a cylinder for Consensus node, a dashed line for Blockchain link, a double-headed arrow for Service operation, and a blue square for Smart contract.](8e14350b4b669119a3bdfca7869110ca_img.jpg) + +Figure 7-1: Overview of interoperability in FMSC-DLT. The diagram illustrates a multi-network architecture where multiple FMSC networks (1, 2, 3, 4, ..., n) are interconnected within a central DLT system. Each network is managed by an FMSC network service provider (1, 2, 3, 4, ..., n). Multi-access UEs connect to these networks. The DLT system contains consensus nodes (cylinders) and blockchain links (dashed lines). Smart contracts (blue squares) are deployed within the DLT system. A detailed view of FMSC network 1 shows its internal structure: it includes a Satellite access network, Mobile access network, and Fixed access network, all connected to a Satellite-based core network and a Land-based core network. These core networks are further connected to Satellite-based data networks, Land-based data networks, and service platforms (Satellite-based and Land-based). A legend defines the symbols: a cylinder for Consensus node, a dashed line for Blockchain link, a double-headed arrow for Service operation, and a blue square for Smart contract. + +Y.3210(24) + +**Figure 7-1 – Overview of interoperability in FMSC-DLT** + +It is required for fixed, mobile and satellite convergence based on distributed ledger technology (FMSC-DLT) to support interoperability between multiple FMSC networks. Taking the roaming and interconnection as an example, usually it is time costly to negotiate and to archive an agreement between the FMSC networks. The FMSC-DLT provides decentralized applications and services between the FMSC networks to enhance the current systems. + +NOTE 1 – With the support of DLT, multiple FMSC networks collaborate equally to provide network services by setting up SCs. Combined FMSC networks could serve more customers, which would generate new innovative services leveraging the FMSC-DLT. + +It is required that each network service provider in FMSC-DLT has equal permissions. + +NOTE 2 – The FMSC-DLT in this scenario would be a consortium FMSC-DLT where all participants are equal and permissioned. For efficient coordination, there is optionally a management union coexisting with and operating independently from the consortium FMSC-DLT. + +It is required for FMSC-DLT to support interoperability between FMSC network and network service provider. + +It is required to develop decentralized applications and services with the SC between FMSC network service providers to achieve consensus in decentralized environments. + +It is required for FMSC-DLT to support network resource sharing between FMSC network service providers. + +NOTE 3 – The FMSC-DLT could serve as an application infrastructure between FMSC network service providers for sharing data and resources. For example, the network service providers could share the storage, bandwidth and even computing resources. This would allow the FMSC network to distribute applications, such as video content, to the edge of the network, to reduce the burden on the backbone network and enabling near real-time settlement and clearing. + +### **7.3 Requirements of governance in FMSC-DLT** + +It is required for FMSC-DLT to support the account and membership management. + +The account management is responsible for recording the active status of the participants and, if applicable, the ownership status. The membership management provides functions such as member identification, access control, authorization and authentication management, etc. + +### **7.4 Requirements of scalability in FMSC-DLT** + +In FMSC-DLT, the FMSC-DLT node is an entity that executes all or part of the FMSC-DLT function. + +The FMSC-DLT node can join and quit the FMSC-DLT without degrading the read-write throughput or affecting the other FMSC-DLT nodes. Moreover, the consensus mechanism in the FMSC-DLT is pluggable, and the FMSC-DLT nodes can be separated into different clusters using different consensus mechanisms. + +It is required for FMSC-DLT to provide sufficient scalability. + +### **7.5 Requirements for FMSC** + +It is required for FMSC network to provide a capability to read/write the application related data entries from/to the FMSC ledger. + +It is required for FMSC network to provide a capability to invoke/enable/update/disable the SCs according to the application function requirements. + +It is required for FMSC network to provide a capability to integrate the SCs to the workflow existed for backward compatibility. + +It is required for FMSC network to provide normalized data format for the records on the ledger. + +It is required for FMSC network to provide a multi/broadcast capability for transmitting DLT consensus information. + +It is required for FMSC network to distinguish various DLT service platforms and enhance the interoperability for these different service platforms as the intermediary. + +# 8 Framework and information flows of DLT for FMSC + +### 8.1 Framework of DLT for FMSC + +A typical FMSC network in IMT-2020 and beyond consists of both terrestrial and spatial networks. The terrestrial networks include mobile network and fixed network to support a variety of services and offer services with high data rates to users. The spatial networks consist of a group of satellites and their corresponding terrestrial infrastructures. + +There are several aspects where DLT is expected to play a major role in managing FMSC networks: + +- Data and resource management. The processes of data sensing, sharing, processing, storage and destruction are automatically managed by SCs. +- Data access and usage control. Based on DLT, each user in FMSC networks has a pair of public and private keys. In the process of data access, data provider can use the public key of the data requester to encrypt data, ensuring that the original data can only be accessed and used by the data requester. +- Identity and device management. All user identity and device information are registered and certificated in distributed ledger (DL). +- Resource allocation. DLT can be beneficial for efficient network resource allocation. + +![Figure 8-1: Relationship of DLT system and FMSC network in IMT-2020 and beyond. The diagram shows the DLT system at the top and the FMSC network at the bottom. The DLT system includes an FMSC-DLT application module (with sub-modules for Mobility management, Connection management, Authentication and authorization, and others) and a Platform management module, both connected to a Distributed ledger and basic DLT function module. The FMSC network includes a Multi-access UE, Fixed access network (Fixed gateway), Mobile access network (Mobile gateway), Satellite access network (SAT and SAT gateway), Converged core network, Data network, and Service platform. Arrows indicate data upload/invoke smart contract from the network to the DLT system and feedback results from the DLT system to the network. A legend indicates that red hexagons represent FMSC network entities with DLT functions.](410562339ce067fdc6fa41940c118658_img.jpg) + +DLT system + +FMSC-DLT application + +Mobility management + +Connection management + +Authentication and authorization + +... + +Platform management + +Distributed ledger and basic DLT function + +Data upload/invoke smart contract + +Feedback results + +FMSC network + +Multi-access UE + +Fixed access network (Fixed gateway) + +Mobile access network (Mobile gateway) + +Satellite access network (SAT and SAT gateway) + +Converged core network + +Data network + +Service platform + +● FMSC network entities with DLT functions + +Y.3210(24) + +Figure 8-1: Relationship of DLT system and FMSC network in IMT-2020 and beyond. The diagram shows the DLT system at the top and the FMSC network at the bottom. The DLT system includes an FMSC-DLT application module (with sub-modules for Mobility management, Connection management, Authentication and authorization, and others) and a Platform management module, both connected to a Distributed ledger and basic DLT function module. The FMSC network includes a Multi-access UE, Fixed access network (Fixed gateway), Mobile access network (Mobile gateway), Satellite access network (SAT and SAT gateway), Converged core network, Data network, and Service platform. Arrows indicate data upload/invoke smart contract from the network to the DLT system and feedback results from the DLT system to the network. A legend indicates that red hexagons represent FMSC network entities with DLT functions. + +**Figure 8-1 – Relationship of DLT system and FMSC network in IMT-2020 and beyond** + +Figure 8-1 depicts the relationship between the DLT system and the FMSC network in IMT-2020 and beyond. Each FMSC network entity in [ITU-T Y.3200] with DLT system access capability can upload data (e.g., identity information, resource information, connectivity information) to the DLT system through the corresponding interfaces to store data or invoke SCs. DLT system is logically formed by all the participating entities and used to build a distributed network environment for the FMSC network. As shown in Figure 8-1, there are three modules in the DLT system for FMSC networks: distributed ledger and basic DLT function modules defined in [ITU-T F.751.2], FMSC-DLT application module, and platform management module. + +- Distributed ledger (DL) and basic DLT function module. This module provides the basic DLT function and maintains the DL. The basic DLT functions include distributed storage, distributed network connectivity, consensus mechanism, SC, etc. The distributed ledger is + +responsible for storing information regarding the FMSC network and SC related to the FMSC management. + +- FMSC-DLT application module. This module is supported by basic DLT functions (e.g., SC) to provide functions such as FMSC mobility management, connection management, authentication and authorization. +- Platform management module. This module is used to realize the management of DLT system including DLT network node management, application management, etc. + +To better support the DLT-based capabilities for the FMSC network, it is required to provide a framework of DLT-enabled for FMSC, as shown in Figure 8-2. + +![Figure 8-2: Framework of DLT-enabled FMSC network in IMT-2020 and beyond. The diagram shows five layers: Application layer, Contract layer, Consensus layer, Network layer, and Data layer. Each layer contains specific components and options.](a33da0f14e456f92539ce3e9b7d81f9a_img.jpg) + +| | | | | +|--------------------------|-------------------------------------------------------|----------------------------|---------------| +| Application layer | Cross-chain for multiple FMSC networks | Regulated DL | ... | +| Contract layer | Smart contracts for FMSC network management | | ... | +| Consensus layer | Energy efficient and lightweight consensus mechanisms | Hybrid consensus mechanism | ... | +| Network layer | Sharding | Satellite communications | ... | +| Data layer | Redesigned block structure | Editable DL | Off-chain ... | + +Y.3210(24) + +Figure 8-2: Framework of DLT-enabled FMSC network in IMT-2020 and beyond. The diagram shows five layers: Application layer, Contract layer, Consensus layer, Network layer, and Data layer. Each layer contains specific components and options. + +**Figure 8-2 – Framework of DLT-enabled FMSC network in IMT-2020 and beyond** + +There are five layers in the framework of DLT-enabled FMSC: + +- Data layer: To address the challenges of traditional DLT regarding throughput and meet the requirements of lightweight portable devices in the FMSC network in IMT-2020 and beyond, the structure of blocks (e.g., key block and micro block) and the DL (e.g., directed acyclic graph) are required to be redesigned to coordinate with the off-chain mechanism. +- Network layer: This layer is responsible for distributed network construction, peer-to-peer data transmission, data broadcast and validation. The efficiency and scalability of large-scale FMSC networks can be improved by maintaining multiple parallel DLT sharding (i.e., sub-network) in the DLT system. Meanwhile, the throughput of DLT network can be improved by using satellite communication to enable data broadcasting within the DLT system. +- Consensus layer: This layer provides consensus mechanisms for the FMSC network and requires achieving a balance among resource consumption, decentralization, and system performance. To adapt to different shardings within the DLT system, hybrid consensus mechanism is required to support collaboration between shardings. +- Contract layer: This layer provides SCs for FMSC network management and realizes logic control of FMSC network tasks. +- Application layer: In the current ecosystem, different FMSC networks are built on different DLT networks and are managed by different DLT systems. The demands for data exchange among various DLT network increase. Cross-chain capability for multiple FMSC networks + +is both important and necessary. It enables interoperability for heterogeneous DLT networks by using techniques such as notary scheme, hash-locking and relay chain. + +### 8.2 Information flows of DLT for FMSC + +This clause describes the information flows of DLT for FMSC in IMT-2020 and beyond, showing the general interaction in FMSC networks based on DLT. As shown in Figure 8-3, DLT is used to ensure the trusted transmission of massive data and there are two main types of information flows between the satellite and terrestrial networks based on DLT. + +![Figure 8-3: High-level information flows of DLT for FMSC in IM-2020 and beyond. The diagram shows a Satellite at the top, connected via dashed arrows to two main functional blocks: 'Data/control command' (orange) and 'Broadcast' (green). Below these are five entities: 'Multi-access UE', 'Satellite gateway', 'Fixed gateway', 'Base station', and 'Multi-access UE'. Dashed arrows show the flow from the Satellite to each of these entities. A legend indicates that red hexagons represent 'DLT functions'.](7efae06af3af43ffe5d4b956a679cf54_img.jpg) + +Y.3210(24) + +Figure 8-3: High-level information flows of DLT for FMSC in IM-2020 and beyond. The diagram shows a Satellite at the top, connected via dashed arrows to two main functional blocks: 'Data/control command' (orange) and 'Broadcast' (green). Below these are five entities: 'Multi-access UE', 'Satellite gateway', 'Fixed gateway', 'Base station', and 'Multi-access UE'. Dashed arrows show the flow from the Satellite to each of these entities. A legend indicates that red hexagons represent 'DLT functions'. + +**Figure 8-3 – High-level information flows of DLT for FMSC in IM-2020 and beyond** + +#### - Information flow of data/control command + +The multi-access UE transmits data/acquires services via satellite/fixed/mobile network, and the satellite issues the control commands. In this process, the satellite periodically collects traffic information from satellite gateway. The traffic data is first accumulated as one data block. Then, all terrestrial network entities (e.g., multi-access UE) can compete for block generation rights and complete the final generation of data block in DL. + +#### - Information flow of broadcast + +The generated data block will be broadcast by satellite to all covered FMSC network entities and added to the DL to form an immutable record after mutual verification. All these stored data can be obtained by invoking the SC (under permission control mechanism) to support specific applications, such as mobility management, connection management, and authentication and authorization in FMSC networks. + +## 9 Security considerations + +The security considerations of DLT for FMSC are as follows. + +### - Physical security of the equipment + +The DLT equipment is required to meet physical safety requirements, including secure power supply and equipment operation stability under huge temperature difference. + +The DLT equipment is required to be controlled with generic safety mechanisms, including the measurement, detection, indication and control of faults in the system itself. + +The safety protection function is required to be deployed between the DLT equipment and application, including firewall, intrusion prevention system (IPS) / intrusion detection system (IDS), anti-DOS equipment, etc. + +### - Communications security + +The DLT equipment is required to support secure communications capabilities, including access control capability and flow control capability. + +### - User privacy + +The privacy protection mechanisms need to be supported in the DLT equipment, which could store, cache and process user data related to privacy. + +In addition, the security and privacy considerations should be aligned with the requirements specified in [b-ITU-T Y.3101] and [b-ITU-T Y.2701]. + +# Appendix I + +## Scenario and use cases of DLT for FMSC in IMT-2020 networks and beyond + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Access control for multi-access UE + +| Title | Access control for multi-access UE | +|-----------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description | Multi-access is a fundamental characteristic for user equipment (UE) in fixed, mobile and satellite convergence (FMSC) network. Constrained by on-board resources, satellite components cannot afford the communication overhead of traditional centralized access control scheme in terrestrial network. Distributed ledger technology (DLT), with its characteristics of transparency, global consistency, and ease of readability, can be used to reduce the overhead of access control in the FMSC network, which in turn improves network efficiency. | +| Pre-conditions (optional) | Access nodes of FMSC network and access control units connect to the DLT system. The information used in access control is stored on the DLT system. | +| Post-conditions (optional) | Access nodes validate the access request via querying from DLT system. | +| Figure and operational flows (optional) | Operational flows:
1 Access relevant network entities jointly participate in the DLT system.
2 Access control relevant information is stored on the DLT system and reaches consensus among all participants.
3 Access nodes validate access request via querying from DLT system. | +| Derived requirements | 1 DLT system should provide corresponding interface or SC templates for access control. | + +### I.2 Resource sharing between multiple FMSC networks + +| Title | Resource sharing between multiple FMSC networks | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description | There are several service providers and clients, enabling significant resource sharing among multiple FMSC networks. | +| Pre-conditions (optional) | Each FMSC network is configured with DLT, and multiple FMSC networks form a consortium based on DLT. The resource information is stored in the DLT system and all resources can be accessed. The resource sharing-related SCs are all designed and deployed in DLT system. | +| Post-conditions (optional) | Client of FMSC can obtain suitable resources. | + +| Title | Resource sharing between multiple FMSC networks | +|-----------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure and operational flows (optional) |

Image: Figure I.1: Resource sharing between FMSC networks. The diagram illustrates a DLT system where multiple FMSC networks (1, 2, 3, 4, ..., n) are interconnected. A Multi-access UE sends a task/resource request (1) to the DLT system. The DLT system performs resource scheduling (2) and resource delivery (3) across the networks. The DLT system also performs settlement between FMSC networks (4). The diagram shows the internal structure of FMSC networks, including satellite-based and land-based core networks, service platforms, and data networks. The reference Y.3210(24) is noted.

Y.3210(24)

Figure I.1 – Resource sharing between FMSC networks

Operational flows:

  1. Multiple FMSC network entities jointly participate in DLT system.
  2. Resource information is stored on DLT system and reaches consensus among all participants.
  3. Multi-access UE proposes task/resource request to the FMSC networks forming the DLT system.
  4. The pre-defined SC is invoked. The resource scheduling mechanism realized with SC is executed and the resource sharing results are generated.
  5. Based on the resource sharing result, the resources that belong to different FMSC networks will be used.
  6. After UE's task is completed or resource request is satisfied, DLT system will start the "settlement" SC between FMSC networks.
| +| Derived requirements |
  1. It is required for FMSC-DLT to support interoperability between multiple FMSC networks.
  2. It is required for FMSC-DLT to support interoperability between FMSC network and Multi-access UE.
| + +### I.3 Handover between satellite and mobile access network in FMSC networks + +| Title | Handover between satellite and mobile access network in FMSC networks | +|----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description | Handover is a very important part of FMSC mobility management. There are three types of access networks in the FMSC network, each with different coverage areas. The handover may occur between different areas or between different access networks. | +| Pre-conditions (optional) | The multi-access UE connects to DLT system. The information used in handover has been stored on the DLT system. | +| Post-conditions (optional) | None. | + +| Title | Handover between satellite and mobile access network in FMSC networks | +|-----------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure and operational flows (optional) |

Image: Figure I.2: Handover satellite and mobile access in FMSC. The diagram shows a DLT system at the top with a row of green cubes and a box containing 'Handover-related information', '...', and 'exe'. Below it is a 'Converged core network' box containing 'Satellite-based core network' and 'Land-based core network'. To the right are 'Data network' and 'Service platform' boxes. On the left, a satellite and two ground stations are shown. A multi-access UE is depicted with two handover scenarios: 'Handover 1' (mobile to mobile) and 'Handover 2' (mobile to satellite). Numbered arrows (1, 2, 3) indicate the flow of measurement reports and handover decisions. A 'Handover authentication' label points to the DLT system. Reference Y.3210(24) is at the bottom right.

Figure I.2 – Handover satellite and mobile access in FMSC

A multi-access UE connected to a mobile access network has two optional switching targets when moving: one is to a new mobile access network, and the other is to a satellite access network, as shown in Figure I.2.

Operational flows:

  1. 1 The multi-access UE leaves the source next generation NodeB (gNB) and is about to enter a new gNB service area or satellite service area.
  2. 2 The multi-access UE sends the measurement report to the source gNB. Then, gNB informs the converged core network to initiate the switching process based on the measurement report.
  3. 3 The elements in converged core network invoke the SC in the DLT system to retrieve the authentication information (possibly between different FMSC networks) and the handover decision.
  4. 4 Access and mobility management function in the converged core network starts the handover procedure and records the handover log to DLT system.
| +| Derived requirements |

It is required for the DLT to provide transparent location information of UE to allow the converged network function to consider whether to conduct handover operation.

It is required for the DLT to store authentication information of UE to support fast handover authentication and achieve service continuity.

| + +### I.4 Ubiquitous connectivity in FMSC-DLT + +| Title | Ubiquitous connectivity in FMSC-DLT | +|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description | In FMSC-DLT, ubiquitous connectivity means that the network will provide the network resources and services for users anytime, anywhere and whenever they want. | +| Pre-conditions (optional) | All resource information and service information are registered in the DLT system, and the service provision-related SCs are deployed in DLT system. | +| Post-conditions (optional) | The network can provide users with fast response, low latency and high reliability services. | + +| Title | Ubiquitous connectivity in FMSC-DLT | +|-----------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure and operational flows (optional) | Diagram of Ubiquitous connectivity in FMSC-DLT showing DLT system, Access network, Converged core network, and Data network/Service platform with numbered operational flows 1, 2, and 3.

Y.3210(24)

Figure I.3 – Ubiquitous service in FMSC

Operational flows:

  1. 1 A multi-access UE connects to FMSC and provides a service request.
  2. 2 The service provision-related SCs are triggered in the DLT system. Based on the service request, the nearest and the most optimal service is selected.
  3. 3 The selected service is delivered to the multi-access UE via FMSC.
| +| Derived requirements |

The FMSC network is required to distinguish various DLT systems and enhance interoperability among these different service platforms as the intermediaries.

The FMSC network is required to sense the request of users and discover the nearest services.

The DLT system is required to deploy services provision-related SC and store information of the services and resources.

| + +## Bibliography + +- [b-ITU-R M.1645-0] Recommendation ITU-R M.1645-0 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-ITU-T X.1400] Recommendation ITU-T X.1400 (2020), *Terms and definitions for distributed ledger technology*. +- [b-ITU-T Y.101] Recommendation ITU-T Y.101 (2000), *Global Information Infrastructure terminology: Terms and definitions*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. +- [b-ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [b-ITU-T FG DLT D5.1] Technical Report ITU-T FG DLT D5.1 (2019), *Outlook on distributed ledger technologies*. +<> +- [b-ISO/TC 307] ISO/TC 307:2016, *Blockchain and distributed ledger technologies – Terminology*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git 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+|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3212 + +## Fixed, mobile and satellite convergence – Requirements for supporting high-altitude platforms for IMT-2020 networks and beyond + +## Summary + +A high-altitude platform (HAP) is located on an object at an operational altitude of 18 to 50 kilometres and provides network functions of access network, control plane, user plane, and application services. The HAP can provide communication services to end users cooperating with fixed, mobile and satellite convergence (FMSC), which is the capability that provides services and applications to end users regardless of the fixed, mobile or satellite access technologies being used. Recommendation ITU-T Y.3212 specifies the requirements of supporting HAPs for FMSC for IMT-2020 networks and beyond, focusing on scenarios, requirements, and security considerations. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3212 | 2024-09-13 | 13 | 11.1002/1000/16109 | + +## Keywords + +FMSC, HAP, IMT-2020, satellite network. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------------------|------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Scenarios of supporting the HAP for FMSC ..... | 2 | +| 6.1 Overview ..... | 2 | +| 6.2 Capacity enhancement for land-based networks ..... | 4 | +| 6.3 Coverage enhancement for unserved and/or underserved areas..... | 4 | +| 6.4 Emergency communications ..... | 4 | +| 7 Requirements of supporting the HAP for FMSC ..... | 4 | +| 7.1 Requirements of access selection ..... | 5 | +| 7.2 Requirements of on-demand/tailored network ..... | 7 | +| 7.3 Requirements of mobility management..... | 9 | +| 7.4 Requirements of computing services..... | 11 | +| 8 Security Considerations ..... | 13 | +| Bibliography..... | 14 | + + + +# Recommendation ITU-T Y.3212 + +## Fixed, mobile and satellite convergence – Requirements for supporting high-altitude platforms for IMT-2020 networks and beyond + +# 1 Scope + +This Recommendation specifies the requirements of supporting high-altitude platforms (HAPs) in fixed, mobile and satellite convergence (FMSC) networks for IMT-2020 and beyond. HAPs can cooperate with fixed, mobile and satellite networks to provide communication services to end users. + +This Recommendation addresses the following aspects of supporting HAPs in FMSC networks: + +- Scenarios of supporting HAPs in FMSC networks. +- Requirements of supporting HAPs in FMSC networks. The requirements include access selection, on-demand/tailored network, mobility management and computing services. +- Security considerations of supporting HAPs in FMSC networks. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [ITU-T Y.3102] Recommendation ITU-T Y.3102 (2018), *Framework of the IMT-2020 network*. +- [ITU-T Y.3200] Recommendation ITU-T Y.3200 (2022), *Fixed, mobile and satellite convergence – Requirements for IMT-2020 networks and beyond*. +- [ITU-T Y.3201] Recommendation ITU-T Y.3201 (2023), *Fixed, mobile and satellite convergence – Framework for IMT-2020 networks and beyond*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 control plane** [b-ITU-T Y.2011]: The set of functions that controls the operation of entities in the stratum or layer under consideration, plus the functions required to support this control. + +**3.1.2 data plane** [b-ITU-T Y.2011]: The set of functions used to transfer data in the stratum or layer under consideration. + +**3.1.3 fixed, mobile and satellite convergence** [ITU-T Y.3200]: The capabilities that provide services and applications to end users regardless of the fixed, mobile or satellite access technologies being used and independently of the users' location. + +**3.1.4 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +**3.1.5 network function** [b-ITU-T Y.3100]: In the context of IMT-2020, a processing function in a network. + +**3.1.6 user plane** [b-ITU-T Y.2011]: A synonym for data plane. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-----------------------------------------| +| AF | Application Function | +| CPU | Central Processing Unit | +| FMSC | Fixed, Mobile and Satellite Convergence | +| GEO | Geostationary Earth Orbit | +| HAP | High Altitude Platform | +| HEO | Highly Elliptical Orbit | +| LEO | Low Earth Orbit | +| MEO | Medium Earth Orbit | +| NACF | Network Access Control Function | +| NGSO | Non-Geostationary Orbit | +| PCF | Policy Control Function | +| QoS | Quality of Service | +| SATP | Satellite Access Type selection Policy | +| SMF | Session Management Function | +| UE | User Equipment | +| UPF | User Plane Function | +| USM | Unified Subscription Management | + +# **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +# **6 Scenarios of supporting the HAP for FMSC** + +## **6.1 Overview** + +IMT-2020 networks and beyond is increasingly becoming a multi-layered network providing optimal infrastructure functions without being aware of the infrastructure type, technology, communication bandwidth, congestion and security by users. While conventional area coverage has been two- + +dimensional, covering ground surface and the sea surface, the coverage area of IMT-2020 networks and beyond will be three-dimensional, expanding coverage by adding aerial coverage. + +IMT-2020 networks and beyond, which utilizes land-based networks and non-terrestrial systems including HAPs, in addition to satellite networks, can provide seamless service by flexibly combining these resources. Among all, the HAP has the capability of providing direct communication and broadband communication in areas where land-based networks cannot cover. Thus the user's desired communication services can be fulfilled anywhere (whether in the air, on the coast, in cities or remote areas) and at any time. + +The HAP is located on an object at an operational altitude of 18 to 50 kilometres. It has the ability to carry communication equipment to provide communication services for end users. The HAP not only provides large coverage (about 100 kilometres in radius), but also has some prominent features among non-terrestrial systems, including low latency, large load capacity, and on-demand deployment. + +There are some typical scenarios of supporting the HAP for FMSC in IMT-2020 networks and beyond, which are described as follows: + +- Capacity enhancement for land-based networks. In this scenario, the HAP and FMSC can jointly provide more capacity to accommodate a temporary increase in demand. The HAP provides a new network access method. +- Coverage enhancement for unserved and/or underserved areas. The HAP is effective in expanding coverage to previously unserved or underserved areas on the ground and can also provide three-dimensional coverage in urban/rural areas. In coverage enhancement scenarios, the HAP on its own or with satellites can provide a wide range of communications. When the HAP carries core network equipment to form the HAP-based core network, it can also provide core network function to satellites and other HAPs. +- Emergency communications. In this scenario, the HAP is deployed for mission-critical communications in, for example, tornadoes, rainstorms, tsunamis and other emergency circumstances. + +This Recommendation addresses the requirements of supporting the HAP access network and the HAP-based core network in FMSC networks for IMT-2020 and beyond. Figure 6-1 depicts the scenarios of supporting the HAP in FMSC networks for IMT-2020 and beyond. + +![Figure 6-1: Scenarios of supporting the HAP in FMSC networks for IMT-2020 and beyond. The diagram illustrates a multi-layered network architecture. On the left, a 'Multi-access UE' (represented by a mobile phone icon) is connected to three access networks: 'Satellite access network' (satellite icon), 'HAP access network' (HAP icon), and 'Land access network' (tower icon). These access networks are interconnected with three core networks on the right: 'Satellite-based core network' (cloud icon), 'HAP-based core network' (cloud icon), and 'Land-based core network' (server rack icon). The 'Satellite-based core network' and 'HAP-based core network' are connected by a large blue double-headed arrow, indicating bidirectional communication. The 'HAP-based core network' and 'Land-based core network' are also connected by a large blue double-headed arrow. The 'Satellite-based core network' is connected to the 'HAP-based core network' and the 'Land-based core network'. The 'HAP-based core network' is connected to the 'Satellite-based core network' and the 'Land-based core network'. The 'Land-based core network' is connected to the 'Satellite-based core network' and the 'HAP-based core network'. The diagram is labeled 'Y.3212(24)' in the bottom right corner.](dbe553cf16dd14073b89a8263a428664_img.jpg) + +Figure 6-1: Scenarios of supporting the HAP in FMSC networks for IMT-2020 and beyond. The diagram illustrates a multi-layered network architecture. On the left, a 'Multi-access UE' (represented by a mobile phone icon) is connected to three access networks: 'Satellite access network' (satellite icon), 'HAP access network' (HAP icon), and 'Land access network' (tower icon). These access networks are interconnected with three core networks on the right: 'Satellite-based core network' (cloud icon), 'HAP-based core network' (cloud icon), and 'Land-based core network' (server rack icon). The 'Satellite-based core network' and 'HAP-based core network' are connected by a large blue double-headed arrow, indicating bidirectional communication. The 'HAP-based core network' and 'Land-based core network' are also connected by a large blue double-headed arrow. The 'Satellite-based core network' is connected to the 'HAP-based core network' and the 'Land-based core network'. The 'HAP-based core network' is connected to the 'Satellite-based core network' and the 'Land-based core network'. The 'Land-based core network' is connected to the 'Satellite-based core network' and the 'HAP-based core network'. The diagram is labeled 'Y.3212(24)' in the bottom right corner. + +**Figure 6-1 – Scenarios of supporting the HAP in FMSC networks for IMT-2020 and beyond** + +## **6.2 Capacity enhancement for land-based networks** + +The capacity enhancements for land-based networks are as follows: + +- When the network resources of a land-based network are limited, the user equipment (UE) can choose the HAP network and/or the satellite network. Therefore, with the help of the core network, the UE can choose to access the HAP network and/or the satellite network to fulfil the expected resource requirements of specific services. +- When the UE tries to use a specific service, but the serving land-based network cannot satisfy the requirements of the service, the UE can split the traffic data that is related to the service and send the data to another HAP network or satellite network, and it will not influence the other existing traffic through the land-based network. +- When the UE stops using a specific service through a HAP network or satellite network, the UE will disconnect from this network (only if there are no other ongoing services of the UE through it) and its related resources occupied in this network will be released. + +## **6.3 Coverage enhancement for unserved and/or underserved areas** + +The coverage enhancement for unserved and/or underserved areas are as follows: + +- In areas with poor coverage of a land-based network, the UE can initially access the HAP network and/or the satellite network when the UE is under the coverage of the HAP network and/or the satellite network. +- When the UE moves to an area with no/poor coverage of a land-based network, the UE can switch to the HAP network and/or the satellite network. +- In areas with no coverage of a land-based network, due to the dynamic operations of the HAP, the UE connecting to a HAP can switch to the satellite network when the HAP flies away and disconnects from the UE. + +## **6.4 Emergency communications** + +The emergency communications are as follows: + +- Once the ground base stations are unavailable in an emergency, the UE cannot access the land-based network. The emergency base stations can be delivered to the disaster area, and the HAP network and/or the satellite network can be used as a backhaul link between the emergency base stations and the ground core network. +- When the land-based network is unavailable in an emergency, including not only ground base stations but some core network functions and even some application servers, it cannot provide communication or services to the UEs in an emergency. The HAP network or the satellite network can directly provide communication and services to the UEs with their onboard capabilities, so as to realize the rapid response to the UEs. + +# **7 Requirements of supporting the HAP for FMSC** + +Based on the scenarios mentioned above, there are some technical requirements which need to be addressed to support the HAP in FMSC networks for IMT-2020 and beyond. In general, the requirements can be classified into three categories: access requirements, core network requirements and computing service requirements. + +NOTE – Computing service is the application service based on the network and computing resources of computing and network convergence for IMT-2020 and beyond. + +As shown in Figure 7-1, in access network domain, the HAP can provide an alternative access method besides the ground access and satellite access. Also, the HAP-based core network can cooperate with the land-based core network and satellite-based core network, and provide communication services to the UE through ground, HAP and satellite access networks. Moreover, the core network functions + +deployed on the ground, HAP and satellite can forward the user data to the appropriate computing service for providing better communication quality of service (QoS). + +![Figure 7-1: Network architecture diagram of FMSC network supporting the HAP. The diagram is divided into three main domains: Access network domain, Core network domain, and Computing service domain. The Access network domain is further divided into four layers: GEO, NGSO, HAP, and Ground. In the GEO layer, a GEO satellite connects to a GEO base station. In the NGSO layer, a LEO/MEO/HEO satellite connects to a LEO/MEO/HEO base station. In the HAP layer, an Aircraft connects to a HAP base station. In the Ground layer, a User equipment connects to a Base station. All base stations connect to Core network functions in the Core network domain. The Core network functions connect to Computing services in the Computing service domain. A Gateway is also shown in the Ground layer, connected to the Core network functions and Computing services.](5b4e774d63e0e0ed73801a9247755e5f_img.jpg) + +The diagram illustrates the network architecture of an FMSC network supporting HAP. It is organized into three main domains: Access network domain, Core network domain, and Computing service domain. The Access network domain is divided into four layers: GEO, NGSO, HAP, and Ground. In the GEO layer, a GEO satellite connects to a GEO base station. In the NGSO layer, a LEO/MEO/HEO satellite connects to a LEO/MEO/HEO base station. In the HAP layer, an Aircraft connects to a HAP base station. In the Ground layer, a User equipment connects to a Base station. All base stations connect to Core network functions in the Core network domain. The Core network functions connect to Computing services in the Computing service domain. A Gateway is also shown in the Ground layer, connected to the Core network functions and Computing services. + +Figure 7-1: Network architecture diagram of FMSC network supporting the HAP. The diagram is divided into three main domains: Access network domain, Core network domain, and Computing service domain. The Access network domain is further divided into four layers: GEO, NGSO, HAP, and Ground. In the GEO layer, a GEO satellite connects to a GEO base station. In the NGSO layer, a LEO/MEO/HEO satellite connects to a LEO/MEO/HEO base station. In the HAP layer, an Aircraft connects to a HAP base station. In the Ground layer, a User equipment connects to a Base station. All base stations connect to Core network functions in the Core network domain. The Core network functions connect to Computing services in the Computing service domain. A Gateway is also shown in the Ground layer, connected to the Core network functions and Computing services. + +Y.3212(24) + +**Figure 7-1 – Network architecture diagram of FMSC network supporting the HAP** + +## 7.1 Requirements of access selection + +The HAP provides a kind of network access method in addition to existing access methods. The UE can access the convergence core network through a fixed, mobile, satellite and HAP access network. All access networks are independent of each other. Indeed, the access selection for the UE is required. + +The requirements on access selection in FMSC networks supporting the HAP are listed at the end of each of the following subsections. + +### 7.1.1 Access selection policy for the HAP and satellites + +Because of the dynamic access or handover to the HAP and satellite, UE may be indicated to choose a relatively stable access type and send data in case of poor quality communication. + +NOTE – The satellite access type selection policy (SATP) is such an access type selection policy to assist the UE in choosing the best access in FMSC. + +During the registration procedures or UE configuration update procedures, the core network function, especially the policy control function (PCF), sends the SATP to the UE through the onboard base station and other relative network functions. The SATP contains the recommended access type of the UE, e.g., HAP, low Earth orbit (LEO), medium Earth orbit (MEO), highly elliptical orbit (HEO), and geostationary Earth orbit (GEO), and it indicates the UE to be in a preset mode for a time period, e.g., the HAP/satellite may pause the connection of the feeder link in a planned way. During the time + +period, the UE stops sending signalling data to the core network via the onboard base station on the current serving HAP/satellite or the next serving HAP/satellite, but the UE can still send user service data to the onboard base stations with a maximum data volume in SATP each time the UE is in the preset mode, and the onboard base station can cache the data temporarily. Also, the SATP contains a timer that indicates to the UE when to stop sending data, and a timer that indicates the amount of time elapsed without the data being sent. If needed, the SATP can also contain a periodic timer that indicates the UE periodically performs the two mentioned actions of sending data and stopping sending data. + +- It is required for the FMSC network supporting the HAP to support access selection functions from the IMT-2020 core network functions [ITU-T Y.3102] for land access, HAP access and satellite access. +- It is required for the FMSC network supporting the HAP to support access selection functions based on the access selection policy. + +### **7.1.2 Routing selection policy over multi-access** + +Since the UE can access the integrated communication network in multiple ways, the network may negotiate the routing selection policy with the UE for the traffic transmission, so the user traffic can be properly dispatched. + +During the registration procedures or UE configuration update procedures, the core network function, especially the PCF, sends routing selection policies to the multi-access UE through the onboard base station and other relative network functions. The UE receives at least two routing selection policies for multi-access. + +When the UE sends the data packets, it shall determine the traffic characteristics of the data first, and select a target routing policy from at least two routing policies, based on the traffic characteristics. + +More specifically, the routing selection policy contains satellite access orbit type, which includes at least one of HAP, LEO, MEO, HEO and GEO. It also contains the traffic characteristics information which includes traffic and address description parameters. The traffic description parameters include operating system identifier and application identifier. The address description parameters include network address, port number, and address upper layer protocol identifier. + +NOTE – The HAP is treated as a type of satellite from the perspective of non-terrestrial networks, even though it is not a true satellite. + +Finally, the UE sends the data to the target HAP or satellite indicated by the target routing policy. + +- It is required for the FMSC network supporting the HAP to support access selection functions based on the routing selection policy over multi-access type. + +### **7.1.3 Dual access for mobile and stationary aircraft** + +Because of the huge coverage area of a GEO satellite, the UE can access the network in remote areas. Each satellite network has different power levels and transmission rates. Generally speaking, the UE should access the network through a GEO satellite initially and then send data through the HAP or non-geostationary orbit (NGSO) satellites. + +First, the network access control function (NACF), located in the GEO satellite, receives a registration request from the UE, and then sends a subscription data acquisition request to the unified subscription management (USM). Based on the subscription data of the UE received from the USM, the NACF selects the aircraft that provides connection services for the UE, where the aircraft, e.g., a HAP or NGSO satellite, is located within the coverage range of the GEO satellite. Specifically, the subscription data includes the authorization information of the aircraft, the authorization information of the GEO satellite, the maximum aggregated bit rate of the UE side, and the maximum aggregated bit rate of the aircraft side. + +The NACF then sends an access network resource request to the base station of the aircraft, which is used for the base station of the aircraft to allocate resources to the UE and access information of the aircraft. The NACF will receive access information from the base station. + +Finally, the NACF sends the registration accept message to the UE through the base station in the GEO satellite, where the registration accept message includes the dual connection authorization information of the GEO satellite and aircraft, as well as the access information of the aircraft. It is used for the UE to access the communication network integrated with the GEO satellite and aircraft. + +- It is required for the FMSC network supporting the HAP to support access selection functions based on the authorization of dual access. + +### **7.1.4 Access control based on UE available/unavailable time** + +The UEs in the FMSC network can be categorized as service requesters (source UE) and service providers (target UE). When the UE accesses the network, it shall provide its available time and /or unavailable time, so that the network can calculate the service time based on the available time period of both the service requester and the service provider. + +When the UE communicates through the HAP/satellites, the NACF will receive a registration request, including the initial registration request and registration update request, from the UE. The availability period duration in the request represents how long the UE is available through HAP/satellite access. The NACF will first verify if the availability period duration is less than or equal to HAP/satellite coverage duration. If so, the NACF stores it in the UE context and configures an availability period duration timer for the UE based on the availability period duration, and releases the connection when the timer is expired. + +The unavailability period duration parameters in the request represent how long the UE is unavailable through HAP/satellite access. The NACF will store it in the UE context, and when the NACF receives the registration update request with changed unavailability period duration parameters, the NACF will update and store it in the UE context. Based on the unavailability period duration parameters, the NACF can configure an implicit deregistration timer, and purge the UE when the timer is expired. + +The NACF will send the availability period duration and unavailability period duration of the UE to the session management function (SMF) when the UE requests services. When the two UEs communicate with each other, the SMF will calculate the intersection of the available time of both UEs and determine the remaining service duration. + +- It is required for the FMSC network supporting the HAP to support access selection functions with access control mechanisms. + +## **7.2 Requirements of on-demand/tailored network** + +Although the HAP can provide lower communication latency compared to satellites because of lower altitude, it is still higher than the latency of ground networks. Indeed, the on-demand/tailored core network, which has specific lightened core network functions and service capabilities, is required to provide communication functions with lower computational complexity as well as simplified communication procedures. + +The requirements of on-demand/tailored network in FMSC network supporting the HAP are listed at the end of each of the following subsections. + +### **7.2.1 Tailored SMF and user plan function (UPF) for data exchange onboard** + +For lower latency of data exchange, there is an urgent need for a method of onboard communication between UEs, so that the user traffic of one UE can be forwarded to other UEs connected to HAPs or satellites, in order to achieve data exchange between UEs through HAPs or satellites. + +During the session establishment procedures, the SMF receives the request to create a session context with satellite intercommunication information, including HAP or satellite identifier, network slice + +identifier and data network information, sent by the network function for access and mobility management (e.g., NACF). Then the SMF creates the session context and determines intercommunication UE filtering conditions based on the satellite intercommunication information. As a result, the intercommunication UE that meets the intercommunication UE filtering conditions is determined as the target UE from the list of intercommunication UEs. + +NOTE 1 – Satellite identifier is an identifier associated with a working satellite and uniquely identifying the satellite within the satellite communication system. + +NOTE 2 – Data network information refers to a list of information identifying the network service type and it can help determine the access type of the UE. + +Following this, the SMF sends a session establishment request with packet detection rules to the onboard UPF, so that the UPF can establish a session between the source UE and the target UE according to the packet detection rules, and the source UE and the target UE connected to the same base station, which is deployed on a HAP or satellite. + +Finally, the UPF establishes a session between the source UE and the target UE based on the packet detection rules after receiving the corresponding request. The two UEs can then communicate through the HAP or satellite by data exchange onboard without going through the ground network. + +- It is required for the FMSC network supporting the HAP to support on-demand/tailored network functions from the IMT-2020 core network functions [ITU-T Y.3102], including NACF, SMF, and UPF for HAP access and satellite access. +- It is required for the FMSC network supporting the HAP to support on-demand network based on the tailored SMF and UPF for data exchange onboard. + +### **7.2.2 Flexible configuration for network functions onboard** + +In general, it is hard for network operators to operate and maintain the network functions onboard, especially since the HAP or NGSO satellite can move. Indeed, it is necessary for the satellite/HAP operators to give a flexible control method to configure the network functions onboard so that the network functions onboard can cooperate with the ground network efficiently. + +In the case where the HAP/satellite is first located above a certain serving area corresponding to a certain network operator, the HAP/satellite establishes a connection with the network operator based on the HAP/satellite-ground connection configuration information. + +For UEs switching to the HAP/satellite, the HAP/satellite shall obtain state data from the data storage module of the network operator. The state data includes at least one of the terminal connection data, signalling interaction data, and user session transmission data of the target network function. The main idea is to maintain the target network functions onboard, wherein the state data shall be corresponding to the target network function and it shall be stored by other HAP/satellites, e.g., previous serving HAP/satellites or a dedicated GEO satellite for storage. Based on the state data, the HAP/satellite provides communication services corresponding to the target network functions for UEs. + +NOTE 1 – Serving area refers to a logical area division providing communication services through FMSC based on operators' policy and planning. The satellite/HAP can provide access capabilities and communication services for UEs in the serving area within its coverage. + +When the HAP/satellite leaves a certain serving area, the UEs need to switch to another HAP/satellite. To prevent service interruption, the satellite sends the currently maintained state data to the data storage module, where the state data shall correspond to the target network functions. + +- It is required for the FMSC network supporting the HAP to support on-demand network based on the flexible configuration for network functions onboard. + +NOTE 2 – The network functions belong to the IMT-2020 core network functions [ITU-T Y.3102] with FMSC enhancements [ITU-T Y.3201], e.g., NACF, SMF and PCF. + +### 7.2.3 On-demand data interaction based on group communication + +The HAP/satellite may have limited network resources for accessing, computing, transmitting etc. If this is the case, it is necessary to propose a mechanism for network resource saving onboard, especially in session management. For example, a UE sends a message only once and the other UEs can receive it respectively. + +First, SMF receives the session request sent by the source UE through the source aircraft, e.g., a HAP/satellite. Then it generates a session management communication group policy based on the requested service type. + +In detail, SMF initially creates a session management communication group list. If there is a correspondence between the source aircraft and the requested service type in this list, the information of the source UE shall be added to the corresponding UE list. Otherwise, a new association relationship shall be created in this list according to the relationship of service type, serving aircraft, UE list and onboard UPF. Based on this list, SMF knows which UEs belong to the same group and how these UEs communicate with each other based on serving aircraft and onboard UPF. + +**Table 7-1 – An example of a session management communication group list** + +| Session management communication group | Serving aircraft ID | UE list | Service type | Onboard UPF | +|----------------------------------------|---------------------|------------|--------------|-------------| +| G2 | HAP-A | UE 1, UE 2 | Message | UPF-HAP1 | +| G2 | SAT-GEO-A | UE 3 | Message | UPF-SAT1 | + +As shown in Table 7-1, G2 is the identifier of one session management communication group; UE 1 and UE 2 access a HAP named HAP-A, while UE 3 accesses a GEO satellite named SAT-GEO-A. All these UEs request message service in group communication. When UE 1 sends a message, the UPF-HAP1 which is deployed on HAP-A will transmit the message to UE 2. Because UE 3 also belongs to G2, at the same time, UPF-HAP1 will also transmit the same message to the UPF-SAT1 through the link between the satellite and the HAP; then the UPF-SAT1 will transmit it to UE 3. + +In this way, SMF sends the session management communication group policy to each UPF onboard, which will assist the source UE to complete data communication. When SMF receives the release message from the source UE, SMF shall remove all information of source UE from the session management communication group list. + +- It is required for the FMSC network supporting the HAP to support on-demand network with on-demand data interaction based on group communication. + +## 7.3 Requirements of mobility management + +The HAP can move or hover in the air. When the HAP, fixed, mobile and satellite networks are integrated, the whole system needs to perform coordinated processing location management for stationary network functions and onboard network functions, as well as the selection policy for network function discovery. + +The requirements of mobility management in FMSC network supporting the HAP are listed at the end of each of the following subsections. + +### 7.3.1 Aircraft location information configuration + +As shown in Figure 7-1, core network functions can be deployed not only on the ground, but also on the HAP or satellites in different orbits. Thus, the network functions need to obtain the current location of the aircraft, e.g., the HAP or satellite, so that core network functions can be aware of the aircraft information and the location information of their own aircraft, and be able to perform subsequent network discovery and selection procedures based on this information. + +To meet the requirement, the mobile network management system sends a request message to the aircraft monitoring and control system for the aircraft information of one specific aircraft in which the mobile network management system may also be deployed. Then, the mobile network management system receives a response message, including the aircraft information of the target aircraft sent by the aircraft monitoring and control system. + +More specifically, the aircraft information includes, but is not limited to, aircraft identity, aircraft type, and aircraft flying status information (aircraft orbit parameters, aircraft velocity, etc.). The response also includes a frequency for updating this information. During the time period of two adjacent responses, the location information of the target aircraft shall be calculated and updated based on the aircraft location when the first response was received and the aircraft flying status information. + +Finally, the mobile network management system configures the location to the core network functions deployed on the target aircraft. + +- It is required for the FMSC network supporting the HAP to support mobility management functions from the IMT-2020 core network functions [ITU-T Y.3102] for the HAP based on the aircraft and location information configurations. + +### **7.3.2 Requirements of the network function selection policy** + +According to the service-based register procedures of network functions, network functions will register information to the network function for service discovery, which can perform selection procedures based on the registered network function information. + +When a UE sends a service request to the network, the network function for service discovery will help the UE to select proper network functions to provide corresponding services. The request contains service information for indicating the service type, network function and selection policy for indicating network function selection preferences. + +The network function for service discovery selects at least one network function that supports the service information in the request, and generates the network function list. + +Then, based on the selection policy, the network function for service discovery selects one network function serving the UE, which best fits the policy information, from the network function list. + +More specifically, the selection policy includes, but is not limited to, distance policy, orbit policy, link policy, node capability policy and service duration policy. Meanwhile, the policy information can be classified as the single policy and the policy group. When the single policy applies, the network function for service discovery finds network functions that match the single policy, prioritizes them, and determines the highest priority network function as the target network function serving the UE. + +When the policy group applies, the network function for service discovery first finds out the network functions that match each single policy in the respective policy group, and takes the intersection of the results. Then, it performs prioritization and determines the highest priority network function as the target network function serving the UE. + +Finally, the selected network function executes the corresponding service information. + +- It is required for the FMSC network supporting the HAP to support mobility management functions with network function selection policy. + +### **7.3.3 Requirement of cooperative location management** + +The HAP offers capabilities including extensive coverage, low latency, significant load capacity, and flexible deployment. These capabilities make it a solution for enhancing network coverage and capacity in areas that are unserved or underserved, and also provides support in emergency situations. The network cooperation of HAP, satellite and terrestrial networks is required to complete location management to support these scenarios. + +For network coverage enhancement, the HAP cooperates with terrestrial networks, satellites and/or other HAPs, creating overlapping coverage zones that ensure stable and extensive connectivity. The HAP collects the location information of UEs and other access nodes, analyses the distribution and density of UEs based on the location information, and determines the best deployment location. It can collaborate with other network nodes to enhance network coverage. + +The satellite network can be used as the backhaul link between the HAP and core network. At this time, HAPs are required to provide location reports to the core network. At the same time, they collect information about the location and extent of the interest area from the core network, complete mobile deployment, and ensure a rapid response. + +When a single HAP cannot provide sufficient coverage, multiple HAPs are required to share location information and collaborate. + +NOTE – For emergency situations, when the original network coverage is unavailable, the HAP can provide communication coverage in disaster areas. + +- It is required for the FMSC network supporting the HAP to support mobility management functions with cooperative location management. + +### **7.3.4 Efficient group handover** + +Because of the mobility of the HAP/satellite, the UEs within the same satellite coverage area, accessing to the same serving aircraft may switch to another one. Under this circumstance, such UEs should be treated as a group rather than individual for handover procedures. + +During the group handover, because the source and target access networks are deployed on different HAPs/satellites, the source access network first sends a handover request to the target access network through the inter-satellite link or the link between the satellite and the HAP. The handover request includes the initial UE group information, which includes the UE information, e.g., UE identity or context, of each initial UE for handover. + +Then, the source access network receives the handover response from the target access network. The handover response includes the confirmed UE group information, which includes the UE information of each confirmed UE for handover and corresponding handover preparation information. Also, the handover response includes the failed UE group information, which includes the UE information of each failed UE for handover and corresponding handover failed information. The target access network selects the confirmed handover UEs from the initial UE group according to the selection policy. + +NOTE – The selection policy mentioned above helps the network to choose appropriate UEs for group handover. It includes at least one item of the mobile area restriction, the maximum aggregated bit rate of single UE, the access type selection priority, and the backhaul link information. + +Finally, each confirmed handover UE switches from the source access network to the target access network as a whole. + +- It is required for the FMSC network supporting the HAP to support mobility management functions with group handover. + +## **7.4 Requirements of computing services** + +The HAP has flexible computing capabilities and can cooperate with ground and satellite networks to provide computing services. + +The requirements of mobility management in the FMSC network supporting the HAP are listed at the end of each of the following subsections. + +### **7.4.1 Joint computing service of the HAP and satellite constellation** + +When multiple satellites of the same satellite network can be seen and accessed by the UE, it can improve the coverage time of the specified area and extend the observation range of the ground. + +Indeed, it can provide a better communication experience to a ground UE or a non-terrestrial network node (e.g., the HAP), far more than what a single satellite can do. The HAP can cooperate with this satellite group to provide a powerful computing service. + +In general, the HAP receives task information sent by UEs, including the quantity and processing time of a task. The HAP then determines whether the task can be completed by itself based on the task quantity and the processing capacity of the HAP. In the negative case, the HAP determines the target task information to be provided to the satellite networks based on the task quantity and the processing capacity of the HAP. + +However, to leverage the satellite resource, as shown in Figure 7-2, the HAP shall negotiate with the satellites at the beginning. First, the HAP receives satellite information sent by each satellite from multiple satellites, the satellite information includes the connection duration and the access state information between the satellite and the HAP. + +Second, the HAP determines the head node (satellite) among multiple satellites based on the connection duration, access state information, and pre-configured rules of decision. To be specific, the HAP sorts satellites based on the connection duration and access state information, to get the sorting result, for example, ranking the longest connection time and the best access state in the top, or ranking the value calculated as the sum of weighted connection duration and weighted access state information. The weight factors are determined in the pre-configured rules of decision. According to the sorting result, the HAP sends connecting requests to each satellite sequentially, so that each satellite can determine whether to establish a connection with the HAP based on the quantity and processing time of the target task included in the requests. When receiving a connecting confirmation message from any satellite, the HAP determines it as the head node (satellite). + +![Network schematic diagram of joint computing service of the HAP and satellite constellation. The diagram shows a group of satellites in a LEO constellation, with one designated as the 'Head node'. The HAP (High Altitude Platform) is shown below the satellites, and the ground UEs (User Equipment) are shown at the bottom. The HAP is connected to the Head node and the ground UEs. The ground UEs are divided into Maritime UEs and Ground UEs. The diagram illustrates the flow of data and control signals between the satellites, the HAP, and the ground UEs.](9b9d2abd741ed4bafe7f78f89961c663_img.jpg) + +A satellite group within LEO satellite constellation + +Head node + +HAP + +Maritime UE + +Ground UE + +Y.3212(24) + +Network schematic diagram of joint computing service of the HAP and satellite constellation. The diagram shows a group of satellites in a LEO constellation, with one designated as the 'Head node'. The HAP (High Altitude Platform) is shown below the satellites, and the ground UEs (User Equipment) are shown at the bottom. The HAP is connected to the Head node and the ground UEs. The ground UEs are divided into Maritime UEs and Ground UEs. The diagram illustrates the flow of data and control signals between the satellites, the HAP, and the ground UEs. + +**Figure 7-2 – Network schematic diagram of joint computing service of the HAP and satellite constellation** + +Third, the head node (satellite) allocates the target task information to other satellites within its satellite group and obtains the target task processing result from these satellites after their processing. The HAP receives the target task processing result sent by the head node (satellite), further integrates the task results and finally sends back to the UEs. + +Moreover, due to the mobility of NGSO satellites, the head node (satellite) may change. Therefore, the HAP determines a set of alternative head nodes (satellites) using the same method as determining the head node (satellite). When the current head node (satellite) sends a handover signal to a candidate head node (satellite), the latter becomes the current head node (satellite) and takes over ongoing computing service tasks. + +- It is required for FMSC network supporting the HAP to support computing service functions based on the joint computing service of HAPs and satellites. + +### **7.4.2 Computing service information subscription from the vertical industrial platform** + +The capabilities of FMSC, especially supporting the HAP, can be exposed to the vertical industrial platform and information exposure is one important service therein. The vertical industrial platform can subscribe and be notified with the information of serving satellites and/or HAPs. + +NOTE – Vertical industrial platform corresponds to third parties for the information interaction between vertical industries and FMSC. + +The vertical industrial platform, as a network function service consumer, shall negotiate with the application function (AF). The AF first receives the subscription event request sent by the network function service consumer, and the subscription event is used to subscribe to the satellite status information. + +When the satellite status information changes, the AF provides the changed attributes information of the satellite to the network function service consumer. The attributes information of the satellite includes the full identity information of the satellite/HAP, e.g., satellite identifier; the ephemeris information of the satellite; information indicating whether the satellite/HAP is available; information indicating whether the satellite/HAP with UPF is onboard; and corresponding computing service information, such as total and available central processing unit (CPU), memory and storage. The AF shall only notify changed attributes, regardless of the invariant attributes. + +In this way, the vertical industrial platform will be notified in a timely manner, once the status of its serving satellites/HAPs changes and it can do some immediate reactions and operations to guarantee or promote QoS for both user and service aspects. + +- It is required for the FMSC network supporting the HAP to support the mechanisms of computing service information subscription from the vertical industrial platform. + +# **8 Security Considerations** + +The security and privacy considerations of supporting the HAP for FMSC include the following aspects: + +- Control plane security, which includes the security considerations on network functions, including NACF, SMF, PCF, and USM that have been enhanced to support the HAP for FMSC. It also includes the protection of the consistency, integrity and security of signalling data sending or receiving by the HAP. +- User plane security, which includes the security considerations on UPF, which have been enhanced to support the HAP-based communication for fixed access, mobile access and satellite access. It also includes the protection of the consistency, integrity and security of user data sending or receiving by the HAP. +- User privacy, which includes the privacy considerations on user-related data which is stored, cached or processed within the HAP. + +In addition, the security and privacy considerations should be aligned with the requirements specified in [ITU-T Y.3200], [ITU-T Y.3101] and [b-ITU-T Y.2701]. + +# Bibliography + +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000*. +- [b-ITU-T Y.2011] Recommendation ITU-T Y.2011 (2004), *General principles and general reference model for Next Generation Networks*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3214-202409-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3214-202409-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..d120ce10e67d9baf28b5b4ef649ed6246816b4a1 --- /dev/null +++ b/marked/Y/T-REC-Y.3214-202409-I_PDF-E/raw.md @@ -0,0 +1,432 @@ + + +# Recommendation + +## **ITU-T Y.3214 (09/2024)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +--- + +**Fixed, mobile and satellite convergence – +Service function chain (SFC) for IMT-2020 +networks and beyond** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3214 + +# Fixed, mobile and satellite convergence – Service function chain (SFC) for IMT-2020 networks and beyond + +## Summary + +In service function chain (SFC), an ordered set of abstract service functions are defined with ordering constraints that must be applied to packets and/or frames and/or flows selected as a result of classification and/or policy (Recommendation ITU-T X.1045). Recommendation ITU-T Y.3214 describes the SFC in fixed, mobile and satellite convergence (FMSC) in IMT-2020 networks and beyond. It covers overview on SFC, requirements of SFC, SFC modification, network function enhancements for SFC, and security considerations in FMSC. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3214 | 2024-09-13 | 13 | 11.1002/1000/16111 | + +## Keywords + +FMSC, IMT-2020, satellite network, service function chain (SFC). + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|----------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview on SFC in FMSC..... | 3 | +| 7 Requirements of SFC in FMSC..... | 3 | +| 7.1 General requirements..... | 3 | +| 7.2 Service requirements ..... | 4 | +| 7.3 Network requirements ..... | 4 | +| 8 SFC modification in FMSC ..... | 4 | +| 8.1 Overview on SFC modification..... | 4 | +| 8.2 UE mobility ..... | 5 | +| 8.3 Network congestion..... | 5 | +| 8.4 Other reasons ..... | 5 | +| 9 Network function enhancements for SFC in FMSC..... | 5 | +| 9.1 General architecture for SFC..... | 5 | +| 9.2 SFC Control Functions ..... | 6 | +| 10 Security considerations..... | 7 | +| Appendix I – Function chain modifications according to different scenarios ..... | 8 | +| Bibliography..... | 10 | + + + +# Recommendation ITU-T Y.3214 + +# Fixed, mobile and satellite convergence – Service function chain (SFC) for IMT-2020 networks and beyond + +# 1 Scope + +This Recommendation specifies the service function chain (SFC) in fixed, mobile and satellite convergence (FMSC) for IMT-2020 networks and beyond and addresses the following aspects: + +- Overview on SFC in FMSC; +- Requirements of SFC in FMSC; +- SFC modification in FMSC; +- Network function enhancements for SFC in FMSC; +- Security considerations. + +SFC modifications in FMSC according to different scenarios are provided in Appendix I. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T X.1045] Recommendation ITU-T X.1045 (2019), *Security service chain architecture for networks and applications*. +- [ITU-T Y.2242] Recommendation ITU-T Y.2242 (2018), *Service function chaining in mobile networks*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [ITU-T Y.3200] Recommendation ITU-T Y.3200 (2022), *Fixed, mobile and satellite convergence – Requirements for IMT-2020 networks and beyond*. +- [ITU-T Y.3201] Recommendation ITU-T Y.3201 (2023), *Fixed, mobile and satellite convergence – Framework for IMT-2020 networks and beyond*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 fixed, mobile and satellite convergence (FMSC)** [ITU-T Y.3200]: The capabilities that provide services and applications to end users regardless of the fixed, mobile or satellite access technologies being used independently of the users' location. + +**3.1.2 IMT-2020** [b-ITU-T Y.3100]: Systems, system components, and related technologies that provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +**3.1.3 network function** [b-ITU-T Y.3100]: In the context of IMT-2020, a processing function in a network. + +**3.1.4 service function chain (SFC)** [ITU-T X.1045]: A service function chain defines an ordered set of abstract service functions and ordering constraints that must be applied to packets and/or frames and/or flows selected as a result of classification. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|--------------------------------------------| +| ATG | Air-To-Ground | +| AZF | Analyser Function | +| eMBB | enhanced Mobile Broadband | +| FGF | Forwarding Graph Function | +| FMSC | Fixed, Mobile and Satellite Converged core | +| ML | Machine Learning | +| mMTC | massive Machine Type Communication | +| NFV | Network Function Virtualization | +| PCF | Path Control Function | +| QoS | Quality of Service | +| RAF | Resource Allocation Function | +| SDN | Software Defined Network | +| SF | Service Function | +| SFC | Service Function Chain | +| SFCC | Service Function Chain Controller | +| SIMF | Service Initiation/Modification function | +| UE | User Equipment | +| URLLC | Ultrareliable Low Latency Communications | +| VNF | Virtual Network Function | + +# **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Overview on SFC in FMSC + +In IMT-2020 and beyond networks [ITU-T Y.3201], with the increasing demand for various services, it faces incrementally advanced and customized users' requirements. SFC addresses this by establishing an ordered sequence of virtual network functions (VNFs) to handle different types of traffic flows and provide end-to-end services. In SFC, software defined networking (SDN) and virtualization technologies are used to dynamically create or modify chains of functions, answering the service demands. Also, new functions can be added to the existing chain, if needed, without having to change the underlying infrastructure of the network. Figure 6-1 shows a simple network based on SFC with four service functions (SFs) that two flows pass through in a converged network to access the application platform. SFs can be allocated to a specific flow (e.g., SF1 and SF4 for Flow 1, SF3 for Flow 2) or shared between different flows (e.g., SF2 shared between Flow 1 and 2). The set-up shows efficient use of network resources, as the shared functions are utilized by multiple flows. + +![Figure 6-1: Sample scenario in SFC. The diagram illustrates a network architecture where two devices, Device 1 and Device 2, send traffic through a Classifier to a Converged core network. The network contains four Service Functions (SF1, SF2, SF3, SF4) and an Application platform. Device 1's traffic (blue dashed line) passes through SF1 and SF4. Device 2's traffic (orange solid line) passes through SF3. Both flows share SF2. The traffic then reaches the Application platform. The reference Y.3214(24) is noted at the bottom right.](b3baf3a29b67c7425d2562ddbc52f0cc_img.jpg) + +Y.3214(24) + +Figure 6-1: Sample scenario in SFC. The diagram illustrates a network architecture where two devices, Device 1 and Device 2, send traffic through a Classifier to a Converged core network. The network contains four Service Functions (SF1, SF2, SF3, SF4) and an Application platform. Device 1's traffic (blue dashed line) passes through SF1 and SF4. Device 2's traffic (orange solid line) passes through SF3. Both flows share SF2. The traffic then reaches the Application platform. The reference Y.3214(24) is noted at the bottom right. + +**Figure 6-1 – Sample scenario in SFC** + +On the other hand, in today's network with different access technologies, users are being provided with different user experiences and data links. Fixed, mobile, and satellite convergence (FMSC) [ITU-T Y.3101] has been proposed to facilitate the simultaneous usage of various access technologies including fixed, mobile, and satellite in IMT 2020, and beyond that results in a noticeable improvement of users' service experience. + +By moving towards softwarization in the networks in IMT-2020 networks and beyond, and with interest in using SFC in the FMSC network, a framework for SFC functions is required to address SFC to utilized network resources efficiently in these heterogeneous networks. + +# 7 Requirements of SFC in FMSC + +## 7.1 General requirements + +- It is required to have the capability to manage and maintain [b-ITU-T Y.3153] [b-ITU-T Q.3061] the flow sessions during chain modification. +- It is required to allow SFs to be deployed in multiple SFCs in FMSC in IMT-2020 networks and beyond. +- It is required to prevent infinite service function loops while SFs are invoked multiple times in the same SFC. +- It is required to support updating or withdrawal of an existing SFC, defining a new SFC and adding new SFs without effecting other existing SFs or other SFCs. + +- It is recommended to support the dynamic customization of the service function chain controller (SFCC), including creation, modification and deletion, without affecting other existing SFCCs and associated SFCs. +- It is recommended to support vertical protocol stack composition and horizontal application layer lightweight customization for the NFV-based SFCCs and SFs. + +NOTE – How the SFs are deployed on physical hardware, as one or more virtual machines, or any combination thereof, is not considered in the general requirements. + +## **7.2 Service requirements** + +- It is required to associate the same or distinct SFCs for each direction (inbound/outbound) of the traffic pertaining to a specific service. +- It is required to enable having different profiles for a SF based on the context of a service. +- It is recommended to enable service aware dynamic customization of SFCCs based on the context of a service. +- It is required to ensure service continuity for FMSC when SFC modification results in switching between satellite, air-to-ground (ATG), and IMT backhails. +- It is required that quality of service (QoS) to be maintained irrespective of the backhaul type in the FMSC based network [b-ITU-T Y.3106]. + +## **7.3 Network requirements** + +- It is required for the network to forward traffic between two SFs (involved in the same SFC). +- It is required for the network to prevent the leak of the SFC logic and its policies outside the administrative domain. +- It is required to allow for multiple SFCs to be simultaneously imported within an administrative domain. +- The control plane is required to support switching among different backhails to select the most appropriate flow path in chain creation and modification. + +# **8 SFC modification in FMSC** + +## **8.1 Overview on SFC modification** + +In an FMSC network, each item of user equipment (UE) is connected to the converged core network through different access heterogeneous backhails. Depending on the service requirements, a proper service function chain is formed to provide the service requested by the UE. The current service function chain is not static and may be modified. A basic concept of SFC creation and modification have been presented in [ITU-T Y.2242]. For more clarification, the following example is presented for SFC modification, considering that a traffic flow $i$ has been served by service functions SF1, SF2 and SF3 for an end-to-end service provisioning. The edge node that has hosted SF1 becomes overloaded and another edge node that has hosted the same SF1 has low load. In this case, it is needed to modify the chain for serving traffic flow $i$ thought SF1 hosted on low-load edge node. Generally, SFC modification can be caused on account of different possible scenarios e.g., changing in network resource utilization, service upgradation, congestion control and load balancing and fault tolerance as presented in Appendix I. + +In the following subsection the reasons for SFC modifications in FMSC network have been listed. + +## **8.2 UE mobility** + +In an SFC in FMSC network, the user connects to the converged core network and asks for a service and based on that, a function chain serves the user. Nonetheless, the users are usually in motion and their movement requires the existing service function chain to be modified. This can be due to the handover between heterogeneous access points with different coverage, bandwidth, delay (e.g., fixed network, mobile network, satellite network). By moving between two access points, the initial SFC might need some modifications, since the functions, virtual machines and resources might not be the same as before. Therefore, the mobility management functions update the SFC for modifying the existing SFC, and the SFC may also need to be reformed to enhance the efficiency of resource used for instantiation and modality related control plane signalling processing. In this way, the FMSC network keeps the session going in case of users' mobility. + +## **8.3 Network congestion** + +In general, considering the services requested by the UEs, SFCs are deployed, and traffic is routed through them. However, excessively exploiting some routes and network resources may result in congestion on some network points and links in the FMSC network. This leads to performance degradation or violation of the service level of agreements in some cases. Services that use SFCs may be affected. In this case, since in SFC various VNFs can be placed on different network points, a change can be made on the ongoing SFCs to distribute workload into the network evenly by moving some VNFs away from a congested network, if possible; otherwise, flow control or traffic shaping may be required to alleviate the network congestion. + +## **8.4 Other reasons** + +In the FMSC network with heterogeneous access networks and domains, context-aware networking is required for providing new services proposed in IMT-2020 networks and beyond. In this case, according to network/UE/traffic/service context, service function chains are dynamically reformed. Context-aware SFC modification has several subcategories such as mobility-aware, topology-aware and QoS-aware. As an example, when a new service is being requested from the network by a UE, based on the topology context provided by the FMSC network, the system can recognize the request as a malware attack. This detection then will be followed by implementing a change in the chain by adding a firewall in the users' function chain to support the system's security. + +# **9 Network function enhancements for SFC in FMSC** + +## **9.1 General architecture for SFC** + +The overall framework of the SFC-based converged core network is depicted in Figure 9-1. As can be seen, the multiaccess UE can have access to the network via three different access points including fixed access, mobile access and satellite access. Subsequently, the request is sent to the converged core network. In the converged core network, there are four different plane functions: control plane function, user plane function, service plane function and management plane function. + +SFC control functions include two main parts, the service classifier and the controller. In the service classifier, the upcoming requests are classified into different service categories such as enhanced mobile broadband (eMBB), ultrareliable low latency communications (URLLC), and massive machine type communication (mMTC). By this classification, our next segment, the controller, is notified to provide the request with its proper function chains and requisites. The service controller is in charge of creating or modifying the function chains for each user request. + +![Figure 9-1: Network function enhancements for SFC in FMSC network by considering user mobility. The diagram illustrates a multi-access network architecture. On the left, three user devices (blue smartphone, green smartphone, and a satellite) are shown. The blue smartphone connects to a 'Fixed access network' (represented by a base station icon). The green smartphone connects to a 'Mobile access network' (represented by a base station icon). The satellite connects to a 'Satellite access network' (represented by a satellite icon). These access networks connect to a 'Converged core network'. Within this core network, there are two service function chains: 'Service function 1 (SF1)' and 'Service function 2 (SF2)'. The 'Converged core network' is detailed in a box on the right, showing a 'Control plane' containing an 'SFC control function' (with a 'Service classifier' and a 'Controller' sub-block containing 'AZF', 'PCF', 'RAF', and 'SIMF' components), a 'User plane', a 'Service plane', and a 'Management plane'. A reference 'Y.3214(24)' is noted at the bottom right of the diagram.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Figure 9-1: Network function enhancements for SFC in FMSC network by considering user mobility. The diagram illustrates a multi-access network architecture. On the left, three user devices (blue smartphone, green smartphone, and a satellite) are shown. The blue smartphone connects to a 'Fixed access network' (represented by a base station icon). The green smartphone connects to a 'Mobile access network' (represented by a base station icon). The satellite connects to a 'Satellite access network' (represented by a satellite icon). These access networks connect to a 'Converged core network'. Within this core network, there are two service function chains: 'Service function 1 (SF1)' and 'Service function 2 (SF2)'. The 'Converged core network' is detailed in a box on the right, showing a 'Control plane' containing an 'SFC control function' (with a 'Service classifier' and a 'Controller' sub-block containing 'AZF', 'PCF', 'RAF', and 'SIMF' components), a 'User plane', a 'Service plane', and a 'Management plane'. A reference 'Y.3214(24)' is noted at the bottom right of the diagram. + +**Figure 9-1 – Network function enhancements for SFC in FMSC network by considering user mobility** + +NOTE – The user plane, service plane and management plane are out of the scope of this Recommendation. + +## 9.2 SFC control functions + +### 9.2.1 Service category classifier function + +This is a function that acts as the main application classifier in this architecture, allowing the network to classify applications based on the service requirements that are important for FMSC networks. This function can be run on a machine learning (ML)-based engine by using online and historical requested traffic and services. The main classifying process of this function can be divided into two steps. The first, extracting the required information from the users' requests, and the second, labelling the service category. After the extraction and labelling, the proper service function chain is allocated to the end user based on the service category, either by creating a new SFC or modifying a previously used service function chain. + +### 9.2.2 SFC controller (SFCC) + +One of the most paramount issues in SFC is the supervision of SFCs, carried out by the SFCC. This controller chains the functions in a flexible and agile manner to create communication services. In this way, multiple VNFs are connected for matching the traffic passing through the chain to provide the requested network service. The controller functions are as below: + +- Analyser function (AZF); +- Path control function (PCF); +- Resource allocation function (RAF); +- Service initiation/modification function (SIMF). + +#### 9.2.2.1 Analyser function (AZF) + +This function is an analysing engine that aims to find the best service chain. This is done with the help of machine learning techniques. After chaining the network functions based on the optimal strategy, a Forwarding Graph Function (FGF) is used to provide the required graph for service chain to support the service. Moreover, the analyser function (AZF) helps the network to generate a new service chain or modify the current service chain by analysing network conditions (resource utilization in access networks, available computational resources and link states) according to QoS requirements. + +##### **9.2.2.2 Path control function (PCF)** + +This function finds the optimal route based on the service graph and updates and selects the optimal path for SFC. This selection is made based on the information gained from the converged network to meet service requirements (e.g., the minimum end-to-end delay). Through this routing, the separated service functions form a whole path. ML can be exploited in this function to improve the network performance and the QoS. It can utilize a SDN controller. + +For example, when a user moves in the network, for handling this mobility without having to interrupt the connection, the movement may result in a change in the access point and this change can cause the SF routing to be modified in another direction. + +#### **9.2.2.3 Resource allocation function (RAF)** + +This function will be available through deployment of VNF instances in a virtualized environment. According to AZF function, RAF is in charge of resource allocation, scheduling and scaling up/down for service functions (i.e., VNFs) that have been selected to be in a service chain. + +For example, in case of handover to a new network zone through heterogeneous backhails, the RAF monitors and modifies the allocation of computing resources for VNF instances (running SFs) in the network accessed by the new backhaul according to service requirements of the existing SFC. + +##### **9.2.2.4 Service initiation/modification function (SIMF)** + +This function initializes the parameters for service provisioning, facing user mobility, network congestion, service upgrade and user demand. This function considers the characteristics and prerequisites of different access points while choosing the proper SF regarding the new access network and network resources (available computational resources and link states). + +# **10 Security considerations** + +The following are the security considerations for SFC in FMSC: + +- It is required to provide security mechanisms for the authentication of service requests and of third parties accessing the service functions in a chain in FMSC. +- It is required to provide security mechanisms for the authorization of service requests and of third parties accessing the service functions in a chain in FMSC. +- It is required to provide security mechanisms for communications among service functions in a chain in FMSC network to ensure end-to-end confidentiality and integrity of communications. +- It is required to provide security mechanisms for users' privacy during service provisioning. + +In addition, the main aspects of security considerations are required to be aligned with [ITU-T Y.2701], [ITU-T Y.3101] and [ITU-T Y.3200]. + +## Appendix I + +## Function chain modifications according to different scenarios + +(This appendix does not form an integral part of this Recommendation) + +Four scenarios are discussed in this section that can result in SFC update/modification, resource allocation/update, or access selection in an SFC-based converged core. According to Figure I.1, it is assumed that there are users with different service requirements, each of which has its own QoS that should be met. The following scenarios take place. + +![Figure I.1: SFC modifications according to different scenarios. The diagram illustrates a converged core network connected to three access networks: Fixed, Mobile, and Satellite. Each access network contains edge servers and cloud servers. A virtual network layer at the bottom shows three service chains (Chain 1, Chain 2, Chain 3) with service functions (SF1, SF2, SF3, SF4) and their connections.](bd671b21db63e6fdb2196e9b18502aac_img.jpg) + +The diagram illustrates a converged core network architecture. At the top is the 'Converged core network'. Below it are three access networks: 'Fixed access network', 'Mobile access network', and 'Satellite access network'. Each access network contains 'Edge server' and 'Cloud server' components. The 'Fixed access network' and 'Mobile access network' are connected to the core network. The 'Satellite access network' is connected to the core network via a satellite. A 'Virtual network' layer is shown at the bottom, containing three service chains: 'Chain 1: SF1 -> SF2 -> SF4', 'Chain 2: SF1 -> SF2 -> SF4', and 'Chain 3: SF1 -> SF2 -> SF4'. The virtual network also includes various service function (SF) nodes (SF1, SF2, SF3, SF4) and their connections. + +Y.3214(24) + +Figure I.1: SFC modifications according to different scenarios. The diagram illustrates a converged core network connected to three access networks: Fixed, Mobile, and Satellite. Each access network contains edge servers and cloud servers. A virtual network layer at the bottom shows three service chains (Chain 1, Chain 2, Chain 3) with service functions (SF1, SF2, SF3, SF4) and their connections. + +**Figure I.1 – SFC modifications according to different scenarios** + +### 1) Changing in network resource utilization + +In some cases, a service request is received that needs SFC implementation with high bandwidth, low latency or high computational resources. Compared to traffic flow for users who already receive service, the requested service has a high priority. To accept this service request, the resources (e.g., bandwidth and computational resources) of the current services should be released and are allocated to the services with the higher priority because of the resource limitation of edge nodes. In this case, the access networks or allocated resources for SFs of current users should be changed (e.g., from cellular to satellite access network) and this will lead to SFC modification in FMSC (Chain 1 to Chain 3). + +In contrast, the network was servicing high priority users with high resource requirements such that other users with lower priorities could not receive service. As an example, in FMSC, cellular or fixed + +resources are allocated to users of high priority. By ending the services with high priority, the resources (including networking resources, computing resources and storage resources) are made available to services with lower priorities. In this case, new SFCs are implemented for low priority services. In some cases, because of the change in network resources, SFCs may need to be modified due to allocation of new SFs on the network or rerouting of traffic from one network to another one (e.g., from the satellite network to mobile network or fixed network). + +### 2) Service upgrade + +The user is connected to a network with limited resources (such as bandwidth in a satellite network) and its traffic flow is routed through an SFC. If it wants to increase its resource demand or upgrade its service (such as using a full HD videogame), it is necessary to connect to the access network with a higher bandwidth (such as fixed) and perform scaling up in the computational resources (virtual machines' capacity) to run the SFC. In this case, it is necessary to modify SFC for the user service upgrade. (SF2 is upgraded in Chain 2.) + +### 3) Congestion control and load balancing + +Congestion can reduce service quality due to limited resources on the network and the inability to meet the minimum service requirements of users (for example, in a URLLC scenario). In this case, access resources are modified, and more computational power is allocated to SFs in order to service traffic flow. Moreover, users are led to connect to other underutilized access networks with the aim of load balancing. For example, there are users who are connected to a cellular or Wi-Fi network. When congestion occurs, it is necessary to transfer these users' traffic to other networks such as satellite or fixed. In this case, in addition to changing the access network, it is necessary to modify the SFC as well (Chain 1 to Chain 3). + +### 4) Fault tolerance + +In case of a network fault (due to link failure, hardware failure, software errors), it is necessary to provide an alternative access network (such as satellite) for services that are sensitive to errors. As a result, services affected by failures can be restored. For example, an error occurs in the chain related to traffic flow which is connected to a cellular access network. It is not possible to allocate new resources for running SFs in SFC while connected to the current access network. So, a new chain is defined for SFs with, if needed, another reliable access network such as satellite with enough processing resources is used to provide the service in a reliable way (Chain 1 to Chain 3). + +# Bibliography + +- [b-ITU-T Q.3061] Recommendation ITU-T Q.3061 (2022), *Signalling requirements for service function paths load balancing traceroute in service function chaining.* +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network.* +- [b-ITU-T Y.3106] Recommendation ITU-T Y.3106 (2019), *Quality of service functional requirements for the IMT-2020 network.* +- [b-ITU-T Y.3153] Recommendation ITU-T Y.3153 (2019), *Network slice orchestration and management for providing network services to 3rd party in the IMT-2020 network.* +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000.* + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3215-202409-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3215-202409-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..d911b169cd6152ceb5f5c3659598f9a1f757925a --- /dev/null +++ b/marked/Y/T-REC-Y.3215-202409-I_PDF-E/raw.md @@ -0,0 +1,346 @@ + + +# Recommendation + +## **ITU-T Y.3215 (09/2024)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +--- + +**Fixed, mobile and satellite convergence – +Requirements of network sharing for IMT-2020 +networks and beyond** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3215 + +## Fixed, mobile and satellite convergence – Requirements of network sharing for IMT-2020 networks and beyond + +## Summary + +Recommendation ITU-T Y.3215 specifies high-level requirements and functional requirements of network sharing for fixed, mobile and satellite convergence (FMSC) networks, whose requirements and framework are specified in Recommendations ITU-T Y.3200 and ITU-T Y.3201, respectively. The network sharing is for multiple operators and organizations to share network functions in access network (e.g., satellite) and/or convergence network.. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3215 | 2024-09-13 | 13 | 11.1002/1000/16112 | + +## Keywords + +FMSC, IMT-2020, network sharing, satellite. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|----------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview of network sharing ..... | 2 | +| 7 High-level requirements of network sharing ..... | 5 | +| 8 Functional requirements of network sharing ..... | 5 | +| 9 Security considerations..... | 5 | +| Bibliography..... | 6 | + + + +# Recommendation ITU-T Y.3215 + +## Fixed, mobile and satellite convergence – Requirements of network sharing for IMT-2020 networks and beyond + +## 1 Scope + +This Recommendation specifies the requirements of network sharing for fixed, mobile and satellite convergence (FMSC) networks. The scope of this Recommendation is as follows: + +- Overview of network sharing; +- High-level requirements of network sharing; +- Functional requirements of network sharing. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|------------------|---------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.3101] | Recommendation ITU-T Y.3101 (2018), Requirements of the IMT-2020 network . | +| [ITU-T Y.3102] | Recommendation ITU-T Y.3102 (2018), Framework of the IMT-2020 network . | +| [ITU-T Y.3104] | Recommendation ITU-T Y.3104 (2018), Architecture of the IMT-2020 network . | +| [ITU-T Y.3130] | Recommendation ITU-T Y.3130 (2018), Requirements of IMT-2020 fixed mobile convergence . | +| [ITU-T Y.3200] | Recommendation ITU-T Y.3200 (2022), Fixed, mobile and satellite convergence – Requirements for IMT-2020 network and beyond . | +| [ITU-T Y.3201] | Recommendation ITU-T Y.3201 (2023), Fixed, mobile and satellite convergence – Framework for IMT-2020 network and beyond . | +| [ITU-R M.2083-0] | Recommendation ITU-R M.2083-0 (2015), IMT Vision – Framework and overall objectives of the future development of IMT for 2020 and beyond . | + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 fixed mobile convergence** [b-ITU-T Y.3100]: In the context of IMT-2020, the capabilities that provide services and applications to end users regardless of the fixed or mobile access technologies being used and independently of the users' location. + +**3.1.2 fixed, mobile and satellite convergence** [ITU-T Y.3200]: The capabilities that provide services and applications to end users regardless of the fixed, mobile or satellite access technologies being used independently of the users' location. + +**3.1.3 IMT-2020** [b-ITU-T Y.3100]: (Based on [ITU-R M.2083-0]) Systems, system components, and related technologies that support to provide far more enhanced capabilities than those described in [b-ITU-R M.1645]. + +NOTE – [b-ITU-R M.1645] defines the framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000 for the radio access network. + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|------------------------------------------| +| CN | Core Network | +| CP | Control Plane | +| eMBB | enhanced Mobile Broadband | +| FMC | Fixed Mobile Convergence | +| FMSC | Fixed, Mobile and Satellite Convergence | +| mMTC | massive Machine Type Communication | +| MEC | Multi-access Edge Computing | +| MOCN | Multi-Operator Core Network | +| NACF | Network Attachment Control Function | +| NG-RAN | Next Generation – Radio Access Network | +| NS | Network Sharing | +| RAN | Radio Access Network | +| SMF | Session Management Function | +| UE | User Equipment | +| UP | User Plane | +| UPF | User Plane Function | +| URLLC | Ultra-reliable Low Latency Communication | + +## **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +## **6 Overview of network sharing** + +The IMT-2020 is essentially focused on various fundamental strategic objectives in terms of deployment efficiency and flexibility, including minimizing dependency on access network technologies, providing cost-efficient infrastructure, and expanding the geographic reach of the network [ITU-T Y.3101]. The IMT-2020 network enables a variety of services, including enhanced + +mobile broadband (eMBB) services, massive machine type communication (mMTC) based services and ultra-reliable low latency communication (URLLC) based services, all built on an infrastructure of network and computing resources [ITU-T Y.3102]. + +The architecture reference model of the IMT-2020 network is used to illustrate the interactions between the network functions. The network functions interact with each other to provide the IMT-2020 network services. The network functions within the core network (CN) control plane (CP) interact using service interfaces [ITU-T Y.3104]. + +Two service scenarios, along with related use cases supported by fixed mobile convergence (FMC) in IMT-2020 network, are introduced in [ITU-T Y.3130]. The first scenario involves fixed broadband service via fixed and (or) mobile access networks, while the second scenario supports mobile broadband service via fixed and (or) mobile access networks. + +With the development and evolution of satellite networks and communications technologies, the technical capabilities of satellite communications are enhanced, the use cases and services of satellite communications have expanded [ITU-T Y.3200]. Fixed, mobile and satellite convergence (FMSC) are the capabilities that provide services and applications to end users in a wider area by introducing satellite access into the FMC [ITU-T Y.3201]. It means that the capability of FMSC is to offer a wider area coverage by providing connectivity over the regions that are expensive or difficult to cover with terrestrial networks (i.e., rural areas, vessels, airplanes). Therefore, the FMSC represents a coverage extension for the terrestrial network and an integration of a terrestrial network with a satellite network. + +The benefits of FMSC are followings: + +- Wide-area coverage; +- Higher service availability, continuity and scalability. + +Despite many benefits, the high cost of satellite itself remains a significant barrier for a single organization or operator to deploy a large number of satellites in multiple locations. + +Therefore, it is more cost-effective for multiple operators and organizations to share network functions in satellite and convergence networks. + +The system model of network sharing (NS) for FMSC networks is illustrated in Figure 1. It is very similar to the traditional radio access network (RAN) sharing model in mobile networks. Multi-operator core network (MOCN) is able to utilize a common RAN. In FMSC, the RAN refers to the satellite having next generation – radio access network (NG-RAN) as shown in Figure 1. + +Functional models of network sharing for FMSC networks can be classified into three models. Functional model of RAN sharing for FMSC networks illustrates that the RAN is on-board the satellite, as shown Figure 2. The RAN is shared by two CN operators, with each operator managing its own CN functions. The RAN may only be a frequency convert when the satellite access is transparent. Users can access multi-access edge computing (MEC), which is connected to user plane function (UPF). In this case, the functionality of RAN is moved on the ground. + +![Figure 1: System model of network sharing for FMSC network. The diagram shows three boxes at the top labeled 'IMT-2020 CN operator 1', 'IMT-2020 CN operator 2', and 'IMT-2020 CN operator 3'. Lines from these three boxes converge on a central box labeled 'Satellite (NG-RAN)'. From the 'Satellite (NG-RAN)' box, two lines extend downwards to two separate boxes labeled 'UE'.](99bae07626f60f9ede10e2e387ef7051_img.jpg) + +``` +graph TD; O1[IMT-2020 CN operator 1] --- S[Satellite NG-RAN]; O2[IMT-2020 CN operator 2] --- S; O3[IMT-2020 CN operator 3] --- S; S --- U1[UE]; S --- U2[UE]; +``` + +Figure 1: System model of network sharing for FMSC network. The diagram shows three boxes at the top labeled 'IMT-2020 CN operator 1', 'IMT-2020 CN operator 2', and 'IMT-2020 CN operator 3'. Lines from these three boxes converge on a central box labeled 'Satellite (NG-RAN)'. From the 'Satellite (NG-RAN)' box, two lines extend downwards to two separate boxes labeled 'UE'. + +Y.3215(24) + +**Figure 1 – System model of network sharing for FMSC network** + +![Figure 2: Functional model of RAN sharing for FMSC network. The diagram shows a UE connected to a RAN, which is part of a Satellite. The Satellite is connected to two CN operators (CN operator 1 and CN operator 2). Each CN operator contains NACF, SMF, UPF, and MEC components. The RAN is shared between the two CN operators.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +The diagram illustrates a functional model for RAN sharing in an FMSC network. A User Equipment (UE) is connected via a lightning bolt symbol to a Radio Access Network (RAN) block. This RAN block is situated within a larger dashed box labeled 'Satellite'. Two parallel lines connect the RAN to two separate Core Network (CN) operator blocks, labeled 'CN operator 1' and 'CN operator 2'. Each CN operator block contains a sub-section with four components: NACF (Network Access and Control Function), SMF (Session Management Function), UPF (User Plane Function), and MEC (Multi-access Edge Computing). The RAN is shared between these two operators. The reference Y.3215(24) is noted at the bottom right. + +Figure 2: Functional model of RAN sharing for FMSC network. The diagram shows a UE connected to a RAN, which is part of a Satellite. The Satellite is connected to two CN operators (CN operator 1 and CN operator 2). Each CN operator contains NACF, SMF, UPF, and MEC components. The RAN is shared between the two CN operators. + +**Figure 2 – Functional model of RAN sharing for FMSC network** + +Functional model of RAN+UP sharing for FMSC is illustrated in Figure 3. The RAN and UPF are on-board the satellite and shared by two CN operators, with each operator managing its own Control Plane (CP) functions. + +![Figure 3: Functional model of RAN+UP sharing for FMSC network. The diagram shows a UE connected to a RAN, which is part of a Satellite. The Satellite contains MEC and UPF components. The RAN and UPF are shared between two CN operators (CN operator 1 and CN operator 2). Each CN operator contains NACF and SMF components.](e6df2733626a85205c1db682e6259c46_img.jpg) + +This diagram shows a functional model for RAN+UP sharing. A UE is connected to a RAN block within a 'Satellite' container. Inside the satellite container, there are also MEC and UPF blocks. The RAN and UPF are shared between two CN operators, 'CN operator 1' and 'CN operator 2'. Each operator's section contains NACF and SMF components. The RAN and UPF are shared between these two operators. The reference Y.3215(24) is noted at the bottom right. + +Figure 3: Functional model of RAN+UP sharing for FMSC network. The diagram shows a UE connected to a RAN, which is part of a Satellite. The Satellite contains MEC and UPF components. The RAN and UPF are shared between two CN operators (CN operator 1 and CN operator 2). Each CN operator contains NACF and SMF components. + +**Figure 3 – Functional model of RAN+UP sharing for FMSC network** + +Functional model of RAN+UP+CP sharing for FMSC is illustrated in Figure 4. The RAN, UPF and CP functions are on-board the satellite and shared by two CN operators, with each operator managing its own CP and UP functions. In this case, network slicing is applied to the satellite to separate each operator's area. + +![Figure 4: Functional model of RAN+CP+UP sharing for FMSC network. The diagram shows a UE connected to a RAN, which is part of a Satellite. The Satellite contains MEC and UPF components. The RAN, UPF, and CP functions are shared between two CN operators (CN operator 1/operator 2). Each CN operator contains NACF and SMF components.](053f1077d592e6622cd21dc4bb4cb366_img.jpg) + +The diagram illustrates a functional model for RAN+CP+UP sharing. A UE is connected to a RAN block within a 'Satellite' container. Inside the satellite container, there are also MEC and UPF blocks. The RAN, UPF, and CP functions are shared between two CN operators, 'CN operator 1/operator 2'. Each operator's section contains NACF and SMF components. The RAN, UPF, and CP functions are shared between these two operators. The reference Y.3215(24) is noted at the bottom right. + +Figure 4: Functional model of RAN+CP+UP sharing for FMSC network. The diagram shows a UE connected to a RAN, which is part of a Satellite. The Satellite contains MEC and UPF components. The RAN, UPF, and CP functions are shared between two CN operators (CN operator 1/operator 2). Each CN operator contains NACF and SMF components. + +**Figure 4 – Functional model of RAN+CP+UP sharing for FMSC network** + +## **7 High-level requirements of network sharing** + +The following high-level requirements are identified based on the system model of network sharing for FMSC networks indicated in clause 6. + +- The NG-RAN on satellite is required to identify multi-operator core network (MOCN). +- The NG-RAN on satellite is required to broadcast system information of multi-operator core network to user equipment (UE). +- The NG-RAN is required to provide the system information for UE to select core network operator. + +## **8 Functional requirements of network sharing** + +The following functional requirements are identified based on the functional model of network sharing for FMSC networks indicated in clause 6. + +The functional model of RAN sharing for FMSC network is illustrated in Figure 2 and the relevant functional requirements are identified in terms of RAN. Other network functions do not need further extension for network sharing in FMSC. + +- The RAN is required to forward each operator's control messages to each control plane function (e.g., network attachment control function (NACF)). +- The RAN is required to forward each operator's user traffic to each user plane function (e.g., UPF). + +The functional model of RAN+UP sharing for FMSC network is illustrated in Figure 3 and the relevant functional requirements are identified in terms of RAN and UPF. Other network functions do not need further extension for FMSC network sharing. + +- The RAN is required to forward each operator's control messages to each control plane function (e.g., NACF). +- The UPF is required to support resource sharing for each operator. +- The MEC is required to support MEC application hosting for each operator. + +The functional model of RAN+UP+CP sharing for FMSC network is illustrated in Figure 4 and the relevant functional requirements are identified in terms of RAN, UPF and CP functions (e.g., NACF and session management function (SMF)). Other network functions do not need further extension for FMSC network sharing. + +- Each CP function (e.g., NACF and SMF) is required to belong to a specific network slice for each operator. + +NOTE – It is assumed that a single network slice is assigned for each operator in this Recommendation. In the case of multiple network slices per operator, a single NACF will serve as a common function (i.e., not a slice specific function) for contacting to SMFs within each network slice. + +## **9 Security considerations** + +The security and privacy considerations of network sharing for FMSC should align with the requirements specified in [ITU-T Y.3200] and [ITU-T Y.3201]. + +## Bibliography + +- [b-ITU-T Y.3100] Recommendation ITU-T Y.3100 (2017), *Terms and definitions for IMT-2020 network* +- [b-ITU-R M.1645] Recommendation ITU-R M.1645 (2003), *Framework and overall objectives of the future development of IMT-2000 and systems beyond IMT-2000.* + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3261-202511-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3261-202511-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..96dc17f04aca221d95b122e9aea60a62990edbf5 --- /dev/null +++ b/marked/Y/T-REC-Y.3261-202511-I_PDF-E/raw.md @@ -0,0 +1,963 @@ + + +# Recommendation + +# ITU-T Y.3261 (11/2025) + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Future networks + +# --- Framework of trust level assessment for trustworthy networking + +## ITU-T Y-SERIES RECOMMENDATIONS + +### Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3261 + +# Framework of trust level assessment for trustworthy networking + +## Summary + +Recommendation ITU-T Y.3261 provides a framework of trust level assessment for trustworthy networking. It describes the trust level specification and the trust level evaluation criteria, and proposes a trust level evaluation model. With the above concepts, this Recommendation further specifies the high-level and functional requirements for trust level assessment and also proposes a framework as well as procedures for trust level assessment. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3261 | 2025-11-06 | 13 | 11.1002/1000/16459 | + +## Keywords + +Trust, trust level assessment, trustworthy networking. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2026 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview..... | 3 | +| 6.1 Necessity of trust level assessment for trustworthy networking ..... | 3 | +| 6.2 A conceptual model of trust level assessment for trustworthy networking.... | 3 | +| 7 Trust level specification and assessment criteria..... | 4 | +| 7.1 Trust level specification ..... | 4 | +| 7.2 Trust level assessment criteria..... | 7 | +| 7.3 Trust level assessment profile ..... | 9 | +| 8 Requirements of trust assessment for trustworthy networking..... | 10 | +| 8.1 Requirements for trust related data gathering and processing..... | 10 | +| 8.2 Requirements for trust level evaluation and assessment ..... | 11 | +| 8.3 Requirements for trust level assessment result management ..... | 11 | +| 9 Trust level assessment framework and procedures ..... | 12 | +| 9.1 Trust level assessment framework..... | 12 | +| 9.2 Trust level assessment procedures..... | 14 | +| Appendix I – Trust level assessment profile ..... | 16 | +| Appendix II – Overview of existing trust level studies ..... | 19 | +| Bibliography..... | 21 | + + + +# Recommendation ITU-T Y.3261 + +# Framework of trust level assessment for trustworthy networking + +# 1 Scope + +This Recommendation addresses a framework of trust level assessment for trustworthy networking. It covers the following issues: + +- Trust levels specification and assessment criteria; +- Requirements for trust level assessment; +- Trust level assessment framework and procedures. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [[ITU-T X.509](#)] Recommendation ITU-T X.509 (2019) | ISO/IEC 9594-8:2020, *Information technology – Open Systems Interconnection – The Directory: Public-key and attribute certificate frameworks*. +- [[ITU-T Y.3052](#)] Recommendation ITU-T Y.3052 (2017), *Overview of trust provisioning in information and communication technology infrastructures and services*. +- [[ITU-T Y.3053](#)] Recommendation ITU-T Y.3053 (2018), *Framework of trustworthy networking with trust-centric network domains*. +- [[ITU-T Y.3057](#)] Recommendation ITU-T Y.3057 (2021), *A trust index model for information and communication technology infrastructures and services*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +- 3.1.1 trust** [ITU-T Y.3052]: The measurable belief and/or confidence which represents accumulated value from history and the expecting value for the future. +- 3.1.2 trustor** [ITU-T Y.3052]: A trustor is one entity that trusts another entity, known as a trustee. +- 3.1.3 trustee** [ITU-T Y.3052]: A trustee is one entity that is trusted by another entity, known as a trustor. +- 3.1.4 trust level** [ITU-T Y.3053]: Trust level is the value assigned to a trust relationship that indicates how much the trustor trusts the trustee. +- 3.1.5 trust-centric network domain** [ITU-T Y.3053]: An abstraction of a network which is characterized by administrative features with a certain trust level and all its members have a mutual trust relationship. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 evidence:** A message composed of a set of claims generated by an entity and a set of metadata that describe the basic information about the evidence such as the issuer of the evidence, the timestamp and a signature generated using the private key of the entity. + +**3.2.2 network entity:** A physical or virtual instance of a network element. + +**3.2.3 trust level assessment:** The process of evaluating and determining the trust level of an entity based on predefined criteria and established methodologies. + +**3.2.4 trust level assessor:** An entity which evaluates and determines the trust level of other entities based on predefined criteria and established methodologies. + +**3.2.5 trust level certificate:** A certificate issued by a trust level assessor to certify the trust level of a trustee. + +**3.2.6 trust level assessment (TLA) owner:** A role performed by an entity (typically an administrator) that is authorized to configure a trust level assessment policy and provision TLA profiles for the trust level assessment. + +**3.2.7 trust level assessment profile:** A set of rules and methods that are used to direct a trust level assessor how to perform a trust level assessment regarding a trustee. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-------------------------------------------------| +| APT | Advanced Persistent Threat | +| CA | Certification Authority | +| CC | Common Criteria | +| DDoS | Distributed Denial-of-Service | +| EAL | Evaluation Assurance Level | +| ETSI | European Telecommunications Standards Institute | +| HSM | Hardware Security Module | +| ICT | Information and Communication Technology | +| ISO | International Standard Organization | +| NE | Network Entity | +| NESAS | Network Equipment Security Assurance Scheme | +| OID | Object Identifier | +| OS | Operating System | +| RoT | Root of Trust | +| TEE | Trusted Execution Environment | +| TLA | Trust Level Assessment | +| VM | Virtual Machine | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Overview + +After many years' development, ICT infrastructure has become one of the most critical facilities for human society. Traditional security mechanisms are not sufficient to protect the network. To improve the confidence of users in online transactions, it is necessary to integrate a mechanism for trustworthiness into the design of networks. A major issue of this integration is the formalization and quantification of trust. [ITU-T Y.3053] has pointed out that level of trust is an appropriate term to describe the confidence of a trustor in a trustee. The trustworthiness of network entities can be measured and classified based on predefined criteria. Trustworthy communications at different levels can be supported based on requirements from users, applications and services. + +## 6.1 Necessity of trust level assessment for trustworthy networking + +The lack of trust in ICT has provoked various problems in the physical, cyber and social worlds [ITU-T Y.3052]. To make future networks trustworthy, [ITU-T Y.3053] proposed a conceptual model of trustworthy networking, and suggested evaluating the trust level before communications can be carried out. It specifies a trust level validation function entity (TLV-FE) in the functional architecture of trustworthy networking [ITU-T Y.3053]. However, trust level assessment specifications were not provided. In this Recommendation, a trust level assessment framework is provided. + +## 6.2 A conceptual model of trust level assessment for trustworthy networking + +According to [ITU-T Y.3053], a network entity can play two roles: a trustor or a trustee. A trust relationship can be established between a trustor and a trustee. + +The trustworthiness of a trustee can be evaluated either by the trustor or by a dedicated entity according to the trust information provided. + +This Recommendation extends work in [ITU-T Y.3053] and specifies an entity for trust level assessment — the trust level assessor (TLA). It assesses the trust level of a network entity (NE) inside one trust domain. To support trust level assessment, a functional component called the TLA agent is defined. It performs trust level assessment related functionalities, such as trust level data gathering, local trust level assessment and trust information exchange. Figure 1 shows the conceptual model of trust level assessment for trustworthy networking. + +![Figure 1: A conceptual model of trustworthy networking with trust level assessment. The diagram shows three main components: a Trust level assessor at the top, and two Network entities at the bottom. The left Network entity is labeled 'Trustor' and contains a green box labeled 'TLA agent'. The right Network entity is labeled 'Trustee' and also contains a green box labeled 'TLA agent'. Dashed arrows labeled 'Trust level assessment' point from the Trust level assessor to both the Trustor and the Trustee. Dashed arrows labeled 'Identification' and 'Trust information exchange' connect the TLA agents of the Trustor and the Trustee. A solid double-headed arrow labeled 'Trustworthy communication' connects the Trustor and the Trustee. The reference 'Y.3261(25)' is located at the bottom right of the diagram.](99bae07626f60f9ede10e2e387ef7051_img.jpg) + +``` +graph TD + TLA[Trust level assessor] + subgraph Trustor_Box [Network entity] + TLA_agent1[TLA agent] + end + subgraph Trustee_Box [Network entity] + TLA_agent2[TLA agent] + end + Trustor_Box --- Trustor[Trustor] + Trustee_Box --- Trustee[Trustee] + + TLA -.->|Trust level assessment| Trustor_Box + TLA -.->|Trust level assessment| Trustee_Box + TLA_agent1 -.->|Identification| TLA_agent2 + TLA_agent1 -.->|Trust information exchange| TLA_agent2 + Trustor <-->|Trustworthy communication| Trustee +``` + +Y.3261(25) + +Figure 1: A conceptual model of trustworthy networking with trust level assessment. The diagram shows three main components: a Trust level assessor at the top, and two Network entities at the bottom. The left Network entity is labeled 'Trustor' and contains a green box labeled 'TLA agent'. The right Network entity is labeled 'Trustee' and also contains a green box labeled 'TLA agent'. Dashed arrows labeled 'Trust level assessment' point from the Trust level assessor to both the Trustor and the Trustee. Dashed arrows labeled 'Identification' and 'Trust information exchange' connect the TLA agents of the Trustor and the Trustee. A solid double-headed arrow labeled 'Trustworthy communication' connects the Trustor and the Trustee. The reference 'Y.3261(25)' is located at the bottom right of the diagram. + +**Figure 1 – A conceptual model of trustworthy networking with trust level assessment** + +A trust-centric network domain can have one or more trust level assessor(s). Network entities can obtain their own trust level from the trust level assessor, and can exchange trust information (e.g., trust level, evidence) themselves to establish trust relationships. Based on the trust level of network entities, data transmission paths with different trust levels can be established. + +Figure 2 shows an example of an end-to-end data transmission path established with different trust levels. A data packet with higher requirement for the trust level can bypass network entities with lower trust levels through tunnelling. + +![Figure 2: Trustworthy communication with different trust levels. The diagram illustrates two trust domains, A and B, each containing a Trust level assessor and several Network Entities (NE). In Trust domain A, there are two 'Highly trusted NE' and one 'Limitedly trusted NE'. In Trust domain B, there is one 'Highly trusted NE' and one 'Limitedly trusted NE'. Both domains have 'Access and delivery control' blocks. A 'Trust level = 5' cloud connects the two domains. A green double-headed arrow represents a 'Data forwarding path over highly trusted tunnel between two highly trusted NE'. A pink double-headed arrow represents 'Hop-by-hop data forwarding over path with limited trust level'. Various dashed arrows show 'Trust INFO exchange', 'Evidence collection', and 'Identification' between assessors and NEs. A legend at the bottom explains the data forwarding paths.](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +Trust information exchange + +Trust level = 5 + +Trust level = 2 + +Trust domain A + +Trust domain B + +↔ Data forwarding path over highly trusted tunnel between two highly trusted NE +↔ Hop-by-hop data forwarding over path with limited trust level + +Y.3261(25) + +Figure 2: Trustworthy communication with different trust levels. The diagram illustrates two trust domains, A and B, each containing a Trust level assessor and several Network Entities (NE). In Trust domain A, there are two 'Highly trusted NE' and one 'Limitedly trusted NE'. In Trust domain B, there is one 'Highly trusted NE' and one 'Limitedly trusted NE'. Both domains have 'Access and delivery control' blocks. A 'Trust level = 5' cloud connects the two domains. A green double-headed arrow represents a 'Data forwarding path over highly trusted tunnel between two highly trusted NE'. A pink double-headed arrow represents 'Hop-by-hop data forwarding over path with limited trust level'. Various dashed arrows show 'Trust INFO exchange', 'Evidence collection', and 'Identification' between assessors and NEs. A legend at the bottom explains the data forwarding paths. + +**Figure 2 – Trustworthy communication with different trust levels** + +# 7 Trust level specification and assessment criteria + +According to [ITU-T Y.3052], trust can be affected by both subjective and objective factors. Further, [ITU-T Y.3057] states that trust is often estimated using objective measurements. Therefore, in this Recommendation, to make trust objective, measurable and quantifiable, the indicators selected for the trust level assessment are all objective. This minimizes the ambiguity in the determination of trust level. However, even if the selected trust level assessment metrics are objective, different network domains may have different perspective on the importance of metrics. To meet diversified requirements, this Recommendation proposes to use profiles to customize the trust level assessment metrics used in trust assessment. A NE can be evaluated with multiple profiles and thus have multiple trust level assessment results. The assessment results of one item of equipment may be different trust levels. It is up to the NE to decide which assessment results to use in communication and data forwarding. + +## 7.1 Trust level specification + +Trust level is a value assigned to an NE that indicates the degree of a trustee that can be trusted by the trustor, or the trustworthiness of an NE. According to [ITU-T Y.3053], trust levels can be referred to in the data transmission and forwarding among network entities. + +Some existing practice classifies trust level into four levels from the angle of data transmission, while others classify trust into three levels from the perspective of the supply chain as in [b-ITU-T X.1812]. ETSI has defined six levels for assurance [b-ETSI-NFV-SEC-007] for virtualized network entities. The Common Criteria (CC) [b-ISO/IEC 15408] standard specifies seven evaluation assurance levels, + +from EAL1 to EAL7. Considering these existing practices and standardization work, in this Recommendation, the trustworthiness of network entities is classified into six levels. + +![Figure 3: Description of different trust levels. A vertical stack of six colored boxes representing trust levels from TL5 (Fully trusted) at the top to TL0 (Untrusted) at the bottom. Yellow curved arrows on the left point upwards from TL0 to TL5. Each box contains specific criteria and a label on the right.](5b4e774d63e0e0ed73801a9247755e5f_img.jpg) + +| | | +|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------| +| Highly assured and inherently trusted:
  • • Third-party certification (e.g., EAL 4+ or equivalent)
  • • Recognized hardware and software vendor
| TL5
Fully trusted | +| Resilient and privacy preserving:
  • • Up-to-date configuration for software/hardware
  • • No known vulnerability
  • • Resistant to known attacks
  • • Runtime and storage opaque
  • • Third-party certification (e.g., EAL 3 or equivalent)
| TL4
Highly trusted | +| Integrity and trustworthiness verified:
  • • Hardware and software integrity
  • • Data security and integrity protected
  • • Secure boot and hardware RoT support
  • • Account and privilege support
  • • Third-party certification (e.g., EAL 2 or equivalent)
| TL3
Moderately trusted | +| Identifiable and verifiable:
  • • The identifier is endorsed with secret keys and can be verified digitally
| TL2
Limited trusted | +| Meet basic requirement:
  • • Identifiable
  • • Basic O&M functionality
  • • Basic network and communication functionally
  • • Verified manually
| TL1
Minimum trusted | +|
  • • Meet no requirement
| TL0
Untrusted | + +Y.3261(25) + +Figure 3: Description of different trust levels. A vertical stack of six colored boxes representing trust levels from TL5 (Fully trusted) at the top to TL0 (Untrusted) at the bottom. Yellow curved arrows on the left point upwards from TL0 to TL5. Each box contains specific criteria and a label on the right. + +**Figure 3 – Description of different trust levels** + +As shown in Figure 3, this Recommendation gives the list of the trust levels defined for an NE involved in trustworthy data exchange. + +- Trust Level 0 (TL0): Untrusted + - Network entities falling in this category are those entities that cannot meet the criteria specified for Level 1. +- Trust Level 1 (TL1): Minimally trusted + - Network entities of Level 1 need to meet following basic criteria, such as being uniquely identifiable by an identifier issued by a network operator or manufacturer, supporting basic operation and management functionality, and providing networking and communication functionalities (e.g., protocol stack, interface, session). Additionally, the NE needs to have no known fatal vulnerability. + - Network entities of this type have perimeter-based security capabilities, enforcing basic security controls for user, device and traffic access. +- Trust Level 2 (TL2): Limitedly trusted + - In addition to the criteria of Level 1, network entities of Level 2 need to be identifiable and verifiable, i.e., the identifier of the network is endorsed by a secret key. The secret key can be either a symmetrical key or a private key. Network entities of this type are recommended to have multi-layered security capabilities ranging from the perimeter to the internal entities, even when an attack has breached the perimeter. + +- Trust Level 3 (TL3): Moderately trusted + - In addition to the criteria of Level 2, network entities of Level 3 need to be integrity and trustworthiness verified. Integrity verified means the system can cryptographically confirm its hardware and software are unaltered and authorized, using mechanisms such as: + - Secure boot: Ensures only authenticated, digitally signed firmware/software is loaded during startup). + - Measured boot: Records a chain of trust using cryptographic hashes (e.g., via Trusted Platform Module or TEE). + - Hardware root of trust (RoT): A secure foundation (e.g., secure cryptoprocessor) that performs integrity measurements and key protection. + +The term "verified" also applies to trustworthiness, which is established through secure boot, hardware RoTs, strong privilege management, data protection and recognized certifications, ensuring the system is reliable and resistant to tampering. + - To be specific, the hardware and software integrity of the NE needs to be verified, and data security and integrity needs to be guaranteed. Moreover, the NE needs to support account and privilege management, hardware RoT and secure boot. And the NE needs to have a third-party certification, e.g., EAL 2 [b-ISO/IEC 15048] or equivalent. + - NEs of this type have synchronized security capabilities that enable cross-correlation across multiple points of presence, protocol layers and security domains to facilitate comprehensive system-wide protection measurements. + +NOTE – A general description of EAL levels, including EAL Level 2, can be found in Appendix II. + +- Trust level 4 (TL4): Highly trusted + - In addition to the criteria of Level 3, network entities of Level 4 need to be resilient and privacy preserving. Resilience represents a dynamic extension of trust: not only that the system is trustworthy at rest, but that it continues to be trustworthy while facing security threats. Resilience refers to the ability of an NE to: + - Maintain reliable operation even when under active attack (e.g., DDoS, APTs, side-channel attacks); + - Adapt dynamically to threats; + - Sustain confidentiality, integrity, and availability (CIA) despite attempted breaches; + - Recover quickly from security incidents with minimal impact; + +Resilience extends trustworthiness into the operational run-time phase. + - To be specific, the configuration and hardware/software version need to be up-to-date, and expose no known vulnerabilities. The NE needs to be resilient to known attacks, including distributed denial of services (DDoS) attacks, advanced persistent threat (APT) attacks and side-channel attacks. Regarding confidentiality and privacy protection, the NE needs to guarantee run-time and storage opacity and third-party application management. The network entities need to have a third-party certification, e.g., EAL 3 or equivalent. Network entities of this type have autonomous security capabilities, allowing automatic perception, analysis and response to security risks through collaboration with security controllers and platforms, enabling a self-adaptive defence to address uncertain security risks. +- Trust Level 5 (TL5): Fully trusted + - In addition to the criteria of Level 4, network entities of Level 5 need to comprise components, including hardware and software, from inherently trusted sources. Specifically, the NE needs to have a third-party certification, e.g., EAL 4+ or equivalent. + +Moreover, the hardware and software components need to be from recognized and trusted manufacturers and vendors. Network entities of this type have intelligent security capabilities, allowing continuous learning, analysis and evolvement in order to select the optimal protection scheme, so as to reduce the impact of potential risks. + +## **7.2 Trust level assessment criteria** + +In this Recommendation, criteria are classified into three categories, i.e., hardware metrics, operating system and software metrics, and certification metrics. Each category includes several metrics. For each metric, evaluation methods and the output of evaluation is required to be provided. + +### **7.2.1 Hardware metrics** + +- 1) Unique hardware identity: This criterion is used to indicate whether the NE can be uniquely identified. The evaluation results and evaluation method take the following formats: + - Affirmed: the NE owns a uniquely identifiable and verifiable hardware identity. + - Partially affirmed: the NE owns an identifier, but does not have an associated credential to verify the authenticity of its identity. + - Violated: the NE does not have a uniquely identifiable hardware identity. +- 2) Hardware/firmware version: This criterion is used to validate the whether the hardware/firmware version is recognized. The evaluation results and evaluation method take the following formats: + - Affirmed: the hardware/firmware version is recognized and up-to-date. + - Partially affirmed: the hardware/firmware version is recognized, but is not up-to-date. + - Violated: the hardware/firmware version is not recognized. +- 3) Hardware integrity: This criterion is used to validate whether the hardware integrity is guaranteed. The evaluation results and evaluation method take the following formats: + - Affirmed: the hardware can be recognized, and exposes no known vulnerabilities. + - Partially affirmed: the hardware can be recognized, but exposes vulnerabilities. + - Violated: the hardware cannot be recognized. +- 4) Hardware RoT support: This criterion is used to verify whether the hardware root of trust is supported. The evaluation results and evaluation method take the following formats: + - Affirmed: hardware RoT is supported. + - Violated: hardware RoT is not supported. + +### **7.2.2 Operation system and software metrics** + +- 1) Operating system kernel integrity: This criterion is used to validate whether the operating system kernel image has been tampered with, includes malicious codes, or exposes vulnerabilities. The evaluation results and evaluation method take the following formats: + - Affirmed: the operating system kernel can be approved by the assessor as not having been tampered with, exposes no known vulnerabilities and all necessary patches are installed. + - Partially affirmed: the operating system kernel is known and can be approved by the assessor as not having been tampered with, but exposes some vulnerabilities or some necessary patches are not installed. + - Violated: the operating system kernel is verified to have been tampered with or includes malicious codes, scripts, etc or cannot be verified at all. + +- 2) Operating system integrity: This criterion is used to verify that the OS has not been tampered with and that all patches are installed. The evaluation results and evaluation method take the following formats: + - Affirmed: the OS can be approved by the assessor as not having been tampered with, exposes no known vulnerabilities and all patches are installed. + - Partially affirmed: the OS is known and can be approved by the assessor as not having been tampered with, but exposes vulnerabilities or some necessary patches are not installed. + - Violated: the OS is verified to have been tampered with, or includes malicious codes, scripts, etc., or cannot be verified at all. +- 3) Configuration integrity: This criterion is used to appraise the trustee's configuration and the exposure of known vulnerabilities. The evaluation results and evaluation method take the following formats: + - Affirmed: the configuration is known and can be approved by the assessor, and includes or exposes no known vulnerabilities and is up-to-date. + - Partially affirmed: the configuration is known and approved, but it is either outdated or contains exposed vulnerabilities. + - Violated: the configuration exposes severe vulnerabilities, and thus cannot be approved. +- 4) File system integrity: This criterion is used to verify that the trustee's file system is integrity guaranteed, and has not been tampered with maliciously. The evaluation results and evaluation method take the following formats: + - Affirmed: All directories and files have been appraised to be recognized. + - Partially affirmed: the file system has been appraised to include unrecognized executables, scripts or files. + - Violated: The file system includes contraindicated executables, scripts or files. +- 5) Storage opacity: This criterion is used to ensure the security of the data storage. The evaluation results and evaluation method take the following formats: + - Affirmed: the NE encrypts all secret data in persistent storage with a key that is securely stored in a tamper-proof secure module such as a trusted execution environment (TEE) or hardware secured module (HSM), and is invisible outside. + - Partially affirmed: the NE encrypts all secret data in persistent storage, but not using hardware-based keys. + - Violated: there are unencrypted secret data stored in the persistent storage of the NE. +- 6) Run-time opacity: This criterion is used to ensure the security of the run-time data and processes. The evaluation results and evaluation method take the following formats: + - Affirmed: the NE's running codes and processes are encrypted and stored within a tamper-proof security module such as TEE or HSM, opaque to the operating system, virtual machine manager and peer applications. + - Partially affirmed: the NE's executing codes and processes are inaccessible from any other parallel applications or guest virtual machine (VM) running on the NE's physical device. + - Violated: This format is used when the NE's executing codes or processes are visible to peer applications or guest VMs within the physical host. The evaluation results and evaluation method take the following formats: +- 7) Secure boot: This criterion is used to validate whether secure boot is supported. The evaluation results and evaluation method take the following formats: + +- Affirmed: Secure boot is supported. + - Violated: Secure boot is not supported. +- 8) Auditing and logging: These criteria are used to validate whether auditing and logging functions are provided. The evaluation results and evaluation method take the following formats: +- Affirmed: Auditing and logging are supported. + - Violated: Auditing and logging are not supported. + +### 7.2.3 Certification metrics + +- 1) Third-party certification: This criterion is used to indicate whether the target has obtained any third-party certification, and if so, which level of certification it has obtained. The evaluation results and evaluation method take the following formats: +- Affirmed: The target has obtained a third-party certification such as EAL 4+ or equivalent. + - Violated: The target has not obtained required third-party certification, or only obtained a certification level less than the required level. + +## 7.3 Trust level assessment profile + +The TLA profile is a set of rules and methods that the trust level assessor is required to comply with when performing the trust level assessment on a trustee. When performing the trust level assessment, the trust level assessor first chooses a TLA profile, and then appraises the evidence generated by the trustee against the TLA profile to determine the trust level. As shown in Figure 4, a TLA profile comprises of the following parts: + +- **Reference number:** A number which can uniquely identify this TLA profile. +- **Publisher:** The publisher of this TLA profile, usually a company, an organization, etc. +- **Version:** the version of this TLA profile. +- **Validation time:** the validation period of this TLA profile. +- **TLA method:** the method used to perform trust level assessment, which includes the number of trust levels defined, the trust level assessment metrics for each level and the specific trust level assessment model. + - **Trust level:** a list of trust levels defined in this TLA profile. For example, Trust Level = {TL0: untrusted, TL1: minimally trusted, TL2: limitedly trusted, TL3: moderately trusted, TL4: highly trusted, TL5: fully trusted} means that six trust levels ranging from untrusted to fully trusted are specified in this TLA profile. The list of trust levels is required to be a subset of the trust levels listed in this Recommendation. + - **Claim list:** a set of "claim: mandatory/optional" pairs that indicates which claims are required to be collected for trust level assessment. For example, "Device ID: mandatory" means that the claim "Device ID" is mandatory, while "Manufacturer ID: Optional" means that Manufacturer ID is optional. + - **TLA model:** the specific trust level assessment model. +- **Applied countries and areas:** Specifies in which countries and areas this TLA profile can be applied. +- **Applied devices:** Indicates to which types of devices (as a trustee) this TLA profile can be applied. +- **Extensions:** The extension fields reserved for further use. +- **Publisher signature:** The signature of the above content generated by the publisher using its private key. + +To maintain the profile number as unique globally, an object identifier (OID) is required to be allocated for each profile. + +![Diagram showing the data structure of a TLA profile. It is a hierarchical structure with fields: Publisher, Reference number, Version, Validation time, Trust level, ClaimSelection, TLA model, Applied countries and areas, Applied devices, Extensions, and Signature.](5cab96b2d23174c25919840ecd50aa48_img.jpg) + +``` + + TLA profile + { + Publisher + Reference number + Version + Validation time + Trust level = {TL0, TL1, TL2, TL3, TL4, TL5} + ClaimSelection: + Claim: Mandatory/Optional + ..... + TLA model{ + ClaimValue = {Affirmed, partially affirmed, violated} + TL0{ + Claim 1: Affirmed/Partially affirmed/Violated + ..... + } + TL0{.....} + TL1{.....} + TL2{.....} + TL3{.....} + TL4{.....} + TL5{.....} + } + Applied countries and areas + Applied devices + Extensions + Signature + } + +``` + +Y.3261(25) + +Diagram showing the data structure of a TLA profile. It is a hierarchical structure with fields: Publisher, Reference number, Version, Validation time, Trust level, ClaimSelection, TLA model, Applied countries and areas, Applied devices, Extensions, and Signature. + +**Figure 4 – Data structure of TLA profile** + +A TLA profile needs to be registered in the Annex of this Recommendation before it is applicable. The OID for the reference number and version number needs to be assigned by the ITU-T Study Group that maintains this Recommendation. + +# **8 Requirements of trust assessment for trustworthy networking** + +## **8.1 Requirements for trust related data gathering and processing** + +For data being collected from an entity for trust assessment: + +- The NE is required to be authenticatable by the trust level accessor. +- The data-collection request is required to be from an authorized trust level accessor. +- The integrity of data is required to be protected. +- Identity information of the equipment or entities is required to be included in the data. +- The type information of entities is required to be included. +- A timestamp is required to be attached. +- The expiration of the data collected is required to be attached. + +When processing the data received from an entity for trust assessment: + +- The assessor is required to be able to authenticate the entity that provides the data. +- The integrity of data is required to be successfully verified. Any spoiled data is required to be dropped immediately. + +- The assessor is required to be able to recognize the type of the entity that provides the data. +- The timestamp provided in the data is required to be in a valid format. +- The data is required to be unexpired based on the evaluation method specified. + +## **8.2 Requirements for trust level evaluation and assessment** + +- An effective time range is required to be set for each evaluation result calculated by the trust level assessor. +- Evaluation methods are recommended to be designed with consideration of the configuration of equipment. +- Methods are recommended to be designed with a low calculation resource cost. +- Key data of the network entity used in evaluation is required to be protected properly when used in the evaluation. + +## **8.3 Requirements for trust level assessment result management** + +### **8.3.1 Requirements for trust level assessment result generation** + +- The trust level assessor is required to evaluate the trust level of the corresponding entity according to the TLA model specified in the TLA profile. +- The trust level assessor is required to convey the trust level assessment result to the trustor relying on it after it has been generated. +- The confidentiality of collected evidence and the trust level assessment result is required to be guaranteed by reliable encryption algorithms. +- The integrity of the trust level assessment result is required to be guaranteed. +- The non-repudiation of the trust level assessment result is required to be guaranteed by digital signature or other appropriate methods. +- The trust level assessment result is recommended to be encrypted and stored in a trusted environment. +- When sending and receiving the trust level assessment result, the integrity of the trust level assessment result is required to be verified. Corrupted results are required to be discarded. + +### **8.3.2 Requirements for trust level assessment result update** + +- The information allocation process is recommended to encrypt the trust level assessment result to ensure the reliability and security of the trust level assessment. +- The confidentiality of the trust level assessment result is required to be guaranteed by reliable encryption algorithms during the result update process. +- The integrity of the trust level assessment result is required to be guaranteed during the result update process. +- The non-repudiation of the trust level assessment result is required to be guaranteed by digital signature or other proper methods. + +#### **8.3.3 Requirements for trust level assessment result revocation** + +- The trust level assessor is required to revoke the corresponding trust level result in a case where the trust level result has not expired and a revocation request is received from the owners of a trustee. +- When revoking a trust level result, the reason of revocation is required to be explicitly indicated. +- The trust level assessor is recommended to keep the revocation log of trust level assessment results. + +- When receiving a revocation request, the trust level assessor is required to verify its validation. + - The revocation request is required to include the identity information of the trustee, the identity information of the requester and the trust level result to be revoked. + - The revocation request is required to be integrity and non-repudiation guaranteed. + +## 9 Trust level assessment framework and procedures + +## 9.1 Trust level assessment framework + +![Figure 5: Conceptual framework of trust level assessment. The diagram shows the interactions between various entities in a trust level assessment system. At the top, 'Third parties (Vendors, manufactures ...)' containing 'TP1' and 'TPn' send 'Reference values/ Endorsements/ Third party certifications' to the 'Trust level assessor'. The 'TLA owner' sends 'TLA profiles' to the 'Trust level assessor'. The 'Trust level assessor' sends 'TLA evidence' to the 'Trustee' and receives 'Trust level' feedback from the 'Trustee'. The 'Trust level assessor' also sends 'TLA evidence' to the 'Trustor' and receives 'Trust level' feedback from the 'Trustor'. The 'Trustee' sends 'TLA evidence' to the 'Trustor' and receives 'Trust level' feedback from the 'Trustor'. The diagram is labeled 'Y.3261(25)' at the bottom right.](4356776ca004ecba5d599667a155d7d4_img.jpg) + +``` + +graph TD + TP[Third parties +(Vendors, manufactures ...)] + TLA_owner[TLA owner] + TLA_assessor[Trust level assessor] + Trustee[Trustee] + Trustor[Trustor] + + TP -- "Reference values/ +Endorsements/ +Third party certifications" --> TLA_assessor + TLA_owner -- "TLA profiles" --> TLA_assessor + TLA_assessor -- "TLA evidence" --> Trustee + Trustee -- "Trust level" --> TLA_assessor + TLA_assessor -- "TLA evidence" --> Trustor + Trustor -- "Trust level" --> TLA_assessor + Trustee -- "TLA evidence" --> Trustor + Trustor -- "Trust level" --> Trustee + +``` + +Figure 5: Conceptual framework of trust level assessment. The diagram shows the interactions between various entities in a trust level assessment system. At the top, 'Third parties (Vendors, manufactures ...)' containing 'TP1' and 'TPn' send 'Reference values/ Endorsements/ Third party certifications' to the 'Trust level assessor'. The 'TLA owner' sends 'TLA profiles' to the 'Trust level assessor'. The 'Trust level assessor' sends 'TLA evidence' to the 'Trustee' and receives 'Trust level' feedback from the 'Trustee'. The 'Trust level assessor' also sends 'TLA evidence' to the 'Trustor' and receives 'Trust level' feedback from the 'Trustor'. The 'Trustee' sends 'TLA evidence' to the 'Trustor' and receives 'Trust level' feedback from the 'Trustor'. The diagram is labeled 'Y.3261(25)' at the bottom right. + +**Figure 5 – Conceptual framework of trust level assessment** + +Figure 5 shows the conceptual framework of trust level assessment, which has several roles that can be described as follows: + +- **Trustor:** A network entity that uses the trust level assessment result, i.e., the trust level, of a trustee. A trustor can be a network device or entity (e.g., SDN entity, virtual entity) such as terminals, routers or a network controller. +- **Trustee:** A network entity that produces trust level assessment evidences. These evidences are delivered to the trust level assessor for assessment. A trustee can be a network device or entity (e.g., SDN entity, virtual entity) such as a terminal, a router or a network controller. +- **Trust level assessor:** A trust level assessor performs the trust level assessment based on the evidences produced by the trustee, according to the TLA profile stored locally, and reference values, endorsements or third-party certifications provided by third parties. +- **TLA owner:** A role performed by an entity (typically an administrator) that is authorized to configure a trust level assessment policy and provision the TLA profiles for the trust level assessment. +- **TPx:** A role which provides endorsements, reference values or certificates to the trust level assessor for assessment. It can be the network manufacturer, certification organizations such as the Test Laboratory as specified in the NESAS [b-GSMA FS.13], [b-GSMA FS.14], [b-GSMA FS.15], [b-GSMA FS.16], [b-GSMA FS.46] and [b-GSMA FS.47]. + +The conceptual messages involved in the architecture are defined as follows: + +- **TLA evidence:** An item of TLA evidence is composed of three parts, namely: + +- A set of metadata which describes the basic information about the evidence such as the issuer of the evidence and the timestamp; +- A set of claims produced by a trustee; +- A signature generated using the private key of the trustee. + +The structure of an item of evidence is shown in Figure 6. Each TLA evidence is required to be recorded in an append-only log and can be uniquely identified by an evidence proof number for the purpose of trustworthiness and transparency. The integrity of the evidence can be verified using a Merkle root. + +- **Claim:** A piece of asserted information about an entity, such as the device identity, hardware integrity or configuration integrity. Typically, it is in the form of a key/value pair. +- **TLA profile:** As defined in clause 7.3. +- **TLA result:** The trust level assessment result generated by the trust level assessor. It needs to be bound to a specific TLA profile, and can be presented as a TLA certificate. A TLA certificate can be an [ITU-T X.509] certification containing the following extensions. + - TLA profile number: This extension includes the TLA profiled number used to uniquely identify the TLA profile. It needs to be present and marked as critical. + - Trust level: This extension includes the result of the trust level. It needs to be present and to be marked as critical. + - Evidence proof number: This extension includes the number used to uniquely identify the evidence used in the trust level assessment. It needs to be present and to be marked as critical. + - Merkle root: This extension includes the Merkle root of the evidence. It can be present and marked as non-critical. + +Figure 7 shows the format of a TLA results certificate. + +![Diagram of the data structure of an item of evidence. It shows a container with four metadata fields at the top: Issuer, Version, Time-stamp, and Merkle root. Below these are several claim entries: 'Claim 1: Value', an ellipsis '...', and 'Claim n: Value'. At the bottom is a 'Signature' field.](10781f43062bf3e9601a1e086710556c_img.jpg) + +``` + +graph TD + subgraph Metadata + Issuer[Issuer] + Version[Version] + Timestamp[Time-stamp] + MerkleRoot[Merkle root] + end + subgraph Claims + Claim1[Claim 1: Value] + Ellipsis[...] + ClaimN[Claim n: Value] + end + Signature[Signature] + +``` + +Diagram of the data structure of an item of evidence. It shows a container with four metadata fields at the top: Issuer, Version, Time-stamp, and Merkle root. Below these are several claim entries: 'Claim 1: Value', an ellipsis '...', and 'Claim n: Value'. At the bottom is a 'Signature' field. + +Y.3261(25) + +**Figure 6 – The data structure of an item of evidence** + +![Diagram of a TLA certificate structure. A main table on the left lists fields: Version, Serial number, Signature algorithm identifier, Issuer name, Validity period, Subject name, Public key information, Issuer unique ID, Subject unique ID, Extensions (highlighted in blue), and Signature. A callout box on the right, connected by lines from the 'Extensions' field, lists four items: TLA profile number, Trust level, Evidence proof number, and Evidence Merkle root (all highlighted in blue). The reference Y.3261(25) is at the bottom right.](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +| | +|--------------------------------| +| Version | +| Serial number | +| Signature algorithm identifier | +| Issuer name | +| Validity period | +| Subject name | +| Public key information | +| Issuer unique ID | +| Subject unique ID | +| Extensions | +| Signature | + +| | +|------------------------------| +| TLA profile number | +| Trust level | +| Evidence proof number | +| Evidence Merkle root | + +Y.3261(25) + +Diagram of a TLA certificate structure. A main table on the left lists fields: Version, Serial number, Signature algorithm identifier, Issuer name, Validity period, Subject name, Public key information, Issuer unique ID, Subject unique ID, Extensions (highlighted in blue), and Signature. A callout box on the right, connected by lines from the 'Extensions' field, lists four items: TLA profile number, Trust level, Evidence proof number, and Evidence Merkle root (all highlighted in blue). The reference Y.3261(25) is at the bottom right. + +**Figure 7 – TLA certificate** + +To establish trust relationships on the TLA certificates within network entities, a signing certificate for TLA certificate issuing needs to be provisioned in the network entity with trust level assessment functionality. Trustors and trustees can make an agreement on the trust of the signing certificate. This can be done by maintaining a trust CA list on the trustors and trustees. How to form this trust CA list is out of the scope of this Recommendation. + +## 9.2 Trust level assessment procedures + +Figure 8 shows an example of trust level assessment procedures and trust path establishment based on the trust level assessment results between two network entities. The procedures are as follows: + +- 1 TLA owner provisions supported a TLA profile to the TLA Assessor. +- 2 The TLA assessor stores the TLA profile in the local storage. +- 3 TPx provides reference values, root CA certificates, etc. for trust level assessment. +- 4 The TLA assessor stores the reference values and certificate in the local storage. +- 5 The TLA agent of the trustee sends a request for TLA profile list to the TLA assessor. +- 6 The TLA assessor replies with support TLA profiles. +- 7 The TLA agent of the trustee chooses a supported TLA profile. +- 8 The TLA agent of the trustee prepares TLA evidence according to the TLA profile. +- 9 The TLA agent of the trustee sends a TLA assessment request to the TLA assessor with the prepared TLA evidence. +- 10 The TLA assessor assess the trust level of the trustee based on the TLA evidence received. +- 11 The TLA assessor generates a TLA certificate for NE2 based on the assessment results. +- 12 The TLA assessor sends back the TLA results certificate to the NE2. +- 13 The TLA agent of NE2 stores the TLA results certificate in its local storage. +- 14 When NE1 wants to establish a trusted forwarding path towards NE2, it sends a trust path establishment request to NE2. In this scenario, NE1 is a trustor. +- 15 After receiving the request, NE2, as a trustee, sends a trust path establishment response to NE1. An TLA results certificate is included inside the response. +- 16 The TLA agent of NE1 validates the received TLA results certificate from NE2. +- 17 If the TLA agent of NE1 accepts the TLA results certificate of NE2, then NE1 agrees to establish a trust data forwarding path towards NE2, then it sets the trust level for the data + +forwarding path from NE1 to NE2. The level is required to be less or equal to the trust level indicated in the TLA results certificate. + +- 18 NE1 sends trust path establishment acknowledgement messages to NE2 containing the proposed trust level value. +- 19 NE2 sets the trust level of the data forwarding path from NE1 to NE2 according to the proposed trust level. +- 20 NE2 sends back a confirmation message to NE1. +- 21 NE2 starts to use the trusted path for data transmitting and forwarding. + +![Sequence diagram illustrating the Trust level assessment procedures between NE1 (Trustor), NE2 (Trustee), TLA assessor, TLA owner, and TPx.](c5655e700cc3e9aac7e9f4f07f30264d_img.jpg) + +``` + +sequenceDiagram + participant NE1 as NE1 (Trustor) + participant NE2 as NE2 (Trustee) + participant TLA as TLA assessor + participant TLAowner as TLA owner + participant TPx as TPx + + TLAowner->>TLA: 1. TLA_Profile_Provision (TLA profile) + TLA->>NE2: 2. Store TLA profile + TLAowner->>TLA: 3. TLA_Reference_Provision (Reference value, root certificate from vendor ...) + TLA->>NE2: 4. Store reference values, certificate ... + NE2->>TLA: 5. TLA_Profile_Request() + TLA->>NE2: 6. TLA_Profile_Response (TLA profile list) + NE2->>TLA: 7. Choose a TLA profile +8. Prepare TLA evidence + NE2->>TLA: 9. TLA_Assessment_Request (TLA evidence) + TLA->>NE2: 10. Assess the trust level based on the TLA evidence received +11. Generate TLA results certificate + TLA->>NE2: 12. TLA_Assessment_Results (TLA results certificate) + NE2->>NE1: 13. Store the TLA results certificate + NE2->>NE1: 14. Trust_Path_Establishment_Request() + NE1->>NE2: 15. Trust_Path_Establishment_Response (TLA results certificate) + NE1->>NE2: 16. Certificate validation +17. Set trust level for the path + NE2->>NE1: 18. Trust_Path_Establishment_Acknowledgement (Trust level) + NE2->>NE1: 19. Set trust level for the path + NE1->>NE2: 20. Trust_Path_Establishment_Confirmation (Trust level) + NE2->>NE1: 21. Trustworth data forwarding + +``` + +Sequence diagram illustrating the Trust level assessment procedures between NE1 (Trustor), NE2 (Trustee), TLA assessor, TLA owner, and TPx. + +Y.3261(25) + +**Figure 8 – Trust level assessment procedures** + +Please note that the procedures described above are only for reference; a more detailed procedure can be specified when deploying in a real network. + +## Appendix I + +### Trust level assessment profile + +(This appendix does not form an integral part of this Recommendation.) + +An example trust assessment profile is defined in this appendix. + +Trust level can be accessed based on the evidences provided by the trustee directly or provided via trustor. A trustee can prepare and submit the required evidences using remote attestation. Table I.1 shows an example table that can be used by a TLA assessor in assessing the trust level of a trustees. + +**Table I.1 – Specification of the requirements for different trust levels** + +● Required to be affirmed ○ required to be partially affirmed ○ no requirement, can be violated + +| | | TL0 | TL1 | TL2 | TL3 | TL4 | TL5 | +|-----------------------------|---------------------------|-----|-----|-----|------|------|-------| +| Hardware | Unique hardware identity | ○ | ● | ● | ● | ● | ● | +| | Hardware/firmware version | ○ | ○ | ○ | ● | ● | ● | +| | Hardware integrity | ○ | ● | ● | ● | ● | ● | +| | Hardware RoT support | ○ | ○ | ○ | ● | ● | ● | +| System and software metrics | Kernel integrity | ○ | ● | ● | ● | ● | ● | +| | OS integrity | ○ | ● | ● | ● | ● | ● | +| | Configuration integrity | ○ | ● | ● | ● | ● | ● | +| | File system integrity | ○ | ● | ● | ● | ● | ● | +| | Secure boot | ○ | ○ | ○ | ● | ● | ● | +| | Auditing and logging | ○ | ○ | ○ | ● | ● | ● | +| | Run-time opaque | ○ | ○ | ○ | ● | ● | ● | +| | Storage opaque | ○ | ○ | ○ | ● | ● | ● | +| Certification | Third-party certification | ○ | ○ | ○ | EAL2 | EAL3 | EAL4+ | + +The trust assessment profile is specified in the Jason format. + +``` +{ +Name: TLA Profile; +Publisher: ITU-T; +Reference Number: [OID]; //OID value to be assigned by ITU-T +Version number: 1.0; +Trust Level: {TL0, TL1, TL2, TL3, TL4, TL5}; +Claim Selection: {Unique hardware identity, Hardware/firmware version, Hardware integrity, +Hardware RoT support, Kernel integrity, OS integrity, Configuration integrity, File system integrity, +Secure boot, Auditing and logging, Storage opaque, Run-time opaque, Third party certification, +} +TLA Model { +``` + +Claim Value: {Affirmed, Partially Affirmed, Violated} + +``` +"TL0": { + }, + "TL1": { + "Unique hardware identity" : "Partially Affirmed", + "Hardware integrity" : "Partially Affirmed", + "Kernel Integrity" : "Partially Affirmed", + "OS Integrity" : "Partially Affirmed", + "Configuration Integrity" : "Partially Affirmed", + "File system integrity" : "Partially Affirmed", + } + "TL2": { + "Unique hardware identity" : "Affirmed", + "Hardware integrity" : "Partially Affirmed", + "Kernel Integrity" : "Partially Affirmed", + "OS Integrity" : "Partially Affirmed", + "Configuration Integrity" : "Partially Affirmed", + "File system integrity" : "Partially Affirmed", + } + TL3: { + "Unique hardware identity" : "Affirmed", + "Hardware/firmware version": "Partially Affirmed", + "Hardware integrity" : "Affirmed", + "Hardware RoT support": "Affirmed", + "Kernel Integrity" : "Affirmed", + "OS Integrity" : "Affirmed", + "Configuration Integrity" : "Affirmed", + "File system integrity" : "Affirmed", + "Secure boot" : "Affirmed", + "Auditing and logging" : "Affirmed", + "Run-time opaque" : "Partially Affirmed", + "Storage opaque" : "Partially Affirmed", + "Third party certification" : "EAL2", + } + TL4: { + "Unique hardware identity" : "Affirmed", + "Hardware/firmware version": "Affirmed", +``` + +``` + + "Hardware integrity" : "Affirmed", + "Hardware RoT support": "Affirmed", + "Kernel Integrity" : "Affirmed", + "OS Integrity" : "Affirmed", + "Configuration Integrity" : "Affirmed", + "File system integrity" : "Affirmed", + "Secure boot" : "Affirmed", + "Auditing and logging" : "Affirmed", + "Run-time opaque" : "Affirmed", + "Storage opaque": "Affirmed", + "Third party certification" : "EAL3", + } + TL5: { + "Unique hardware identity" : "Affirmed", + "Hardware integrity" : "Affirmed", + "Hardware/firmware version" : "Affirmed", + "Hardware RoT support" : "Affirmed", + "Kernel Integrity" : "Affirmed", + "OS Integrity" : "Affirmed", + "Configuration Integrity" : "Affirmed", + "File system integrity" : "Affirmed", + "Storage opaque" : "Affirmed", + "Run-time opaque" : "Affirmed", + "Secure boot" : "Affirmed", + "Auditing and logging" : "Affirmed", + "Third party certification" : "EAL4+", + } +}; +"Applied Countries and Areas" : "non-specific", +"Applied Devices" : "routers", +"Extensions" : "none", +"Signatures" : "signature value" +} + +``` + +## Appendix II + +### Overview of existing trust level studies + +(This appendix does not form an integral part of this Recommendation.) + +A number of standards or Recommendations have proposed definitions of trust from different perspectives. For example, from the view of product quality, [b-ISO/IEC 25010] defined trust as the degree to which a user or other stakeholder has confidence that a product or system will behave as intended [b-ISO/IEC 25010]. From the view of trust provisioning in ICT environments, trust is defined as the measurable belief and/or confidence that represents accumulated value from history and the expecting value for the future. As pointed out in [b-Mayer], trust is a directed relationship between two actors who can be referred to as the "trustor" and the "trustee". To describe the degree of trust imposed on the trustee, the concept of 'trust value' is introduced, which normally takes a value from the range [0,1]. To evaluate the trust value, many factors are required to be considered. As specified in [ITU-T Y.3052] and [ITU-T Y.3053], the factors contributing to trust evaluation can be divided into two categories: characteristics of the trustor and characteristics of the trustee. The former can be also called 'trust propensity', which represents the trustor's subjective preference that affects its likelihood of trusting others, whereas the latter explains why the trustee can be trusted and is called 'trustworthiness'. + +Indicating the degree of trust quantitatively by using trust value may not be appropriate in the ICT ecosystem. On one hand, it is hard to give practical meanings to a single value. On the other hand, it is unnecessary yet cost-intensive to adopt the trust value to express the degree of trust in a fine-grained manner. Alternatively, interpreting the degree of trust by using the notion of trust level could be a better option. + +Regarding the use of trust levels, there are still some challenges to overcome before they can be put into use. These challenges include: 1) how many trust levels can be defined; 2) how to assess the trust level for a given trust relationship; 3) given a trust level, what trust decision can be made. [b-ITU-T X.1812] specifies a security framework based on trust relationships for the IMT-2020 ecosystem. In this Recommendation, three trust levels — high, medium and low — are defined to describe the degree of trust among different stakeholders of the IMT-2020 ecosystem. Unlike [b-ITU-T X.1812], [b-Tilborg] describes the notion "level of trust" in a way that describes the level of hardware and software protection mechanism, specifying five levels of trust based on risk analysis, as follows: + +- Level 1 Trust (very low risk of compromise): No trust is required; +- Level 2 Trust (low risk of compromise): Minimal trust is required; +- Level 3 Trust (medium risk of compromise): medium trust is required; +- Level 4 Trust (high risk of compromise): high trust is required; +- Level 5 trust (very high risk of compromise): very high trust is required. + +As shown in Table II.1, based on risk and role importance analysis, [b-BSI 10754] proposes a trustworthiness level matrix to evaluate the trustworthiness level requirement of software system [b-BSI 10754]. In this standard, five trustworthiness levels are specified, including: + +- TL0: Software trustworthiness not required; +- TL1: Software trustworthiness delivered in a due diligence manner; +- TL2: Software trustworthiness delivered by a managed process; +- TL3: Software trustworthiness delivered by an established process; +- TL4: Software trustworthiness delivered by a predictable or optimizing process. + +**Table II.1 – Trustworthiness level Matrix of [b-BSI 10754]** + +| Role | Impact | | | | +|-----------|--------|---------|-------------|----------| +| | None | Routine | Significant | Critical | +| Paramount | N/A | TL3 | TL4 | TL4 | +| Explicit | N/A | TL3 | TL3 | TL4 | +| Implicit | N/A | TL2 | TL3 | TL3 | +| Ancillary | TL0 | TL1 | TL2 | TL3 | + +Instead of using numbers to indicate the trust level, [b-Norton] defines four trust levels with practical meaning, which determine in which level the devices on a network can have access to a personal computer . + +- Full trust: Allow all network traffic; +- Private: Block down attacks and unexpected sharing files, folders, media and printers; +- Public: Block the device from sharing files, folders, media and printers with the computer; +- Restricted: Block the device from communicating to the computer. + +In addition to trust level, there are some other specifications that use assurance level to evaluate the degree of security assurance of ICT products. The Common Criteria (CC) [b-ISO/IEC 15408] standard specifies seven evaluation assurance levels, from EAL1 to EAL7. For an IT product, the higher the EAL to be obtained means the more evidence required to be submitted and the higher the degree of security assurance can be guaranteed. The following is a description of each level: + +- EAL1: The product's security features are functionally tested to confirm they work as intended. +- EAL2: The product's design is examined and tested more thoroughly, focusing on internal structure. +- EAL3: The product is methodically tested and checked to ensure it resists penetration and tampering during use. +- EAL4: The product is methodically designed, tested and reviewed, offering high confidence for typical commercial systems. EAL 4+ indicates additional, rigorous testing and assurance requirements beyond the standard EAL 4. +- EAL5: The product is engineered with semi-formal methods to ensure robust security during development. +- EAL6: The product is built with high assurance using semi-formal verification, suitable for extreme threat environments. +- EAL7: The product's security-critical components are formally verified using mathematical proof, providing the highest level of assurance. + +Similarly, a technical report of ETSI proposes that to properly assess the security assurance of the NFV environment it is necessary to map the attestation results to a predefined scale [b-ETSI GR NFV-SEC 007]. The scale consists of a set of six levels of assurance, from LoA 0 to LoA 5 (including LoA 5a and LoA 5b), where a higher number implies a higher degree of trust. + +# Bibliography + +- [[b-ITU-T X.1812](#)] Recommendation ITU-T X.1812 (2022), *Security framework based on trust relationships for the IMT-2020 ecosystem*. +- [b-BSI 10754] BSI 10754:2018, *Information technology – Systems trustworthiness Part 1: Governance and management specification*. +- [b-ETSI GR NFV-SEC 007] ETSI GR NFV-SEC 007:2017, *Report on attestation technologies and practices for secure deployments. V1.1.1*. +- [b-GSMA FS.13] GSMA FS.13:2020, *Network equipment security assurance scheme – Overview, Version 1.1*. +- [b-GSMA FS.14] GSMA FS.14:2022, *Network equipment security assurance scheme – Security test laboratory accreditation, Version 2.1*. +- [b-GSMA FS.15] GSMA FS.15:2016, *Network equipment security assurance scheme – Vendor development and product lifecycle requirements and accreditation process, Version v0.21*. +- [b-GSMA FS.16] GSMA FS.16:2022, *Network equipment security assurance scheme – Development and lifecycle security requirements, Version 2.1*. +- [b-GSMA FS.46] GSMA FS.46:2022, *Network equipment security assurance scheme – Audit guidelines. v.1.0*. +- [b-GSMA FS.47] GSMA FS.47:2022, *Network equipment security assurance scheme – Product and evidence evaluation methodology, Version 1.0*. +- [b-ISO/IEC 15408] ISO/IEC 15408-1:2022, *Information security, cybersecurity and privacy protection – Evaluation criteria for IT security – Part 1: Introduction and general model*. +- [b-ISO/IEC 25010] ISO/IEC 25010:2011, *Systems and software engineering-Systems and software Quality Requirements and Evaluation (SQuaRE) – System and software quality models*. +- [b-Mayer] Mayer, R.C., Davis, J.H., and Schoorman, F.D. (1995), *An integrated model of organizational trust*, Academy of Management Review, Vol. 20. No. 3, 709-734. +- [b-Norton] Norton, Change the trust level of your network and devices. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3300-201406-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3300-201406-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..2cd464cbe679759468b6e8fb7618a67c2d30ab0a --- /dev/null +++ b/marked/Y/T-REC-Y.3300-201406-I_PDF-E/raw.md @@ -0,0 +1,516 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +**ITU-T** + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +**Y.3300** + +(06/2014) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Future networks + +# --- **Framework of software-defined networking** + +Recommendation ITU-T Y.3300 + +![ITU logo](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with a red lightning bolt striking it, and the text "ITU" in blue, with "International Telecommunication Union" in smaller blue text below it. + +ITU logo + +# ITU-T Y-SERIES RECOMMENDATIONS **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT- GENERATION NETWORKS** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3300 + +# Framework of software-defined networking + +## Summary + +Recommendation ITU-T Y.3300 describes the framework of software-defined networking (SDN) to specify fundamentals of SDN. The definitions, objectives, high-level capabilities, requirements and high-level architecture of SDN are addressed in this Recommendation. Appendix I describes areas for further consideration in SDN standardization. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3300 | 2014-06-06 | 13 | 11.1002/1000/12168 | + +## Keywords + +SDN, software-defined networking. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2014 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|---------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Introduction ..... | 2 | +| 7 | Overview ..... | 3 | +| 8 | Objectives ..... | 3 | +| 9 | High-level capabilities ..... | 4 | +| 10 | Requirements ..... | 5 | +| 11 | High-level architecture ..... | 5 | +| | 11.1 Application layer ..... | 5 | +| | 11.2 SDN control layer..... | 6 | +| | 11.3 Resource layer ..... | 6 | +| | 11.4 Multi-layer management functions..... | 7 | +| | 11.5 Interfaces ..... | 7 | +| 12 | Environmental considerations ..... | 8 | +| 13 | Security considerations..... | 8 | +| | Appendix I – Areas for further considerations in SDN standardization..... | 9 | +| | I.1 Interworking ..... | 9 | +| | I.2 Verification of SDN applications ..... | 9 | +| | I.3 Adaptation to large-scale networks ..... | 10 | +| | I.4 Design of resource abstraction ..... | 10 | +| | I.5 Virtualization of network elements ..... | 10 | +| | I.6 Multiple-level of programmability ..... | 11 | +| | I.7 Programmatic extension in resource layer ..... | 11 | +| | Bibliography..... | 13 | + + + +# Recommendation ITU-T Y.3300 + +# Framework of software-defined networking + +# 1 Scope + +This Recommendation describes the framework of software-defined networking (SDN) by providing: + +- definitions, +- objectives, +- high-level capabilities, +- requirements, and +- high-level architecture + +of the fundamentals of SDN. + +In addition, Appendix I describes areas for further consideration in SDN standardization. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3001] Recommendation ITU-T Y.3001 (2011), *Future Networks: Objectives and Design Goals*. + +[ITU-T Y.3011] Recommendation ITU-T Y.3011 (2012), *Framework of network virtualization for Future Networks*. + +[ITU-T M.3400] Recommendation ITU-T M.3400 (2000), *TMN management functions*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 network virtualization** [ITU-T Y.3011]: A technology that enables the creation of logically isolated network partitions over shared physical networks so that heterogeneous collection of multiple virtual networks can simultaneously coexist over the shared networks. This includes the aggregation of multiple resources in a provider and appearing as a single resource. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 software-defined networking:** A set of techniques that enables to directly program, orchestrate, control and manage network resources, which facilitates the design, delivery and operation of network services in a dynamic and scalable manner. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-------------------------------------------------------------| +| AAA | Authentication, Authorization, and Accounting | +| FCAPS | Fault, Configuration, Accounting, Performance, and Security | +| OSI | Open System Interconnection | +| SDN | Software-Defined Networking | + +# **5 Conventions** + +This Recommendation uses the following conventions: + +The term "is required to" indicates a requirement which must be strictly followed, and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The term "is recommended" indicates a requirement which is recommended, but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# **6 Introduction** + +Due to the great success of communication technologies, diverse applications are realized on networks, and the requirements that they bring are diverging. To support these diverging requirements, it is necessary to make networks even more controllable and manageable. The necessity to treat different traffic in different manners, and to make networks more application- and service-oriented is also increasing. + +Technologies that enable more direct and lower-level (e.g., flow-level) control methods of data packet forwarding are emerging. These technologies can simplify the reaction of network resources (e.g., switches or routers) to operations, and significantly increase the controllability of networks for operators. With modeling and programming of network resources, networks can be controlled in an automated manner, which enables more agile operations of the networks. + +This change of control method can also provide a chance to redesign control functionalities by introducing logically centralized and programmable control of network resources through standardized interfaces and protocols. + +This approach allows for: + +- logically centralized network control, which decreases the number of points to control and manage; +- supporting network virtualization as one important feature of the network architecture; +- defining, controlling and managing network resources using software; thus, allowing network services to be provided in a deterministic manner in accordance with the requested behaviour; and +- network customization, which is necessary for efficient and effective network deployment and operations. + +In order to realize the aforementioned features, this Recommendation provides the framework of software-defined networking (SDN) by specifying the fundamentals of SDN with its definitions, objectives, high-level capabilities, requirements and high-level architecture. + +While there have been various efforts to develop SDN-related technologies and standards (see [ITU-T Y.3001], [ITU-T Y.3011], [b-ITU-T Y.2622], [b-ETSI NFV], [b-IETF I2RS] [b-IETF RFC 3746], [b-ONF] and [b-OpenDayLight]) with different approaches and different + +focuses, they all share the same objective of providing the programmability of network resources as described above, which is a core technology for the networks of the future. + +# 7 Overview + +SDN is a set of techniques that enables users to directly program, orchestrate, control and manage network resources, which facilitates the design, delivery and operation of network services in a dynamic and scalable manner. + +Figure 7-1 depicts the basic concept of SDN. + +![Diagram illustrating the Concept of SDN. It shows three layers: SDN applications (top), SDN controllers (middle), and Network resources (bottom). SDN applications are represented by three red circles. SDN controllers are represented by a dashed box containing three purple rectangles. Network resources are represented by four blue rectangles arranged in a diamond shape. Orange dashed arrows point from the SDN applications to the SDN controllers, labeled 'Programmatic control of abstracted network resources (application-control interface)'. Green dashed arrows point from the SDN controllers to the Network resources, labeled 'Logically centralized control of network resources (resource-control interface)'. The diagram is labeled Y.3300(14)_F7-1 at the bottom right.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +Y.3300(14)\_F7-1 + +Diagram illustrating the Concept of SDN. It shows three layers: SDN applications (top), SDN controllers (middle), and Network resources (bottom). SDN applications are represented by three red circles. SDN controllers are represented by a dashed box containing three purple rectangles. Network resources are represented by four blue rectangles arranged in a diamond shape. Orange dashed arrows point from the SDN applications to the SDN controllers, labeled 'Programmatic control of abstracted network resources (application-control interface)'. Green dashed arrows point from the SDN controllers to the Network resources, labeled 'Logically centralized control of network resources (resource-control interface)'. The diagram is labeled Y.3300(14)\_F7-1 at the bottom right. + +**Figure 7-1 – Concept of SDN** + +SDN relocates the control of network resources to a dedicated network element, namely SDN controller, which provides a means to program, orchestrate, control and manage the network resources through software (i.e., SDN applications). + +The distributed network resources perform the network functions such as data packet transport and processing, but the behaviors of network resources are directly controlled via a standardized interface (i.e., *resource-control interface*) and the relevant information and data models. See [b-IETF RFC 3444]. The SDN controller uses the interface and arbitrates the control of network resources in a logically centralized manner. + +The SDN controller manages and configures the distributed network resources and provides an abstracted view of the network resources to the SDN applications via another standardized interface (i.e., *application-control interface*) and the relevant information and data models. The SDN application can customize and automate the operations (including management) of the abstracted network resources in a programmable manner via this interface. Note that the SDN controller can provide different types of interfaces to SDN applications (e.g., more abstracted and more object-oriented). + +# 8 Objectives + +The objectives of SDN are to realize: + +- *Faster network business cycles* + +SDN reduces the response time of business requests to network providers, e.g., to increase customer satisfaction or to shorten the payback time of investment through further automation of network operations; + +- *Acceleration of innovation* +SDN accelerates business and/or technical innovation through more flexibility of the network operations, thus making trials easier; +- *Accelerated adaptation to customer demands* +SDN facilitates the accommodation of customer's connectivity requirements by means of dynamic negotiation of network service characteristics and of dynamic network resource control; +- *Improved resource availability and usage efficiency* +SDN is meant to improve network resource availability and efficiency, in particular when combined with network virtualization, due to the introduction of a high level of automation in the overall service delivery and operation procedures, from service parameter negotiation to fulfilment and assurance; +- *Customization of network resources including service-aware networking* +SDN allows network customization for the network services which have different requirements, through the programming of network resource operations, including the dynamic enforcement of a set of policies (e.g., resource planning as a function of the number of customers' orders to be processed over time, forwarding and routing, quality of service (QoS) and traffic engineering, security). + +# 9 High-level capabilities + +SDN provides the following high-level capabilities: + +- *Programmability* +The behaviour of network resources can be customized by SDN applications through a standardized programming interface for network control and management functionality. The user of the interface may be network providers, service providers, and customers including end-users. This enables the SDN applications to automate the operations of network resources according to their needs. +- *Resource abstraction* +The property and behaviour of underlying network resources can be appropriately abstracted and understood, orchestrated, controlled and/or managed by those who program them, thanks to relevant, standard information and data models. These models provide a detailed, abstracted view of physical or virtualized network resources. + +Programmability contributes to the introduction of a high level of automation in the overall service delivery procedure, to achieve business agility, such as dynamic service creation and provisioning. A standardized interface providing a channel for interactions between SDN applications and SDN controllers is used to access network information and to program application-specific network behaviors. This programmability provides the ability to control or configure the network elements by a logically centralized SDN controller through another standardized interface. + +NOTE – The delivery of some network services assumes the combination of a variety of functionalities for optimized packet processing and traffic forwarding purposes. Programmability will, in this case, allow to smartly combine these various functionalities into an ordered set of function chains. See [b-IETF SFC]. To support programmability, resource abstraction is a desirable capability. Information and data models are means to provide an abstracted view of the underlying network resources to the SDN applications, so that the application developers can simplify their program logic without the need for detailed knowledge of the underlying network resources and technologies. + +# 10 Requirements + +SDN provides programmability of network control and abstraction of underlying network resources, among other SDN features. As described in clause 6, network resources as used in this context of requirements refer to network elements including switches and routers. + +In order to support these capabilities, the requirements for SDN are described as follows: + +- SDN is required to support programmability of network resources; +- SDN is required to support orchestration of network resources and SDN applications; +- SDN is required to provide an application-control interface for customizing the behaviour of network resources; +- SDN is required to provide a resource-control interface for control of network resources; +- SDN is required to provide logically centralized control of network resources; +- SDN is required to separate SDN control from the network resources; +- SDN is required to support the abstraction of underlying network resources, by means of standard information and data models; +- SDN is required to support the management of physical network resources; +- SDN is recommended to support the management of virtual network resources. + +# 11 High-level architecture + +The high-level architecture of SDN consists of several layers as depicted in Figure 11-1. + +![Figure 11-1: High-level architecture of SDN. The diagram shows a vertical stack of layers. On the left, a vertical blue bar is labeled 'Multi-layer management functions'. The main stack consists of three main layers: 1. 'Application layer' (top): contains 'Application' and 'Application support' blocks. 2. 'SDN control layer' (middle): contains 'Orchestration' and 'Abstraction' blocks. 3. 'Resource layer' (bottom): contains 'Control support' and 'Data transport and processing' blocks. Dashed orange lines separate the layers. Labels for interfaces are on the right: 'Application-control interface' between the top and middle layers, and 'Resource-control interface' between the middle and bottom layers. The identifier 'Y.3300(14)_F11-1' is at the bottom right.](5e92d9e8e9ce204e405bff2367f88176_img.jpg) + +Y.3300(14)\_F11-1 + +Figure 11-1: High-level architecture of SDN. The diagram shows a vertical stack of layers. On the left, a vertical blue bar is labeled 'Multi-layer management functions'. The main stack consists of three main layers: 1. 'Application layer' (top): contains 'Application' and 'Application support' blocks. 2. 'SDN control layer' (middle): contains 'Orchestration' and 'Abstraction' blocks. 3. 'Resource layer' (bottom): contains 'Control support' and 'Data transport and processing' blocks. Dashed orange lines separate the layers. Labels for interfaces are on the right: 'Application-control interface' between the top and middle layers, and 'Resource-control interface' between the middle and bottom layers. The identifier 'Y.3300(14)\_F11-1' is at the bottom right. + +**Figure 11-1 – High-level architecture of SDN** + +## 11.1 Application layer + +The application layer is where SDN applications specify network services or business applications by defining a service-aware behaviour of network resources in a programmatic manner. These applications interact with the SDN control layer via application-control interfaces, in order for the SDN control layer to automatically customize the behaviour and the properties of network resources. The programming of an SDN application makes use of the abstracted view of the network resources provided by the SDN control layer by means of information and data models exposed via the application-control interface. + +## 11.2 SDN control layer + +The SDN control layer provides a means to dynamically and deterministically control the behaviour of network resources (such as data transport and processing), as instructed by the application layer. The SDN applications specify how network resources should be controlled and allocated, by interacting with the SDN control layer via application-control interfaces. The control signalling from the SDN control layer to the network resources is then delivered via resource-control interfaces. The configuration and/or properties exposed to SDN applications are abstracted by means of information and data models. The level of abstraction varies according to the applications and the nature of the services to be delivered. + +- *Application support* +The application-support function provides application-control interface for SDN applications to access network information and program application-specific network behaviours. +- *Orchestration* +The orchestration function provides the automated control and management of network resources and coordination of requests from the application layer for network resources based on the policy provided by the multi-layer management functions or the application layer. +The orchestration function provides control and management of network resources covering management of physical and virtual network topologies, network elements, and traffic for example. It also interacts with the multi-layer management functions to provide management of SDN application-related operations such as user management, service creation and provisioning. +- *Abstraction* +The abstraction function interacts with network resources, and provides an abstraction of the network resources, including network capabilities and characteristics, in order to support management and orchestration of physical and virtual network resources. Such abstraction relies upon standard information and data models and is independent of the underlying transport infrastructure. + +NOTE – The SDN control layer, instead of the application layer, may execute control for the resource layer for the sake of performance (e.g., for traffic engineering). + +## 11.3 Resource layer + +The resource layer is where the network elements perform the transport and the processing of data packets according to the decisions made by the SDN control layer, and which have been forwarded to the resource layer via a resource-control interface. + +- *Control support* +The control support function interacts with the SDN control layer and supports programmability via resource-control interfaces. +- *Data transport and processing* +The data transport and processing function provides data forwarding and data routing functionalities. +The data forwarding functionality handles the incoming data flows to forward them along the data forwarding paths that have been computed and established according to the requirements defined by the SDN applications. The control of the data forwarding functionality is provided by the SDN control layer so that the data forwarding functionality in the resource layer may be minimized. + +The data routing functionality provides network control and services in the resource layer according to the routing rules which can be customized by the SDN control layer for SDN applications. The data forwarding paths are determined by distributed routing control of the resource layer. + +Note that the resource layer may provide either data forwarding functionality or data routing functionality, or both. + +Additional functionalities including media transcoding and data compression can be added, removed, or reconfigured for customization of data packets as specified by SDN applications. + +NOTE – Additional functionalities including media transcoding and data compression can be invoked for the delivery of a service. From an SDN perspective, the ability to solicit a variety of functions to dynamically structure a service and allocate resources accordingly is a promising opportunity to enforce differentiated traffic forwarding policies within the network, thereby contributing to the improvement of customer's quality of experience. + +## **11.4 Multi-layer management functions** + +The multi-layer management functions exist as cross-layer functions providing functionalities for managing, as appropriate, the functionalities of the other layers, i.e., the application layer, the SDN control layer and the resource layer. + +The multi-layer management functions include functionalities for supporting fault, configuration, accounting, performance and security (FCAPS) management as described in [ITU-T M.3400]. Examples of such functionalities are equipment inventory, software upgrade, fault isolation, performance optimization, energy efficient operations, and initial configuration of the network resources, SDN controllers, and SDN applications. Specifically, autonomic management, i.e., continuous adaptation to the network status, may be performed by the SDN control layer. + +## **11.5 Interfaces** + +There are two interfaces in the high-level architecture of SDN: the application-control interface and the resource-control interface. They provide access to the SDN controllers and network resources, allowing for programmable control of network resources. + +The details of each interface are as follows: + +### - *Resource-control interface* + +The resource-control interface is used for interactions between the SDN control layer and the resource layer. Information exchanged through these interactions include controlling information provided by the SDN control layer to the resource layer (e.g., for configuring a network resource or providing policies) as well as the information that pertains to the (unsolicited) notifications sent by the resource layer whenever the network topology changes, congestion is detected, etc. Such notification information also includes data that are meant to assess the conformance of what has been delivered against what has been negotiated (hence the notion of service fulfilment and assurance). This interface provides high-level accesses to the network resources regardless of their respective technology. + +### - *Application-control interface* + +The application-control interface is used for interactions between the application layer and the SDN control layer. The application-control interface can be used by the application layer to feed the SDN control layer information that will contribute to the decision-making process in terms of dynamic resource allocation or policy enforcement, for example. The SDN control layer can also expose the information and data models that reflect the resource abstraction to the application layer through this interface. + +# **12 Environmental considerations** + +SDN is meant to facilitate self-adaptability, so that resource availability and usage efficiency can be improved. This is likely to contribute to the optimization of resource usage and therefore reduced energy consumption. + +SDN relocates the control of network resources to a logically centralized SDN controller. This may contribute to simplify the design of network elements, thus power consumption is expected to decrease. However, the function that is logically centralized may become complicated, thus its power consumption may increase. + +# **13 Security considerations** + +The introduction of a high level of automation in the overall service delivery procedure by means of SDN techniques inevitably raises security challenges. In particular, access to network resources by applications must be granted in order to protect the networking infrastructure and its components from a denial of service attack that may jeopardize the overall robustness, quality and reliability of the SDN architecture, or the services that it delivers. + +SDN provides new possibilities to combat security breaches. The affected resources may be easily and quickly isolated, malicious traffic may be safely terminated, sensitive flows can be identified and separately transferred in a more secure manner, e.g., with dedicated equipment and security protocols. All these processes may be automated due to SDN for improved availability. Moreover, a logically centralized control of SDN enables operators and/or entities to have a broader and/or a global view of the current status of networks, which makes security operations easier and more efficient. + +On the other hand, SDN may aggravate the damage of security breaches, misconfiguration, privacy infringement and other incidents. Properties that were traditionally implemented in hardware and impossible to change can now be modified, misconfigured or can function improperly. Such damage can expand quickly as responses of various software programs and human operation may be too slow for appropriate reaction. It is therefore necessary to enhance monitoring capability and automated operations. More careful checking of e.g., policy configuration, becomes necessary. Moreover, a logically centralized controller can be a single point of failure, and can be a target of malicious attacks, thus special attention is required. + +# Appendix I + +## Areas for further considerations in SDN standardization + +(This appendix does not form an integral part of this Recommendation.) + +In this appendix, technical areas for further considerations in SDN are described. + +## I.1 Interworking + +A network in one administrative domain is usually controlled and managed by the service policy applied by one network provider. However, integrated network services among multiple administrative domains need to be composed of relevant network services in each administrative domain. It is important that SDN provides interworking functionality for such integrated network services among multiple administrative domains taking into account the following points: + +- It is important that SDN exchange available network parameters (e.g., bandwidth, latency, label or id information) for automating the control and/or management of the network services among different administrative domains. These network parameters may be screened or abstracted because such network parameters contain sensitive information in many cases. This functionality may also need to configure a part of other administrative domain networks and get statistics about the domain. + +The following points are not specific to SDN, but need consideration. + +- In forwarding packets across multiple administrative domains, packet formats may be different, and it is important to support converting the format of packets and/or adjusting the network properties (e.g., bandwidth and latency) before or after packets enter another network; +- It is also important to support authentication, authorization, and accounting (AAA) features because interworking operations usually need computational resources from other administrative domains. + +## I.2 Verification of SDN applications + +With SDN technologies, network providers, service providers, and customers can customize the network resources by writing an SDN application. However, incomplete or malicious SDN applications could cause a breakdown of underlying networks shared by heterogeneous network elements and stakeholders. Thus, it is desirable that SDN applications be formally specified and verified (i.e., formal method) to prevent them from misinterpreting their intentions on network operations and to avoid inconsistency within the network. + +Formal methods are software engineering techniques based on mathematical representation and analysis of software programs [b-FM Clarke]. Such formal methods can be used for analysis of specification and verification of software behaviour. + +Using the formal methods for SDN applications can minimize the risk of misuse or malfunction of SDN applications because the formal method serves to remove ambiguity, inconsistency, and possible conflicts of SDN applications in the networks. Furthermore, network operators can use the formal methods to check consistency and safety of their network configurations, virtual/physical topologies and networking resources. This enables confirmation of their configurations and behaviours of various networking properties. Some examples of these properties are: + +- no routing loops or unreachable points in the network; +- no rule or behaviour conflicts between multiple SDN applications; +- no conflicts on physical network resource assignments between different SDN applications; + +- no conflicts in dynamic network update where new or updated network configurations conform to properties of the network and do not break consistency of existing networks. + +## **I.3 Adaptation to large-scale networks** + +SDN should provide connectivity from a local area to a wide area, as current networks do. Because SDN provides logically centralized control of networks, adaptation to large-scale networks is important. A large-scale network has two aspects: a single SDN domain composed of many network elements, and multiple SDN domains managed by different network providers. While SDN may support many network elements in a wide area, the number of network elements that a single SDN controller can accommodate is limited. In this regard, scalability needs to be considered. One way to provide scalability is to have SDN controllers logically centralized but physically distributed, to correspond to a wide area. + +In large-scale networks, reliability is a particularly important issue. As a characteristic of logically centralized control in SDN, an SDN controller tends to become a single point of failure. The SDN controller may be replicated to improve reliability. + +## **I.4 Design of resource abstraction** + +To make programmability of SDN easier and more efficient, it is important that resource abstraction is appropriately designed and adopted for the best practice and performance of networks. It is important that resource abstraction be provided with the following points: + +- *Common resource abstraction model* +It is important that a common resource abstraction model be applied to similar network resources regardless of the underlying technology, since a common information model simplifies the programming for the resources. Widely applicable standard information and data models require the appropriate abstraction of various capabilities, such as packet forwarding, wireless interfaces, and path computation-related information (e.g., routing metrics). +- *Appropriate granularity of abstraction* +It is not appropriate to show all network resources and their characteristics to SDN applications. On one hand, not all the details and characteristics of the network resources are necessary for SDN application programming. On the other hand, excessive abstraction prevents SDN applications from utilizing network resources to the maximum because it hides the details of the resources. It is therefore important that SDN provides an appropriate and balanced granularity of abstraction. +- *Performance tuning of network resources* +When network resources are abstracted, an SDN application may not be able to access some network resource-specific parameters, and this may degrade the performance. Suitable abstraction or some mechanisms to tune the performance of network resources automatically are necessary. + +## **I.5 Virtualization of network elements** + +Network elements, which can be abstracted resources, may be shared among multiple applications. But each SDN application does the programming of network elements according to the SDN application requirements. In that case, it is necessary that these networks and network elements are mutually isolated. Toward this end, network elements should be virtually partitioned to support each application network. + +SDN applications may require network resources, e.g., bandwidth and packet processing, whereas the applications' requirements cannot be satisfied with a single network element. In that case, multiple network elements can be virtually combined to appear as a single resource to the + +applications to satisfy the requirements without further management efforts of multiple network resources. + +For the above two cases, virtualization techniques can provide an appropriate solution because they assume network element partition and aggregation, as well as a single interface to such virtualized network resources. + +## **I.6 Multiple-level of programmability** + +In conventional networks, each resource in multiple open system interconnection (OSI) layers [b-ITU-T X.200] is managed by different management entities. This makes it difficult to orchestrate total performance and to recover from network failures quickly. SDN is desirable to provide control and management programming interfaces to network resources, e.g., for coordination and status monitoring purposes. In addition, the demands of SDN applications can be diverse and may be related to multiple OSI layers. + +The interfaces need to span multiple OSI layers and work in a unified manner: multiple-level of programmability that spans L1-L7 OSI layers is an important issue to be addressed for SDN. + +One example for such multi-level programmability is cut-through optical path computation. In this example, some SDN components may dynamically change the target OSI layer to allocate a path, depending on traffic characteristics. For example, SDN components may first allocate a path in the OSI layer 3, namely an IP route. After checking OSI layer 3 header and its applicability, SDN intelligence may then decide instead to allocate an optical path, e.g., to provide additional bandwidth. + +## **I.7 Programmatic extension in resource layer** + +In order to improve network programmability, it is desirable to extend the functions of the resource layer on demand in a programmable manner [b-SDN-WS Nakao]. This ability can dynamically add or remove additional functions for data transport and processing (such as packet caching, header/payload compression, regular expression matching, data transcoding, or even handling newly developed protocols) as per SDN application requirements or can dynamically update the control support function, thereby avoiding hardware replacement. + +Thus, rapid development, deployment, and replacement of resource layer functionalities and resource-control interfaces leads to timely and tailored service solutions aligned with requirements of applications and operator policies. + +## **I.8 Management** + +The following management functionalities specific to one of the layers need to be further considered: + +- Management of the underlying physical and virtual network resources, providing support for programmatically extendable SDN data transport and processing functions, which is described in clause I.7; +- Management of the software and hardware platform of an SDN controller which includes lifecycle management of dynamically upgradable functions of the SDN controller and FCAPS. + +The multi-layer management functions should interoperate with 3rd party management functions, for example, for billing, customer care, statistics collection or dynamic service provisioning. + +Another issue to be considered is how the multi-layer management functions are deployed. Possible approaches include the use of a centralized management model or a hybrid model. In the hybrid model, some management functions are distributed, while others are implemented in centralized management systems. With such an approach, network resources support management functions that may improve network robustness and scalability as well as shorten the management system response time. In both models, there is an SDN management system that performs all centralized management operations. + +# Bibliography + +- [b-ITU-T X.200] Recommendation ITU-T X.200 (1994), *Information technology – Open Systems Interconnection – Basic Reference Model: The basic model*. +- [b-ITU-T Y.2622] Recommendation ITU-T Y.2622 (2012), *Architecture of an independent scalable control plane in future packet based networks*. +- [b-ETSI NFV] ETSI NFV ISG, *Network Functions Virtualisation*, +- [b-IETF I2RS] IETF I2RS Working Group, *Interface to the Routing System*, +- [b-IETF RFC 3444] IETF RFC 3444 (2003), *On the Difference between Information Models and Data Models*. +- [b-IETF RFC 3746] IETF RFC 3746 (2004), *Forwarding and Control Element Separation (ForCES) Framework*. +- [b-IETF RFC 7149] IETF RFC 7149 (2014), *Software-Defined Networking: A Perspective from within a Service Provider Environment*. +- [b-IETF SFC] IETF Service Function Chaining (sfc) working group, +- [b-ONF] Open Networking Foundation, "OpenFlow/Software-Defined Networking (SDN)," . +- [b-OpenDayLight] Linux Foundation, OpenDayLight, . +- [b-SDN-WS Nakao] "Deeply Programmable Network", Emerging Technologies for Network Virtualization, and Software Defined Network (SDN), ITU-T Workshop on Software Defined Networking (SDN), [http://www.itu.int/en/ITU-T/Workshops-and-Seminars/sdn/201306/Documents/KS-Aki\\_Nako\\_rev1.pdf](http://www.itu.int/en/ITU-T/Workshops-and-Seminars/sdn/201306/Documents/KS-Aki_Nako_rev1.pdf). +- [b-FM Clarke] Edmund M. Clarke and Jeannette M. Wing (1996), *Formal methods: State of the art and future directions*, ACM Computing Surveys Vol. 28, No. 4, December; pp. 626-643. + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3301-201609-I_PDF-E/84a1d09fb489061482111515543b60dc_img.jpg b/marked/Y/T-REC-Y.3301-201609-I_PDF-E/84a1d09fb489061482111515543b60dc_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..1171e4367afffe1dc419450738341bf109161e7a --- /dev/null +++ b/marked/Y/T-REC-Y.3301-201609-I_PDF-E/84a1d09fb489061482111515543b60dc_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:6dc4e10c034bea218d2805eed6248e0a36582dd1663f4a59a91f478b03d31b08 +size 6923 diff --git a/marked/Y/T-REC-Y.3301-201609-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3301-201609-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..b256917ce550c203ceaeaec53d1968772ffa1966 --- /dev/null +++ b/marked/Y/T-REC-Y.3301-201609-I_PDF-E/raw.md @@ -0,0 +1,356 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.3301 + +(09/2016) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Future networks + +# --- Functional requirements of software-defined networking + +Recommendation ITU-T Y.3301 + +![ITU logo: A blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'.](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text 'ITU' is written in a large, bold, blue font, and below it, the words 'International Telecommunication Union' are written in a smaller, blue font. + +ITU logo: A blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'. + +## ITU-T Y-SERIES RECOMMENDATIONS + +# **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES** + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3301 + +# Functional requirements of software-defined networking + +## Summary + +Recommendation ITU-T Y.3301 describes the functional requirements of software-defined networking (SDN) including the general requirements and functional requirements of the SDN application layer, SDN control layer, SDN resource layer and any multilayer management functions. This Recommendation is based on Recommendation ITU-T Y.3300 (Framework of software-defined networking), which describes the fundamentals of SDN including the definitions, objectives, high-level capabilities, requirements and high-level architecture of SDN. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3301 | 2016-09-29 | 13 | 11.1002/1000/13016 | + +## Keywords + +Abstraction, multilayer management, orchestration, programmability, SDN. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2016 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-----------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview..... | 2 | +| 7 | Functional requirements ..... | 2 | +| | 7.1 General requirements..... | 2 | +| | 7.2 SDN application layer ..... | 3 | +| | 7.3 SDN control layer..... | 3 | +| | 7.4 SDN resource layer..... | 4 | +| | 7.5 Multilayer management functions..... | 4 | +| 8 | Environmental considerations ..... | 5 | +| 9 | Security considerations..... | 5 | + + + +# Recommendation ITU-T Y.3301 + +# Functional requirements of software-defined networking + +# 1 Scope + +This Recommendation describes the functional requirements of software-defined networking (SDN), which are defined in [ITU-T Y.3300], by providing: + +- general requirements, +- functional requirements of the SDN application layer, +- functional requirements of the SDN control layer, +- functional requirements of the SDN resource layer, and +- functional requirements of the multilayer management functions. + +NOTE – In [ITU-T Y.3300] the term "application layer" refers to "SDN application layer" and "resource layer" refers to "SDN resource layer".. As the names "application layer" and "resource layer" are too general this Recommendation uses more specific names of layers such as "SDN application layer" and "SDN resource layer". + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3011] Recommendation ITU-T Y.3011 (2012), *Framework of network virtualization for future networks*. + +[ITU-T Y.3300] Recommendation ITU-T Y.3300 (2014), *Framework of software-defined networking*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 software-defined networking** [ITU-T Y.3300]: A set of techniques that enables to directly program, orchestrate, control and manage network resources, which facilitates the design, delivery and operation of network services in a dynamic and scalable manner. + +**3.1.2 network virtualization** [ITU-T Y.3011]: A technology that enables the creation of logically isolated network partitions over shared physical networks so that heterogeneous collection of multiple virtual networks can simultaneously coexist over the shared networks. This includes the aggregation of multiple resources in a provider and appearing as a single resource. + +**3.1.3 virtual resource** [ITU-T Y.3011]: An abstraction of physical or logical resource, which may have different characteristics from the physical or logical resource and whose capability may be not bound to the capability of the physical or logical resource. + +## **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|------------------------------------------------------------| +| BSS | Business Support Systems | +| FCAPS | Fault, Configuration, Accounting, Performance and Security | +| IP | Internet Protocol | +| MAC | Media Access Control | +| OSS | Operations Support Systems | +| SDN | Software-Defined Networking | + +## **5 Conventions** + +This Recommendation uses the following conventions: + +The term "is required to" indicates a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The term "is recommended" indicates a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# **6 Overview** + +[ITU-T Y.3300], the framework of SDN, defines SDN as a set of techniques that enables network resources to be directly programmed, orchestrated, controlled and managed, which facilitates the design, delivery and operation of network services in a dynamic and scalable manner. The high-level architecture of SDN in the framework consists of the application layer, SDN control layer, resource layer and multilayer management functions. The application layer executes SDN applications and enables network resources to act as instructed from SDN applications in a programmatic manner via the SDN control layer. The SDN control layer provides a means to control the behaviours of network resources via resource-control interfaces. The resource layer performs the transporting and the processing of data packets based on the decisions of the SDN control layer. The multilayer management functions provide functionalities for managing other layers including FCAPS. + +This Recommendation defines the following functional requirements of SDN: + +- general requirements; +- SDN application layer; +- SDN control layer; +- SDN resource layer; and +- multilayer management functions. + +# **7 Functional requirements** + +## **7.1 General requirements** + +The general requirements are as follows: + +- It is required to provide interoperability with external OSS/BSS. + +- It is required to provide an orchestration functionality of the SDN application layer and SDN control layer, and multilayer management to handle the lifecycle management of software-based SDN functions. +- It is required to provide scalability for supporting a large number of users and vast geographical areas. +- It is required to provide a management support functionality in each layer to enable the delegation of multilayer management functions. +- It is recommended to maximize the energy-efficient usage of physical resources of all layers. + +## 7.2 SDN application layer + +The SDN application layer executes SDN applications and enables network resources to behave in a service-aware, programmatic manner. + +The functional requirements for the SDN application layer are as follows: + +- It is required to create and apply the application-specific programs to the SDN resource layer by interacting with the SDN control layer. +- It is required to support multiple applications at the same time. +- It is required to notify network events from the SDN control layer to the corresponding SDN application. + +NOTE – Network events are information of network resources that are necessary for SDN applications to run in an appropriate manner, e.g., start/end of an activity, failure, performance degradation to be handled by SDN applications. + +- It is required to orchestrate multiple SDN applications within the SDN application layer. +- It is required to categorize SDN applications and combine multiple applications into an integrated SDN application. + +## 7.3 SDN control layer + +The SDN control layer includes application support, orchestration, and abstraction functions. + +Orchestration provides the coordination of requests from the SDN application layer and automated control of network resources, such as the management of physical and virtual network topologies, network resources and traffic. + +Abstraction provides abstracted views of the property and behaviour of underlying network resources, in order to support the management and orchestration of physical and virtual network resources. + +The functional requirements for the SDN control layer are as follows: + +- It is required to provide orchestration, abstraction and programmability of the network resources. + +NOTE – Programmability provides the ability to control or configure the network resources by introducing a high level of automation. Behaviour of network resources can be programmed by SDN applications for network control and management functionality. + +- It is required to discover underlying network topology to see how network resources (e.g., SDN-enabled switches) connect to each other. +- It is required to collect and maintain network information about the capability of network resources and network-wide information, including the status of forwarding tables, routing policies and network topologies. +- It is required to back up network information in case of failures. + +- It is required to build and update forwarding paths constituted by network resources, such as switches, routers and data processing entities. +- It is required to provide an abstracted view of different network solutions (e.g., Packet Transport Network, Optical Transport Network) to SDN applications. +- It is required to expose network configurations (e.g., routing policies) to the SDN application layer. +- It is required to maintain a set of lists of data processing entities (e.g., firewall, transcoding) categorized by their capabilities. +- It is recommended to create and maintain mapping information between SDN applications and network resources. + +## **7.4 SDN resource layer** + +The SDN resource layer provides control support, data transport and processing functions. + +The functional requirements for the SDN resource layer are as follows: + +- It is required to perform data transport and data processing according to requests from the SDN control layer. +- It is required to support the allocation and release of necessary network resources. +- It is required to provide information and capabilities of virtual and physical elements of network resources including ports, links and addresses (MAC/IP/transport) to the SDN control layer. +- It is required to provide up-to-date information to the SDN control layer when the status of network resources changes. +- It is recommended to make data transport and processing functions extensible. +- It is recommended to enable resource virtualization of physical resources. +- It is recommended to enable the reconfiguration of virtual resources. + +NOTE 1 – Examples of the reconfiguration of virtual resources include merging multiple virtual resources into a single one and splitting a virtual resource into multiple ones. + +- It is recommended to maintain the mapping information between virtualized resources and physical resources. +- It is recommended that the SDN control layer utilizes the abstraction of physical and virtual resources by the SDN resource layer. + +NOTE 2 – Resource virtualization can be realized by either or both the SDN resource layer and SDN control layers. + +## **7.5 Multilayer management functions** + +Multilayer management functions provide cross-layer management functionality for software upgrades, fault isolation, performance optimization and the initial configuration of the network resources, SDN controllers and SDN applications. + +The functional requirements for multilayer management functions are as follows: + +- It is required to monitor and update status information of the SDN application layer, SDN control layer and SDN resource layer. +- It is required to access and collect network information including resource identifier, resource address, port information and network connectivity. +- It is required to monitor status including availability, failure and overload of network resources. + +- It is required to (re/)configure SDN layers e.g., due to policy changes for management, maintenance and software updates, and physical resource changes. +- It is required to detect faults and manage reactions (i.e., protection, restoration and isolation) to the fault across multiple layers. +- It is required to support the exchange of information with external management entities. +- It is required to provide functionality for metering, charging and accounting information exchanges. +- It is recommended to provide topology and connectivity information such as IP address, network domain, port, interface and location and functional information, such as service description, type, vendor and software version of data processing entities. + +# **8 Environmental considerations** + +SDN can contribute to reducing energy consumption through the optimization of network resource usage. SDN, with its feature of logically-centralized control of network resources, can simplify the functionalities, as well as network operations, leading to a longer lifetime of equipment and reduced energy consumption. + +# **9 Security considerations** + +For SDN security, securing the controller, verifying the communication channel between the controller and network resources, shaping secure data traffic, and logging all the network changes are considered. + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data 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+ +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Future networks + +# --- **Requirements and architectural framework for autonomic management and control of IMT-2020 networks** + +Recommendation ITU-T Y.3324 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## **FUTURE NETWORKS** + +**Y.3000–Y.3499** + +### CLOUD COMPUTING + +Y.3500–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3324 + +# Requirements and architectural framework for autonomic management and control of IMT-2020 networks + +## Summary + +Recommendation ITU-T Y.3324 specifies the high-level and functional requirements and architecture of autonomic management and control (AMC) for IMT-2020 networks. It also specifies interworking reference points between AMC and IMT-2020 management and orchestration architecture, and legacy NMS/OSS. In Appendix I, it describes a use case to realize the AMC architecture through the ETSI GANA reference model. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3324 | 2018-12-14 | 13 | 11.1002/1000/13811 | + +## Keywords + +Autonomic management and control (AMC), IMT-2020 slice life-cycle management, requirements and architecture. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2019 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|----------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Introduction..... | 3 | +| 7 | High-level requirements for AMC..... | 4 | +| 8 | Functional requirements for AMC..... | 4 | +| 9 | Architectural framework for AMC..... | 5 | +| | 9.1 Functional entity overview ..... | 7 | +| | 9.2 Functional entity description ..... | 8 | +| 10 | Reference points ..... | 10 | +| | 10.1 Reference point Si ..... | 10 | +| | 10.2 Reference point Se..... | 12 | +| | 10.3 Reference point Is..... | 14 | +| | 10.4 Reference point Ic..... | 16 | +| | 10.5 Reference point Id ..... | 17 | +| 11 | Security consideration ..... | 19 | +| | Appendix I – Use case of realizing IMT-2020 AMC architecture through GANA
reference model ..... | 21 | +| | I.1 Introduction ..... | 21 | +| | I.2 Realization use case of IMT-2020 AMC through ETSI GANA reference
model ..... | 23 | +| | Bibliography..... | 26 | + + + +## Recommendation ITU-T Y.3324 + +# Requirements and architectural framework for autonomic management and control of IMT-2020 networks + +## 1 Scope + +This Recommendation specifies the high-level functional requirements and architecture of autonomic management and control (AMC) for IMT-2020 networks. It also specifies interworking interfaces and mechanisms between AMC and IMT-2020 management and orchestration architecture, and legacy NMS/OSS. AMC architecture and interworking mechanisms include functional entities, reference points and procedures. Appendix I it describes a use case to realize the AMC architecture through the ETSI GANA reference model. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T M.3010] Recommendation M.3010 (2000), *Principles for a telecommunications management network*. +- [ITU-T T.50] Recommendation ITU-T T.50 (1992), *International Reference Alphabet (IRA) (Formerly International Alphabet No. 5 or IA5) – Information technology – 7-bit coded character set for information interchange*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [ITU-T Y.3111] Recommendation Y.3111 (2017), *IMT-2020 network management and orchestration framework*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +None. + +### 3.2 Terms defined in this Recommendation + +**3.2.1 autonomic management and control (AMC):** A behaviour or action that is determined in a reactive or proactive manner based on the external stimuli (environment aspects) as well as the goals they are required to fulfil, principles of operation, capabilities, experience and knowledge. + +NOTE – In the case of software-defined networks, this definition means that AMC has the ability to dynamically select the network's configuration, control and manage the network, through its self-management functionality that reaches optimal decisions, taking into account the context of operation (environment requirements and characteristics), goals and policies (corresponding to principles of operation), profiles (corresponding to capabilities i.e., functional features supported), and machine learning (for managing and exploiting knowledge and experience). + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----------|----------------------------------------------------------------------------| +| ADS-FE | Autonomic Decision Support Functional Entity | +| AI | Artificial Intelligence | +| AMC | Autonomic Management and Control | +| ASLMD-FE | Autonomic Slice Life-cycle Management Decision Functional Entity | +| ASPADS-FE | Application and Service Plane Autonomic Decision Support Functional Entity | +| ASPM | Application and Service Plane Management | +| ASPM-S | Application and Service Plane Management Support | +| CPADS-FE | Control Plane Autonomic Decision Support Functional Entity | +| CPM | Control Plane Management | +| CPM-S | Control Plane Management Support | +| CP-S | Control Plane Support | +| DE | Decision-making Element | +| DNS | Domain Name System | +| DP-S | Data Plane Support | +| DPADS-FE | Data Plane Autonomic Decision Support Functional Entity | +| DPM | Data Plane Management | +| DPM-S | Data Plane Management Support | +| DoS | Denial of Service | +| EMES | External Management Entity Support | +| ERM | External Relationship Management | +| IASP | IMT-2020 Applications and Service Plane | +| ICP | IMT-2020 Control Plane | +| ID | Identifier | +| IDP | IMT-2020 Data Plane | +| IoT | Internet of Things | +| KIER-FE | Knowledge Information Exchange Repository Functional Entity | +| KP | Knowledge Plane | +| LTE | Long Term Evolution | +| MANO | Management and Orchestration | +| ME | Managed Entity | +| NE | Network Element | +| NF | Network Function | +| NFV | Network Function Virtualization | +| NMS | Network Management System | +| ODA | Open Digital Architecture | + +| | | +|------|------------------------------------------| +| OFE | Orchestration Functional Entity | +| ONIX | Overlay Network for Information exchange | +| OPEX | Operation Expenses | +| OSS | Operational Support System | +| PoC | Proof of Concept | +| QoS | Quality of Service | +| SDN | Software Defined Network | +| SI | Slice Instance | +| SLA | Service Level Agreement | +| SLM | Slice Life-cycle Management | +| SON | Self-Organizing Networks | +| TMF | Tele-management Forum | +| VPN | Virtual Private Network | + +## 5 Conventions + +In clause 8, each requirement is indicated mandatory (M), recommended to be mandatory (R) or optional (O). + +In clause 10, by default, all information components in an information flow defined in this clause are to be considered "mandatory" unless they are explicitly identified as being "optional". + +## 6 Introduction + +As demonstrated by self-organizing networks (SON) in LTE, and many other cases where network automation and autonomic principles of network operation have been devised/experimented, it is now widely agreed that autonomic networking and self-management is a new networking paradigm that brings many benefits to network management and operation, such as operation expenses (OPEX) reduction and enhanced network intelligence through the adaptive control of network resources. The paradigm includes so-called self-management features of network operation such as self-configuration, self-diagnosing, self-healing/self-repair and self-optimization. + +Recently, the four emerging networking paradigms that have influenced ICT/telecommunication industries are cloud computing, Internet of things (IoT), software-defined networking (SDN) and network function virtualization (NFV). Fundamental research on these paradigms has quite matured and enough results are available for exploitation. Another network paradigm which is of the same importance is autonomic management and control (AMC) of networks and services. Its fundamental research has also matured. Further developments, however, are needed to take advantage of the benefits of these five paradigms when combined together in future network design. Cloud computing, IoT, SDN and NFV are core enablers of AMC. AMC requires the seamless intelligent decision-making feedback loop of the precise monitoring of status of managed resources, intelligent decision making and necessary policy generation based on the monitored information and open programmable enforcement of generated policies. Cloud computing and IoT provide an abundant resource pool which complex autonomic decision making processes are required for. SDN provides open control capability of enforcing autonomic decision policies. NFV provides a virtual programmable execution environment that autonomic decision entities could run. Due to the relatively static nature of management and control, legacy NMS/OSS and networking infrastructure were not ready for autonomic management and control innovation. These four emerging networking paradigms, however, have become enablers of AMC when they are combined in a standard way. Be + +aware that AMC does not replace the legacy NMS/OSS but rather augment self-management capabilities only by interworking with and leveraging SDN, NFV, cloud computing and IoT capabilities as described above. + +To support such autonomies and self-management principles and capabilities for IMT-2020 networks including, but not limited to, interconnected large-scale hybrid clouds, SDN-based virtual networks and complex IoT networks, this Recommendation specifies AMC high-level and functional requirements and architecture. It also specifies interworking interfaces and mechanisms with IMT-2020 architecture and legacy NMS/OSS. AMC architecture and interworking mechanisms include AMC and interworking functional entities, reference points and procedures, and a use case scenario. + +## **7 High-level requirements for AMC** + +Autonomic management and control of IMT-2020 network architecture is required to meet the following high-level requirements: + +- 1) Support of autonomic management capabilities including knowledge plane with cognitive management functionality for IMT-2020 network and services + +NOTE 1 – Knowledge plane provides the necessary functionality to support autonomic management of IMT-2020 network and services. One of the main functions of the knowledge plane is a cognitive management process which is a control loop of observe, normalize, compare, learn, plan, decide and act subprocesses. Autonomic management decisions and associated actions are made through this process. It supports three modes of operation: expedited, high-priority and normal, which can be chosen depending on the requirement of the service urgency. + +- 2) Support of scalability of its management functionality + +NOTE 2 – Autonomic management functionality should be scalable to be used in complex and large management environments. + +- 3) Support of availability and reliability of its management functionality +- 4) Support of real, near-real, and/or non-real time autonomic management decision making and operations + +NOTE 3 – The cognition process supports three modes of operation: expedited, high-priority and normal to meet this requirement. + +- 5) Support of interworking with the management functionality of IMT-2020 and legacy OSS to enable autonomic management functionality + +NOTE 4 – Autonomic management should coexist with the other management functionality. It is a supporting functionality of the other management functionality. + +## **8 Functional requirements for AMC** + +Autonomic management and control of IMT-2020 network architecture is required to meet the following functional requirements: + +- auto-configuration; +- auto-optimization; +- auto-monitoring; +- auto-diagnose; +- auto-healing; +- auto-protection; +- interworking with the management functionality of emerging complementary networking technologies such as SDN, NFV and cloud. + +NOTE – These functional requirements can be applied in one or multiple of the following entities: user devices, access, edge and core network for IMT-2020 network and services. + +- 1) Auto-configuration functional requirements + - FR-1-1 (M): support of auto-configuration of virtual network functions. +- 2) Auto-optimization functional requirements + - FR-2-1 (M): support of network auto-optimization in order to adapt and tune their own performance parameters to make accurate decisions with IMT-2020 network and service contexts. + - FR-2-2 (R): support of SLA guarantee with regard to auto-provisioning and configuration. +- 3) Auto-monitoring functional requirements + - FR-3-1 (M): support of auto-monitoring of network devices including virtual devices of its own traffic load and/or traffic type parameters (e.g., available bandwidth, packet loss, QoS) in order to ensure a reliable and efficient network. +- 4) Auto-diagnose functional requirements + - FR-4-1 (M): support of auto-diagnose of the known faults (e.g., traffic affected faults or non-traffic affected faults). +- 5) Auto-healing functional requirements + - FR-5-1 (M): support of auto-healing, for example, based on auto-location and auto-correction of the root cause of known failures. + +NOTE – Since the target failure in this requirement is known in the past, auto-location and auto-correction of the same types of failure can be supported. Auto-healing is the overall process to remedy such known failures based on these two functionalities (i.e., auto-location and correction). + +- 6) Auto-protection functional requirements + - FR-6-1 (R): support of auto-protection of IMT-2020 network including virtual ones from malicious attacks and unauthorized access. +- 7) Interworking with the management functionality of IMT-2020 network requirements + - FR-7-1 (M): support of interface with the management functionality of IMT-2020 network. + - FR-7-2 (M): support of information model for the interface with the management functionality of an IMT-2020 network. + +## **9 Architectural framework for AMC** + +NOTE – A term "functional entity" in this Recommendation is equivalent to a term "functional element" in [ITU-T Y.3111]. + +![High-level AMC architecture for IMT-2020 network slice life-cycle management. The diagram shows a hierarchical structure with nested boxes. The outermost box is 'IMT-2020 slice life-cycle management and orchestration plane'. Inside it is 'IMT-2020 slice life-cycle management and orchestration'. Inside that is 'Slice life-cycle management customer care support' (labeled 'Su' on the left). Below this are two columns of functions: 'Slice capacity planning and optimization', 'Inter-slice orchestration', 'Slice security management', 'Slice resource monitoring and analytics', 'Autonomic slice life-cycle management decision' (shaded blue) on the left; and 'Slice provisioning', 'Slice fault management', 'Slice charging management', 'Slice resource repository', 'Knowledge information exchange repository' (shaded blue) on the right. At the bottom is 'External management entity support' (labeled 'Se' and 'Si' on the right).](d4af765160d04ecef538e5066006dc77_img.jpg) + +IMT-2020 slice life-cycle management and orchestration plane + +IMT-2020 slice life-cycle management and orchestration + +Su + +Slice life-cycle management customer care support + +Slice capacity planning and optimization + +Slice provisioning + +Inter-slice orchestration + +Slice fault management + +Slice security management + +Slice charging management + +Slice resource monitoring and analytics + +Slice resource repository + +Autonomic slice life-cycle management decision + +Knowledge information exchange repository + +External management entity support + +Se + +Si + +Y.3324(18)\_F01 + +High-level AMC architecture for IMT-2020 network slice life-cycle management. The diagram shows a hierarchical structure with nested boxes. The outermost box is 'IMT-2020 slice life-cycle management and orchestration plane'. Inside it is 'IMT-2020 slice life-cycle management and orchestration'. Inside that is 'Slice life-cycle management customer care support' (labeled 'Su' on the left). Below this are two columns of functions: 'Slice capacity planning and optimization', 'Inter-slice orchestration', 'Slice security management', 'Slice resource monitoring and analytics', 'Autonomic slice life-cycle management decision' (shaded blue) on the left; and 'Slice provisioning', 'Slice fault management', 'Slice charging management', 'Slice resource repository', 'Knowledge information exchange repository' (shaded blue) on the right. At the bottom is 'External management entity support' (labeled 'Se' and 'Si' on the right). + +**Figure 1 – High-level AMC architecture for IMT-2020 network slice life-cycle management** + +![Figure 2: High-level AMC architecture for IMT-2020 network slice instance management. The diagram shows a layered architecture. On the left, four main planes are stacked: IMT-2020 slice life-cycle management and orchestration, External management systems and other IMT-2020 slice instance management plane, IMT-2020 applications and service plane, IMT-2020 control plane, and IMT-2020 data plane. Below these is a Resources layer. On the right, the IMT-2020 slice instance management plane is shown, containing External relationship management, Applications and service plane management, Control plane management, and Data plane management. A vertical bar labeled 'Multi-plane management coordination' spans the management functions. Arrows labeled Si, Ie, Is, Ic, and Id connect the left planes to the right management functions. The ID 'Y.3324(18)_F02' is at the bottom right.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Figure 2: High-level AMC architecture for IMT-2020 network slice instance management. The diagram shows a layered architecture. On the left, four main planes are stacked: IMT-2020 slice life-cycle management and orchestration, External management systems and other IMT-2020 slice instance management plane, IMT-2020 applications and service plane, IMT-2020 control plane, and IMT-2020 data plane. Below these is a Resources layer. On the right, the IMT-2020 slice instance management plane is shown, containing External relationship management, Applications and service plane management, Control plane management, and Data plane management. A vertical bar labeled 'Multi-plane management coordination' spans the management functions. Arrows labeled Si, Ie, Is, Ic, and Id connect the left planes to the right management functions. The ID 'Y.3324(18)\_F02' is at the bottom right. + +**Figure 2 – High-level AMC architecture for IMT-2020 network slice instance management** + +The high-level architecture described in this Recommendation (see Figures 1 and 2) is augmented based on the high-level architecture of IMT-2020 network management provided in [ITU-T Y.3111]. AMC provides autonomic management and control capabilities for the virtual and physical resources of IMT-2020 networks. Both IMT-2020 network physical and virtual resources are managed and controlled by the IMT-2020 network slice life-cycle management and orchestration plane and IMT-2020 network slice instance management plane. Autonomic management and control capabilities are embedded in physical and virtual resources, control layer and applications and service layer in the form of the autonomic decision support functional entity (ADS-FE). Local AMC policy is stored in each ADS-FE but global AMC policy is stored and managed by AMC capabilities in the slice life-cycle management plane. It consists of the distributed knowledge information exchange repository functional entity and slice life-cycle management level ADS-FEs. ADS-FE has four different levels: protocol, functional, node and network level. The details on the capabilities of ADS-FEs are described in the functional architecture clause below. + +### 9.1 Functional entity overview + +The AMC functional entities introduced in this Recommendation are: + +- Data plane autonomic decision support functional entity (DPADS-FE) +DPADS-FE provides autonomic decision support capabilities for both physical and virtual data plane resource as follows: +The DPADS-FE provides autonomic capabilities within a physical node. It includes self-management capabilities of protocol and function levels. In general, examples of functions can be routing, forwarding and mobility management, etc. However, the functions that the DPADS-FE should autonomically manage (i.e., dynamic and adaptive configuration + +of the forwarding function's configurable parameters or managed entities) are forwarding and switching functions of a node (i.e., a network element (NE) or network function (NF)). + +It also provides autonomic capabilities within a virtual node or function. It can be similar to the physical node case except that it does not have a physical node associated with it. It also includes the self-management capabilities of protocol and function levels of a virtual node. Examples of functions can be firewall, intrusion detection and virtual EPC, etc. + +- Control plane autonomic decision support functional entity (CPADS-FE) +CPADS-FE provides autonomic capabilities within a control plane. It includes the self-management capabilities of control plane resources and functional entities. Examples of functions can be autonomic control orchestration and autonomic control entities management, etc. +- Application and service plane autonomic decision support functional entity (ASPADS-FE) +ASPADS-FE provides autonomic capabilities within an application and service plane. It includes the self-management capabilities of application and service plane resources and functional entities. Examples of functions can be autonomic application and service orchestration and autonomic application and service entities management, etc. +- Autonomic slice life-cycle management decision functional entity (ASLMD-FE) +ASLMD-FE provides autonomic capabilities for an overall network slice life-cycle management perspective, which is highest-level automaticity. It interacts with the DPADS-FE to realize network-wide self-management policy decisions. It conveys network slice life-cycle management level self-management policies into slice instance management planes and orchestrates their local self-management actions. It also interacts with the CPADS-FE to realize its autonomic control actions, the multi-layer management functions to exchange the management information required to make autonomic policy decisions, and the OSS/BSS to exchange management information to deal with the self-management of legacy networks. +- Knowledge information exchange repository functional entity (KIER-FE) +KIER-FE provides capabilities to store the network slice life-cycle management-wide self-management policy information in a distributed manner to deal with scalability of large volumes and performance of accessing distributed information repositories. + +### **9.2 Functional entity description** + +#### **9.2.1 Data plane autonomic decision support functional entity (DPADS-FE)** + +The DPADS-FE provides autonomic decision and operation capabilities within a physical and virtual node. The functions of the DPADS-FE include: + +- monitoring of the status of forwarding, switching and tunnelling related protocols and functions in a physical and virtual node; +- decision making of autonomic behaviours for protocols and functions in a physical and virtual node; +- provisioning of autonomic physical and virtual node-level behaviour such as autonomic routing, forwarding, mobility management, fault management and configuration management in a node; +- sending monitored information and decision-making policies to a local information repository. + +#### **9.2.2 Control plane autonomic decision support functional entity (CPADS-FE)** + +The CPADS-FE provides autonomic capabilities within a control plane. It includes the self-management capabilities of control plane resources and functional entities. The functions of the CPADS-FE include: + +- monitoring of the status of functions in a control plane; +- decision-making of autonomic behaviours for functions in a control plane; +- provisioning of autonomic controller behaviour such as autonomic control orchestration, autonomic control entities management agent in a control plane; +- sending monitored information and decision-making policies to a local information repository. + +#### **9.2.3 Application and service plane autonomic decision support functional entity (ASPADS-FE)** + +The ASPADS-FE provides autonomic capabilities within an application and service plane. It includes the self-management capabilities of application and service layer resources and functional entities. The functions of the ASPADS-FE include: + +- monitoring of the status of functions in an applications and service plane; +- decision making of autonomic behaviours for functions in an applications and service plane; +- provisioning of autonomic controller behaviour such as autonomic application and service orchestration, autonomic application and service entities management agent in an applications and service plane; +- sending monitored information and decision-making policies to a local information repository. + +#### **9.2.4 Autonomic slice life-cycle management decision functional entity (ASLMD-FE)** + +The ASLMD-FE provides autonomic capabilities for the overall network slice life-cycle management, which is highest-level automaticity. It interacts with DPADS-FEs and CPADS-FEs to realize network-wide self-management policy decisions. It conveys network slice life-cycle management-level self-management policies into distributed repositories and orchestrates their local self-management actions. It also interacts with the control layer to realize its autonomic control actions, the multi-layer management functions to exchange management information required to make autonomic policy decisions, and the OSS/BSS to exchange management information to deal with the self-management of legacy networks. The functions of the ASLMD-FE include: + +- monitoring of the status of the DPADS-FE and CPADS-FE; +- decision-making of autonomic behaviour of network slice life cycle management-level management functions; +- provisioning of autonomic network slice life cycle management-level behaviours and policies such as autonomic network slice life cycle configuration management, network slice life cycle fault management, network slice life cycle performance management, network slice life cycle security management and network slice life cycle accounting management; +- sending monitored information and decision-making policies to the KIER-FE. + +#### **9.2.5 Knowledge information exchange repository functional entity (KIER-FE)** + +The knowledge information exchange repository functional entity (KIER-FE) provides capabilities to store the network-wide slice life-cycle management self-management policy information in a distributed manner to deal with the scalability of large volumes and performance of accessing distributed repositories. The functions of the KIER-FE include: + +- storing the network-wide self-management policy information received from the DPADS-FE and ASLMD-FE in a distributed manner; +- providing API for querying the stored information; +- providing coordination of distributed repositories for consistency and reliability; +- managing the life cycle of the information in the repository. + +## 10 Reference points + +NOTE – [ITU-T M.3010] specifies management reference points among various management functional entities such as x, q, g, m, and f depending on the context that they are used. Two of them are applicable in this Recommendation: x and q. x is for an inter-operators system and q is for intra-operator system purposes. Although SG13 uses different naming conventions for reference points, Si and Se reference points may serve in the context of x or q and Is, Ic and Id reference points in the context of q. + +### 10.1 Reference point Si + +The Si reference point is required to enable request/response information needed for IMT-2020 network slice instance life-cycle management to be exchanged between the external management entity support functional element (EMES) in the management and orchestration plane of the IMT-2020 network slice life-cycle management (SLM) and the external relationship management functional component (ERM) in the management plane of a network slice instance (SI). + +This reference point is extended to support autonomic management of the overall network slice life cycle. The extension is described in this clause. + +The Si reference point may operate as an intra-domain and/or inter-domain reference point. + +#### 10.1.1 Functional requirements + +##### 10.1.1.1 Slice instance life-cycle management functional requirements + +The Si reference point provides the ability to make requests/responses between the EMES in the SLM and ERM in SI for: + +- network slice provisioning; +- network slice instance monitoring; +- network slice instance fault management; +- network slice instance charging management; +- network slice instance security management; +- inter-network slice instance orchestration; +- autonomic network slice life-cycle instance management; +- a status report of network slice provisioning, network slice instance performance, fault, charging and security events. + +##### 10.1.1.2 Slice instance life-cycle management session processing functional requirements + +To assure the reliability and performance of slice instance life-cycle management session operations across the Si reference point, the following capabilities are required: + +- **Overload control:** The Si reference point is required to support the capability on overload control for preventing the overflow of information messages exchanged between the EMES and ERM. +- **Synchronization and audit:** The Si reference point is required to support the capability on synchronization and audit of the network slice instance life-cycle management session status in support of recovery and operational information statistics and auditing. + +- **Session state maintenance:** The Si reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +#### 10.1.2 Information exchange requirements + +This clause provides brief descriptions of the information exchange requirements for the Si reference point: + +- **Request-response transactions:** The reference point is required to allow EMES to request a transaction to be performed by the ERM and get a response (that can be correlated with the request) in return and also vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: EMES and ERM. +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of an appropriate corresponding instance when requesting network slice instance life-cycle management functions. +- **Security:** The Si is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: an EMES is required to be able to communicate with multiple ERMs; 2) many-to-one mode: multiple ERM instances are required to be able to make requests to a given EMES. + +#### 10.1.3 Information components + +The information components exchanged across the Si reference point are categorized as follows: + +**Table 10-1 – Information components for reference point Si** + +| Information component | Description | +|------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Connection ID | Identifies a transport connection or path. A unique value for Connection ID is set by ERM in SI. Two types supported are IPv4 & IPv6 transport connection IDs. | +| Authentication Information | Authenticates the peers (i.e., EMES and ERM). | +| Reason Code | Specifies the reason associated with a particular connection ID or service ID. | +| Identity Identification | Specifies unique identification. It adopts only International Alphabet No.5 string format defined in the [ITU-T T.50]. Generally, it is a static IP address of EMES/ERM. When the ERCM/ERM adopts dynamic IP address, identity identification object can use domain name system (DNS) domain name. | +| Keep-Alive Timer | Specifies the maximum time interval over which an Si protocol transport channel message is recommended in order to be sent or received. | +| Data Consistency Information | Verifies the consistency of the Se protocol message. | +| SLM Service ID | Identifies an SLM service and a unique value should be set for each service by ERCM. | +| Service Profile | Describes a service profile generated by ERCM for a service request. | + +**Table 10-1 – Information components for reference point Si** + +| Information component | Description | +|---------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------| +| Connection Profile | Describes a connection that can be set up or has already been set up by ERM. | +| EventNotify | Allows ERM send notification to ERCM for event that may need ERCM take appropriate action. | +| Service Attribute Object | Describes the attributes associated with the service profile. It is a sub-object of the Service Profile Object. | +| Constraint Object | Describe the constraint imposed by a service. It is a sub-object of the Service Profile Object. | +| Connection Attribute Object | Describes the attributes associated with the transport connection. It is a sub-object of the Connection Profile Object. | +| Autonomic Management Profile | Describes overall network slice life-cycle autonomic management monitoring and provisioning policies. | +| Autonomic Management Attribute Object | Describes the attributes associated with overall network slice life-cycle autonomic management monitoring and provisioning policies. | + +### **10.2 Reference point Se** + +The Se reference point is required to enable request/response information needed for an IMT-2020 network slice instance communicating with external management entities to be exchanged between the external management entity support functional element (EMES) in the management and orchestration plane of the IMT-2020 network slice life-cycle management (SLM) and external management entities (MANO, OSS/BSS, etc.). + +This reference point is extended to support autonomic management of the overall network slice life cycle in relationship with external management entities. The extension is described in this clause. + +The Se reference point may operate as an inter-domain reference point. + +#### **10.2.1 Functional requirements** + +##### **10.2.1.1 Communication of a slice life-cycle management and orchestration plane with external management entities functional requirements** + +The Se reference point provides the ability to make requests/responses between the EMES in the SLM and external management entities for; + +- network slice management interworking and orchestration including autonomic management capabilities; +- a status report of interworking and orchestration requests including autonomic management capabilities. + +##### 10.2.1.2 Communication of a slice life-cycle management and orchestration plane with external management entities session processing functional requirements + +To assure the reliability and performance of communication of a slice life-cycle management and orchestration plane with external management entities session operations across Se reference point, the following capabilities are required: + +- **Overload control:** The Se reference point is required to support the capability on overload control for preventing the overflow of information messages exchanged between the EMES and external management entities. +- **Synchronization and audit:** The Se reference point is required to support the capability on synchronization and audit of the communication of a slice instance with the external management entities session status in support of recovery and operational information statistics and auditing. +- **Session state maintenance:** The Se reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +#### 10.2.2 Information exchange requirements + +This clause provides a brief description of the information exchange requirements for the Se reference point. + +- **Request-response transactions:** The reference point is required to allow the EMES to request a transaction to be performed by the external management entity and get a response (that can be correlated with the request) in return and vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: EMES and external management entities. +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of an appropriate corresponding instance when requesting communication of a slice instance with external management entities functions. +- **Security:** The Se is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: an EMES is required to be able to communicate with multiple external management entities; 2) many-to-one mode: multiple EMES are required to be able to make requests to a given external management entity. + +#### 10.2.3 Information components + +The information components exchanged across the Se reference point are categorized as follows: + +**Table 10-2 – Information components for reference point Se** + +| Information component | Description | +|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| User Identifier | A unique identifier for different instances of the IMT-2020 slice life-cycle management and orchestration plane within the same administrative domain of a single requester | +| Authentication Information | Authenticates the peers (i.e., IMT-2020 slice life-cycle management and orchestration plane and external management system). | + +**Table 10-2 – Information components for reference point Se** + +| Information component | Description | +|--------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Management Interworking Profile Identifier | A unique management interworking profile identifier required for an exchange of management information between EMES and external management entity. | +| Management Interworking Profile | Describes management interworking profile information required for an exchange of management information including autonomic management information between EMES and external management entity. | +| EventNotify | Allows IMT-20202 management plane to send notification to the external management entities for an event that may need external management entities to take appropriate actions. | + +### **10.3 Reference point Is** + +The Is reference point is required to enable request/response information needed for an IMT-2020 network slice application and service plane management to be exchanged between the ASP-S of the application and service plane management (ASPM) in the SI and application and service plane management support (ASPM-S) of the IMT-2020 applications and service plane (IASP) in the SI. + +This reference point is extended to support autonomic management of the network slice instance application and service plane. The extension is described in this clause. + +The Is reference point may operate as an intra-domain and/or inter-domain reference point. + +#### **10.3.1 Functional requirements** + +##### **10.3.1.1 Network slice application and service plane management functional requirements** + +The Is reference point provides the ability to make requests/responses between the ASP-S in the ASPM and the ASPM-S in the IASP for; + +- network slice application and service plane management including autonomic management capabilities; +- a status report of slice application and service plane management actions including autonomic management actions. + +##### **10.3.1.2 Network slice application and service plane management session processing functional requirements** + +To assure the reliability and performance of network slice application and service plane management session operations across the Is reference point, the following capabilities are required: + +- **Overload control:** The Is reference point is required to support the capability on overload control for preventing the overflow of information messages exchanged between the ASP-S in the ASPM and the ASPM-S in the IASP. +- **Synchronization and audit:** The Is reference point is required to support the on synchronization and audit of the network slice application and service plane management session status in support of recovery and operational information statistics and auditing. +- **Session state maintenance:** The Is reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +#### **10.3.2 Information exchange requirements** + +This clause provides a brief description of the information exchange requirements for the Is reference point. + +- **Request-response transactions:** The reference point is required to allow the ASP-S in the ASPM to request a transaction to be performed by the ASPM-S in the IASP and get a response (that can be correlated with the request) in return and vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: ASP-S and ASPM-S. +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of the appropriate corresponding instance when requesting network slice application and service plane management functions. +- **Security:** The Is is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: an ASP-S is required to be able to communicate with multiple ASPM-S; 2) many-to-one mode: multiple ASP-S are required to be able to make requests to a given ASPM-S in the IASP. + +#### 10.3.3 Information components + +The information components exchanged across the Is reference point are categorized as follows: + +**Table 10-3 – Information components for reference point Is** + +| Information component | Description | +|-----------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| User Identifier | A unique identifier for different instances of the application and service plane management (ASPM) within the same administrative domain of a single requester | +| Management Operation Request Session Identifier | An identifier for the session for which the management operation requests are sent to the application and service plane. The identifier has to be unique within the same application and service plane instance. | +| Globally Unique IP Address Information (Optional) | A set of IP address information used for locating the network in which the ASP-S is requesting the management operations. | +| Unique IP address | The IP address for identifying ASP-S | +| Address Realm | The addressing domain of the IP address (e.g., Subnet prefix or VPN ID) | +| Management Operation Requester Identifier | An identifier for the requester (i.e., the owner of ASP-S in ASPM) of application and service plane management service. It is unique over the requesters sending requests for the ASPM. | +| Management Operation Request Priority (Optional) | The indication of the importance of a management operation request. It can be used for processing simultaneous requests by application and service plane management based on the priority level. | +| ASP Autonomic Management Operation Profile | Describes the policies related to autonomic management monitoring and provisioning of network slice instance application and service plane. | +| ASP Autonomic Management Operation Attribute Object | Describes attributes associated with the policies of the autonomic management monitoring and provisioning of the network slice instance application and service plane. | + +**Table 10-3 – Information components for reference point Is** + +| Information component | Description | +|-------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Management Operation Request Result | Indication of the result for a management operation request (includes both synchronous and scheduled request result) | +| EventNotify | Allows application and service plane to send notifications to ASP-S for events that may need to take appropriate action for requested management operations. | + +### 10.4 Reference point Ic + +The Ic reference point is required to enable request/response information needed for an IMT-2020 network slice control plane management to be exchanged between the CP-S of Control Plane Management (CPM) in the SI and Control Plane Management Support (CPM-S) of the IMT-2020 Control Plane (ICP) in the SI. + +This reference point is extended to support autonomic management of the network slice instance control plane. The extension is described in this clause. + +The Ic reference point may operate as an intra-domain and/or inter-domain reference point. + +#### 10.4.1 Functional requirements + +##### 10.4.1.1 Network slice control plane management functional requirements + +The Ic reference point provides the ability to make requests/responses between the CP-S in the CPM and the control plane management support (CPM-S) in the ICP for: + +- network slice control plane management including autonomic management capabilities; +- a status report of slice control plane management actions including autonomic management actions. + +##### 10.4.1.2 Network slice control plane management session processing functional requirements + +To assure the reliability and performance of network slice control plane management session operations across the Ic reference point, the following capabilities are required: + +- **Overload control:** The Ic reference point is required to support the on overload control for preventing the overflow of information messages exchanged between the CP-S and the CPM-S in the ICP. +- **Synchronization and audit:** The Is reference point is required to support the capability on synchronization and audit of the network slice control plane management session status in support of recovery and operational information statistics and auditing. +- **Session state maintenance:** The Ic reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +#### 10.4.2 Information exchange requirements + +This clause provides a brief description of the information exchange requirements for the Ic reference point. + +- **Request-response transactions:** The reference point is required to allow the CP-S to request a transaction to be performed by the CPM-S in the ICP and get a response (that can be correlated with the request) in return and vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: CP-S and CPM-S. + +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of an appropriate corresponding instance when requesting network slice control plane management functions. +- **Security:** The Ic is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: a CP-S is required to be able to communicate with multiple CPM-S in the ICP; 2) many-to-one mode: multiple CP-S are required to be able to make requests to a given CPM-S in the ICP. + +#### 10.4.3 Information components + +The information components exchanged across the Ic reference point are categorized as follows: + +**Table 10-4 – Information components for reference point Ic** + +| Information component | Description | +|----------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| User Identifier | A unique identifier for different instances of the control plane management (CPM) within the same administrative domain of a single requester | +| Management Operation Request Session Identifier | An identifier for the session for which the management operation requests are sent to the control plane. The identifier has to be unique within the same control plane instance. | +| Globally Unique IP Address Information (Optional) | A set of IP address information used for locating the network in which the CP-S is requesting the management operations | +| Unique IP address | The IP address for identifying CP-S | +| Address Realm | The addressing domain of the IP address (e.g., Subnet prefix or VPN ID) | +| Management Operation Requester Identifier | An identifier for the requester (i.e., the owner of CP-S in CPM) of control plane management service. It is unique over the requesters sending requests for the CPM. | +| Management Operation Request Priority (Optional) | The indication of the importance of a management operation request. It can be used for processing simultaneous requests by control plane management based on the priority level. | +| CP Autonomic Management Operation Profile | Describes the policies related to autonomic management monitoring and provisioning of network slice instance control plane. | +| CP Autonomic Management Operation Attribute Object | Describes attributes associated with the policies of the autonomic management monitoring and provisioning of the network slice instance control plane. | +| Management Operation Request Result | Indication of the result for a management operation request (includes both synchronous and scheduled request result) | +| EventNotify | Allows control plane to send notifications to the CP-S for events that may need to take appropriate action for requested management operations. | + +### 10.5 Reference point Id + +The Id reference point is required to enable request/response information needed for an IMT-2020 network slice physical and virtual data plane management to be exchanged between the DP-S of the + +data plane management (DPM) in the SI and data plane management support (DPM-S) of the IMT-2020 data plane (IDP) in the SI. + +This reference point is extended to support autonomic management of the network slice instance physical and virtual data planes. The extension is described in this clause. + +The Id reference point may operate as an intra-domain and/or inter-domain reference point. + +#### 10.5.1 Functional requirements + +##### 10.5.1.1 Network slice data plane management functional requirements + +The Id reference point provides the ability to make requests/responses between the DP-S in the DPM and the DPM-S for a status report of slice data plane management actions including autonomic management actions. + +##### 10.5.1.2 Network slice data plane management session processing functional requirements + +To assure the reliability and performance of network slice data plane management session operations across the Id reference point, the following capabilities are required: + +- **Overload control:** The Id reference point is required to support the capability on overload control for preventing the overflow of information messages exchanged between the DP-S and DPM-S of the IDP in the SI. +- **Synchronization and audit:** The Id reference point is required to support the capability on synchronization and audit of the network slice data plane management session status in support of recovery and operational information statistics and auditing. +- **Session state maintenance:** The Id reference point is required to support the capability on maintaining the session state using either soft-state or hard-state approaches. + +#### 10.5.2 Information exchange requirements + +This clause provides a brief description of the information exchange requirements for the Id reference point. + +- **Request-response transactions:** The reference point is required to allow the DP-S to request a transaction to be performed by the DPM-S in the IDP and get a response (that can be correlated with the request) in return and also vice versa. +- **Notifications:** The reference point is required to support the notification of asynchronous events between two entities: DP-S and DPM-S. +- **Reliable delivery:** The reference point is required to provide reliable delivery of messages. +- **Capabilities:** Each entity is required to be able to determine the capabilities of an appropriate corresponding instance when requesting network slice data plane management functions. +- **Security:** The Id is required to support the authentication between two entities so that requests from unauthenticated sources will not be performed and each entity can verify the source of notifications sent. +- **One-to-many/many-to-one:** Two modes are required to be supported: 1) one-to-many mode: a DP-S is required to be able to communicate with multiple DPM-S in the IDP; 2) many-to-one mode: multiple DP-S are required to be able to make requests to a given DPM-S in the IDP. + +#### 10.5.3 Information components + +The information components exchanged across the Id reference point are categorized as follows: + +**Table 10-5 – Information components for reference point Id** + +| Information component | Description | +|----------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| User Identifier | A unique identifier for different instances of the data plane management (DPM) within the same administrative domain of a single requester | +| Management Operation Request Session Identifier | An identifier for the session for which the management operation requests are sent to the data plane. The identifier has to be unique within the same data plane instance. | +| Globally Unique IP Address Information (Optional) | A set of IP address information used for locating the network in which the DP-S is requesting the management operations | +| Unique IP address | The IP address for identifying DP-S | +| Address Realm | The addressing domain of the IP address (e.g., Subnet prefix or VPN ID) | +| Management Operation Requester Identifier | An identifier for the requester (i.e., the owner of DP-S in DPM) of data plane management service. It is unique over the requesters sending requests for the DPM. | +| Management Operation Request Priority (Optional) | The indication of the importance of a management operation request. It can be used for processing simultaneous requests by data plane management based on the priority level. | +| DP Autonomic Management Operation Profile | Describes the policies related to autonomic management monitoring and provisioning of network slice instance data plane. | +| DP Autonomic Management Operation Attribute Object | Describes attributes associated with the policies of the autonomic management monitoring and provisioning of the network slice instance data plane. | +| Management Operation Request Result | Indication of the result for a management operation request (includes both synchronous and scheduled request result) | +| EventNotify | Allows data plane to send notifications to DP-S for events that may need to take appropriate action for requested management operations. | + +## 11 Security consideration + +This clause describes security threats and potential attacks and defines security requirements for autonomic management and control of IMT-2020 networks (AMC). The security requirements are based on [ITU-T Y.2701]. These considerations are relevant only insofar as the reference points in AMC are concerned. + +The type of generic threats and their applicability to AMC are as follows: + +- **Destruction of information:** This threat refers to the deletion of information pertaining to AMC operations, such as transaction state information, resource usage information, accounting information, topology information or policy rules. An example of potential consequences is that when the information about the existence (or availability) of a particular resource has been destroyed, the resource effectively becomes unavailable. +- **Corruption or modification of information:** This threat has three aspects: + +- 1) corruption of the recorded resource information (or policy rules) so that such data is rendered meaningless or unusable; + - 2) undetected modification of the recorded resource information or policy rules so that such data appears to be meaningful. This can result in theft of service, degradation of service, loss of service, or fraudulent accounting, or any combination of the above; + - 3) corruption or modification of a signalling message, with the same results as the above. +- **Theft, removal or loss of information:** This threat refers to the theft or loss of recorded resource information. It may result in 1) violation of a subscriber's privacy (in case of theft of subscriber information), 2) theft of service and 3) degradation, interruption and, ultimately, unavailability of service (in case of the loss of information). + - **Disclosure of information:** This can take place because of the interception of the signalling messages or because of granting access to an illegitimate user. The consequence is the same as in the case of theft, removal or loss of information. + - **Interruption of services:** This threat is typically realized through a denial of service (DoS) attack. Such attacks can make the AMC partially or totally unavailable. + +The major security requirements for AMC are: + +- 1) taking the above security threats into account and supporting measures to counter relevant attacks; +- 2) protection of the signalling exchange in support of resource requests and responses; +- 3) protection of the information contained in all AMC entities involved in this exchange; +- 4) ensuring the availability and overall expected performance of the AMC; +- 5) prevention of illegitimate access to the AMC. + +## **Appendix I** + +## **Use case of realizing IMT-2020 AMC architecture through GANA reference model** + +(This appendix does not form an integral part of this Recommendation.) + +### **I.1 Introduction** + +This appendix describes a realization use case of IMT-2020 AMC architecture through the ETSI Generic Autonomic Network Architecture (GANA) reference model. + +Figure I.1 below is a snapshot of the ETSI GANA model. In the ETSI GANA model, the component (software logic) that drives autonomics at a particular level of abstraction for self-management functionality is called a decision-making element (DE) and is described in depth in [b-ETSI TS 103 195-2]. The question of what types of DEs should be introduced in certain network elements (NEs), depending on the managed entities (MEs) that the NEs support and also points of their attachment to the network topology, and in the outer area of management and control systems, is answered by a process called GANA instantiation onto target implementation-oriented reference network architectures and their associated management and control architectures (e.g., architecture scenarios in which the GANA model has been instantiated including [b-ETSI TR 103 404] and [b-ETSI TR 103 473]). [b-ETSI WP 16] and [b-ETSI TS 103 195-2] provide an implementation guide for making GANA instantiation onto particular target implementation-oriented reference network architectures and their associated management and control architectures. + +![Figure I.1: Snapshot of the GANA reference model and autonomic cognitive algorithms for artificial intelligence (AI). The diagram illustrates a hierarchical architecture for network management. At the top, a 'Network governance interface' connects an 'Administrator/network operator' to a 'Knowledge plane'. The 'Knowledge plane' contains 'ONIX' and 'MBTS' components, which manage 'Network level routing management DE', 'Network level fault management DE', and 'Other network level DEs e.g., network level QoS management DE'. These are part of 'Slow control-loops'. Below the knowledge plane, two 'NE (router, terminal, switch, gateway, base-station, etc.)' blocks are shown. Each NE contains a 'Node_Main_DE', 'Function-level DE, e.g., QoS management DE', and 'Managed entities (MEs) (partitioned and assigned to specific upper DEs)'. These are part of 'Fast control-loops'. The NEs are connected via 'NoDe', 'FuDe', and 'DeMe' interfaces. A 'Vertical reference point: NEMe' and an 'Outer control loop' are also indicated. On the right, a 'Hierarchy of decision elements (DEs)' is shown, ranging from 'Network level DEs (GANA level-4)' to 'Protocol level DEs (GANA level-1)'. Callouts on the right describe the complexity of AI algorithms: 'The complex cognitive algorithms for AI (e.g., machine learning (ML), deep learning (DL), ...)' for Network level DEs, 'Moderate cognitive algorithms for AI (e.g., machine learning (ML), deep learning (DL), ...)' for Node level DEs, 'Less complex cognitive algorithms for AI' for Function level DEs, and 'Zero to much less complex cognitive algorithms for AI' for Protocol level DEs. A 'Horizontal reference point' is also shown at the bottom.](8c348bf9c2c81b018017ae1d19506a9a_img.jpg) + +**Figure I.1 – Snapshot of the GANA reference model and autonomic cognitive algorithms for artificial intelligence (AI) (Source [b-ETSI PoC Demo-2])** + +Figure I.1: Snapshot of the GANA reference model and autonomic cognitive algorithms for artificial intelligence (AI). The diagram illustrates a hierarchical architecture for network management. At the top, a 'Network governance interface' connects an 'Administrator/network operator' to a 'Knowledge plane'. The 'Knowledge plane' contains 'ONIX' and 'MBTS' components, which manage 'Network level routing management DE', 'Network level fault management DE', and 'Other network level DEs e.g., network level QoS management DE'. These are part of 'Slow control-loops'. Below the knowledge plane, two 'NE (router, terminal, switch, gateway, base-station, etc.)' blocks are shown. Each NE contains a 'Node\_Main\_DE', 'Function-level DE, e.g., QoS management DE', and 'Managed entities (MEs) (partitioned and assigned to specific upper DEs)'. These are part of 'Fast control-loops'. The NEs are connected via 'NoDe', 'FuDe', and 'DeMe' interfaces. A 'Vertical reference point: NEMe' and an 'Outer control loop' are also indicated. On the right, a 'Hierarchy of decision elements (DEs)' is shown, ranging from 'Network level DEs (GANA level-4)' to 'Protocol level DEs (GANA level-1)'. Callouts on the right describe the complexity of AI algorithms: 'The complex cognitive algorithms for AI (e.g., machine learning (ML), deep learning (DL), ...)' for Network level DEs, 'Moderate cognitive algorithms for AI (e.g., machine learning (ML), deep learning (DL), ...)' for Node level DEs, 'Less complex cognitive algorithms for AI' for Function level DEs, and 'Zero to much less complex cognitive algorithms for AI' for Protocol level DEs. A 'Horizontal reference point' is also shown at the bottom. + +As part of the network automation trend, AMC is now being addressed by a number of standards development organizations and fora. For example, the AMC concepts for autonomic service assurance and use cases presented in the recently published TeleManagement Forum (TMF)' ODA Functional Architecture Framework (Intelligence Management Function Block) [b-TM Forum ODA] are also aligned to the ETSI GANA model's principles. Within the content of 5G, ETSI TC INT/AFI WG is now running a 5G PoC (Proof-of-Concept) on "5G Network Slices Creation, Autonomic & Cognitive Management and E2E Orchestration; with Closed-Loop (Autonomic) Service Assurance for Network Slices; using the Smart Insurance IoT Use Case" [b-ETSI PoC Demo-2], [b-ETSI PoC Smart insurance], with the aim of operationalizing the GANA framework towards industrial deployments, as the 5G PoC is centred on the role of the GANA components in autonomic management and control (AMC) operations in 5G. Readers are encouraged to follow the developments, progression and the results (demo reports (e.g., Demo-2 Report) and more detailed material in form of slides) of the ETSI 5G PoC that are accessible at [b-ETSI PoC Smart insurance], and there are plans for more demos as part of Demo series planned for the overall PoC in the timeframe 2018/2019 and beyond). + +### I.2 Realization use case of IMT-2020 AMC through ETSI GANA reference model + +Figure I.2 serves to illustrate how the high-level AMC architecture for IMT-2020 network slice life-cycle management can be integrated with the GANA functional blocks for AMC. + +![Figure I.2: Illustration of how high-level AMC architecture for IMT-2020 network slice life-cycle management can be integrated with GANA functional blocks for AMC. The diagram shows the IMT-2020 slice life-cycle management and orchestration plane at the top, which interacts with the GANA knowledge plane (KP) below. The KP contains several network-level DEs (Decision Elements) and an MBTS function, all connected to management and control systems and the network infrastructure segment.](dcb5711d118ae6753b0e12f86eda37db_img.jpg) + +The diagram illustrates the integration of IMT-2020 network slice life-cycle management with the GANA functional blocks for AMC. It is structured into three main layers: + +- IMT-2020 slice life-cycle management and orchestration plane:** This top layer contains a central box for "IMT-2020 slice life-cycle management and orchestration" which includes: + - Slice life-cycle management customer care support (labeled 'Su') + - Slice capacity planning and optimization + - Inter-slice orchestration + - Slice security management + - Slice resource monitoring and analytics + - Autonomic slice life-cycle management decision + - Slice provisioning + - Slice fault management + - Slice charging management + - Slice resource repository + - Knowledge information exchange repository + - External management entity support (labeled 'Se' and 'Si') +- GANA knowledge plane (KP):** This middle layer contains: + - Network-level AutoConfiguration\_ & AutoDiscovery-DE** (as main coordinator of DEs' actions that require coordination/synchronization) + - Network-level mobility-management-DE** + - Other network-level-DE e.g., network-level fault-management-DE** + - Network-level QoS\_ & QoE-management-DE** + - Network-level forwarding & data plane-management-DE** + - MBTS function (Software library)** + - Extended knowledge base (KB)** (containing ONIX) + Arrows indicate interactions between these DEs. A red dashed arrow from the QoS\_ & QoE-management-DE and the forwarding & data plane-management-DE points to the MBTS function, labeled "Collaboration/coordination of the 2 DEs for dynamic flow programming". +- Management and control systems (e.g., SDN controller – possibly with own MBTS library):** This layer receives input from the MBTS function and the network-level DEs. +- Network infrastructure segment/domain under the KP's control:** The bottom layer, which is controlled by the management and control systems. + +**Annotations:** + +- KP may program NEs (network elements)/ NFs (network functions) through such systems** +- Node and function level DEs (GANA levels 2 and 3) for lower level autonomies using the less complex cognitive algorithms needed to drive "fast control loops" for local reaction within the NEs/NFs** + +Y.3324(18)\_F1.2 + +Figure I.2: Illustration of how high-level AMC architecture for IMT-2020 network slice life-cycle management can be integrated with GANA functional blocks for AMC. The diagram shows the IMT-2020 slice life-cycle management and orchestration plane at the top, which interacts with the GANA knowledge plane (KP) below. The KP contains several network-level DEs (Decision Elements) and an MBTS function, all connected to management and control systems and the network infrastructure segment. + +Figure I.2 – Illustration of how high-level AMC architecture for IMT-2020 network slice life-cycle management can be integrated with GANA functional blocks + +The key GANA functional blocks of focus in these mappings are the GANA knowledge plane (KP) so-called network-level-DEs, the overlay network for information exchange (ONIX) is a distributed scalable overlay system of federated information servers), and model-based translation service (MBTS) software library, which is an intermediation layer between the GANA KP DEs and the NEs (physical or virtual). [b-ETSI WP 16] and [b-ETSI TS 103 195-2] define and describe the roles of these GANA functional blocks. [b-ETSI TS 103 195-2] defines various types of KP DEs and other lower level DEs that can be implemented at specific GANA abstraction levels for self-management functionality, accordingly. + +NOTE – A knowledge plane instance's scope of responsibility can be a network segment such as an access network or fronthaul/backhaul or a domain. + +The "Autonomic Slice Lifecycle Management Decision" block in the high-level AMC architecture for IMT-2020 network slice life-cycle management may need to interface with the GANA knowledge plane (KP) or be part of the KP's processes, in cases where the KP is required to participate in such "Autonomic Slice Lifecycle Management Decision". The "Knowledge Information Exchange Repository" can be viewed as one of ONIX's federated information servers. + +The slice life-cycle management blocks in the high-level AMC architecture for IMT-2020 network slice life-cycle management, e.g., the slice security management, slice fault-management, can be implemented as integral management and control intelligence of a GANA knowledge plane and the federation of multiple knowledge planes to cover multiple network segments/domains. This is because, as being demonstrated in the ETSI 5G PoC on "5G Network Slices Creation, Autonomic & Cognitive Management and E2E Orchestration; with Closed-Loop (Autonomic) Service Assurance for Network Slices; using the Smart Insurance IoT Use Case"[[b-ETSI PoC Demo-2], [b-ETSI PoC Smart insurance], GANA knowledge planes for specific network segments/domains and also the end-to-end federations of multiple GANA knowledge planes for various network segments/domains, should play roles in autonomic and cognitive management and E2E orchestration of slices and in E2E autonomic service assurance for network slices. + +![Figure I.3: Illustrating the types of GANA DEs that can provide for autonomic decision support in applications and service plane management, control plane management and data plane management. The diagram shows the GANA knowledge plane (KP) on the left, containing various network-level DEs. On the right, it shows the IMT-2020 slice instance management plane and the IMT-2020 applications and service plane, control plane, and data plane. Arrows indicate interactions between these components.](744acfe8d4e31bcf03f95714c2f6e567_img.jpg) + +The diagram illustrates the types of GANA DEs that can provide for autonomic decision support in applications and service plane management, control plane management, and data plane management. It is divided into three main sections: the GANA knowledge plane (KP) on the left, the IMT-2020 slice instance management plane on the right, and the IMT-2020 applications and service plane, control plane, and data plane in the center. + +**GANA knowledge plane (KP):** This section contains several network-level DEs: + +- Network-level AutoConfiguration & AutoDiscovery-DE** (as main coordinator of DEs' actions that require coordination/synchronization) +- Network-level service and applications management-DE** +- Network-level mobility-management-DE** +- Network-level QoS & QoE-management-DE** +- Network-level routing management-DE** +- Network-level forwarding & data plane-management-DE** +- Network-level monitoring-management-DE** +- Other network-level-DE** e.g., network-level fault-management-DE; network-level-security-management-DE, etc. + +**IMT-2020 slice instance management plane:** This plane includes: + +- IMT-2020 slice life-cycle management and orchestration +- External management systems and other IMT-2020 slice instance management plane +- External relationship management +- Applications and service plane management +- Control plane management +- Data plane management +- Multi-plane management coordination + +**IMT-2020 applications and service plane, control plane, and data plane:** These planes are supported by various DEs: + +- IMT-2020 applications and service plane:** Includes Applications and service plane functions, ASP autonomic decision support, and Applications and service plane management support. +- IMT-2020 control plane:** Includes Control plane functions, CP autonomic decision support, and Control plane management support. +- IMT-2020 data plane:** Includes Data plane functions, DP autonomic decision support, and Data plane management support. + +**Resources:** A box at the bottom indicates the resources available for these planes. + +Arrows indicate interactions between the GANA KP DEs and the IMT-2020 planes. For example, the Network-level AutoConfiguration & AutoDiscovery-DE interacts with the IMT-2020 slice life-cycle management and orchestration. The Network-level service and applications management-DE interacts with the IMT-2020 applications and service plane. The Network-level mobility-management-DE interacts with the IMT-2020 control plane. The Network-level QoS & QoE-management-DE interacts with the IMT-2020 data plane. The Network-level routing management-DE interacts with the IMT-2020 control plane. The Network-level forwarding & data plane-management-DE interacts with the IMT-2020 data plane. The Network-level monitoring-management-DE interacts with the IMT-2020 data plane. + +Figure I.3: Illustrating the types of GANA DEs that can provide for autonomic decision support in applications and service plane management, control plane management and data plane management. The diagram shows the GANA knowledge plane (KP) on the left, containing various network-level DEs. On the right, it shows the IMT-2020 slice instance management plane and the IMT-2020 applications and service plane, control plane, and data plane. Arrows indicate interactions between these components. + +**Figure I.3 – Illustrating the types of GANA DEs that can provide for autonomic decision support in applications and service plane management, control plane management and data plane management** + +Figure I.3 serves to point to examples of DEs that can provide for decision support required for each of the planes indicated. Those KP DEs are complemented by their "mirror-DEs" implemented at lower level autonomies layer (i.e., within NEs or NFs and the KP DEs shall policy-control their lower level "mirror-DEs" introduced in NEs/NFs. For example, a Network-Level-Security-Management-DE is "mirrored" by a Node-Level Security Management-DE. + +NOTE – External management systems (in the AMC architecture for IMT-2020) include knowledge planes for each network segment or domain and their interworking with other management and control systems such as OSS/BSS, SDN controllers, orchestrators, etc. + +A complete mapping of which DEs could provide for decision support can be derived from ETS [b-ETSI TS 103 195-2] and this applies to both cases of logically centralized control planes, as well as for distributed control planes implemented within NEs i.e., the traditional case of control planes that are coupled with the data plane within the NEs. + +## Bibliography + +- [b-ETSI PoC Demo-2] ETSI (2018), *5G Network Slicing PoC Demo-2 Datasheet of the ETSI 5G PoC on 5G Network Slices Creation, Autonomic & Cognitive Management & E2E Orchestration with Closed-Loop (Autonomic) Service Assurance for the IoT (Smart Insurance). Use Case:* +<[https://intwiki.etsi.org/images/ETSI\\_5G\\_PoC\\_Implementation\\_Case\\_for\\_GANA\\_Conformant\\_Autonomic\\_Service\\_Assurance\\_Demo-2\\_Paris\\_February2018\\_V0.06\\_datasheet.pdf](https://intwiki.etsi.org/images/ETSI_5G_PoC_Implementation_Case_for_GANA_Conformant_Autonomic_Service_Assurance_Demo-2_Paris_February2018_V0.06_datasheet.pdf)> +- [b-ETSI PoC Smart insurance] ETSI *5G PoC on 5G Network Slices Creation, Autonomic & Cognitive Management & E2E Orchestration with Closed-Loop (Autonomic) Service Assurance for the IoT (Smart Insurance). Use Case:* <[https://ntechwiki.etsi.org/index.php?title=Accepted\\_PoC\\_proposals](https://ntechwiki.etsi.org/index.php?title=Accepted_PoC_proposals)> +- [b-ETSI TR 103 404] ETSI TR 103 404 v.1.1.1 (2016), *Network Technologies (NTECH); Autonomic network engineering for the self-managing Future Internet (AFI); Autonomicity and Self-Management in the Backhaul and Core network parts of the 3GPP Architecture.* +- [b-ETSI TR 103 473] ETSI TR 103 473 V1.1.2 (2018), *Evolution of management towards Autonomic Future Internet (AFI); Autonomicity and Self-Management in the Broadband Forum (BBF) Architectures.* +- [b-ETSI TS 103 195-2] ETSI TS 103 195-2 (2018), *Autonomic network engineering for the self-managing Future Internet (AFI); Generic Autonomic Network Architecture; Part 2: An Architectural Reference Model for Autonomic Networking, Cognitive Networking and Self-Management.* +<[https://portal.etsi.org/webapp/WorkProgram/Report\\_WorkItem.asp?WKI\\_ID=50970](https://portal.etsi.org/webapp/WorkProgram/Report_WorkItem.asp?WKI_ID=50970)> +- [b-ETSI WP 16] ETSI White Paper no. 16 (2016), *The Generic Autonomic Networking Architecture Reference Model for Autonomic Networking, Cognitive Networking and Self-Management of Networks and Services.* +<[http://www.etsi.org/images/files/ETSIWhitePapers/etsi\\_wp16\\_gana\\_Ed1\\_20161011.pdf](http://www.etsi.org/images/files/ETSIWhitePapers/etsi_wp16_gana_Ed1_20161011.pdf)> +- [b-TM Forum ODA] TM Forum's Open Digital Architecture (ODA): *IG1167 ODA Functional Architecture Vision R18.0.0 (Intelligence Management Function Block).* + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3501-201606-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3501-201606-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..221e5a3417c76fdb7499d951510548a680d553a3 --- /dev/null +++ b/marked/Y/T-REC-Y.3501-201606-I_PDF-E/raw.md @@ -0,0 +1,817 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.3501 + +(06/2016) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Cloud Computing + +# --- Cloud computing – Framework and high-level requirements + +Recommendation ITU-T Y.3501 + +![ITU logo: A blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'.](84a1d09fb489061482111515543b60dc_img.jpg) + +The logo of the International Telecommunication Union (ITU) is located in the bottom right corner. It features a blue globe with two red lightning bolts striking it. To the right of the globe, the text 'ITU' is written in a large, bold, blue font, and below it, the words 'International Telecommunication Union' are written in a smaller, blue font. + +ITU logo: A blue globe with red lightning bolts and the text 'ITU International Telecommunication Union'. + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3501 + +# Cloud computing – Framework and high-level requirements + +## Summary + +Recommendation ITU-T Y.3501 provides a cloud computing framework by identifying high-level requirements for cloud computing. It specifies the requirements which are derived from an analysis of several use cases. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3501 | 2013-05-22 | 13 | 11.1002/1000/11917 | +| 2.0 | ITU-T Y.3501 | 2016-06-13 | 13 | 11.1002/1000/12880 | + +## Keywords + +Cloud computing, cloud service, framework, requirement, use case. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2016 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|------------------------------------------------------------------------|-------------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 3 | +| 4 | Abbreviations and acronyms ..... | 4 | +| 5 | Conventions ..... | 4 | +| 6 | General requirements for cloud computing ..... | 5 | +| 7 | General requirements for IaaS ..... | 5 | +| 8 | General requirements for NaaS ..... | 6 | +| 9 | General requirements for DaaS ..... | 6 | +| 10 | General requirements for PaaS ..... | 7 | +| 11 | General requirements for CaaS..... | 7 | +| 12 | General requirements for BDaaS..... | 7 | +| 13 | General requirements for inter-cloud computing ..... | 8 | +| 14 | General requirements for end-to-end cloud resource management..... | 8 | +| 15 | General requirements for cloud infrastructure..... | 9 | +| 16 | General requirements for trusted cloud services ..... | 9 | +| 17 | Security considerations..... | 10 | +| | Appendix I – Use cases of cloud computing..... | 11 | +| | I.1 Generic use case ..... | 12 | +| | I.2 IaaS general use case ..... | 13 | +| | I.3 NaaS general use case ..... | 14 | +| | I.4 DaaS general use case ..... | 15 | +| | I.5 PaaS general use case ..... | 16 | +| | I.6 CaaS general use case..... | 17 | +| | I.7 BDaaS general use case..... | 19 | +| | I.8 Inter-cloud computing use case ..... | 19 | +| | I.9 End-to-end cloud resource management use case ..... | 21 | +| | I.10 Cloud infrastructure use case..... | 22 | +| | I.11 Trusted cloud service use case ..... | 23 | +| | Appendix II – Methodology and edition plan of this Recommendation..... | 24 | + + + +## Recommendation ITU-T Y.3501 + +# Cloud computing – Framework and high-level requirements + +## 1 Scope + +This Recommendation provides a cloud computing framework by identifying high-level requirements for cloud computing. The Recommendation addresses the general requirements and use cases for: + +- Cloud computing; +- Infrastructure as a service (IaaS), network as a service (NaaS), desktop as a service (DaaS), platform as a service (PaaS), communication as a service (CaaS) and big data as a service (BDaaS); +- Inter-cloud computing, end-to-end cloud computing management, trusted cloud service, and cloud infrastructure. + +This Recommendation addresses a set of use cases and related requirements which are included in Appendix I. Appendix II provides information on the methodology and edition plan of this Recommendation. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T X.1601] | Recommendation ITU-T X.1601 (2015), Security framework for cloud computing. | +| [ITU-T X.1631] | Recommendation ITU-T X.1631 (2015), Information technology – Security techniques – Code of practice for information security controls based on ISO/IEC 27002 for cloud services. | +| [ITU-T Y.3500] | Recommendation ITU-T Y.3500 (2014), Information technology – Cloud computing – Overview and vocabulary. | +| [ITU-T Y.3502] | Recommendation ITU-T Y.3502 (2014), Information technology – Cloud computing – Reference architecture. | +| [ITU-T Y.3503] | Recommendation ITU-T Y.3503 (2013), Requirements for desktop as a service. | +| [ITU-T Y.3510] | Recommendation ITU-T Y.3510 (2016), Cloud computing infrastructure requirements. | +| [ITU-T Y.3511] | Recommendation ITU-T Y.3511 (2014), Framework of inter-cloud computing. | +| [ITU-T Y.3512] | Recommendation ITU-T Y.3512 (2014), Cloud computing – Functional requirements of Network as a Service. | +| [ITU-T Y.3513] | Recommendation ITU-T Y.3513 (2014), Cloud computing – Functional requirements of Infrastructure as a Service. | + +- [ITU-T Y.3520] Recommendation ITU-T Y.3520 (2015), *Cloud computing framework for end to end resource management*. +- [ITU-T Y.3521] Recommendation ITU-T Y.3521/M.3070 (2016), *Overview of end-to-end cloud computing management*. +- [ITU-T Y.3600] Recommendation ITU-T Y.3600 (2015), *Big data – cloud computing based requirements and capabilities*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 big data** [ITU-T Y.3600]: A paradigm for enabling the collection, storage, management, analysis and visualization, potentially under real-time constraints, of extensive datasets with heterogeneous characteristics. + +NOTE – Examples of datasets characteristics include high-volume, high-velocity, high-variety, etc. + +**3.1.2 big data as a service (BDaaS)** [ITU-T Y.3600]: A cloud service category in which the capabilities provided to the cloud service customer are the ability to collect, store, analyse, visualize and manage data using big data. + +**3.1.3 cloud computing** [ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications, and storage equipment. + +**3.1.4 cloud service** [ITU-T Y.3500]: One or more capabilities offered via cloud computing invoked using a defined interface. + +**3.1.5 cloud service category** [ITU-T Y.3500]: Group of cloud services that possess some common set of qualities. + +**3.1.6 cloud service customer** [ITU-T Y.3500]: Party which is in a business relationship for the purpose of using cloud services. + +NOTE – A business relationship does not necessarily imply financial agreements. + +**3.1.7 cloud service partner** [ITU-T Y.3500]: Party which is engaged in support of, or auxiliary to, activities of either the cloud service provider or the cloud service customer, or both. + +**3.1.8 cloud service provider** [ITU-T Y.3500]: Party which makes cloud services available. + +**3.1.9 cloud service user** [ITU-T Y.3500]: Natural person, or entity acting on their behalf, associated with a cloud service customer that uses cloud services. + +NOTE – Examples of such entities include devices and applications. + +**3.1.10 communications as a service (CaaS)** [ITU-T Y.3500]: Cloud service category in which the capability provided to the cloud service customer is real time interaction and collaboration. + +NOTE – CaaS can provide both application capabilities type and platform capabilities type. + +**3.1.11 desktop as a service (DaaS)** [ITU-T Y.3503]: A cloud service category in which the capabilities provided to the cloud service customer are the ability to build, configure, manage, store, execute and deliver users' desktop functions remotely. + +**3.1.12 hypervisor** [ITU-T Y.3510]: A type of system software that allows multiple operating systems to share a single hardware host. + +NOTE – Each operating system appears to have the host's processor, memory and other resources, all to itself. + +**3.1.13 infrastructure as a service (IaaS)** [ITU-T Y.3500]: Cloud service category in which the cloud capabilities type provided to the cloud service customer is an infrastructure capabilities type. + +NOTE – The cloud service customer does not manage or control the underlying physical and virtual resources, but does have control over operating systems, storage, and deployed applications that use the physical and virtual resources. The cloud service customer may also have limited ability to control certain networking components (e.g., host firewalls). + +**3.1.14 infrastructure capabilities type** [ITU-T Y.3500]: Cloud capabilities type in which the cloud service customer can provision and use processing, storage or networking resources. + +**3.1.15 inter-cloud computing** [ITU-T Y.3511]: The paradigm for enabling the interworking between two or more cloud service providers. + +NOTE – Inter-cloud computing is also referred as inter-cloud. + +**3.1.16 network as a service (NaaS)** [ITU-T Y.3500]: Cloud service category in which the capability provided to the cloud service customer is transport connectivity and related network capabilities. + +**3.1.17 party** [ITU-T Y.3500]: Natural person or legal person, whether or not incorporated, or a group of either. + +**3.1.18 platform as a service (PaaS)** [ITU-T Y.3500]: Cloud service category in which the cloud capabilities type provided to the cloud service customer is a platform capabilities type. + +**3.1.19 resource management** [ITU-T Y.3520]: The most efficient and effective way to access, control, manage, deploy, schedule and bind resources when they are provided by service providers and requested by customers. + +**3.1.20 role** [ITU-T Y.3502]: A set of activities that serves a common purpose. + +**3.1.21 service level agreement (SLA)** [ITU-T Y.3500]: Documented agreement between the service provider and customer that identifies services and service targets. + +NOTE 1 – A service level agreement can also be established between the service provider and a supplier, an internal group or a customer acting as a supplier. + +NOTE 2 – A service level agreement can be included in a contract or another type of documented agreement. + +**3.1.22 virtual desktop** [ITU-T Y.3503]: An environment for accessing end user's desktop functions remotely. + +NOTE – Examples of end user's desktop functions can include desktop interface functions for applications, data access functions for multimedia data, and control functions for input/output (I/O) devices. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following term: + +**3.2.1 trusted cloud service:** A cloud service that satisfies a set of requirements such as transparency for governance, management and security so that a cloud service customer (CSC) can be confident in using the cloud service. + +NOTE 1 – The set of requirements will vary depending on the involved cloud service customer, the nature of the cloud service and the governing jurisdiction. + +NOTE 2 – The set of requirements could also be related to additional cross-cutting aspects [ITU-T Y.3502] such as performance, resiliency, reversibility, SLAs, etc. + +NOTE 3 – Transparency means that the cloud service provider (CSP) should commit to the CSC that they have appropriate and clear control and reporting mechanisms for governance, management and security, such as SLA commitments, online announcements, data handling policies, etc. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-------------------------------------| +| API | Application Programming Interface | +| BDaaS | Big Data as a Service | +| CaaS | Communication as a Service | +| CPU | Central Processing Unit | +| CSC | Cloud Service Customer | +| CSN | Cloud Service Partner | +| CSP | Cloud Service Provider | +| DaaS | Desktop as a Service | +| HD | High Definition | +| IaaS | Infrastructure as a Service | +| NaaS | Network as a Service | +| PaaS | Platform as a Service | +| PII | Personally Identifiable Information | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| SaaS | Software as a Service | +| SDK | Software Development Kit | +| SLA | Service Level Agreement | +| VLAN | Virtual Local Area Network | +| VM | Virtual Machine | + +## 5 Conventions + +In this Recommendation: + +The keywords "**is required**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "**can optionally**" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +In the body of this document and its appendixes, the words shall, shall not, should and may sometimes appear, in which case they are to be interpreted, respectively, as is required to, is prohibited from, is recommended and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative are to be interpreted as having no normative intent. + +For readability, the short titles are attached to the requirements for referring to use cases in Appendix I. + +## 6 General requirements for cloud computing + +The general requirements for cloud computing derived from the use cases in clause I.1 are as follows: + +- **Service life-cycle management:** It is required that the cloud service provider (CSP) supports automated service provisioning, modification and termination during the service life-cycle; +- **Regulatory:** It is required that all applicable laws and regulations be respected, including those related to the protection of personally identifiable information (PII); +- **Security:** It is required that the cloud computing systems provided by the CSP be appropriately secured to protect the interests of all involved parties (e.g., persons and organizations); +- **Accounting and charging:** It is recommended that cloud service provided by the CSP supports various accounting and charging models and policies; +- **Efficient service deployment:** It is recommended that cloud service provided by the CSP enables efficient use of resources for service deployment; +- **Interoperability:** It is recommended that cloud service provided by the CSP complies with appropriate specifications and/or standards for allowing these systems to work together; +- **Portability:** It is recommended that cloud service provided by the CSP supports the portability of software assets and the data of cloud service customers (CSCs) with minimum disruption; +- **Service access:** The CSP is recommended to provide CSCs with access to cloud services from a variety of user devices. It is recommended that CSCs be provided with a consistent experience when accessing cloud services from different devices; +- **Service availability, service reliability and quality assurance:** It is recommended that the CSP provides end-to-end quality of service assurance, high levels of reliability and continued availability of cloud services according to the service level agreement (SLA) with the CSC. + +## 7 General requirements for IaaS + +The general requirements for infrastructure as a service (IaaS) derived from the use cases in clause I.2 are as follows: + +- **Configuration, deployment and maintenance of resources:** The IaaS CSP is recommended to configure, deploy and maintain processing, storage and/or networking resources with specific SLAs and charging models to CSCs; +- **Use and monitoring of resources:** The IaaS CSP is recommended to provide the capability for CSCs to use and monitor processing, storage and/or networking resources so that they are able to deploy and run arbitrary software. + +NOTE – Functional requirements for IaaS are provided in [ITU-T Y.3513]. + +## 8 General requirements for NaaS + +The general requirements for network as a service (NaaS) derived from the use cases in clause I.3 are as follows: + +- **On-demand network configuration:** It is required that the NaaS CSP provides the network capability, which can be configured on demand by the CSC; +- **Secure connectivity:** It is required that the NaaS CSP provides secure connectivity; +- **QoS-guaranteed connectivity:** The NaaS CSP is recommended to provide QoS-guaranteed connectivity according to the negotiated SLA; +- **Heterogeneous networks compatibility:** It is recommended that the NaaS CSP supports network connectivity through heterogeneous networks. + +NOTE – Functional requirements for NaaS are provided in [ITU-T Y.3512]. + +## 9 General requirements for DaaS + +The general requirements for desktop as a service (DaaS) derived from the use cases in clause I.4 are as follows: + +- **Configurability of the virtual environment:** It is recommended that a user is capable of configuring the virtual desktops' virtual environment, such as the central processing unit (CPU), memory, storage, network, etc.; +- **Fast boot-up time:** DaaS CSP is recommended to provide CSCs with appropriate boot-up time of their virtual desktops; +- **QoE:** DaaS CSP is recommended to provide an acceptable user experience, including the running speed of application programs and the capability to select and run various applications, when application programs run in their CSC devices; +- **Single sign-on access control:** It is recommended that a CSC is capable to get all DaaS functionality with appropriate security requirements through a single sign-on mechanism. + +The following DaaS general requirements are described in [ITU-T Y.3503] as follows: + +- **Support for high-definition (HD) and three-dimensional (3D) applications:** DaaS can optionally support execution of HD applications on virtual desktops for CSCs; +- **Extensible storage:** It is recommended that a CSP support the storage extension requested by a CSC; +- **Response time:** It is recommended that DaaS provide CSCs with acceptable QoE; +- **High availability:** It is recommended that high availability in terms of delivery and operation of DaaS be assured by a CSP; +- **Resiliency to disaster:** In the case of a disaster, DaaS is recommended to provide and maintain an acceptable level of service; +- **Service continuity:** It is recommended that in the case of temporarily unavailable resource access, a CSP provides the capability to preserve the state of the user session; +- **System scalability:** It is recommended that DaaS supports elastic scalability of: + - Storage for DaaS user account information, virtual desktop environment settings and active and inactive virtual desktop environments; + - Processing and network capacity for the number of concurrent DaaS user connections and total DaaS users; + - Underlying DaaS resources. +- **DaaS developer environments:** It is recommended to provide a developer environment for the service and contents regarding DaaS; + +- **Diversity of DaaS clients:** It is recommended that the CSP support a wide selection of DaaS clients. + +NOTE – Functional requirements for DaaS are provided in clause 8 of [ITU-T Y.3503]. + +## 10 General requirements for PaaS + +The general requirements for platform as a service (PaaS) derived from the use cases in clause I.5 are as follows: + +- **Application hosting:** It is required that the PaaS CSP provides an application hosting environment, where the application can be rapidly deployed, reliably executed, flexibly expanded and isolated from other applications; +- **Services delivery platform:** It is recommended that the PaaS CSP provides the capabilities of service presence, orchestration, billing, mash-up and tools for associated development and testing by CSCs through a unified application programming interface (API); +- **Integrated development environment:** The PaaS CSP can optionally provide comprehensive capabilities to CSCs for software development such as coding, debugging, compiling and distribution; +- **Development tools:** PaaS CSP can optionally provide development tools as a service to CSCs, who can use it on-demand. + +## 11 General requirements for CaaS + +The general requirements for communication as a service (CaaS) derived from the use cases in clause I.6 are as follows: + +- **Communication capabilities openness:** It is recommended that the CSP provides APIs for accessing communication capabilities of CSNs to enhance their own services by using communication enablers; +- **Communication software development support:** It is recommended that the CSP provides support for communication software development, which is a group of communication building blocks, to CSNs in order to develop communication applications; +NOTE – Examples of communication building blocks are protocol stacks, codecs, authentication, etc. +- **Unified communication:** It is recommended that the CSP provides to CSCs a consistent unified user interface and user experience of communications applications, such as voice, messaging, audio, video conferencing, etc., across multiple devices and media-types. + +## 12 General requirements for BDaaS + +The general requirements for big data as a service (BDaaS) derived from the use cases in clause I.7 are as follows: + +- **Resource clustering:** It is recommended for the CSP to cluster resources for processing of extensive data; +NOTE 1 – Resources includes processing, storage and networks, etc. +- **Data collection:** It is recommended for the BDaaS CSP to collect data from CSCs, CSNs and CSPs; +NOTE 2 – Data includes various types, different formats, real time streaming/static data and CSC data including users' behaviour data. +- **Data storing:** It is recommended for the BDaaS CSP to store data with sufficient storage and fulfil performance demands; + +- **Data analysing:** It is recommended for the BDaaS CSP to analyse data with various kinds of analysis algorithms; +NOTE 3 – Data analysis algorithms include classification, clustering, regression, association, ranking, etc. +- **Data visualizing:** It is recommended for the BDaaS CSP to provide reporting tools with multiple styles of data visualization; +NOTE 4 – Visualization styles include statistical graphics, forms, diagrams, charts, etc. +- **Data managing:** It is recommended for the BDaaS CSP to support management of data lifecycle and resources monitoring. +NOTE 5 – Functional requirements for BDaaS are provided in clause 8 of [ITU-T Y.3600]. + +## 13 General requirements for inter-cloud computing + +The general requirements for inter-cloud computing derived from the use cases in clause I.8 are as follows: + +- **On-demand assignment of cloud computing resources among CSPs:** For assigning cloud computing resources among CSPs on demand, it is required that a CSP defines (a) a trusted relationship between cooperating CSPs; (b) an appropriate agreement and means of exchanging data on cost, performance and other information for each resource; and (c) an agreed methodology for requesting, using and returning the resources of other CSPs; +- **Resource and load distribution:** A CSP in an inter-cloud federation is required to utilize appropriate resources distributed in other CSPs for wide-area load distribution according to the required promptness, flexibility and cost; +- **User environment adaptation:** A CSP is required to detect changes in the cloud service user environment, discover alternative resources in other CSPs for these changes and migrate the service environment smoothly with minimum impact based on the CSC's approval; +NOTE 1 – These actions are to be performed for all cloud service users. +- **Inter-cloud service intermediation:** Inter-cloud service intermediation enables the CSP to select the most suitable cloud services and to create new cloud services by integrating cloud services offered by other CSPs. It is recommended that the CSP engages in support of intermediation for multiple cloud services of various cloud service categories such as IaaS, NaaS, PaaS and SaaS; +- **Large-scale migration:** A CSP in an inter-cloud federation is recommended to be able to guarantee continuity of all the cloud services in the CSP by large-scale service migration to other federated CSPs with minimum impact during a desired period. It is recommended to consider the priority of cloud services when migrating. +NOTE 2 – For more information on functional requirements for inter-cloud computing, see clause 9 of [ITU-T Y.3511]. + +## 14 General requirements for end-to-end cloud resource management + +The general requirements for end-to-end cloud resource management derived from the use cases in clause I.9 are as follows: + +- **Manageability for a single cloud service:** It is required that the CSP be able to collect management, telemetry and diagnostics and/or status information from the cloud computing systems used for providing cloud services and report the information to the CSC; +- **Manageability for multiple cloud services:** It is recommended that multiple CSPs work together to offer comprehensive status awareness and management information to expand + +across multiple cloud data centres as composite cloud services are built from multiple services implemented by multiple cloud service providers, requiring the need for multi-cloud, end-to-end management data. + +NOTE – For more information on end-to-end cloud computing management, refer to [ITU-T Y.3520] and [ITU-T Y.3521]. + +## 15 General requirements for cloud infrastructure + +The general requirements for cloud infrastructure derived from the use cases in clause I.10 are as follows: + +- **Resource abstraction and control:** It is required for cloud infrastructure to provide resource abstraction and control capability to cloud services; +- **Resource provisioning:** It is required for cloud infrastructure to provide collaboratively processing, storage and network resources to cloud services and supporting functions. + +NOTE – Functional requirements for cloud computing infrastructure are provided in [ITU-T Y.3510]. + +## 16 General requirements for trusted cloud services + +The general requirements for trusted cloud services are derived from the use case in clause I.11. The following requirements are important for CSCs in order to be able to select a trusted cloud service. These requirements do not specify the levels and abilities of the cloud services, but require that the cloud services which are treated as trusted cloud services should satisfy the following: + +- **Governance for trusted cloud service:** It is recommended for trusted cloud services to comply with appropriate or local standards and best practices of corporate governance and include appropriate mechanisms by which policies affecting the provision and use of cloud services are directed and controlled; + +NOTE 1 – Part of this requirement refers to [ITU-T Y.3502]. + +- **Management for trusted cloud service:** It is recommended for trusted cloud services to include appropriate mechanisms for administration, reporting, location of stored data, privacy, de-identification of data, etc. +- **Resiliency for trusted cloud service:** It is recommended for trusted cloud services to include appropriate mechanisms by which an acceptable level of service can be maintained in the face of faults (unintentional, intentional or naturally caused) affecting normal operation; + +NOTE 2 – Part of this requirement refers to [ITU-T Y.3502]. + +- **Security for trusted cloud service:** It is recommended for trusted cloud services to include appropriate mechanisms for cryptography, attack resistance, intrusion detection, security incident handling and reporting, etc. + +NOTE 3 – Part of this requirement refers to [ITU-T X.1601]. + +- **Availability for trusted cloud service:** It is recommended for trusted cloud services to include appropriate mechanisms for ensuring the appropriate level of access to the service and usability by the CSC; + +- **Auditability for trusted cloud service:** It is recommended for trusted cloud services to include appropriate mechanisms for collecting and making available necessary evidential information related to the operation and use of a cloud service, for the purpose of conducting an audit; + +NOTE 4 – Part of this requirement refers to [ITU-T Y.3502]. + +- **Service agreement for trusted cloud service:** It is recommended for trusted cloud services to have appropriate service agreements or contracts for commitments to CSC on terms of their requirements and considerations. + +## **17 Security considerations** + +The security framework from cloud computing [ITU-T X.1601], analyses security threats and challenges in the cloud computing environment, describes security capabilities that could mitigate these threats and addresses security challenges. + +[ITU-T X.1631] provides guidelines supporting the implementation of information security controls for CSCs and CSPs. Many of the guidelines guide the CSPs to assist the CSCs in implementing the controls and guide the CSCs to implement such controls. Selection of appropriate information security controls and the application of the implementation guidance provided, will depend on a risk assessment as well as any legal, contractual, regulatory or other cloud-sector specific information security requirements. + +Regarding the protection of PII, ISO/IEC 27018 is designed for organizations to use as a reference for selecting PII protection controls within the process of implementing a cloud computing information security management system based on ISO/IEC 27001, or as a guidance document for organizations for implementing commonly accepted PII protection controls. + +## Appendix I + +## Use cases of cloud computing + +(This appendix does not form an integral part of this Recommendation.) + +This appendix identifies use cases of cloud computing. Table I.1 shows the template used for the description of the use cases. + +**Table I.1 – Template for the description of a use case** + +| Use case | | +|-----------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | Title of the use case | +| Abstract | Overview and features of the use case | +| Roles | Roles relating to/appearing in the use case | +| Figure | Figure to present the use case.
(A UML-like diagram is suggested for clarifying relations between roles) | +| Pre-conditions (optional) | Pre-conditions represent the necessary conditions or use cases that should be achieved before starting the described use case.
NOTE – As dependency may exist among different use cases, pre-conditions and post-conditions are introduced to help understand the relationships among use cases. | +| Post-conditions (optional) | As for pre-conditions, the post-condition describes conditions or use cases that will be carried out after the termination of a currently described use case. | +| Requirements | The title of requirements derived from the use case. For example:
– Large-scale migration | + +Table I.2 lists the use cases described in this appendix. + +**Table I.2 – List of use cases** + +| Domains | Use cases | +|----------------------------------|----------------------------------------------------------------------------------------------------------------------| +| Generic use case | – General CSC-CSP-CSN use case
– Use case publish service
– Use case consult service
– Use case use service | +| IaaS | – IaaS general use case | +| NaaS | – NaaS general use case | +| DaaS | – DaaS general use case | +| PaaS | – PaaS general use case | +| CaaS | – CaaS general use case | +| BDaaS | – BDaaS general use case | +| Inter-cloud computing | – Inter-cloud computing use case for federation
– Inter-cloud computing use case for intermediation | +| Cloud resource management | – End-to-end cloud resource management use case | +| Cloud infrastructure | – Cloud infrastructure use case | +| Trusted cloud service | – Trusted cloud service use case | + +### I.1 Generic use case + +| Use case | | +|---------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | General CSC-CSP-CSN use case | +| Abstract | This general use case, which describes the general activities of the CSC, CSP and CSN, consists of a set of use cases. It introduces a basic scenario where a CSP publishes a cloud service. A CSC or CSN consults this cloud service and uses this cloud service. These use cases clarify the relationships between these three main cloud roles. | +| Roles | CSC, CSP, CSN | +| Figure | | +| Included use cases |
  • – UC-US (Use case use service)
  • – UC-CS (Use case consult service)
  • – UC-PS (Use case publish service)
| + +| Use case | | +|-----------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | Use case publish service | +| Abstract | A CSP publishes cloud service information to the public so that any users including a CSP, CSC or CSN can use the published cloud service. In terms of service publishing, the CSP adds the service to a service catalogue which will be accessible to others. The CSP also maintains the catalogue. | +| Roles | CSP | +| Pre-conditions (optional) | | +| Post-conditions (optional) |
  • – The CSP should maintain the public service.
| +| Requirements |
  • – Service life-cycle management
  • – Security
  • – Efficient service deployment
  • – Portability
  • – Regulatory aspects
  • – Service availability, service reliability and quality assurance
  • – Service access
  • – Accounting and charging
| + +| Use case | | +|-----------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | Use case consult service | +| Abstract | A CSC, CSP or CSN consults a published service. For all the published services in the cloud service catalogue, any users including the CSC, CSP and CSN can access them. The consult scenario refers to consulting published-service details and associated SLAs. | +| Roles | CSC, CSP, CSN | +| Pre-conditions (optional) |
  • – The service to be used has already been published by a CSP (UC-PS).
  • – The CSC, CSP or CSN has been authenticated.
| +| Post-conditions (optional) |
  • – A given service should be accessible.
| +| Requirements |
  • – Security
  • – Service availability, service reliability and quality assurance
| + +| Use case | | +|----------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – Service access
  • – Interoperability
  • – Regulatory aspects
  • – Accounting and charging
| + +| Use case | | +|-----------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | Use case use service | +| Abstract | A CSC or a CSN uses a published service. According to the agreement of the SLA, the user invokes the cloud service. | +| Actors | CSC, CSN | +| Pre-conditions (optional) |
  • – The service to be used has already been published by a CSP (UC-PS).
  • – The CSC or the CSN has been authenticated.
| +| Post-conditions (optional) |
  • – The used service should be kept available during the whole invocation.
  • – The SLA should be met for service use.
| +| Requirements |
  • – Service life-cycle management
  • – Security
  • – Portability
  • – Interoperability
  • – Regulatory aspects
  • – Service availability, service reliability and quality assurance
  • – Service access
  • – Accounting and charging
| + +### I.2 IaaS general use case + +| Use case | | +|----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | IaaS general use case | +| Abstract | CSC uses IaaS services including computing, storage and network capabilities to deploy and run arbitrary applications. | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the IaaS general use case. A CSC (Customer) interacts with a CSP (Cloud Service Provider) through a Portal. The CSP provides three resource pools: Network resource pool, Storage resource pool, and Computing resource pool, all part of the Cloud infrastructure. The diagram shows three numbered steps: 1. CSC accesses the Portal; 2. Portal interacts with the CSP resource pools; 3. CSP provides services back to the CSC.

The diagram illustrates the IaaS general use case. On the left, a Customer (CSC) is shown with a person at a computer. In the center, a 'Portal' is depicted as a server rack. On the right, a 'CSP' (Cloud Service Provider) is represented by a cloud containing three resource pools: 'Network resource pool' (represented by server racks), 'Storage resource pool' (represented by storage cylinders), and 'Computing resource pool' (represented by server racks). These three pools are collectively labeled as 'Cloud infrastructure'. Three numbered steps are indicated by red arrows: 1. An arrow from the CSC to the Portal; 2. An arrow from the Portal to the CSP resource pools; 3. An arrow from the CSP resource pools back to the CSC.

| +| Pre-conditions (optional) |
  • – ① The CSC has accessed the IaaS service through the CSP portal with an appropriate security mechanism.
| + +| | | +|-----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – ② The CSC has selected the template or configured a specific VM and/or physical host.
  • – ② The CSC has selected the storage resources, such as block, file and object storage, then attached them via their computing capabilities or used them directly.
  • – ② The CSC has selected the network connectivity services, such as the IP address, VLAN, firewall and load balance and then applied them to the related computing and/or storage capabilities.
  • – ② The CSC confirmed the SLAs and charge model with selected computing, storage and network connectivity services provided by the CSP.
| +| Post-conditions (optional) |
  • – ③ The CSC manages and monitors computing, storage and network capabilities with arbitrary applications.
  • – ③ The CSP configures, deploys and maintains hypervisors and storage resources.
  • – ③ The CSP establishes, configures, delivers and maintains network connectivity to the CSC.
  • – ③ The CSP provides security infrastructure to the CSC.
| +| Requirements |
  • – Configuration, deployment and maintenance of resources
  • – Use and monitoring of resources
| + +### I.3 NaaS general use case + +| Use case | | +|-----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | NaaS general use case | +| Abstract | A NaaS CSP sets up, maintains and releases the network connectivity between CSCs and between the CSP and CSC as a cloud service. This can include on-demand and semi-permanent connectivity. | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the NaaS general use case. It shows three entities: XaaS CSP X (top), XaaS CSP Y (bottom right), and XaaS CSC A (left). A red oval labeled 'NaaS CSP' and 'Connectivity' encloses the connections between XaaS CSP X and XaaS CSC A, and between XaaS CSP Y and XaaS CSC A. Arrows indicate communication paths: from XaaS CSP X to XaaS CSC A, from XaaS CSP Y to XaaS CSC A, and from XaaS CSP Y to XaaS CSP X. The diagram is labeled Y.3501(16)_Fl.2.

Y.3501(16)_Fl.2

| +| Pre-conditions (optional) |
  • – There is no connectivity between XaaS CSC A and XaaS CSP Y.
  • – There is no connectivity between XaaS CSP X and XaaS CSP Y.
  • – Either XaaS CSC A or XaaS CSP Y requests the connectivity between them with their end-point identifiers and associated characteristics (referring to QoS and security aspects) for the connectivity.
  • – Either XaaS CSP X or XaaS CSP Y requests the connectivity between them with their end-point identifiers and associated characteristics (referring to QoS and security aspects) for the connectivity.
| +| Post-conditions (optional) |
  • – XaaS CSC A and XaaS CSP Y can communicate with each other.
  • – XaaS CSC X and XaaS CSP Y can communicate with each other.
| +| Requirements |
  • – On-demand network configuration
| + +| Use case | | +|----------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – Heterogeneous networks compatibility
  • – QoS-guaranteed connectivity
  • – Secured connectivity
| + +### I.4 DaaS general use case + +| Use case | | +|-----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | DaaS general use case | +| Abstract |
  • – Between a consumer and a CSP: In this scenario, a consumer accesses and uses data or applications in a CSP which offers a virtual desktop service. A consumer can enjoy the environment with all programs and applications which are identical with those of traditional PCs. The consumer can choose the virtual hardware specification of its virtual desktops. If necessary, the environment (i.e., operating system) can be changed to another one immediately. Since all data is totally stored with password protection and managed in the CSP, all the consumer has to do is keep up with a password.
  • – Between an enterprise and a CSP: An enterprise using a virtual desktop service from a CSP for its internal processes is included in this use case. In this scenario, the enterprise can select applications or OS in the DaaS service for certain enterprise functions. Unlike the use case between a consumer and a CSP, the enterprise normally uses storage for backups. Also, the enterprise can overcome peak loads and save energy by requesting the CSP online to increase or decrease the number of virtual desktops, respectively.
  • – Between an enterprise, a consumer and a CSP: In this scenario, the enterprise makes the consumer work with its internal processes outside of the enterprise by transferring virtual desktops and related data through the CSP. Contrary to the above two scenarios, the consumer cannot select applications freely and more limitations to access data in the enterprise may exist than within the enterprise. Whenever the consumer connects with the CSP, the CSP sends data to the consumer by accessing the enterprise to handle or bypass corresponding data.
| +| Roles | CSP, CSC | + +| Use case | | +|----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure |

Image: Diagram of PaaS general use case showing CSP, Resource pool, Virtualized desktops, and CSC (Person) and CSC (Enterprise) interacting with the resource pool.

The diagram illustrates the PaaS general use case. A central cloud labeled 'CSP' contains a 'Resource pool' of servers. Below the cloud, 'Virtualized desktops' are shown as blue panels. Two groups of users, 'CSC (Person)' and 'CSC (Enterprise)', are shown at the bottom. Red dashed lines connect the virtualized desktops to the resource pool. Blue arrows point from the CSCs to the virtualized desktops. The text 'Y.3501(16)_Fl.3' is located at the bottom right of the diagram.

| +| Pre-conditions (optional) |
  • – A CSP offers the configuration menu of the virtual desktop to CSCs.
  • – A CSC specifies parameter-settings shown in the configuration menu.
| +| Post-conditions (optional) |
  • – A CSC uses DaaS service.
| +| Requirements |
  • – QoE
  • – Fast boot-up time
  • – Configurability of the virtual environment
  • – Single sign-on access control
  • – Support for high-definition (HD) and three dimensional (3D) applications
  • – Extensible storage
  • – Response time
  • – High availability
  • – Resiliency to disaster
  • – Service continuity
  • – System scalability
  • – DaaS developer environments
  • – Diversity of DaaS client
| + +### I.5 PaaS general use case + +| Use case | | +|----------|----------------------------------------------------------------------------------------------------------------------------------| +| Name | PaaS general use case | +| Abstract | A PaaS CSP provides application hosting, capabilities offering, integrated development environment and development tools to CSC. | +| Roles | CSC, CSP | + +| Use case | | +|-----------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure |

Image: Diagram of a Cloud Service Provider (CSP) architecture. On the left, a Customer Service Center (CSC) with two people at computers interacts with a 'Portal' and a 'Cloud infrastructure' cloud. The cloud contains several layers: 'Application hosting' (with server icons), 'IDE' (Integrated Development Environment), 'Capability offering' (with various service icons), and 'Development tool' (with tool icons). Below these are three resource pools: 'Network resource pool' (with switch icons), 'Storage resource pool' (with disk icons), and 'Computing resource pool' (with server rack icons). Red arrows show the flow from the CSC to the Portal, and from the Portal to the various components within the cloud infrastructure. The text 'Cloud infrastructure' is written in red at the bottom of the cloud. A small identifier 'Y.3501(16)_FI.4' is in the bottom right corner.

| +| Pre-conditions (optional) |
  • – CSC requests PaaS service from CSP1 to develop an application.
  • – CSP1 provides a cloud-based integrated development environment to CSC as well as some development tools.
  • – CSC requests PaaS service from CSP2 to use a service delivery platform provided by CSP.
  • – CSP2 provides service presence, orchestration, billing, mash-up and associated development and testing tools.
  • – CSC requests PaaS service from CSP3 to an application hosting environment provided by CSP.
  • – CSP3 provides application hosting service to CSC to deploy and execute the application.
| +| Post-conditions (optional) |
  • – CSC develops an application using an integrated development environment to be more productive by reducing the configuration necessary to piece together multiple development utilities and setup time.
  • – CSC uses development tools without deploy and maintain.
  • – CSC uses capabilities sets, such as location and SMS to develop an application.
  • – CSC deploys and runs an application on the application hosting environment without concerning the underlying resources.
| +| Requirements |
  • – Application hosting
  • – Services delivery platform
  • – Integrated development environment
  • – Development tools
| + +### I.6 CaaS general use case + +| Use case | | +|-----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | CaaS general use case | +| Abstract | A CaaS CSP provides API and/or software development support such as a software development kit (SDK) to enable building of a communication platform and services by a CSN, or in addition to build communication services offered to CSC directly by CaaS CSP. This involves both platform capabilities type and application capabilities type. | +| Roles | CSC, CSP, CSN | + +| Use case | | +|----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure |

Image: Diagram illustrating the use case for cloud service capabilities. A central cloud labeled 'Cloud service provider' contains 'CaaS' and 'API' components. Below the cloud is an 'SDK' component. Arrows point from the SDK to various devices: a wire-line telephone, a mobile phone, an IMS device, a tablet, and a PC. To the right, a 'Cloud service customer' (represented by a person at a computer) and a 'Cloud service partner' (represented by two people) are shown. Blue arrows indicate interactions between the customer/partner and the API, and between the API and the SDK.

Y.3501(16)_FI.5

| +| Pre-conditions (optional) |

With platform capabilities type:

  • – CSN wants to develop some product or service, using communication features such as video call capability. For example, a non-cloud video game developer could include CaaS-based voice and video calling between players of their game.
  • – CSP provides carrier-grade video call capabilities to a CSN through CaaS API.
  • – CSN wants to enhance a device (such as an IP-connected camera) with a remote control feature, while the original device only has connectivity capabilities but no communication capabilities.
  • – CSP provides the SDK to a CSN, in this case, the CSN can add communication capabilities to the device.

With application capabilities type:

  • – CSC wants to use communication applications on different kinds of devices, such as wire-line telephone, mobile phone, IMS device, tablet and PC.
| +| Post-conditions (optional) |

With platform capabilities type:

  • – CSN develops a product or service with carrier-grade video call capabilities provided by the CaaS CSP.
  • – CSC can call the device and control it remotely by using SDK provided by the CSP.

With application capabilities type:

  • – CSC can access all kinds of communications applications with consistent unified user-interface and user-experience over multiple devices, such as wire-line telephone, mobile phone, IMS device, tablet and PC.
| +| Requirements |
  • – Communication capabilities openness
  • – Communication software development support
  • – Unified communication
| + +### I.7 BDaaS general use case + +| Use case | | +|-----------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | BDaaS general use case | +| Abstract | A BDaaS CSP provides big data services through cloud computing. The BDaaS CSP uses the cloud computing capabilities to implement various big data capabilities such as collecting data, managing data storage, managing data privacy, managing data pre-processing, providing data integration, managing data provenance, analyzing data and visualizing data. | +| Roles | CSC, CSP, CSN | +| Figure |

Image: Diagram of BDaaS general use case showing CSC, CSN, and CSP providing data to a BDaaS CSP, which then provides big data services to a user (CSC).

 graph LR     CSC((CSC)) -- Data --> BDaaS_CSP((BDaaS CSP))     CSN((CSN)) -- Data --> BDaaS_CSP     CSP((CSP)) -- Data --> BDaaS_CSP     BDaaS_CSP -- "Big data services" --> User((CSC))

Y.3501(16)_Fl.6

| +| Pre-conditions (optional) | – The CSN provides appropriate access methods of data to the BDaaS CSP. | +| Post-conditions (optional) | | +| Requirements |
  • – Resource clustering
  • – Data collection
  • – Data storing
  • – Data analysing
  • – Data visualizing
  • – Data managing
| + +### I.8 Inter-cloud computing use case + +| Use case | | +|-----------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | Inter-cloud computing use case for federation | +| Abstract | CSPs federate to provide a service to the CSC | +| Roles | CSC, CSP | +| Figure |

Image: Diagram of Inter-cloud computing use case for federation showing a CSC using services provided by a Federation of CSP A, CSP B, and CSP C.

 graph LR     CSC((CSC)) -- "Use services" --> Federation((Federation))     Federation --- CSP_A((CSP A))     Federation --- CSP_B((CSP B))     Federation --- CSP_C((CSP C))

Y.3501(16)_Fl.7

| + +| Use case | | +|-----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Pre-conditions (optional) |
  • – CSPs federate with each other by establishing a trust relationship and policy settlement.
  • – A CSC uses a service provided by one of the federated CSPs.
  • – Case-A: The CSP that offers the service to the CSC is going to spend all resources due to overload, or has lost the resources due to disaster.
  • – Case-B: The CSC changes its environment (e.g., location) and reaches the CSP from a place which is further away than before.
| +| Post-conditions (optional) |
  • – Case-A: The CSP ensures that its services continue to be offered by the support of other federated CSPs, even when performance or availability of the service may be degraded due to CSP's resource problems (e.g., overload or disaster).
  • – Case-B: Another CSP in the federation, on behalf of the CSP which has offered the service to the CSC, provides a new appropriate service environment to the CSC to compensate for possible degradation, even when performance or availability of the service may be degraded due to a CSC's environmental change (e.g., location changes).
| +| Requirements |
  • – On-demand assignment of cloud resource among CSPs
  • – Resource and load distribution
  • – Large-scale migration
  • – User environment adaptation
| + +| Use case | | +|----------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | Inter-cloud computing use case for intermediation | +| Abstract | A CSP intermediates services from other CSPs to provide a service to the CSC. | +| Actors | CSP, CSC | +| Figure |

Image: Diagram illustrating the Inter-cloud computing use case for intermediation. A central 'Intermediation' oval is connected to four actors: 'CSC' (left), 'CSP C (Intermediary)' (bottom), 'CSP A' (top right), and 'CSP B' (bottom right). A blue line connects the CSC to the Intermediation oval. Red lines connect the Intermediation oval to CSP A, CSP B, and CSP C. The reference 'Y.3501(16)_FI.8' is located at the bottom right of the diagram area.

Y.3501(16)_FI.8

| +| Pre-conditions (optional) | | +| Post-conditions |
  • – A CSP selects a service from other CSPs' services and intermediates them to a CSC.
  • – A CSP creates a new service by integrating several services in other CSPs and intermediates them to a CSC.
| +| Requirements |
  • – On-demand assignment of cloud resource
  • – Inter-cloud computing service intermediation
| + +### I.9 End-to-end cloud resource management use case + +| Use case | | +|------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | End-to-end cloud resource management use case | +| Abstract | A CSC uses a service offered by multiple CSPs and/or CSNs, one of which supports customer services. In order to deliver customer services properly, the CSN manages end-to-end health and QoS of the service offered by a CSP which can integrate several base services offered by multiple CSPs. | +| Actors | CSC, CSP, CSN | +| Figure |

Image: Diagram illustrating the End-to-end cloud resource management use case. It shows two CSPs (CSP 1 for voice application service and CSP 2 for NaaS) and a central CSN or CSP. CSP 1 contains a 'Voice application service' box and a 'Management: Administration, provision, service assurance, billing' box. CSP 2 contains a 'Network connectivity' box and a 'Management: Administration, provision, service assurance, billing' box. A 'Service delivery' arrow points from CSP 1 to CSP 2. Double-headed arrows connect the 'Management' boxes of CSP 1 and CSP 2 to a 'Management and monitoring' box in the CSN or CSP. The label 'Service management' is placed near the arrows connecting the CSP management boxes to the CSN box. The diagram is labeled Y.3501(16)_FI.9.

As shown in the above figure, this problem requires visibility into CSP2's management systems delivering the voice application service, as well as similar CSP's management systems. When the voice application customer calls into CSP2 support, then the CSP2 support person should have visibility into the health and welfare of the CSP1's voice application service, its underlying cloud infrastructure, as well as the local service provider's network management systems relevant to the voice application service.

| +| Pre-conditions |

In this service syndication example involving multiple clouds, voice application is being provided as SaaS to a CSP that is bundling it with other services and reselling a package to a CSC. Although a voice application service provider may run a global data network, it does not own the carrier's network and enterprise infrastructures that actually connect the cloud and network services to end-user devices. A local service provider might provide an IP network service to provide an optimized voice application experience for an enterprise customer's employees using the voice application service.

In this use case, there are the two types of connection paths, namely a service delivery path and a service management path. When the CSC is experiencing a problem with the voice application service, the responsibility for the diagnostics, management and resolution of the problem involves more than one service provider.

End-to-end resource management cannot require a major system integration effort with each new service deployment. In order for the composite cloud computing services to work effectively, all the prerequisite services of both the CSP1 and CSP2 must function properly.

| +| Post-conditions |

Voice application service is restored rapidly and easily.

End-to-end resource management of components that deliver the voice application customer service support and the administrative, provisioning, service assurance and billing that make up a complete voice application service is necessary.

| +| Requirements |
  • – Manageability for a single cloud service
  • – Manageability for multiple cloud services
| + +### I.10 Cloud infrastructure use case + +| Use case | | +|----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | Cloud infrastructure use case | +| Abstract |

The CSP uses cloud infrastructure which consists of compute, storage and network resources to deploy and deliver any kinds of cloud services.

The CSC accesses and uses cloud services deployed in and delivered by cloud infrastructure.

| +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the Cloud infrastructure use case. The diagram shows a Services portal and interface at the top, which connects to Cloud services in the middle. The Cloud services layer is connected to Cloud infrastructures at the bottom, which include Compute resource, Storage resource, and Network resource. The CSP (Cloud Service Provider) is shown on the right, interacting with the Cloud services and Cloud infrastructures. The CSC (Cloud Service Consumer) is shown on the left, interacting with the Services portal and interface. Numbered arrows (1-7) indicate the flow of interactions: 1. CSP builds cloud infrastructure; 2. CSP allocates and configures resources; 3. CSP publishes cloud services; 4. CSP publishes cloud services in the catalogue; 5. CSC accesses cloud services; 6. Cloud resources are invoked to respond to CSC's access; 7. CSP manages and monitors pooled resources.

The diagram illustrates the Cloud infrastructure use case. It shows the interaction between the Cloud Service Provider (CSP) and the Cloud Service Consumer (CSC) through a Services portal and interface. The CSP builds and manages cloud infrastructure (compute, storage, and network resources) and publishes cloud services. The CSC accesses these services through the portal. Numbered arrows (1-7) indicate the sequence of operations: 1. CSP builds cloud infrastructure; 2. CSP allocates and configures resources; 3. CSP publishes cloud services; 4. CSP publishes cloud services in the catalogue; 5. CSC accesses cloud services; 6. Cloud resources are invoked to respond to CSC's access; 7. CSP manages and monitors pooled resources.

Y.3501(16)_FI.10

| +| Pre-conditions (optional) |
  • – ① A CSP builds a cloud infrastructure with cloud resources including compute, storage and network resources.
  • – ②,③ The CSP allocates and configures related compute, storage and network resources in the cloud infrastructure needed for deploying any kind of cloud services through resource orchestration functions.
  • – ④ The CSP publishes the deployed cloud services in the catalogue of the cloud service portal.
  • – ⑤ A CSC accesses the cloud services published by the CSP through service portals or service interfaces which are protected by appropriate security mechanisms.
  • – ⑥ Related cloud resources and capabilities have been invoked to respond to the CSC's access and interaction.
| +| Post-conditions |
  • – ⑦ The CSP manages and monitors pooled compute, storage and network resources in the cloud infrastructure.
| +| Requirements |
  • – Resource provisioning
  • – Resource abstraction and control
| + +### I.11 Trusted cloud service use case + +| Use case | | +|-----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | Trusted cloud service use case | +| Abstract | The CSP provides trusted cloud service which satisfies a set of requirements and transparency for governance, management and security to provide CSC confidence in using the cloud service. | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the Trusted cloud service use case. A Customer Service Center (CSC) is shown on the left, represented by two people at a computer. A Cloud Service Agreement (CSA) is shown above the CSC, labeled 'Transparency'. A CSP1 (Trusted cloud service) is shown on the right, represented by a cloud icon containing boxes for Availability, Auditability, Security, Management, Resiliency, and other services. A CSP2 (Untrusted cloud service) is shown below the CSP1, with a red 'X' over it. A 'Secured access' arrow points from the CSC to the CSP1. A 'Governance' arrow points from the CSP1 to a box containing 'Standards' and 'Local regulations'. The diagram is labeled 'Y.3501(16)_FI.11'.

The diagram illustrates the Trusted cloud service use case. On the left, a Customer Service Center (CSC) is represented by two people at a computer. Above the CSC is a box labeled 'Cloud service agreement ###' with an arrow pointing to the CSC labeled 'Transparency'. On the right, a CSP1 (Trusted cloud service) is represented by a cloud icon containing boxes for 'Availability', 'Auditability', 'Security', 'Management', 'Resiliency', and '...'. A 'Secured access' arrow points from the CSC to the CSP1. Below the CSP1 is a CSP2 (Untrusted cloud service) with a red 'X' over it. Above the CSP1 is a box labeled 'Standards' and 'Local regulations' with an arrow pointing to the CSP1 labeled 'Governance'. The diagram is labeled 'Y.3501(16)_FI.11'.

| +| Pre-conditions (optional) |
  • – The CSC requests a trusted cloud service:
    • • The CSP1 offers the same cloud services as CSP2, but CSP2 does not meet trusted cloud service requirements.
    • • The CSC gets effective cloud service information from CSP1.
    • • The CSC does not have effective cloud service information from CSP2.
  • – The CSP1 negotiates a cloud service agreement with the CSC before providing a cloud service, while CSP2 does not.
| +| Post-conditions (optional) |
  • – The CSP 1 provides a trusted cloud service which meets the needs of the CSC.
  • – The CSP 1 ensures PII protection of the CSC.
  • – The CSP 1 ensures that the CSC can control and manage their application and data.
  • – The CSP 1 provides a secure access to the CSC.
  • – The CSC uses the trusted cloud service from CSP 1.
  • – The CSC no longer uses the cloud service from CSP 2.
| +| Requirements |
  • – Governance for trusted cloud service
  • – Management for trusted cloud service
  • – Resiliency for trusted cloud service
  • – Availability for trusted cloud service
  • – Auditability for trusted cloud service
  • – Security
  • – Service agreement for trusted cloud service.
| + +# Appendix II + +## Methodology and edition plan of this Recommendation + +(This appendix does not form an integral part of this Recommendation.) + +This Recommendation adopts a use-case-driven approach. Use cases are selected and elaborated first. Based on these use cases, relevant requirements are derived. As an example shown in Figure II.1, one use case may derive multiple requirements. + +![Figure II.1: Methodology including mapping of use cases and requirements. The diagram shows a 'Main body' section with three boxes: '1. General requirements for a' (containing 1.1, 1.2, 1.3), '2. General requirements for b' (containing 2.1, 2.2, 2.3), and '2. General requirements for c' (containing 3.1, 3.2, 3.3). Below this is an 'Appendix' section. On the left, 'Use case A' is shown with an 'Example' box containing 'Use case title', 'Figure + description', and 'Derived requirement items: 1.3, 2.1, 3.1, 3.2 (Refer to clause 1, 2, 3)'. On the right, 'Use case B' and 'Use case C' are shown as empty boxes. Red arrows map the derived requirement items from Use case A to the corresponding items in the Main body: 1.3 to 1.3, 2.1 to 2.1, 3.1 to 3.1, and 3.2 to 3.2. A blue arrow points from the Main body to the Appendix, and another blue arrow points from the Appendix to the Main body. The label 'Y.3501(13)_Fl.1' is at the bottom right.](744acfe8d4e31bcf03f95714c2f6e567_img.jpg) + +Y.3501(13)\_FII.1 + +Figure II.1: Methodology including mapping of use cases and requirements. The diagram shows a 'Main body' section with three boxes: '1. General requirements for a' (containing 1.1, 1.2, 1.3), '2. General requirements for b' (containing 2.1, 2.2, 2.3), and '2. General requirements for c' (containing 3.1, 3.2, 3.3). Below this is an 'Appendix' section. On the left, 'Use case A' is shown with an 'Example' box containing 'Use case title', 'Figure + description', and 'Derived requirement items: 1.3, 2.1, 3.1, 3.2 (Refer to clause 1, 2, 3)'. On the right, 'Use case B' and 'Use case C' are shown as empty boxes. Red arrows map the derived requirement items from Use case A to the corresponding items in the Main body: 1.3 to 1.3, 2.1 to 2.1, 3.1 to 3.1, and 3.2 to 3.2. A blue arrow points from the Main body to the Appendix, and another blue arrow points from the Appendix to the Main body. The label 'Y.3501(13)\_Fl.1' is at the bottom right. + +**Figure II.1 – Methodology including mapping of use cases and requirements** + +The use-case-driven approach may also ease the preparation of future editions of this Recommendation. As explained in Figure II.2, a new edition will include new use cases with derived new requirements. + +![Figure II.2: Editions of this Recommendation. The diagram shows a timeline from 'Desired time' to 'Time'. A vertical dashed line separates 'ITU-T Y.3501 edition 1' from 'ITU-T Y.3501 edition 2'. In edition 1, UC1, UC2, and UC3 are shown, each pointing to HL Req 1, HL Req 2, and HL Req 3 respectively. In edition 2, UC4, UC5, and UC6 are shown, each pointing to HL Req 4, HL Req 5, and HL Req 6 respectively. The label 'Y.3501(13)_Fl.2' is at the bottom right.](24c9e038a791677ed33100667b64f7e6_img.jpg) + +Y.3501(13)\_FII.2 + +Figure II.2: Editions of this Recommendation. The diagram shows a timeline from 'Desired time' to 'Time'. A vertical dashed line separates 'ITU-T Y.3501 edition 1' from 'ITU-T Y.3501 edition 2'. In edition 1, UC1, UC2, and UC3 are shown, each pointing to HL Req 1, HL Req 2, and HL Req 3 respectively. In edition 2, UC4, UC5, and UC6 are shown, each pointing to HL Req 4, HL Req 5, and HL Req 6 respectively. The label 'Y.3501(13)\_Fl.2' is at the bottom right. + +UC: Use case +HL Req: High-level requirement + +**Figure II.2 – Editions of this Recommendation** + +NOTE – For the sake of readability, this Recommendation describes the requirements with short titles. Exact description of short titles is provided in relevant clauses of this Recommendation. + +Table II.1 presents the edition plan of this Recommendation based on the progress of the corresponding content. + +**Table II.1 – Edition plan of this Recommendation** + +| Scope | | Edition 1 | Edition2 | Edition3 | +|-------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------|-----------|----------|----------| +| General requirements for cloud computing | | O | Extended | Extended | +| General requirements for IaaS | | O | Extended | Extended | +| General requirements for NaaS | | O | Extended | Extended | +| General requirements for DaaS | | O | Extended | Extended | +| General requirements for PaaS | | | O | Extended | +| General requirements for CaaS | | | O | Extended | +| General requirements for BDaaS | | | O | Extended | +| General requirements for SaaS | | | | O | +| General requirements for Inter-cloud | | O | Extended | Extended | +| General requirements for end-to-end cloud resource management | | O | Extended | Extended | +| General requirements for cloud infrastructure | | O | Extended | Extended | +| General requirements for Trusted cloud service | | | O | Extended | +| Others general requirements | | | | O | +| Security consideration | | O | Extended | Extended | +| Use case | Generic use cases | O | Extended | Extended | +| | IaaS general use case | O | Extended | Extended | +| | NaaS general use case | O | Extended | Extended | +| | DaaS general use case | O | Extended | Extended | +| | PaaS general use case | | O | Extended | +| | CaaS general use case | | O | Extended | +| | BDaaS use case | | O | Extended | +| | SaaS general use case | | | O | +| | Inter-cloud general use case | O | Extended | Extended | +| | End-to-end cloud resource management use case | O | Extended | Extended | +| | Cloud infrastructure use case | O | Extended | Extended | +| | Trusted cloud service use case | | O | Extended | +| | Other use cases | | | O | +| NOTE – The mark "O" indicates initial requirements and use cases are prepared, "extended" indicates additional requirements and use cases will be provided. | | | | | + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information 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+ +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +**Y.3511** + +(03/2014) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS + +Cloud Computing + +# --- **Framework of inter-cloud computing** + +Recommendation ITU-T Y.3511 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +# **CLOUD COMPUTING** + +**Y.3500–Y.3999** + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3511 + +# Framework of inter-cloud computing + +## Summary + +Recommendation ITU-T Y.3511 describes the framework for interactions of multiple cloud service providers (CSPs), which is referred to as inter-cloud computing. Based on several use case, and after considering the different types of service offerings, this Recommendation describes the possible relationships (peering, federation or intermediary) among multiple CSPs. By introducing the concept of primary CSP and secondary CSP, the Recommendation further describes CSP interactions for the cases of federation and intermediary patterns. Finally, relevant functional requirements are derived. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3511 | 2014-03-09 | 13 | 11.1002/1000/12078 | + +## Keywords + +Cloud computing, infrastructure, inter-cloud computing, network, primary CSP, requirement, secondary CSP, use case. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2014 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere ..... | 1 | +| | 3.2 Terms defined in this Recommendation ..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Introduction..... | 3 | +| 7 | Patterns of inter-cloud..... | 4 | +| | 7.1 Inter-cloud peering ..... | 4 | +| | 7.2 Inter-cloud federation ..... | 5 | +| | 7.3 Inter-cloud intermediary ..... | 5 | +| 8 | Overview of inter-cloud computing..... | 6 | +| | 8.1 Relationship between intra-cloud and inter-cloud handling of resources ..... | 6 | +| | 8.2 Overview of inter-cloud federation ..... | 7 | +| | 8.3 Overview of inter-cloud intermediary ..... | 11 | +| 9 | Functional requirements for inter-cloud ..... | 14 | +| | 9.1 SLA and policy negotiation..... | 14 | +| | 9.2 Resource monitoring ..... | 14 | +| | 9.3 Resource performance estimation and selection ..... | 15 | +| | 9.4 Resource discovery and reservation ..... | 15 | +| | 9.5 Resource set-up and activation..... | 16 | +| | 9.6 Cloud services switchover and switchback ..... | 16 | +| | 9.7 Resource release ..... | 16 | +| | 9.8 CSC information exchange..... | 16 | +| | 9.9 Primary CSP role delegation ..... | 17 | +| | 9.10 Inter-cloud service handling ..... | 17 | +| 10 | Security considerations..... | 18 | +| | Appendix I – Use cases from the inter-cloud perspective ..... | 19 | +| | I.1 SLA mapping in intermediary pattern ..... | 19 | +| | I.2 Performance guarantee against an abrupt increase in load (offloading) ..... | 19 | +| | I.3 Performance guarantee regarding delay (optimization for user location) ..... | 21 | +| | I.4 Guaranteed availability in the event of a disaster or large-scale failure..... | 23 | +| | I.5 Service continuity (in the case of service termination of the original CSP) .. | 25 | +| | I.6 Market transactions in inter-cloud intermediary pattern ..... | 26 | +| | Appendix II – Use cases from cloud service providers' views ..... | 28 | +| | II.1 Use case 1 – Cloud service rebranding..... | 29 | + +| | Page | +|---------------------------------------------------------------------------------|-------------| +| II.2 Use case 2 – Discovery..... | 29 | +| II.3 Use case 3 – Intermediary ..... | 29 | +| II.4 Use case 4 – Platforming ..... | 29 | +| II.5 Use case 5 – Offloading ..... | 29 | +| II.6 Use case 6 – Virtual data centre expansion ..... | 29 | +| II.7 Use case 7 – Distributed media ..... | 29 | +| II.8 Use case 8 – Cloud storage expansion ..... | 30 | +| II.9 Use case 9 – Service delivery platform components..... | 30 | +| Appendix III – Abstract service offering models for inter-cloud computing ..... | 31 | +| III.1 Service item expansion..... | 31 | +| III.2 Service operation enhancement ..... | 32 | +| III.3 Consideration on network connectivity ..... | 33 | +| Appendix IV – Inter-cloud security aspects..... | 36 | +| Bibliography..... | 37 | + +## Recommendation ITU-T Y.3511 + +# Framework of inter-cloud computing + +# 1 Scope + +This Recommendation describes the framework for interactions between multiple cloud service providers (CSPs), which is referred to as inter-cloud computing. Based on use cases involving several CSPs and after considering different types of service offerings (given in the appendices), this Recommendation describes the possible relationships among multiple CSPs, interactions between CSPs and relevant functional requirements. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T X.1601] Recommendation ITU-T X.1601 (2014), *Security framework for cloud computing*. +- [ITU-T Y.3501] Recommendation ITU-T Y.3501 (2013), *Cloud computing framework and high-level requirements*. +- [ITU-T Y.3520] Recommendation ITU-T Y.3520 (2013), *Cloud computing framework for end to end resource management*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud service customer** [ITU-T Y.3501]: A person or organization that consumes delivered cloud services within a contract with a cloud service provider. + +**3.1.2 cloud service provider** [ITU-T Y.3501]: An organization that provides and maintains delivered cloud services. + +**3.1.3 resource management** [ITU-T Y.3520]: A way to access, control, manage, deploy, schedule and bind resources when they are provided by service providers and requested by customers. + +**3.1.4 service level agreement** [b-ISO/IEC 20000-1:2011]: Documented agreement between the service provider and customer that identifies services and service targets + +NOTE 1 – A service level agreement can also be established between the service provider and a supplier, an internal group or a customer acting as a supplier. + +NOTE 2 – A service level agreement can be included in a contract or another type of documented agreement. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 inter-cloud computing**: The paradigm for enabling the interworking between two or more cloud service providers. + +NOTE – Inter-cloud computing is also referred as inter-cloud. + +**3.2.2 primary cloud service provider:** In inter-cloud computing, a cloud service provider which is making use of cloud services of peer cloud service providers (i.e., secondary cloud service providers) as part of its own cloud services. + +**3.2.3 secondary cloud service provider:** In inter-cloud computing, a cloud service provider which provides cloud services to a primary cloud service provider. + +NOTE – The primary cloud service provider can use the services of secondary cloud service providers as part of its services offered to cloud service customers. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-----------------------------------| +| API | Application Programming Interface | +| B2B | Business-to-Business | +| CaaS | Communications as a Service | +| CDN | Content Distribution Network | +| CPU | Central Processing Unit | +| CSC | Cloud Service Customer | +| CSP | Cloud Service Provider | +| DRM | Digital Rights Management | +| IaaS | Infrastructure as a Service | +| ID | Identifier | +| IT | Information Technology | +| LAN | Local Area Network | +| NaaS | Network as a Service | +| P-CSP | Primary CSP | +| PaaS | Platform as a Service | +| QoS | Quality of Service | +| S-CSP | Secondary CSP | +| SaaS | Software as a Service | +| SDP | Service Delivery Platform | +| SLA | Service Level Agreement | +| VM | Virtual Machine | +| VPN | Virtual Private Network | + +# 5 Conventions + +In this Recommendation: + +The keywords "**is required**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +In the body of this Recommendation and its appendices, the words should, and may sometimes appear, in which case they are to be interpreted, respectively, as is recommended, and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative are to be interpreted as having no normative intent. + +# 6 Introduction + +Inter-cloud computing describes the interworking of cloud service providers (CSPs) in order to deliver services for the users. Inter-cloud relationship between CSPs can be realized by using a service from the peer CSP or by providing a service to the peer CSP. + +The case where two peer CSPs interact with each other through an inter-cloud relationship is illustrated in Figure 6-1. As shown by a pair of two arrows pointing in opposite directions in Figure 6-1, CSP A is making use of the services provided by CSP B. In this relationship, CSP A is considered as being the primary CSP while CSP B is the secondary CSP. Note that the reverse situation where CSP B is using the services offered by CSP A may also exist and in such case CSP A and CSP B are involved in two inter-cloud relationships, one for providing services to the peer CSP and the other for using the services of the peer CSP. + +![Figure 6-1: Inter-cloud relationship between peer CSPs. The diagram shows two circles representing CSP A and CSP B. CSP A contains a small square labeled 'p' (Primary CSP). CSP B contains a small square labeled 's' (Secondary CSP). Two horizontal arrows connect them: the top arrow points from CSP B to CSP A and is labeled 'Use service from'; the bottom arrow points from CSP A to CSP B and is labeled 'Provide service to'. A dashed oval encircles both arrows, with a label 'Inter-cloud relationship' and an arrow pointing to it. Below the diagram, a legend shows a box with 'p' for 'Primary CSP in the inter-cloud relationship' and a box with 's' for 'Secondary CSP in the inter-cloud relationship'. The identifier 'Y.3511(14)_F6-1' is at the bottom right.](367926125450c2bc3f4bdca9d59a62ba_img.jpg) + +Figure 6-1: Inter-cloud relationship between peer CSPs. The diagram shows two circles representing CSP A and CSP B. CSP A contains a small square labeled 'p' (Primary CSP). CSP B contains a small square labeled 's' (Secondary CSP). Two horizontal arrows connect them: the top arrow points from CSP B to CSP A and is labeled 'Use service from'; the bottom arrow points from CSP A to CSP B and is labeled 'Provide service to'. A dashed oval encircles both arrows, with a label 'Inter-cloud relationship' and an arrow pointing to it. Below the diagram, a legend shows a box with 'p' for 'Primary CSP in the inter-cloud relationship' and a box with 's' for 'Secondary CSP in the inter-cloud relationship'. The identifier 'Y.3511(14)\_F6-1' is at the bottom right. + +**Figure 6-1 – Inter-cloud relationship between peer CSPs** + +Figure 6-2 illustrates in a different way the inter-cloud relationship between CSP A and CSP B, i.e., CSP A uses the service of CSP B through the application programming interface (API) provided by CSP B, shown as API (B). Although the arrow in Figure 6-2 is only one and is shown as unidirectional from CSP A to CSP B, it should be understood as being equivalent to the inter-cloud relationship shown in Figure 6-1, i.e., covering the "use service from" and "provide service to" arrows in Figure 6-1. + +![Figure 6-2: Inter-cloud relationship using API. The diagram shows two circles representing CSP A and CSP B. CSP A contains a small square labeled 'p' (Primary CSP). CSP B contains a small square labeled 's' (Secondary CSP). A single horizontal arrow points from CSP A to CSP B. On this arrow, there is a dashed oval labeled 'API (B)'. A label 'Inter-cloud relationship' with an arrow points to this dashed oval. Below the diagram, a legend shows a box with 'p' for 'Primary CSP' and a box with 's' for 'Secondary CSP'. Below the legend, it says 'API (X): API provided by CSP X'. The identifier 'Y.3511(14)_F6-2' is at the bottom right.](a234352dfaccdc24745c88eef7724cc6_img.jpg) + +Figure 6-2: Inter-cloud relationship using API. The diagram shows two circles representing CSP A and CSP B. CSP A contains a small square labeled 'p' (Primary CSP). CSP B contains a small square labeled 's' (Secondary CSP). A single horizontal arrow points from CSP A to CSP B. On this arrow, there is a dashed oval labeled 'API (B)'. A label 'Inter-cloud relationship' with an arrow points to this dashed oval. Below the diagram, a legend shows a box with 'p' for 'Primary CSP' and a box with 's' for 'Secondary CSP'. Below the legend, it says 'API (X): API provided by CSP X'. The identifier 'Y.3511(14)\_F6-2' is at the bottom right. + +**Figure 6-2 – Inter-cloud relationship using API** + +# 7 Patterns of inter-cloud + +This clause introduces three patterns of inter-cloud for describing relations and interactions involving multiple CSPs, i.e.,: + +- The inter-cloud peering; +- The inter-cloud federation; +- The inter-cloud intermediary. + +## 7.1 Inter-cloud peering + +In inter-cloud peering, two CSPs interwork directly with each other in order to use the services provided by the peer CSP. + +NOTE 1 – Inter-cloud peering does not necessarily imply reciprocal relationships in terms of service use and service providing between the two CSPs. + +NOTE 2 – Inter-cloud peering is a fundamental pattern, which may exist on its own or can be used in the two patterns described in clauses 7.2 (inter-cloud federation) and 7.3 (inter-cloud intermediary). + +In inter-cloud peering, each CSP exposes its own API for cloud interworking and the CSPs interwork with each other directly by using the other CSP's API. As shown in Figure 7-1, CSP A interworks with CSP B using the API provided by CSP B and vice versa. Since the inter-cloud peering pattern can be used in the other pattern described in clauses 7.2 and 7.3, use of a common API between CSP A and CSP B is not precluded (see Figure 7-2). + +![Diagram of Inter-cloud peering pattern (Figure 7-1).](54fabc351eda5228d2fa28cd9ba07971_img.jpg) + +The diagram illustrates the inter-cloud peering pattern. On the left, two Customer Service Circles (CSC 1 and CSC 2) are shown. CSC 1 provides Service X to CSP A, and CSC 2 provides Service Y to CSP A. CSP A and CSP B are enclosed in a dashed box labeled 'Inter-cloud peering'. CSP A is represented by a circle containing a 'P' (Primary CSP) and an 'S' (Secondary CSP). CSP B is represented by a circle containing an 'S' (Secondary CSP) and a 'P' (Primary CSP). CSP A uses API (B) to interact with CSP B, and CSP B uses API (A) to interact with CSP A. A legend below the diagram defines the symbols: 'P' for Primary CSP, 'S' for Secondary CSP, and 'API (X): API provided by CSP X'. The reference Y.3511(14)\_F7-1 is noted at the bottom right of the diagram. + +Diagram of Inter-cloud peering pattern (Figure 7-1). + +**Figure 7-1 – Inter-cloud peering** + +As shown in Figure 7-1, the inter-cloud peering pattern consists of two inter-cloud relationships, CSP A to CSP B relationship and CSP B to CSP A relationship. CSP A is a primary CSP when using the services of CSP B provided by API (B) for providing services to its own customers (CSC1 and CSC2) and is also a secondary CSP when providing services to CSP B through its own API (A). + +![Diagram of Common API in the peering pattern (Figure 7-2).](b10763be31553f31cbb795653b731a43_img.jpg) + +The diagram illustrates the common API in the peering pattern. On the left, two Customer Service Circles (CSC 1 and CSC 2) are shown. CSC 1 provides Service X to CSP A, and CSC 2 provides Service Y to CSP A. CSP A and CSP B are enclosed in a dashed box labeled 'Inter-cloud peering'. CSP A is represented by a circle containing a 'P' (Primary CSP) and an 'S' (Secondary CSP). CSP B is represented by a circle containing an 'S' (Secondary CSP) and a 'P' (Primary CSP). CSP A and CSP B interact using a 'Common API'. A legend below the diagram defines the symbols: 'P' for Primary CSP and 'S' for Secondary CSP. The reference Y.3511(14)\_F7-2 is noted at the bottom right of the diagram. + +Diagram of Common API in the peering pattern (Figure 7-2). + +**Figure 7-2 – Common API in the peering pattern** + +Figure 7-2 illustrates the case where a common API is used between CSP A and CSP B, i.e., API (A) and API (B) in Figure 7-1 are the same. + +## 7.2 Inter-cloud federation + +Inter-cloud federation involves using the cloud services within a group of peer CSPs who mutually combine their service capabilities in order to provide the set of cloud services required by cloud service customers (CSCs). + +The multiple CSPs, which form the inter-cloud federation, establish and share the common agreement which may range from service-related policies, service level agreements (SLAs) and procedures which are relevant to the service offering and resource handling. + +Based on the agreement, a CSP in the inter-cloud federation can offer its cloud services with the help of other CSPs. + +A common API for cloud interworking is defined in the inter-cloud federation. As shown in Figure 7-3, each CSP interworks with the other CSPs in the inter-cloud federation through this common API. + +It should be noted that the inter-cloud federation pattern does not necessarily require the fully meshed configuration of CSPs interacting with each other as shown in Figure 7-3. + +![Diagram of Inter-cloud federation showing CSCs interacting with a group of CSPs via a common API.](5e92d9e8e9ce204e405bff2367f88176_img.jpg) + +The diagram illustrates the inter-cloud federation pattern. On the left, three green circles represent Cloud Service Customers (CSC 1, CSC 2, and CSC 3). Arrows labeled 'Service X', 'Service Y', and 'Service Z' point from these CSCs to a group of five blue circles representing Cloud Service Providers (CSP A, CSP B, CSP C, CSP D, and CSP E). These CSPs are enclosed in a dashed box labeled 'Inter-cloud federation'. Inside this box, all five CSPs are interconnected with each other via a 'Common API', forming a fully meshed network. The label 'Y.3511(14)\_F7-3' is located at the bottom right of the dashed box. + +Diagram of Inter-cloud federation showing CSCs interacting with a group of CSPs via a common API. + +**Figure 7-3 – Inter-cloud federation** + +## 7.3 Inter-cloud intermediary + +In the inter-cloud intermediary pattern, the CSP interworks with one or more peer CSPs and provides intermediation, aggregation and arbitrage of services provided by these CSPs. + +Service intermediation consists in conditioning or enhancing the cloud service of a peer CSP. Service aggregation relates to the composition of a set of services provided by the peer CSPs. Service arbitrage is about selecting one service offering from a group of services offered by the peer CSPs. + +Interworking between a CSP providing service intermediation, aggregation and arbitrage and the peer CSPs can rely on either the inter-cloud peering pattern or the inter-cloud federation pattern. Figure 7-4 illustrates the inter-cloud intermediary pattern where CSP A provides intermediation, aggregation and arbitrage of cloud services provided by CSPs B, C, D and E. + +![Diagram of Inter-cloud intermediary showing CSP A acting as a hub between CSCs and other CSPs.](d4af765160d04ecef538e5066006dc77_img.jpg) + +The diagram illustrates the role of an Inter-cloud intermediary. A dashed box labeled "Inter-cloud intermediary" contains CSP A, CSP B, CSP C, CSP D, and CSP E. Outside the box, CSC 1 and CSC 2 are shown. Arrows indicate the flow of services and APIs: + + +- CSC 1 provides Service X to CSP A. +- CSC 2 provides Service Y to CSP A. +- CSP A provides API (B) or common API to CSP B. +- CSP A provides API (C) or common API to CSP C. +- CSP A provides API (D) or common API to CSP D. +- CSP A provides API (E) or common API to CSP E. + + The reference Y.3511(14)\_F7-4 is located at the bottom right of the diagram. + +Diagram of Inter-cloud intermediary showing CSP A acting as a hub between CSCs and other CSPs. + +NOTE – API (X): API provided by cloud service provider X + +**Figure 7-4 – Inter-cloud intermediary** + +# 8 Overview of inter-cloud computing + +## 8.1 Relationship between intra-cloud and inter-cloud handling of resources + +For collaboration among CSPs, two types of resources can be distinguished. One includes underlying physical resources of a cloud infrastructure which are controlled and managed by the CSP who owns these resources. The other type includes resources which are abstracted from the underlying physical resources and are offered as services to CSPs. During the collaboration of CSPs, such abstracted resources are also utilized during interactions between these CSPs. + +Based on the abstraction, underlying physical resources will become abstracted resources. Detailed information of underlying physical resources, such as total central processing unit (CPU) cores and memories available in the infrastructure, will be hidden. During the collaboration among CSPs, only the information of abstracted resources, such as the CPU cores and memories dedicated to the given service, will be subject for interactions. + +Figure 8-1 shows the relationship between intra-cloud and inter-cloud and their handling of resources. + +![Diagram showing the relationship between intra-cloud and inter-cloud resource handling for CSP A and CSP B.](78ffccd66df9bafd96e3e081110d09dd_img.jpg) + +The diagram shows the relationship between intra-cloud and inter-cloud resource handling for two CSPs, CSP A and CSP B. A vertical dashed line on the left separates the "Inter-cloud" level (top) from the "Intra-cloud" level (bottom). + + +- Inter-cloud level:** A box labeled "Inter-cloud service and resource handling" is shown for both CSP A and CSP B. A horizontal line connects these two boxes, labeled "Negotiation between CSP A and CSP B for abstracted resources as services". +- Intra-cloud level:** + - For CSP A, there are two boxes: "Intra-cloud service and resource handling" and "Physical and abstracted resources". A line connects the inter-cloud box to the intra-cloud service box, labeled "Interaction between intra-cloud and inter-cloud". Below the service box is a box for "Management of underlying physical and abstracted resources". + - For CSP B, there are two boxes: "Intra-cloud service and resource handling" and "Physical and abstracted resources", connected by a vertical line. + + The reference Y.3511(14)\_F8-1 is located at the bottom right of the diagram. + +Diagram showing the relationship between intra-cloud and inter-cloud resource handling for CSP A and CSP B. + +**Figure 8-1 – Intra-cloud and inter-cloud relationship and handling of resources** + +In Figure 8-1, intra-cloud service and resource handling allows a CSP (A or B) to manage its own resources including underlying physical resources and abstracted resources. Inter-cloud service and resource handling allows a CSP to negotiate for the use of peer CSPs' abstracted resources provided as cloud services. + +For example, when CSP A decides to use resources from CSP B, its intra-cloud service and resource handling will interact with its inter-cloud service and resource handling, which will then interact with CSP B. When the inter-cloud service and resource handling of CSP B receives the request from CSP A, the request will be relayed towards its own intra-cloud service and resource handling in order for CSP B to decide whether to provide the service and associated abstracted resources to the CSP A. + +## 8.2 Overview of inter-cloud federation + +#### 8.2.1 Introduction + +In the inter-cloud federation pattern, a number of CSPs provide services to CSCs. When needed (e.g., in the event of a serious shortage in resource pool), CSPs within the inter-cloud federation utilize other CSPs' resources to provide services to their customers. + +Figure 8-2 illustrates the inter-cloud federation pattern. + +![Diagram illustrating the inter-cloud federation pattern. On the left, three Customer Service Circles (CSC 1, CSC 2, CSC 3) are shown in green. On the right, five Cloud Service Providers (CSP A, CSP B, CSP C, CSP D, CSP E) are shown in blue. A dashed box labeled 'Inter-cloud federation' encloses CSP A, CSP B, CSP C, CSP D, and CSP E. Arrows show service requests: CSC 1 to CSP A (Service X), CSC 2 to CSP A (Service Y), and CSC 3 to CSP E (Service Z). Within the federation, double-headed arrows connect CSP A to CSP B, CSP C, and CSP E; CSP B to CSP C; and CSP C to CSP D. A label 'Y.3511(14)_F8-2' is at the bottom right of the diagram.](ddc7460821484f1ae2835c67955c554c_img.jpg) + +Diagram illustrating the inter-cloud federation pattern. On the left, three Customer Service Circles (CSC 1, CSC 2, CSC 3) are shown in green. On the right, five Cloud Service Providers (CSP A, CSP B, CSP C, CSP D, CSP E) are shown in blue. A dashed box labeled 'Inter-cloud federation' encloses CSP A, CSP B, CSP C, CSP D, and CSP E. Arrows show service requests: CSC 1 to CSP A (Service X), CSC 2 to CSP A (Service Y), and CSC 3 to CSP E (Service Z). Within the federation, double-headed arrows connect CSP A to CSP B, CSP C, and CSP E; CSP B to CSP C; and CSP C to CSP D. A label 'Y.3511(14)\_F8-2' is at the bottom right of the diagram. + +**Figure 8-2 – Inter-cloud federation** + +As shown in Figure 8-2, CSC 1 and CSC 2 use services X and Y provided by CSP A, but the resources used for services X and Y may actually be provided by CSPs B, C or E. + +#### 8.2.2 Primary CSP and secondary CSP + +In an inter-cloud federation, two or more CSPs interact to provide cloud services to CSCs. The CSP that is responsible for providing the services to a given CSC is called the primary CSP while the peer CSPs in the inter-cloud federation offering their own resources as services to the primary CSP are called secondary CSPs. + +When needed, the primary CSP will make request in order to utilize the resources of secondary CSPs. The primary CSP determines which secondary CSPs will actually provide such resources (e.g., in terms of processing power, storage and networks) to the CSC. In some cases, the primary CSP may provide none of its own resources and will have to obtain all resources required for the support of services from secondary CSPs. + +The roles of primary CSP and secondary CSP depend on the individual service. For example, in Figures 8-3 and 8-4, CSP A is the primary CSP and CSPs B, C and E are secondary CSPs for services X and Y. For service Z, CSP E is the primary CSP and CSPs A and D are secondary CSPs. + +![Figure 8-3: Inter-cloud federation diagram showing CSP A as the primary CSP. CSP A (Primary) receives Service X from CSC 1, Service Y from CSC 2, and Service Z from CSC 3. CSP A is connected to CSP B (Secondary), CSP C (Secondary), and CSP E (Secondary). CSP B is connected to CSP C, and CSP C is connected to CSP D (Secondary). CSP E is connected to CSP D. A legend indicates 'P' for Primary CSP and 'S' for Secondary CSP. The diagram is labeled Y.3511(14)_F8-3.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Figure 8-3: Inter-cloud federation diagram showing CSP A as the primary CSP. CSP A (Primary) receives Service X from CSC 1, Service Y from CSC 2, and Service Z from CSC 3. CSP A is connected to CSP B (Secondary), CSP C (Secondary), and CSP E (Secondary). CSP B is connected to CSP C, and CSP C is connected to CSP D (Secondary). CSP E is connected to CSP D. A legend indicates 'P' for Primary CSP and 'S' for Secondary CSP. The diagram is labeled Y.3511(14)\_F8-3. + +**Figure 8-3 – CSP A offering services as the primary CSP with the help of secondary CSPs** + +![Figure 8-4: Inter-cloud federation diagram showing CSP E as the primary CSP. CSP E (Primary) receives Service Z from CSC 3. CSP E is connected to CSP A (Secondary), CSP B (Secondary), and CSP D (Secondary). CSP A is connected to CSP B, and CSP B is connected to CSP C (Secondary). CSP C is connected to CSP D. A legend indicates 'P' for Primary CSP and 'S' for Secondary CSP. The diagram is labeled Y.3511(14)_F8-4.](4ee27dbf5ef12e7b58b0ef0937bc5a5e_img.jpg) + +Figure 8-4: Inter-cloud federation diagram showing CSP E as the primary CSP. CSP E (Primary) receives Service Z from CSC 3. CSP E is connected to CSP A (Secondary), CSP B (Secondary), and CSP D (Secondary). CSP A is connected to CSP B, and CSP B is connected to CSP C (Secondary). CSP C is connected to CSP D. A legend indicates 'P' for Primary CSP and 'S' for Secondary CSP. The diagram is labeled Y.3511(14)\_F8-4. + +**Figure 8-4 – CSP E offering services as the primary CSP with the help of secondary CSPs** + +A given CSP can act as a primary CSP and secondary CSP, i.e., using the services of secondary CSPs (e.g., CSP A in Figure 8-3) and providing services to a primary CSP (e.g., CSP A in Figure 8-4). + +#### 8.2.3 Network connectivity + +In order to deliver cloud services based on the use of inter-cloud computing, network connectivity is required among the involved CSCs, primary CSPs and secondary CSPs. Specifically, this includes: + +- Connectivity between peer CSPs. By means of this connectivity, a primary CSP can interwork with the secondary CSPs to request a service (e.g., backup of data or transfer of virtual machines between connected CSPs). In some cases, this connectivity is provided on-demand; the connectivity is established instantaneously as the need arises and removed after the need disappears; + +- Connectivity between CSCs and CSP. By means of this connectivity, CSCs can use, operate, and manage their cloud services provided by CSPs. CSCs do not know on which CSPs their services actually run, but network connectivity facilitates access of CSCs to the appropriate CSP. + +Figure 8-5 illustrates an example of configuration involving a Software as a Service (SaaS) CSP and multiple Infrastructure as a Service (IaaS) CSPs forming an inter-cloud federation. The SaaS CSP uses virtual machines (VMs) provided by IaaS CSPs which are members of the inter-cloud federation in order to provide SaaS services (e.g., applications such as e-commerce) to its SaaS CSCs. + +![Figure 8-5: View highlighting actual running VM and application locations. The diagram shows a SaaS CSP connected to four SaaS CSCs (CSC 1-4) via Network P. The SaaS CSP contains an APP and 4 VMs. These VMs are connected via Network Q to an IaaS CSP (primary) which contains an APP and three VMs. The IaaS CSP (primary) is part of an inter-cloud federation with three secondary IaaS CSPs (A, B, C) via Networks X, Y, and Z. Each secondary IaaS CSP contains an APP and a VM. End-to-end connectivity is shown between SaaS CSCs and the primary IaaS CSP, and between the primary IaaS CSP and the secondary IaaS CSPs.](724c7777b608e53be38b12b6fb3c43bc_img.jpg) + +Legend: + +- End-to-end connectivity (indicated by double-headed arrows) +- APP: Application +- VM: Virtual machine + +Inter-cloud federation + +Y.3511(14)\_F8-5 + +Figure 8-5: View highlighting actual running VM and application locations. The diagram shows a SaaS CSP connected to four SaaS CSCs (CSC 1-4) via Network P. The SaaS CSP contains an APP and 4 VMs. These VMs are connected via Network Q to an IaaS CSP (primary) which contains an APP and three VMs. The IaaS CSP (primary) is part of an inter-cloud federation with three secondary IaaS CSPs (A, B, C) via Networks X, Y, and Z. Each secondary IaaS CSP contains an APP and a VM. End-to-end connectivity is shown between SaaS CSCs and the primary IaaS CSP, and between the primary IaaS CSP and the secondary IaaS CSPs. + +**Figure 8-5 – View highlighting actual running VM and application locations** + +For the sake of simplicity, Figure 8-5 also shows network connectivity between different CSCs and CSPs (illustrated with "Network" boxes). These "Network" boxes may be under the responsibility of third-party providers different from the IaaS CSPs and SaaS CSPs, or may be provided by the IaaS and SaaS CSPs themselves. These "Networks" are involved in the support of end-to-end network connectivity (between the SaaS CSC and the "Application" running in the IaaS CSPs). Network connectivity supported by these "Networks" may be provided as a cloud service of the NaaS service category. Network capabilities for the support of NaaS service category are for further study. + +By means of the connectivity provided by these networks, the SaaS CSCs can access the IaaS CSP on which the VMs providing the service run. The SaaS CSCs do not know on which IaaS CSPs the VMs exist, but the networks facilitate each access from SaaS CSCs to the appropriate IaaS CSP. + +For the IaaS primary CSP, in order to achieve optimal resource use, it is desirable to handle information about VM availability as well as their connectivity (including bandwidth, quality of service (QoS) and cost). The IaaS CSP may choose to provide both computing and network resources jointly. + +Multiple service offering scenarios including network contributions to the cloud services are described in Appendix III. + +#### 8.2.4 Interactions in the case of inter-cloud federation + +Figure 8-6 shows the interactions involving multiple CSPs in the case of the inter-cloud federation pattern. In the inter-cloud federation, secondary CSPs provide their resources as one kind of service to the primary CSP. + +![Sequence diagram showing interactions between CSC, Primary CSP (CSP A), and Secondary CSPs (CSP B, CSP C).](0f985b39edc1d52ba3600c438bc8f0a5_img.jpg) + +The diagram illustrates the sequence of interactions in an inter-cloud federation. It features four lifelines: CSC, CSP A (Primary CSP), and CSP B and CSP C (Secondary CSPs). The process begins with a horizontal bar at the top labeled 'Matching between QoS requirements and SLA, and policy negotiation' spanning all lifelines. Step 1, '1) Service utilization', shows an arrow from CSC to CSP A, followed by a box labeled 'Collaboration starts' on the CSP A lifeline. Step 2, '2) Resource information request', shows an arrow from CSP A to CSP B. Step 3, '3) Resource information response', shows an arrow from CSP B to CSP A. Step 4, '4) Resource reservation', shows an arrow from CSP A to CSP B. Step 5, '5) Resource set-up and service activation', shows an arrow from CSP A to CSP B. A box labeled 'Resource in use' spans the lifelines of CSP A, CSP B, and CSP C. Step 6, '6) Resource release', shows an arrow from CSP A to CSP B. The process concludes with a box labeled 'Collaboration finished' on the CSP A lifeline. The identifier 'Y.3511(14)\_F8-6' is located at the bottom right of the diagram. + +Sequence diagram showing interactions between CSC, Primary CSP (CSP A), and Secondary CSPs (CSP B, CSP C). + +**Figure 8-6 – Interaction among CSPs in inter-cloud federation** + +When the federation is established, the primary and the secondary CSPs perform matching between QoS requirements and SLA, and policy negotiation. The next steps as shown in Figure 8-6 are as follows: + +- 1) The CSC starts to use the service of CSP A. CSP A is the primary CSP for this CSC; +- 2) The primary CSP (i.e., CSP A) decides to initiate an interaction due to a shortage of resources that results in service quality degradation. CSP A requests information about the resources (e.g., VMs and storage) from CSP B and CSP C. CSP B and CSP C are the secondary CSPs for this interaction; +- 3) CSP B and CSP C provide responses to CSP A regarding available resources; +- 4) On the basis of the received responses, CSP A reserves the resources of CSP B. In this step, CSP A estimates the performance of the resources available in CSP B and confirms that the estimated performance is acceptable; +- 5) CSP A sets up the resources of CSP B and activates the service (this action can be considered as VM migration or application rebuilding). As a result, service quality is maintained. +- 6) CSP A decides to end the collaboration with CSP B (e.g., CSP A has sufficient resources to provide services by itself or demand for services has decreased). CSP A releases the resources provided by CSP B. + +These steps can be applied to every CSP involved in the inter-cloud federation. Each CSP in the federation is the primary CSP for its own CSCs and the CSPs providing resources to a primary CSP can be considered as the secondary CSPs. + +The way a primary CSP requests resources from the secondary CSPs may vary from: + +- "More-specific" resources request which includes detailed descriptions and may limit the number of candidate resources and resulting responses from the secondary CSPs but may obtain optimal resources if responded. However, complicated resource calculation and + +performance estimation may be necessary. A "more-specific" resources request is adequate when the cost associated with the offered resources is high and sensitive; + +- "Less-specific" resources request soliciting more offerings and resulting in a simple and quick decision, although the offered resources may not be optimal. + +A primary CSP may only receive and use a certain number of responses to reduce the processing burden caused by a large number of responses. + +Details related to "more-specific" and "less-specific" resource requests are for further study. + +### 8.3 Overview of inter-cloud intermediary + +#### 8.3.1 Introduction + +The inter-cloud intermediary pattern provides the capability for CSPs to offer additional services to the CSCs and to other CSPs. + +As shown in Figure 8-7, one of the central components of the inter-cloud intermediary pattern is the catalogue of service offerings. This CSP's catalogue is a registry that includes the services that the CSP offers to CSCs and to other CSPs. The catalogue provides the capability for CSCs and CSPs to obtain services from the CSP offering the services. This catalogue may be accessible through a portal and/or via a well-defined interface or API. + +![Diagram illustrating the inter-cloud intermediary pattern. A central 'Cloud service provider' box contains a 'Catalogue of service offerings' (represented by a stack of blue squares). Below this, four arrows point from the catalogue to four separate boxes: 'Cloud service provider', 'CSC 1', 'CSC 2', and 'CSC 3'. These four boxes are collectively labeled 'Cloud service customers (CSCs)'.](43837b056625d3d6ce615e4c02f163bb_img.jpg) + +``` +graph TD + CSP1[Cloud service provider] --> CSCatalogue[Catalogue of service offerings] + CSCatalogue --> CSP2[Cloud service provider] + CSCatalogue --> CSC1[CSC 1] + CSCatalogue --> CSC2[CSC 2] + CSCatalogue --> CSC3[CSC 3] + subgraph CSCs [Cloud service customers (CSCs)] + CSP2 + CSC1 + CSC2 + CSC3 + end +``` + +Diagram illustrating the inter-cloud intermediary pattern. A central 'Cloud service provider' box contains a 'Catalogue of service offerings' (represented by a stack of blue squares). Below this, four arrows point from the catalogue to four separate boxes: 'Cloud service provider', 'CSC 1', 'CSC 2', and 'CSC 3'. These four boxes are collectively labeled 'Cloud service customers (CSCs)'. + +Y.3511(14)\_F8-7 + +**Figure 8-7 – CSCs and CSPs accessing cloud services offerings through a catalogue** + +In addition to the catalogue of service offerings, the CSP can include functions for the support of service intermediation, service aggregation and service arbitration as described in clause 7.3. + +#### 8.3.2 Primary CSP and secondary CSP + +The CSP that is responsible for offering the service to the CSC is the primary CSP. The CSPs that support the primary CSP by offering their services are the secondary CSPs. + +In an inter-cloud intermediary pattern (see Figure 8-8), services listed in the primary CSP catalogue of service offerings may include the services hosted by the primary CSP itself or services that are provided by secondary CSPs. In most cases, the primary CSP catalogue of service offerings will be a combination of services hosted by the primary CSP and services offered by the secondary CSPs. + +![Diagram illustrating services provided from a secondary CSP to a primary CSP. A 'Secondary cloud service provider' box contains a 'Catalogue of service offerings' box. An arrow points from this catalogue to a 'Primary cloud service provider' box, which also contains a 'Catalogue of service offerings' box. Below the primary provider's catalogue are three boxes labeled 'CSC 1', 'CSC 2', and 'CSC 3', collectively labeled 'Cloud service customers'. Arrows point from the primary provider's catalogue to each of these three CSC boxes. The identifier 'Y.3511(14)_F8-8' is located at the bottom right of the diagram.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +Diagram illustrating services provided from a secondary CSP to a primary CSP. A 'Secondary cloud service provider' box contains a 'Catalogue of service offerings' box. An arrow points from this catalogue to a 'Primary cloud service provider' box, which also contains a 'Catalogue of service offerings' box. Below the primary provider's catalogue are three boxes labeled 'CSC 1', 'CSC 2', and 'CSC 3', collectively labeled 'Cloud service customers'. Arrows point from the primary provider's catalogue to each of these three CSC boxes. The identifier 'Y.3511(14)\_F8-8' is located at the bottom right of the diagram. + +**Figure 8-8 – Services provided from a secondary CSP to a primary CSP** + +The primary CSP may offer services from multiple secondary CSPs. Some of the services offered by the secondary CSPs may themselves be their own services or services from other CSPs. Note that the roles of primary and secondary service providers may change depending on the service under consideration. + +The primary CSP serving the CSC provides the service level agreement (SLA) to the CSC and is responsible for ensuring that both services hosted by that primary CSP and services offered from a secondary CSP will meet the SLA between the CSC and the primary CSP. + +#### 8.3.3 Network connectivity + +In considering network connectivity for the inter-cloud intermediary pattern, multiple levels of connectivity may be required. + +In the simplest case, the CSP providing services to the CSC (the primary CSP) is hosting all of the services and is providing the network connectivity to the CSC. In this case, the CSP can offer an SLA covering both the cloud and network services. + +In a more common case, the CSP providing services to the CSC (the primary CSP) will offer some of the hosted services but will also be offering services from one or more secondary CSPs. The network connectivity between the primary and the secondary CSPs may be offered as one of the primary CSP's services or it may be provided by a distinct third party network provider. + +As illustrated by Figure 8-9, the primary CSP is responsible for ensuring that the SLA between the primary CSP and the CSC is met taking into account: + +- 1) the network connectivity between the primary CSP and the CSC; +- 2) the services from the primary CSP; +- 3) the network connectivity between the primary CSP and the involved secondary CSPs; +- 4) the services from the secondary CSPs. + +![Figure 8-9: Primary and secondary CSPs and relevant network connectivity. The diagram shows a 'Secondary cloud service provider' at the top with a 'Catalogue of service offerings'. A double-headed arrow labeled 'Connectivity between secondary CSPs and primary CSP' connects it to a 'Primary cloud service provider' below. The primary provider also has a 'Catalogue of service offerings' and is connected via another double-headed arrow labeled 'Connectivity between primary CSP and CSPs' to three 'Cloud service customers' (CSC 1, CSC 2, CSC 3). Arrows also point from the primary provider's catalogue to each CSC.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +Figure 8-9: Primary and secondary CSPs and relevant network connectivity. The diagram shows a 'Secondary cloud service provider' at the top with a 'Catalogue of service offerings'. A double-headed arrow labeled 'Connectivity between secondary CSPs and primary CSP' connects it to a 'Primary cloud service provider' below. The primary provider also has a 'Catalogue of service offerings' and is connected via another double-headed arrow labeled 'Connectivity between primary CSP and CSPs' to three 'Cloud service customers' (CSC 1, CSC 2, CSC 3). Arrows also point from the primary provider's catalogue to each CSC. + +**Figure 8-9 – Primary and secondary CSPs and relevant network connectivity** + +As illustrated in Figure 8-9, the CSCs use services provided by the primary CSP. The catalogue of service offerings in the primary CSP includes services from the secondary CSP. Since the CSCs use services through the primary CSP, the primary CSP is responsible for ensuring that the service levels provided to the CSC meet the SLA. + +#### 8.3.4 Interactions in the case of inter-cloud intermediary + +Figure 8-10 shows the interactions involving a CSC and multiple CSPs in the case of the inter-cloud intermediary pattern. + +![Figure 8-10: Interactions in inter-cloud intermediary pattern. A sequence diagram with participants: CSC, Primary CSP (CSP A), and Secondary CSPs (CSP B, CSP C). 1) Service information collection/registration: CSP A sends a message to CSP B and CSP C. 2) Service catalogue creation: CSP A sends a message to the CSC. 3) Service selection: The CSC sends a message to CSP A. 4a) Service offering (by primary CSP A directly): CSP A sends a message to the CSC. 4b) Service offering (by secondary CSP B via primary CSP A): CSP B sends a message to CSP A, which then forwards it to the CSC. 4c) Service offering (by secondary CSP C via primary CSP A): CSP C sends a message to CSP A, which then forwards it to the CSC.](898fb89a50d9ec1dfb4e425c816976a7_img.jpg) + +Figure 8-10: Interactions in inter-cloud intermediary pattern. A sequence diagram with participants: CSC, Primary CSP (CSP A), and Secondary CSPs (CSP B, CSP C). 1) Service information collection/registration: CSP A sends a message to CSP B and CSP C. 2) Service catalogue creation: CSP A sends a message to the CSC. 3) Service selection: The CSC sends a message to CSP A. 4a) Service offering (by primary CSP A directly): CSP A sends a message to the CSC. 4b) Service offering (by secondary CSP B via primary CSP A): CSP B sends a message to CSP A, which then forwards it to the CSC. 4c) Service offering (by secondary CSP C via primary CSP A): CSP C sends a message to CSP A, which then forwards it to the CSC. + +**Figure 8-10 – Interactions in inter-cloud intermediary pattern** + +Along with the service offering, the description hereafter shows the interactions involving multiple CSPs. The steps as shown in Figure 8-10 are as follows: + +- 1) The primary CSP collects service information from the secondary CSPs, or the secondary CSPs register their services to the primary CSP. Difference in terms of SLAs is negotiated as well; +- 2) The primary CSP creates the catalogue of service offerings by combining the list of hosted services and the services provided by the secondary CSPs; + +- 3) The CSC accesses the primary CSP's catalogue of service offerings and selects one or some of the services in the catalogue; +- 4) The primary CSP arranges the service selected by the CSC. The service may be provided by the primary CSP, by (some of) the secondary CSP(s) or by a combination of these CSPs. The primary CSP intermediates, aggregates and/or arbitrages the services (see clause 7.3). The CSC starts using the service. + +In practice, the actual process will be more complex. There are different ways for the CSC to use the services. If the requested service is hosted in the primary CSP, the CSC may access to this service directly (in the case of 4a)). If the requested service is offered by a secondary CSP, the CSC may access to the service in the secondary CSP via the primary CSP (in the cases of 4b) and 4c)). In the latter case, the network conditions, service characteristics and service agreement among the CSC, the primary CSP and the involved secondary CSP should be considered in order that the CSC accesses to the service in an appropriate manner. + +# **9 Functional requirements for inter-cloud** + +This clause describes the CSPs' capabilities necessary to support different inter-cloud computing patterns described in clause 8. + +The capabilities and the relevant requirements identified in this clause are complementary to the general requirements applicable to a CSP involved in inter-cloud as specified in [ITU-T Y.3501]. + +## **9.1 SLA and policy negotiation** + +The SLA and policy negotiation capability deals with the matching made by a primary CSP between SLA requirements of a CSC and the SLAs of secondary CSPs involved in the considered inter-cloud pattern. The subject includes the QoS related aspects. This capability also deals with the negotiation of service provisioning policies associated with the different CSPs involved in the inter-cloud pattern. + +The SLA requirements (including QoS) of a CSC for a given cloud service are expected to be met by appropriate interworking with selected CSPs, even in the event of service performance degradation or a disaster. + +The SLA and policy negotiation capability is required to: + +- be aware of the SLA information related to the QoS and performance aspects of the CSPs involved in the inter-cloud using standard formats. + +The SLA and policy negotiation capability is recommended to: + +- allow comparing, negotiating and settling down service provisioning policies between multiple CSPs (for example, based on the settlement, these CSPs may be considered as a trusted group for inter-cloud support). + +NOTE – In this clause, policy refers to a way for a CSP to provide services in terms of presumed reliability, including its backup scheme and target service levels. The policy affects SLAs. Policies may be different among CSPs. Policies may be negotiated beforehand and settled. This process is referred to as the policy negotiation. + +## **9.2 Resource monitoring** + +The resource monitoring capability deals with the monitoring by the primary CSP of the resources of the secondary CSPs and the status attributes of these resources (e.g., usage amount, performance and quality aspects). The primary CSP collects and monitors the information from the secondary CSPs in a secure way. By monitoring the secondary CSPs' resources status (e.g., availability and dead/alive status of machines) and detecting service level performance degradation (in terms of delay and response time), the primary CSP can initiate actions to maintain service availability with the help of other secondary CSPs. + +The resource monitoring capability is recommended to: + +- allow describing and expressing the resource information (e.g., resource type, configuration and status) in a standard manner in order to be able to monitor these resources across multiple CSPs; +- allow updating the resource information across multiple CSPs in synchronization with the events (e.g., reserve or release of resources) involving the CSPs; +- allow periodically, or on a request basis, collecting information about the usage and performance status of the resources of multiple CSPs; +- allow periodically, or on a request basis, collecting information about the resource availability (e.g., dead or alive status of machines) of multiple CSPs; +- allow exchange of monitoring information in commonly defined ways across multiple CSPs. + +## **9.3 Resource performance estimation and selection** + +The resource performance estimation and selection capability deals with the selection of resources from the candidate resources that have already been reserved in peer CSPs. This capability estimates the achievable performance of available reserved resources and assists the CSP in the selection of resources to be effectively used. + +The resource performance estimation and selection capability is recommended to: + +- allow estimating the achievable performance of available reserved resources (e.g., computing resources, storage resources, input/output capacity between storage resources, network bandwidth) in the secondary CSPs. + +## **9.4 Resource discovery and reservation** + +The resource discovery and reservation capability deals with search, discovery and reservation of available resources in the peer CSPs. This capability also deals with reservation acknowledgement for the candidate resources that have been tentatively reserved in the peer CSPs. + +The resource discovery and reservation capability is recommended to: + +- enable discovery of resources available in the peer CSPs; +- allow the reservation of discovered resources in the peer CSPs; +- allow provisional reservation of discovered resources, i.e., to keep the resources to be used (as candidates), for later acknowledgement (for some of them) or release (for others); +- allow finding available resources in the peer CSPs based on different priorities (e.g., in a different order of searching); + +NOTE 1 – Quality requirements may vary from service to service and each resource contribution to the service quality may vary as well. For example, if latency is critical, it should be possible to first reserve resources in the servers that are near to the user and then reserve the network resources. In contrast, if bandwidth is critical, it should be possible to first reserve resources of the networks that can provide sufficient bandwidth and then search for available resource in the servers that are connected to those networks. + +- allow reservation of available resources in the peer CSPs on the basis of different priorities (e.g., early recovery, required quality guarantee, service type, etc.). + +NOTE 2 – For example, a vast quantity of resources is required for recovery from a large-scale disaster. However, all required resources may not necessarily be available. In that case, it should be possible to forcefully reserve resources for lifeline services rather than for other services. + +## **9.5 Resource set-up and activation** + +The resource set-up and activation capability deals with the set up and activation of reserved resources in the peer CSPs. This includes connecting to the peer CSPs via networks, remotely activating (i.e., invoking) software and transferring or copying data to enable the use of resources in the peer CSPs. + +The resource set-up and activation capability is recommended to: + +- allow the establishment of reserved resources in a peer CSP; +- allow accessing to the configuration and policy settings of reserved resources in the peer CSPs. + +## **9.6 Cloud services switchover and switchback** + +The cloud services switchover and switchback capability deals with the switchover of the CSC's end-user access to cloud services from the primary CSP to a peer CSP to which the services may be provided in order to cope with degradation in service performance or a serious problem. It also deals with the switchback to the primary CSP when it is able to provide the services again. It should be noted that the reasons for switch-over ranges from a load distribution between CSPs, in which the primary CSP role is maintained as it is, to a serious problem, in which the primary CSP role is delegated to the peer CSP. The capability differences to reflect those reasons need further study. + +The cloud service switchover and switchback capability is recommended to: + +- allow switching over CSC's end-user access to a peer CSP (acting as primary CSP) without manual operation from the CSC, in order to allow the CSC's end user to use services in a similar manner to the way they did before the access was switchover; +- allow switching back the CSC's end-user access to the primary CSP when this CSP has recovered from the reasons that led to the switchover (e.g., a disaster or load distribution between peer CSPs is no longer needed). + +## **9.7 Resource release** + +The resource release capability deals with the release by a CSP of the peer CSPs' (reserved and/or used) resources after determining that these resources are no longer needed, e.g., based on monitoring the results such as disaster recovery has been completed or load has been reduced. + +The resource release capability is recommended to: + +- allow releasing by the CSP of resources reserved, activated and/or set up in the peer CSPs; +- allow updating the peer CSP's resource configuration information; +- allow erasing and/or transferring back cloud application data received during the resource reservation. + +## **9.8 CSC information exchange** + +The CSC information exchange capability deals with exchanging CSC profiles and associated information between a primary CSP and the secondary CSPs. The information associated with a CSC is initially maintained by the primary CSP. When the primary CSP requests that the secondary CSPs should provide additional resources and run applications over the secondary CSP resources, the secondary CSPs may need to perform customer management by inheriting the CSC profiles and associated information given by the primary CSP. Activation of CSC information exchange needs prior agreement of the CSC. + +The CSC information exchange capability is required to: + +- be activated only with the prior agreement of the CSC; +- be able to manage CSC profiles and associated information. + +The CSC information exchange capability is recommended to: + +- be able to exchange CSC profiles and associated information among multiple CSPs according to a pre-determined protocol and format, with the condition that the CSC is informed of and agrees to the exchange. + +## **9.9 Primary CSP role delegation** + +The primary CSP role delegation capability deals with transferring the primary CSP role to one of the secondary CSPs, e.g., in the event of a serious problem caused by natural disasters or permanent service termination occurring at the current primary CSP. In preparation for the serious problem or permanent service termination at the primary CSP, all management information associated with the primary CSP is shared with the secondary CSPs, while the absolute controllability of the information, i.e., permission to update the information, is still held by the primary CSP. When the serious problem or service termination occurs, the absolute controllability for a given primary CSP role, i.e., permission, is transferred to one of the designated secondary CSPs. By transferring the responsibility of the primary CSP role with associated management information, the service can continue even if the primary CSP's systems are seriously damaged, e.g., due to a natural disaster or the CSP stops a service due to economic decisions (refer to use cases in clauses I.4 and I.5). Activation of the primary CSP role delegation needs prior agreement of the CSC. + +The primary CSP role delegation capability is required to: + +- be activated only with the prior agreement of the CSC. + +The primary CSP role delegation capability is recommended to: + +- allow a CSP to discover peer CSPs that are capable of inheriting the primary CSP role, and enable the CSP to negotiate with these peer CSPs as to whether they can accept the inheritance; +- allow a CSP to transfer its management information associated with the primary CSP role in a reliable manner (e.g., periodically) to the peer CSPs that have accepted the permission transfer with that CSP; +- allow the controllability of the information associated with the primary CSP role to be transferred to the secondary CSPs with minimum interruptions; +- allow a CSP to cancel the permission transfer arrangements. + +## **9.10 Inter-cloud service handling** + +The inter-cloud service handling capability deals with the primary CSP offering cloud services to its CSCs based on the handling of services provided by the secondary CSPs. This capability can be used for inter-cloud intermediary pattern. + +The inter-cloud service handling capability is required to: + +- support service intermediation, i.e., conditioning or enhancing the cloud service of a peer CSP; +- support service aggregation, i.e., providing the composition of a set of services provided by the CSPs; +- support service arbitrage, i.e., selecting one service offering from a group offered by the peer CSPs. + +# **10 Security considerations** + +The security framework for cloud computing is described in [ITU-T X.1601] covering security challenges for CSPs. In particular, [ITU-T X.1601] analyses security threats and challenges in the cloud computing environment and describes security capabilities that could mitigate these threats and meet security challenges. + +Appendix IV identifies important aspects that should be considered when developing Recommendations addressing inter-cloud security aspects. + +## Appendix I + +### Use cases from the inter-cloud perspective + +(This appendix does not form an integral part of this Recommendation.) + +This appendix describes use cases in which multiple cloud computing systems interact with each other to satisfy the specified requirements and how cloud systems work in each use case. + +### I.1 SLA mapping in intermediary pattern + +This use case illustrates the SLA mapping between the primary CSP in inter-cloud intermediary pattern (called CSP-Intermediary) and other secondary CSPs. + +Multiple CSPs contribute to, or impact concurrently, the SLA between the CSP-Intermediary and the CSC when an orchestrated service is provided. + +Table I.1 shows SLA mapping in an inter-cloud intermediary pattern. + +**Table I.1 – SLA mapping in an inter-cloud intermediary pattern** + +| Use case | | +|-------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Use case title | SLA mapping in an inter-cloud intermediary pattern | +| Relevant roles | CSC and CSP | +| Use case description |
  • – The primary CSP in an inter-cloud intermediary pattern (CSP-Intermediary) is the contact point for CSC and there is SLA (SLA0) between them.
  • – The CSP-Intermediary integrates services from multiple CSPs, for instance, storage service from CSP-1 and computing service from CSP-2. There are business-to-business (B2B) level SLAs between CSP-Intermediary and CSP-1, CSP-2 respectively (SLA1, SLA2).
  • – For the CSP-Intermediary, in order to guarantee SLA0 for CSC, it is necessary to map SLA0 to SLA1 and SLA2, because SLA0 is actually implemented by SLA1 and SLA2.
| +| Information flow | SLA mapping may be performed via explicit information exchange or off-line negotiation. | +| High-level figure describing the use case |

Image: Diagram illustrating SLA mapping in an inter-cloud intermediary pattern. A circle labeled 'CSC' is connected to a rectangle labeled 'CSP (Intermediary)' by a double-headed arrow labeled 'SLA 0'. The 'CSP (Intermediary)' rectangle is connected to two other rectangles: 'CSP-1 with storage service' and 'CSP-2 with computing service'. The connection to 'CSP-1' is labeled 'SLA 1' and the connection to 'CSP-2' is labeled 'SLA 2'. Below the diagram is the text 'Y.3511(14)_F1.Tab1'.

| +| Derived requirements for cloud capability |
  • – The capability to support SLA negotiation between CSP-Intermediary and other CSPs is recommended.
  • – The capability to support coordination of the SLAs from multiple CSPs (which is related to a business decision) is recommended.
| + +### I.2 Performance guarantee against an abrupt increase in load (offloading) + +Table I.2 shows an inter-cloud use case where performance is guaranteed in case of an abrupt increase in load. + +NOTE – The following legend applies to the Figures in Tables I.2 to I.5: + +- ![Green square icon](8c2e0322b8b969b24b74c05608fd44ba_img.jpg) Virtual resources (i.e., virtual machine, virtual storage, and virtual network) +- ![Red circle icon with 'o'](55384de52fe16cec31fb89fa823a1bb2_img.jpg) Ongoing applications (e.g., snapshot image of the main memory) +- ![Blue circle icon with 'n'](ce79f088ec0b21db95850d351ca7e897_img.jpg) Newly invoked applications +- Y.3511(14)\_FI.Lgnd + +**Table I.2 – Inter-cloud use case: Performance guarantee against an abrupt increase in load** + +| Use case | | +|-------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Use case title | Inter-cloud use case: Performance guarantee against an abrupt increase in load | +| Relevant roles | CSP and CSC | +| Use case description |
  • – A CSP guarantees its service performance, even when an unexpected surge in access to the service arises, by using cloud resources provided by other CSPs on a temporary basis.
  • – When overload is detected at a CSP, available resources in other CSPs are autonomously discovered and reserved through the inter-cloud federation.
  • – Network connections among interworking CSPs are instantaneously established or reconfigured. Then service-related data including user identifier (ID), user data and application data are transferred from the original CSP to the CSP that is leasing the resources.
  • – Access from CSCs is appropriately changed to the interworking CSPs so as to distribute the load and thus mitigate the overload of the original CSP.
| +| Information flow |
  • – Relevant CSPs are supposed to join a common trusted alliance (i.e., federation) in advance and set up the service level agreements (SLAs).
  • – A CSP inquires about the resource availability of other CSPs in the federation and requests reservation of the available resources that meet the quality requirements of the CSC. The requested CSPs reply whether or not they are able to lease the requested resources.
  • – The cloud resource management (e.g., CRUD: create, read, update and delete) are operated across multiple CSPs. The management is to enable cloud resources to be leased from different CSPs in the federation.
  • – The relevant CSPs exchange monitoring and auditing information of the leased resources.
| +| High-level figure describing the use case | Diagram illustrating the inter-cloud use case for performance guarantee against an abrupt increase in load. The diagram shows a Primary-CSP (green square) and a Secondary-CSP (blue square) within a Group of CSPs. CSCs (yellow circles) are shown accessing the Primary-CSP. The process flow is: 1. CSCs access P-CSP services. 2. Abrupt CSC accesses exhaust P-CSP resources. 3. If the P-CSP detects the lack of resources, it chooses an S-CSP, reserves the resource, and invokes the application to offer the same service. 4. P-CSP changes new CSC access to the S-CSP. Pre-processes: CSPs form a group with service level agreement (i.e., policy negotiation). The P-CSP monitors its performance and resource consumption. Note: After the actions, P-CSP monitors its activity to revert the service move. In the figure, the CSCs who are already served by P-CSP are not changed. New CSCs are served by S-CSPs. A single S-CSP is assumed in the figure. Multiple S-CSP may be needed to cope with P-CSP's extreme overload.

Pre-processes

  • • CSPs form a group with service level agreement (i.e., policy negotiation).
  • • The P-CSP monitors its performance and resource consumption.

1. CSCs access P-CSP services.

2. Abrupt CSC accesses exhaust P-CSP resources.

3. If the P-CSP detects the lack of resources, it chooses an S-CSP, reserves the resource, and invokes the application to offer the same service.

4. P-CSP changes new CSC access to the S-CSP.

NOTE –

  • • After the actions, P-CSP monitors its activity to revert the service move.
  • • In the figure, the CSCs who are already served by P-CSP are not changed. New CSCs are served by S-CSPs.
  • • A single S-CSP is assumed in the figure. Multiple S-CSP may be needed to cope with P-CSP's extreme overload.

Y.3511(14)_FI.Tab2

| + +**Table I.2 – Inter-cloud use case: Performance guarantee against an abrupt increase in load** + +| Use case | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Derived requirements for the cloud capability |

The capability is required to support:

  • – Policy negotiation including SLA management among the multiple CSPs within a pre-established group (i.e., federation);

NOTE – Policy refers to a way for a CSP to provide services in terms of presumed reliability of a machine, including its backup scheme and target service levels. The policy may be different with each CSP. To maintain the same quality of service to the CSC even when the CSP changes, the difference should be negotiated beforehand and settled. This process is referred to as policy negotiation. The same note applies to the other use cases.

  • – Self-performance monitoring at a CSP. If the performance degrades, the CSP should initiate the next configured actions;
  • – Discovery, reservation, use and release of cloud resources in a dynamic manner (i.e., not relying on the pre-configuration) on other CSPs within a federation;
  • – Application invocation over the reserved resources on other CSPs within a federation;
  • – Alteration and reversion (i.e., switchover and switchback) of CSC access from one CSP to another CSP in a dynamic manner (i.e., not relying on the pre-configuration) within a federation;
  • – Exchange of monitoring and auditing information among the multiple CSPs within a federation;
  • – Exchange of authentication information about CSC (user/enterprise) authentication status among the multiple CSPs within a federation.
| + +### I.3 Performance guarantee regarding delay (optimization for user location) + +Table I.3 shows inter-cloud use case for performance guarantee regarding delay. + +**Table I.3 – Inter-cloud use case: Performance guarantee regarding delay** + +| Use case | | +|----------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Use case title | Inter-cloud use case: Performance guarantee regarding delay | +| Relevant roles | CSP and CSC | +| Use case description |
  • – CSPs guarantee their service performance (in particular, network delay and response time), even when a CSC moves to a remote location (e.g., on a business trip), by using cloud resources provided by another CSP located close to the CSC on a temporary basis.
  • – When degradation in the response time is detected for a CSC at a CSP, available resources are autonomously discovered and reserved in another CSP that is near the CSC based on the user's location information.
| + +**Table I.3 – Inter-cloud use case: Performance guarantee regarding delay** + +| Use case | | +|-------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – Network connections among interworking CSPs are instantaneously established or reconfigured. Then service-related data including user identifier (ID), user data and application data are transferred from the original CSP to the CSP that is leasing the resources.
  • – Access from CSCs is appropriately changed to the interworking CSP so as to achieve route optimization and thus mitigate the performance degradation caused by the distance from the original CSP.
  • – As a result, the CSC, who keeps the same user ID, can continuously access the service at the same level of response time as before.
| +| Information flow |
  • – Relevant CSPs are supposed to join a common trusted alliance (federation) in advance and set up the service level agreements (SLAs).
  • – A CSP inquires about the resource availability of other CSPs in the federation, and requests a reservation of available resources that meet the quality requirements of the CSC. The requested CSPs reply whether or not they are able to lease the resources.
  • – The cloud resource management (e.g., CRUD: create, read, update and delete) are operated across multiple CSPs. The management is to enable the leasing of cloud resources from different CSPs in the federation.
  • – The relevant CSPs exchange monitoring and auditing information of the leased resources.
| +| High-level figure describing the use case |

Image: Diagram illustrating the inter-cloud use case for performance guarantee regarding delay. The diagram shows a CSC moving from a Primary-CSP to a Secondary-CSP, and then to an S-CSP. The process involves pre-processes, service migration, and monitoring.

The diagram illustrates the inter-cloud use case for performance guarantee regarding delay. It shows a CSC (Cloud Service Consumer) moving from a Primary-CSP to a Secondary-CSP, and then to an S-CSP (Service Cloud Provider). The process involves pre-processes, service migration, and monitoring.

Pre-processes:

  • • CSPs form a group with service level agreement (i.e., policy negotiation).
  • • The P-CSP monitors CSC's quality of service.

Steps:

  1. 1. CSCs accesses P-CSP services.
  2. 2. The CSC moves.
  3. 3. If the P-CSP detects the service degradation and location change of the CSC, it chooses an S-CSP nearer to the CSC, reserves the resource, and performs migration to continue the service.
  4. 4. P-CSP changes the CSC access to the S-CSP.

NOTE –

  • • After the actions, S-CSP monitors the CSC's quality of service.
  • • P-CSP may take care of the CSC even after CSC moves.
  • • A single S-CSP is assumed as the recipient because the migration is triggered by one CSC to be served by another CSP.

Y.3511(14)_FI_Tab3

| + +**Table I.3 – Inter-cloud use case: Performance guarantee regarding delay** + +| Use case | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Derived requirements for the cloud capability |

The capability is required to support:

  • – Policy negotiation including SLA management among the multiple CSPs within a pre-established group (i.e., federation);
  • – CSC service level monitoring at CSP. If the service level degrades, the CSP should initiate the next configured actions;
  • – Discovery, reservation, use and release of cloud resources, based on CSC location, in a dynamic manner (i.e., not relying on the pre-configuration) on other CSPs within the federation;
  • – Capability migration (e.g., virtual machine (VM) and applications) over the reserved resources on other CSPs within the federation;
  • – Alteration and reversion (i.e., switchover and switchback) of CSC access to one CSP to another CSP in a dynamic manner (i.e., not relying on the pre-configuration) within the federation;
  • – Exchange of monitoring and auditing information among the multiple CSPs within the federation;
  • – Exchange of authentication information about CSC (user/enterprise) authentication status among the multiple CSPs within the federation.
| + +### I.4 Guaranteed availability in the event of a disaster or large-scale failure + +Table I.4 shows inter-cloud use case for guaranteed availability in the event of a disaster or large-scale failure. + +**Table I.4 – Inter-cloud use case: Guaranteed availability in the event of a disaster or large-scale failure** + +| Use case | | +|----------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Use case title | Inter-cloud use case: Guaranteed availability in the event of a disaster or large-scale failure | +| Relevant roles | CSP and CSC | +| Use case description |
  • – CSPs continue offering their service using the resources leased from each other, even when systems in one CSP are damaged due to natural disasters or large-scale failures.
  • – Available resources in other CSPs are autonomously discovered and reserved through the inter-cloud federation.
  • – The services with a high priority are only recovered if available resources are not sufficient to recover all services. In examining the availability of resources provided by other CSPs, the guaranteed level of quality of the resources is taken into account.
| + +**Table I.4 – Inter-cloud use case: Guaranteed availability in the event of a disaster or large-scale failure** + +| Use case | | +|-------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – The services requiring early recovery are recovered using available resources on a best-effort basis even if their quality requirements are partly satisfied.
  • – Network connections among interworking CSPs are instantaneously established or reconfigured. The lead CSP, which is preconfigured and governs the recovery procedure, manages the roles of available CSPs and instructs service continuation based on the original CSP data.
  • – Access from CSCs is appropriately distributed to the interworking CSPs so as to achieve the disaster recovery and thus mitigate the service discontinuity.
| +| Information flow |
  • – Relevant CSPs are supposed to join a common trusted alliance (federation) in advance and set up the service level agreements (SLAs).
  • – The lead CSP, which is preconfigured and governs the recovery procedures, inquires about the resource availability of other CSPs in the alliance to recover its cloud services to meet quality requirements of the CSCs. The requested CSPs reply whether or not they are able to lease the resources.
  • – The cloud resource management (e.g., CRUD: create, read, update and delete) is operated across multiple CSPs. The management is to enable leasing of cloud resources from different CSPs in the alliance.
  • – The relevant CSPs exchange monitoring and auditing information of the leased resources.
| +| High-level figure describing the use case |

Pre-processes

  • • CSPs form a group with service level agreement (i.e., policy negotiation).
  • • P-CSP replicates its data to other S-CSPs in advance.
  • • The lead S-CSP, pre-configured, monitors P-CSP activity on behalf of the group.

Image: Diagram illustrating the disaster recovery process in a CSP group. A CSC (Customer Service Center) accesses P-CSP services. The Primary-CSP (P-CSP) is the main service provider. If the P-CSP suffers from a disaster, the Lead secondary-CSP (S-CSP) takes over. The S-CSPs are part of a Group. The diagram shows the flow of services and the roles of the CSPs during a disaster recovery scenario.

1. CSCs access P-CSP services.

2. The P-CSP suffers from disaster.

3. If the lead S-CSP detects P-CSP in trouble, it decides roles of S-CSPs. The S-CSPs reserve the resources and invoke the application to offer the same services.

4. S-CSPs change CSC access.

NOTE –

  • • S-CSPs may try to guarantee some services by prioritizing them than the other services.
  • • S-CSPs offer the original P-CSP service for new CSCs. Ongoing services for existing CSCs, though, may not be resumed because of the lost status at that moment. Damaged P-CSP may send the status, if available, and assist service continuation at S-CSPs.
  • • Multiple S-CSPs are assumed as the recipients. Each S-CSP supports some of the P-CSP services. A single S-CSP may be sufficient in case of backing up a small P-CSP.

Y.3511(14)_Fl.Tab4

| +| Derived requirements for cloud capability |

The system is required to support:

  • – Policy negotiation including SLA management among the multiple CSPs within a pre-established group;
  • – Self-activity monitoring at a CSP or mutual activity monitoring among the CSPs in a pre-established group. If the activity disappears, the detecting CSP should initiate the pre-configured actions;
  • – Discovery, reservation, use and release of cloud resources in a dynamic manner (i.e., not relying on the pre-configuration) on other CSPs within the federation;
| + +**Table I.4 – Inter-cloud use case: Guaranteed availability in the event of a disaster or large-scale failure** + +| Use case | | +|----------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – Application invocation over the reserved resources on other CSPs within the federation;
  • – Alteration and reversion (i.e., switchover and switchback), in a dynamic manner (i.e., not relying on the pre-configuration), of CSC access to any CSP within the federation;
  • – Exchange of monitoring and auditing information among the multiple CSPs within the federation;
  • – Exchange of authentication information about CSC (user/enterprise) authentication status among the multiple CSPs within the federation.
| + +### **I.5 Service continuity (in the case of service termination of the original CSP)** + +Table I.5 shows an inter-cloud use case for service continuity in the case of service termination of the original CSP. + +**Table I.5 – Inter-cloud use case: Service continuity** + +| Use case | | +|----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Use case title | Inter-cloud use case: Service continuity | +| Relevant roles | CSP and CSC | +| Use case description |
  • – The cloud service offering continues through the collaboration with other CSPs, even when the original CSP terminates its business.
  • – Available resources in the CSPs other than the service-terminating CSP are discovered and reserved in advance.
  • – Network connections among the interworking CSPs are established or reconfigured. Then service-related data including user identifier (ID), user data and application data are transferred from the original CSP to the new CSPs.
  • – Access from CSCs is appropriately changed to the interworking CSPs so that the same service is continuously offered.
  • – If the capabilities (VM and applications) at the original CSP migrate to other CSPs, the CSC, who keeps the same user ID, can continuously access the service at the same level of performance as before.
| +| Information flow |
  • – The relevant CSPs are supposed to join a common trusted alliance in advance and set up the service level agreements (SLAs).
  • – The terminating CSP inquires about the resource availability of other CSPs in the alliance and requests a reservation of the available resources to continue the services.
  • – The cloud resource management (e.g., CRUD: create, read, update and delete) are operated across multiple CSPs. The management is to enable leasing of the cloud resources from different CSPs in the federation.
| + +**Table I.5 – Inter-cloud use case: Service continuity** + +| Use case | | +|-------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| High-level figure describing the use case |

Pre-processes

  • • CSPs form a group with service level agreement (i.e., policy negotiation).
  • • P-CSP replicates its data to other S-CSPs in advance.

Image: Diagram illustrating the service continuity use case. A CSC (Customer Service Center) is shown on the left. A Primary-CSP is shown in the center, and a group of S-CSPs (Secondary-CSP, S-CSP, and another S-CSP) is shown on the right. The diagram shows the flow of service migration from the Primary-CSP to the S-CSPs. The steps are: 1. A CSC accesses P-CSP services. 2. The P-CSP initiates service closure. 3. The P-CSP chooses S-CSPs and reserves the resources. 3a. When some CSCs are in service, the P-CSP performs migration to continue the service to the CSCs. 3b. When no CSC is in service, the S-CSP invokes application to offer the same service. 4. P-CSP changes the CSC access to the S-CSP. A note at the bottom states: NOTE – When all services and their users are moved to other S-CSPs, P-CSP will close the service.

NOTE – When all services and their users are moved to other S-CSPs, P-CSP will close the service.

Y.3511(14)_F1_Tab5

| +| Derived requirements for cloud capability |

The system is required to support:

  • – Policy negotiation including SLA management among the multiple CSPs within a pre-established group (federation);
  • – Discovery, reservation, use and release of the cloud resources in a dynamic manner (i.e., not relying on the pre-configuration) across the multiple CSPs within the federation;
  • – Capability migration (e.g., VM and applications) among multiple CSPs within the federation;
  • – Alteration (i.e., switchover) of the CSC access, in a dynamic manner (i.e., not relying on the pre-configuration), from one CSP to another CSP within the federation;
  • – Exchange of authentication information about CSC (user/enterprise) authentication status among the multiple CSPs within the federation.
| + +### I.6 Market transactions in inter-cloud intermediary pattern + +Table I.6 shows inter-cloud use case for market transactions in inter-cloud intermediary pattern. + +**Table I.6 – Inter-cloud use case: Market transactions in inter-cloud intermediary pattern** + +| Use case | | +|-------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Use case title | Inter-cloud use case: Market transactions in inter-cloud intermediary pattern | +| Relevant roles | CSP and CSC | +| Use case description |
  • – The primary CSP in an inter-cloud intermediary pattern (CSP-Intermediary) mediates between CSPs meeting the CSC's quality requirements and provides the list of selected CSPs to the CSC.
  • – The CSP-Intermediary coordinates multiple services offered by other CSPs.
| +| Information flow |
  • – The SLAs of the CSPs are submitted to the CSP-Intermediary in advance.
  • – A CSC requests the CSP-Intermediary to select CSPs that provide a service which satisfies the CSC's quality requirements.
  • – The CSP-Intermediary compares the CSC quality requirements with the SLAs of other CSPs. Then the CSP-Intermediary discovers and reserves the CSP resources that meet the CSC's quality requirements.
  • – The CSP-Intermediary returns the CSP candidate list to the CSC.
  • – The CSC selects a CSP or CSPs on the list.
  • – The CSP-Intermediary sends a cloud service adaptation request to the selected CSP to invoke the service and adapt it to concrete cloud services and resources.
  • – The CSP returns an adaptation response to the CSP-Intermediary.
| +| High-level figure describing the use case |

Image: Sequence diagram showing the interaction between CSC, CSP (Intermediary), and multiple CSPs. 1. CSC requests service from CSP-Intermediary. 2. CSP-Intermediary compares CSC requirements with CSP SLAs. 3. CSP-Intermediary informs CSC of candidate CSPs. 4. CSC chooses some CSPs and accesses them.

 sequenceDiagram     participant CSC     participant CSP_Im as CSP (Intermediary)     participant CSP1 as CSP     participant CSP2 as CSP     participant CSP3 as CSP      CSC->>CSP_Im: 1. The CSC requests the service from CSP-Intermediary. The request includes CSC's quality requirements.     CSP_Im->>CSP1: 2. CSP-Intermediary compares the quality requirements (including priorities) of CSC with the SLAs of multiple CSPs. The CSPs reserve the resources.     CSP_Im-->>CSC: 3. C-CSP intermediary informs the CSC of the candidate CSPs.     CSC->>CSP1: 4. The CSC chooses some of the CSPs and accesses them.

Y.3511(14)_FI.Tab6

| +| Derived requirements for cloud capability |

The system is required to support:

  • – Policy negotiation including SLA management among the multiple CSPs including CSP-Intermediary in a pre-established group;
  • – Discovery, reservation, use and release of cloud resources in a dynamic manner (i.e., not relying on the pre-configuration) on other CSPs within the federation;
  • – Creation of the network connections in a dynamic manner (i.e., not relying on the pre-configuration) from the CSC to the selected CSP that provides the resources;
  • – Flexible reallocation of applications, to meet requirements at different stages in its lifecycle, across multiple CSPs.
| + +## Appendix II + +## Use cases from cloud service providers' views + +(This appendix does not form an integral part of this Recommendation.) + +This appendix describes nine inter-cloud related use cases from the perspective of the cloud service provider. + +### Introduction to participants + +For the purpose of this analysis, the following participants are considered. Each of the boxes in Figure II.1 represents a cloud service provider (CSP). + +![Figure II.1 – Inter-cloud participants and relationships. The diagram shows five participants: Enterprise private cloud, CSC (represented by a person icon), CSP A, CSP B, CSP C, and CSP D. Solid arrows represent inter-cloud relationships (IC1 to IC5). Dashed arrows represent other relationships. CSP A and CSP B are connected by IC1. CSP A and CSP C are connected by IC2. CSP B and CSP D are connected by IC2. CSP C and CSP D are connected by IC5. Enterprise private cloud and CSP D are connected by IC4. Enterprise private cloud and CSP A are connected by IC3. CSC is connected to Enterprise private cloud and CSP A by dashed lines.](a1890b9a9b85f13e67ed59bbad623659_img.jpg) + +Y.3511(14)\_F11.1 + +Figure II.1 – Inter-cloud participants and relationships. The diagram shows five participants: Enterprise private cloud, CSC (represented by a person icon), CSP A, CSP B, CSP C, and CSP D. Solid arrows represent inter-cloud relationships (IC1 to IC5). Dashed arrows represent other relationships. CSP A and CSP B are connected by IC1. CSP A and CSP C are connected by IC2. CSP B and CSP D are connected by IC2. CSP C and CSP D are connected by IC5. Enterprise private cloud and CSP D are connected by IC4. Enterprise private cloud and CSP A are connected by IC3. CSC is connected to Enterprise private cloud and CSP A by dashed lines. + +**Figure II.1 – Inter-cloud participants and relationships** + +| Participant | Description | +|------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| User | The human or machine end-user of the overall cloud computing service. | +| CSP | Cloud service provider: Party (e.g., information technology (IT) or telecom organization) which makes cloud services available. This may include any of the cloud services (SaaS, CaaS, PaaS, IaaS, and NaaS). | +| Enterprise private cloud | IT resources within an enterprise that are constructed using cloud computing technologies, but which are owned and operated by the enterprise for their own internal use. | +| Not included for inter-cloud |
  • – Hosting services using non-cloud technologies.
  • – Connectivity services not employing cloud technologies.
| + +The above categorization of participants is for the purpose of use case analysis only and does not imply specific business or regulatory situations. Not all participants identified will be present in all situations. Some organizations may fulfil multiple participant roles. + +| Relationship | Description | +|--------------|-------------------------------------------| +| ICn | Inter-cloud relationship (focus of study) | + +The relationships labelled on the diagram are used to clarify the use cases and do not necessarily indicate information flows or interfaces that require standardization by ITU. The relationships shown as dashed lines ( - - - ) in Figure II.1 are included for completeness and are outside the scope of inter-cloud. + +### **II.1 Use case 1 – Cloud service rebranding** + +CSP-A wishes to offer browser-based office productivity suite services to their users but does not want to run a data centre or build the applications. CSP-A resells the office suite services built and operated by CSP-D, using CSP-A branding, IP network connectivity (IC2), and customer management, while CSP-D develops and maintains the applications and runs the service. + +### **II.2 Use case 2 – Discovery** + +CSP-A offers a directory service for cloud services to their users. CSP-D and CSP-C both advertise their cloud service offerings into CSP-A's directory (IC2). Enterprise CSC wishes to find a disaster recovery backup provider, uses CSP-A's directory (IC3) to determine that CSP-D offers this service at a good price, and connects with CSP-D via CSP-A's network (IC4) to use the service. + +### **II.3 Use case 3 – Intermediary** + +CSP-A offers an intermediary service. Enterprise CSC requests the CSP-A to provide hosting of a virtual machine (IC3), CSP-A determines that CSP-D offers the best match of requirements, reserves the resources at CSP-D and creates the necessary connectivity (IC2). Enterprise CSC might or might not know the identity of CSP-D, depending on the requirements of the SLA. + +### **II.4 Use case 4 – Platforming** + +CSP-D develops a cloud computing application to host consumer music collections under their own brand. CSP-D subscribes to CSP-C's PaaS offering (IC5) and deploys their SaaS application onto CSP-C's PaaS. Consumers connect their devices to CSP-A's application, which is actually running at CSP-C's datacentre (IC2) via virtual private network (VPN). + +### **II.5 Use case 5 – Offloading** + +Enterprise CSC runs an engineering simulation package which requires significant amounts of computing power at infrequent intervals. CSC's private cloud does not have sufficient peak capacity to handle this effectively, so they have contracted with CSP-A to provide additional compute power (IC3). Due to the success of CSC's business, they now need more peak computing power than CSP-A can provide from CSP-A's own cloud data centre, so CSP-A reserves additional computing resources from CSP-D, handles the load and bills CSC accordingly. + +### **II.6 Use case 6 – Virtual data centre expansion** + +CSP-A has encountered resistance to expansion of their cloud data centres due to environmental considerations. CSP-A therefore orders 1000 new virtual machine (VM) instances from CSP-D and establishes a VPN bridge such that the new VMs appear to be on the same virtual local area network (LAN) as used in their own data centre. + +### **II.7 Use case 7 – Distributed media** + +A broadcaster (CSC) will be hosting a major television sporting event series with a global audience and wishes to offer both live and on-demand streaming of the event to many types of devices. CSC requests CSP-A to provide global distribution. CSP-A establishes connection of the live source feeds to CSP-D, which provides secure media reformatting as part of their PaaS offering (IC2), returning digital rights management (DRM)-protected streams/files suitable for playing on many types of devices. CSP-A also develops a global authentication tool and deploys this on PaaS offerings from other CSPs worldwide (IC1, IC2). CSP-A also books capacity in content distribution network (CDN) services worldwide. When the event begins, millions of consumer devices are able to authenticate themselves on their local network provider and stream the content from an efficient local source. + +### **II.8 Use case 8 – Cloud storage expansion** + +A scientific organization (CSC) collects very large volumes of data in a short period of time that will take years to study. They have sufficient CPU power to analyse this over time but the volume exceeds the storage capacity of their own cloud. CSC contracts with CSP-D to provide additional storage capacity. CSC requests CSP-A to provide very high bandwidth connectivity between CSC and CSP-D. CSC writes the incoming data directly to CSP-D's cloud data storage, and then reduces the network bandwidth to normal levels. CSC is now able to run queries on their data directly at CSP-D or to download interesting parts of the data to their private cloud for intensive processing. + +### **II.9 Use case 9 – Service delivery platform components** + +A business conference organization (CSC) wishes to rapidly develop and deploy an interactive media conferencing application to multiple venues for an upcoming event. CSP-A offers a service delivery platform (SDP) that includes pre-built components for such services. The CSC developers write their application using several off-the-shelf PaaS, NaaS and CaaS components provided by the SDP platform and are thus able to quickly and reliably create a complex multimedia application and deploy this to CSP-A's SDP. + +## Appendix III + +## Abstract service offering models for inter-cloud computing + +(This appendix does not form an integral part of this Recommendation.) + +This appendix describes several abstract service offering models relevant to inter-cloud computing and provides supplementary information to the description provided in the main body of the Recommendation. + +Inter-cloud computing performed over multiple CSPs allows a CSP (i.e., the primary CSP) to offer new services with respect to expanded service items (cf. clause III.1) and enhanced service operations (cf. clause III.2). + +### III.1 Service item expansion + +In terms of service variety, there are roughly two types of cloud expansions; one refers to adding more of the same resources that the primary CSP already has, and the other refers to adding features based on the resources that differ from those the primary CSP has. + +Figure III.1 shows these two expansions. + +![Figure III.1: Service item expansion models. (a) Basic model: A CSP offers two units to a CSC. (b) Volume expansion: A Primary CSP offers more than two units beyond its capacity to a CSC, with Secondary CSP A and B contributing. (c) Service variety expansion: A Primary CSP offers various units beyond its capacity to a CSC, with Secondary CSP A and B contributing different types of units.](1ad662a678c4f002de911d403f00de8e_img.jpg) + +Figure III.1 illustrates three models of service item expansion in inter-cloud computing: + +- a) Basic model –** Two units are offered to a user. A CSP (Primary CSP) offers two units (represented by two red rectangles) to a CSC (represented by a dashed blue rectangle). +- b) Volume expansion –** More than two units are offered beyond primary capacity. A Primary CSP offers more than two units (represented by three red rectangles) to a CSC. Secondary CSP A and Secondary CSP B contribute additional units (represented by red rectangles) to the Primary CSP. +- c) Service variety expansion –** Various units are offered beyond primary capability. A Primary CSP offers various units (represented by two red rectangles and one dashed yellow rectangle) to a CSC. Secondary CSP A and Secondary CSP B contribute different types of units (represented by a green rectangle and a yellow rectangle) to the Primary CSP. + +Figure III.1: Service item expansion models. (a) Basic model: A CSP offers two units to a CSC. (b) Volume expansion: A Primary CSP offers more than two units beyond its capacity to a CSC, with Secondary CSP A and B contributing. (c) Service variety expansion: A Primary CSP offers various units beyond its capacity to a CSC, with Secondary CSP A and B contributing different types of units. + +Y.3511(14)\_FIII.1 + +**Figure III.1 – Service item expansion – +Volume and variety expansions in inter-cloud computing** + +In the basic model shown in Figure III.1-a, a single CSP offers a service consisting of two resource units. A typical example of such a resource is a virtual machine (VM). The CSP by itself offers two VMs to a given CSC. + +In the volume expansion shown in Figure III.1-b, two additional VMs are provided by the secondary CSPs A and B. With their support, the primary CSP can offer a volume-expanded service, which now consists of four VMs. + +In the service expansion shown in Figure III.1-c, two new resources that are different from the primary CSP's resource are added by secondary CSPs A and B. These might be software packages or platform-type applications. With the support of the secondary CSPs, the primary CSP can offer a wide-variety service, which now consists of various service components. + +From the viewpoint of inter-cloud patterns, which are described in clauses 7 and 8, inter-cloud federation is suitable for volume-based service expansion. The description of the inter-cloud federation in clause 8.2 focuses on resource reservation, use and release. Inter-cloud intermediary is suitable for variety-based service expansion. The description of the inter-cloud intermediary in clause 8.3 underlines the significance of the catalogue of service offerings. + +### III.2 Service operation enhancement + +Inter-cloud interaction enables not only service expansion as described in clause III.1, which matters more at the beginning of a service offering, but can also enhance the ways that services are offered. This relates more to the entire process of offering a service. + +Figure III.2 shows two such enhancements. + +![Figure III.2: Operational enhancement in inter-cloud computing. The diagram consists of four sub-figures (a, b, c, d) showing the interaction between a CSC (Cloud Service Catalogue) and CSPs (Cloud Service Providers). In all cases, the CSC is at the top, represented by a box with a dashed blue outline. Below it are one or two CSP boxes, each containing red-outlined rectangles representing service units. (a) Basic model: Primary CSP has 2 units, Secondary CSP is empty. (b) Volume expansion: Primary CSP has 2 units, Secondary CSP has 1 unit. (c) Reliable service offering: Primary CSP has 2 units, Secondary CSP has 2 units. A red circle with a white arrow indicates a failover path from Primary to Secondary. (d) Elastic service: Primary CSP has 2 units, Secondary CSP has 1 unit. A blue dashed line with arrows indicates scaling between Primary and Secondary CSPs.](5d782eeb9d1e5871d7f09e0ccdd4cdf1_img.jpg) + +a) Basic model – +Two units are offered to a user. + +b) Volume expansion – +Three units are offered beyond primary capacity + +c) Reliable service offering with secondary CSP – +Despite problems with primary CSP, two units are offered without interrupting the user. + +d) Elastic service – +One to three units are offered according to user's demand. + +Y.3511(14)\_FIII.2 + +Figure III.2: Operational enhancement in inter-cloud computing. The diagram consists of four sub-figures (a, b, c, d) showing the interaction between a CSC (Cloud Service Catalogue) and CSPs (Cloud Service Providers). In all cases, the CSC is at the top, represented by a box with a dashed blue outline. Below it are one or two CSP boxes, each containing red-outlined rectangles representing service units. (a) Basic model: Primary CSP has 2 units, Secondary CSP is empty. (b) Volume expansion: Primary CSP has 2 units, Secondary CSP has 1 unit. (c) Reliable service offering: Primary CSP has 2 units, Secondary CSP has 2 units. A red circle with a white arrow indicates a failover path from Primary to Secondary. (d) Elastic service: Primary CSP has 2 units, Secondary CSP has 1 unit. A blue dashed line with arrows indicates scaling between Primary and Secondary CSPs. + +**Figure III.2 – Operational enhancement in inter-cloud computing** + +In Figure III.2, volume expansions are assumed. For the sake of comparison, Figures III.2-a and III.2-b depict item expansion as already discussed in clause III.1, whereas cases c) and d) depict operation enhancement. + +The basic scenario is shown in Figure III.2-a again, which offers two resource units (e.g., two VMs) to a user. A simple service item expansion is shown in Figure III.2-b. + +With the help of secondary CSPs, the primary CSP can keep offering the service even if something unexpected happens to the primary CSP, which is shown in Figure III.2-c. Due to the availability of cloud technology across multiple CSPs, the secondary CSP can compensate for the unavailable resources by offering alternative resources on behalf of the primary CSP. The primary CSP can offer the same service continuously with minimal or no interruption to the user. + +Another scenario, shown in Figure III.2-d is to offer an elastic service, in which the service capacity is adjusted in accordance with the user's demand. In this scenario, the secondary CSP should start and stop its resource offering according to the primary CSP's control. Interaction with the user involves changing the resource offering. + +#### **III.2.1 CSC-initiated operation and CSP-initiated operation** + +Looking at the scenarios in Figure III.2 from the viewpoint of who initiates operations, the reliable service in Figure III.2-c and the elastic service in Figure III.2-d are different. + +With the reliable service, the service continuity should be achieved without disturbing the user. The problem should be solved on the CSP side, without necessarily revealing the problem to the user. This may impose a specific requirement. In order not to disturb the user, the primary and secondary CSPs should move the user application, if necessary, and continue the service by themselves. This may include installation and activation of the user application. + +The requirement for resource set-up and activation, which is described in clause 9.5, corresponds to this case. + +With the elastic service, the CSC may change the use of the CSP's resources explicitly or the primary CSP may change the resource offerings by somehow sensing the CSC's demand. + +### **III.3 Consideration on network connectivity** + +The description here is meant to supplement clauses 8.2.3 and 8.3.3 on network connectivity. + +Networks should, at least, support connectivity between the CSC and the CSP, between the CSPs, and within the CSPs. Based on the primary-secondary model of inter-cloud computing over multiple CSPs, these network parts correspond to: + +- 1) a network between the CSC and the primary CSP; +- 2) networks between the primary and the secondary CSPs; +- 3) a network in the primary CSP, and; +- 4) networks in the secondary CSPs. + +From the CSP's perspective, networks 1) and 2) are external, whereas networks 3) and 4) are internal. + +Figure III.3 explicitly shows the external networks of 1) as "Network Q" and 2) as "Network X", "Network Y", and "Network Z". + +![Figure III.3 – Networking in inter-cloud. This diagram illustrates the network architecture between a Customer Service Center (CSC) and Cloud Service Providers (CSPs). On the left, a box labeled 'CSC' contains 'CSC's application'. A blue arrow labeled 'Network Q' connects this to a 'Primary CSP' box. Inside the Primary CSP, there is a dashed blue box containing three small orange boxes. Three orange arrows originate from these boxes and point to three separate boxes on the right: 'Secondary CSP A', 'Secondary CSP B', and 'Secondary CSP C'. Each secondary CSP box contains a small orange box. The arrows from the Primary CSP to the secondary CSPs are labeled 'Network X', 'Network Y', and 'Network Z' respectively. A reference code 'Y.3511(14)_FIII.3' is located at the bottom right of the diagram.](5eb69662cc4fa7d0d49b4eb22951c204_img.jpg) + +Figure III.3 – Networking in inter-cloud. This diagram illustrates the network architecture between a Customer Service Center (CSC) and Cloud Service Providers (CSPs). On the left, a box labeled 'CSC' contains 'CSC's application'. A blue arrow labeled 'Network Q' connects this to a 'Primary CSP' box. Inside the Primary CSP, there is a dashed blue box containing three small orange boxes. Three orange arrows originate from these boxes and point to three separate boxes on the right: 'Secondary CSP A', 'Secondary CSP B', and 'Secondary CSP C'. Each secondary CSP box contains a small orange box. The arrows from the Primary CSP to the secondary CSPs are labeled 'Network X', 'Network Y', and 'Network Z' respectively. A reference code 'Y.3511(14)\_FIII.3' is located at the bottom right of the diagram. + +**Figure III.3 – Networking in inter-cloud** + +More networks can be involved as shown in the example provided in Figure III.4. + +![Figure III.4 – Inter-cloud view including SaaS CSCs. This diagram shows a more complex inter-cloud architecture. On the far left, four boxes labeled 'SaaS CSC 1', 'SaaS CSC 2', 'SaaS CSC 3', and 'SaaS CSC 4' are connected by purple arrows to a central 'SaaS CSP' box. The SaaS CSP contains a 'SaaS application' box. A blue arrow labeled 'Network Q' connects the SaaS CSP to an 'IaaS CSP (primary)' box. Inside the IaaS CSP, there is a dashed blue box containing three small orange boxes labeled 'VM'. Three orange arrows originate from these VM boxes and point to three separate boxes on the right: 'IaaS CSP A (secondary)', 'IaaS CSP B (secondary)', and 'IaaS CSP C (secondary)'. Each secondary IaaS CSP box contains a small orange box labeled 'VM'. The arrows from the primary IaaS CSP to the secondary ones are labeled 'Network X', 'Network Y', and 'Network Z' respectively. A reference code 'Y.3511(14)_FIII.4' is located at the bottom right of the diagram.](329c96049bb432e9c2cbda4e224a0c9c_img.jpg) + +Figure III.4 – Inter-cloud view including SaaS CSCs. This diagram shows a more complex inter-cloud architecture. On the far left, four boxes labeled 'SaaS CSC 1', 'SaaS CSC 2', 'SaaS CSC 3', and 'SaaS CSC 4' are connected by purple arrows to a central 'SaaS CSP' box. The SaaS CSP contains a 'SaaS application' box. A blue arrow labeled 'Network Q' connects the SaaS CSP to an 'IaaS CSP (primary)' box. Inside the IaaS CSP, there is a dashed blue box containing three small orange boxes labeled 'VM'. Three orange arrows originate from these VM boxes and point to three separate boxes on the right: 'IaaS CSP A (secondary)', 'IaaS CSP B (secondary)', and 'IaaS CSP C (secondary)'. Each secondary IaaS CSP box contains a small orange box labeled 'VM'. The arrows from the primary IaaS CSP to the secondary ones are labeled 'Network X', 'Network Y', and 'Network Z' respectively. A reference code 'Y.3511(14)\_FIII.4' is located at the bottom right of the diagram. + +**Figure III.4 – Inter-cloud view including SaaS CSCs** + +In Figure III.4, the IaaS CSP (right side of the figure) provides VMs for the SaaS CSP in order to provide its SaaS application for SaaS CSCs (left side of the figure). In this case, the SaaS CSCs use the SaaS application provided by the SaaS CSP. The SaaS CSP uses VMs, which are provided by IaaS CSPs, on which the SaaS application is executed. Some of the actual VMs are provided by the primary CSP, and some are provided by the secondary CSPs. + +Figure III.5 shows the same service offering in a different representation. + +![Figure III.5: View highlighting actual running VMs and application locations. The diagram shows a multi-tier cloud architecture. On the left, four SaaS CSCs (SaaS CSC 1 to SaaS CSC 4) are connected via Network P to a SaaS CSP. The SaaS CSP contains an application (APP) running on 4 VMs. These VMs are connected via Network Q to an IaaS CSP (primary). The IaaS CSP (primary) contains three VMs, each with an application (APP). These VMs are connected via Networks X, Y, and Z to three secondary IaaS CSPs (IaaS CSP A, IaaS CSP B, and IaaS CSP C). Each secondary IaaS CSP contains an application (APP) and a VM. The diagram highlights the actual running VMs and application locations. A legend indicates that a double-headed arrow represents 'End-to-end connectivity'. A bracket at the bottom right indicates 'Inter-cloud federation' between the primary and secondary IaaS CSPs. A legend at the bottom left defines APP as Application and VM as Virtual machine.](9a5927586a691c4908aa2cf98bd47ebb_img.jpg) + +End-to-end connectivity + +APP: Application +VM: Virtual machine + +Inter-cloud federation + +Y.3511(14)\_FIII.5 + +Figure III.5: View highlighting actual running VMs and application locations. The diagram shows a multi-tier cloud architecture. On the left, four SaaS CSCs (SaaS CSC 1 to SaaS CSC 4) are connected via Network P to a SaaS CSP. The SaaS CSP contains an application (APP) running on 4 VMs. These VMs are connected via Network Q to an IaaS CSP (primary). The IaaS CSP (primary) contains three VMs, each with an application (APP). These VMs are connected via Networks X, Y, and Z to three secondary IaaS CSPs (IaaS CSP A, IaaS CSP B, and IaaS CSP C). Each secondary IaaS CSP contains an application (APP) and a VM. The diagram highlights the actual running VMs and application locations. A legend indicates that a double-headed arrow represents 'End-to-end connectivity'. A bracket at the bottom right indicates 'Inter-cloud federation' between the primary and secondary IaaS CSPs. A legend at the bottom left defines APP as Application and VM as Virtual machine. + +**Figure III.5 – View highlighting actual running VMs and application locations (same Figure 8-5)** + +The SaaS CSCs expect an application service to be provided by the SaaS CSP. In reality, the SaaS CSP relies on IaaS CSP resources and runs its application over the IaaS-CSP's resources. From the IaaS CSP's perspective, the IaaS CSP should, at least: + +- 1) provide VMs, which are now distributed over multiple secondary IaaS CSPs, +- 2) keep running the application over the distributed VMs, and +- 3) allow continuous access to the distributed applications from the user (i.e., SaaS CSC users). + +In response to the expectations of 1), 2), and 3) above, specific requirements are derived. + +The requirements on general resource handling in clauses 9.1, 9.2, 9.3, 9.4, and 9.7 relate to 1). + +The requirements on resource set-up and activation in clause 9.5 relate to 2). + +The requirements on switchover and switchback of the cloud service user access in clause 9.6 relate to 3). + +In a simple implementation, these different networks are designed and operated independently. Such a network configuration is straightforward and easy to operate. However, it may cause inefficient operation, where the user traffic path traverses through an unnecessary route with longer delay. In more sophisticated implementations, the locations of these users, providers and VMs are taken into account and more efficient operation will be achieved. + +The capabilities of the networks shown in Figure III.5 may be further offered as NaaS. The detailed requirements and functions for NaaS are under study. + +## **Appendix IV** + +## **Inter-cloud security aspects** + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides important aspects to be considered regarding inter-cloud security matters. + +One important aspect is the multiple and sometimes complicated CSP and CSC inter-cloud relationships such as those described in clause 7 of this Recommendation. For these multiple inter-cloud relationships, appropriate secured mechanisms should be supported during the peer CSPs interactions such as the services request phase (e.g., access control), service usage phase as well as the security of network connectivity between the CSPs. + +Other aspects to be considered include: + +- Establishment of a trust relationship between CSPs is important given that the multiple CSPs involved in inter-cloud may be administrated by different parties. In case of an inter-cloud federation, the involved CSPs may establish trust relationships among them prior to any interactions between them or during inter-cloud interactions (e.g., service requests between CSPs); +- CSC profiles may be shared among the CSPs involved in the federation. In this case the CSC profile should be handled in a secure manner and in respect of privacy rules and regulations. + +# Bibliography + +- [b-ITU-T Y.3510] Recommendation ITU-T Y.3510 (2013), *Cloud computing infrastructure requirements*. +- [b-ISO/IEC 20000-1:2011] ISO/IEC 20000-1:2011, *Information technology – Service management – Part 1: Service management system requirements*. +- [b-FG Cloud TR-Part 1] FG Cloud TR-Part 1 (2012), *Technical Report: Part 1: Introduction to the cloud ecosystem: definitions, taxonomies, use cases and high-level requirements*, . + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3513-201408-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg b/marked/Y/T-REC-Y.3513-201408-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..b251589cf40ace6dacc78699abda475ccc29cb4a --- /dev/null +++ b/marked/Y/T-REC-Y.3513-201408-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:f5a5181407216d035f79590e56aec9a16d90fff38afd14731b2addf225d041a7 +size 4098 diff --git a/marked/Y/T-REC-Y.3513-201408-I_PDF-E/cfda9df1319e04207eb28bcefd1dab7b_img.jpg 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NETWORKS + +Cloud Computing + +# --- Cloud computing – Functional requirements of Infrastructure as a Service + +Recommendation ITU-T Y.3513 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|------------------------|----------------------| +| CLOUD COMPUTING | Y.3500–Y.3999 | +|------------------------|----------------------| + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3513 + +# Cloud computing – Functional requirements of Infrastructure as a Service + +## Summary + +Recommendation ITU-T Y.3513 introduces the concept of Infrastructure as a Service (IaaS) and describes its functional requirements. As one of the cloud computing service categories, Infrastructure as a Service provides cloud service customers with computing, storage and network services by cloud service providers. To derive those requirements, relevant use cases are also presented. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3513 | 2014-08-29 | 13 | 11.1002/1000/12286 | + +## Keywords + +Cloud computing, Infrastructure as a Service, IaaS, virtual machine. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2014 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-----------------------------------------------------------------------|------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 General description ..... | 3 | +| 7 Functional requirements ..... | 4 | +| 7.1 Computing service functional requirements..... | 5 | +| 7.2 Storage service functional requirements ..... | 6 | +| 7.3 Network service functional requirements..... | 7 | +| 8 Security considerations ..... | 8 | +| Appendix I – Use case of Infrastructure as a Service ..... | 9 | +| I.1 Use case template ..... | 9 | +| I.2 IaaS use case on infrastructure level ..... | 10 | +| I.3 IaaS computing service use case ..... | 11 | +| I.4 IaaS storage service use case ..... | 15 | +| I.5 IaaS network service use case ..... | 16 | +| Appendix II – Methodology of mapping use cases and requirements ..... | 17 | +| Bibliography..... | 18 | + + + +## Recommendation ITU-T Y.3513 + +# Cloud computing – Functional requirements of Infrastructure as a Service + +# 1 Scope + +This Recommendation provides functional requirements and use cases of Infrastructure as a Service (IaaS), one of the representative cloud service categories. This Recommendation covers the following: + +- General description of IaaS; +- Functional requirements of IaaS; +- Typical IaaS use cases. + +NOTE – The general requirements of IaaS can be found in [ITU-T Y.3501]. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|-----------------------------------------------------------------------------------------------------------------| +| [ITU-T X.1601] | Recommendation ITU-T X.1601 (2014), Security framework for cloud computing . | +| [ITU-T Y.3500] | Recommendation ITU-T Y.3500 (2014), Information technology – Cloud computing – Overview and vocabulary . | +| [ITU-T Y.3501] | Recommendation ITU-T Y.3501 (2013), Cloud computing framework and high-level requirements . | +| [ITU-T Y.3502] | Recommendation ITU-T Y.3502 (2014), Information technology – Cloud computing – Reference architecture . | +| [ITU-T Y.3510] | Recommendation ITU-T Y.3510 (2013), Cloud computing infrastructure requirements . | + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud capabilities type** [ITU-T Y.3500]: Classification of the functionality provided by a cloud service to the cloud service customer, based on resource used. + +NOTE – The cloud capabilities types are application capabilities type, infrastructure capabilities type and platform capabilities type. + +**3.1.2 cloud computing** [ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications, and storage equipment. + +**3.1.3 cloud service** [ITU-T Y.3500]: One or more capabilities offered via cloud computing invoked using a defined interface. + +**3.1.4 cloud service category** [ITU-T Y.3500]: Group of cloud services that possess some common set of qualities. + +NOTE – A cloud service category can include capabilities from one or more cloud capabilities types. + +**3.1.5 cloud service customer** [ITU-T Y.3500]: Party which is in a business relationship for the purpose of using cloud services. + +**3.1.6 cloud service customer data** [ITU-T Y.3500]: Class of data objects under the control, by legal or other reasons, of the cloud service customer that were input to the cloud service, or resulted from exercising the capabilities of the cloud service by or on behalf of the cloud service customer via the published interface of the cloud service. + +NOTE 1 – An example of legal controls is copyright. + +NOTE 2 – It may be that the cloud service contains or operates on data that is not cloud service customer data; this might be data made available by the cloud service providers, or obtained from another source, or it might be publicly available data. However, any output data produced by the actions of the cloud service customer using the capabilities of the cloud service on this data is likely to be cloud service customer data, following the general principles of copyright, unless there are specific provisions in the cloud service agreement to the contrary. + +**3.1.7 cloud service provider** [ITU-T Y.3500]: Party which makes cloud services available. + +**3.1.8 cloud service provider data** [ITU-T Y.3500]: Class of data objects, specific to the operation of the cloud service, under the control of the cloud service provider. + +NOTE – Cloud service provider data includes but is not limited to resource configuration and utilization information, cloud service specific virtual machine, storage and network resource allocations, overall data centre configuration and utilization, physical and virtual resource failure rates, operational costs and so on. + +**3.1.9 Infrastructure as a Service** [ITU-T Y.3500]: Cloud service category in which the cloud capabilities type provided to the cloud service customer is an infrastructure capabilities type. + +NOTE – The cloud service customer does not manage or control the underlying physical and virtual resources, but does have control over operating systems, storage, and deployed applications that use the physical and virtual resources. The cloud service customer may also have limited ability to control certain networking components (e.g., host firewalls). + +**3.1.10 infrastructure capabilities type** [ITU-T Y.3500]: Cloud capabilities type in which the cloud service customer can provision and use processing, storage or networking resources. + +**3.1.11 open virtualization format** [b-ISO/IEC OVF]: An open, secure, portable, efficient and extensible format for the packaging and distribution of software to be run in virtual machines. + +**3.1.12 party** [ITU-T Y.3500]: Natural person or legal person, whether or not incorporated, or a group of either. + +**3.1.13 tenant** [ITU-T Y.3500]: Group of cloud service users sharing access to a set of physical and virtual resources. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +CPU            Central Processing Unit + +CSC            Cloud Service Customer + +| | | +|------|-----------------------------| +| CSP | Cloud Service Provider | +| LUN | Logical Unit Number | +| IaaS | Infrastructure as a Service | +| IP | Internet Protocol | +| I/O | Input/Output | +| NaaS | Network as a Service | +| NAT | Network Address Translation | +| NIC | Network Interface Card | +| OVF | Open Virtualization Format | +| QoS | Quality of Service | +| SLA | Service Level Agreement | +| UML | Unified Modelling Language | +| VLAN | Virtual Local Area Network | +| VM | Virtual Machine | + +# 5 Conventions + +The keywords "**is required to**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "**can optionally**" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +In the body of this Recommendation and its annexes, the words shall, shall not, should, and may sometimes appear, in which case they are to be interpreted, respectively, as is required to, is prohibited from, is recommended, and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative are to be interpreted as having no normative intent. + +# 6 General description + +Infrastructure as a Service (IaaS) is one of the representative categories of cloud services, in which the cloud capabilities type provided to the cloud service customer (CSC) is an infrastructure capabilities type. IaaS allows the CSC to use cloud infrastructure resources (processing, storage or networking). Use of cloud infrastructure resources is supported by service functions, which can include the relevant operations. + +IaaS provides to the CSC the following service functions: + +- **computing service functions** allow the CSC to provision and use processing resources. CSC can perform operations relevant to processing resources including machine (physical or virtual machine) lifecycle operations and functions such as virtual machine (VM) migration, backup, snapshot, clone and reservation; + +- **storage service functions** allow the CSC to use storage resources. The CSC can perform operations relevant to storage resources including lifecycle operations and functions such as snapshot, backup, input/output (I/O) performance, load balance and reservation; +- **network service functions** allow the CSC to use networking resources. The CSC can integrate infrastructure resources using network relevant functions such as IP address, network isolation (e.g., virtual local area network (VLAN)), virtual networking (e.g., virtual switch), load balance and firewall. + +The high level concept of IaaS using the layering framework defined in [ITU-T Y.3502] is illustrated in Figure 6-1. + +![Figure 6-1: High level concept of IaaS. The diagram shows a four-layer architecture. From top to bottom: 1. User layer (orange box). 2. Access layer (orange box). 3. Service layer (orange box) containing an IaaS (Computing/storage/network) component (pink box). 4. Resource layer (orange box) containing Physical/virtual resources (Processing, storage and networking) (grey box). A double-headed pink arrow connects the IaaS component in the Service layer to the Physical/virtual resources in the Resource layer. The label Y.3513(14)_F6-1 is at the bottom right.](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +Figure 6-1: High level concept of IaaS. The diagram shows a four-layer architecture. From top to bottom: 1. User layer (orange box). 2. Access layer (orange box). 3. Service layer (orange box) containing an IaaS (Computing/storage/network) component (pink box). 4. Resource layer (orange box) containing Physical/virtual resources (Processing, storage and networking) (grey box). A double-headed pink arrow connects the IaaS component in the Service layer to the Physical/virtual resources in the Resource layer. The label Y.3513(14)\_F6-1 is at the bottom right. + +**Figure 6-1 – High level concept of IaaS** + +An IaaS instance can be configured by the CSC using a template to define the set of parameters stating, how infrastructure resources are organized. Such IaaS instance consists of configured processing, storage or networking resources, as well as information located in the resources, which may include cloud service provider data, cloud service customer data or both. + +IaaS cloud service provider (CSP) also provides business and administration capabilities to CSC, which are common capabilities for cloud services. The functional requirements of business and administration capabilities are for further study. + +NOTE – Regarding the network connectivity, one important difference between IaaS and Network as a Service (NaaS) is that IaaS is a cloud service category that is offered in only one flavour of cloud capability type, and that is infrastructure capabilities type [ITU-T Y.3500]. However, NaaS is a cloud service category that can be offered in all three cloud capabilities types. + +# 7 Functional requirements + +- It is recommended that IaaS CSP provides to the CSC IaaS functions, such as a composition of processing, storage, and networking resources with service logic, specific service level agreements (SLAs) and charging model. +- It is required that IaaS CSP provides the CSC with operations handling mechanisms related to provisioned infrastructure resources, such as assign, modify, query and release. +- It is recommended that IaaS CSP provides status information about the infrastructure in response to queries from the CSC. + +NOTE – The status information includes, but not limited to, available, reserved and in-use. + +- It is recommended that IaaS CSP provides template to the CSC, related to instantiation of infrastructure, which allows to provision processing, storage and networking resources that could be implemented based on the configuration. + +- It is recommended that IaaS CSP provides the CSC with operations handling mechanisms related to infrastructure templates to allow modification of infrastructure, such as upload, update, disable, enable, query or release. + +### **7.1 Computing service functional requirements** + +- It is required that IaaS CSP provides computing functions with specific SLAs and charging model to the CSC. + +#### **7.1.1 Physical machine** + +- It is recommended that IaaS CSP provides specific hardware specifications of physical machine to the CSC according to SLA. + +NOTE – SLA includes, but not limited to, central processing unit (CPU) type, CPU speed, number of CPU cores, memory size, disk size and network interface card (NIC) number. + +- It is recommended that IaaS CSP provides the CSC with operation handling mechanisms related to physical machine such as start, shutdown, hibernate and wakeup. +- It is recommended that IaaS CSP provides physical machine related information in response to queries from the CSC. + +NOTE – The information includes, but not limited to, physical machine specifications, status and network interfaces. + +#### **7.1.2 Virtual machine** + +- It is recommended that IaaS CSP provides virtual machine based on the VM template. +NOTE – By using the VM template, CSC can select the required number of CPU cores, memory size, disk size, NIC within the resources available according to SLA. +- IaaS CSP can optionally provide virtual machine based on the configurations specified by the CSC. +- It is required that IaaS CSP provides the CSC with operations handling mechanisms related to VM, including, but not limited to, create, delete, start, shutdown, suspend, restore, hibernate and wakeup. +- It is recommended that IaaS CSP provides VM related information in response to queries from the CSC. + +NOTE – The VM related information includes, but not limited to, VM specifications, volume information, VM status, IP address and network interfaces. + +#### **7.1.3 VM migration** + +- It is recommended that IaaS CSP provides virtual machine with migration functions. Based on migration policies, the virtual machine can be migrated from one host to another. + +#### **7.1.4 VM scaling** + +- It is recommended that IaaS CSP provides virtual machine with scaling functions based on the scaling policies and monitored events of the virtual machine. + +NOTE – The types of VM scaling includes, but not limited to, configuration changes (e.g., CPU, memory, bandwidth increased or bandwidth decreased) or components changes (new virtual machine added or removed). + +#### **7.1.5 VM snapshot** + +- It is recommended that IaaS CSP provides virtual machine with snapshot functions. Schedule of snapshots taken from the virtual machine can be performed automatically or manually. + +#### **7.1.6 VM clone** + +- It is recommended that IaaS CSP provides virtual machine with clone functions. The cloned VM has identical configuration and CSP/CSC data as the original one. + +#### **7.1.7 VM backup** + +- It is recommended that IaaS CSP provides virtual machine with backup functions. When VM becomes faulty or its data is lost, the VM can be restored using its backup stored according to the CSC policy. + +#### **7.1.8 VM time synchronization** + +- It is recommended that IaaS CSP provides time synchronization functions, which allow the CSC to control the VM time. + +#### **7.1.9 VM reservation** + +- It is recommended that IaaS CSP provides processing resources reservation (such as CPU, memory) functions. Resources reservation is used to reserve available resources from IaaS infrastructure before VM is initiated. + +#### **7.1.10 VM image** + +- It is recommended that IaaS CSP offers the ability for the CSC to provide and use virtual machine images. VM image consists of infrastructure configuration and CSP data, CSC data or both. + +NOTE – VM image allows to start a new instance of VM. + +- It is recommended that IaaS CSP supports different machine image format. +- It is required that IaaS CSP provides operation handling mechanisms related to image, including, but not limited to, add, import, store, register, deregister, query, update, delete and export. + +#### **7.1.11 VM template** + +- It is recommended that IaaS CSP supports open virtualization format (OVF) template, which is a packaging standard designed to address the portability and deployment of virtual appliances. +- It is recommended that IaaS CSP provides operations handling mechanisms related to machine templates, such as upload, update, disable, enable, query and delete to the CSC. + +### **7.2 Storage service functional requirements** + +- It is recommended that IaaS CSP provides storage functions, such as block level storage, file level storage and object-based storage, with specific SLAs and charging model to the CSC. The storage functions can be provided to the CSC directly or used by the virtual machine as attached storage. +- It is recommended that IaaS CSP provides the CSC with operations handling mechanisms related to storage, such as create, attach, detach, query and delete a volume of storage at either block level or file-system level, write, read and delete data for a given storage. +- It is recommended that IaaS CSP provides storage utilisation information in response to queries from the CSC. + +#### **7.2.1 Storage migration** + +- It is recommended that IaaS CSP provides storage migration functions. Based on migration policies, data can be migrated between different logical unit numbers (LUNs), different storage devices, local storage to shared storage and vice versa. + +#### **7.2.2 Storage snapshot** + +- It is recommended that IaaS CSP provides storage with snapshot functions. Snapshot can be realized at either block or file-system levels. The data can be restored using the snapshot. + +#### **7.2.3 Storage backup** + +- It is recommended that IaaS CSP provides storage with backup functions. Backup can be realized at block level, file level or object-based storage. + +#### **7.2.4 I/O performance** + +- It is recommended that IaaS CSP provides input/output (I/O) limitation for each VM. + +#### **7.2.5 Storage resource reservation** + +- It is recommended that IaaS CSP provides storage resource (e.g., storage space and LUN) reservation functions. + +### **7.3 Network service functional requirements** + +- It is recommended that IaaS CSP provides network functions, such as IP address, VLAN, virtual switch, load balance, firewall, with specific SLAs or charging model. Network functions are applied to access and interconnect of processing and storage resources. +- It is recommended that IaaS CSP provides network information in response to queries from the CSC. + +NOTE – The information includes, but not limited to, network device(s) specification, network traffic performance (in terms of throughput, jitter, loss, delay) and network topology. + +#### **7.3.1 Network policy migration** + +- It is recommended that IaaS CSP provides network policy migration along with virtual machine migration. In that case, the network policy of the migrated virtual machine is the same as before the migration. + +#### **7.3.2 Network QoS** + +- It is recommended that IaaS CSP provides operation handling mechanisms related to the network quality of service (QoS), such as bandwidth limit, bandwidth reservation, traffic shaping, traffic classification, congestion avoidance, at port level, device level and network level. + +#### **7.3.3 IP address** + +- It is recommended that IaaS CSP provides IP address reservation. +NOTE – CSP reserves a pool of public IP addresses or a segment of private IP addresses for the CSC. +- It is required that IaaS CSP allows the CSC to apply, bind, unbind, query, release an IP address to processing resources or storage resources. +- It is recommended that IaaS CSP allows the CSC to allocate IP addresses to provisioned processing resources or storage resources with dynamic or static method. +- IaaS CSP can optionally provide network address translation (NAT). + +#### **7.3.4 Network isolation** + +- It is required that IaaS CSP provides the CSC with isolated tenants' networks. +- It is recommended that IaaS CSP provides the CSC with operations handling mechanisms related to isolated tenants' networks, such as create, query and release. + +#### **7.3.5 Virtual networking** + +- It is recommended that IaaS CSP manages virtual networking to provide network connectivity amongst various processing and storage resources. + +#### **7.3.6 Load balance** + +- It is recommended that IaaS CSP optimizes infrastructure resources utilization by providing load balance related functions, such as throughput, response time, to avoid overload of any one of the infrastructure resources. +- IaaS CSP can optionally provide multipath routing to achieve an optimized traffic management (e.g., to improve network utilization, to guarantee QoS at network congestion or fault). + +#### **7.3.7 Firewall** + +- It is recommended that IaaS CSP delivers physical or virtual firewall to the CSC. + +#### **7.3.8 Gateway** + +- It is recommended that IaaS CSP provides necessary network interworking functions so that the CSC uses provisioned infrastructure resources as if they are at the CSC's premises. + +#### **7.3.9 Network configuration** + +- It is recommended that IaaS CSP provides the CSC with operations handling mechanisms related to the network configurations according to the objectives of the SLA. + +## **8 Security considerations** + +Security aspects for consideration within the cloud computing environment, including IaaS, are addressed by security challenges for the CSPs, as described in [ITU-T X.1601]. In particular, [ITU-T X.1601] analyses security threats and challenges, and describes security capabilities that could mitigate these threats and meet the security challenges. + +## Appendix I + +## Use case of Infrastructure as a Service + +(This appendix does not form an integral part of this Recommendation.) + +This appendix includes IaaS related use cases including an infrastructure level use case, and computing , storage and network service use cases. + +### I.1 Use case template + +The use cases developed in this appendix should adopt the following unified format for better readability and convenient material organization. + +| Use case | | +|-----------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | Title of the use case | +| Abstract | Description for overview and feature of the use case | +| Roles | Roles relating to or appearing in the use case | +| Figure | Figure to present the use case (UML-like diagram is suggested for clarifying relations between roles but it is not mandatory) | +| Pre-conditions (optional) | The pre-conditions represent the necessary conditions or use cases that should be achieved before starting to describe the use case. As dependency may exist among different use cases, such a description can help others to understand relation among the use cases. | +| Post-conditions (optional) | Similar to that for pre-conditions, the post-conditions describe conditions or use cases that will be carried out after the termination of currently describing use case. Such an inter-use case dependency clarification improves the collaboration of use cases. | +| Description | Description introduces the detail information of the use case, such as the processes or major steps. It is helpful for the reader to better understand it. | +| Requirements | Requirements (titles) derived from the use case. For example;
  • – Large-scale migration: A CSP in the inter-cloud federation is required to be able to guarantee continuity of all the services in this CSP by large-scale service migration with minimum impact during a desired period. It is recommended to consider priority of services when migrating.
| + +### I.2 IaaS use case on infrastructure level + +| Use case | | +|-----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | IaaS use case on infrastructure level | +| Abstract | CSC uses a composition of processing, storage and networking resources with service logic, specific SLAs and charging model, provided by the CSP | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the IaaS use case on infrastructure level. On the left, a Customer Service Center (CSC) is represented by two people at a computer. In the center, a 'Portal' is shown as a server rack. On the right, a 'Cloud infrastructure' cloud contains three resource pools: 'Network resource pool' (represented by server racks), 'Storage resource pool' (represented by storage cylinders), and 'Computing resource pool' (represented by server racks). Red arrows indicate the flow of interaction: from the CSC to the Portal, from the Portal to each of the three resource pools, and from each resource pool back to the Portal. The entire cloud infrastructure is labeled 'CSP' at the top and 'Cloud infrastructure' at the bottom. A reference 'Y.3513(14)_FI.2' is located at the bottom right of the diagram.

Y.3513(14)_FI.2

| +| Pre-conditions (optional) |
  • – CSC accesses the IaaS through portal with appropriate security mechanism and retrieves computing, storage and network functions.
| +| Post-conditions (optional) | | +| Description |
  • – CSC accesses and queries the CSP portal to retrieve the list of supported functions (e.g., infrastructure templates) related to the infrastructure.
  • – CSC selects the appropriate infrastructure template from the query results and requests the CSP to create an infrastructure based on the selection.
  • – CSC manages and monitors the created infrastructure during its lifecycle. It includes, but not limited to:
    • • assign: start IaaS by allocating to the service the available resources as identified by configuration (e.g., create, initiate, start, enable, power-on)
    • • modify: change the amount of resource being in-use according to the demand (e.g., update, add, enable, disable)
    • • release: close the IaaS service by making available the resource being in-use by the service (e.g., delete, shutdown, disable, power-off)
    • • query
| +| Requirements |
  • – IaaS operations (refer to clause 7)
  • – Infrastructure resources status (refer to clause 7)
  • – Infrastructure template (refer to clause 7)
| + +### I.3 IaaS computing service use case + +| Use case | | +|-----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | IaaS use case on computing | +| Abstract | CSC uses physical machine or virtual machine provided by the CSP. | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the IaaS computing service use case. On the left, a Customer Service Center (CSC) is represented by two people at a computer. In the center, a 'Portal' is shown as a server rack. On the right, a 'Cloud infrastructure' cloud contains a 'Computing resource pool' with 'Physical servers' and a grid of 'VM' (Virtual Machines). Red arrows show the flow of interaction: from the CSC to the Portal, from the Portal to the Cloud infrastructure, and from the Cloud infrastructure back to the CSC. The cloud infrastructure also shows internal connections between VMs and physical servers.

Y.3513(14)_FI.3

| +| Pre-conditions (optional) |
  • – CSC accesses the IaaS through portal with appropriate security mechanism and retrieves the functions exposed that are related to computing.
| +| Post-conditions (optional) | | +| Description |
  • – CSC accesses and queries the CSP portal to retrieve the list of supported functions necessary for computing functions.
  • – CSC selects the appropriate template and image from the query results and requests CSP to create a virtual machine or physical machine based on the selection.
  • – CSP creates a virtual machine or physical machine from the computing resource pool based on the information provided by the CSC.
  • – CSC requests CSP to start up the virtual machine or physical machine.
  • – CSC manages and monitors the created virtual machine or physical machine during its lifecycle. It includes, but not limited to:
    • • start, shutdown, suspend, restore, hibernate, wakeup and delete the virtual machine;
    • • start, shutdown, hibernate and wakeup physical machine;
    • • query the virtual machine or physical machine information and its status;
    • • set migration or scaling policies for the virtual machine;
    • • scaling the virtual machine;
    • • execute performance metrics;
    • • snapshot, backup, clone the virtual machine;
    • • configure VM time synchronization;
    • • reservation computing resource;
    • • make image based on the virtual machine;
    • • generate template based on the virtual machine.
| +| Requirements |
  • – Physical machine (refer to clause 7.1.1)
  • – Virtual machine (refer to clause 7.1.2)
  • – VM migration (refer to clause 7.1.3)
| + +| Use case | | +|----------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – VM scaling (refer to clause 7.1.4)
  • – VM snapshot (refer to clause 7.1.5)
  • – VM clone (refer to clause 7.1.6)
  • – VM backup (refer to clause 7.1.7)
  • – VM time synchronization (refer to clause 7.1.8)
  • – VM reservation (refer to clause 7.1.9)
  • – VM image (refer to clause 7.1.10)
  • – VM template (refer to clause 7.1.11)
| + +#### I.3.1 VM snapshot use case + +| Use case | | +|-----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | IaaS use case on VM snapshot | +| Abstract | CSC uses the snapshot functions during the lifecycle of a VM. | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the VM snapshot use case. A Customer (CSC) is shown interacting with a Cloud Service Provider (CSP) through a Portal. The CSP is represented by a cloud containing a Computing resource pool with VMs. A specific VM is shown being snapshotted into VM'. The snapshot process involves Memory and Disk. The diagram is labeled Y.3513(14)_FI.3.1.

The diagram illustrates the VM snapshot use case. On the left, a Customer (CSC) is shown interacting with a Cloud Service Provider (CSP) through a Portal. The CSP is represented by a cloud containing a Computing resource pool with VMs. A specific VM is shown being snapshotted into VM'. The snapshot process involves Memory and Disk. The diagram is labeled Y.3513(14)_FI.3.1.

| +| Pre-conditions (optional) |
  • – CSC accesses the IaaS through portal with appropriate security mechanism.
  • – CSC has created a VM which is in normal running state, stopped state or suspending state.
| +| Post-conditions (optional) | | +| Description |
  • – CSC has found that the VM is working properly; and an operation that may cause faults, for example, conducting a software upgrade, is to be performed.
  • – CSC snapshots the VM, a name for the snapshot is required while the description is optional. It also contains the runtime information, including the VM CPU and memory states, if the VM is not powered-off.
  • – CSC performs the software upgrade operation, VM is in VM' (as the figure shows) state and there is something wrong, for example, the user data of the software has been lost and VM cannot work properly.
  • – CSC recovers the VM using the snapshot it created above and all the software running on the VM is recovered to state "VM" too.
| +| Requirements |
  • – VM snapshot (refer to clause 7.1.5)
| + +#### I.3.2 VM clone use case + +| Use case | | +|-----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | IaaS use case on VM clone | +| Abstract | CSC uses the clone functions to create a new VM. | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the VM clone use case. A Customer Service Center (CSC) interacts with a Cloud Service Provider (CSP) through a Portal. The CSP manages a Computing resource pool (Cloud infrastructure) containing Physical servers. A specific VM (VM1) is selected for cloning, resulting in new VMs (VM11, VM12, etc.).

The diagram shows a Customer Service Center (CSC) on the left, represented by two people at a computer. A red arrow points from the CSC to a Portal, which is a server rack icon. Another red arrow points from the Portal to a Cloud Service Provider (CSP), represented by a blue cloud shape. Inside the CSP cloud, there is a 'Computing resource pool' containing 'Physical servers' (server rack icons). A group of Virtual Machines (VMs) is shown within the cloud, with one VM labeled 'VM1' highlighted. A red arrow labeled 'Clone' points from 'VM1' to a new set of VMs labeled 'VM11', 'VM12', and so on. Red arrows also point from the Portal to the CSP cloud and from the CSP cloud to the Portal. The text 'Y.3513(14)_FI.3.2' is located at the bottom right of the diagram area.

| +| Pre-conditions (optional) |
  • – CSC accesses the IaaS through portal with appropriate security mechanism.
  • – CSC has created a VM (e.g., VM1).
  • – CSC needs more VMs identical or similar to VM1.
| +| Post-conditions (optional) | | +| Description |
  • – CSC selects VM1 which it wants to clone.
  • – CSC selects clone operation, and changes some regular parameters, for example, VM name, the number of CPUs and memory. In this case, CSC clones two VMs, i.e., VM11 and VM12.
  • – CSC starts the cloned VMs, and the cloned VMs are similar to the original one, with slight difference in the changed parameters.
| +| Requirements |
  • – VM clone (refer to clause 7.1.6)
| + +#### I.3.3 VM backup use case + +| Use case | | +|-----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | IaaS use case on VM backup | +| Abstract | CSP recovers the VM according to the backup policies CSC configured. | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the VM backup use case. A Customer (CSC) interacts with a Cloud Service Provider (CSP) through a Portal. The CSP manages Templates, Images, and Policies (Backup) within a Cloud infrastructure. The CSP also manages a Computing resource pool. Red arrows indicate the flow of data and control between the CSC, the Portal, and the CSP components.

The diagram shows a Customer (CSC) on the left, represented by two people at a computer. A red arrow points from the CSC to a 'Portal' (a server rack icon). Another red arrow points from the Portal to the CSP. The CSP is represented by a cloud shape containing several components: 'Template' (two server icons), 'Image' (two document icons), 'Policy (Backup)' (two document icons), and a 'Computing resource pool' (a group of server racks). Red arrows show interactions: from the Portal to the Template, Image, and Policy components; from the Template and Image components to the Policy component; and from the Policy component to the Computing resource pool. A red arrow also points from the CSP back to the CSC. The text 'Cloud infrastructure' is written in red at the bottom of the cloud shape. The identifier 'Y.3513(14)_FI.3.3' is located at the bottom right of the diagram.

| +| Pre-conditions (optional) |
  • – CSC accesses the IaaS through portal with appropriate security mechanism.
  • – CSC has created a VM which is in a normal running state and deployed CSC's application on the VM.
  • – CSC needs backup functions to support its application.
| +| Post-conditions (optional) | | +| Description |
  • – CSC configures the backup policy for the VM, and the policy could be weekly backup.
  • – CSP performs the backup operation according to the policy the CSC configured.
  • – CSP detects that the VM becomes faulty or its data is lost, CSP recovers the VM using backup automatically without CSC's awareness.
| +| Requirements |
  • – VM backup (refer to clause 7.1.7)
| + +### I.4 IaaS storage service use case + +| Use case | | +|-----------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | IaaS use case on storage | +| Abstract | CSC uses block, file or object storage directly or attach to the virtual machine provided by the CSP | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the IaaS storage service use case. On the left, a user (CSC) is shown interacting with a computer. In the center, a 'Portal' is depicted. On the right, a cloud labeled 'CSP' contains a 'Storage resource pool' (represented by cylinders) and a 'Computing resource pool' (represented by server racks). Red arrows show the flow of interaction: from the CSC to the Portal, from the Portal to the Storage resource pool, and from the Portal to the Computing resource pool. The entire cloud infrastructure is labeled 'Cloud infrastructure'.

Y.3513(14)_F1.4

| +| Pre-conditions (optional) |
  • – CSC accesses the IaaS through the portal with appropriate security mechanism and retrieves the functions exposed that are related to storage and attached computing, if needed.
| +| Post-conditions (optional) | | +| Description |
  • – CSC accesses and queries the CSP portal to retrieve the list of supported functions related to storage functions.
  • – CSC selects the appropriate storage from the query results and requests the CSP to create block, file or object storage based on the selection.
  • – CSP creates block, file or object storage from the storage resource pool based on the information provided by the CSC.
  • – CSC attaches the created storage to specified virtual machine if needed.
  • – CSC manages and monitors the created storage during its lifecycle. It includes, but not limited to:
    • • create, attach, detach, query and delete a volume of storage at either block level or file-system level;
    • • write, read and delete data;
    • • query the storage information and its status;
    • • set migration or I/O limitation policies;
    • • execute performance metrics;
    • • snapshot or backup the storage;
    • • reservation storage resource.
| +| Requirements |
  • – Storage migration (refer to clause 7.2.1)
  • – Storage snapshot (refer to clause 7.2.2)
  • – Storage backup (refer to clause 7.2.3)
  • – I/O performance (refer to clause 7.2.4)
  • – Storage resource reservation (refer to clause 7.2.5)
| + +### I.5 IaaS network service use case + +| Use case | | +|-----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Name | IaaS use case on network | +| Abstract | CSC uses network functions, such as IP address, VLAN, virtual switch, load balance and firewall provided by the CSP | +| Roles | CSC, CSP | +| Figure |

Image: Diagram illustrating the IaaS network service use case. A Customer Service Center (CSC) interacts with a Cloud Service Provider (CSP) through a Portal. The CSP's Cloud infrastructure includes a Network resource pool and a Computing resource pool. Red arrows show the flow of interaction from the CSC to the Portal, and from the Portal to the Network resource pool within the CSP's infrastructure.

The diagram shows a Customer Service Center (CSC) on the left, represented by two people at a computer. A red arrow points from the CSC to a 'Portal' box. Another red arrow points from the Portal to a 'Network resource pool' within a larger cloud shape labeled 'CSP'. Inside the CSP cloud, there are also 'Computing resource pool' and various server icons. A red arrow also points from the Network resource pool to the Computing resource pool. The entire CSP cloud is labeled 'Cloud infrastructure' at the bottom. A small text 'Y.3513(14)_FI.5' is visible in the bottom right corner of the diagram area.

| +| Pre-conditions (optional) |
  • – CSC accesses the IaaS through portal with appropriate security mechanism and retrieves the functions exposed that are related to network and computing, if needed.
| +| Post-conditions (optional) | | +| Description |
  • – CSC accesses and queries the CSP portal to retrieve the list of supported network functions (e.g., IP address, VLAN, virtual switch, load balance, firewall).
  • – CSC selects the appropriate network service from the query results and requests CSP to create a network based on the selection.
  • – CSC requests the CSP to attach the created network with the related virtual machine.
  • – CSC manages and monitors the created network during its lifecycle. It includes, but not limited to:
    • • bind the network connectivity service to the related virtual machine;
    • • query the network and its status;
    • • update, upgrade or scaling the network;
    • • execute performance metrics;
    • • manage the IP address pool;
    • • manage network services, such as VLAN, virtual switch, load balance, firewall, gateway;
    • • manage tenants' network according to the SLA objectives.
| +| Requirements |
  • – Network policy migration (refer to clause 7.3.1)
  • – Network QoS (refer to clause 7.3.2)
  • – IP address (refer to clause 7.3.3)
  • – Network isolation (refer to clause 7.3.4)
  • – Virtual networking (refer to clause 7.3.5)
  • – Load balance (refer to clause 7.3.6)
  • – Firewall (refer to clause 7.3.7)
  • – Gateway (refer to clause 7.3.8)
  • – Network configuration (refer to clause 7.3.9)
| + +# **Appendix II** + +## **Methodology of mapping use cases and requirements** + +(This appendix does not form an integral part of this Recommendation.) + +In order to improve the effectiveness of this Recommendation and the harmonization with the related ITU-T Recommendations, the same use case driven approach is applied in this Recommendation as described in [ITU-T Y.3501]. A set of use cases had been selected and elaborated, based on these use cases, different categories of requirements may be introduced. + +# Bibliography + +- [b-ISO/IEC OVF] ISO/IEC Standard 17203:2011, Information technology -- *Open Virtualization Format (OVF) specification*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|--------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks | +| Series Z | Languages and general software aspects for telecommunication systems | \ No 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+STANDARDIZATION SECTOR +OF ITU + +# Y.3514 + +(05/2017) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Cloud Computing + +# --- Cloud computing – Trusted inter-cloud computing framework and requirements + +Recommendation ITU-T Y.3514 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|------------------------|----------------------| +| CLOUD COMPUTING | Y.3500–Y.3999 | +|------------------------|----------------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3514 + +# Cloud computing – Trusted inter-cloud computing framework and requirements + +## Summary + +Recommendation ITU-T Y.3515 specifies a framework of trusted inter-cloud computing and relevant use cases. It provides general requirements for trusted inter-cloud and specific ones related to governance, management, resiliency, security and confidentiality of trusted inter-cloud. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|------------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3514 | 2017-05-22 | 13 | 11.1002/1000/13254 | + +## Keywords + +Cloud computing, confidentiality, governance, inter-cloud, management, resiliency, security, trust. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2017 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 3 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 4 | +| 6 | Overview of trusted inter-cloud..... | 4 | +| | 6.1 Governance of trusted inter-cloud ..... | 5 | +| | 6.2 Management of trusted inter-cloud ..... | 6 | +| | 6.3 Resiliency of trusted inter-cloud ..... | 8 | +| | 6.4 Security and confidentiality of trusted inter-cloud..... | 9 | +| | 6.5 Relationship between trusted inter-cloud and the cloud computing
reference architecture ..... | 9 | +| 7 | General requirements for trusted inter-cloud..... | 10 | +| | 7.1 Data separation ..... | 10 | +| | 7.2 Data annotation..... | 10 | +| | 7.3 Confidentiality of data ..... | 10 | +| | 7.4 Operational statistics ..... | 10 | +| | 7.5 Interoperability and dependability..... | 10 | +| | 7.6 Master service agreement..... | 10 | +| 8 | Requirements for governance of trusted inter-cloud ..... | 10 | +| | 8.1 Geographical policies ..... | 10 | +| | 8.2 Governance policies ..... | 11 | +| | 8.3 Governance roles ..... | 11 | +| | 8.4 Regulatory policies..... | 11 | +| | 8.5 Laws and regulations ..... | 11 | +| 9 | Requirements for management of trusted inter-cloud ..... | 11 | +| | 9.1 Management policies..... | 11 | +| | 9.2 Management roles ..... | 11 | +| | 9.3 Distributed data ..... | 11 | +| | 9.4 Identity management ..... | 11 | +| | 9.5 Access management ..... | 11 | +| | 9.6 Policy language ..... | 11 | +| 10 | Requirements for resiliency of trusted inter-cloud ..... | 11 | +| | 10.1 Service monitoring ..... | 12 | +| | 10.2 Service continuity..... | 12 | +| | 10.3 Resiliency policies..... | 12 | + +| | Page | +|-------------------------------------------------------------------------------|-------------| +| 10.4 Resiliency validation ..... | 12 | +| 11 Requirements for security and confidentiality of trusted inter-cloud ..... | 12 | +| 11.1 Security and confidentiality policies ..... | 12 | +| 11.2 Level of robustness ..... | 12 | +| 11.3 Security policy negotiation ..... | 12 | +| 11.4 Security and confidentiality policy ..... | 12 | +| 11.5 Data security ..... | 12 | +| 11.6 Security policy monitoring ..... | 12 | +| 12 Security considerations ..... | 12 | +| Appendix I Use case of trusted inter-cloud computing ..... | 13 | +| I.1 Use case template ..... | 13 | +| I.2 Trusted inter-cloud related use cases ..... | 13 | +| Bibliography ..... | 22 | + +# Recommendation ITU-T Y.3514 + +# Cloud computing – Trusted inter-cloud computing framework and requirements + +# 1 Scope + +This Recommendation specifies a framework of trusted inter-cloud computing and relevant use cases, based on the framework of inter-cloud computing [ITU-T Y.3511]. The scope of this Recommendation includes: + +- an overview of trusted inter-cloud computing; +- general requirements for trusted inter-cloud; +- requirements for governance of trusted inter-cloud; +- requirements for management of trusted inter-cloud; +- requirements for resiliency of trusted inter-cloud; +- requirements for security and confidentiality of trusted inter-cloud. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T X.1601] Recommendation ITU-T X.1601 (2014), *Security framework for cloud computing*. +- [ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014) | ISO/IEC 17788:2014, *Information technology – Cloud computing – Overview and vocabulary*. +- [ITU-T Y.3501] Recommendation ITU-T Y.3501 (2016), *Cloud computing – Framework and high-level requirements*. +- [ITU-T Y.3502] Recommendation ITU-T Y.3502 (2014) | ISO/IEC 17789:2014, *Information technology – Cloud computing – Reference architecture*. +- [ITU-T Y.3511] Recommendation ITU-T Y.3511 (2014), *Framework of inter-cloud computing*. +- [ITU-T Y.3520] Recommendation ITU-T Y.3520 (2015), *Cloud computing framework for end to end resource management*. +- [ITU-T Y.3521] Recommendation ITU-T Y.3521 (2016), *Overview of end-to-end cloud computing management*. +- [ITU-T Y.3522] Recommendation ITU-T Y.3522 (2016), *End-to-end cloud service lifecycle management requirements*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 availability** [ITU-T Y.3500]: Property of being accessible and usable upon demand by an authorized entity. + +**3.1.2 confidentiality** [ITU-T Y.3500]: Property that information is not made available or disclosed to unauthorized individuals, entities, or processes. + +**3.1.3 cloud computing** [ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications, and storage equipment. + +**3.1.4 cloud service** [ITU-T Y.3500]: One or more capabilities offered via cloud computing invoked using a defined interface. + +**3.1.5 cloud service customer** [ITU-T Y.3500]: Party which is in a business relationship for the purpose of using cloud services. + +NOTE – A business relationship does not necessarily imply financial agreements. + +**3.1.6 cloud service partner** [ITU-T Y.3500]: Party which is engaged in support of, or auxiliary to, activities of either the cloud service provider or the cloud service customer, or both. + +**3.1.7 cloud service provider** [ITU-T Y.3500]: Party which makes cloud services available. + +**3.1.8 governance** [b-ISO/IEC 38500:2015]: System of directing and controlling. + +**3.1.9 information security** [b-ISO/IEC 27000:2016]: Preservation of confidentiality, integrity and availability of information. + +NOTE – In addition, other properties, such as authenticity, accountability, non-repudiation, and reliability can also be involved. + +**3.1.10 integrity** [ITU-T Y.3500]: Property of accuracy and completeness. + +**3.1.11 inter-cloud computing** [ITU-T Y.3511]: The paradigm for enabling the interworking between two or more cloud service providers. + +NOTE – Inter-cloud computing is also referred as inter-cloud. + +**3.1.12 service level agreement** [ITU-T Y.3500]: Documented agreement between the service provider and customer that identifies services and service targets. + +NOTE 1 – A service level agreement can also be established between the service provider and a supplier, an internal group or a customer acting as a supplier. + +NOTE 2 – A service level agreement can be included in a contract or another type of documented agreement. + +**3.1.13 service management interface** [ITU-T Y.3521]: Interface that provides a set of management capabilities exposed by a cloud service through which the cloud service can be managed. + +NOTE – For additional details of SMI concepts, see [ITU-T Y.3520] and [b-TMF TR198]. + +**3.1.14 trusted cloud service** [ITU-T Y.3501]: A cloud service that satisfies a set of requirements such as transparency for governance, management and security so that a cloud service customer (CSC) can be confident in using the cloud service. + +NOTE 1 – The set of requirements will vary depending on the involved cloud service customer, the nature of the cloud service and the governing jurisdiction. + +NOTE 2 – The set of requirements could also be related to additional cross-cutting aspects [ITU-T Y.3502] such as performance, resiliency, reversibility, SLAs, etc. + +NOTE 3 – Transparency means that the cloud service provider (CSP) should commit to the CSC that they have appropriate and clear control and reporting mechanisms for governance, management and security, such as SLA commitments, online announcements, data handling policies, etc. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 dependability:** The availability performance and its influencing factors on reliability performance, maintainability performance and maintenance support performance. + +**3.2.2 inter-cloud governance:** System by which the use of inter-cloud is directed and controlled. + +**3.2.3 reliability:** The ability of a system, product or component to perform and maintain under stated conditions as required for a specified period of time. + +**3.2.4 resiliency:** The ability of a system, product or component to provide, maintain, or return to an acceptable level of service in the face of faults (unintentional, intentional or naturally caused) affecting normal operation. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|----------------------------------------------| +| AAA | Authentication, Authorization and Accounting | +| BSS | Business Support System | +| CSC | Cloud Service Customer | +| CSN | Cloud Service Partner | +| CSP | Cloud Service Provider | +| DDoS | Distributed Denial of Service | +| KPI | Key Performance Indicator | +| MSA | Master Service Agreement | +| NaaS | Network as a Service | +| NAT | Network Address Translation | +| NFV | Network Functions Virtualization | +| OSS | Operations Support System | +| PaaS | Platform as a Service | +| PII | Personally Identifiable Information | +| QoS | Quality of Service | +| SaaS | Software as a Service | +| SDN | Software-Defined Networking | +| SLA | Service Level Agreement | +| SMI | Service Management Interface | +| vFW | Virtual Firewall | +| vHGW | Virtual Home Gateway | + +| | | +|------|-------------------------------------| +| vLB | Virtual Load Balancer | +| vNAT | Virtual Network Address Translation | + +# 5 Conventions + +In this Recommendation: + +The keywords "**is required to**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +# 6 Overview of trusted inter-cloud + +The inter-cloud computing concept is based on the relationship (pattern) among multiple cloud service providers (CSPs). This pattern (peering, federation or intermediary) allows the CSP to interwork with one or more peer CSPs to assure intermediation and security of services provided by these CSPs. + +The trusted inter-cloud relationship among multiple CSPs relies on confidence between cloud service customer (CSC) and CSP, or between CSPs. One of them has to delegate physical control over application, service, resource and data to the others. The appropriate security mechanisms (e.g., security access control, security of network connectivity between the CSPs) are needed during peer CSPs interactions to achieve trusted inter-cloud computing. + +The relevant CSPs form a common trusted inter-cloud to establish a trust relationship between them. In particular, the multiple CSPs involved in inter-cloud may be administered by different parties. In case of an inter-cloud federation, the involved CSPs may establish trust relationships among them prior to any interactions between them or during inter-cloud interactions (e.g., service requests between CSPs). + +The specifics of trusted inter-cloud computing are different depending on the technologies used by CSC or CSP. Therefore, the management of trusted inter-cloud takes into account different levels of security. + +Trusted inter-cloud relationships can be expressed through cross-cutting aspects (identified in [ITU-T Y.3502]), such as the **governance**, **management**, **resiliency** and **security** of inter-cloud. + +Trusted inter-cloud computing covers security threats for CSC and threats for CSP. The specific threats depend on the level of responsibilities and control between the CSC and CSP, or between CSPs (such as those identified in [ITU-T X.1601]). In trusted inter-cloud systems, the control can be exchanged between CSC and CSP or between CSPs to achieve security continuum. The **security** of inter-cloud can be realized based on: + +- a) self-service security which enables self-service management of security in heterogeneous cloud infrastructures and provides flexible mechanisms to let CSC or CSP control the security of their cloud computing resources in a fine-grained manner; +- b) self-managed security which enables full automation of security management in order to reduce operational costs while adding more flexibility and providing a unified view of security in heterogeneous cloud computing environments; +- c) end-to-end security which implements a distributed security abstraction layer between endpoints defined by the CSC to overcome the heterogeneity of security technologies across multi-cloud environments and to manage trust relationships between different layers and across CSPs, to provide a unified user experience of security. + +The **governance** of inter-cloud means the system by which inter-cloud is directed and controlled. A governance system has to monitor and to control usage of cloud computing system in both horizontal (cross-provider) and vertical (cross-layer) dimensions with a high level of automation. + +The **resiliency** of inter-cloud means the ability of multi-cloud environment to provide and to maintain an acceptable quality level of service in the face of faults (unintentional, intentional or naturally caused) affecting normal operations. + +### 6.1 Governance of trusted inter-cloud + +One of the main challenges in inter-cloud computing is to respect security, confidentiality, and compliance requirements of cloud services hosted in a multi-cloud environment. The governance aspects become key parts of service level agreements (SLAs) for cloud services as they allow for usage of cloud services in a transparent manner over all their lifecycle. The governance roles guarantee security and appropriate treatment of cloud applications and cloud data independently of the deployment model. They are specified and targeted for an operational area of cloud computing. + +The governance of trusted inter-cloud is based on specific policies and principles which allow for the use of particular cloud services in a trustworthy manner. This needs strongly isolated (physically or logically) instances of cloud services for aspects including identity management, geographic redundancy, support for hybrid scenarios, and effective inter-cloud data (workloads) management. The CSPs establishing a trusted inter-cloud relationship are obliged to determine their policies of decision-making roles, and implement these policies in their management systems. + +The governance of trusted inter-cloud can be expressed as a system of directing and controlling an inter-cloud environment to reach objectives for trust. It can be spread over the governance body and governance executive. The governance body consists of a set of representatives of CSPs (person or group of people) who are accountable for the performance and conformance of the trusted inter-cloud environment. The governance executive represents the system by which current and future use of trusted inter-cloud is directed and controlled. The governance executive also provides plans, builds and runs trusted inter-cloud enabled business. + +The governance of trusted inter-cloud is a continuous process to monitor particular indicators from systems (e.g., performance, conformance), evaluate proposals and plans, and direct strategy and policies between the governance body and governance executive. The governance body takes into account external trusted inter-cloud conditions related to business pressures, regulatory obligations, source of authority, stake-holders' expectations and business needs. + +The trusted inter-cloud governance is based on the following principles: + +- responsibility, which indicates clearly defined roles for demand and support of the environment; +- strategy, which is strongly related to phase of plans, builds and runs trusted inter-cloud enabled business; +- acquisition of inter-cloud data, which depends on the business case; +- performance, which has to be realized according to SLAs for cloud services; +- compliance, which covers the necessary respect of laws and regulations; +- human behaviour, which addresses the dynamics of interaction in the governance process. + +The governance of trusted inter-cloud can be considered with respect to internal or external aspects. Internal cloud governance allows a CSP to control its own processes in a way that it can give assurance and transparency to other CSPs participating in a trusted inter-cloud environment according to specified expectations in terms of cloud computing cross-cutting aspects [ITU-T Y.3502]. + +External cloud governance spans processes of monitoring and controlling the inter-cloud environment to reach objectives of trust. This can refer to a service level agreement which provides detailed information about functional and non-functional aspects of cloud services. + +For both internal governance and external governance of trusted inter-cloud, these refer to matters that are decided by the governing board of a CSP, such as how policy decisions are made, and how these are converted into policies that can be implemented in the CSP's management system. + +### **6.2 Management of trusted inter-cloud** + +Management in trusted inter-cloud computing environments is based on access control mechanisms and a trust management system. They are complementary to each other. Appropriate access control mechanisms guarantee a level of confidentiality and trust between a CSC and CSPs or between CSPs. + +Access control mechanisms determine authorization of shifting physical control over applications, services, resources and data. An authorization, authentication and accounting (AAA) module to control the access to cloud computing resources relies on a customisable access control policy model and its implementation requirements. The specification of the access control mechanism is usually predefined in an access control policy. This specification is used to specify permissions and access control to cloud computing resources and cloud services. + +The traditional access control mechanisms (e.g., identity-based, lattice-based, role-based, organisation-based, attribute-based) cannot be successfully used in trusted inter-cloud computing due to high dynamics in cloud computing environments. Therefore, new mechanisms based on mixing traditional functionality can be used to control cross-tenant at the policy administration level. + +The objectives of access control mechanisms in trusted inter-cloud environment are as follows: + +- expressivity as the ability to provide appropriate mechanisms of access control policies. This depends on the implementation; +- granularity as the ability to decompose an access control mechanism into smaller size components. This is in line with granularity of the cloud computing resources and cloud services as well as the SLA established between the CSC and CSP or between CSPs; +- context-awareness as the ability of an authorization mechanism to take context information into consideration when making access decisions. Context awareness is significant in trusted inter-cloud environments due to their distributed nature: access to inter-cloud from different locations, during different time periods, etc. + +Appropriate policy language implemented in the trusted inter-cloud environment provides expressiveness beyond the boundary of access control. This should respect security mechanisms of trust management systems to fulfil specified requirements. + +Trust management in inter-cloud environments (as an interaction enabler in situations of risk and uncertainty) is considered in cross-provider and cross-layer dimensions. Decisions of the trust management system are typically taken based on the prediction of cloud computing actors' behaviours and are based on the SLA established between CSC and CSP or between CSPs. According to particular needs, trust management can either be CSC-related or CSP-related. + +The trust management functionalities are supported by the "Authorisation and security policy management" functional component within the multi-layer functions of the cloud computing reference architecture [ITU-T Y.3502]. The positioning of trust management functionalities across the CSPs which provide inter-cloud services is presented in Figure 6-1. + +![Figure 6-1: The positioning of trust management functionalities over CSP in inter-cloud. The diagram shows three main components: CSC, CSP-A, and CSP-B. CSC has a 'User layer'. CSP-A and CSP-B have 'Access layer', 'Service layer', and 'Resource layer'. Both CSP-A and CSP-B have a 'Multi-layer functions' block containing 'Security systems' and 'Authorisation and security policy management' (which includes 'Trust management functionalities'). A red arrow labeled 'Use cloud service' points from CSP-A's Access layer to CSC's User layer. A dashed red arrow labeled 'Inter cloud' connects CSP-A's Service layer to CSP-B's Service layer. A solid red arrow labeled 'Trusted inter-cloud' connects CSP-A's Trust management functionalities to CSP-B's Trust management functionalities. A small reference code 'Y.3514(17)_F6-1' is at the bottom right.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Figure 6-1: The positioning of trust management functionalities over CSP in inter-cloud. The diagram shows three main components: CSC, CSP-A, and CSP-B. CSC has a 'User layer'. CSP-A and CSP-B have 'Access layer', 'Service layer', and 'Resource layer'. Both CSP-A and CSP-B have a 'Multi-layer functions' block containing 'Security systems' and 'Authorisation and security policy management' (which includes 'Trust management functionalities'). A red arrow labeled 'Use cloud service' points from CSP-A's Access layer to CSC's User layer. A dashed red arrow labeled 'Inter cloud' connects CSP-A's Service layer to CSP-B's Service layer. A solid red arrow labeled 'Trusted inter-cloud' connects CSP-A's Trust management functionalities to CSP-B's Trust management functionalities. A small reference code 'Y.3514(17)\_F6-1' is at the bottom right. + +**Figure 6-1 – The positioning of trust management functionalities over CSP in inter-cloud** + +The inter-cloud relation is realised over the particular service layers of CSP-A and CSP-B (dashed line in Figure 6-1). The trusted inter-cloud relation is realised over trust management functionalities of CSP-A and CSP-B located in the "Authorisation and security policy management" functional component, which is located within functionalities of inter-cloud security among CSPs (solid lines in Figure 6-1). The trust management functionalities play an intermediary role between service layers of CSP-A and CSP-B in inter-cloud relations. + +The operational model of trust management identifies four modes as follows: + +- Mode 1 – the trust management system produces simple answers (i.e., trust or no trust) that states whether the credentials provided by the CSP satisfy the policy; +- Mode 2 – extended Mode 1, with justification when the request is denied, that states which conditions in the policy the provided credentials were unable to satisfy; +- Mode 3 – the trust management system provides an answer with justifications and explanation when the policy is satisfied. The explanation contains all credentials that satisfy the policy; +- Mode 4 – extended Mode 3, with detailed explanation. The detailed explanation is obtained by providing all subsets of credentials that satisfy the policy. + +The trust management functionalities are built upon elements as follows: + +- **Feedback analyser** which is responsible for the collection and analysis of feedbacks and opinions from a CSC or CSP about another CSC or CSP; +- **SLA analyser** which is responsible for extracting and evaluating SLA metrics; +- **Credential analyser** which verifies chains of trust and evaluates the validity of credentials; +- **Trust requirement handler** which parses and extracts trust requirements; +- **Trust analyser** which encapsulates the policies used to compute trust; +- **Trust requests handler** which orchestrates and coordinates the collaboration of the aforementioned components. + +For an overview of cloud SLA, cloud SLA metrics and the relationship between the cloud service agreement and the cloud SLA please refer to [b-ISO/IEC 19086-1]. + +![Figure 6-2 – The relationship between particular elements of trust management functionalities. The diagram shows a nested structure for Trust Management. At the top is a 'Trust requirement handler'. In the middle is a 'Trust analyser' box containing three sub-components: 'Feedback analyser' (connected to external 'CSC, CSP'), 'SLA analyser' (connected to external 'SLA, audits'), and 'Credential analyser' (connected to external 'Credential'). At the bottom is a 'Trust request handler' which outputs a 'Trust value' and receives a 'Trust request'. Bidirectional arrows connect the handler and analyser blocks vertically within the main Trust Management container.](7c1f9e78e0f033d391b687f1652f6e47_img.jpg) + +The relationships between particular elements of trust management functionalities are presented in Figure 6-2. + +``` + +graph TD + subgraph TM [Trust management] + TRH[Trust requirement handler] + subgraph TA [Trust analyser] + FA[Feedback analyser] + SA[SLA analyser] + CA[Credential analyser] + end + TRQH[Trust request handler] + end + + CSC[CSC, CSP] --> FA + SLAA[SLA, audits] --> SA + CRED[Credential] --> CA + + TRH <--> TA + TA <--> TRQH + + TRQH --> TV[Trust value] + TRQ[Trust request] --> TRQH + +``` + +**Figure 6-2 – The relationship between particular elements of trust management +functionalities** + +Figure 6-2 – The relationship between particular elements of trust management functionalities. The diagram shows a nested structure for Trust Management. At the top is a 'Trust requirement handler'. In the middle is a 'Trust analyser' box containing three sub-components: 'Feedback analyser' (connected to external 'CSC, CSP'), 'SLA analyser' (connected to external 'SLA, audits'), and 'Credential analyser' (connected to external 'Credential'). At the bottom is a 'Trust request handler' which outputs a 'Trust value' and receives a 'Trust request'. Bidirectional arrows connect the handler and analyser blocks vertically within the main Trust Management container. + +Trust management relies on components for managing isolation and security mechanisms. The components managing isolation ensure cross-layer trust, while components managing security mechanism establish a chain of trust satisfying both horizontal (cross-provider) and vertical (cross-layer) dimensions. + +### 6.3 Resiliency of trusted inter-cloud + +Resiliency includes the set of monitoring, preventive and responsive processes that enable a cloud service to provide near-continuous operations, or predictable and verifiable outages (such as scheduled maintenance), through appropriate failure and recovery actions. These include hardware failures, communications and software malfunctions, and can occur as isolated incident or in combination, including cascade of failures. These processes might include both automated and manual actions, usually spanning multiple systems, and thus their description and realisation are part of the overall cloud infrastructure, and not an independent function. Inherent in resiliency is the realisation of risk management – since resiliency is determined by the least resilient component in the system, performance or other factors may limit the extent to which resiliency is achievable or effective. The association of risk to value is realised in the implementation choices to provide resiliency. + +Inter-cloud resiliency is interpreted as persistence under uncertainty of performance among multiple CSPs in the face of some set of disturbances that are likely to occur during a specified timeframe. + +Trusted inter-cloud resiliency is a set of technical procedures (rely on shifting control and security mechanisms) to: + +- monitor CSC or CSP's environment and collect relevant data; +- analyse monitored data; +- predict faults and; +- mitigate or restore the cloud service parameters after service failure (related to certain equipment or software functionality, laws and regulations, local policies, service contracts, etc.) and availability (related to technical systems functionality). + +8 **Rec. ITU-T Y.3514 (05/2017)** + +Complementary to trusted inter-cloud resiliency is the reliability of trusted inter-cloud. This means the ability of the trusted inter-cloud environment to perform and maintain under stated conditions as required for a specified period of time. + +### **6.4 Security and confidentiality of trusted inter-cloud** + +The security and confidentiality of trusted inter-cloud is the main challenge of integrating multiple CSP platforms. This is necessary to provide self-service, self-managed and end-to-end security services for the CSC, and for the CSP to guarantee a level of confidentiality, integrity, as well as availability of services and resources hosted on CSP's cloud computing environments. To establish and specify trust between different cloud computing environments as well as trust between CSC and CSPs, a dedicated security and confidentiality terminology, together with a master service agreement (MSA) is needed. + +The security and confidentiality of trusted inter-cloud is based on distributed cloud management. It enables the primary CSP to provide end-to-end dynamic deployment, configuration and unified control of security and confidentiality of cloud services across multiple CSPs. In implementation, distributed cloud management supported trust can be realised by combining specialised protocol design with smart interaction with the underlying cloud network fabric (e.g., using software-defined networking (SDN) traffic engineering and cloud-tailored smart queue management). + +To increase security and confidentiality of trusted inter-cloud computing, it is necessary to define a terminology (language) to annotate (or tag) workloads and data with security requirements (such as permissible storage locations). These annotations will be processed by the system during scheduling and migration to ensure that workload constraints are maintained. Additionally, annotation of workloads allows the use of appropriate network data plane mechanisms (e.g., SDN) for strong security protection and traffic isolation in order to ensure that the above constraints are reached when workloads are practically placed, executed (data accessed and stored) and migrated. Such annotation of workloads and data sets might be based on standards for data categorisation. + +The security and confidentiality of trusted inter-cloud is realized based on a two dimensional (vertical and horizontal) model as follows. The vertical axis is based on the layers of the cloud computing reference architecture [ITU-T Y.3502]: + +- in the higher layers focussed on user-centric security and confidentiality through a unified distribution layer for cloud resources (independently from their type and from underlying CSP), such as user identity management, authentication and authorization; +- in the lower layers focused on provider-independent control, security and confidentiality over the whole distributed inter-cloud infrastructure, such as disk and network encryption. + +The horizontal axis is based on the interconnection of CSPs based on the inter-cloud framework [ITU-T Y.3511]. + +Consequently, security and confidentiality of trusted inter-cloud are based on satisfying both horizontal (cross-provider) and vertical (cross-layer) dimensions. + +### **6.5 Relationship between trusted inter-cloud and the cloud computing reference architecture** + +The cloud computing reference architecture [ITU-T Y.3502] provides an architectural framework which defines cloud computing roles, sub-roles, cloud computing activities and cross-cutting aspects. It also describes the functional layers and functional components of a cloud computing system. According to this framework, the trusted inter-cloud relationships can be expressed by cross-cutting aspects like security, governance and resiliency that span over cloud computing multi-layer functionality. The conceptual view of cloud computing management is based on cloud computing management layers and the service management interface (SMI) approach [ITU-T Y.3520] and [ITU-T Y.3522]. + +Trust management in inter-cloud environments can be realized based on the common model for end-to-end cloud computing management [ITU-T Y.3521]. In particular, the operations support system (OSS) functional components encompass the set of management capabilities that are required in order to manage and control trust in an inter-cloud environment. The role of business support system (BSS) functional components remains to encompass the set of business-related management capabilities dealing with customers and supporting processes in a trusted manner (see clause 9.2.5.4 of [ITU-T Y.3502]). Therefore, in a trusted inter-cloud environment, the cloud computing management functionalities [ITU-T Y.3521] can be used to reach objectives of trust satisfying governance, security and resiliency aspects of inter-cloud. + +# **7 General requirements for trusted inter-cloud** + +This clause identifies general requirements applicable to trusted inter-cloud. + +### **7.1 Data separation** + +It is required that the CSP provides data separation between workloads to ensure security and confidentiality. + +### **7.2 Data annotation** + +It is recommended that the CSP supports annotation (tagging) of trusted inter-cloud data (workloads) to enable compliance with regulatory obligations. + +### **7.3 Confidentiality of data** + +It is required that the CSP respects the confidentiality of the CSC's or CSP's data used in trusted inter-cloud system. + +### **7.4 Operational statistics** + +It is recommended that the CSP supports operational statistics for trusted inter-cloud services according to appropriate methods of measurement. + +### **7.5 Interoperability and dependability** + +It is recommended that the CSP supports interoperability and dependability of trusted inter-cloud services. + +### **7.6 Master service agreement** + +It is recommended that the CSP respects master service agreements to reach objectives of trust satisfying governance, security and resiliency aspects of inter-cloud. + +# **8 Requirements for governance of trusted inter-cloud** + +This clause provides requirements for governance of trusted inter-cloud derived from the use cases described in Appendix I. + +### **8.1 Geographical policies** + +It is required that the CSP respects all applicable geographical policies in order to realise requests from the CSC or other CSP. + +It is recommended that the CSP integrates and validates cloud services from peer CSPs with respect to geographical policies. + +It is recommended that the CSP validates and supports resiliency cloud services from peer CSPs with respect to geographical policies. + +NOTE – A geographical policy can be conditional, for example "data shall not leave country X *unless* this movement is necessary to continue service during a major outage". + +### **8.2 Governance policies** + +It is required that the CSP respects governance policies to reach objectives of trusted inter-cloud. + +### **8.3 Governance roles** + +It is required that the CSP respects governance roles to reach objectives of trusted inter-cloud. + +### **8.4 Regulatory policies** + +It is required that the CSP complies with applicable data regulation policies (e.g., medical, financial, defence, etc.) and business regulatory policies related to inter-cloud. + +NOTE – Regulation policies concern regulations applied to particular types of businesses. + +### **8.5 Laws and regulations** + +It is required that the CSP complies with applicable laws and regulations as well as local policies. + +## **9 Requirements for management of trusted inter-cloud** + +This clause provides requirements for management of trusted inter-cloud derived from the use cases described in Appendix I. + +### **9.1 Management policies** + +It is required that the CSP respects management policies applied to trusted inter-cloud. + +### **9.2 Management roles** + +It is required that the CSP respects management roles applied to trusted inter-cloud. + +### **9.3 Distributed data** + +It is recommended that the CSP supports management of distributed data in trusted inter-cloud. + +### **9.4 Identity management** + +It is recommended that the CSP provides identity management to enable compliance with CSC policy in trusted inter-cloud. + +### **9.5 Access management** + +It is recommended that the CSP provides access management to enable compliance with CSC policy in trusted inter-cloud. + +### **9.6 Policy language** + +It is recommended that the CSP supports policy language (related to data annotation) to increase confidentiality of trusted inter-cloud. + +## **10 Requirements for resiliency of trusted inter-cloud** + +This clause provides requirements for resiliency of trusted inter-cloud derived from the use cases described in Appendix I. + +### **10.1 Service monitoring** + +It is recommended that the CSP monitors quality of trusted inter-cloud service in real time. + +### **10.2 Service continuity** + +It is recommended that the CSP supports the resiliency of trusted inter-cloud services in order to respect service continuity in accordance with the SLA established between CSC and CSP or between CSPs. + +### **10.3 Resiliency policies** + +It is recommended that the CSP integrates and validates cloud services from peer CSPs with respect to resiliency policies. + +### **10.4 Resiliency validation** + +It is recommended that the CSP validates resiliency of cloud service from peer CSPs. + +# **11 Requirements for security and confidentiality of trusted inter-cloud** + +This clause provides requirements for security and confidentiality of trusted inter-cloud derived from the use cases described in Appendix I. + +### **11.1 Security and confidentiality policies** + +It is recommended that the CSP supports unified (commonly adopted) security and confidentiality policies and metadata. + +### **11.2 Level of robustness** + +It is recommended that the CSP supports appropriate levels of robustness. + +### **11.3 Security policy negotiation** + +It is recommended that the CSP supports security policy negotiation. + +### **11.4 Security and confidentiality policy** + +It is required that the CSP respects the security and confidentiality policies established between CSC and CSP or between CSPs. + +### **11.5 Data security** + +It is recommended that the CSP supports on-demand data security services. + +### **11.6 Security policy monitoring** + +It is recommended that the CSP supports deployment and monitoring of security policies related to inter-cloud. + +# **12 Security considerations** + +Security aspects for consideration within the cloud computing environment, including inter-cloud computing, are described in [ITU-T X.1601], which analyses security threats and challenges, and describes security capabilities that could mitigate these threats and meet the security challenges. + +# Appendix I + +## Use case of trusted inter-cloud computing + +(This appendix does not form an integral part of this Recommendation.) + +## I.1 Use case template + +The use cases developed in Appendix I should adopt the following unified format for better readability and convenient material organization. + +| | | +|----------------------------|-----------------------------------------------------------------------------------------------------------------| +| Title | Note: The title of the use case | +| Description | Note: Scenario description of the use case | +| Roles | Note: Roles involved in the use case | +| Figure (optional) | Note: Figure to explain the use case, but not mandatory | +| Pre-conditions (optional) | Note: The necessary pre-conditions that should be achieved before starting the use case | +| Post-conditions (optional) | Note: The post-condition that will be carried out after the termination of current use case | +| Derived requirements | Note: Requirements derived from the use cases, whose detailed description is presented in the dedicated chapter | + +## I.2 Trusted inter-cloud related use cases + +### I.2.1 Use case of access security in trusted inter-cloud + +This use case illustrates the security aspects of trusted inter-cloud between the primary CSP and secondary CSPs. The intermediary pattern of inter-cloud used to illustrate the use case is an example only. + +**Table I.2.1 – Access security in trusted inter-cloud** + +| Title | Access security in trusted inter-cloud | +|-------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |
  • – The CSC requests secure and malware free software as a service (SaaS).
  • – The primary CSP in an inter-cloud intermediary pattern (acts as CSP(Intermediary)) is the contact point for CSC.
  • – The CSP(Intermediary) integrates and validates services from multiple SaaS CSPs (secondary CSPs).
  • – For the CSP(Intermediary), in order to guarantee secure and malware free SaaS software for CSC, it is necessary to validate SaaS from secondary CSP1(SaaS), CSP2(SaaS) and CSP3(SaaS). In case of negative SaaS validation the CSP offer of this SaaS is not presented to CSC.
  • – In case of connectivity problem between CSP(Intermediary) and CSP1(SaaS), the service is automate established between CSP(Intermediary) and CSP3(SaaS).
| +| Roles | CSC, CSP, CSP(SaaS) | + +| Title | Access security in trusted inter-cloud | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure (optional) |

Image: Diagram illustrating access security in trusted inter-cloud. A CSC (Customer Service Center) is connected to a CSP (intermediary). The CSP (intermediary) is connected to three SaaS providers: CSP1(SaaS), CSP2(SaaS), and CSP3(SaaS). Arrows indicate the flow of data and services. A blue checkmark icon is shown on the arrow from CSP (intermediary) to CSP1(SaaS), and another blue checkmark icon is shown on the arrow from CSP (intermediary) to CSP3(SaaS). A red stop sign icon is shown on the arrow from CSP (intermediary) to CSP2(SaaS).

Y.3514(17)_T1.1.2

| +| Pre-conditions (optional) |
  • – The CSP1(SaaS) and CSP3(SaaS) deliver malware free software.
  • – The CSP2(SaaS) delivers malware infected software.
| +| Post-conditions (optional) |
  • – The CSP(Intermediary) guarantees secure SaaS.
  • – The CSP(Intermediary) establishes service between CSC and CSP1(SaaS).
  • – The CSP(Intermediary) establishes service between CSC and CSP3(SaaS) in case of failed CSP1(SaaS).
| +| Derived requirements |
  • – access security between the CSC and CSP
  • – integrate and validate services from multiple CSPs
  • – resiliency service from multiple CSPs
| + +### I.2.2 Use case of geographical policy in trusted inter-cloud + +This use case illustrates the governance aspect of trusted inter-cloud between the primary CSP and secondary CSPs. The intermediary pattern of inter-cloud used to illustrate the use case is an example only. + +**Table I.2.2 – Geographical policy in trusted inter-cloud** + +| Title | Geographical policy in trusted inter-cloud | +|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |
  • – The CSC request SaaS service performed exactly within area A (geographical policy).
  • – The primary CSP in an inter-cloud intermediary pattern (acts as CSP(Intermediary)) is the contact point for CSC.
  • – The CSP(Intermediary) integrates and validates SaaS services from multiple CSPs (secondary CSPs).
  • – For the CSP(Intermediary), in order to respect the request of CSC, it is necessary to validate governance policies from secondary CSP1(SaaS), CSP2(SaaS) and CSP3(SaaS). In case of negative validation, the secondary CSP offer is not presented to CSC.
  • – In case of connectivity problem between CSP(Intermediary) and CSP1(SaaS), the SaaS service is automatically established between CSP(Intermediary) and CSP3(SaaS).
| +| Roles | CSC,CSP, CSP(SaaS) | + +| Title | Geographical policy in trusted inter-cloud | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure (optional) | Diagram illustrating geographical policy in trusted inter-cloud. A CSC (Customer Service Center) is connected to a CSP (intermediary) in Area A. The CSP (intermediary) is connected to three SaaS providers: CSP1(SaaS) in Area A, CSP2(SaaS) in Area B, and CSP3(SaaS) in Area A. Arrows indicate service flow from CSP1 and CSP3 to the CSP (intermediary), and from the CSP (intermediary) to CSP2. A blue checkmark icon is on the arrow from CSP1, a red minus icon is on the arrow from CSP2, and a blue checkmark icon is on the arrow from CSP3. The text 'Y.3514(17)_TI.2.2' is at the bottom right of the diagram.

Y.3514(17)_TI.2.2

| +| Pre-conditions (optional) |
  • – The primary CSP(Intermediary) and secondary CSPs are in trusted inter-cloud relationship.
  • – The CSP1(SaaS) and CSP3(SaaS) effects geographical polices.
  • – The CSP2 performs SaaS service out of the requested area.
| +| Post-conditions (optional) |
  • – The CSP(Intermediary) guarantees governance policies of SaaS.
  • – The CSP (Intermediary) establishes service between CSC and CSP1(SaaS).
  • – The CSP (Intermediary) establishes service between CSC and CSP3(SaaS) in case of failed CSP1(SaaS).
| +| Derived requirements |
  • – geographical policies
  • – integrate and validate services from multiple CSPs
  • – resiliency service from multiple CSPs
| + +### I.2.3 Use case of video gaming in trusted inter-cloud + +This use case illustrates the resiliency aspect of trusted inter-cloud between the primary CSP and secondary CSPs. The intermediary pattern of inter-cloud used to illustrate the use case is an example only. + +**Table I.2.3 – Video gaming in trusted inter-cloud** + +| Title | Video gaming service in trusted inter-cloud | +|-------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |
  • – The CSC requests video gaming service with quality of service (QoS) (Premium service under SLA).
  • – The primary CSP in an inter-cloud intermediary pattern (acts as CSP(Intermediary)) is the contact point for CSC.
  • – The CSP(Intermediary) integrates and validates video gaming services from multiple CSPs (secondary CSPs).
  • – The CSP(Intermediary) monitors quality of service from secondary CSP1 and CSP2. In case service quality drops below premium service level, due to internal or external problems of CSP1 (e.g., overloaded resources, human error, distributed denial of service(DDoS)), the service is automatically established between CSP(Intermediary) and CSP2 without interruption.
| +| Roles | CSC, CSP | + +| Title | Video gaming service in trusted inter-cloud | +|----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure (optional) |

Image: Diagram showing the video gaming service in a trusted inter-cloud. A CSC (Customer Service Center) is connected to a CSP (intermediary). The CSP (intermediary) is connected to two secondary CSPs: CSP1 and CSP2. CSP1 is crossed out with a red X, indicating it is no longer active. CSP2 is active. The diagram is labeled Y.3514(17)_TI.2.3.

 graph LR     CSC((CSC)) <--> CSP[CSP (intermediary)]     CSP <--> CSP1[CSP1]     CSP <--> CSP2[CSP2]     style CSP1 stroke-dasharray: 5 5     style CSP2 fill:#fff,stroke:#000

Y.3514(17)_TI.2.3

| +| Pre-conditions (optional) |
  • – The primary CSP(Intermediary) and secondary CSPs are in trusted inter-cloud relationship.
  • – The CSP1 and CSP2 offer video gaming service (Premium service).
  • – The CSP (Intermediary) integrates and validates gaming services with QoS.
  • – The CSP (Intermediary) establishes service between CSC and CSP1.
| +| Post-conditions (optional) |
  • – The CSP1 is under internal or external perturbation and quality of video gaming service drops below premium service level.
  • – The service is automatically established between CSP(Intermediary) and CSP2 without service interruption.
| +| Derived requirements |
  • – real-time monitoring quality of trusted service
  • – integrate and validate services from multiple CSPs
  • – resiliency service from multiple CSPs
| + +### I.2.4 Use case of distributed image processing platform in trusted inter-cloud + +This use case illustrates the security and confidentiality aspects of trusted inter-cloud between a primary CSP and secondary CSPs. The intermediary pattern of inter-cloud used to illustrate the use case is an example only. + +**Table I.2.4 – Distributed image processing platform in trusted inter-cloud** + +| Title | Distributed image platform in trusted inter-cloud | +|-------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |
  • – The CSC requests the CSP for a platform to build image processing and storage systems. CSC is required to provide its own part of the software into the cloud.
  • – The CSC request that the platform fits regulatory policy to reach safety, security and confidentiality constraints. The CSC requests QoS for data processing.
  • – The CSC requests that the physical location (localization) for its data store as well as CSP can be chosen by CSC in an elastic manner.
  • – The primary CSP(PaaS) in an inter-cloud intermediary pattern CSP(Intermediary) is the contact point for CSC.
  • – The CSP(Intermediary) integrates and validates SaaS services from multiple CSPs (secondary CSPs).
  • – The CSP2(SaaS) offers the same service as CSP1(SaaS) or CSP3(SaaS) but does not meet the required business regulatory policy.
  • – For the CSP(Intermediary), in order to respect the request of a CSC, it is necessary to validate security and confidentiality policies from
| + +| Title | Distributed image platform in trusted inter-cloud | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

secondary CSP1(SaaS), CSP2(SaaS) and CSP3(SaaS). In case of negative validation, the secondary CSP offer is not presented to CSC.

  • – In case of connectivity problem between CSP(Intermediary) and CSP1, the SaaS service is automatically established between CSP(Intermediary) and CSP3.

In particular, an example of such service could be sharing information of patients' healthcare between hospitals. The hospitals can exchange all medical data of patients, while other agencies such as insurance or government have access limited to statistical information only without personally identifiable information (PII).

| +| Roles | CSC, CSP(PaaS), CSP(SaaS) | +| Figure (optional) | Diagram illustrating the distributed image platform in trusted inter-cloud. A central box labeled 'CSP(PaaS) (intermediary)' is connected to a circle labeled 'CSC' on the left and three boxes labeled 'CSP1(SaaS)', 'CSP2(SaaS)', and 'CSP3(SaaS)' on the right. Arrows show bidirectional communication between CSC and the intermediary, and between the intermediary and each SaaS CSP. A blue checkmark icon is on the arrow to CSP1(SaaS), a red 'X' icon is on the arrow to CSP2(SaaS), and a blue checkmark icon is on the arrow to CSP3(SaaS). A small text 'Y.3514(17)_T1.2.4' is at the bottom right of the diagram. | +| Pre-conditions (optional) |
  • – The primary CSP(PaaS) and secondary CSPs are in trusted inter-cloud relationship.
  • – The CSP1(SaaS) and CSP3(SaaS) effects security, safety and confidentiality policies.
  • – The CSP2(SaaS) performs service out of business regulatory policy.
| +| Post-conditions (optional) |
  • – The CSP(Intermediary) guarantees security and confidentiality policy of SaaS.
  • – The CSP(Intermediary) establishes service between CSC and CSP1(SaaS).
  • – The CSP(Intermediary) establishes service between CSC and CSP3(SaaS) in case CSP1(SaaS) fails.
| +| Derived requirements |
  • – security and confidentiality policies
  • – unified (commonly adopted) security policies and metadata
  • – interoperability and dependability
  • – support appropriate level of robustness
  • – security policy negotiation terminology
  • – management of distributed data
  • – resiliency service from multiple CSPs
| + +#### 1.2.5 Use case of distributed information exchange system in trusted inter-cloud + +This use case illustrates the security and confidentiality aspect of trusted inter-cloud between a primary CSP and secondary CSPs. The intermediary pattern of inter-cloud used to illustrate the use case is an example only. + +**Table I.2.5 – Distributed information exchange system in trusted inter-cloud** + +| Title | Distributed information exchange system in trusted inter-cloud | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |
  • – The CSC from regulation business domain (e.g., healthcare, finance, defence), requests the CSP for a service to build an information exchange system. CSC requires that information will be distributed respecting business regulatory policies and data regulation policy.
  • – The CSC requests that distributed information exchange system fits regulatory policy to reach safety, security and confidentiality constraints.
  • – The CSC requests that physical location (localization) for their data store as well as CSP can be chosen by CSC in an elastic manner.
  • – The primary CSP(SaaS) in an inter-cloud intermediary pattern (acts as CSP(Intermediary)) is the contact point for CSC.
  • – The CSP(Intermediary) integrates and validate SaaS services from multiple CSPs (secondary CSPs).
  • – The CSP2(SaaS) offers the same service as CSP1(SaaS) or CSP3(SaaS) but does not meet the required business regulatory policy.
  • – For the CSP(Intermediary), in order to respect the request of CSC, it is necessary to validate security and confidentiality policies from secondary CSP1(SaaS), CSP2(SaaS) and CSP3(SaaS). In case of negative validation, the secondary CSP offer is not presented to CSC.
  • – In case of connectivity problem between CSP(Intermediary) and CSP1, the SaaS service is automatically established between CSP(Intermediary) and CSP3.

In particular, an example of such service could be PaaS-based processing of satellite image data for farm crop analysis.

| +| Roles | CSC,CSP(SaaS) | +| Figure (optional) | Diagram of the distributed information exchange system in trusted inter-cloud. A central box labeled 'CSP(SaaS) (intermediary)' is connected to a circle labeled 'CSC' on the left and three boxes labeled 'CSP1(SaaS)', 'CSP2(SaaS)', and 'CSP3(SaaS)' on the right. Arrows show bidirectional communication between CSC and the intermediary, and between the intermediary and each of the three SaaS providers. CSP1 and CSP3 have blue checkmark icons on their connection arrows, while CSP2 has a red 'X' icon, indicating it does not meet the required policy. The diagram is labeled 'Y.3514(17)_Tl.2.5' at the bottom right.

Y.3514(17)_Tl.2.5

| +| Pre-conditions (optional) |
  • – The primary CSP(SaaS) and secondary CSPs are in a trusted inter-cloud relationship.
  • – The CSP1(SaaS) and CSP3(SaaS) effects security, safety and confidentiality policies.
  • – The CSP2(SaaS) performs service out of business regulatory policy.
| +| Post-conditions (optional) |
  • – The CSP(Intermediary) guarantees the security and confidentiality policy of SaaS.
  • – The CSP(Intermediary) establishes service between CSC and CSP1(SaaS).
  • – The CSP(Intermediary) establishes service between CSC and CSP3(SaaS) in case of failed CSP1(SaaS).
| + +| Title | Distributed information exchange system in trusted inter-cloud | +|----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Derived requirements |
  • – security and confidentiality policies
  • – master service agreements
  • – on-demand data security services
  • – deployment and monitoring of security policies around CSPs
  • – respect data regulation policy (e.g., medical, financial, defence, etc.)
    NOTE – Regulation policy concern regulation applied to particular business.
  • – respect business regulatory policies
  • – resiliency service
  • – respect laws and regulations,
  • – respect local policies.
| + +#### I.2.6 Use case of virtual home gateway in trusted inter-cloud + +This use case illustrates management aspect of trusted inter-cloud between CSC and CSP or between CSPs. The federation pattern of inter-cloud used to illustrate the use case is an example only. + +**Table I.2.6 – Virtual home gateway in trusted inter-cloud** + +| Title | Virtual home gateway in trusted inter-cloud | +|-------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |
  • – A large group of CSCs requests from CSP(NaaS) secured access to Internet with parental control service. A CSP(NaaS) serves such service over virtual home gateway (vHGW) facilities using network functions virtualization (NFV) and SDN technologies.
  • – The CSP(NaaS) forms an inter-cloud federation pattern within a group of peer CSPs due to lack of own resources for request realization. According to the management of sensitive CSC's data, the CSP(NaaS) establish a trusted relationship between CSPs(PaaS) and CSPs(SaaS) involved in federation.
  • – The CSP(NaaS) forms service chaining on parental control service from a set of network virtual functions (e.g., virtual firewall (vFW), virtual network address translation (vNAT), virtual load balancer (vLB)) hosted by CSP(PaaS) and CSP(SaaS).
  • – The CSP(NaaS) monitors quality of service chaining and in case of quality drops below threshold or in case of the realization of particular key performance indicators (KPIs) (e.g., low power consumption, service balancing), the service is automatically reallocated within the federation, respecting policy and governance roles applied.
| +| Roles | CSC, CSP(NaaS), CSP(PaaS), CSP(SaaS), CSP(XaaS) | +| Figure (optional) |

Image: Diagram illustrating the Virtual home gateway in trusted inter-cloud. A CSC (Customer Service Center) is connected to a CSP (NaaS) (Cloud Service Provider Network-as-a-Service). The CSP (NaaS) is connected to a central CSP (NaaS) node, which is further connected to a federation of CSP (PaaS) (Platform-as-a-Service), CSP (SaaS) (Software-as-a-Service), and CSP (XaaS) (Anything-as-a-Service) nodes. The federation nodes are interconnected with bidirectional arrows and blue checkmarks, indicating a trusted relationship. The diagram is labeled Y.3514(17)_T1.2.6.

Y.3514(17)_T1.2.6

| + +| Title | Virtual home gateway in trusted inter-cloud | +|----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Pre-conditions (optional) |
  • – The CSP(NaaS) and CSP(PaaS) and CSP(SaaS) are in a trusted inter-cloud relationship.
| +| Post-conditions (optional) |
  • – The CSP(NaaS) guarantees governance policy of SaaS.
  • – The CSP(NaaS) establishes service chaining between CSP(PaaS) and CSP(SaaS).
  • – The CSP(NaaS) reallocate service between CSPs among federation in case service quality drops below threshold or in case of the realization of particular KPIs (e.g., low power consumption, service balancing).
| +| Derived requirements |
  • – policies and governance roles
  • – confidentiality of CSC's data
  • – service statistics
  • – annotation (tagging) of cloud workloads
| + +#### I.2.7 Use case of distributed document exchange system in trusted inter-cloud + +This use case illustrates governance aspect of trusted inter-cloud between CSC and CSP or between CSPs. The federation pattern of inter-cloud used to illustrate the use case is an example only. + +**Table I.2.7 – Distributed document exchange system in trusted inter-cloud** + +| Title | Distributed document exchange system in trusted inter-cloud | +|-------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |
  • – The CSC requests from CSP(PaaS) cloud-based system which allows exchanging documents between their partners.
  • – The CSC requests that these documents could be reviewed, updated and audited by the CSC or cloud service partner (CSN).
  • – The CSC requests that distributed document exchange system fits regulatory policy to reach safety, security and confidentiality constraints.
  • – The CSP(PaaS) forms federation pattern among CSPs(SaaS) and becomes contact point for CSC.
  • – The CSP(PaaS) determine appropriate policies or principles which allows using of distributed document system in trustworthy manner.
| +| Roles | CSC, CSP(PaaS), CSP(SaaS) | +| Figure (optional) |

Image: Diagram illustrating the governance structure of a distributed document exchange system in a trusted inter-cloud. A central 'CSC' (Cloud Service Consumer) is connected via a document icon to a 'CSP (PaaS)' (Cloud Service Provider, Platform as a Service). The 'CSP (PaaS)' is connected to four 'CSP (SaaS)' (Cloud Service Provider, Software as a Service) entities. All connections are labeled 'Governance policies'. The 'CSP (PaaS)' acts as a central hub, managing the exchange of documents and enforcing governance policies across the federation of 'CSP (SaaS)' entities.

Y.3514(17)_TI.2.7

| + +| Title | Distributed document exchange system in trusted inter-cloud | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Pre-conditions (optional) | – The CSP(PaaS) and CSPs(SaaS) are in trusted inter-cloud relationship. | +| Post-conditions (optional) | – The CSPs implements governance policy in theirs management system. | +| Derived requirements |
  • – governance policies and governance roles
  • – data separation for ensuring security and confidentiality
  • – annotation (tagging) of cloud workloads to comply with regulatory needs
  • – identity and access management to comply with CSC policy
| + +## Bibliography + +- [b-ISO/IEC 19086-1] ISO/IEC 19086-1:2016, *Information technology – Cloud computing – Service level agreement (SLA) framework – Part 1: Overview and concepts.* +- [b-ISO/IEC 27000] ISO/IEC 27000:2016, *Information technology – Security techniques – Information security management systems – Overview and vocabulary.* +- [b-ISO/IEC 38500:2015] ISO/IEC 38500:2015, *Information technology – Governance of IT for the organization.* +- [b-TMF TR198] TM Forum TR198, *Multi-Cloud Service Management Pack – Simple Management API (SMI) Developer Primer-Service Delivery Framework Cloud Interface V2.2.* +<> + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3519-201812-I_PDF-E/1d7527f4316cfe2d342b08d1653d1592_img.jpg b/marked/Y/T-REC-Y.3519-201812-I_PDF-E/1d7527f4316cfe2d342b08d1653d1592_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..4f2cb7a529d6613d67120c24fb2cb1452858a435 --- /dev/null +++ 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sha256:c739d299b22f0c25fe0adf5508ce1c207ce59855b2565be930889fc04a2e9d5f +size 24926 diff --git a/marked/Y/T-REC-Y.3519-201812-I_PDF-E/fa859e4e468bfb2710a94527f2c504af_img.jpg b/marked/Y/T-REC-Y.3519-201812-I_PDF-E/fa859e4e468bfb2710a94527f2c504af_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..fa74822e78db2e416fcd3e86752f9a632af62c06 --- /dev/null +++ b/marked/Y/T-REC-Y.3519-201812-I_PDF-E/fa859e4e468bfb2710a94527f2c504af_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:f3f889130781838aa957054f185daa331795a957c5ca37b6cb3628ca021d55ab +size 62683 diff --git a/marked/Y/T-REC-Y.3521-201603-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3521-201603-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..2668ac4473863f9d1cd453ef8575c6c53f90c150 --- /dev/null +++ b/marked/Y/T-REC-Y.3521-201603-I_PDF-E/raw.md @@ -0,0 +1,1005 @@ + + +# ITU-T + +# Y.3521/M.3070 + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +(03/2016) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS +AND NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Cloud Computing + +SERIES M: TELECOMMUNICATION MANAGEMENT, +INCLUDING TMN AND NETWORK MAINTENANCE + +Cloud Computing – Telecommunications management +network + +# --- Overview of end-to-end cloud computing management + +Recommendation ITU-T Y.3521/M.3070 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|------------------------|----------------------| +| CLOUD COMPUTING | Y.3500–Y.3999 | +|------------------------|----------------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3521/M.3070 + +# Overview of end-to-end cloud computing management + +## Summary + +Recommendation ITU-T Y.3521/M.3070 presents a conceptual view and the common model of end-to-end (E2E) cloud computing management based on the service management interface (SMI) and cloud computing reference architecture, from the perspective of the telecommunications industry. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|---------------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3521/M.3070 | 2016-03-15 | 13 | 11.1002/1000/12714 | + +## Keywords + +Cloud computing management, end-to-end, model, multi-cloud, service management interface. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2016 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|--------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Introduction..... | 3 | +| 7 | Objectives ..... | 4 | +| 8 | Conceptual view and management layering ..... | 5 | +| | 8.1 Cloud computing management layering..... | 5 | +| | 8.2 Service management interface..... | 6 | +| | 8.3 Relationship with the cloud computing reference architecture ..... | 7 | +| 9 | Common model for E2E cloud computing management ..... | 8 | +| 10 | Cloud computing management functionalities ..... | 9 | +| | 10.1 Functionalities for cloud customer management..... | 10 | +| | 10.2 Functionalities for cloud product management ..... | 12 | +| | 10.3 Functionalities for cloud service management ..... | 14 | +| | 10.4 Functionalities for cloud computing resource management..... | 16 | +| 11 | Security considerations ..... | 19 | +| | Annex A – Use of SMI-based model across various cloud architecture layers..... | 20 | +| | Appendix I – Illustration on E2E cloud computing management in practice..... | 21 | +| | I.1 Introduction ..... | 21 | +| | I.2 Vertical vs horizontal management ..... | 21 | +| | I.3 Orchestrated management actions ..... | 21 | +| | I.4 Monitoring and diagnostics ..... | 21 | +| | I.5 Example of E2E cloud computing management ..... | 21 | +| | Bibliography..... | 23 | + + + +# Recommendation ITU-T Y.3521/M.3070 + +# Overview of end-to-end cloud computing management + +# 1 Scope + +This Recommendation provides an overview of end-to-end (E2E) cloud computing management. + +This Recommendation covers the following: + +- cloud computing management objectives from telecommunication industry's perspective; +- conceptual view and management layering; +- common model for multi-cloud environment management; +- cloud computing management functionalities. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T X.1601] Recommendation ITU-T X.1601 (2015), *Security framework for cloud computing*. +- [ITU-T Y.3502] Recommendation ITU-T Y.3502 (2014), *Information technology – Cloud computing – Reference architecture*. +- [ITU-T Y.3510] Recommendation ITU-T Y.3510 (2016), *Cloud computing infrastructure requirements*. +- [ITU-T Y.3511] Recommendation ITU-T Y.3511 (2014), *Framework of inter-cloud computing*. +- [ITU-T Y.3512] Recommendation ITU-T Y.3512 (2014), *Cloud computing – Functional requirements of Network as a Service*. +- [ITU-T Y.3520] Recommendation ITU-T Y.3520 (2015), *Cloud computing framework for end to end resource management*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud computing** [b-ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications, and storage equipment. + +**3.1.2 cloud service** [b-ITU-T Y.3500]: One or more capabilities offered via cloud computing invoked using a defined interface. + +**3.1.3 cloud service customer** [b-ITU-T Y.3500]: Party which is in a business relationship for the purpose of using cloud services. + +NOTE – A business relationship does not necessarily imply financial agreements. + +**3.1.4 cloud service provider** [b-ITU-T Y.3500]: Party which makes cloud services available. + +**3.1.5 cloud service user** [b-ITU-T Y.3500]: Natural person, or entity acting on their behalf, associated with a cloud service customer that uses cloud services. + +NOTE – Examples of such entities include devices and applications. + +**3.1.6 inter-cloud computing** [ITU-T Y.3511]: The paradigm for enabling the interworking between two or more cloud service providers. + +NOTE – Inter-cloud computing is also referred as inter-cloud. + +**3.1.7 management system** [b-ITU-T M.60]: A system with the capability and authority to exercise control over and/or collect management information from another system. + +**3.1.8 service level agreement (SLA)** [b-ITU-T Y.3500]: Documented agreement between the service provider and customer that identifies services and service targets. + +NOTE 1 – A service level agreement can also be established between the service provider and a supplier, an internal group or a customer acting as a supplier. + +NOTE 2 – A service level agreement can be included in a contract or another type of documented agreement. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following term: + +**3.2.1 service management interface (SMI)**: Interface that provides a set of management capabilities exposed by a cloud service through which the cloud service can be managed. + +NOTE – For additional details of SMI concepts, see [ITU-T Y.3520] and [b-TMF TR198]. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|---------------------------------| +| BSS | Business Support System | +| CSC | Cloud Service Customer | +| CSP | Cloud Service Provider | +| CSU | Cloud Service User | +| CT | Communication Technology | +| E2E | End-to-End | +| EMS | Element Management System | +| eTOM | Enhanced Telecom Operations Map | +| IaaS | Infrastructure as a Service | +| IT | Information Technology | +| KQI | Key Quality Indicator | +| NaaS | Network as a Service | +| NMS | Network Management System | +| OSS | Operational Support System | +| PaaS | Platform as a Service | + +| | | +|------|---------------------------------------| +| SaaS | Software as a Service | +| SLA | Service Level Agreement | +| SLO | Service Level Objective | +| SMI | Service Management Interface | +| TMN | Telecommunications Management Network | +| VM | Virtual Machine | + +# **5 Conventions** + +None. + +# **6 Introduction** + +In both telecommunication and cloud computing environments, management refers to the ability of maintaining visibility and control of all the managed resources in delivering a service to the customer and satisfying the negotiated service level agreement (SLA). However, until now, these approaches have been different. + +For the management of telecommunication services and networks, telecommunication operators (as well as other stakeholders in the telecommunication industry) have applied the mature telecommunications management network (TMN) principles and enhanced telecom operations map (eTOM) as a standard framework and technologies. This has led to the construction of a set of management systems (e.g., element management system (EMS), network management system (NMS), business support system (BSS) or operational support system (OSS)) to realize the required telecommunication management functions. + +With the convergence of information technology (IT) and communications technology (CT) industries, cloud computing is being adopted in telecommunication infrastructures. Telecommunication operators are now delivering various cloud services to their users in addition to applying cloud computing technologies for the optimization of their telecommunication service platforms and telecommunication support systems. + +Cloud computing has a different management approach in that it does not expose individual elements of itself to the telecommunications management system. Rather, a cloud computing system incorporates its own sophisticated management functionality, which is able to manage the cloud computing system in a coherent manner. Therefore, cloud computing does not distinguish between management operations carried out on behalf of the customer, and identical management operations carried out on behalf of the network operator. Rather, cloud computing defines the role of cloud service customer (CSC) and sub-role of cloud service user (CSU), both of which can be performed by end-customers and telecommunication operators alike. + +This Recommendation addresses the need to bring these two very different approaches together. + +It is important to note that the creation and use of many cloud-based virtual resources and services are no longer treated as traditional "management" activities, but by the nature of cloud computing are regularly performed in an on-demand self-service manner by CSCs who do not require "management" credentials for this task. As an analogy, many of these tasks are therefore closer to placing telephone calls than to managing telephony equipment. + +Many cloud computing use cases extend across multiple cloud service providers (CSPs) and multiple services. CSPs engaged in such a multiple cloud ecosystem therefore, are required to implement appropriate management capabilities on the inter-cloud interfaces [ITU-T Y.3511] to other CSPs. In such a scenario, a single company may be simultaneously acting as a CSP for its own customers, as a CSC for the services provided by another CSP, and as a CSC of its own CSP services. + +In a virtualized environment, a CSP focuses on monitoring E2E network and application performance and needs the ability to dynamically add or remove resources when performance requirements change. Considering the addition of multiple technology domains involved, E2E management must cover both virtualized and physical infrastructures across potentially multiple CSPs. + +In a multiple cloud environment, the E2E management means composition of: + +- a) service and resource management chains across: + - i) layers; + - ii) multiple CSPs. +- b) service and resource management chains which may include: + - i) the CSC; + - ii) one or more CSPs providing the cloud service; + - iii) non-cloud-based telecommunications facilities. + +See [ITU-T Y.3520] for further information. + +Platforms on which the virtual resources are hosted are typically managed within a cloud computing management system, and might not be exposed directly to the telecommunications management system. + +Therefore, the introduction of cloud computing brings new aspects to management for telecommunication operators: + +- cloud computing roles and sub-roles, see clause 7.2.2 of [ITU-T Y.3502]; +- cloud computing multi-layer functions, see clause 7.3.3 of [ITU-T Y.3502], including development environment, test environment, and the cloud computing BSS/OSS functions; +- cloud services, see clause 9.2.3 of [ITU-T Y.3502]; +- cloud computing resources, see clause 9.2.4 of [ITU-T Y.3502]. + +# **7 Objectives** + +From the perspective of the telecommunication industry, the following management objectives regarding cloud computing should be considered: + +- fulfil the holistic management of cloud computing resources and services together with the existing telecommunications management framework. For the purpose of providing cloud services effectively, both the telecommunication BSS/OSS and the cloud BSS/OSS should collaborate properly to support the holistic management of cloud computing resources and services, together with telecommunication networks; +- fulfil the network management needs of cloud computing. As defined in [ITU-T Y.3510] and [ITU-T Y.3512], network resources (e.g., bandwidth, switching and routing, network addresses) will need to be scalable, and adapt dynamically to the traffic generated. Telecommunication operators will need to provision self-managed and on-demand network capability to meet various requirements from the cloud service, and to apply dynamic control and adapt its configuration (including network bandwidth, protocols, codecs, security mechanisms, etc.) over the telecommunication network on the direct request of cloud services or CSCs; +- realize E2E service quality management. E2E service quality management is vital for telecommunication services which are deployed using cloud computing resources and services. Telecommunication services demand high availability, high security, and excellent service experience (e.g., short response times, high service success rate). Telecommunication operators need to be able to control and manage the cloud computing resources and services for the purpose of ensuring E2E telecommunication service quality and CSC experience. + +# 8 Conceptual view and management layering + +This clause defines the conceptual view of cloud computing management based on the cloud computing reference architecture [ITU-T Y.3502], cloud computing management layers and the service management interface (SMI) approach. + +## 8.1 Cloud computing management layering + +Figure 8-1 presents a comprehensive view of cloud computing management. It shows the management layers of a cloud computing system: + +- customer management; +- product management; +- service management; +- resource management. + +![Figure 8-1: Comprehensive view of cloud computing management. The diagram illustrates a multi-layered management architecture. On the left, a vertical flow of red arrows points upwards, labeled 'Complex virtualised resource data', 'Map to CSP domain(s)', 'Map to product and service(s)', 'Map to customer(s)', and 'Present impacts'. In the center, four management layers are shown as stacked ellipses: a top blue layer, an orange layer, a yellow layer, and a bottom green layer. Each layer contains small blue circles representing management components. Lines connect components across layers, and circular arrows within layers indicate independent lifecycle processes. A large blue arrow on the left points upwards, labeled 'Feedback to service management'. On the right, a rounded rectangle titled 'Management layering' contains four blue boxes: 'Customer management', 'Product management', 'Service management', and 'Resource management'. A legend at the bottom left defines the symbols: a dot for 'Service management interface', a blue circle for 'Management component', and a blue ellipse for 'Management layer'. A circular arrow icon at the bottom center is labeled 'Independent lifecycle process'.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +Y.3521-M.3070(16)\_F8-1 + +Figure 8-1: Comprehensive view of cloud computing management. The diagram illustrates a multi-layered management architecture. On the left, a vertical flow of red arrows points upwards, labeled 'Complex virtualised resource data', 'Map to CSP domain(s)', 'Map to product and service(s)', 'Map to customer(s)', and 'Present impacts'. In the center, four management layers are shown as stacked ellipses: a top blue layer, an orange layer, a yellow layer, and a bottom green layer. Each layer contains small blue circles representing management components. Lines connect components across layers, and circular arrows within layers indicate independent lifecycle processes. A large blue arrow on the left points upwards, labeled 'Feedback to service management'. On the right, a rounded rectangle titled 'Management layering' contains four blue boxes: 'Customer management', 'Product management', 'Service management', and 'Resource management'. A legend at the bottom left defines the symbols: a dot for 'Service management interface', a blue circle for 'Management component', and a blue ellipse for 'Management layer'. A circular arrow icon at the bottom center is labeled 'Independent lifecycle process'. + +**Figure 8-1 – Comprehensive view of cloud computing management** + +As shown in Figure 8-1, cloud computing management is realized based on SMIs, which correlate layers determined in the reference architecture of cloud computing [ITU-T Y.3502] to offer complete E2E management service chains (see clause 6). + +A management layer represents a level of abstraction within the management system, such that higher layers do not need to interact directly with low-level managed elements or components. + +A management component as represented here refers to a collection of management functionality that has responsibility for a specific area within a management layer. + +The SMIs allow elements, components, and layers to expose management information and telemetry in a consistent matter that can be rolled up into a comprehensive diagnostics and management service. See Appendix I for a complex scenario example of the use of this concept. + +The purposes of the management layers are described below. + +### **8.1.1 Customer management layer** + +The customer management layer considers the fundamental knowledge of customers' needs and includes all functionalities necessary for the acquisition, enhancement and retention of a relationship with a customer. + +For details of the functionalities present in the customer management layer, see clause 10.1. + +### **8.1.2 Product management layer** + +The product management layer includes the necessary management functions for maintaining the existing product catalogue and providing necessary functions for products sale. + +For details of the functionalities present in the product management layer, see clause 10.2. + +### **8.1.3 Service management layer** + +The service management layer focuses on the knowledge of cloud services and includes all functionalities necessary for the management and operations of cloud services required by or proposed to customers. The focus is on cloud service delivery and management as opposed to the management of the underlying resources. + +This layer is accountable for cloud service delivery such as service instance management, and cloud service operation such as service monitoring and problem handling and the assurance of the service quality. + +For details of the functionalities present in the service management layer, see clause 10.3. + +### **8.1.4 Resource management layer** + +The resource management layer is responsible for maintaining knowledge of resources (application, computing and network infrastructures) and for managing all these resources (e.g., networks, IT systems, servers, routers) utilized to deliver and support cloud services required by or proposed to customers. + +For details of the functionalities present in the resource management layer, see clause 10.4. + +## **8.2 Service management interface** + +The SMI-based approach provides a means to allow consistent E2E management of cloud computing services exposed by, and across, different domains of CSPs thus unifying the traditional telecommunication environment and the cloud computing environment. + +The SMI capabilities include the following: + +- activation of a cloud service, i.e., making a cloud service available for a particular context (deploying a cloud service instance); +- provisioning of a cloud service, i.e., configuring the settings of a cloud service instance; +- status monitoring of a cloud service instance, i.e., querying the history and current status in terms of lifecycle management for a specific cloud service instance; +- usage monitoring of a cloud service instance, i.e., querying for usage metrics from a cloud service instance or listening for usage metrics reports or alarms (e.g., if metrics conditions imply notifications); + +- health monitoring of a cloud service instance, i.e., querying for health metrics from a cloud service instance; +- update of a cloud service instance, i.e., modification of the setting or lifecycle management status of a cloud service instance; +- de-activation of a cloud service, i.e., making a cloud service unavailable. + +A further description of how the SMI-based model can be used across various cloud computing reference architecture layers can be found in Annex A. + +## 8.3 Relationship with the cloud computing reference architecture + +Figure 8-2 illustrates the relationship between the management layers described in clause 8.1 and the BSS and OSS components of the cloud computing reference architecture as defined in [ITU-T Y.3502]. + +![Figure 8-2: Relationship of BSS/OSS components and the management layering. The diagram shows two main components connected by a double-headed orange arrow. On the left is a large green rounded rectangle labeled 'Multi-layer functions'. It contains two columns: 'Operational support systems' and 'Business support systems'. The 'Operational support systems' column lists: Service catalogue, Provisioning, Monitoring and reporting, Service policy management, Service automation, Service level management, Incident and problem management, Platform and virtualization management, and Peer service management. The 'Business support systems' column lists: Product catalogue, Account management, Subscription management, Billing, and Accounts. On the right is a white rounded rectangle labeled 'Management layering'. It contains four blue rounded rectangles stacked vertically: Customer management, Product management, Service management, and Resource management. A double-headed orange arrow connects the 'Multi-layer functions' box to the 'Management layering' box.](cab0834804fb031b43865554cc8d06ab_img.jpg) + +Figure 8-2: Relationship of BSS/OSS components and the management layering. The diagram shows two main components connected by a double-headed orange arrow. On the left is a large green rounded rectangle labeled 'Multi-layer functions'. It contains two columns: 'Operational support systems' and 'Business support systems'. The 'Operational support systems' column lists: Service catalogue, Provisioning, Monitoring and reporting, Service policy management, Service automation, Service level management, Incident and problem management, Platform and virtualization management, and Peer service management. The 'Business support systems' column lists: Product catalogue, Account management, Subscription management, Billing, and Accounts. On the right is a white rounded rectangle labeled 'Management layering'. It contains four blue rounded rectangles stacked vertically: Customer management, Product management, Service management, and Resource management. A double-headed orange arrow connects the 'Multi-layer functions' box to the 'Management layering' box. + +Y.3521-M.3070(16)\_F8-2 + +**Figure 8-2 – Relationship of BSS/OSS components and the management layering** + +The cloud computing management layers support the management requirements of cloud computing to provision, operate and administer cloud computing resources and services, and consists of: customer management, product management, service management and resource management. + +The OSS functional components encompass the set of operational related management capabilities that are required in order to manage and control the cloud services offered to customers (see clause 9.2.5.3 of [ITU-T Y.3502]). The BSS functional components encompass the set of business-related management capabilities dealing with customers and supporting processes (see clause 9.2.5.4 of [ITU-T Y.3502]). + +Figure 8-3 shows how the OSS and BSS components of the cloud computing reference architecture are further split according to the different management layers based on the conceptual view of cloud computing management provided in clause 8. + +![Figure 8-3: Split of OSS/BSS components according to management layers. The diagram shows a large green box labeled 'Multi-layer functions' containing two columns: 'Operational support systems' and 'Business support systems'. Under 'Operational support systems' are 'Service management' and 'Resource management'. Under 'Business support systems' are 'Customer management' and 'Product management'.](b9ecbc3baefab13719e000faa6e0c7eb_img.jpg) + +Figure 8-3: Split of OSS/BSS components according to management layers. The diagram shows a large green box labeled 'Multi-layer functions' containing two columns: 'Operational support systems' and 'Business support systems'. Under 'Operational support systems' are 'Service management' and 'Resource management'. Under 'Business support systems' are 'Customer management' and 'Product management'. + +Y.3521-M.3070(16)\_F8-3 + +**Figure 8-3 – Split of OSS/BSS components according to management layers** + +# 9 Common model for E2E cloud computing management + +This clause describes a common management model, based on SMIs, for all layers of the cloud computing reference architecture. This allows management of E2E cloud computing applications and solutions in a multi-cloud computing environment, independently from the choice of technology, run-time, programming language or tools made to develop the solutions. This common management model also shows the concept of E2E cloud integrated telecommunications management. + +![Figure 9-1: Common model for E2E cloud computing management. The diagram shows four main components: CSC (Customer Service Center), two CSPs (Cloud Service Providers), and a Telecommunication operator. CSC has a 'User layer'. CSPs have 'Access layer', 'Service layer', and 'Resource layer', with a vertical bar labeled 'BSS/OSS'. Inter-cloud connections exist between CSPs. The Telecommunication operator has 'Cloud-aware telecommunication management', 'Manage telecom services and network', and 'Telecommunication services and network'. Arrows indicate 'Administer service' and 'Use cloud service' from CSC to CSP, 'Inter-cloud' between CSPs, and 'End-to-end multi-cloud management' and 'End-to-end cloud-integrated telecommunications management' spanning the entire system.](1b5a812c8aa20fd5cba28e97001d32de_img.jpg) + +Figure 9-1: Common model for E2E cloud computing management. The diagram shows four main components: CSC (Customer Service Center), two CSPs (Cloud Service Providers), and a Telecommunication operator. CSC has a 'User layer'. CSPs have 'Access layer', 'Service layer', and 'Resource layer', with a vertical bar labeled 'BSS/OSS'. Inter-cloud connections exist between CSPs. The Telecommunication operator has 'Cloud-aware telecommunication management', 'Manage telecom services and network', and 'Telecommunication services and network'. Arrows indicate 'Administer service' and 'Use cloud service' from CSC to CSP, 'Inter-cloud' between CSPs, and 'End-to-end multi-cloud management' and 'End-to-end cloud-integrated telecommunications management' spanning the entire system. + +Y.3521-M.3070(16)\_F9-1 + +**Figure 9-1 – Common model for E2E cloud computing management** + +Figure 9-1 is based on service and resource management chains including the CSC, one or more CSPs, and a telecommunication operator. The squared boxes with a black outline represent different parties involved in the common model for E2E cloud computing management. + +The term "inter-cloud" is used in accordance with [ITU-T Y.3511] and covers the integration of cloud services from two or more CSPs. + +The term "multi-cloud", as used in this Recommendation, includes holistic E2E management of one or more cloud service providers providing a given cloud service (see [ITU-T Y.3502], [ITU-T Y.3520], [ITU-T X.1601]). + +The term "cloud-aware" is used here to describe the requirement of telecommunication management that are able to manage cloud-based facilities. This ability could be realized through the use of management interface "I1" which provides necessary information from the CSP's BSS/OSS to the cloud-aware telecommunication management system. The management interface "I1" can correspond to a set of SMIs as described in this Recommendation. + +Note that the telecommunication operator may also act as a cloud service provider, see Figure 9-2. + +![Figure 9-2: Common model for E2E cloud computing management, with telecommunication operator acting as a CSP. The diagram shows three main components: CSC (Customer Service Center), CSP (Cloud Service Provider), and Telecommunication operator acting as CSP. The CSC contains a 'User layer'. The CSP contains 'Access layer', 'Service layer', 'Resource layer', and 'BSS/OSS'. The Telecommunication operator acting as CSP contains a 'CSP' box (with 'Access layer', 'Service layer', 'Resource layer', and 'Cloud BSS/OSS') and a 'Cloud-aware telecommunication management' box. The 'I1' interface connects the 'Cloud BSS/OSS' to the 'Cloud-aware telecommunication management' box. Below the 'Cloud-aware telecommunication management' box is a 'Manage telecom services and network' box, and below that is a 'Telecommunication services and network' box. Arrows indicate 'Administer service' and 'Use service' from CSC to CSP, 'Inter-cloud' between CSPs, 'End-to-end multi-cloud management' from CSC to the Telecommunication operator, and 'End-to-end cloud-integrated telecommunications management' from the Telecommunication operator to the CSC. A reference 'Y.3521-M.3070(16)_F9-2' is at the bottom right.](9b6b5924b48bf2fd5f347f88f06f45b3_img.jpg) + +Figure 9-2: Common model for E2E cloud computing management, with telecommunication operator acting as a CSP. The diagram shows three main components: CSC (Customer Service Center), CSP (Cloud Service Provider), and Telecommunication operator acting as CSP. The CSC contains a 'User layer'. The CSP contains 'Access layer', 'Service layer', 'Resource layer', and 'BSS/OSS'. The Telecommunication operator acting as CSP contains a 'CSP' box (with 'Access layer', 'Service layer', 'Resource layer', and 'Cloud BSS/OSS') and a 'Cloud-aware telecommunication management' box. The 'I1' interface connects the 'Cloud BSS/OSS' to the 'Cloud-aware telecommunication management' box. Below the 'Cloud-aware telecommunication management' box is a 'Manage telecom services and network' box, and below that is a 'Telecommunication services and network' box. Arrows indicate 'Administer service' and 'Use service' from CSC to CSP, 'Inter-cloud' between CSPs, 'End-to-end multi-cloud management' from CSC to the Telecommunication operator, and 'End-to-end cloud-integrated telecommunications management' from the Telecommunication operator to the CSC. A reference 'Y.3521-M.3070(16)\_F9-2' is at the bottom right. + +**Figure 9-2 – Common model for E2E cloud computing management, with telecommunication operator acting as a CSP** + +In this case, the "I1" interface resides within the telecommunication operator. + +The common model for E2E cloud computing management does not imply any particular arrangement of inter-cloud connectivity. For example, the telecommunication operator acting as a CSP could be acting as an intermediary CSP between the CSC and other cloud services, or in any other inter-cloud role described in [ITU-T Y.3511]. The management architecture is unaffected by this. + +# 10 Cloud computing management functionalities + +This clause identifies functionalities for cloud computing management. The high-level organization of cloud computing management functionalities presented in Figure 10-1 is based on the management layering described in clause 8.1 covering customer management, product management, service management, and resource management. + +![Figure 10-1: The high-level organization of cloud computing management functionalities. The diagram shows a hierarchy starting with 'Cloud computing management functionalities' at the top, which branches into four main areas: 'Customer management', 'Product management', 'Service management', and 'Resource management'. Each of these areas contains specific sub-functionalities: Customer management (fulfilment, assurance, repositories), Product management (fulfilment, assurance, repositories), Service management (fulfilment, assurance, repositories), and Resource management (fulfilment, assurance, repositories, charging and accounting).](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +**Cloud computing management functionalities** + +| Cloud computing management functionalities | | | | +|--------------------------------------------|--------------------|-----------------------|----------------------------------| +| Customer management | | | | +| Customer fulfilment | Customer assurance | Customer repositories | | +| Product management | | | | +| Product fulfilment | Product assurance | Product repositories | | +| Service management | | | | +| Service fulfilment | Service assurance | Service repositories | | +| Resource management | | | | +| Resource fulfilment | Resource assurance | Resource repositories | Resource charging and accounting | + +Y.3521-M.3070(16)\_F10-1 + +Figure 10-1: The high-level organization of cloud computing management functionalities. The diagram shows a hierarchy starting with 'Cloud computing management functionalities' at the top, which branches into four main areas: 'Customer management', 'Product management', 'Service management', and 'Resource management'. Each of these areas contains specific sub-functionalities: Customer management (fulfilment, assurance, repositories), Product management (fulfilment, assurance, repositories), Service management (fulfilment, assurance, repositories), and Resource management (fulfilment, assurance, repositories, charging and accounting). + +**Figure 10-1 – The high-level organization of cloud computing management functionalities** + +## 10.1 Functionalities for cloud customer management + +This clause identifies cloud customer management functionalities including customer fulfilment, customer assurance and customer repositories functionalities. The detailed functionalities for cloud customer management are presented in Figure 10-2. + +![Figure 10-2: Functionalities related to cloud customer management. The diagram shows a hierarchy starting with 'Customer management' at the top, which branches into three main areas: 'Customer fulfilment', 'Customer assurance', and 'Customer repositories'. 'Customer fulfilment' contains 'Customer order management'. 'Customer assurance' contains 'Customer problem management', 'Customer SLA management', and 'Customer quality management'. 'Customer repositories' contains 'Customer information management'.](16152cf1d84aea10848758f51a91ff6a_img.jpg) + +**Customer management** + +| Customer fulfilment | Customer assurance | +|---------------------------|---------------------------------| +| Customer order management | Customer problem management | +| | Customer SLA management | +| | Customer quality management | +| | Customer repositories | +| | Customer information management | + +Y.3521-M.3070(16)\_F10-2 + +Figure 10-2: Functionalities related to cloud customer management. The diagram shows a hierarchy starting with 'Customer management' at the top, which branches into three main areas: 'Customer fulfilment', 'Customer assurance', and 'Customer repositories'. 'Customer fulfilment' contains 'Customer order management'. 'Customer assurance' contains 'Customer problem management', 'Customer SLA management', and 'Customer quality management'. 'Customer repositories' contains 'Customer information management'. + +**Figure 10-2 – Functionalities related to cloud customer management** + +### 10.1.1 Customer fulfilment functionalities + +This covers a set of functionalities for the fulfilment management of cloud service customers. These functionalities include customer order management. + +##### **10.1.1.1 Customer order management** + +Customer order management is responsible for the E2E lifecycle management of a customer request for products. This includes customer order establishment (step guiding, data collection and validation), customer order publication as well as customer order orchestration and overall customer order lifecycle management. + +Customer order management functionalities include the following: + +- 1) customer order establishment. This functionality is responsible for the acquisition of a customer order for products; +- 2) customer order distribution. This functionality decomposes the customer order into product order requests (e.g., bundle decomposition); +- 3) customer order publication. This functionality issues valid and complete customer orders, and stores the order into an appropriate inventory; +- 4) customer order tracking and management. This provides the functionality necessary to track and manage the distributed requests decomposed by customer order distribution; +- 5) customer order orchestration. This functionality provides workflow and orchestration capability across customer order management; +- 6) customer order lifecycle management. This provides the functionality necessary to track and manage a customer order from establishment to cancellation. + +### **10.1.2 Customer assurance functionalities** + +This covers a set of functionalities for the assurance management of cloud customers. These functionalities include customer problem management, customer SLA management and customer quality management. + +##### **10.1.2.1 Customer problem management** + +This set of functionalities is responsible for managing problems reported by customers, resolving these problems to the customer's satisfaction, and providing meaningful status on the issues, as needed, to the customer. These functionalities include customer problem reception and validation, customer problem lifecycle management, customer problem diagnostics, customer problem resolution and customer problem reporting. + +##### **10.1.2.2 Customer SLA management** + +Customer SLA management includes the required functionalities to assure that cloud SLAs made between CSCs and CSPs are met. This includes processing measurements made elsewhere and checking the measurements and taking appropriate actions when the specified agreements are not met. These functionalities include customer SLA issue reception, customer SLA analysis, and customer SLA reporting. + +##### **10.1.2.3 Customer quality management** + +Customer quality management enables CSPs to leverage customer insight gained from CSC transactions, interactions and activities with the CSP to treat the CSC in a personalized manner and provide a unique customer experience. These functionalities include customer profiling (e.g., customer profile inquiries, customer behaviour tracking, prediction), customer experience monitoring, customer satisfaction validation and customer operational decision making. + +#### **10.1.3 Customer repositories functionalities** + +This set includes functionalities for customer information management. + +##### 10.1.3.1 Customer information management + +Customer information management ensures the management of a consistent, accurate and complete CSP view of customers. This includes functionalities for customer subscription management, customer profile management (e.g., managing customer preferences and customer details) and customer interaction collection and storage. + +## 10.2 Functionalities for cloud product management + +This clause identifies cloud product management functionalities including product fulfilment, product assurance and product repository functionalities. The detailed functionalities for cloud product management are presented in Figure 10-3. + +![Figure 10-3: Functionalities related to cloud product management. The diagram shows a hierarchy of functionalities. At the top is 'Product management', which branches into 'Product fulfillment' and 'Product assurance'. 'Product fulfillment' contains 'Product order management'. 'Product assurance' contains 'Product problem management', 'Product performance management', 'Product quality management', and 'Product test management'. Below 'Product assurance' is 'Product repositories', which contains 'Product catalogue management' and 'Product inventory management'.](9b9d2abd741ed4bafe7f78f89961c663_img.jpg) + +``` +graph TD + PM[Product management] --> PF[Product fulfillment] + PM --> PA[Product assurance] + PF --> POM[Product order management] + PA --> PPM[Product problem management] + PA --> PPM2[Product performance management] + PA --> PQM[Product quality management] + PA --> PTM[Product test management] + PR[Product repositories] --> PCM[Product catalogue management] + PR --> PIM[Product inventory management] +``` + +Figure 10-3: Functionalities related to cloud product management. The diagram shows a hierarchy of functionalities. At the top is 'Product management', which branches into 'Product fulfillment' and 'Product assurance'. 'Product fulfillment' contains 'Product order management'. 'Product assurance' contains 'Product problem management', 'Product performance management', 'Product quality management', and 'Product test management'. Below 'Product assurance' is 'Product repositories', which contains 'Product catalogue management' and 'Product inventory management'. + +Y.3521-M.3070(16)\_F10-3 + +**Figure 10-3 – Functionalities related to cloud product management** + +### 10.2.1 Product fulfilment functionalities + +This covers a set of functionalities for the fulfilment management of cloud products. These functionalities include product order management. + +##### 10.2.1.1 Product order management + +Product order management is responsible for the E2E lifecycle management of a product orders. + +Product order management functionalities include the following: + +- 1) product order establishment. This functionality is responsible for the acquisition of a product order request; +- 2) product order distribution. This functionality decomposes the product order into service order requests and then distributes each service order request to appropriate service order management functionalities; +- 3) product order publication. This functionality issues valid and complete product orders, and stores the order into an appropriate inventory; +- 4) product order tracking and management. This provides the functionality necessary to track and manage the distributed requests decomposed by product order distribution; + +- 5) product order orchestration. This functionality provides workflow and orchestration capability across product order management. + +### **10.2.2 Product assurance functionalities** + +This covers a set of functionalities for the assurance management of cloud products. + +##### **10.2.2.1 Product problem management** + +This set of functionalities is responsible for handling product-affecting CSC problems as well as CSP services problems. These functionalities analyse and resolve product problems in an efficient manner, tracking these problems and reporting them. + +##### **10.2.2.2 Product performance management** + +Product performance management includes the activities and tools that gather and analyse data regarding the efficiency of the product strategy, propositions and products based upon their performance in the marketplace. + +This set of functionalities is responsible for monitoring, analysing and reporting on product performance. This includes the following functionalities: + +- 1) performance monitoring. This functionality collects and monitors product performance data based upon parameters; +- 2) performance analysis. This functionality is responsible for the analysis and evaluation of products' performance (analysing data received from product performance monitoring). Examples of performance analysis include tracking the performance of a product based on its performance in the marketplace with regard to campaigns or product capacity analysis; +- 3) performance reporting. This functionality creates product performance reports (such as product revenue reporting or cost reporting) on a periodic basis or on-demand. + +#### **10.2.2.3 Product quality management** + +This set of functionalities is responsible for monitoring and managing the quality of products. They allow collect and compare quality related measurements against established products. + +This includes the following functionalities: + +- 1) product quality modelling. This functionality establishes what will be monitored and how it will be monitored in terms of product quality; +- 2) product quality monitoring. This functionality collects and monitors product quality as determined by the established product quality model; +- 3) product quality analysing. This functionality analyses and evaluates the quality of products being offered by the CSP; +- 4) product quality reporting. This functionality generates various reports on product quality and makes them available on a periodic basis or on-demand. + +##### **10.2.2.4 Product test management** + +This set of functionalities allows a CSP to test the quality of products. These functionalities collect and compare quality and performance related indicators. The results can be optionally available to interested parties. + +#### **10.2.3 Product repositories functionalities** + +This set includes functionalities for product catalogue management and product inventory management. The role of particular functionalities is described hereafter. + +##### 10.2.3.1 Product catalogue management + +This set of functionalities allows the CSP to list and manage available products and their associated characteristics such as: product offering characteristics, product offering effective duration, product offering description. + +##### 10.2.3.2 Product inventory management + +This set of functionalities allows the CSP to maintain information about already deployed and provided cloud products. It may also store and manage service relationships: the mapping to other services and/or service components. + +## 10.3 Functionalities for cloud service management + +This clause identifies cloud service management functionalities including service fulfilment, service assurance and service repository functionalities. The detailed functionalities for service management are presented in Figure 10-4. + +NOTE – "Service order management" corresponds to the process of taking, organizing, tracking and satisfying CSC requests for cloud services provided by a CSP. + +![Figure 10-4: Functionalities related to cloud service management. The diagram shows a hierarchical structure of service management functionalities. The top level is 'Service management', which is divided into three main areas: 'Service fulfillment', 'Service assurance', and 'Service repositories'. 'Service fulfillment' contains 'Service order management'. 'Service assurance' contains 'Service problem management', 'Service performance management', 'Service quality management', and 'Service test management'. 'Service repositories' contains 'Service catalogue management' and 'Service inventory management'.](e636d7ccca0ad14c6b95201404324823_img.jpg) + +``` +graph TD + SM[Service management] + SF[Service fulfillment] + SA[Service assurance] + SR[Service repositories] + + SM --- SF + SM --- SA + SM --- SR + + SF --- SOM[Service order management] + + SA --- SPM[Service problem management] + SA --- SPM2[Service performance management] + SA --- SQM[Service quality management] + SA --- STM[Service test management] + + SR --- SCM[Service catalogue management] + SR --- SIM[Service inventory management] +``` + +Figure 10-4: Functionalities related to cloud service management. The diagram shows a hierarchical structure of service management functionalities. The top level is 'Service management', which is divided into three main areas: 'Service fulfillment', 'Service assurance', and 'Service repositories'. 'Service fulfillment' contains 'Service order management'. 'Service assurance' contains 'Service problem management', 'Service performance management', 'Service quality management', and 'Service test management'. 'Service repositories' contains 'Service catalogue management' and 'Service inventory management'. + +Y.3521-M.3070(16)\_F10-4 + +Figure 10-4 – Functionalities related to cloud service management + +### 10.3.1 Service fulfilment functionalities + +This covers a set of functionalities for the fulfilment of cloud services. These functionalities include service order management. + +##### 10.3.1.1 Service order management + +Service order management provides a set of functionalities for the management of cloud services considering CSC requirements (e.g., cloud SLA). This set includes the following functionalities: + +- 1) service order orchestration and distribution. This functionality provides for orchestration across service order management. It decomposes a cloud service order into resource order requests, and then distributes each request to provision the service order. It also provides the functionality necessary to track and manage these distributed requests, e.g., tracks the various + +resource orders until completed, sequences resource order provisioning if required, provides status on the overall service order; + +- 2) service assign. This functionality determines the availability of facilities required to support a service; +- 3) service order tracking and lifecycle management. This functionality issues valid and complete service orders, and stores the service order into an appropriate repository; +- 4) service order establishment. This functionality establishes a complete and valid service order. It validates the cloud service order request according to the service catalogue and installed base, and to provisioning rules. It also validates that the cloud service specified on the service order is available and feasible from the CSP platform/infrastructure point of view; +- 5) service activation. This functionality is responsible for the activation of a cloud service based on the specific service configuration. + +### **10.3.2 Service assurance functionalities** + +This covers a set of functionalities for the assurance management of cloud services. These functionalities include service problem management, service performance management, service quality management and service test management. + +##### **10.3.2.1 Service problem management** + +This set of functionalities is responsible for receiving service affecting CSC problems as well as CSP infrastructure faults. These functionalities analyse and resolve service problems in an efficient manner, tracking these problems and reporting them. This includes: + +- 1) service problem reception. This functionality receives problems that are perceived to be service affecting; +- 2) service problem monitoring. This functionality monitors the operational status of cloud services; +- 3) service problem analysis. This functionality diagnoses service problems. It correlates CSC problems with resource faults, and prioritize service problems appropriately; +- 4) service problem correction and resolution. This functionality resolves the service problem back to a normal operational state as efficiently as possible; +- 5) service problem tracking and management. This functionality assures that service problems are assigned, coordinated, and restored efficiently, escalating as needed; +- 6) service problem reporting. This functionality reports the status of service problems. This includes operational reports, management reports, reports against various metrics, as well as information needed by other related management and operations functionalities. + +##### **10.3.2.2 Service performance management** + +This set of functionalities is responsible for monitoring, analysing and reporting on the E2E service performance. This includes the following functionalities: + +- 1) performance monitoring. This functionality collects and monitors service performance parameters; +- 2) performance analysing. This functionality is responsible for the analysis and evaluation of services' performance (analysing data received from service performance monitoring, determining the causes of changes, providing operations for adapting the performance); +- 3) performance reporting. This functionality creates service performance reports on a periodic basis or on-demand. + +#### **10.3.2.3 Service quality management** + +This set of functionalities is responsible for monitoring and managing the E2E quality of services. They allow, collect and compare quality related measurements against established services. The results can be optionally available to interested parties. This includes the following functionalities: + +- 1) service quality modelling. This functionality establishes what will be monitored and how it will be monitored in terms of service quality. This includes the definition of the service quality model and its dependencies as establishment of key quality indicators (KQIs) and service level objectives (SLOs), accepting input from CSC contracts or service definitions, establishment of data sources for monitoring; +- 2) service quality monitoring. This functionality collects and monitors service quality as determined by the established service quality model; +- 3) service quality analysing. This functionality analyses and evaluates the quality of services being delivered by the CSP; +- 4) service quality reporting. This functionality generates various reports on service quality and makes them available on a periodic basis or on-demand. + +##### **10.3.2.4 Service test management** + +This set of functionalities allows a CSP to test the quality of services. They allow collect and compare quality and performance related indicators. The results can be optionally available to interested parties. This includes the following functionalities: + +- 1) service test strategy and policy management. This functionality manages the rules that define the strategies for conducting various service tests; +- 2) service test lifecycle management. This functionality manages the E2E lifecycle of a service test; +- 3) service test command and control. This functionality provides access, commands, and controls the service testing environment; +- 4) service test services. This functionality provides the means to access the testing capabilities. + +#### **10.3.3 Service repositories functionalities** + +This set includes functionalities for service catalogue management and service inventory management. + +The role of particular functionalities is described below. + +##### **10.3.3.1 Service catalogue management** + +This set of functionalities allows the CSP to list and manage available services. + +##### **10.3.3.2 Service inventory management** + +This set of functionalities allows the CSP to maintain information about already deployed and provided cloud services. It may also store and manage service relationships: the mapping to other services and/or service components as well as the mapping to resources used to implement a particular service. + +### **10.4 Functionalities for cloud computing resource management** + +This clause identifies functionalities related to resource management for the support of cloud services. These include resource fulfilment, resource assurance, resource charging and accounting and resource repositories functionalities. These functionalities related to resource management are presented in Figure 10-5. + +NOTE – "Resource order management" corresponds to the process of taking, organizing, tracking and satisfying resource requests for the support of cloud services provided by a CSP. + +![Figure 10-5: Functionalities related to cloud computing resource management. The diagram shows a hierarchy starting with 'Resource management' at the top. It branches into 'Resource fulfillment' (containing 'Resource order management') and 'Resource assurance' (containing 'Resource performance management', 'Resource fault management', and 'Resource test management'). Below these are 'Resource charging and accounting' (containing 'Resource usage collection and distribution') and 'Resource repositories' (containing 'Resource catalogue management' and 'Resource inventory management').](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +``` + +graph TD + RM[Resource management] --> RF[Resource fulfillment] + RM --> RA[Resource assurance] + RF --> ROM[Resource order management] + RA --> RPM[Resource performance management] + RA --> RFM[Resource fault management] + RA --> RTM[Resource test management] + RM --> RCA[Resource charging and accounting] + RM --> RR[Resource repositories] + RCA --> RUCD[Resource usage collection and distribution] + RR --> RCM[Resource catalogue management] + RR --> RIM[Resource inventory management] + +``` + +Figure 10-5: Functionalities related to cloud computing resource management. The diagram shows a hierarchy starting with 'Resource management' at the top. It branches into 'Resource fulfillment' (containing 'Resource order management') and 'Resource assurance' (containing 'Resource performance management', 'Resource fault management', and 'Resource test management'). Below these are 'Resource charging and accounting' (containing 'Resource usage collection and distribution') and 'Resource repositories' (containing 'Resource catalogue management' and 'Resource inventory management'). + +Y.3521-M.3070(16)\_F10-5 + +**Figure 10-5 – Functionalities related to cloud computing resource management** + +### 10.4.1 Resource fulfilment functionalities + +This covers a set of functionalities for the fulfilment management of resources for the support of cloud services. This functionality includes resource order management. + +##### 10.4.1.1 Resource order management + +This set of functionalities manages the E2E lifecycle of a resource order request. This includes validating resource availability as well as the resource order request. + +NOTE – Resource order management functionality will typically communicate with service order management and resource layer functionalities. Notifications can be issued to the service order management functionalities during the resource order orchestration process (especially upon completion). Such notification can trigger other steps in the service order management functionalities (e.g., resource order completion). + +Resource order management functionalities include: + +- 1) resource order orchestration and distribution. This functionality provides workflow and orchestration capability across resource order management. This functionality has the ability to distribute the resource order. It also provides functionality to track and manage the overall resource order as well as to track the overall order; +- 2) resource order validation. This functionality validates the resource order request based on contract, catalogue, and provisioning rules; +- 3) resource order tracking and lifecycle management. This functionality issues valid and complete resource orders, and stores the order into an appropriate repository; +- 4) resource assign. This functionality addresses resource configurations which are needed to support a service order. + +#### 10.4.2 Resource assurance functionalities + +This set of functionalities covers the assurance management of resources in support of cloud services. These functionalities include resource performance management, resource fault management and resource test management. The role of particular functionalities is described below. + +##### 10.4.2.1 Resource performance management + +This set of functionalities monitors, analyses, and reports on the performance of the CSP resources. This includes the following functionalities: + +- 1) resource performance monitoring. This functionality supports data collection and performance monitoring of the CSP resources; +- 2) resource performance analysing. This functionality analyses the performance of the various CSP resources; +- 3) resource performance management reporting. This functionality generates reports about the performance of the CSP resources. + +##### **10.4.2.2 Resource fault management** + +This set of functionalities is responsible for the management of faults associated with the resources of CSP. + +This includes the following functionalities: + +- 1) resource fault monitoring. This functionality collects and monitors the operational status of the resource layer; +- 2) resource fault analysis. This functionality relates and analyses the various fault events in the resource layer; +- 3) resource fault correction and restoration. This functionality is responsible for repairing or replacement of faulty resources; +- 4) resource fault reporting. This functionality provides reports about the various faults within the resource layer. + +##### **10.4.2.3 Resource test management** + +This set of functionalities is focused on ensuring that the various resources are working properly. + +This includes the following functionalities: + +- 1) resource test strategy and policy management. This functionality manages the rules that define the strategies for conducting various resource tests; +- 2) resource test lifecycle management. This functionality manages the E2E lifecycle of a test of a resource; +- 3) resource test command and control. This functionality provides access, commands, and controls the resource testing environment; +- 4) resource test services. This functionality provides the means to access the testing capabilities. + +#### **10.4.3 Resource charging and accounting functionalities** + +This set of functionalities covers resource usage management of the services. This includes resource usage collection and distribution. + +##### **10.4.3.1 Resource usage collection and distribution** + +This set of functionalities is used to channel usage events from the resources to various processes such as billing, legal compliance, and service assurance. Usage event records are collected, processed, edited, correlated, enriched, formatted and distributed to upstream functionalities. + +#### **10.4.4 Resource repositories functionalities** + +This covers a set of functionalities for the resource repositories of the services. These functionalities include resource catalogue management and resource inventory management. + +##### **10.4.4.1 Resource catalogue management** + +This set of functionalities determines repositories of resource listing within the CSP and include the ability to design, create, augment and map new entities and supporting data. + +##### **10.4.4.2 Resource inventory management** + +This set of functionalities manages information of all CSP resources available for the implementation of services and products. + +# **11 Security considerations** + +Security aspects for consideration within the cloud computing environment, including inter-cloud computing, are addressed by security challenges for the CSPs as described in [ITU-T X.1601]. [ITU-T X.1601] analyses security threats and challenges, and describes security capabilities that could mitigate these threats and meet the security challenges. + +# Annex A + +## Use of SMI-based model across various cloud architecture layers + +(This annex forms an integral part of this Recommendation.) + +This annex describes SMI-based models that can be used across various cloud computing architecture layers. + +The following figure provides an example of mapping the E2E SMI concept onto the cloud computing reference architecture [ITU-T Y.3502]. + +![Figure A.1: Example mapping of SMI to cloud computing reference architecture. The diagram shows three Cloud Service Providers (CSP-A, CSP-B, CSP-C) and a Management console. Each CSP has a User layer, Access layer, Service layer, and Resource layer. The Access layer is connected to BSS and OSS, which are part of Multi-layer functions. SMI (Service Management Interface) is shown as a bidirectional arrow between the User layer of a CSP and the Access layer of another CSP. Specifically, SMI is shown between the User layer of CSP-A and the Access layer of CSP-B, and between the User layer of CSP-B and the Access layer of CSP-C. The Management console also has a User layer, and SMI is shown between its User layer and the Access layer of both CSP-B and CSP-C. A label 'SMI: administer cloud service' points to the SMI arrow between CSP-A's User layer and CSP-B's Access layer. The diagram is labeled 'Y.3521-M.3070(16)_FA.1' at the bottom right.](e821c3d8a87ee2a9ff6b8644ffe6bdae_img.jpg) + +Y.3521-M.3070(16)\_FA.1 + +Figure A.1: Example mapping of SMI to cloud computing reference architecture. The diagram shows three Cloud Service Providers (CSP-A, CSP-B, CSP-C) and a Management console. Each CSP has a User layer, Access layer, Service layer, and Resource layer. The Access layer is connected to BSS and OSS, which are part of Multi-layer functions. SMI (Service Management Interface) is shown as a bidirectional arrow between the User layer of a CSP and the Access layer of another CSP. Specifically, SMI is shown between the User layer of CSP-A and the Access layer of CSP-B, and between the User layer of CSP-B and the Access layer of CSP-C. The Management console also has a User layer, and SMI is shown between its User layer and the Access layer of both CSP-B and CSP-C. A label 'SMI: administer cloud service' points to the SMI arrow between CSP-A's User layer and CSP-B's Access layer. The diagram is labeled 'Y.3521-M.3070(16)\_FA.1' at the bottom right. + +**Figure A.1 – Example mapping of SMI to cloud computing reference architecture** + +In Figure A.1, a number of example SMIs are identified. + +Firstly, an enterprise CSC's management interface into a cloud service, documented in [ITU-T Y.3502] as "administer cloud service", is implemented as an SMI. The interface is routed via the access layer for connectivity and access control purposes. + +Secondly, as shown in [ITU-T Y.3520] to support inter-cloud scenarios [ITU-T Y.3511], it is possible for one CSP to act as the CSC of another, and as such it can employ the same type of SMI as in the first case. This is illustrated above in the SMIs between the BSS of CSP-B (acting as a CSU) and the access layer of CSP-C. This can then be cascaded through additional CSPs if desirable. + +Thirdly, an operator's management console may employ multiple SMIs to different services and providers. In reference architecture terms, such a console is also acting as a CSC, although a very specialised one. + +Thus the same SMI concept [ITU-T Y.3520] is being used in every case. + +# **Appendix I** + +## **Illustration on E2E cloud computing management in practice** + +(This appendix does not form an integral part of this Recommendation.) + +## **I.1 Introduction** + +This appendix provides an illustration of how a cloud computing management system can function in practice, following the conceptual view and common model described in clauses 8 and 9. + +## **I.2 Vertical vs horizontal management** + +This Recommendation describes both vertical relationships within a BSS/OSS, as shown in Figure 8-1, as well as horizontal relationships between CSPs within each managed layer, as shown in clause 9. + +Both vertical and horizontal interfaces are implemented as SMIs, however those vertical interfaces between management layers within a single CSP's system are likely to be implementation-specific. + +## **I.3 Orchestrated management actions** + +For realising E2E cloud computing management, orchestration is required at multiple levels. In each case, this comprises the creation or management of multiple managed objects as a means to implement a higher layer construct. While orchestration can occur directly in the service layer (for example, the creation of a virtual machine (VM) within an infrastructure as a service (IaaS) service may automatically cause the creation of associated storage objects required to support the VM), this can also occur at higher layers of the management system. The following example (see clause I.5) is an illustration of such a case. + +## **I.4 Monitoring and diagnostics** + +SMI interfaces can also be used for monitoring and diagnostics within a single cloud computing system and this can then be extended into a multi-cloud scenario (as described in [ITU-T Y.3520]). This allows for aggregated performance measurement, reporting, fault detection, and root cause analysis across multiple cloud services. + +## **I.5 Example of E2E cloud computing management** + +For this example, consider the creation of a video streaming service, designed to deliver training content to a number of enterprise customers. + +A cloud service provider is offering a product "video streaming platform" to its customers. This product provides: + +- 1) a storage platform (library) for holding video content, including content management, cataloguing, metadata management; +- 2) a video-ingestion service, where content in various video formats can be uploaded for transcoding before being placed in the library; +- 3) a subscription management system, including digital rights management, subscription, payment, authorization, and billing; +- 4) service usage monitoring, including statistics, trends, and user behaviour; +- 5) managed network connectivity, both for uploading content to the cloud, and for efficient streaming of the content through a content delivery network and thus to end users. + +The enterprise wishing to buy this bundle of services needs only to place a single product order, which will include various choices for capacity, throughput, etc. + +Figure I.1 illustrates E2E cloud computing management in practice. + +![Figure I.1: Example of E2E cloud computing management in practice. The diagram shows three identical multi-layered cloud architectures. Each architecture consists of four layers: a top blue layer (Customer Service Center - CSC), an orange layer (Customer Management), a yellow layer (Network Product Management), and a bottom green layer (Video Cloud Product). Red arrows numbered 1 through 6 illustrate the end-to-end management process across these layers and between the three architectures. Step 1: An arrow points down to the CSC of the first architecture. Step 2: An arrow points down to the Customer Management layer of the first architecture. Step 3: An arrow points from the Customer Management layer of the first architecture to the Customer Management layer of the second architecture. Step 4: An arrow points down to the Network Product Management layer of the second architecture. Step 5: An arrow points from the Network Product Management layer of the second architecture to the Network Product Management layer of the third architecture. Step 6: An arrow points down to the Video Cloud Product layer of the third architecture. Blue circular arrows within each layer indicate internal management or orchestration within that layer.](d17aa1fcc3b86503ad1dd0717a6c34c2_img.jpg) + +Figure I.1: Example of E2E cloud computing management in practice. The diagram shows three identical multi-layered cloud architectures. Each architecture consists of four layers: a top blue layer (Customer Service Center - CSC), an orange layer (Customer Management), a yellow layer (Network Product Management), and a bottom green layer (Video Cloud Product). Red arrows numbered 1 through 6 illustrate the end-to-end management process across these layers and between the three architectures. Step 1: An arrow points down to the CSC of the first architecture. Step 2: An arrow points down to the Customer Management layer of the first architecture. Step 3: An arrow points from the Customer Management layer of the first architecture to the Customer Management layer of the second architecture. Step 4: An arrow points down to the Network Product Management layer of the second architecture. Step 5: An arrow points from the Network Product Management layer of the second architecture to the Network Product Management layer of the third architecture. Step 6: An arrow points down to the Video Cloud Product layer of the third architecture. Blue circular arrows within each layer indicate internal management or orchestration within that layer. + +Y.3521-M.3070(16)\_Fl.1 + +**Figure I.1 – Example of E2E cloud computing management in practice** + +NOTE – This figure is based on the comprehensive view of cloud computing management. See clause 8. + +The stages shown in Figure I.1 are as follows: + +- 1) the CSC places the order for the entire package; +- 2) customer management assesses the validity of the order, determines the appropriate SLA to apply to the overall package, and invokes the individual product objects in the product management layer. There are two of these, a network product and a cloud service product; +- 3) the network product management creates a network as a service (NaaS) within the CSP service layer, identifying endpoint and network characteristics needed for the overall service. It also requests the creation of a NaaS service from another CSP which includes wide-area telecommunications connectivity. This is done by making SMI-based requests to instantiate the NaaS service at the other CSP. The internal and external NaaS instances are then interconnected with agreed endpoints and SLAs suitable to meet the overall objective; +- 4) the video cloud product orchestrates a set of cloud services including video processing, storage, content management, a software as a service (SaaS) for the billing and subscription, etc; +- 5) because the video processing service does not have the capability to directly handle some of the video formats the customer has requested, the video processing service requests this capability as a specialist platform as a service (PaaS) from a third CSP. The PaaS is provided with the code necessary to work with the content platform; +- 6) each of the invoked services is responsible for creating and managing the underlying cloud computing resources, including compute, storage, and networking. Each of them is also responsible for monitoring the functions of those resources, and reporting usage, performance, faults and SLA breaches up to their "parent" management layer for aggregation and analysis. + +In this way, a very large and complex cloud-based solution is requested, instantiated, and managed as a whole, both for business and operational purposes. Within each CSP, the logic of orchestration is a key point of differentiation, but the individual management interfaces follow the general SMI approach, making for a relatively straightforward management architecture. + +# Bibliography + +- [b-ITU-T M.60] Recommendation ITU-T M.60 (1993), *Maintenance terminology and definitions*. +- [b-ITU-T M.3010] Recommendation ITU-T M.3010 (2000), *Principles for a telecommunications management network*. +- [b-ITU-T M.3050.0] Recommendation ITU-T M.3050.0 (2007), *Enhanced Telecom Operations Map (eTOM) – Introduction*. +- [b-ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014), *Information technology – Cloud computing – Overview and vocabulary*. +- [b-ITU-T Y.3501] Recommendation ITU-T Y.3501 (2013), *Cloud computing framework and high-level requirements*. +- [b-TMF TR198] TM Forum TR198, *Multi-Cloud Service Management Pack – Simple Management API (SMI) Developer Primer and Code Pack, V2.2*. + + + + +## ITU-T M-SERIES RECOMMENDATIONS + +## TELECOMMUNICATION MANAGEMENT, INCLUDING TMN AND NETWORK MAINTENANCE + +| | | +|---------------------------------------------------------------------------------|----------------------| +| Introduction and general principles of maintenance and maintenance organization | M.10–M.299 | +| International transmission systems | M.300–M.559 | +| International telephone circuits | M.560–M.759 | +| Common channel signalling systems | M.760–M.799 | +| International telegraph systems and phototelegraph transmission | M.800–M.899 | +| International leased group and supergroup links | M.900–M.999 | +| International leased circuits | M.1000–M.1099 | +| Mobile telecommunication systems and services | M.1100–M.1199 | +| International public telephone network | M.1200–M.1299 | +| International data transmission systems | M.1300–M.1399 | +| Designations and information exchange | M.1400–M.1999 | +| International transport network | M.2000–M.2999 | +| Telecommunications management network | M.3000–M.3599 | +| Integrated services digital networks | M.3600–M.3999 | +| Common channel signalling systems | M.4000–M.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects and next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and 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Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3533 + +# Cloud computing – Functional requirements for robotics as a service + +## Summary + +Robotics as a service (RaaS) is a cloud service category aimed at supporting the development, operation and management of robots in a cloud computing environment. Recommendation ITU-T Y.3533 provides an overview of robotics, robotics as a service, and functional requirements through various use cases of robotics in cloud computing. Also, this Recommendation is aligned with the cloud computing reference architecture of Recommendation ITU-T Y.3502. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3533 | 2023-12-14 | 13 | 11.1002/1000/15746 | + +## Keywords + +Cloud computing, RaaS, robotics as a service. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------------------------------------------------------------------------|------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview of robotics ..... | 3 | +| 6.1 Introduction to robotics ..... | 3 | +| 6.2 Generic robotics life cycle..... | 4 | +| 6.3 Robotics ecosystem ..... | 6 | +| 7 Overview of robotics as a service..... | 8 | +| 7.1 Introduction to RaaS..... | 8 | +| 7.2 Logical components of RaaS..... | 10 | +| 7.3 System context of RaaS..... | 11 | +| 7.4 CSN:robotic module developer ..... | 12 | +| 7.5 CSN:robotic platform developer ..... | 13 | +| 7.6 CSP:robotics service provider ..... | 14 | +| 7.7 CSC:robotics service customer..... | 15 | +| 8 Functional requirements of cloud computing for RaaS..... | 16 | +| 8.1 Robotic module support ..... | 16 | +| 8.2 Robotic platform support..... | 17 | +| 8.3 Robot deployment support ..... | 17 | +| 8.4 Robot operation support ..... | 18 | +| 9 Security considerations..... | 19 | +| Appendix I – Use case of robotics as a service..... | 20 | +| I.1 Registration of robotic module profiles and development of robot
applications using the profiles ..... | 20 | +| I.2 Operation of robot intelligence using RaaS in the environment of an
industrial roller conveyor with multi-gripper ..... | 21 | +| I.3 Enhancement of environment perception of a robot using RaaS ..... | 22 | +| I.4 Developing and testing a robot system with a fine-tuning navigation
module ..... | 23 | +| I.5 Deployment of the distributed robots using RaaS & cloud service..... | 24 | +| I.6 Extension of robot system with adding robotic modules ..... | 26 | +| I.7 Fine-tuning of robotic modules with recalibration in RaaS service ..... | 27 | +| I.8 Remote control and offloading robots in a cloud environment via network.. | 28 | +| Appendix II – Use case of robotics as a service for application perspective..... | 30 | + +| | Page | +|-------------------------------------------------------------------------------------------------------------------------------------|-------------| +| II.1 Operations of robots with cloud and network connectivity in warehouse environment..... | 30 | +| II.2 Medical robot software development on the cloud environment ..... | 31 | +| II.3 Operating agriculture robot system with cloud management..... | 32 | +| Appendix III – Technical Concepts of modularity, virtualized simulation environment and robotic system deployment in robotics ..... | 34 | +| III.1 Robotic modules and modularity in robotics..... | 34 | +| III.2 Virtual robot representation..... | 35 | +| III.3 Robot system deployment: robot-server architecture..... | 36 | +| Bibliography..... | 38 | + +# Recommendation ITU-T Y.3533 + +# Cloud computing – Functional requirements for robotics as a service + +# 1 Scope + +This Recommendation provides an overview and the functional requirements for robotics as a service (RaaS) in the cloud environment. This Recommendation addresses the following subjects: + +- Concept and overview of robotics; +- Introduction and system context of robotics as a service; +- Functional requirements for robotics as a service; +- Use cases of robotics as a service. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3502] Recommendation ITU-T Y.3502 (2014), *Information technology – Cloud computing – Reference architecture*. + +[ITU-T Y.3535] Recommendation ITU-T Y.3535 (2022), *Cloud computing - Functional requirements for a container*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 activity** [ITU-T Y.3502]: A specified pursuit or set of tasks. + +**3.1.2 autonomy** [b-ISO 8373]: Ability to perform intended tasks based on current state and sensing, without human intervention. + +**3.1.3 cloud computing** [b-ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications and storage equipment. + +**3.1.4 cloud service** [b-ITU-T Y.3500]: One or more capabilities offered via cloud computing invoked using a defined interface. + +**3.1.5 cloud service customer** [b-ITU-T Y.3500]: Party which is in a business relationship for the purpose of using cloud services. + +**3.1.6 cloud service partner** [b-ITU-T Y.3500]: Party which is engaged in support of, or auxiliary to, activities of either the cloud service provider or the cloud service customer, or both. + +**3.1.7 cloud service provider** [b-ITU-T Y.3500]: Party which makes cloud services available. + +**3.1.8 robot** [b-ISO 8373]: Programmed actuated mechanism with a degree of autonomy to perform locomotion, manipulation or positioning. + +**3.1.9 robotics** [b-ISO 8373]: Science and practice of designing, manufacturing, and applying robots. + +**3.1.10 role** [ITU-T Y.3502]: A set of activities that serves a common purpose. + +**3.1.11 sub-role** [ITU-T Y.3502]: A subset of the activities of a given role. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 robotic module**: A set of abstracted hardware and software that is part of a robot (3.1.8). + +NOTE – The abstracted hardware refers to the software representation of hardware aspect in robot, which is designed for simulations and operations. + +**3.2.2 robotic platform**: A set of tools and libraries to support robotics (3.1.9). + +NOTE 1 – Tools include an integrated development environment (IDE), a robot simulator, etc. + +NOTE 2 – Libraries include a packaging robotic module, a planning actions for a robotic task, middleware for robot operation, etc. + +**3.2.3 robotic task**: A set of actions that a robot (3.1.8) performs, which is designed to achieve a goal in a certain scenario or environment. + +**3.2.4 robotics as a service**: A cloud service category in which the capabilities provided to a cloud service customer is the provision of functionalities for robotics (3.1.9). + +NOTE – Robotics as a service (RaaS) provides the functionalities to design, build, simulate, deploy, operate, and manage a robot (3.1.8). + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-------------------------------------------| +| CSC | Cloud Service Customer | +| CSN | Cloud Service Partner | +| CSP | Cloud Service Provider | +| HW | Hardware | +| IDE | Integrated Development Environment | +| OGRE | Object-Oriented Graphics Rendering Engine | +| OTA | Over-The-Air | +| RaaS | Robotics as a Service | +| RMD | Robotic Module Developer | +| RPD | Robotic Platform Developer | +| RSC | Robotics Service Customer | +| RSP | Robotics Service Provider | +| SDF | Standard Digital Format | +| SW | Software | +| URDF | Unified Robot Description Format | + +# **5 Conventions** + +The following conventions are used in this Recommendation: + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. +- The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# **6 Overview of robotics** + +## **6.1 Introduction to robotics** + +Robotics (3.1.9) is a science and a practice of designing, manufacturing, and applying robots (3.1.8). The scope of robotics encompasses various technical domains such as engineering, mechanical, electronic and software technologies. + +The primary objective of robotics is to develop robots to perform a robotic task (3.2.3) to assist and aid human beings. A robotic task is broken down into a series of smaller actions that are designed and managed by a robotics engineer. + +NOTE 1 – An example of a robotic task is 'pick an object with grasper' task. The robotic task is split into a series of actions including 'planning grasp approach', 'moving a grasper to target object', 'controlling grasping power', etc. + +A robot is composed of robotic modules (3.2.1) to perform required robotic tasks. In a single robot, each robotic module performs specific actions such as controlling a motor, interpreting sensor data, performing calculations of power degree, etc. + +A robotic platform (3.2.2) is used to design robotic tasks and develop robotic modules for robots. A robotic platform is a collection of tools and libraries such as packaging software and hardware components into a robotic module, or integrating the robotic modules for a single robot. The robotic platform not only supports development of a robot, but also supports operation and management of a robot. + +Figure 6-1 shows a conceptual representation of a robot, a robotic task, a robotic module and a robotic platform including interrelationship among robotics concepts. + +![Figure 6-1: Conceptual representation of a robot, a robotic task, a robotic module, and a robotic platform.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +The diagram illustrates the conceptual representation of a robot, a robotic task, a robotic module, and a robotic platform. At the top, a box labeled 'Robotic platform (3.2.2)' contains two sub-boxes: 'Libraries' and 'Tools'. +- An arrow from 'Libraries' points to a box containing hardware icons (a motor, a sensor, etc.) labeled 'Hardware', with the text 'Provide packaging library' along the arrow. +- Another arrow from 'Libraries' points to a box labeled 'Packaging into robotic modules', with the text 'Provide integration library' along the arrow. +- An arrow from 'Tools' points to a robot icon, with the text 'Provide simulation tools' along the arrow. +- A box labeled 'Hardware' and a box labeled 'Software' (containing icons for code, a gear, and a brain) are grouped with brackets and point towards 'Packaging into robotic modules'. +- 'Packaging into robotic modules' leads into a set of 'Robotic modules (3.2.1)', which include 'GPS module', 'Object detection module', and 'Mobility control module'. +- The 'Mobility control module' is further broken down into 'Gripper control modules' and 'Wheel control module'. +- The 'GPS module' is linked to a 'Path planning module'. +- A box labeled 'Robot (3.1.8)' is shown above the robotic modules, with a diamond-headed line indicating it is composed of these modules (1...n). +- An arrow from 'Robotic platform (3.2.2)' points to the 'Robot (3.1.8)' with the text 'Support operation of robot'. +- The 'Robot (3.1.8)' is shown performing 'Actions' (represented by a large arrow) to 'Achieve robotic task (3.2.3)' (represented by a circle). +- The diagram is labeled 'Y.3533(23)' at the bottom right. + +Figure 6-1: Conceptual representation of a robot, a robotic task, a robotic module, and a robotic platform. + +**Figure 6-1 – Conceptual representation of a robot, a robotic task, +a robotic module, and a robotic platform** + +As Figure 6-1 represents, hardware and software components are packaged into robotic modules when developing the robots. Packaging robotic modules involve adding interfaces to control hardware and software components as a single robotic module to be operated in the robot, as well as making the corresponding profile for a robotic module. + +NOTE 2 – This Recommendation does not consider the classification of robotic module, which is described in [b-ISO 22166-1]. + +NOTE 3 – Profile is information that provides the attributes of a robotic module to support robot design, interoperability and re-use. + +Appendix III provides more information and examples of robotics. + +## 6.2 Generic robotics life cycle + +Robotics includes the practice of designing, manufacturing, and applying robots. Figure 6-2 illustrates a generic robotics life cycle including detailed activities at each of the designing, manufacturing and applying stages. Validation and verification are performed accordingly at each stage, while maintenance and management affect the manufacturing and applying stages. The detailed activities are as follows: + +![Figure 6-2 – Generic life cycle for robotics. A diagram showing three main stages: Designing stage, Manufacturing stage, and Applying stage, with crosscutting phases. The Designing stage includes 'Define target robotic tasks', 'Set target conditions', and 'Design robot specifications'. The Manufacturing stage includes 'Develop robotic modules', 'Manufacture robots', and 'Feedback performance'. The Applying stage includes 'Develop robot applications', 'Operate a robot', and 'Fine tuning'. Crosscutting phases include 'Validation and verification' and 'Maintenance and management'.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +| < Designing stage > | | < Manufacturing stage > | | < Applying stage > | | +|-----------------------------|-----------------------|-------------------------|----------------------|----------------------------|-------------| +| Define target robotic tasks | Set target conditions | Develop robotic modules | | Develop robot applications | | +| Design robot specifications | | Manufacture robots | Feedback performance | Operate a robot | Fine tuning | +| < Crosscutting phases > | | | | | | +| Validation and verification | | | | | | +| Maintenance and management | | | | | | + +Y.3533(23) + +Figure 6-2 – Generic life cycle for robotics. A diagram showing three main stages: Designing stage, Manufacturing stage, and Applying stage, with crosscutting phases. The Designing stage includes 'Define target robotic tasks', 'Set target conditions', and 'Design robot specifications'. The Manufacturing stage includes 'Develop robotic modules', 'Manufacture robots', and 'Feedback performance'. The Applying stage includes 'Develop robot applications', 'Operate a robot', and 'Fine tuning'. Crosscutting phases include 'Validation and verification' and 'Maintenance and management'. + +**Figure 6-2 – Generic life cycle for robotics** + +The designing stage includes: + +- **Define robotic task:** Determines the specific robotic tasks that the robot is intended to perform and expected outcomes, considering functional requirements, performance criteria and the complexity of the robotic tasks. +- **Set target condition:** Identifies the environments of robot operation such as industrial and home environment. Derive the specific constraints of the environment including place of use, climate conditions, robot-human interaction, etc. +- **Design robot specifications:** Derives the robot specification including the robot's physical structure and software mechanisms. This includes the virtual test of the robot in the target condition to meet the requirements for the defined robotic task. + +The manufacturing stage includes: + +- **Develop robotic modules:** Implements robot specifications with module-level designing. This phase verifies the robot's physical specification with embedded software and software parts and verifies if it performs or operates correctly as intended in the designing phase. +- **Manufacture robots:** Integrates the developed robotic modules with connecting interfaces in robots. During this phase, a system to control the robot is developed. +NOTE 1 – This phase defines the system commands to control a single robot to operate robotic tasks. A user-level guide for commands and interfaces is developed. +- **Feedback performance:** Involves the iterative analysis process of the outcomes of manufactured robots. The observed issues from the expected results are documented, and feedback is provided to the stakeholders. This ensures that necessary adjustments are made, promoting the continuous improvement of the robotic system. + +The applying stage includes: + +- **Develop robot application:** Creates specific applications for the robot to perform expected robotic tasks. Depending on the robot's specifications, applications range from simple robotic tasks to complex operations. +- **Operate a robot:** Deploys robots into the intended environment. Robots begin performing the tasks in the real world. The operation phase also involves monitoring the robot's performance, and ensuring that it operates optimally and safely in its working conditions. + +- **Fine tuning:** Makes subtle adjustments to the robot's performance based on real-world feedback and operational data after deployment. This phase focuses on the adjustments, optimizing the robot's functionalities to suit its environment or improve its efficiency. This involves software updates, recalibrations and minor hardware modifications. + +Crosscutting phases during generic life-cycle includes: + +- **Validation and verification:** This crosscutting phase influences all the stages. Validation ensures that developing robot or robotic modules meets users' needs and performs appropriately in the given conditions, while verification corroborates the implementation of the robot's functions and specifications. For example, verification checks if the robot's sensors detect obstacles as intended, whereas validation tests if the robot navigates effectively around real household objects. + +NOTE 2 – Specific methods for validation and verification are not the scope of this Recommendation. + +- **Maintenance and management:** This is performed after the manufacturing stage to support robot developments. This phase includes updating robotic modules, upgrading the hardware for robotic modules, and repairing robots. Specific methods for maintenance and management are outside the scope of this Recommendation. + +## 6.3 Robotics ecosystem + +This clause describes a robotics ecosystem through roles and sub-roles or stakeholder's related with robotics. It provides activities of the roles to provide and consume robotics as well as the relationships between roles. + +The robotics ecosystem includes following roles: + +- Robotic module developer; +- Robotic platform developer; +- Robot provider; +- Robot customer. + +Figure 6-3 shows the robotics ecosystem. + +![Diagram of the Robotics ecosystem showing three main roles: Robotic module developer, Robotic platform developer, and Robot provider, each with their respective activities.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +The diagram illustrates the Robotics ecosystem, organized into three main functional blocks, each containing specific activities in ovals: + +- Robotic module developer** (top left): + - Manufacture robot hardware + - Develop robot software + - Describe profile of robotic module + - Provide robotic module +- Robotic platform developer** (top right): + - Develop tool and library + - Provide tool and library +- Robot provider** (middle): + - Use robotic platform + - Design robot + - Integrate robotic modules into robot + - Test robotic tasks of robot + - Provide robot + - Manage robot +- Robot customer** (bottom): + - Use robot + - Feedback performance of robot + - Request maintenance of robots + +Y.3533(23) + +Diagram of the Robotics ecosystem showing three main roles: Robotic module developer, Robotic platform developer, and Robot provider, each with their respective activities. + +**Figure 6-3 – Robotics ecosystem** + +### 6.3.1 Robotic module developer + +A robotic module developer involves developing robotic modules and profiles for a robotic module repository. + +The robotic module developer's activities include: + +- Manufacture robot hardware; +NOTE – The robot hardware includes both mechanical parts of robots and software for control of hardware such as sensors, skeletons, cameras, motors, etc. +- develop robot software; +- describe the profile of robotic modules; +- provide robotic modules. + +### 6.3.2 Robotic platform developer + +A robotic platform developer provides a robotic platform which contains tools and libraries for supporting robot development. + +The robotic platform developer's activities include: + +- Development of a tool and a library for robotics; +- provision of a tool and a library for robotics. + +### 6.3.3 Robot provider + +A robot provider provides the integration of robotic modules in the robotic platform. + +The robot provider's activities include: + +- Use a robotic platform; +- Design a robot; +- Integrate robotic modules into a robot; +- Test a robotic task of a robot; +- Provide a robot; +- Manage a robot. + +### **6.3.4 Robot customer** + +A robot customer uses a robot that has been developed by a robot provider. The robot customer is an end-user of a robotics ecosystem who purchases and uses robots. + +The robot customer's activities include: + +- Using a robot; +- Providing feedback of the performance of a robot; +- Requesting maintenance of a robot. + +# **7 Overview of robotics as a service** + +## **7.1 Introduction to RaaS** + +Robotics as a service (RaaS) is a cloud service category in which the capabilities provided to a cloud service customer is the provision of functionalities for robotics. To support RaaS service, cloud service provider (CSP) provides the functionalities for supporting robotics activities as described in clause 6.3 during generic life-cycle of robotics including designing, manufacturing, and applying stages using cloud resources. Figure 7-1 illustrates an example of utilizing RaaS functionalities which supports to simulate the robotic modules to execute robotic tasks in a cloud environment. + +![Figure 7-1: An example of robotics as a service and relationships with generic life cycle. The diagram shows the flow from hardware manufacturing to real-world operation, divided into 'Designing and manufacturing stage' and 'Applying stage'.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +The diagram illustrates the lifecycle of robotics as a service, involving three main entities: Cloud service partner (CSP), Cloud service provider (CSP), and Cloud service customer (CSC). + +**Designing and manufacturing stage:** + +- Cloud service partner:** Manufacture robot HW. It interacts with the Cloud service provider to describe and visualize the hardware module. +- Cloud service provider:** + - Robotic platform:** Contains Robotics libraries and Robotics tools. It provides an IDE and set of libraries to the Cloud service customer. + - Robotic module profiles:** A table defining the structure of robotic modules. + - Robotic module repository:** A database where modules are registered and verified for compatibility. + +**Applying stage:** + +- Cloud service customer:** Uses the robotic platform to simulate and package the robot system, which is then deployed to the real field. +- Real field:** The robot system operates in a real-world environment, represented by icons of buildings and a house. + +**Robotic module profiles table:** + +| Class | Description | +|------------------------|----------------------------------------------------| +| Module name | < Robotics module > | +| Description | Overview of module | +| Specifications | HW spec, drivers, embedded SW, ... | +| Configuration | Structures of robotic modules | +| Robotic task | A set of actions | +| Interface | Input/output data | +| Modeling | Abstraction HW aspect | +| Additional information | Free description for information of robotic module | + +Figure 7-1: An example of robotics as a service and relationships with generic life cycle. The diagram shows the flow from hardware manufacturing to real-world operation, divided into 'Designing and manufacturing stage' and 'Applying stage'. + +**Figure 7-1 – An example of robotics as a service and relationships with generic life cycle** + +Figure 7-1 includes the relationships between cloud service and generic life cycle of robotics. All phases of designing and manufacturing stages are involved with the activities of CSP and cloud service partner (CSN) and cloud service customer (CSC). The CSN is responsible for the development and manufacturing of robotic modules including hardware aspects of the modules. The CSP provide + +the RaaS service to develop a robot system for a robot. The robot system is a software on the cloud that integrates robotic modules including the control interface of the robot. The CSP support container engines to package a robot system into a container image. The robot system is managed as a deployable format, and executed in the robot. + +NOTE 1 – The functional requirements of a container are described in [ITU-T Y.3535]. + +The CSC participates in the applying stage for developing and simulating robotic tasks for robots and requesting the support of cloud for operating robots. The support for operating robots includes the fine tuning for optimizing the robot's capabilities and maintenance to manage robots efficiently with cloud services. + +NOTE 2 – Providing robot hardware to a CSC is outside the scope of RaaS. + +## 7.2 Logical components of RaaS + +This clause describes the logical components of RaaS for supporting robotics in a cloud environment. The logical components are introduced as the conceptual building blocks of a RaaS. Figure 7-2 illustrates the logical components of RaaS. + +![Figure 7-2: Logical components of robotics as a service. The diagram shows a large container labeled 'Logical components of robotics as a service' containing four columns of components: Robotic module support, Robotic platform support, Robot deployment support, and Robot operation support.](41a438d7e4adc17c3a4005e7c9500091_img.jpg) + +| Logical components of robotics as a service | | | | +|----------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------| +| Robotic module support
Robotic module profile
Robotic module repository
Versioning and tracking
Search and Recommendation | Robotic platform support
Robotics tool
Robotics library
Robot simulation
Compatibility verification | Robot deployment support
Test robotic task
Robot system integration
Container service support
Diagnostic and reporting | Robot operation support
Robotic task monitoring
Robot operation management
Network connection
Security and risk management | + +Y.3533(23) + +Figure 7-2: Logical components of robotics as a service. The diagram shows a large container labeled 'Logical components of robotics as a service' containing four columns of components: Robotic module support, Robotic platform support, Robot deployment support, and Robot operation support. + +**Figure 7-2 – Logical components of RaaS** + +The logical components shown in Figure 7-2 are as follows: + +- **Robotic module support:** This logical component manages the robotic module to provide validated robotic modules through the cloud service. The main feature of this logical component includes configuring common robotic module profile, and maintaining the robotic module repository. Versioning and tracking robotic modules to control unexpected issues, retrieve research functionalities and provide advice is under the responsibility of this logical component. +- **Robotic platform support:** This logical component provides the tools and libraries for robotics as an integrated platform to support robot development. Compatibilities among the tools, libraries and robotic modules are verified with this component. The simulation of robotic tasks within controlled conditions are provided, and virtual robot representations are optionally supported. User-defined configurations and settings are available including simultaneous simulations of multiple robots. + +NOTE – The virtual robot representation is an abstraction of the movements of the robot's hardware aspect. + +- **Robot deployment support:** This logical component supports transformation of a robot system into deployable formats and their integration onto physical robots. The real field test suites for robotic tasks and the container service for the robot system are provided. The malfunctions and unexpected issues encountered during the deployment are reported. +- **Robot operation support:** This logical component provides functionalities of operations, remote control and monitoring robots through the cloud environment. It gathers data from + +the robot operations to provide performance metrics. Tools for consequent troubleshooting and debugging utilities for robots are provided. Robust network connections between cloud and robot are supported with fail-safe protocols. Security and risk management are supported with awareness of limitations of cloud capabilities. + +## 7.3 System context of RaaS + +This clause describes a cloud computing-based system context for RaaS that is effective for supporting cloud services to support robotics. + +System context of RaaS provides additional sub-roles and activities based on the architectural user view defined in [ITU-T Y.3502]. This clause describes how cloud computing supports the four main roles in a RaaS ecosystem: robot hardware provider, robot software provider, robot provider, and robot customer. + +Cloud computing sub-roles can be mapped to industrial robotics ecosystem roles and activities as shown in Table 7-1. The sub-roles of CSP, CSN, and CSC are mapped to the roles and sub-roles of robotics service ecosystems. + +**Table 7-1 – Mapping table between robotics service ecosystem and RaaS system context** + +| Robotics ecosystem
(clause 6.3) | | RaaS System context
(clauses 7.4, 7.5, 7.6, and 7.7) | +|------------------------------------|-------------------------------------------|---------------------------------------------------------| +| Role | Activity | | +| Robotic module developer | Manufacture a robot hardware | CSN: RMD (Robotic module developer) | +| | Develop a robot software | CSN: RMD (Robotic module developer) | +| | Describe a profile of a robotic module | CSN: RMD (Robotic module developer) | +| | Provide a robotic module | CSP: RSP (Robotics service provider) | +| Robotic platform developer | Develop a tool and a library for robotics | CSN: RPD (Robotic platform developer) | +| | Provide a tool and a library for robotics | CSP: RSP (Robotics service provider) | +| Robot provider | Use a robotic platform | CSC: RSC (Robotics service customer) | +| | Design a robot | CSC: RSC (Robotics service customer) | +| | Integrate robotic modules into a robot | CSP: RSP (Robotics service provider) | +| | Test a robotic task of a robot | CSP: RSP (Robotics service provider) | +| | Manage a robot | CSP: RSP (Robotics service provider) | +| Robot customer | Use a robot | CSC: RSC (Robotics service customer) | + +**Table 7-1 – Mapping table between robotics service ecosystem and RaaS system context** + +| Robotics ecosystem
(clause 6.3) | | RaaS System context
(clauses 7.4, 7.5, 7.6, and 7.7) | +|------------------------------------|---------------------------------|---------------------------------------------------------| +| Role | Activity | | +| | Feedback performance of a robot | CSC: RSC (Robotics service customer) | +| | Request maintenance of a robot | CSC: RSC (Robotics service customer) | + +Figure 7-2 illustrates the cloud computing sub-roles for RaaS. Figure 7-2 identifies activities of each sub-roles of RaaS which are specifically assigned to extend cloud computing services for robotics. RaaS utilizes other sub-roles of CSP and CSN to ensure the compatibility and interoperability of cloud computing. + +![Figure 7-3 – RaaS system context diagram showing the roles and activities of Cloud service partner (CSN), Cloud service provider (CSP), and Cloud service customer (CSC).](4356776ca004ecba5d599667a155d7d4_img.jpg) + +The diagram illustrates the RaaS system context, organized into three main columns representing different roles: Cloud service partner (CSN), Cloud service provider (CSP), and Cloud service customer (CSC). Each role contains specific sub-roles and their associated activities. + +- Cloud service partner (CSN):** + - CSN: Robotic module developer:** + - Design, create and maintain robotic module + - Test robotic module + - Register robotic module to robotic module repository + - CSN: Robotic platform developer:** + - Develop tool and library + - Update tool and library +- Cloud service provider (CSP):** + - CSP: Robotics service provider:** + - Maintain robotic module repository + - Provide robotic platform + - Manage robot simulator + - Deploy robot system into robot + - Manage robot operation + - Provide security and risk management +- Cloud service customer (CSC):** + - CSC: Robotics service customer:** + - Use RaaS service + - Connect robot system to cloud + +Legend: Role (rectangle), Sub-role (hexagon), Activity (oval). + +Figure 7-3 – RaaS system context diagram showing the roles and activities of Cloud service partner (CSN), Cloud service provider (CSP), and Cloud service customer (CSC). + +Y.3533(23) + +**Figure 7-3 – RaaS system context** + +## 7.4 CSN:robotic module developer + +CSN:RMD is a sub-role of the CSN, which provides activities related with developing robotics components. The activities of CSN:RMD involve to support to create and manage robotic module profile. The activities of CSN:RMD include: + +- Design, create and maintain robotic module; +- Test robotic module; +- Register robotic module to robotic module repository. + +### **7.4.1 Design, create and maintain robotic module** + +Design, create and maintain robotic module activity involves the generation of a robotic module that includes the software and hardware modules. This activity involves: + +- Designing a robotic module for implementing robotic tasks or certain purpose; + - Describing a robotic module profile for a robotic module; + - Documenting the user guidelines or instructions for the robotic module; +- NOTE – The user guidelines include the guidance for composite robotic module, interface, set-up and usage instructions. +- Maintaining a robotic module with enhancements and versioning; + - Creating an interface and configurations of the composite robotic modules; + - Updating a robotic module in repository for CSP:RSP. + +### **7.4.2 Test robotic module** + +Test robotic module activity involves the validation of modules with a robot simulator by cloud. This activity involves: + +- Testing a robotic module with a robot simulator to ensure the execution of a robotic module correctly and completely; +- Reporting the result of simulation to CSP:RSP; +- Gathering simulation reports and valuating the simulation results to optimize a robotic module; +- Checking interoperability among robotic modules. + +### **7.4.3 Register robotic module to robotic module repository** + +Register robotic module to robotic module repository activity involves describing a profile of robotic modules in the robotic module repository of cloud which is served by CSP. This activity involves: + +- Describing a profile of a robotic module in the given format from CSP:RSP; +- Registering a robotic module with a profile; +- Managing a robotic module. + +## **7.5 CSN:robotic platform developer** + +CSN:RPD is a sub-role of the CSN, which provides activities related to developing tools and libraries for robotics. The activities of CSN:RPD include: + +- Develop tool and library; +- Update tool and library + +### **7.5.1 Develop tool and library** + +Develop tool and library activity involves designing tools such as development of an integrated development environment (IDE) for robotics, and libraries such as mechanical motion calculations of robot movement. This activity involves: + +- Designing a robotics development IDE; +- Designing an interface of a robot simulator; +- Developing a library for common utilities in robotics; +- Developing a library for integrating robotic modules. + +### **7.5.2 Update tool and library** + +Update tool and library involves the validation of modules in the served simulation environments through the cloud. This activity involves: + +- Testing compatibility of a tool and a library; +- Enhancing the functionalities of a tool and a library; +- Reflecting the issues reported on a tool and a library; +- Versioning and updating a tool and library. + +## **7.6 CSP:robotics service provider** + +CSP:RSP is a sub-role of the CSP that provides RaaS capabilities including robotics and provisions of resources. The CSP:RSP focuses on making RaaS services available with interoperability among the cloud service, as well as RaaS service maintenance. The activities of CSP:RSP include: + +- Maintain robotic module repository; +- Provide robotic platform; +- Manage robot simulator; +- Deploy robot system into robot; +- Manage robot operation; +- Provide security and risk management. + +### **7.6.1 Maintain robotic module repository** + +Maintain robotic module repository activity involves storing robotic modules including the information of hardware (HW) modules, software (SW) modules and composite robot modules. This activity involves: + +- Storing a robotic module from the CSN:RMD into the repository; +- Configuring a format of a profile of robotic module; +NOTE – This activity involves of defining the elements of robotics profile offering with tracking the service availability, replaceability, quality, and usage. +- Providing functionalities to create, modify, and search of a robotic modules; +- Versioning and tracking history of a robotic module; +- Requesting a robotic module maintenance to the CSN:RMD. + +### **7.6.2 Provide robotic platform** + +Provide robotic platform activity involves the provision of a robotic platform using cloud resources. This activity involves: + +- Integrating the tools and libraries for a robotic platform; +- Provisioning resources in the cloud for a robotic platform; +- Checking compatibility of robotic modules. + +### **7.6.3 Manage robot simulator** + +Manage robot simulator activity involves the provision of cloud resources for robot simulator and generation of a virtual representation for a robot. The monitoring and troubleshooting activity are provided. This activity involves: + +- Performing a simulation of a robotic task with optimized cloud resources; +- Preparing a list of virtual robot representation to test the robotic systems; +- Provisioning a storage for gathering the simulation data; + +- Monitoring and archiving simulation data; +- Reporting a simulation error to CSC:RSC; +- Troubleshooting a simulation error based on rules of problem resolutions; +- Providing an adjustment to support user-defined configurations for the conditions. + +### **7.6.4 Deploy robot system into robot** + +Deploy robot system into robot activity involves the integration of robotic modules and development of robotic tasks for a robot system. This activity supports the packaging of the robotic modules and robotic tasks into a container image and its deployment into the robots. This activity involves: + +- Testing robotic tasks in a robotic module; + - Integrating robotic modules into a robot system; + - Packaging a robot system with deployable format into container image; +- NOTE – The robot system performs a series of robotic tasks to operate a robot. The deployable format is an implementation issue which varies with the robots. +- validating a container image of a robot system in a physical robot. + +### **7.6.5 Manage robot operation** + +Manage robot operation activity involves to control and manage a robot with cloud resources by implementing a robot with the adopted robotic platform. This activity involves: + +- Provisioning network connectivity between cloud and a robot; +- Operating a robot with a robot system; +- Providing a user guideline to verify the risk of robot operations with cloud service coverage; +- Monitoring operations and performances of robots in the network; +- Providing a user authorization, a robot identity and a permission of control; +- Resolving a reported service fault and problem from the CSC:RSC; +- Keeping track of operation data of a robot and archiving the data. + +### **7.6.6 Provide security and risk management** + +Provide security and risk management activity focuses on handling and managing risks faced by the RaaS services. This activity involves: + +- Managing a rule of problem resolutions in operations and simulations of robots; + - Identifying and alerting systemic limitations in robot operations with cloud environments; +- NOTE – The systemic limitations of RaaS services with cloud includes risks and issues arisen from HW aspect of robots such as malfunctions or discrepancies of actual robot parts. +- Defining and maintaining the security and risk management policy. + +## **7.7 CSC:robotics service customer** + +CSC:RSC is a sub-role of the CSC, which utilizes RaaS services to develop, simulate and operate a robot in the cloud. The activities of CSC:RSC include: + +- Use RaaS service; +- Connect robot system to cloud. + +### **7.7.1 Use RaaS service** + +Use RaaS service activity involves invoking and using a RaaS service. + +### 7.7.2 Connect robot system to the cloud + +Connect robot system to the cloud activity involves the operation of the robots in the real world with cloud environment. This activity involves: + +- Requesting a robot system to operate with the RaaS services; +- Installing and configuring a robot system into a robot. + +# 8 Functional requirements of cloud computing for RaaS + +This clause describes the functional requirements for RaaS. + +## 8.1 Robotic module support + +The functional requirements of robotic module support include the following: + +- 1) It is required that the CSP:RSP provide the robotic module repository. +- 2) It is required that the CSP:RSP provide finding robotic modules for the CSN:RMD and CSC:RSC. +- 3) It is required that the CSP:RSP provide templates of robotic module profiles to describe the information of robotic modules for the CSN:RMD. + +NOTE 1 – The robotic module profile provides the information of each robot such as the equipment specifications of the robot, the available robotic task, etc. + +NOTE 2 – The equipment specification provides the hardware performance or its restrictions for the robotic task. For example, the equipment specifications of robot arms describe the number of controllable arms or joints, the range of motion, the directions of axis, maximum strength, maximum speed, etc. + +- 4) It is required that CSP:RSP provide an interface allowing the CSN:RSN to create, register, modify and manage the robotic modules within the robotic module repository. +- 5) It is recommended that the CSN:RSD provide the guide of robotic tasks for the robotic modules. + +NOTE 3 – The guide of robotic tasks includes the information of usage of robotic modules and the common robotic tasks that are performed by robotic modules. + +- 6) It is recommended that the CSP:RSP provide the available robotic modules to CSC:RSC relevant with the target robotic task. +- 7) It is required that the CSP:RSP provide versioning for registered robotic modules for tracking and rollback of changes. +- 8) It is required that the CSP:RSP provide notifications to the CSN:RMD regarding malfunctions or issues related to registered robotic modules. +- 9) It is recommended that the CSP:RSP provide the delivery of feedback reviews from the CSC:RSC to the CSN:RMD for improvement of the robotic modules. +- 10) It is recommended that the CSP:RSP provide conversion of the existing cloud service applications into robotic modules for integration with cloud services provided by the CSP. + +NOTE 4 – An example of cloud services is machine learning as a service in [b-ITU-T Y.3531]. The machine learning algorithms such as object recognition are able to transform into a robotic module for enhancing the robot's ability. + +- 11) It is required that the CSP:RSP provide security mechanism for robotic module repository to ensure the integrity and confidentiality of the robotic modules for the CSN:RMD. + +## 8.2 Robotic platform support + +The functional requirements of robotic platform support include the following: + +- 1) It is required that the CSP:RSP provide cloud based robot simulator in robotic platform. +- 2) It is required that the CSP:RSP provide integrated developing environment (IDE) for the robotics to the CSN:RMD and CSC:RSC. +NOTE 1 – The IDE for the robotics applications provide robot interaction language, capabilities of building code, GUI, etc. +- 3) It is required that the CSP:RSP provide up-to-date tools and libraries essential for robotics in the robotic platforms. +NOTE 2 – The example of essential tools and libraries are middleware for robot operation, simulation tools, container for robot deployment, etc. +- 4) It is required that the CSP:RSP provide compatibility of the robotic platforms with robotic modules whenever robotic modules updates or upgrades are applied. +- 5) It is recommended that the CSP:RSP request maintenance of tools and libraries to the CSN:RPD. +- 6) It is required that the CSP:RSP provide a platform documentation, including detailed user guides, API references, and best practices, aiding both CSN and CSC in the development process. +- 7) It is recommended that the CSP:RSP provide visualization tools for simulating robotic tasks. +NOTE 3 – The visualization tools include the software to simulate the real-world environment with physical engines and 3D models of object for the virtual robot representation. +NOTE 4 – Simultaneous simulation of multiple robotic tasks is supported. +- 8) It is required that the CSP:RSP provide user-defined configurations to set simulations for a robot to CSC:RSC. +- 9) It is required that the CSP:RSP provide testing of the robotic modules. +NOTE 5 – The testing of robotic modules includes robotic actions, robotic tasks and robot applications. +- 10) It is recommended that the CSP:RSP provide import of open source tools and libraries for CSC:RSC. +- 11) It is recommended that the CSP:RSP provide monitoring of the robot actions. +- 12) It is recommended that the CSN:RMD provide the abstracted HW model for the simulation. +NOTE 6 – The abstracted HW model is representation of HW aspect and is registered in robotic module repository by CSN:RMD. + +## 8.3 Robot deployment support + +[ITU-T Y.3535] provides functional requirements for a container. The functionalities of RaaS involve container for the activities related with packaging and deployment of robotic tasks or robot systems into a physical robot. Functional requirements specified in [ITU-T Y.3535] are supported as follows: + +- 1) It is required that a container engine execute an application in the kernel. +NOTE 1 – The container engine uses a kernel processor to run the application with the execution commands in a container file. +- 2) It is required that a container engine builds a container image to push to the container registry. +NOTE 2 – A container engine rebuilds the running application based on the container image and pulls it to the container registry for reuse. +- 3) It is required that a container engine pull container images to execute an application from the container registry. + +- 4) It is required that a container engine provide a packaged container image for easy transport. +- 5) It is required that a container engine provide an image object in the container image. + +NOTE 3 – An image object includes a library, file system and binary in the container file system. + +The additional functional requirements of robot deployment support include the following: + +- 6) It is required that the CSP:RSP provide the conversion of robot systems into deployable formats suitable for integration onto a physical robot. +NOTE 4 – This functional requirement differs from container services. The container images run uniformly with all dependencies across robot hardware not considering the change of a hardware part on a robot. +- 7) It is required that the CSP:RSP provide field test suites for enabling the CSC:RSC to validate robotic tasks under real conditions. +- 8) It is required that the CSP:RSP provide reporting malfunctions or unexpected issues promptly to the CSC:RSC. +- 9) It is recommended that the CSP:RSP provide a version control to manage different versions of deployed robotic modules and robot systems. +- 10) It is recommended that the CSP:RSP provide rollback to allow CSC:RSC to return to previous versions of deployed robotic modules. +- 11) It is recommended that the CSP:RSP provide monitoring tools for real-time tracking by the CSC:RSC. + +## **8.4 Robot operation support** + +The functional requirements of robot operation support include the following: + +- 1) It is required that the CSP:RSP provide network connections upon request between CSP:RSP and CSC:RSC. +- 2) It is required that the CSP:RSP provide stable network protocols for operating robots. +- 3) It is recommended that the CSP:RSP provide the encapsulation of robot control message for security. +NOTE 1 – The encapsulation encodes the robot control message with protocols that encrypt and authenticate the message. +- 4) It is required that the CSP:RSP provide real-time monitoring tools to track the status, battery lifetime and performance metrics of operational robots for CSC:RSC. +- 5) It is required that the CSP:RSP provide tools for debugging or troubleshooting, assisting CSC:RSC in identifying operational issues in real time. +- 6) It is recommended that the CSP:RSP provide lifecycle management of robotic tasks. +NOTE 2 – The lifecycle management can be implemented with the graphical user interface for monitoring the robotic tasks. +- 7) It is required that the CSP:RSP provide scalability for the simultaneous operation of multiple robots. +- 8) It is required that the CSP:RSP provide a storage for log data of robot operations, and reports including operational anomalies or failures. +- 9) It is recommended that the CSP:RSP provide a maintenance support for operated robots. +NOTE 3 – The maintenance support includes updating robot software and firmware remotely, and notifying worn-out parts if detected. +- 10) It is required that the CSP:RSP provide risk management to use cloud service for robot operation. + +NOTE 4 –Risk management includes an emergency stop and fail-safe mechanism to recover the robot operations. + +# **9 Security considerations** + +It is recommended that the security framework for cloud computing described in [b-ITU-T X.1601] be considered for the robotics as a service. [b-ITU-T X.1601] analyses security threats and challenges in the cloud computing environment and describes security capabilities that could mitigate these threats and meet security challenges. + +[b-ITU-T X.1631] provides guidelines supporting the implementation of information security controls for cloud service customers and cloud service providers. Many of the guidelines guide the cloud service providers to assist the cloud service customers in implementing the controls and guide the cloud service customers to implement such controls. Selection of appropriate information security controls and the application of the implementation guidance provided, will depend on a risk assessment as well as any legal, contractual, regulatory or other cloud-sector specific information security requirements. + +Relevant security requirements of [b-ITU-T Y.2201], [b-ITU-T Y.2701] and applicable X, Y and M series of ITU-T Recommendations need to be taken into consideration, including access control, authentication, data confidentiality, data retention policy, network security, data integrity, availability and privacy. + +Security considerations for RaaS in this Recommendation pertain exclusively to cloud computing aspects. Security issues for robot-related aspects including the physical safety of robot, risk management and operational integrity of robot systems are referenced through [b-ISO 22166-1], [b-ISO 10218-2], [b-ISO 12100], and [b-ISO 13482]. It is recommended that information of robot-related security considerations be provided to ensure RaaS stakeholders are aware of the coverage of security in cloud computing. + +# Appendix I + +## Use case of robotics as a service + +(This appendix does not form an integral part of this Recommendation.) + +The use cases in this appendix provide examples of RaaS with the functionalities of robotics related functional requirements of RaaS. + +### I.1 Registration of robotic module profiles and development of robot applications using the profiles + +| | | +|---------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Registration of robotic module profiles and development of robot applications using the profiles. | +| Description |

This use case describes procedures of developing robot applications with registration of robotic module profiles. For developing robot applications, the robotic task should be designed with considerations of robot equipment in its profiles and their constrictions. For example, if the robot developer wants to develop robot baristas that can make coffee with robot arms, they need to consider the specification of robot arms such as range of motion, speed of motion, grip strength, etc.

The following are general steps for developing the robot applications from registering robotic modules to using robot applications in cloud:

  1. 1) CSN:RMD registers robotic modules in the robotic module repository which is managed by CSP:RSP.
  2. 2) CSP:RSP runs robotic platform and prepare robot profile repository.
  3. 3) CSC:RSC develops the robot applications with robotic modules in robotic platform environment.
    1. A. CSC:RSC requests the robotic modules for certain robotic tasks.
    NOTE – CSP:RSP prepare the list of robot tasks for certain robotic tasks by gathering feedback or reports of its usages from both CSN:RMD and CSC:RSC.
    1. B. CSC:RSC designs the robot applications with using robotic platforms.
    2. C. CSC:RSC requests to test the performance of robot applications and package the developed applications.
  4. 4) CSC:RSC install robotics application.
| +| Role/Sub-role | CSN:RMD (CSN:Robotic Model Developer)
CSP:RSP (CSP:Robotics Service Provider)
CSC:RSC (CSC:Robotics Service Customer) | + +![Diagram illustrating the process of robot intelligence operation using RaaS in an industrial environment. The process involves four main steps: 1. Registering a robotic module with a profile to the CSP:RSP. 2. Purchasing robot arm equipment from CSN:RMP. 3. Testing the robotic module and robot operation. 4. Deploying and installing the robot application. The diagram shows the interaction between CSP:RSP, CSN:RMP, and CSC:RSC, along with a robotic module repository and a table of robotic module profiles.](aaf3e6e44cdeabd6d1df869c5f392ea1_img.jpg) + +Figure (optional) + +The diagram illustrates the process of robot intelligence operation using RaaS in an industrial environment. The process involves four main steps: + +- Register robotic module with profile (Step 1) +- CSC:RSC purchases robot arm equipment (Step 2) +- Test robotic module and robot operation (Step 3) +- Deploy and install robot application (Step 4) + +The diagram shows the interaction between CSP:RSP, CSN:RMP, and CSC:RSC, along with a robotic module repository and a table of robotic module profiles. + +< Robotic module profiles > + +| Model | Type | +|-----------------|-------------------------------| +| Controlled axis | N | +| Range of motion | 1-axis (turning) -180 ~ +180 | +| | 2-axis (lower arm) -60 ~ +120 | +| | ... | +| Maximum speed | 1-axis (turning) 136 | +| | 2-axis (lower arm) 139 | +| | ... | +| ... | ... | + +Y.3533(23) + +| | | +|----------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Pre-conditions (optional) | CSC:RSC purchases robot equipment from CSN:RMD.
CSN:RPD provide the robotic platform supporting compatibility of robotic modules.
CSP:RSP provide the computing resources for robotic platform | +| Post-conditions (optional) | CSC:RSC feedback the result of robot application deployment to CSP:RSP. | +| Derived requirements |
  • – Clause 8.1 items 1), 2), 3), 4), 5), 6)
  • – Clause 8.2 items 1), 2), 3), 4) 6)
  • – Clause 8.3 items 2), 3), 4), 5)
| + +Diagram illustrating the process of robot intelligence operation using RaaS in an industrial environment. The process involves four main steps: 1. Registering a robotic module with a profile to the CSP:RSP. 2. Purchasing robot arm equipment from CSN:RMP. 3. Testing the robotic module and robot operation. 4. Deploying and installing the robot application. The diagram shows the interaction between CSP:RSP, CSN:RMP, and CSC:RSC, along with a robotic module repository and a table of robotic module profiles. + +### I.2 Operation of robot intelligence using RaaS in the environment of an industrial roller conveyor with multi-gripper + +| | | +|---------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Operation of robot intelligence using RaaS in the environment of an industrial roller conveyor with multi-gripper. | +| Description |

This use case provides the industrial robot system with multiple grippers in a RaaS environment. The multiple grippers are used for supporting various objects in the real world. The robot intelligence may be required high amounts of resources to utilize the various types of grippers. It supports to control the multiple grippers in given conditions, for example, the two-finger gripper adapted to grip stick-shaped object such as screwdriver, but not to grip a flat object. Multiple grippers can support the various objects in the manufacturing industry. The gripping tasks are executed by the robot intelligence which is implemented by a machine learning algorithm in the cloud.

The following are the steps of robot intelligence processing for operating grippers with the real field data:

  1. 1) CSC:RSC connects multiple grippers of the robot to the robot intelligence in the cloud.
  2. 2) CSC:RSC transmits the object image data to CSP:RSP.
  3. 3) CSP:RSP executes and predicts the object and return the result of gripping plan.
  4. 4) CSP:RSP sends the gripper type and control message to CSC:RSC.
  5. 5) CSC:RSC executes the gripping tasks and return feedback to CSP:RSP.
  6. 6) CSP:RSP updates the gripping status of the robot with feedback.
| +| Role/Sub-role | CSP:RSP (Robotics service provider)
CSC:RSC (Robotics service customer) | + +| | | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure (optional) |

Image: Diagram of the CSP:RSP and CSC:RSC robotic system architecture. CSP:RSP (Robot intelligence processing) contains SW and processes object image data (1), object recognition (2), return gripping policy (3), and learning with feedback (6). CSC:RSC (Control and Safety) contains three grippers (flat, small, various shape) and a control unit. Data flow: (1) Object image data and (5) Feedback result go up to CSP:RSP; (4) Gripper and control information goes down to CSC:RSC.

CSP: RSP

Robot intelligence processing

② Object recognition
③ Return gripping policy
⑥ Learning with feedback

① Object image data
⑤ Feedback result

CSC: RSC

Gripper for flat object
Gripper for small object
Gripper for various shape

④ Gripper and control information

Y.3533(23)

| +| Pre-conditions (optional) |

CSN:RMD designs and publishes robotic model for the robot intelligence algorithm to using multiple gripper.

CSP:RSP runs the robotic platform for robot operations in advance.

| +| Post-conditions (optional) |

CSP:RSP computes the robot intelligence algorithms continuously until user's request to stop.

| +| Derived requirements |
  • – Clause 8.2 items 3), 4), 6), 7), 11)
  • – Clause 8.3 items 1), 2), 3), 6), 7), 9), 10), 11)
  • – Clause 8.4 items 1), 2), 3), 4), 5), 6), 7), 8), 10)
| + +### I.3 Enhancement of environment perception of a robot using RaaS + +| | | +|-------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Enhancement of environment perception of a robot using RaaS. | +| Description |

Environment perception aims to endow a robot capability of seeing and understanding its environment, such as being aware of the nearby objects with locations and size. It is a fundamental step for further robotic tasks in robot system. The key technologies of environment perception usually involve image segmentation, object detection, etc., which is suitable to be implemented in the cloud. The interactions of using RaaS service for this use case include the following steps:

  1. 1) CSN:RMD develops perception SW of robotic module and register to the CSP:RSP. CSP:RSP validates and stores the robotic module.
  2. 2) In the process of developing a robot with environment perception capability, CSC:RSC obtain the environment perception module from CSP:RSP.
| + +| | | +|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

3) CSC:RSC acquires data from robot sensors such as 2D camera, 3D camera or 3D Lidars, and runs the environment perception modules to analyse the data. Calibration method for data might also be needed according to the image data provided by CSP:RSP.

4) CSC:RSC performs testing the environment perception of robot in test suite designed by CSN:RPD.

5) After completing the test, CSC:RSC integrates the environment perception module into robot system by using packaging library from CSP: RSP.

| +| Role/Sub-role |

CSN:RMD (CSN:Robotic model developer)

CSN:RPD (CSN:Robotic platform developer)

CSP:RSP (CSP:Robotics service provider)

CSC:RSC (CSC:Robotics service customer)

| +| Figure (optional) |

Image: Flowchart illustrating the process of developing and testing a robot system with a fine-tuning navigation module. The process involves four main entities: CSN: RMD, CSP: RSP, Robot, and CSC: RSC. 1. CSN: RMD uploads the developed robotic module to CSP: RSP. 2. CSP: RSP obtains the robotic module from CSC: RSC. 3. The Robot collects data from its sensors and sends it to CSC: RSC. 4. CSC: RSC tests the environment perception module with data from the robot and sends the results back to CSP: RSP, who then runs and executes the perception process.

 graph TD     CSN_RMD[CSN: RMD] -- "1. Upload the developed robotic module" --> CSP_RSP[CSP: RSP]     CSP_RSP -- "2. Obtain the robotic module" --> CSC_RSC((CSC: RSC))     Robot((Robot)) -- "3. Data collected by sensors" --> CSC_RSC     CSC_RSC -- "4. Test the environment perception module with the data from robot" --> CSP_RSP     CSP_RSP -- "4. Run and execute the perception process" --> CSP_RSP

Y.3533(23)

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements |
  • – Clause 8.1 items 1), 2), 3), 4), 5), 7), 8), 9), 10), 11)
  • – Clause 8.2 items 1), 2), 4), 5), 7), 8), 9), 11), 12)
  • – Clause 8.3 items 1), 2), 3), 6), 7), 9), 10), 11)
| + +### I.4 Developing and testing a robot system with a fine-tuning navigation module + +| | | +|-------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Developing and testing a robot system with a fine-tuning navigation module. | +| Description |

This use case provides the developing and testing related functions of RaaS. The CSC:RSC wants to develop the delivery robots which requires navigation systems for achieving the robotic task. CSC:RSC search the navigation module and fine-tune it in the RaaS environment. The CSC:RSC builds the robotic system which executes the go-to-delivery task by composing some HW and SW modules from the robotic module repository. The robot simulator simply executes the robot system only for testing the navigation task with virtual robot representation.

The following are the summarized steps of developing and testing robot system:

  1. 1) CSC:RSC searches the HW and SW modules for composing a delivery robot system in robotic module repository.
  2. 2) CSC:RSC requests related robotic modules including path planning module, and mobility control module for developing navigation module.
  3. 3) CSP:RSP provides the robot simulator for developing and testing to CSC:RSC
  4. 4) CSC:RSC configures gathered modules and tunes the composed modules to derive expected navigation task.
| + +| | | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

5) CSP:RSP provides the virtual representations of robot which is abstracted HW parts with physical engines for virtual world which is designed by CSN:RPD.

6) CSC:RSC tests their robot system with monitoring the implementations of navigation, and get the log of test results from CSP:RSP.

| +| Role/Sub-role |

CSN:RPD (CSN:Robotic platform developer)

CSP:RSP (CSP:Robotics service provider)

CSC:RSC (CSC:Robotics service customer)

| +| Figure (optional) |

Image: Diagram of the robot simulation system architecture. The central component is the 'Robot simulator' box, which contains a 'Virtual representation of robot' and a 'Virtual representation of real-world' (represented by house icons). To the left of the simulator is a folder icon representing data storage. To the right, there are three main components: 'CSN: RMD' (Robot in real world) which provides 'Abstracted HW' to a 'Robotic module repository' (database icon); 'CSN: RPD' (Path planning library) which provides a path planning map; and 'CSP: RSP' which interacts with the simulator. Arrows show data flow from the real world and path planning library into the simulator, and from the simulator to the RMD. A reference 'Y.3533(23)' is noted at the bottom right of the diagram area.

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements |
  • – Clause 8.1 items 1), 2), 5), 6), 7), 10)
  • – Clause 8.2 items 1), 2), 4), 6), 7), 8), 9), 10), 11), 12)
| + +### 1.5 Deployment of the distributed robots using RaaS & cloud service + +| | | +|-------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Deployment of the distributed robots using RaaS and cloud service. | +| Description |

In this use case, the multiple robots are distributed across multiple locations. The robot intelligence for the robots is trained by collected data in different locations. The CSC:RSC can update their robot intelligence without stopping their robot operations by using RaaS. The following are specific procedures for updating and deploying robot intelligence:

  1. 1) CSC:RSC collects the raw data from their robots including sensor data, motor data, and related data.
  2. 2) CSC:RSC send the raw data to CSP:RSP for training their robot intelligence which is previously deployed in the cloud.
  3. 3) CSP:RSP performs the data pre-processing including data cleaning, and labelling with machine learning application in cloud service.
    1. A. CSP:RSP requests labelling task to CSN:data provider which is the sub-role of machine learning service in cloud.
    2. B. CSN:DP provides labelled data to CSP:RSP.
  4. 4) CSP:RSP trains robot intelligence with the labelled data from CSN:data provider.
  5. 5) CSP:RSP updates robot intelligence and versioning the model.
| + +| | | +|----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

6) CSP:RSP deploys robot intelligence when the request is occurred from CSC:RSC.

A. CSC:RSC requests the updated models to CSP:RSP.

B. CSP:RSP deploys the updated models to CSC:RSC with over-the-air mechanism.

C. CSC:RSC operates the updated model in their robots.

| +| Role/Sub-role |

CSN:data provider

CSP:RSP (CSP:Robotics Service Provider)

CSC:RSC (CSC:Robotics Service Customer)

| +| Figure (optional) |

Image: Diagram illustrating the architecture and data flow for CSP:RSP. The diagram shows a central CSP box (CSP:Robotics Service Provider) with internal steps 3. Data pre-processing and 4. Training robot intelligence. Above CSP is CSN: DP (CSN:data provider). Below CSP are three CSC boxes (CSC:Robotics Service Customer): CSC 1, CSC 2, and CSC 3. Each CSC box is connected to one or more robots. Data flow is as follows: 1. Sensing data (Raw data) from robots to CSC 1; 2. Collected data for training from CSC 1 to CSP; 3-A. Request labelling from CSP to CSN: DP; 3-B. Labelled data from CSN: DP to CSP; 5-A. Requests updated robot intelligence model from CSP to CSC 1, CSC 2, and CSC 3; 5-B. Updated robot intelligence model from CSP to CSC 1, CSC 2, and CSC 3; 5-C. Deploy updated robot intelligence model from CSP to CSC 1, CSC 2, and CSC 3. The diagram is labeled Y.3533(23) at the bottom right.

Y.3533(23)

| +| Pre-conditions (optional) | CSP:RSP provides the functionalities of machine learning as a service for the RaaS service. | +| Post-conditions (optional) | | +| Derived requirements |
  • – Clause 8.2 items 4), 8), 9)
  • – Clause 8.3 items 1), 2), 3), 4), 5), 6), 7), 9), 11)
  • – Clause 8.4 items 1), 2), 3), 4), 6)
| + +### I.6 Extension of robot system with adding robotic modules + +| | | +|----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Extension of a robot system by adding robotic modules | +| Description |

CSC:RSC wants to extend their delivery robot to have additional abilities to grip the objects and load the objects. Rather than developing the new robotic module for gripping, the CSC:RSC searches the pre-designed robotic modules for new abilities in the robotic module repository. The CSC:RSC finds the gripper control module and gripping policy module. The CSC:RSC then integrates them into their delivery robot system manager as they are already deployed in the robot. The input/output data and proper interfaces for new modules are provided by CSP:RSP for executing the newly updated gripping task.

After validating the extended robotic task in the robot, CSC:RSC reports the reviews of newly updated capabilities of gripper control module to CSP:RSP. The CSP:RSP feed them back to the CSN:RMD who have the authority of that module.

| +| Role/Sub-role |

CSN:RMD (CSN:Robotic model developer)

CSN:RPD (CSN:Robotic platform developer)

CSP:RSP (CSP:Robotics service provider)

CSC:RSC (CSC:Robotics service customer)

| +| Figure (optional) |

Image: Diagram illustrating the extension of a robot system. A 'Moving robot system' box contains 'Navigation module', 'Object detection module', 'Mobility control module', 'Path planning module', 'Image sensor module', and 'Wheel control module'. An arrow labeled 'Capability extension' points to a 'Delivery robot' box. The 'Delivery robot' box contains 'Gripper control module' and 'Gripping policy module'. A 'Robotic module repository' (database icon) provides input to both the 'Gripper control module' and the 'Gripping policy module'. The 'Robotic module repository' is labeled 'Y.3533(23)'.

The diagram shows a 'Moving robot system' box with internal modules: Navigation module, Object detection module, Mobility control module, Path planning module, Image sensor module, and Wheel control module. An arrow labeled 'Capability extension' points from this system to a 'Delivery robot' box. The 'Delivery robot' box contains 'Gripper control module' and 'Gripping policy module'. A 'Robotic module repository' (represented by a database icon) provides input to both the 'Gripper control module' and the 'Gripping policy module'. The repository is labeled 'Y.3533(23)'.

| +| Pre-conditions (optional) |

The CSC:RSC builds the robot system in advance with the proper format which is compatible with the format in the RaaS environment.

The CSN:RPD provides the proper interface and input/output data to control the robotic modules.

| +| Post-conditions (optional) | The CSP:RSP provides the testing suites for the extended robotic task for CSC:RSC. | +| Derived requirements |
  • – Clause 8.1 items 1), 2), 4), 6), 8), 9), 10)
  • – Clause 8.2 items 1), 2), 4), 5), 6), 7), 8), 9), 10), 12)
  • – Clause 8.3 items 9), 10)
| + +### I.7 Fine-tuning of robotic modules with recalibration in RaaS service + +| | | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Fine-tuning of robotic modules with recalibration in RaaS service | +| Description |

This use case describes how CSC:RSC use the calibration software provided by CSP:RSP to fine-tune their robots. In this use case, the robot of CSC:RSC calculates the relative position and direction of arms with cameras, so that the robot can accurately locate objects and plan their operation routes through the equipped cameras.

In this use case, the robot of CSC:RSC needs to calculate accurate position and direction of arms with the conditions gathered by cameras. However, the deployed robot is not accurate enough to grip the object correctly. The CSC:RSC recalibrates the robot by using the calibration library provided by CSP:RSP in the cloud. This use case includes the following steps:

  1. 1) CSC: RSC prepares a calibration board and places it in an appropriate position;
  2. 2) CSC: RSC sends a message to the cloud indicating the start of the calibration process;
  3. 3) CSC: RSC moves the arm and takes photos of the calibration board in different positions and directions;
  4. 4) CSC: RSC sends photos of the arm and corresponding posture (position and direction) to the cloud;
  5. 5) CSP: RSP runs calibration library using data provided by CSC:RSC;
  6. 6) CSP: RSP returns the calibration results to CSC:RSC;
  7. 7) CSP: RSP stores the results that will be used for further operations.
| +| Role/Sub-role | CSN:RMD (CSN:Robotic model developer)
CSN:RPD (CSN:Robotic platform developer)
CSP:RSP (CSP:Robotics service provider)
CSC:RSC (CSC:Robotics service customer) | +| Figure (optional) |

Image: Diagram illustrating the calibration process between CSP:RSP and CSC:RSC. CSP:RSP (represented by a person icon and 'Calibration tool') sends 'Photo and arm pose data' to CSC:RSC (represented by a robot arm icon and 'Calibration board'). CSC:RSC then sends a 'Calibration result' back to CSP:RSP. The diagram also includes the text 'Execute arm and camera calibration' and 'Move arm to different pose and take photos'. A reference code Y.3533(23) is at the bottom right.

The diagram shows the interaction between CSP:RSP and CSC:RSC during the calibration process. CSP:RSP, represented by a person icon and the label 'Calibration tool', initiates the process by sending 'Photo and arm pose data' to CSC:RSC. CSC:RSC, represented by a robot arm icon and a 'Calibration board', performs the 'Move arm to different pose and take photos' step. The resulting 'Calibration result' is then sent back to CSP:RSP. The process is also labeled 'Execute arm and camera calibration'. A reference code 'Y.3533(23)' is located at the bottom right of the diagram.

| +| Pre-conditions (optional) | The robot of CSC:RSC is equipped with cameras which have sensors of depth and RGB stream. | +| Post-conditions (optional) | | +| Derived requirements |
  • – Clause 8.1 items 1), 2), 5), 7), 8), 11)
  • – Clause 8.2 items 1), 2), 4), 5), 6), 8), 11), 12)
| + +### I.8 Remote control and offloading robots in a cloud environment via network + +| | | +|---------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Remote control and offloading robots in a cloud environment via network | +| Description |

In this use case, the CSC:RSC controls robots remotely and offload robot intelligence in a cloud environment when a network connection is supported between robots and cloud. The CSP:RSP supports access to the robots from anywhere with an Internet connection.

The CSC:RSC utilizes cloud resources to implement advanced intelligence models, such as large-scale language models. Due to resource constraints within the robot, the CSC:RSC offloads tasks to the cloud to leverage its computing capabilities.

The figure shows an example of the remote control and offloading robot with chat systems. The following flow is an execution of the robot chat systems with RaaS service.

  1. 1) CSN:RMD develops high-scale language models with massive amount of data and register it in robotic module repository.
  2. 2) CSP:RSP provides high-scale language models to CSC:RSC with appropriate amount of computing resources.
  3. 3) CSP:RSP operates the language models in real-time with network connection.
  4. 4) The robots chat with the robots which are deployed by the CSC:RSC.
  5. 5) CSC:RSC encrypt the message data of robots and send it to the CSP:RSP for a response of chat.
  6. 6) CSP:RSP generates the response and feedback message data to the CSC:RSC.
  7. 7) CSC:RSC response the chat to the user of robot.

The security and privacy issues using cloud-based controlling is described in the execution. The privacy sensitive data may be transmitted over the internet. CSP:RSP should ensure the reliable and secure RaaS service by supporting encryption of data. CSP:RSP should prevent any disruption which affect the operation of the robots.

| +| Role/Sub-role |

CSN:RMD (CSN:Robotic model developer)

CSN:RPD (CSN:Robotic platform developer)

CSP:RSP (CSP:Robotics service provider)

CSC:RSC (CSC:Robotics service customer)

| +| Figure (optional) |

Image: Diagram illustrating the remote control and offloading of robots in a cloud environment via network. The diagram shows the flow of data and control between CSN:RMD, CSP:RSP, and CSC:RSC, involving learning, model development, and chat interactions.

The diagram illustrates the remote control and offloading of robots in a cloud environment via network. It shows the flow of data and control between CSN:RMD, CSP:RSP, and CSC:RSC, involving learning, model development, and chat interactions.

CSN: RMD (CSN:Robotic model developer) is shown on the left, with a box labeled "Learning" and a globe icon. Below it, text states: "1. CSN: RMD develops high-scale language models with massive amount of data".

CSP: RSP (CSP:Robotics service provider) is shown on the right, with a box containing a gear icon and a cloud icon. Below it, text states: "2. CSP: RSP provides high-scale language models to CSC: RSC in cloud environments with appropriate amount of computing resources" and "3. CSP: RSP operates the language models in real time with network connection".

CSC: RSC (CSC:Robotics service customer) is shown at the bottom, with two robot icons labeled "CSC: RSC #1" and "CSC: RSC #2". Below them, text states: "4. End-users of robots chat with the robots which are deployed by the CSC: RSC", "5. CSC: RSC encrypt and send the message data from end-users to the CSP: RSP for a response of chat", "6. CSP: RSP generates the response and feedback message data to the CSC: RSC", and "7. CSC: RSC response the chat to the end-users".

Arrows indicate the flow of data and control: from CSN:RMD to CSP:RSP, from CSP:RSP to CSC:RSC, and from CSC:RSC to CSP:RSP. A double-headed arrow connects the robots to the CSP:RSP box, labeled "Encrypted message data".

Y.3533(23)

| +| Pre-conditions (optional) | The CSP:RSP provide IDE to develop high-scale language models for CSN:RSD. | + +| | | +|-------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Post-conditions
(optional) |

The CSP:RSP provides the flexible computing resource capabilities for adopting the upgrade of the language models.

The CSN:RMD supports to manage and update the language models to upgrade its performance of quality.

| +| Derived requirements |
  • – Clause 8.1 items 1), 2), 4), 7), 9), 10), 11)
  • – Clause 8.2 items 3), 4), 5), 11)
  • – Clause 8.3 items 1), 2), 3), 4), 5), 6), 11)
  • – Clause 8.4 items 1), 2), 3), 4), 5), 8), 9), 10)
| + +## Appendix II + +## Use case of robotics as a service for application perspective + +(This appendix does not form an integral part of this Recommendation.) + +Appendix II includes a few examples of RaaS in different applications or industrial domains. The specific functional requirements in each domain will vary depending on the type of application, deployment of the robots, or robot regulations in each industrial domain. In the RaaS, the mandatory and optional requirements vary based on the conditions of the operation environment. + +### II.1 Operations of robots with cloud and network connectivity in warehouse environment + +| | | +|---------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Operations of robots with cloud and network connectivity in warehouse environment | +| Description |

This use case describes operations of robots in warehouse environment. The operations of robots are supported by robotic platform and RaaS services with network connection, which include the computational processing of robot's movement through the cloud. In this use case, robots of CSC:RSC are connected with the network and the CSP:RSP supports the low latency services for normal robot operation. The overall computation of the execution for the tasks are processed by the computational resources in the cloud. In this scenario, the robots allocated in the warehouse are only equipped with sensors, actuators and minimal hardware enabling them to receive commands from the cloud and transmit sensor data to the cloud.

The figure shows the overall flows of this scenario. The CSC:RSC have some industrial requirements for robot operations and the CSN:RPDs develop and publish appropriate tools and libraries for the requirements. In this use case, the following tools and libraries for robotics are considerable as examples:

  • • Real-time task allocation library: The data collected by the robots are sent to the cloud for processing. The robot performs algorithms to analyse the data and provide real-time commands or control messages for each deployed robot.
  • • Centralized monitoring tool: The centralized monitoring is provided to control the robots. Real-time analytics are used to monitor the performance of the robots, identify opportunities for improvement, and make adjustments as needed.
  • • Fleet control library: The centralized control and monitoring enables the effective fleet control. This includes tracking the location and status of each robot, as well as assigning tasks and optimizing routes based on real-time environment.
  • • Resource and cost optimization library: By analysing data on demand, the library is used for optimizing resource allocation to minimize waste of operational costs.
| +| Role/Sub-role | CSN:RMD (CSN:Robotic model developer)
CSN:RPD (CSN:Robotic platform developer)
CSP:RSP (CSP:Robotics service provider)
CSC:RSC (CSC:Robotics service customer) | + +| | | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure (optional) |

Image: Diagram of a cloud-based robotic system architecture. A cloud labeled 'CSP: RSP' contains a 'Middleware for robot operation' box with four sub-components: 'Real-time task allocation', 'Fleet control', 'Centralized monitoring', and 'Resource and cost optimization'. An arrow labeled 'Command and control' points from the cloud to a robotic arm assembly on a conveyor belt. An arrow labeled 'Monitoring results' points from the robotic arm assembly to a worker icon labeled 'CSC: RSC'. A double-headed arrow labeled 'Service scenarios and industrial requirements' connects the worker icon to a developer icon labeled 'CSN: RPD'. An arrow labeled 'Publish, maintain, and update robotic tools and libraries' points from the developer icon back to the cloud. The identifier 'Y.3533(23)' is in the bottom right corner.

CSC: RSC CSN: RPD Y.3533(23)
| +| Pre-conditions (optional) | The CSP:RSP provides a network connection to the CSC:RSC and supports enough network latency for operating robots in real-time. | +| Post-conditions (optional) | The performance of the robots in the warehouse is monitored, and the tasks are performed more efficiently or the operational costs are optimized. | +| Derived requirements |
  • – Clause 8.2 items 3), 4), 5), 10), 11)
  • – Clause 8.3 items 1), 2), 3), 4), 5), 7), 8), 9), 10), 11)
  • – Clause 8.4 items 1), 2), 3), 4), 5), 6), 7), 8), 9), 10)
| + +### **II.2 Medical robot software development on the cloud environment** + +| | | +|-------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Medical robot software development on the cloud environment | +| Description |

This use case provides the development scenario for medical robot software in the cloud environment. In this use case, the user of the robot is a doctor who wants to deploy and perform remote surgery with a robot.

In this use case, CSP:RSP supports the following functionalities or services through the cloud:

  • • Medical robot HW modules: The IDE on the cloud supports tools for utilizing the HW modules for medical robots. This can include 3D-designed simulation tools, and specialized command or control of medical sensors.
  • • Medical SW modules: The IDE also includes tools and resources for developing SW modules for medical robots. This can include programming languages and libraries, as well as specialized software for medical imaging and analysis.
  • • Realistic virtual testing environment: To simulate the operation of medical robot SW before final publishing, the CSC:RSC test their SW in a realistic virtual testing environment. This can include virtual models of medical environments, such as surgical rooms or patient wards, as well as simulation software to check the safety issues.
  • • Medical data analysis: The cloud service for collecting and analysing medical data can be provided. This can include machine learning algorithms specialized in medical data analysis. Real-time support is possible if the user requests the service.

By leveraging these IDE functionalities developers can easily design, develop and test medical robot SW such as medical data sensing SW, medical robot control SW and medical robot grip SW. The user of medical robots can utilize these SW modules for operating medical robots.

| + +| | | +|----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Role/Sub-role | CSN:RMD (CSN:Robotic model developer)
CSN:RPD (CSN:Robotic platform Developer)
CSP:RSP (CSP:Robotics service provider)
CSC:RSC (CSC:Robotics service customer) | +| Figure (optional) |

Image: Diagram illustrating the medical robot system architecture. It shows a cloud environment labeled 'CSP: RSP' containing an 'IDE for robotics' with modules for 'Medical robot HW modules', 'Medical SW modules', 'Realistic virtual testing environment', and 'Medical data analysis'. Below the cloud, 'Medical data sensing SW', 'Medical robot control SW', and 'Medical robot grip SW' are shown. These connect to 'Robot SWs for medical'. A 'Robot customer' is shown interacting with a medical robot, which is connected to the cloud via 'Medical robot SWs'. The 'Robot customer' also provides 'Service scenarios and industrial requirements' to the 'CSC: RSC'. The 'CSC: RSC' then 'Develops robotics software through IDE in cloud'. The diagram is labeled Y.3533(23) at the bottom right.

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements |
  • – Clause 8.1 items 1), 3), 4), 5), 7), 8), 9), 11)
  • – Clause 8.2 items 1), 2), 3), 4), 5), 6)
  • – Clause 8.3 items 1), 2), 3), 4), 5), 7), 8), 9)
| + +### II.3 Operating agriculture robot system with cloud management + +| | | +|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Operating agriculture robot system with cloud management | +| Description |

This use case describes operations of a robot system in an agricultural environment with cloud management. In this use case, the CSC:RSC who operates farming robots considers potential network failures caused by weather or obstacles, so the CSC:RSC deploys the robot system in a way that allows the robot to operate independently without network connections. The robots of CSC:RSC can be freely located in farms or forests to harvest or manage crops. The robots automatically transmit collected data to the cloud when a network connection is available, and the cloud also deploys updated robot systems to the robots via a maintenance service.

The figure illustrates this scenario. The CSN:RMD develops and publishes robotic modules for agriculture and harvesting robots. The CSC:RSCs utilize these robotic modules in their robots and manage them using the cloud environment. CSP:RSP supports robot management. The following are the robotic modules provided by CSP:RSP:

  • • Crop harvesting module: Crop harvesting module is operated with sensors and cameras navigate through the fields to collect data on crop growth and health. The data are sent to the cloud for analysing the information of crop status for improving efficiency or making decision for harvest.
  • • Trouble shooting module: The trouble shooting module monitors the performance of the robots and detect errors or malfunctions, such as battery life or sensor failures. When an error or problem is detected, the management system can send alerts and notifications to farmers to troubleshoot and resolve issues.
| + +| | | +|----------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • • Fleet control module: The fleet control provides centralized control and monitoring of the robot fleet, including tracking the location and status of each robot and optimizing routes based on collected data. This enables operators to allocate and assigns tasks to the robots more efficiently.
  • • Robot maintenance module: The maintenance provides software updates to the robots, ensuring the robot can adopt the latest technology and algorithms.
| +| Role/Sub-role | CSN:RMD (CSN:Robotic model developer)
CSN:RPD (CSN:Robotic platform developer)
CSP:RSP (CSP:Robotics service provider)
CSC:RSC (CSC:Robotics service customer) | +| Figure (optional) |

Image: Diagram of the robotic service architecture showing the interaction between a farmer, a robotic module repository, and various roles.

The diagram illustrates the robotic service architecture. At the top, a cloud labeled 'CSP: RSP' contains a 'Robotic module repository' with four modules: 'Crop harvesting module', 'Trouble shooting module', 'Fleet control module', and 'Robot maintenance module'. Below the cloud, a farmer icon labeled 'CSC: RSC' is shown. An arrow labeled 'Upgrade farming robot' points from the farmer to a field scene where a tractor is working. Another arrow labeled 'Store result data and manage robots' points from the field scene to the 'Robotic module repository'. A third arrow labeled 'Service scenarios and agricultural requirements for robotic modules' points from the farmer to a developer icon labeled 'CSN: RMD'. A fourth arrow labeled 'Publish and manage robotic modules' points from the developer icon to the 'Robotic module repository'. The text 'Robotic modules' is also present near the repository. The identifier 'Y.3533(23)' is located in the bottom right corner of the diagram area.

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements |
  • – Clause 8.1 items 1), 3), 4), 5), 10), 11)
  • – Clause 8.2 items 1), 2), 3), 4), 5), 6), 7), 8), 9), 11)
  • – Clause 8.3 items 1), 2), 3), 4), 5), 7), 8), 9), 10), 11)
  • – Clause 8.4 items 1), 2), 3), 4), 5), 6), 7), 8), 9), 10)
| + +# Appendix III + +## Technical Concepts of modularity, virtualized simulation environment and robotic system deployment in robotics + +(This appendix does not form an integral part of this Recommendation.) + +Appendix III is provided to support the conceptual understanding of robotics and related terms associated to robotic modules, systems and platforms. + +### III.1 Robotic modules and modularity in robotics + +Robot development is an integrated technology that combines various complex technologies including hardware design, system control, machine learning and others. The development of each technology may need expertise in various fields belonging to separate research domains. Modular-based development has many advantages such as: + +- Faster time for developing; +- Reduced costs with re-usability; +- Safety benefits with standardizations; +- Higher collaboration; +- Improved manageability. + +NOTE 1 – Cloud-computing can support the advantages of modular-based robotics with composed services and resources. + +The term "module" in a general sense refers to a part of a system, particularly in the context of software or hardware. It is a unit that performs a specific function and can operate independently, but which is designed to work as a part of a larger system. Modules make systems easier to manage and understand, as each module can be developed, replaced or updated independently. In ITU, a "module" is not defined on its own but in many domains including software module, security module, battery module, and others. + +A "robotic module" specifically refers to a module that is a part of a robotic system. This could be a hardware, such as an actuator, sensor or manipulator, that contributes to the robot's physical capabilities, or software, such as a control algorithm or data processing routine, that contributes to the robot's abilities. + +In robotics, robotic modules provide the configurations of the hardware and software aspects with the information including the types of modules, their manufacturer and the connectors or interfaces. + +NOTE 2 – In [b-ISO 22166-1] and [b-ISO 22166-201], module and related terms are defined without 'robotic'. The terms are defined as: + +- **Module** [b-ISO 22166-201]: component or assembly of components with defined interfaces accompanied with property profiles to facilitate system design, integration, interoperability, and re-use +- **SW module** [b-ISO 22166-201]: module whose implementation consists purely of programmed algorithms +- **HW module** [b-ISO 22166-201]: module whose implementation consists purely of physical parts, including mechanical parts, electronic circuits and any software, such as firmware, not externally accessible through the communication interface +- **HW-SW module** [b-ISO 22166-201]: Module whose implementation consists of physical parts, including mechanical parts and electronic circuits, and any software that is accessible through the communication interface + +The modular framework shall design and define the robotics service in the virtualized environment for simulating the robot behaviours. The module-based framework may support the reusability, interoperability and composability of the modules with well-defined operation mechanism, communication protocols, interfaces with supporting data types. Those aspects are shared and exchanged with the profiles including the values of module properties. The module properties shall be defined for proper execution. + +![Figure III.1: A conceptual configuration for module-based robotics service of delivery robot. The diagram shows a hierarchical structure. At the top is a box labeled 'Delivery robot system'. Below it, three boxes are connected: 'GPS module', 'Object detection module', and 'Mobility control module'. The 'Object detection module' is connected to a 'Path planning module' below it. The 'Mobility control module' is connected to two boxes below it: 'Gripper control modules' (with a '2' indicating two instances) and 'Wheel control module'. A small robot icon is shown to the right of the 'Mobility control module'. The text 'Y.3533(23)' is at the bottom right.](70a863dc6cd47bac82c12162a9479aac_img.jpg) + +``` + +graph TD + DRS[Delivery robot system] --> GPS[GPS module] + DRS --> ODM[Object detection module] + DRS --> MCM[Mobility control module] + ODM --> PPM[Path planning module] + MCM --> GCM[Gripper control modules] + MCM --> WCM[Wheel control module] + GCM --- Two[2] + +``` + +Y.3533(23) + +Figure III.1: A conceptual configuration for module-based robotics service of delivery robot. The diagram shows a hierarchical structure. At the top is a box labeled 'Delivery robot system'. Below it, three boxes are connected: 'GPS module', 'Object detection module', and 'Mobility control module'. The 'Object detection module' is connected to a 'Path planning module' below it. The 'Mobility control module' is connected to two boxes below it: 'Gripper control modules' (with a '2' indicating two instances) and 'Wheel control module'. A small robot icon is shown to the right of the 'Mobility control module'. The text 'Y.3533(23)' is at the bottom right. + +**Figure III.1 – A conceptual configuration for module-based robotics service of delivery robot** + +Figure III.1 shows a conceptual configuration of modules with hardware and software aspects for implementing a delivery service robot. Its main behaviours may be the following: + +- Recognize the commands from authorized individuals; +- Move to the specific desired location; +- Identify objects and avoid potential hazards during travel. + +To execute both behaviours, the SW modules and the HW modules for a delivery service robot are classified into an identification module, data exchange modules, a security module, a navigation module, an obstacle avoidance module, a safety module, and mobility control modules. + +The identification module consists of a personal identification module for face recognition of authorized individuals and an object identification module for recognizing safety-related objects. The data exchange module is used to exchange data among the delivery robot, servers and other robots as appropriate. The commands are encrypted and can be delivered and read by modules having the correct authority provided by a security module. The navigation module consists of a mapping module, a localization module and a path scanning module to control the mobility and check the path and obstacles. The safety module manages the hazards faced by the robot, including security risk considerations. The mobility control modules are HW modules for controlling the four actuators in the wheel modules. + +### III.2 Virtual robot representation + +The virtual robot representation is a replicated world used for developing robot applications due to the limitation of robot hardware availability. For training robot behaviour, the iterative tests and validations are performed. If the engineer tests their robots in the real world, damage to the robot may occur during the testing process, and too much time is consumed in performing even a single-task. Therefore, testing a robot in the real world without simulation requires enormous resources in cost and time. + +To replicate the real world in a virtual representation, the robot simulator supports the 3D-models of objects or robots, physics engine with mathematical representations, and a 3D-rendering engine with realistic movements with graphics. The following are the explanation and example of each component for simulator: + +- 3D-Models: Mathematical representations of an object's physical body in 3D-space; +NOTE 1 – Examples of 3D-models formats are standard digital format (SDF), unified robot description format (URDF), etc. +- Physics engine: Realistic movements with mathematical representations; +NOTE 2 – Examples of physics engine are ODE, Bullet Simbody, etc. +- 3D rendering engine: Graphics for the environments. +NOTE 3 – An example of engine for 3D rendering is the object-oriented graphics rendering engine (OGRE). + +### **III.3 Robot system deployment: robot-server architecture** + +Server-client (or client-server) architecture refers to a design paradigm where robots (clients) request services from a central server. In this architecture, the server hosts and manages the resources, services and information that the robots (clients) need in order to function. This server-client architecture provides the following benefits: + +- Scalability: As the number of robots increases, more servers can simply be added or existing ones upgraded. +- Centralized management: It is easier to manage and maintain the robots as all updates, configurations and data management can be done centrally. +- Cost reduction: By offloading computation to the server, the robots can be built with less expensive hardware. +- Flexibility: It is easier to upgrade or modify the system as most changes can be done on the server side without having to physically modify the robots. + +The server-client (robot) architecture is an efficient design paradigm that can enhance the scalability, manageability and cost-effectiveness of robot systems. However, it also comes with challenges, like ensuring reliable and fast network connections, handling server resources and managing security. + +The deployment of robot systems with server-client architecture is flexible depending on the specific application and use case. Two conceptual deployment types of examples are provided for operations of robot systems. + +In deployment example I, only sensors and actuators remain in the robots and other computational resources are offloaded to the server. All the applications and operations are processed in the server and the commands and control messages are transmitted to the robot via the network. The robot enables to perform complex tasks by leveraging cloud resources such as machine learning-based algorithms. + +In deployment example II, the robot is physically located in any environment with enough computational resources to process on-board robot systems. The software and management system are updated over-the-air (OTA) which is served by the server, and the collected data which are sent for robot systems are stored in the server storage via the network. + +**Table III.1 – Deployment examples of server-client architecture of robotic system** + +| | Deployment example I | Deployment example II | +|-------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Physical deployment architecture |

Relatively high amount of resources in cloud

Diagram of Deployment example I: A cloud contains a neural network, server racks, and data disks. Below the cloud, a factory floor has robotic arms. An arrow labeled 'Command and control message' points from the cloud to the robots, and an arrow labeled 'Sensor data' points from the robots to the cloud.

Only sensors and actuators remain in the real field
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|

Relatively low amount of resources in cloud

Diagram of Deployment example II: A cloud contains a server rack and a database. Below the cloud, a house icon is labeled 'Robot systems or applications' and a mobile robot icon is labeled 'On-boarding robot operation'. Arrows show data flow between the cloud and the robot.

On-boarding robot operation
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| +| Resources for robot systems | Computational resource for command and control is offloading in the cloud including data storage and operation system. | Data storage and management system are used. | +| Scalability changing for offloading | High demand for scalability changing to compute the robot task in cloud. | Less scalability changing is expected such as data storage for back-up storage | +| Network connection supports | The network latency affects the robot's performance. Even the physical location of the robot is restricted under the coverage of network. | Remote management such as monitoring of robot system is supported by network connection. The network capability only needs to update the data of robots or manage their on-board robot systems. | + +# Bibliography + +- [b-ITU-T X.1601] Recommendation ITU-T X.1601 (2015), *Security framework for cloud computing*. +- [b-ITU-T X.1631] Recommendation ITU-T X.1631 (2015) | ISO/IEC 27017:2015, *Information technology – Security techniques – Code of practice for information security controls based on ISO/IEC 27002 for cloud services*. +- [b-ITU-T Y.2201] Recommendation ITU-T Y.2201 (2011), *Requirements and capabilities for ITU-T NGN*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2009), *Security requirements for NGN release 1*. +- [b-ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014), *Information technology – Cloud computing – Overview and vocabulary*. +- [b-ITU-T Y.3531] Recommendation ITU-T Y.3531 (2020), *Cloud computing - Functional requirements for machine learning as a service*. +- [b-ISO 8373] International Standard ISO 8373:2021, *Robotics – Vocabulary*. +- [b-ISO 10218-2] International Standard ISO 10218-2:2011, *Robots and robotic devices – Safety requirements for industrial robots – Part 2: Robot systems and integration*. +- [b-ISO 12100] International Standard ISO 12100:2010, *Safety of machinery – General principles for design – Risk assessment and risk reduction*. +- [b-ISO 13482] International Standard ISO 13482:2014, *Robots and robotic devices – Safety requirements for personal care robots*. +- [b-ISO 22166-1] International Standard ISO 22166-1:2021, *Robotics – Modularity for service robots – Part 1: General requirements*. +- [b-ISO 22166-201] International Standard ISO 22166-201:2024, *Robotics – Modularity for service robots – Part 201: Common information model for modules*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3535-202202-I_PDF-E/106404c26bd0d9c15c7b8546bc776a91_img.jpg b/marked/Y/T-REC-Y.3535-202202-I_PDF-E/106404c26bd0d9c15c7b8546bc776a91_img.jpg new file mode 100644 index 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NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Cloud Computing + +# --- **Cloud computing – Global management framework of distributed cloud** + +Recommendation ITU-T Y.3538 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|------------------------|----------------------| +| CLOUD COMPUTING | Y.3500–Y.3599 | +|------------------------|----------------------| + +| | | +|----------|---------------| +| BIG DATA | Y.3600–Y.3799 | +|----------|---------------| + +| | | +|-----------------------------------|---------------| +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +|-----------------------------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.3538 + +# Cloud computing – Global management framework of distributed cloud + +## Summary + +Recommendation ITU-T Y.3538 introduces the framework and functional requirements for the global management of distributed cloud. The global management framework includes resource management, data management, platform service management, application service management, operation and maintenance management and risk management. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|----------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3538 | 2022-09-29 | 13 | 11.1002/1000/15061 | + +## Keywords + +Cloud computing, distributed cloud, global management framework. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-----------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Overview of global management of distributed cloud ..... | 3 | +| | 6.1 Global management framework of distributed clouds ..... | 3 | +| | 6.2 Operation model using global scheduling for distributed cloud ..... | 4 | +| 7 | Functional requirements of global management for distributed cloud..... | 5 | +| | 7.1 Resource management..... | 5 | +| | 7.2 Data management ..... | 6 | +| | 7.3 Platform service management ..... | 7 | +| | 7.4 Application service management ..... | 7 | +| | 7.5 Operation and maintenance management..... | 8 | +| | 7.6 Risk management ..... | 8 | +| 8 | Security considerations..... | 9 | +| | Appendix I – Use case of global management for distributed cloud..... | 10 | +| | I.1 Use case of resource management..... | 10 | +| | I.2 Use case of data management..... | 10 | +| | I.3 Use case of platform service management ..... | 11 | +| | I.4 Use case of application service management ..... | 11 | +| | I.5 Use case of operation and maintenance management ..... | 12 | +| | I.6 Use case of risk management ..... | 13 | +| | I.7 Use case of auto-scaling for distributed cloud ..... | 13 | +| | I.8 Use case of resource allocation in global management for distributed
cloud ..... | 14 | +| | I.9 Use case for an AI application in global management of distributed cloud... | 15 | +| | I.10 Use case for migration in a distributed cloud..... | 17 | + + + +## Recommendation ITU-T Y.3538 + +# Cloud computing – Global management framework of distributed cloud + +# 1 Scope + +This Recommendation provides the framework and functional requirements for the global management of distributed cloud. The scope of this Recommendation includes: + +- Overview of the global management of distributed cloud: + - Global management framework of distributed cloud; + - Operation model using global scheduling for distributed cloud; +- Functional requirements of the global management of distributed cloud. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T X.1601] Recommendation ITU-T X.1601 (2015), *Security framework for cloud computing*. +- [ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014) | ISO/IEC 17788:2014, *Information technology – Cloud computing – Overview and vocabulary*. +- [ITU-T Y.3508] Recommendation ITU-T Y.3508 (2019), *Cloud computing – Overview and high-level requirements of distributed cloud*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud computing** [ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications and storage equipment. + +**3.1.2 cloud service customer** [ITU-T Y.3500]: Party which is in a business relationship for the purpose of using cloud services. + +NOTE – A business relationship does not necessarily imply financial agreements. + +**3.1.3 cloud service provider** [ITU-T Y.3500]: Party which makes cloud services available. + +**3.1.4 core cloud** [ITU-T Y.3508]: A part of distributed cloud, which is located in the core network and provides cloud computing capabilities. + +NOTE – Cloud computing capabilities are described in [ITU-T Y.3500]. + +**3.1.5 distributed cloud** [ITU-T Y.3508]: A paradigm for enabling interworking among a pool of distributed resources used for a cloud service with low latency, limited bandwidth and real time processing performing in a massively distributed environment. + +**3.1.6 edge cloud** [ITU-T Y.3508]: A part of the distributed cloud, which is located as close as possible to the cloud service customer (CSC) to support fast response time, latency sensitive and low computing density services. + +**3.1.7 regional cloud** [ITU-T Y.3508]: A part of the distributed cloud, which provides cloud computing capabilities and is deployed for efficient configuration between the core cloud and the edge cloud optionally. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|---------|-------------------------------------------| +| AI | Artificial Intelligence | +| AR | Augmented Reality | +| API | Application Programming Interface | +| CC | Core Cloud | +| cc-NUMA | cache coherent Non-Uniform Memory Access | +| CSC | Cloud Service Customer | +| CSP | Cloud Service Provider | +| DNS | Domain Name System | +| EC | Edge Cloud | +| FaaS | Function as a Service | +| GPU | Graphics Processing Unit | +| GUI | Graphical User Interface | +| HDD | Hard Disk Driver | +| ID | Identification | +| I/O | Input/Output | +| IoT | Internet of Things | +| IP | Internet Protocol | +| NUMA | Non-Uniform Memory Access | +| PCIe | Peripheral Component Interconnect Express | +| QoS | Quality of Service | +| RC | Regional Cloud | +| SSD | Solid State Driver | +| VR | Virtual Reality | + +# 5 Conventions + +In this Recommendation: + +The keywords **"is required to"** indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords **"is recommended"** indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Overview of global management of distributed cloud + +For the need of the Internet of things (IoT), augmented reality (AR) / virtual reality (VR), artificial intelligence (AI), etc., the service close to users having low latency and real time processing is built with massively distributed nodes to improve user experience. Cloud computing is extended across multiple nodes, as a new paradigm – distributed cloud defined in [ITU-T Y.3508]. Distributed cloud covers the whole set of cloud computing and consists of three types of cloud: core cloud (CC), regional cloud (RC) and the edge cloud (EC). + +The core cloud generally consists of a large-scale resource and the edge cloud consists of a small-scale resource close to the user. Also, the regional cloud has a middle scale resource between the core cloud and the edge cloud. + +The distributed cloud needs a management for core, regional and edge cloud locally. At the same time, cloud service providers (CSPs) need the global management to provide cloud services according to the requests of the cloud service customers (CSCs), where global management has an important role in the distributed cloud in which the core, regional, and edge cloud interact with each other. It is also important to define a common framework and functional requirements for global management. + +## 6.1 Global management framework of distributed clouds + +The global management framework of distributed cloud provides the management capabilities and includes the following aspects as shown in Figure 6-1. + +- Resource management: management capabilities for resources of distributed cloud including virtual machine, container, application software, platform software, storage, network and other infrastructure resources. +- Data management: the management capability of data processing and transmission in a distributed cloud. + +NOTE 1 – Data processing and transmission includes filtering data, encrypting the filtered data (capabilities located at EC), analysing data and storing data (capabilities located at the core cloud). + +- Platform service management: management capabilities of platform services, interfaces and functions. +- Application service management: management capabilities of service for application (e.g., End-to-end product) to a CSC. +- Operation and maintenance management: management capabilities of the operation and maintenance of the distributed cloud, such as scheduling, deployment, allocation and monitoring of resources, etc. +- Risk management: management capabilities of the risk and faults. + +NOTE 2 – Risk management includes but is not limited to assigning different roles and authorities. + +![Figure 6-1: Global management framework of distributed cloud. The diagram shows a hierarchical structure. At the top is 'The global management framework of distributed cloud'. Below it are four main components: 'Application service management', 'Platform service management', 'Data management', and 'Resource management' stacked vertically on the left. To the right of these are two vertical boxes: 'Operation and maintenance management' and 'Risk management'. The reference Y.3538(22) is at the bottom right.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 6-1: Global management framework of distributed cloud. The diagram shows a hierarchical structure. At the top is 'The global management framework of distributed cloud'. Below it are four main components: 'Application service management', 'Platform service management', 'Data management', and 'Resource management' stacked vertically on the left. To the right of these are two vertical boxes: 'Operation and maintenance management' and 'Risk management'. The reference Y.3538(22) is at the bottom right. + +**Figure 6-1 – Global management framework of distributed cloud** + +### 6.2 Operation model using global scheduling for distributed cloud + +In a distributed cloud, the global scheduler performs the overall role of the distributed system management from managing CSC's requests to executing the actual jobs. Figure 6-2 illustrates the operation model using global scheduling for distributed cloud. + +NOTE 1 – A distributed cloud includes all cloud deployment models such as public, private, hybrid cloud, etc. + +![Figure 6-2: Operation model using global scheduling for distributed cloud. The diagram shows the flow of a service request from a CSC to a CSP. The CSP contains a 'Global scheduler' block with sub-components: 'Global API gateway', 'Global API handler', 'Scheduler controller', 'Work thread manager', and 'Metadata manager'. A 'Queue manager' block contains a 'Request queue' and a 'Work message queue'. The 'Global API handler' sends data to the 'Request queue'. The 'Scheduler controller' receives data from the 'Request queue' and sends it to the 'Work thread manager'. The 'Work thread manager' sends data to the 'Work message queue'. The 'Metadata manager' is connected to 'Metadata storage'. The 'Global scheduler' sends data to an 'RC' (Resource Controller) block, which contains a 'Global scheduler agent' and a 'Local scheduler'. The 'RC' sends data to two 'EC' (Execution Controller) blocks, each containing a 'Worker agent'. The reference Y.3538(22) is at the bottom right.](b8661c6c54f72ecc7ff6cb05e47b2891_img.jpg) + +Figure 6-2: Operation model using global scheduling for distributed cloud. The diagram shows the flow of a service request from a CSC to a CSP. The CSP contains a 'Global scheduler' block with sub-components: 'Global API gateway', 'Global API handler', 'Scheduler controller', 'Work thread manager', and 'Metadata manager'. A 'Queue manager' block contains a 'Request queue' and a 'Work message queue'. The 'Global API handler' sends data to the 'Request queue'. The 'Scheduler controller' receives data from the 'Request queue' and sends it to the 'Work thread manager'. The 'Work thread manager' sends data to the 'Work message queue'. The 'Metadata manager' is connected to 'Metadata storage'. The 'Global scheduler' sends data to an 'RC' (Resource Controller) block, which contains a 'Global scheduler agent' and a 'Local scheduler'. The 'RC' sends data to two 'EC' (Execution Controller) blocks, each containing a 'Worker agent'. The reference Y.3538(22) is at the bottom right. + +**Figure 6-2 – Operation model using global scheduling for distributed cloud** + +The global scheduler controls the distributed cloud infrastructure according to the CSC's request data which is the CSC's requirements or policies for operation or maintenance, stores the requested data in the queue, processes the job based on the enqueued data, processes the job according to the CSC's request data and collects the results. + +NOTE 2 – CSC's requirements or policies are applied to the scheduler for training the historical data provided by distributed cloud infrastructure for intelligent and automatic scheduling. + +In Figure 6-2, the global application programming interface (API) gateway receives the CSC's request data and the requested data is processed through the global API handler. The queue manager receives and stores the request data for scheduling (such as service allocation request data and the execution data) from the global API handler. The scheduler controller gets back the data for scheduling from the queue and creates and runs job threads. + +Also, the work thread manager converts message types for delivery to global scheduler agents in the distributed cloud and stores them back in the work message queue for scheduling across the core, regional and edge clouds and the metadata repository stores the metadata of the distributed cloud. + +# **7 Functional requirements of global management for distributed cloud** + +### **7.1 Resource management** + +It is recommended that the CSP provides load balancing to deploy the application at the various types of platforms in the distributed cloud. + +NOTE 1 – The types of platforms in the distributed clouds include virtual machine-based platforms, container-based platforms, function as a service (FaaS) platforms, etc. + +NOTE 2 – A FaaS platform can deploy and run applications by allocating resources whenever an event occurs. + +It is recommended that a CSP provides auto-scaling that expands and contracts the distributed cloud automatically with load balancing. + +It is recommended that a CSP provides scaling policy setting and scaling group for auto-scaling and reflecting CSC's scaling policy in the distributed cloud. + +NOTE 1 – Scaling policy includes scaling metrics and service information. + +NOTE 2 – Service information in the scaling policy includes service ID for auto-scaling, minimum or maximum number of replications, support of the type of platform, etc. + +NOTE 3 – Scaling metrics in a scaling policy determine how to execute and trigger auto-scaling and include a policy for a resource (such as min/max/average resource utilization), policy for the type of platform (such as the number of requests), policy for customization (such as user defined triggering value), etc. + +It is recommended that the CSP monitors and stores auto-scaling information in the distributed cloud for auto scaling. + +NOTE 1 – Auto-scaling information includes service specification, resource information, scaling specification, etc. + +NOTE 2 – Service specification includes service identification (ID), CSC's internet protocol (IP), type of platform, required resources, auto-scaling enabled information, quality of service (QoS) such as latency and performance, etc. + +NOTE 3 – Resource information includes utilization for hardware and requests number or customized metrics of software resources, etc. + +NOTE 4 – The scaling specification is aligned with scaling metrics in the scaling policy. + +It is recommended that CSP scales in and out with consideration of the QoS according to the scaling policy automatically. + +NOTE – If the application is sensitive to latency, CSC sets the scaling policy with the CSC's QoS, and the platform is automatically scaled according to the QoS so that applications can run on the lowest latency platform. + +It is recommended that the CSP provides the monitor of connection information between the distributed cloud. + +NOTE 1 – The connection information between distributed cloud includes connection topology and device connection information (e.g., peripheral component interconnect express (PCIe), NVLink, etc.) between distributed cloud, and their connection state is monitored. + +NOTE 2 – The connection topology (e.g., non-uniform memory access (NUMA), cache coherent non-uniform memory access (cc-NUMA), etc.) describes how devices or nodes are connected. + +It is recommended that CSP provides the resource allocation according to the resource affinity. + +NOTE 1 – The resource affinity is the distance between resources which is calculated through hop, based on the connection information between the corresponding devices and nodes. + +NOTE 2 – A hop is a path located between a source and a destination in distributed cloud. + +NOTE 3 – The resources are allocated according to the best resources' affinity (minimum distance between resources). + +It is recommended that the CSP provides the resource allocation according to the input/output (I/O) congestion. + +NOTE 1 – The I/O congestion is calculated as the average value of how much is used against the maximum bandwidth by measuring the bandwidth of I/O devices (network and storage, etc.) during a specific time slot. + +NOTE 2 – The resources are allocated according to the lowest I/O congestion. + +It is recommended that the CSP provides the management of the connection topologies in the distributed cloud. + +NOTE – The connection topology management informs the available resources according to the resource affinity and I/O congestion to local and global schedulers based on the CSC's request. + +It is recommended that CSP provides the interface of the CSC's resource allocation request. + +NOTE 1 – Interface includes CLI, graphical user interface (GUI) and specific file format. + +NOTE 2 – Resources to be requested by the CSC include the number of CPUs, the amount of memory and storage, I/O hardware device, network device, accelerator information (Graphics processing unit (GPU), TPU and other accelerator resources), etc. + +NOTE 3 – The resources from the CSC's requests are reflected by the global scheduler. + +It is recommended that CSP provides the ability to monitor the global resource. + +NOTE 1 – The global resource management monitors the already allocated resource, the available resources, connection information and I/O congestion of resources periodically in distributed cloud. + +NOTE 2 – The global scheduler requests and receives the information on the available resources, I/O congestion, and resource affinity from monitoring the global resource. + +It is recommended that the CSP requests the resource allocation from the global scheduler to the local scheduler. + +NOTE – The global scheduler selects the resources (nodes or devices) with information from the global resource management according to the CSC's request and sends the request to the local scheduler to deploy the application. + +It is recommended that the CSP updates the resource information after the resource allocation. + +NOTE – The global scheduler updates the available resource information through the global resource management when the service deployment of the local scheduler is successful. + +It is recommended that the CSP provides the network gateway to access the distributed cloud for migration. + +NOTE – Network gateway is the access method between distributed cloud which is connected by a dedicated and direct network using tunnelling such as IPsec tunnelling or a route bypass through a network proxy. + +### **7.2 Data management** + +It is recommended that the CSP provides the interface of storage provisioning. + +NOTE – The interface of storage provisioning includes APIs or device drivers. This interface is provided in form of a repository (such as memory, NVMe, solid state driver (SSD), hard disk driver (HDD), data storage federation architecture, etc.) using a container or a virtual machine. + +It is recommended that the CSP provides the deployment for data storage. + +NOTE – By integrating with the data storage (such as a data storage federation), it is possible to provide both high performance of main memory and large capacity of disk storage for distributed cloud. + +It is recommended that CSP provides the minimization of data transmission delay and processing time. + +NOTE – The minimization of data transmission can be realized by collecting and processing data from a location close to CSC. + +It is recommended that the CSP provides high scalability and error-resistance for data storage. + +NOTE – The error resistance includes the iteration process in which jobs restart due to an error. If the number of iterations is exceeded by a certain number of times, it is considered as a job failure. + +It is recommended that the CSP provides the distribution of applications according to the system load and network delay to maximize the computing resources between ECs. + +NOTE – The examples of distributed applications for data processing to deploy in EC are as follows. Each processing is deployed as a container or a virtual machine so that it could operate independently in a different node. + +- A pre-processing: filtering the input data, adjusting the input size of data, or performing data processing for better performance. +- A main processing: treating the main job or task of processing such as big data analyses, ML inference and training, VR/AR engine, etc. +- A post-processing: visualizing results from the main processing or performing additional data processing. + +It is recommended that the CSP provides a high-speed network for sharing storage. + +NOTE 1 - The shared storage communicates the job information and status using the database for distributed applications. + +NOTE 2 – The sharing job information includes the registered number in a database, user identification (ID), data path where the data was uploaded to the repository, data type, data status, job execution time, etc. + +NOTE 3 – The job status includes enqueued processing, pre-processing execution, pre-processing completion, main processing execution, main processing completion, post-processing execution, post-processing completion, exit, etc. + +### **7.3 Platform service management** + +It is recommended that the CSP provides the interface for service management. + +NOTE – The interface for service management includes APIs with an API server. + +It is recommended that the CSP provides the service discovery. + +It is recommended that the CSP provides a load balancer so that the service is distributed according to CSC's policy. + +It is recommended that the CSP provides service templates for the CSCs to design services. + +NOTE – Service template is the technical description including service name, service type, resource information for service, CSC's request, etc. + +It is recommended that the CSP provides the configuration for service deployment. + +It is recommended that the CSP provides the service monitoring during service operation. + +### **7.4 Application service management** + +It is recommended that the CSP provides the development of the CSC's own functions for a CSC's application. + +It is recommended that the CSP provides domain name system (DNS) service so that CSC connects with the application. + +It is recommended that the CSP provides application templates for CSCs to design applications. + +It is recommended that the CSP provides a connection for an application service, including network IP address, port, etc. + +It is recommended that the CSP provides the CSC with the interface for application monitoring. + +### **7.5 Operation and maintenance management** + +It is recommended that the CSP provides global scheduling for the applications to be executed. + +It is recommended that the CSP provides the API management to handle API. + +NOTE – For example, CSC requests the API for application service and the global API handler manages and stores the request message in a queue for fast response. + +It is recommended that the CSP provides the management of policies for global scheduling. + +NOTE – Policy for the global scheduling includes the work priority, affinity, resource usage, etc. + +It is recommended that the CSP provides and manages the metadata repository storing cloud information from the regional cloud and edge cloud. + +NOTE – The cloud information includes the type of cloud service, usage, etc. and this information is collected by monitoring the regional cloud and edge cloud. + +It is recommended that the CSP provides the queue management for work priority. + +NOTE – The queue for the global scheduling includes the CSC's request message queue, work message queue, etc. + +It is recommended that the CSP provides the connection management for global scheduling. + +NOTE 1 – Connection management for global scheduling manages the connection protocol or agent to utilize the distributed resources of the regional cloud or edge cloud. + +NOTE 2 – Agents in the regional cloud or edge cloud receive messages from the work message queue in the global scheduler. + +### **7.6 Risk management** + +It is recommended that the CSP provides the replica management to create and manage replicas as a replacement in case the system breaks down. + +It is recommended that the CSP provides backup copies to keep data in distributed cloud. + +NOTE – Global management provides storage tiering, archiving, and distributed share management functions to manage backup copies of data. + +It is recommended that the CSP provides the network connections to the detour path in case of network failure. + +It is recommended that the CSP provides the restriction of network access for unauthenticated devices or users. + +It is recommended that the CSP provides encryption / decryption for data protection to transfer data between clouds. + +It is recommended that the CSP provides the migration in case of system failure. + +NOTE 1– Migration includes a control process with checking the status in EC, checking the network of destination nodes, saving the current status of a snapshot image and restoring the image. + +NOTE 2 - The data management for migration utilizes the mechanism of shared storage or cache to reduce snapshot (such as checkpoint) transfer between nodes. + +NOTE 3 – The data management for migration includes the data management using micro-services and virtual machines and the deployment for data storage. + +It is recommended that the CSP provides migrating the CSC's application and data to the available resources in case of load balancing, system failure, and the CSC's policy. + +# **8 Security considerations** + +Security aspects for consideration within the cloud computing environment, including inter-cloud computing, are described in [ITU-T X.1601], which analyses the security threats and challenges, and describes the security capabilities that could mitigate these threats and meet the security challenges. + +# Appendix I + +## Use case of global management for distributed cloud + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Use case of resource management + +| Title | Resource management | +|----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description | According to the resource requirements of the CSC, global management on the core cloud (CC) could flexibly schedule the resources of the EC nodes and could monitor the usage of the resource. The EC nodes feed the resource usage status to the global management. | +| Roles | CSC, CSP | +| Figure (optional) | Diagram of Resource Management Use Case

The diagram illustrates the resource management process. On the left, a box labeled 'CSC' sends 'Resource requests' to a larger box labeled 'CSP'. The 'CSP' box contains a sub-box labeled 'CC' which includes 'Global management'. Below the 'CC' box, there are several boxes labeled 'EC' (Edge Cloud) with an ellipsis between them. A 'Resource monitor' arrow points from the 'EC' nodes up to the 'Global management' box, and a 'Resource usage report' arrow points from the 'Global management' box down to the 'EC' nodes. The entire 'CSP' box is labeled 'Y.3538(22)' at the bottom right.

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Resource management (see clause 7.1) | + +### I.2 Use case of data management + +| Title | Data management | +|-------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description | Under global management, the EC nodes collect data from the edge device of the CSC. The EC nodes pre-process the data and upload it to the CC node. The CC node performs the data analysis and stores the large-scale data. The results of the data analysis, such as models, are fed back to the EC nodes by the CC node. | +| Roles | CSC, CSP | +| Figure (optional) | Diagram of Data Management Use Case

The diagram illustrates the data management process. On the left, a box labeled 'CSC' contains two 'End device' boxes. An arrow labeled 'Data collection' points from the 'CSC' box to a larger box labeled 'CSP'. The 'CSP' box contains a sub-box labeled 'EC' which includes 'Data pre-processing'. To the right of the 'EC' box is a sub-box labeled 'CC' which includes 'Data analysis' and 'Data storage'. An arrow labeled 'Data upload' points from the 'Data pre-processing' box to the 'Data analysis' box. A 'Results feedback' arrow points from the 'Data storage' box back to the 'Data pre-processing' box. The entire 'CSP' box is labeled 'Y.3538(22)' at the bottom right.

| + +| | | +|----------------------------|----------------------------------| +| Title | Data management | +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Data management (see clause 7.2) | + +### I.3 Use case of platform service management + +| | | +|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Platform service management | +| Description | CSP provides an interface for platform service management. Interfaces for platform service management include the APIs and API servers. CSP provides a load balancer to deploy the CSC's application to a distributed cloud. It also provides platform service discovery and policy for deployment. Platform service management can help the CSC by using various service templates. | +| Roles | CSC, CSP | +| Figure (optional) | Diagram of Platform Service Management Use Case

The diagram illustrates the platform service management use case. On the left, a box labeled 'CSC' has an arrow labeled 'Platform service usage' pointing to a larger box labeled 'CSP'. Inside the 'CSP' box, there is a sub-section 'Platform service management' containing an 'API server'. To the right of this are three stacked boxes: 'Load balancer', 'Platform service discovery', and 'Platform service template'. Arrows connect the 'API server' to each of these three boxes. Below the 'Platform service template' box, an arrow labeled 'Deployment' points to three separate boxes, each labeled 'EC'.

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| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Platform service management (see clause 7.3) | + +### I.4 Use case of application service management + +| | | +|--------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Application service management | +| Description |

According to the request of the CSC, the global management on CC manages the applications deployed in the EC, including deploying application templates to EC, monitoring the application running status, etc.

There are two situations for deploying applications on EC nodes:

  1. 1. An application is only deployed on one EC. For example, App1 and App2 are deployed in different ECs respectively.
  2. 2. An application is deployed in multiple ECs. For example, App3 is deployed in two different ECs.
| +| Roles | CSC, CSP | + +| Title | Application service management | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure (optional) |

Image: Diagram of Application service management showing CSC sending Application requirements to CSP, which contains CC (Global management) interacting with APP1, APP2, APP3, and APPn (EC).

 graph LR     CSC[CSC] -- "Application requirements" --> CSP     subgraph CSP         subgraph CC             GM[Global management]         end         GM --> APP1[APP1]         GM -- "Application deployment" --> APP2[APP2]         GM -- "Application running status monitoring" --> APP3[APP3]         GM --> APPn[APPn]         APP1 --- EC1[EC]         APP2 --- EC2[EC]         APP3 --- EC3[EC]         APPn --- ECn[EC]     end     APP3 --- DOTS[.....]

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| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Application service management (see clause 7.4) | + +### I.5 Use case of operation and maintenance management + +| Title | Operation and maintenance management | +|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description | According to the requests of the CSC, the CSP monitors the operation of the EC resources through global management, schedules and allocates the EC resources, and finally feeds back the results to the CSC. | +| Roles | CSP | +| Figure (optional) |

Image: Diagram of Operation and maintenance management showing CSP (CC: Global management) interacting with EC Resources. CSC sends Request monitor to CSP and receives Return results. CSP monitors operation, schedules, and allocates EC Resources.

 graph LR     CSC[CSC] -- "Request monitor" --> CSP     subgraph CSP         subgraph CC             GM[Global management]         end         GM -- "Monitors the operation" --> EC1[EC Resources]         GM -- "Schedules" --> EC2[EC Resources]         GM -- "Allocates" --> EC3[EC Resources]         EC1 --- DOTS[.....]         EC3 --- ECn[EC Resources]     end     CSP -- "Return results" --> CSC

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| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Operation and maintenance management (see clause 7.5) | + +### I.6 Use case of risk management + +| | | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Risk management | +| Description | CSP manages the risks of all the ECs through global management, including assigning different roles and permissions, authentication, etc. | +| Roles | CSP, CSC | +| Figure (optional) |

Image: Diagram of Risk Management Use Case

The diagram illustrates the risk management process. A box labeled 'CSC' is on the left, and a larger box labeled 'CSP' is on the right. Inside the 'CSP' box is a box labeled 'CC', which contains a box labeled 'Global management'. Below the 'CC' box are three boxes labeled 'EC', separated by an ellipsis. Arrows show the flow of information: 'Requests' from 'CSC' to 'CSP', and 'Results' from 'CSP' to 'CSC'. Inside the 'CSP' box, 'Global management' has a bidirectional arrow labeled 'Authentication' connecting to the first 'EC' box, and a downward arrow labeled 'Assign different roles and permissions' pointing to the first 'EC' box. The diagram is labeled 'Y.3538(22)' at the bottom right.

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Risk management (see clause 7.6) | + +### I.7 Use case of auto-scaling for distributed cloud + +| | | +|-------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Auto-scaling for distributed cloud | +| Description |

This use case is an auto-scaling technology for providing flexible services in a distributed cloud as shown in the following figure. This auto-scaling technology is applied to a distributed cloud to scale in and out services. CSC sets the scaling policy, which is information such as the service to be scaled, the minimum / maximum number of scaling instances, resource utilization, and request limits by a supported platform type.

Global management monitors the information for auto-scaling including service specifications (service name, execution time, required resources, service QoS including latency), system resources (CPU, memory, network, etc.), and system expansion specifications (expansion group, number of services), and saves it to the auto-scaling repository.

When the load increases due to a large number of service requests from the CSC, the resource is automatically adjusted according to the auto-scaling policy and the information for auto-scaling. Auto-scaling can effectively respond to a service load and reduce costs.

In a distributed cloud, the characteristics of platforms such as virtual machine-based platforms, container-based platforms and PaaS (including FaaS or serverless) provided by the CSP are very diverse, and the CSC can use various applications on these various platforms.

At this time, when the CSC request increases and the load increases, an additional application is created on each platform for auto-scaling. If the CSC needs auto-

| + +| | | +|-----------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Auto-scaling for distributed cloud | +| | scaling for high-quality applications (low latency and high performance) on a variety of platforms, applications can be added to platforms that support high-quality services. | +| Roles | CSC, CSP | +| Figure (optional) |

Image: Architecture diagram of auto-scaling for distributed cloud. The diagram shows a 'Global management' block containing an 'Auto-scaling repository', 'Auto-scaling information monitor', 'Auto-scaler' (with 'Auto-scaling metric comparison' and 'Application selector'), and 'Scale-in controller'/'Scale-out controller'. 'N-service requests' and 'Scaling-policy' from 'CSC' feed into the 'Auto-scaling repository'. 'Auto-scaling information' flows from the 'Auto-scaler' to the 'Auto-scaling information monitor'. A 'Load balancer' is connected to the 'Application selector'. The 'Global management' block interacts with a 'Scaling group' on the right. The 'Scaling group' contains three 'EC' (Elastic Cloud) instances: 'Scale-out' (with 'VM App-A'), 'Container' (with 'App-A'), and 'Scale-in' (with 'Function-A'). Each EC instance shows 'MEM/CPU/NET' metrics. 'Scaling in/out' information is exchanged between the 'Load balancer' and the 'Scaling group'.

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| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Resource management (see clause 7.1) | + +### I.8 Use case of resource allocation in global management for distributed cloud + +| | | +|--------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | The resource allocation in global management for distributed cloud | +| Description |

In general, resource allocation in a distributed cloud environment utilizes the nearest resource in order to minimize service delay. This is a key feature of the distributed cloud. In order to solve the service delay, it is important to optimally allocate resources (CPU, memory, GPU, TPU, network, storage, other accelerated HW, etc.) of the distributed cloud.

In order to provide a distributed cloud service with low latency, most computing servers use a resource connection topology (e.g., NUMA cc-NUMA, etc.) and device connection (e.g., PCIe, NVLink, etc.), and their connection state is monitored and resources are allocated according to the distance between the resources (resource affinity) and the input/output congestion.

Resource affinity is calculated through hops based on the connection information between corresponding devices. The I/O congestion is calculated as the average value by monitoring the bandwidth of the I/O devices for a specific time.

These values are based on the CSC's resource requirements when requesting a service. The CSC requests resources (CPU, memory, network, storage, and accelerator device) to deploy an application on a container and virtual machine. Based on this requested resource, the distance between the resources described above and the input/output congestion is measured.

The global resource manager manages the allocated resource information, available resource information, and input/output congestion information of each cloud. The global scheduler receives and processes the distributed cloud service execution requests.

| + +| | | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | The resource allocation in global management for distributed cloud | +| |

The global scheduler updates the available resource information of the node through the global resource manager when the service execution of the local scheduler is successful. The node's I/O congestion is periodically transmitted to the global resource manager by monitoring the previously described I/O congestion (network congestion, storage congestion, etc.).

The topology manager manages the allocated resources and the available resources based on the device topology information.

The topology manager, who receives the resource requirements from the local scheduler, selects and returns the available resources based on the congestion, distance, and resource connection. The local scheduler receives the execution request of the distributed cloud service from the global scheduler.

The local scheduler receives the allocable resource information from the topology manager, configures the virtual environment setting information, makes a request to the virtual machine-based platform or container-based platform and transmits the result to the global scheduler. The virtual machine-based platform or the container-based platform configures the virtual environment and runs the service based on the virtual environment information received from the local scheduler.

| +| Roles | | +| Figure (optional) | Diagram of resource allocation in global management for distributed cloud

The diagram illustrates the interaction between a CSC (Cloud Service Customer) making N-service requests and a Global Management system. The Global Management system contains a Global scheduler and a Global resource manager. It communicates with multiple Edge Clouds (EC). Each EC contains a Local scheduler, a Topology manager, an APP, a Congestion monitor, and a Container/virtual machine. Resources within each EC include CPU, Mem, NIC, DISK, TPU, and Accelerators, connected via I/O bandwidth.

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| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Resource management (see clause 7.1) | + +### I.9 Use case for an AI application in global management of distributed cloud + +| | | +|--------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | AI application in global management for distributed cloud | +| Description | This use case introduces an AI inference service that improves the resource utilization through a micro-service structure so that the video data can be inferred quickly and flexibly in a distributed cloud. Through this, it is possible to minimize data transmission delay and execution time by collecting and processing video data from a | + +**Rec. ITU-T Y.3538 (09/2022)**      15 + +| | | +|-----------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | AI application in global management for distributed cloud | +| |

location close to the CSC. In addition, it is expected that a highly scalable and error-resistant inference service can be provided to the CSCs through a deep learning model which is specialized for flexible and rapid resource usage between edge clouds. By integrating with the deep learning model, it is possible to provide both high performance of the main memory and large capacity of the disk storage. Therefore, data required for inference can be quickly shared for high performance.

In the figure, deep learning models for image inference can be divided into three main parts:

  • – A pre-processing process that adjusts the input size of the image or performs an image processing for better inference performance;
  • – An inference process that extracts and recognizes object features through a deep learning network;
  • – A post-processing process in which the results from the inference process are displayed on the image.

Among them, the pre-processing process and the post-processing process are processes that mainly utilize the CPU among computing resources, and the inference uses a large amount of computation including GPU to maximize the usage of the flexible computing resources in the edge cloud.

For the existing deep learning model each process is deployed in a container so that it operates independently.

In addition, when creating an edge cloud-based environment using a container-based orchestration platform, one thing to consider is that communication between each service must occur smoothly without conflicts.

To this end, as the video data is uploaded the job information is stored in the shared storage and service containers communicate with the database and share the job status.

| +| Role/Sub-role | CSC, CSP | +| Figure (optional) |

Image: Architecture diagram of AI application in global management for distributed cloud. The diagram shows a central 'EC' (Edge Cloud) box containing 'Data pre-processing', 'Data post-processing', and 'Inference' components. To the left, a 'CSC' (Cloud Service Client) box contains an 'End device' and a 'CSC' box. An arrow labeled 'Data generator' points from the 'End device' to the 'Data pre-processing' component. An arrow labeled 'Use result' points from the 'Inference' component to the 'CSC' box. In the center, a 'DB' (Database) and 'Shared storage' are connected to the 'EC' box. To the right, a 'CC' (Cloud Control) box contains 'Data analysis', 'AI training', and 'Global management' components. Arrows indicate data flow between the 'EC' box, the 'DB', 'Shared storage', and the 'CC' box. The diagram is labeled Y.3538(22) in the bottom right corner.

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Data management (see clause 7.2) | + +### I.10 Use case for migration in a distributed cloud + +| | | +|-----------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Migration in a distributed cloud | +| Description |

The migration service in the distributed cloud is provided in order to re-deploy services in real time and maintain continuous services. Migration is performed between edge clouds, or between edge clouds and other clouds in consideration of resource scarcity, failure, and cost-effectiveness.

To perform migration, it is necessary to manage the migration in the distributed cloud for service transfer between clouds.

To do this, it is necessary to have a reliable and efficient way to capture the state of the application in real time in a transferable format and to save it in the form of a snapshot.

Basically, in a distributed cloud global management, the scheduler assigns the applications to the nodes, and the controller communicates with the nodes through gateways to create, delete or update applications. This gateway is responsible for the control function that accesses the network between clouds.

In each node, only the control tasks that maintains the applications and creates containers or virtual machines are performed by individual agents residing in the target node itself. Migration is provided through migration controllers from the migration brokerage function in global management.

If a CSC has a snapshot (checkpoint image) that maintains the state of an application, CSC also needs a mechanism to transfer this data between clouds. Therefore, to reduce data transfer between nodes and containers, it utilizes the mechanism of shared high-speed storage and utilizes high-speed network connectivity.

| +| Role/Sub-role | CSC, CSP | +| Figure (optional) |

Image: Diagram illustrating the migration process in a distributed cloud. The diagram shows a Global management layer at the top containing a Global scheduler, Global resource manager, and Migration brokerage. Below this are two Edge Clouds (EC). The left EC contains an Application (marked with a red X), a Migration controller, a Gateway, and a Snapshot. The right EC contains an Application, a Migration controller, a Gateway, and a Snapshot. A Public NET cloud is connected to both Gateways. Arrows indicate data flow: from the left Application to the Migration controller, then to the Gateway, and finally to the Snapshot. A large curved arrow points from the left EC towards the right EC, passing through the Migration brokerage in the Global management layer, indicating the migration process. The diagram is labeled Y.3538(22) in the bottom right corner.

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | Risk management (see clause 7.6) | + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3539-202301-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3539-202301-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..8b52a9920306b9979401ed70ebf51b976217cc81 --- /dev/null +++ b/marked/Y/T-REC-Y.3539-202301-I_PDF-E/raw.md @@ -0,0 +1,662 @@ + + +# Recommendation**ITU-T Y.3539 (01/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Cloud Computing + +## --- **Cloud computing – Framework of risk management** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +### **CLOUD COMPUTING** + +**Y.3500–Y.3599** + +### BIG DATA + +Y.3600–Y.3799 + +### QUANTUM KEY DISTRIBUTION NETWORKS + +Y.3800–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3539 + +## Cloud computing – Framework of risk management + +## Summary + +Recommendation ITU-T Y.3539 provides a framework of risk management in a cloud computing environment, including risk assessment, risk treatment, risk acceptance, risk communication and consultation, and risk monitoring and review. It also provides a complete set of management processes and effective measures to reduce risks in the cloud computing environments. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|------------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3539 | 2023-01-13 | 13 | 11.1002/1000/15241 | + +## Keywords + +Cloud computing, risk assessment, risk management, risk treatment. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-----------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References ..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere ..... | 1 | +| | 3.2 Terms defined in this Recommendation ..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview and framework of risk management in cloud computing environment ..... | 2 | +| 7 | Risk assessment in cloud computing environment ..... | 4 | +| | 7.1 Identification of key points ..... | 4 | +| | 7.2 Identification of threats ..... | 4 | +| | 7.3 Identification of vulnerability ..... | 5 | +| | 7.4 Proactive measures for risk ..... | 5 | +| | 7.5 Risk estimation ..... | 7 | +| 8 | Risk treatment in the cloud computing environment ..... | 8 | +| | 8.1 Risk reduction ..... | 8 | +| | 8.2 Risk retention ..... | 8 | +| | 8.3 Risk avoidance ..... | 8 | +| | 8.4 Risk transfer ..... | 9 | +| | Appendix I – Key point weight for risk management in the cloud computing environment... | 10 | +| | Appendix II – Threat frequency in cloud computing environment ..... | 11 | +| | Appendix III – The formula of risk estimation ..... | 12 | +| | Appendix IV – Mapping of threats and key points for risk management in the cloud
computing environment ..... | 13 | +| | Appendix V – Mapping of threats and proactive measures for risk in the cloud computing
environment ..... | 15 | +| | Bibliography ..... | 19 | + + + +# Recommendation ITU-T Y.3539 + +## Cloud computing – Framework of risk management + +# 1 Scope + +This Recommendation provides an overview of and framework for risk management in the cloud computing environment. It focuses on the risk management processes of a cloud service provider (CSP) by addressing the following subjects: + +- Overview and framework of risk management in a cloud computing environment; +- Risk assessment in a cloud computing environment; +- Risk treatment in a cloud computing environment. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ISO/IEC 27005] ISO/IEC 27005:2022, *Information security, cybersecurity and privacy protection – Guidance on managing information security risks*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud computing** [b-ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications, and storage equipment. + +**3.1.2 cloud service provider** [b-ITU-T Y.3500]: Party which makes cloud services available. + +**3.1.3 cloud service customer** [b-ITU-T Y.3500]: Party which is in a business relationship for the purpose of using cloud services. + +NOTE – A business relationship does not necessarily imply financial agreements. + +**3.1.4 threat** [b-ISO/IEC 27000]: Potential cause of an unwanted incident, which may result in harm to a system or organization. + +**3.1.5 vulnerability** [b-ISO/IEC 27000]: Weakness of an asset or control that can be exploited by one or more threats. + +**3.1.6 risk** [b-ISO/IEC 27000]: Effect of uncertainty on objectives. + +**3.1.7 risk assessment** [b-ISO/IEC 27000]: Overall process of risk identification, risk and risk evaluation. + +**3.1.8 risk management** [b-ISO/IEC 27000]: Coordinated activities to direct and control an organization with regard to risk. + +**3.1.9 risk treatment** [b-ISO/IEC 27000]: Process to modify risk. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-----------------------------------| +| CSC | Cloud Service Customer | +| CSP | Cloud Service Provider | +| CVE | Collaborative Virtual Environment | +| DMZ | Demilitarized Zone | +| NaaS | Network as a Service | +| SQL | Structured Query Language | +| XSS | Cross-Site Scripting | + +# **5 Conventions** + +The keywords "**is required to**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +In the body of this Recommendation and its annexes, the words should and may sometimes appear, in which case they are to be interpreted, respectively, as is recommended and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative is to be interpreted as having no normative intent. + +# **6 Overview and framework of risk management in the cloud computing environment** + +With the rapid development of cloud computing, risk management has become increasingly important. In the actual production environment, network instability, equipment failure and other problems are inevitable. There are several potential risks associated with the life cycle of cloud services. + +It is required that the CSP provide the following: cloud service security and risk manager with a complete set of processes for risk management and effective measures to reduce risks. The framework of risk management in the cloud computing environment provides management capabilities as shown in Figure 6-1. These management capabilities are based on the procedure described in [ISO/IEC 27005], specifically relating to the cloud computing environment aspect. + +![Figure 6-1: Framework of risk management in the cloud computing environment. The diagram is a hierarchical flowchart. On the left, a large box contains 'Risk assessment' (with sub-boxes: Identification of key points, Identification of threats, Identification of vulnerability, Proactive measures for risk, and Risk estimation), 'Risk treatment' (with sub-boxes: Risk reduction, Risk retention, Risk avoidance, and Risk transfer), and 'Risk acceptance'. To the right of this box are two vertical boxes: 'Risk communication and consultation' and 'Risk monitoring and review'.](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +``` + +graph LR + subgraph Framework [Framework of risk management] + subgraph Risk_Assessment [Risk assessment] + IKP[Identification of key points] + IDT[Identification of threats] + IDV[Identification of vulnerability] + PMR[Proactive measures for risk] + RE[Risk estimation] + end + subgraph Risk_Treatment [Risk treatment] + RR[Risk reduction] + RT[Risk retention] + RA[Risk avoidance] + RTR[Risk transfer] + end + RAc[Risk acceptance] + end + Risk_Assessment --> Risk_Treatment + Risk_Treatment --> RAc + Risk_Assessment --- RCC[Risk communication and consultation] + Risk_Assessment --- RMR[Risk monitoring and review] + +``` + +Figure 6-1: Framework of risk management in the cloud computing environment. The diagram is a hierarchical flowchart. On the left, a large box contains 'Risk assessment' (with sub-boxes: Identification of key points, Identification of threats, Identification of vulnerability, Proactive measures for risk, and Risk estimation), 'Risk treatment' (with sub-boxes: Risk reduction, Risk retention, Risk avoidance, and Risk transfer), and 'Risk acceptance'. To the right of this box are two vertical boxes: 'Risk communication and consultation' and 'Risk monitoring and review'. + +Y.3539(23) + +**Figure 6-1 – Framework of risk management in the cloud computing environment** + +- Risk assessment: management capability for identifying and estimating risks in the cloud computing environment. +- Risk treatment: management capability for taking measures to keep risk within an acceptable range based on the results of a risk assessment, including risk reduction, risk retention, risk avoidance and risk transfer, which is presented in clause 8. +- Risk acceptance: management capability for accepting residual risks when the risk acceptance criteria are met. The following factors should be considered criteria: + - Accepting a residual risk that leads to a small loss. +NOTE 1 – Residual risk will not affect the cloud service in some cases, such as with some system vulnerabilities created by useless components. If the influence is small based on the risk evaluation, then the residual risk can be accepted. + - When a key point has a risk that cannot be resolved, this risk is acceptable if the key point can bring very high benefits for the CSP. +NOTE 2 – Some key points may bring risks and benefits simultaneously. For example, using open source components in cloud service may bring risks such as licence infringement and open source security incidents. Open source components could also bring benefits such as cost decreasing or rapid technology iteration. If the key point brings many more benefits than risks, it can be accepted. + - Accepting the risk when the CSP cannot afford to reduce it. +- Risk communication and consultation: management capability for timely informing the cloud service customers (CSCs) of security risk events, including but not limited to: + - Vulnerabilities that could threaten data and applications in cloud services; + - Major changes of cloud services or CSP; + - Security events that have occurred, such as data loss and data breach. +- Risk monitoring and review: management capability for intelligently paying timely attention to any security warning notices, vulnerability notices and other threat notices and generating a risk report on a regular basis for regulatory review. + +# 7 Risk assessment in the cloud computing environment + +## 7.1 Identification of key points + +Risk management in the cloud computing environment involves many key points, including infrastructure, network resource, computing resource, storage resource, application, data, human factor and operation management. Categories and examples are shown in Table 7-1. + +**Table 7-1 – The key points for risk management in the cloud computing environment** + +| Category | Example | +|-----------------------|-------------------------------------------------------------------------------------------------------------------------------| +| Infrastructure |
  • • Power
  • • Air conditioning
| +| Network resource |
  • • Network equipment
  • • Network architecture
| +| Computing resource |
  • • Physical server
  • • Virtual host
| +| Storage resource |
  • • Storage equipment
  • • Storage architecture
| +| Application |
  • • Service portal
| +| Data |
  • • User data
  • • System data
| +| Human factor |
  • • CSP: cloud service operations manager
| +| Operation management |
  • • Cloud service life cycle management
  • • Emergency response management
| +| Shared responsibility |
  • • Responsibilities of CSP
  • • Responsibilities of CSC
| + +The key points in the cloud computing environment should be valued based on the degree of impact. Table I.1 provides the reference weights for different levels in risk management in the cloud computing environment. + +## 7.2 Identification of threats + +Threat is a possible factor that can cause potential damage to the cloud computing environment and exists objectively. The causes of threats include environmental factors, technical failures and human factors. Categories and descriptions of threats are shown in Table 7-2. + +**Table 7-2 – Threat classification** + +| Category | Description | +|-----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Environmental factors | Environmental conditions and natural disasters such as:
  • • Outage
  • • Static electricity
  • • Dust
  • • Moist
  • • Temperature
  • • Flood
  • • Fire
  • • Earthquake
| + +**Table 7-2 – Threat classification** + +| Category | | Description | +|--------------------|------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Technical failures | |
  • • Hardware failures
  • • Cloud service software vulnerability
| +| Human factors | Outsider threats |
  • • Hacker attack
  • • System intrusion
  • • Unauthorized system access
  • • System tampering
  • • Information eavesdropping
| +| | Insider threats |
  • • Misoperation
  • • Malicious behaviour
| + +Estimating the frequency of threats is an important work of threat identification. The threat frequency can be divided into multiple levels representing different number of times threats are realised. The higher the level, the higher the frequency of the threats, and the greater the risky impact in the cloud computing environment. Table II.1 provides the reference levels and descriptions of threat frequency in the cloud computing environment. + +## 7.3 Identification of vulnerability + +Vulnerability identification methods include questionnaire surveys, tool detection, manual verification, log review and penetration testing. + +Vulnerability is identified based on the key points for risk management in the cloud computing environment and corresponds to CSPs' measures for risk. For those systems with strong proactive measures for risk, the vulnerability is often low or does not exist. + +## 7.4 Proactive measures for risk + +#### 7.4.1 Infrastructure risk + +Proactive measures for infrastructure risk include: + +- **Power redundancy** – the ability to resist power accidents, including data centre power redundancy, transformer redundancy, backup diesel generator redundancy and uninterruptible power supply system configuration redundancy. +- **Air conditioning redundancy** – the ability to resist air conditioning accidents, including chiller and cooling pump redundancy. +- **Reliability of building** – the ability to resist emergencies, including data centre seismic, fire, waterproof and antistatic level. +- **Entrance limitation** – the ability to use access control and video surveillance to ensure physical security. +- **Fire protection** – the ability to resist fire accidents, including through use of an automatic fire extinguishing system and fire alarm system. +- **Backup data centre** – the ability to deploy cloud services in active-standby data centres to maintain service continuation. + +#### 7.4.2 Network resource risk + +Proactive measures for network resource risk include: + +- **Network redundancy** – the ability of the redundancy of the NaaS CSP's network devices and network links. + +- **Network isolation** – the ability of the division of the NaaS CSP's network security domain and network isolation for multitenant. + +NOTE 1 – The network security domain includes the production domain, operation and maintenance management domain, office domain, DMZ domain and Internet domain. + +- **Access control** – the ability to deploy access control mechanisms and setting of access control rules at the boundaries of different network domains. +- **Attack defence** – the ability of monitoring network attack behaviour, recording the attack type, attack time, attack traffic and so on, and taking corresponding defensive measures. +- **Invasion defence** – the ability of detecting network intrusion behaviour, recording the information of intrusion behaviour and taking the corresponding defensive measures. + +NOTE 2 – Intrusion behaviour includes port scanning, SQL injection, command execution, code injection and XSS cross-site attack. + +- **Cable protection** – the ability to use certain security measures to protect the NaaS CSP's cables. + +#### 7.4.3 Computing resource risk + +Proactive measures for computing resource risk include: + +- **Computing resource redundancy** – the ability to ensure the CSP's computing resource redundancy, including the design of high availability of computing resources, dual-machine hot backup, etc. +- **Vulnerability management** – the ability to scan and repair high-risk vulnerabilities, including the vulnerabilities in the collaborative virtual environment (CVE) and other public vulnerability databases, system software vulnerabilities and other high-risk vulnerabilities. +- **Baseline check** – the ability to check on the physical server, virtual host, system software and so on, including the CSC account security check, weak password check, configuration risk check, port status check and process status check. +- **Virus management** – the ability to check and kill viruses, including website backdoors and Trojan horses. + +#### 7.4.4 Storage resource risk + +Proactive measures for storage resource risk include: + +- **Storage redundancy** – the ability to ensure the CSP's storage redundancy in case of system or hardware failure. +- **Data backup strategy** – the ability to take appropriate strategies to back up the data, including full copy and erasure code copy. + +#### 7.4.5 Application risk + +Proactive measures for application risk include: + +- **Web vulnerability management** – the ability to scan and fix web vulnerability, including injection vulnerabilities, cross-site script vulnerabilities, invalid identity authentication and session management, unsafe direct object references, security configuration errors, sensitive information leaks, cross-site request forgery, components containing known vulnerabilities, unverified redirection and forwarding. +- **Web protection management** – the ability to have defence systems for web application. +- **Account security management** – the ability to check the security of CSCs' accounts, including weak password checking, anti-violence cracking and antimalicious registration. + +#### 7.4.6 Data risk + +Proactive measures for data risk include: + +- **Data persistence management** – the ability to take control measures to ensure there is no data lost, such as by making data tamper-proof. +- **Data availability management** – the ability to take control measures to ensure the normal use of data. +- **Data confidentiality management** – the ability to keep data confidential, including through data isolation and data encryption. + +#### 7.4.7 Operation risk + +Proactive measures for operation risk includes: + +- **Monitoring ability** – the ability to monitor all hardware and systems which carry cloud services, including power environment monitoring, physical equipment monitoring, network traffic monitoring, database monitoring and application monitoring and to represent results from a visual monitoring platform. +- **Alarm management** – the ability to provide alarm content management, fault detection and processing. +- **Authority management** – the ability to manage the authority of operation and maintenance personnel, including account management, authentication management, authority management and audit management. +- **Log management** – the ability to carry out log recording and log audit, including through user access logs, operation and maintenance personnel operation logs and system logs. +- **Asset management** – the ability to manage the software and hardware information assets related to cloud services, including information collection, asset change management and statistical reports. +- **Billing management** – the ability to carry out accurate billing, including implementing billing rule settings and billing item configuration. +- **Operation tool management** – the ability to approve, control and monitor the use of information system maintenance tools. + +#### 7.4.8 Shared responsibility risk + +Proactive measures for shared responsibility risk include: + +- **Division of security responsibilities** – the ability to clarify the responsibilities of the CSC and the different roles of CSP. +- **Notification of responsibilities** – the ability to inform the CSC in advance of risk events that are not covered by the CSP. + +## 7.5 Risk estimation + +After identifying key points, threats, vulnerabilities and proactive measures for risk in the cloud computing environment, the risk value is obtained by combining key point weight, threat frequency level and the coefficient of proactive measures. Appendix IV and Appendix V demonstrate the mapping of the key points, threats and proactive measures, among other things. + +Once the proactive measures for risk in clause 7.4 are in place, the corresponding coefficient is 0; otherwise, it is 1. The specific formula is given in Appendix III. + +# 8 Risk treatment in the cloud computing environment + +Based on the results of risk assessment, the risk treatment is selected, whose procedure is presented in Figure 8-1. + +![Flowchart of the Risk treatment process in the cloud computing environment.](4ee27dbf5ef12e7b58b0ef0937bc5a5e_img.jpg) + +``` +graph TD; A[Risk assessment] --> B{Acceptable risk value?}; B -- Yes --> D[Risk acceptance]; B -- No --> C[Risk treatment]; C --> E{Acceptable risk value?}; E -- No --> C; E -- Yes --> D; +``` + +The flowchart illustrates the risk treatment process. It begins with a rectangular box labeled 'Risk assessment'. An arrow points down to a diamond-shaped decision box labeled 'Acceptable risk value?'. From this diamond, a 'Yes' path leads to the right and then down to a rectangular box labeled 'Risk acceptance'. A 'No' path leads down to a rectangular box labeled 'Risk treatment'. From 'Risk treatment', an arrow points down to another diamond-shaped decision box labeled 'Acceptable risk value?'. From this second diamond, a 'No' path leads to the right and then up to the 'Risk treatment' box, creating a loop. A 'Yes' path leads down to the 'Risk acceptance' box. The identifier 'Y.3539(23)' is located at the bottom right of the diagram. + +Flowchart of the Risk treatment process in the cloud computing environment. + +**Figure 8-1 – Risk treatment process in the cloud computing environment** + +## 8.1 Risk reduction + +Risk reduction refers to the ability to reduce the risk level through relevant selection control measures and to enable the residual risk to reach an acceptable level when it is assessed again. Control measures include: + +- Optimizing management system, including objectives, roles, responsibilities and processes. +- Repairing software and hardware defects. +- Introducing advanced technologies and tools in risk management in the cloud computing environment, such as automated monitoring systems and intelligent analysis systems. + +When selecting control measures, the cost of acquiring, implementing, managing, operating, monitoring and maintaining control measures should be weighed against the value of key points for risk management in the cloud computing environment. + +## 8.2 Risk retention + +Risk retention refers to the ability to make the decision of not taking further risk preservation steps based on the risk assessment. If the risk level meets the risk acceptance criteria, then there is no need to implement additional control measures and the risk can be retained. + +## 8.3 Risk avoidance + +Risk avoidance refers to the ability to avoid activities or conditions that cause specific risks. When the identified risk is considered too high or the cost of other risk treatment options exceeds the threshold, the planned or existing activities should be withdrawn to avoid risks. + +The above activities refer to changes made by CSP related with key points for risk management, such as storage architecture adjustments and large-scale data migrations. + +## **8.4 Risk transfer** + +Risk transfer refers to the ability to transfer the risk to another party who can effectively manage the specific risk. The typical approach is to buy insurance that covers cloud service outages, data loss and cyberattacks. + +NOTE – Risk transfer may generate new risks or change existing risks. + +## Appendix I + +### Key point weight for risk management in the cloud computing environment + +(This appendix does not form an integral part of this Recommendation.) + +Table I.1 shows key point weights for different levels in risk management in the cloud computing environment. + +**Table I.1 – Key point weights for different levels in risk management in the cloud computing environment** + +| Weight | Identification | Description | +|--------|----------------|-----------------------------------------------------------------------------| +| 3 | High | Significantly important, it may cause very serious damage to cloud services | +| 2 | Medium | Moderately important, it may cause moderate loss to cloud services. | +| 1 | Low | Less important, it may cause less loss to cloud services. | + +## Appendix II + +### Threat frequency in the cloud computing environment + +(This appendix does not form an integral part of this Recommendation.) + +Table II.1 shows level and description of threat frequency in the cloud computing environment. + +**Table II.1 – Level for threat frequency in the cloud computing environment** + +| Level | Identification | Description | +|-------|----------------|---------------------------------------------------------------------------------------------------| +| 3 | High | Frequency of threats which will inevitably happen in most cases or can be proved to happen often. | +| 2 | Medium | Frequency of threats which may occur in some cases or be proven to have happened. | +| 1 | Low | Frequency of threats which are generally unlikely and have not been proven to happen. | + +## Appendix III + +### The formula of risk estimation + +(This appendix does not form an integral part of this Recommendation.) + +The following formula shows the equation of risk value estimation. + +$$\text{Risk value} = \sum \text{Proactive measure coefficient} * \text{Key point weight} * \text{Threat frequency}$$ + +For example, user data is very important, so its weight is 3. When CSP suffers from frequent theft of user data, its threat frequency is 3. If a CSP has no protection measures for this threat, then the proactive measure coefficient is 1, and the current risk value is 9 based on the above formula. + +## Appendix IV + +### Mapping of threats and key points for risk management in the cloud computing environment + +(This appendix does not form an integral part of this Recommendation.) + +Table IV.1 shows a mapping of threats and key points for risk management in the cloud computing environment. + +The letter 'Y' in a cell formed by the intersection of the table rows and columns designates that a particular threat for cloud service is addressed by a corresponding key point for risk management in the cloud computing environment. + +**Table IV.1 – Mapping of threats and key points for risk management in the cloud computing environment** + +| Risk assessment | | Identification of threats | | | | | | | | | | | | | | | | | +|------------------------------|--------------------|---------------------------|--------------------|------|----------|-------------|-------|------|------------|--------------------|--------------------------------------|------------------|------------------|----------------------------|------------------|---------------------------|-----------------|---------------------| +| | | Environmental factors | | | | | | | | Technical failures | | Human factors | | | | | | | +| | | | | | | | | | | | | Outsider threats | | | | | Insider threats | | +| | | Outage | Static electricity | Dust | Moisture | Temperature | Flood | Fire | Earthquake | Hardware failures | Cloud service software vulnerability | Hacker attack | System intrusion | Unauthorized system access | System tampering | Information eavesdropping | Misoperation | Malicious behaviour | +| Identification of key points | Infrastructure | Y | Y | Y | Y | Y | Y | Y | Y | — | — | — | — | — | — | — | — | — | +| | Network resource | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | Y | Y | — | — | +| | Computing resource | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | Y | Y | — | — | +| | Storage resource | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | Y | Y | — | — | +| | Application | — | — | — | — | — | — | — | — | | Y | Y | Y | Y | Y | Y | — | — | +| | Data | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | Y | Y | — | — | +| | Human factor | — | — | — | — | — | — | — | — | — | — | — | — | — | — | — | Y | Y | +| | Operation | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | + +**Table IV.1 – Mapping of threats and key points for risk management in the cloud computing environment** + +| Risk assessment | Identification of threats | | | | | | | | | | | | | | | | | | +|-----------------------|---------------------------|--------------------|------|----------|-------------|-------|------|------------|--------------------|--------------------------------------|------------------|------------------|----------------------------|------------------|---------------------------|-----------------|---------------------|--| +| | Environmental factors | | | | | | | | Technical failures | | Human factors | | | | | | | | +| | | | | | | | | | | | Outsider threats | | | | | Insider threats | | | +| | Outage | Static electricity | Dust | Moisture | Temperature | Flood | Fire | Earthquake | Hardware failures | Cloud service software vulnerability | Hacker attack | System intrusion | Unauthorized system access | System tampering | Information eavesdropping | Misoperation | Malicious behaviour | | +| Shared responsibility | — | — | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | — | — | | + +## Appendix V + +### Mapping of threats and proactive measures for risk in the cloud computing environment + +(This appendix does not form an integral part of this Recommendation.) + +Table V.1 shows a mapping of threats and proactive measures for risk in the cloud computing environment. + +The letter 'Y' in a cell formed by the intersection of the table rows and columns designates that a particular threat for cloud service is addressed by a corresponding proactive measure for risk. + +**Table V.1 – Mapping of threats and proactive measures for risk in the cloud computing environment** + +| Risk assessment | | | Identification of threats | | | | | | | | | | | | | | | | | +|-----------------------------|---------------------|-----------------------------|---------------------------|--------------------|------|----------|-------------|-------|------|--------------------|-------------------|--------------------------------------|------------------|------------------|----------------------------|------------------|---------------------------|--------------|---------------------| +| | | | Environmental factors | | | | | | | Technical failures | | Human factors | | | | | | | | +| | | | Outage | Static electricity | Dust | Moisture | Temperature | Flood | Fire | Earthquake | Hardware failures | Cloud service software vulnerability | Outsider threats | | | | Insider threats | | | +| | | | | | | | | | | | | | Hacker attack | System intrusion | Unauthorized system access | System tampering | Information eavesdropping | Misoperation | Malicious behaviour | +| Proactive measures for risk | Infrastructure risk | Power redundancy | Y | — | — | — | — | — | — | — | — | — | — | — | — | — | — | — | — | +| | | Air conditioning redundancy | — | — | — | Y | Y | — | — | — | — | — | — | — | — | — | — | — | — | +| | | Reliability of building | — | Y | Y | — | — | Y | Y | Y | — | — | — | — | — | — | — | — | — | +| | | Entrance limitation | — | — | — | — | — | — | — | — | — | — | — | — | — | — | — | — | Y | +| | | Fire protection | — | — | — | — | — | — | Y | — | — | — | — | — | — | — | — | — | — | +| | | Backup data centre | Y | — | — | — | — | Y | Y | Y | — | — | — | — | — | — | — | — | — | + +**Table V.1 – Mapping of threats and proactive measures for risk in the cloud computing environment** + +| Risk assessment | | Identification of threats | | | | | | | | | | | | | | | | | | +|-------------------------|-------------------------------|---------------------------|--------------------|------|----------|-------------|-------|------|------------|--------------------|--------------------------------------|------------------|------------------|----------------------------|------------------|---------------------------|-----------------|---------------------|--| +| | | Environmental factors | | | | | | | | Technical failures | | Human factors | | | | | | | | +| | | | | | | | | | | | | Outsider threats | | | | | Insider threats | | | +| | | Outage | Static electricity | Dust | Moisture | Temperature | Flood | Fire | Earthquake | Hardware failures | Cloud service software vulnerability | Hacker attack | System intrusion | Unauthorized system access | System tampering | Information eavesdropping | Misoperation | Malicious behaviour | | +| Network resource risk | Network redundancy | Y | — | — | — | — | — | — | — | Y | Y | — | — | — | — | — | — | — | | +| | Network isolation | Y | — | — | — | — | — | — | — | Y | Y | — | — | — | — | — | — | — | | +| | Access control | — | — | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | — | — | | +| | Attack defence | — | — | — | — | — | — | — | — | — | Y | Y | — | — | — | — | — | — | | +| | Invasion defence | — | — | — | — | — | — | — | — | — | Y | — | Y | Y | Y | Y | — | — | | +| | Cable protection | — | — | — | — | — | Y | Y | Y | — | — | — | — | — | — | — | — | — | | +| Computing resource risk | Computing resource redundancy | — | — | — | — | — | — | — | — | Y | — | — | — | — | — | — | — | — | | +| | Vulnerability management | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | Y | Y | — | — | | +| | Baseline check | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | Y | Y | Y | Y | | +| | Virus management | — | — | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | — | — | | + +**Table V.1 – Mapping of threats and proactive measures for risk in the cloud computing environment** + +| Risk assessment | | Identification of threats | | | | | | | | | | | | | | | | | | +|-----------------------|---------------------------------|---------------------------|--------------------|------|----------|-------------|-------|------|------------|--------------------|--------------------------------------|------------------|------------------|----------------------------|------------------|---------------------------|-----------------|---------------------|--| +| | | Environmental factors | | | | | | | | Technical failures | | Human factors | | | | | | | | +| | | | | | | | | | | | | Outsider threats | | | | | Insider threats | | | +| | | Outage | Static electricity | Dust | Moisture | Temperature | Flood | Fire | Earthquake | Hardware failures | Cloud service software vulnerability | Hacker attack | System intrusion | Unauthorized system access | System tampering | Information eavesdropping | Misoperation | Malicious behaviour | | +| Storage resource risk | Storage devices redundancy | — | — | — | — | — | — | — | — | Y | Y | — | — | — | — | — | — | — | | +| | Data backup strategy | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | | +| Application risk | Web vulnerability management | — | — | — | — | — | — | — | — | — | Y | — | — | — | — | — | — | — | | +| | Web protection management | — | — | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | — | — | | +| | Account security management | — | — | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | Y | Y | | +| Data risk | Data persistence management | — | — | — | — | — | — | — | — | Y | Y | — | — | — | — | — | — | — | | +| | Data availability management | — | — | — | — | — | — | — | — | Y | Y | — | — | — | — | — | — | — | | +| | Data confidentiality management | — | — | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | — | — | | +| Operation risk | Monitoring ability | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | — | — | — | — | — | Y | Y | | +| | Alarm management | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | — | — | — | — | — | Y | Y | | +| | Authority management | — | — | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | Y | Y | | + +**Table V.1 – Mapping of threats and proactive measures for risk in the cloud computing environment** + +| Risk assessment | | Identification of threats | | | | | | | | | | | | | | | | | +|-----------------------------------|-------------------------------------------|---------------------------|--------------------|------|----------|-------------|-------|------|------------|--------------------|--------------------------------------|------------------|------------------|----------------------------|------------------|---------------------------|-----------------|---------------------| +| | | Environmental factors | | | | | | | | Technical failures | | Human factors | | | | | | | +| | | | | | | | | | | | | Outsider threats | | | | | Insider threats | | +| | | Outage | Static electricity | Dust | Moisture | Temperature | Flood | Fire | Earthquake | Hardware failures | Cloud service software vulnerability | Hacker attack | System intrusion | Unauthorized system access | System tampering | Information eavesdropping | Misoperation | Malicious behaviour | +| | Log management | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | — | — | — | — | — | Y | Y | +| | Asset management | — | — | — | — | — | — | — | — | Y | Y | — | — | — | — | — | — | — | +| | Billing management | — | — | — | — | — | — | — | — | — | — | — | — | — | — | — | Y | Y | +| | Operation and maintenance tool management | — | — | — | — | — | — | — | — | — | — | — | — | — | — | — | Y | Y | +| Shared responsibility risk | Division of security responsibilities | — | — | — | — | — | — | — | — | — | — | Y | Y | Y | Y | Y | — | — | +| | Notification of responsibilities | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | — | — | + +# Bibliography + +- [b-ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014) | ISO/IEC 17788:2014, *Information technology – Cloud computing – Overview and vocabulary*. +- [b-ISO/IEC 27000] ISO/IEC 27000:2018, *Information technology – Security techniques – Information security management systems – Overview and vocabulary*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3540-202310-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3540-202310-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..5dfcebd8d5177fc9e5e24a91ef3aa9cf7734d435 --- /dev/null +++ b/marked/Y/T-REC-Y.3540-202310-I_PDF-E/raw.md @@ -0,0 +1,722 @@ + + +# Recommendation + +# **ITU-T Y.3540 (10/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Cloud Computing + +--- + +## **Edge computing – Overview and high-level requirements** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3540 + +## Edge computing – Overview and high-level requirements + +## Summary + +Recommendation ITU-T Y.3540 gives an overview and high-level requirements for edge computing. For edge computing, Recommendation ITU-T Y.3540 defines related terms, and gives an overview of its concept, common characteristics and operational ecosystem with main roles. Recommendation ITU-T Y.3540 also describes orchestration aspects for edge computing and its relationship with other technologies. Recommendation ITU-T Y.3540 provides high-level requirements through various use cases. + +### History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3540 | 2023-10-22 | 13 | 11.1002/1000/15538 | + +## Keywords + +Edge computing, edge computing ecosystem, high-level requirements. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +### INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-------------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Convention..... | 3 | +| 6 | Overview of edge computing..... | 3 | +| | 6.1 Concept of edge computing..... | 3 | +| | 6.2 Common characteristics of edge computing ..... | 6 | +| 7 | Ecosystem for edge computing..... | 7 | +| | 7.1 Edge-computing customer..... | 7 | +| | 7.2 Edge-computing partner ..... | 7 | +| | 7.3 Edge-computing provider..... | 7 | +| | 7.4 Operations by main roles in edge computing..... | 8 | +| 8 | The technical view of edge computing..... | 8 | +| | 8.1 Orchestration aspects of edge computing..... | 8 | +| | 8.2 Relationship with other technologies ..... | 9 | +| 9 | High-level requirements of edge computing ..... | 10 | +| 10 | Security considerations..... | 10 | +| | Appendix I – Analysis of edge computing for common characteristics from various
application domains in industry..... | 11 | +| | Appendix II – General use case for edge computing..... | 15 | +| | Appendix III – Use cases for edge computing..... | 17 | +| | Bibliography..... | 24 | + + + +# Recommendation ITU-T Y.3540 + +## Edge computing – Overview and high-level requirements + +# 1 Scope + +This Recommendation gives an overview and high-level requirements for edge computing. It addresses the following: + +- an overview of edge computing; +- an overview of the roles of individual actors in edge-computing operation; +- a technical view of edge computing; +- high-level requirements for edge computing. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3073] Recommendation ITU-T Y.3073 (2019), *Framework for service function chaining in information-centric networking*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud computing** [b-ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications and storage equipment. + +**3.1.2 cloud service** [b-ITU-T Y.3500]: One or more capabilities offered via cloud computing invoked using a defined interface. + +**3.1.3 cloud service provider** [b-ITU-T Y.3500]: Party which makes cloud services available. + +**3.1.4 edge computing** [ITU-T Y.3073]: This refers to a strategy to deploy processing capability at network edge where end terminals are connected, and to perform the processing of data which is derived from and fed to the end terminals. + +**3.1.5 Internet of things (IoT)** [b-ITU-T Y.2060]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.6 party** [b-ISO 27729]: Natural person or legal person, whether or not incorporated, or a group of either. + +**3.1.7 role** [b-ITU-T Y.3502]: A set of activities that serves a common purpose. + +**3.1.8 quality of service** [b-ITU-T Q.1743]: The collective effect of service performances, which determine the degree of satisfaction of a user of a service. It is characterized by the combined aspects of performance factors applicable to all services, such as: + +- service operability performance; +- service accessibility performance; +- service retainability performance; +- service integrity performance; and +- other factors specific to each service. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 edge computing application:** Business logic deployed and delivered to users using edge computing service. + +**3.2.2 edge computing customer:** A party corresponding to a natural person or an entity in a business relationship to use an edge computing application or edge computing service. + +**3.2.3 edge computing infrastructure:** Resources that provide processing, network and storage at or near a physical location close to user in edge computing. + +**3.2.4 edge computing partner:** A party that supports or assists an edge computing provider or an edge computing customer, or both. + +**3.2.5 edge computing provider:** A party providing edge computing application available to edge computing customer, and edge computing services available to edge computing customer and edge computing partner. + +**3.2.6 edge computing service:** One or more capabilities provided on edge computing infrastructure. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|---------------------------------------------| +| AI | Artificial Intelligence | +| AR | Augmented Reality | +| CCTV | Closed Circuit Television | +| CPN | Computing Power Network | +| ECC | Edge-Computing Customer | +| ECN | Edge-Computing Partner | +| ECP | Edge-Computing Provider | +| HD | High Definition | +| IMT-2020 | International Mobile Telecommunication 2020 | +| IoT | Internet of Things | +| IP | Internet Protocol | + +| | | +|------|-----------------------------| +| MEC | Multi-access Edge Computing | +| NVMe | Non-Volatile Memory express | +| PaaS | Platform as a Service | +| QoS | Quality of Service | +| RAM | Random Access Memory | +| URL | Uniform Resource Locator | +| V2X | Vehicle to everything | +| VM | Virtual Machine | +| VR | Virtual Reality | +| WiFi | Wireless Fidelity | + +# 5 Convention + +The phrase "is required" indicates a requirement that must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The phrase "is recommended" indicates a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +In the body of this Recommendation and its annexes, the words "shall", "shall not", "should" and "may" sometimes appear, in which case they are to be interpreted, respectively, as "is required", "is prohibited from", "is recommended", and "can optionally". The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative are to be interpreted as having no normative intent. + +# 6 Overview of edge computing + +### 6.1 Concept of edge computing + +Edge computing is a computing technology to deploy processing capability at a network edge to which end terminals are connected, and to process data that is derived from and fed to the end terminals [ITU-T Y.3073]. A network edge corresponds to a physical location where data are generated or consumed. + +Figure 6-1 shows edge computing in terms of the physical location of the computing process. Edge computing users include individuals, applications or systems that generate data (e.g., sensors at the edge of networks). Edge computing users differ from the traditional user of a network because they use applications and services that are deployed as close to them as possible. + +Edge computing comprises an application, service and infrastructure, which are described in clauses 6.1.1 to 6.1.3. + +![A conceptual diagram of edge computing showing the flow from users and data generators through edge computing applications, services, and infrastructure to a central data centre.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +The diagram illustrates the architecture of edge computing. At the top, a 'User' (represented by a person icon and a mobile phone) and a 'Data generator' (represented by a factory icon and a camera) are shown. Arrows from both point to a large box representing the 'Edge computing' layer. This layer is divided into three horizontal sections: 'Edge computing application' (top), 'Edge computing service' (middle), and 'Edge computing infrastructure' (bottom). A dashed arrow points from the 'Edge computing application' section to the 'Data centre, cloud computing' box at the bottom. The 'Data centre, cloud computing' box contains icons of server racks and a cloud. A dashed arrow also points from the 'Data centre, cloud computing' box back to the 'Edge computing application' section. The diagram is labeled with 'At physical location' near the user, 'Near physical location' near the edge computing layer, and 'Far physical location' near the data centre. The reference 'Y.3540(23)' is at the bottom right. + +A conceptual diagram of edge computing showing the flow from users and data generators through edge computing applications, services, and infrastructure to a central data centre. + +**Figure 6-1 – A conceptual diagram of edge computing** + +#### 6.1.1 Edge-computing application + +In edge computing, an application is business logic delivered to users using a service at or near a physical location. Furthermore, the application is then deployed on infrastructure using services in edge computing. + +An edge-computing application is used in various application domains such as smart factory, gaming, autonomous vehicle, transportation, smart city, smart retail, smart robot, smart home, healthcare, smart agriculture, smart grid and smart building (see Appendix I). + +Examples of edge-computing applications are described as follows. + +- Autonomous vehicle: edge computing enables autonomous vehicles: to make real-time decision without the help of a data centre; improves safety; and reduces latency. +- Smart city: edge computing is used to monitor and manage smart city infrastructure such as traffic signal control, smart parking and energy consumption. +- Retail: edge computing enables retail to analyse customer data in real time, allowing target marketing and improvement in the customer shopping experience. +- Healthcare: edge computing processes patient data for personal care, improving the speed and accuracy of diagnosis, treatment and patient monitoring. +- Manufacturing: edge computing improves manufacturing processes by enabling real-time monitoring and optimization of production line. + +An edge-computing application processes user proximity data in real time and low latency over the network. For low latency, an edge-computing application uses a high-speed network to connect to the user and maintain seamless connection between that application and the user end terminal. + +#### 6.1.2 Edge-computing service + +In edge computing, a service is one or more capabilities to provide an application on infrastructure, as shown in Figure 6-2. + +![Diagram illustrating the concept of edge-computing service. It shows a central box labeled 'Edge computing service' containing a sub-box 'Edge computing capability'. An arrow labeled 'Enable capabilities' points from the service box to an 'Edge computing application' box above it. Another arrow labeled 'Use infrastructures' points from the service box to an 'Edge computing infrastructure' box below it. The reference 'Y.3540(23)' is located at the bottom right of the diagram.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +``` + +graph TD + ECA[Edge computing application] + subgraph ECS [Edge computing service] + ECC[Edge computing capability] + end + ECI[Edge computing infrastructure] + + ECS -- "Enable capabilities" --> ECA + ECS -- "Use infrastructures" --> ECI + +``` + +Y.3540(23) + +Diagram illustrating the concept of edge-computing service. It shows a central box labeled 'Edge computing service' containing a sub-box 'Edge computing capability'. An arrow labeled 'Enable capabilities' points from the service box to an 'Edge computing application' box above it. Another arrow labeled 'Use infrastructures' points from the service box to an 'Edge computing infrastructure' box below it. The reference 'Y.3540(23)' is located at the bottom right of the diagram. + +**Figure 6-2 – The concept of edge-computing service** + +In edge computing, a service provides network and computing capabilities based on requirements and requests from applications. + +The typical capabilities of an edge-computing service include the following. + +- **User proximity capability:** deployment of an edge-computing application at or near physical location to reduce latency. +- **Network connectivity capability:** connection of pieces of edge-computing and other infrastructure to provide a service and application in edge computing. +- **Data proximity capability:** storage and processing of data at or near edge-computing applications. +- **Cooperation capability:** sharing resources in infrastructure, load balancing and offloading of an application in edge computing. + +NOTE – As an example, the offloading of an edge-computing application includes transferring the role of resource-intensive computational processing to a data centre or cloud computing with a hardware accelerator or larger-scaled computing resources. + +- **Orchestration capability:** in edge computing, coordination and management of a service and infrastructure as well as deployment, execution, control, and scheduling an application. + +In edge computing, a service is possibly combined with other services to provide capabilities. An edge-computing service uses services from other infrastructure such as cloud service. + +#### 6.1.3 Edge-computing infrastructure + +Edge-computing infrastructure is the physical or software resources at or near a physical location where edge-computing applications run and store data. Examples of edge-computing infrastructure are shown in Figure 6-3. + +Edge-computing infrastructure includes a set of physical and software resources, the connected form of resources and other technology infrastructure (e.g., cloud computing and data centre). + +- Physical resources include a single node, laptop, embedded system device or mobile device and small-scale data centre. +- Software resources include software programs, operating system, software platform, virtual resources such as container and virtual machine or virtual resource provided by a cloud service provider. + +![Diagram illustrating an example of edge computing infrastructure. The diagram shows three main layers: 'At physical location' (User and Data generator), 'Near physical location' (Edge computing application, service, and infrastructure), and 'Far physical location' (Data centre, cloud computing). A dashed box on the left lists various devices and infrastructure components. Arrows indicate data flow from users and data generators through edge computing services to the cloud data center.](d4af765160d04ecef538e5066006dc77_img.jpg) + +The example of edge computing infrastructure + +At physical location: User, Data generator + +Near physical location: Edge computing application, Edge computing service, Edge computing infrastructure + +Far physical location: Data centre, cloud computing + +Devices and Infrastructure: + +- End terminal or small device with small computing capability: Tablet, Mobile, CCTV with processor, Vehicles, Laptop, WiFi AP +- Infrastructure with ability for computing, network and storage: Cloud service provider, Small scale datacentre, Cluster, Clustered node, Single node, Telco/ IMT-2020 base station, Switch/router gateway + +Y.3540(23) + +Diagram illustrating an example of edge computing infrastructure. The diagram shows three main layers: 'At physical location' (User and Data generator), 'Near physical location' (Edge computing application, service, and infrastructure), and 'Far physical location' (Data centre, cloud computing). A dashed box on the left lists various devices and infrastructure components. Arrows indicate data flow from users and data generators through edge computing services to the cloud data center. + +IMT-2020: International Mobile Telecommunication 2020; CCTV: closed circuit television; WiFi: wireless fidelity + +**Figure 6-3 – An example of edge-computing infrastructure** + +Edge-computing infrastructure has resources to perform edge-computing services. For example, in edge computing, user proximity capability uses infrastructure to deploy an application at or near a physical location close to user. Furthermore, network connectivity capability uses a network for connection among pieces of edge-computing infrastructure. Furthermore, data proximity capability uses data storage at the network edge. Cooperation capability uses high-performance resources for storage sharing, load balance and offloading of edge-computing applications. + +NOTE 1 – High-performance resources include a graphics processing unit, field programmable gateway array, storage such as main memory, random access memory (RAM) and non-volatile memory express (NVMe). + +NOTE 2 – According to clause 6 of [b-ITU-T Y.2501], the computing power network (CPN) is described as "a new type of network that realizes optimized resource allocation, by distributing computing, storage, network and other resource information of service nodes through a network control plane (such as a centralized controller, distributed routing protocol, etc.)". From the perspective of edge computing, the CPN is considered as a resource to provide network connectivity capability in infrastructure. + +NOTE 3 – In edge computing, the resources available at the network edge are capable of steering traffic between users and applications. These network resources include switches, gateways, routers, security middleboxes and access points, and may be implemented in either hardware or software. + +### 6.2 Common characteristics of edge computing + +Common characteristics of edge computing are derived from its concept. The common characteristics of edge computing are as follows. + +- **Low latency:** edge computing reduces the data transfer time between source and destination for its applications when response time is critical. +- **Network connection between infrastructure:** edge computing relies on reliable and fast network connectivity between its own and other infrastructure. +- **Data processing close to user:** edge computing processes data at or near the physical location where they are generated and consumed. + +- **Minimal bandwidth consumption:** edge computing transfers minimal data to reduce network bandwidth. Edge computing shares and synchronizes data for minimal bandwidth consumption. +- **Scalability of infrastructure:** edge computing scales its infrastructure up or down when connecting to a large data centre or cloud computing. + +NOTE 1 – According to various application domains, different characteristics of edge computing are identified. The justification of common characteristics of edge computing is described in Appendix I. + +NOTE 2 – The common characteristics of edge computing provide improvement of its quality of service (QoS). Reducing latency, enabling nearby data processing and optimization of bandwidth usage improve QoS in terms of speed of use experience. Minimizing dependency on a centralized infrastructure and ensuring continuous operations on edge-computing infrastructure enhance QoS in reliability. + +# 7 Ecosystem for edge computing + +The edge-computing ecosystem describes the fundamental parties required to perform edge computing and the roles of their actions. + +The main edge computing roles are as follows: + +- edge-computing customer (ECC); +- edge-computing partner (ECN); +- edge-computing provider (ECP). + +### 7.1 Edge-computing customer + +In edge computing, an ECC is a party corresponding to a natural person or an entity in a business relationship to use an application or service. An ECC includes any user, application or system such as a generator to generate or consume data. An ECC includes an administrator for all operational processes of an edge-computing service to ensure use by its customers. An ECC includes a manager that is responsible for the use of an edge-computing application to meet a business goal. An ECC monitors services and infrastructure in edge computing. + +### 7.2 Edge-computing partner + +An ECN is a party that supports or assists an ECP or an ECC, or both. In edge computing, the ECN develops a service and application to enable its capability and integrate different services. + +An ECN designs and creates capability of edge computing to develop its service. An ECN also enhances an edge-computing service. An ECN designs an interface for an ECC to use an application, service and infrastructure in edge computing. + +### 7.3 Edge-computing provider + +In edge computing, an ECP is a party making an application available to an ECC, and services available to an ECC and ECN. An ECP delivers, manages and operates, in edge computing, services and applications to ensure the provision of a service to an ECC via its infrastructure. + +In edge computing, an ECP provides an application to meet the business goals of an ECC, and a service to operate, manage and develop the application using its service. + +In edge computing, an ECP provides infrastructure, orchestrates a service and application, offers a service to an ECC, manages security, risks and service continuity for applications, handles customer requests, etc. + +NOTE – In edge computing, [b-ITU-T Y.3123] provides a platform, which is a functional component to provide capabilities of three kinds, i.e., edge network, edge application and general information technology. From the perspectives of an ECP, an edge-computing platform is considered as one of its functional components. + +### 7.4 Operations by main roles in edge computing + +In edge computing, Figure 7-1 shows an example of operations on infrastructure, service and application by main roles. + +![Figure 7-1: Example of operations by main roles in edge computing. The diagram illustrates the interactions between various roles and components in an edge computing system. At the top, three main roles are shown: ECP (Edge Computing Provider), ECN (Edge Computing Network), and ECC (Edge Computing Client). Below them are several components: 'Edge computing service' (containing 'Capability of edge computing'), 'Edge computing application', 'Edge computing infrastructure', 'Service of cloud computing or IoT and etc.', 'Infrastructure for large scale data centre and cloud computing', and 'Other resources'. Numbered arrows (1-14) indicate the flow of operations between these entities. For example, ECP provides a service (1), ECN develops a service and application (2), and ECC administers services (3). The diagram also shows data storage and processing flows, such as an application storing data in infrastructure (5) and infrastructure using other resources (10).](4ee27dbf5ef12e7b58b0ef0937bc5a5e_img.jpg) + +Figure 7-1: Example of operations by main roles in edge computing. The diagram illustrates the interactions between various roles and components in an edge computing system. At the top, three main roles are shown: ECP (Edge Computing Provider), ECN (Edge Computing Network), and ECC (Edge Computing Client). Below them are several components: 'Edge computing service' (containing 'Capability of edge computing'), 'Edge computing application', 'Edge computing infrastructure', 'Service of cloud computing or IoT and etc.', 'Infrastructure for large scale data centre and cloud computing', and 'Other resources'. Numbered arrows (1-14) indicate the flow of operations between these entities. For example, ECP provides a service (1), ECN develops a service and application (2), and ECC administers services (3). The diagram also shows data storage and processing flows, such as an application storing data in infrastructure (5) and infrastructure using other resources (10). + +Y.3540(23) + +- ① In edge computing, an ECP provides a service with its capability +- ② In edge computing, an ECN develops a service and application +- ③ In edge computing, an ECC) administers, controls and manages services provided to developers +- ④ In edge computing, an ECC uses an application to store and send data +- ⑤ In edge computing, an application stores data in infrastructure near their physical location +- ⑥ In edge computing, an ECC uses an application with minimization of data transfer +- ⑦ An edge-computing application processes or sends data on request from an ECC +- ⑧ An ECC controls and manages an edge-computing application +- ⑨ In edge computing, a service enables an application with its capabilities +- ⑩ Edge-computing infrastructure uses other resources to scale up and expand resources for network connectivity capability, if necessary +- ⑪ Edge-computing infrastructure uses other infrastructure for network connectivity capability, if necessary +- ⑫ An edge-computing application replicates or migrates to other resources for cooperation capability, if necessary +- ⑬ An edge-computing application offloads to a large-scale data centre for cooperation capability, if necessary +- ⑭ In edge computing, a service uses another service to support an application, if necessary + +**Figure 7-1 – Example of operations by main roles in edge computing** + +# 8 The technical view of edge computing + +### 8.1 Orchestration aspects of edge computing + +In edge computing, orchestration is the coordination and management of infrastructure, and ensures that infrastructure, services and applications work together seamlessly and efficiently to deliver according to user requirements. Examples of aspects of orchestration in edge computing include the following. + +- **Infrastructure management:** management of pieces of edge-computing infrastructure, ensuring that they are properly configured and maintained, and managing their software updates and patches. + +NOTE 1 – In edge computing, orchestration includes management of multiple pieces of infrastructure connected by software (e.g., agents or gateway software) or the management of a single resource within one piece. + +- **Service management:** in edge computing, provision of services, management of service level agreements and monitoring services, e.g., for downtime and performance. + +NOTE 2 – Service management includes the discovery of an edge-computing application using its interface (Internet protocol (IP) address, domain name or uniform resource locator (URL)) for decentralized processing. + +- **Data management:** management of large amounts of data that are generated at the edge, using data filtering, processing, aggregation and analysis to reduce the use of network resources. +- **Network management:** management of network connections between edge-computing and other infrastructure, including management of bandwidth, and ensuring network reliability and security. +- **Resource management:** monitoring and optimization of the use of computing, storage and network resources to ensure that an edge-computing service and application operate efficiently. +- **Security and privacy:** management of authentication, encryption and access controls to protect edge-computing application, service and infrastructure. +- **Application management:** management of the development, deployment and maintenance of an edge-computing application, ensuring that it operates reliably and efficiently. +- **Cooperation management:** management of task offloading, load balance and resource sharing of an edge-computing application to enhance its performance, reliability, and efficiency. + +NOTE 3 – Task offloading includes migration such as control process with checking edge-computing application status, checking the destination of edge-computing infrastructure, saving the current status of edge-computing application as a snapshot of application's image, and restoring the snapshot. + +- **High-availability management:** for edge computing, provision of uninterrupted and reliable access to its application and service, even if hardware or software fails, a network is disrupted or other unexpected events occur. + +NOTE 4 – High-availability management provides a load balancer or high-availability proxy that periodically checks the connection, and performs a failover with a new connection using the service exposure if disconnected. + +### 8.2 Relationship with other technologies + +In edge computing, services of other technologies are used to provide its own service. Figure 8-1 illustrates the relationship with edge computing in terms of utilizing the services of other technologies such as cloud computing. As an example, edge computing utilizes cloud service (such as infrastructure as a service, platform as a service (PaaS) and software as a service) as its own service. Also, in IoT, services for an application, platform and network as described in [b-ITU-T Y.4100] are candidates as those that edge-computing services utilize for edge-computing capability. + +![Diagram illustrating the relationship between edge computing services and other technologies. A box labeled 'Edge computing service' contains a sub-box 'Capabilities of edge computing'. An arrow labeled 'Use service of other technology' points from this box to a box labeled 'Technologies providing service (Cloud computing)'. The reference 'Y.3540(23)' is located below the second box.](a7c51c18111139f9aca2805114108565_img.jpg) + +``` +graph LR; A[Edge computing service +Capabilities of edge computing] -- "Use service of other technology" --> B[Technologies providing service +(Cloud computing)]; +``` + +Y.3540(23) + +Diagram illustrating the relationship between edge computing services and other technologies. A box labeled 'Edge computing service' contains a sub-box 'Capabilities of edge computing'. An arrow labeled 'Use service of other technology' points from this box to a box labeled 'Technologies providing service (Cloud computing)'. The reference 'Y.3540(23)' is located below the second box. + +Figure 8-1 – The relationship in terms of the utilization of services + +# 9 High-level requirements of edge computing + +According to its application, the following high-level requirements of edge computing are considered. Not all applications of edge computing are needed to meet all its high-level requirements. + +- **(User proximity)** It is required that edge computing provide its infrastructure at or near the physical location of an ECC to operate its application. +- **(Minimization of latency)** It is required that edge computing minimize latency with consideration of user proximity. +- **(Network connectivity for infrastructure)** It is required that edge computing provide network connection between pieces of edge-computing and other infrastructure such as cloud computing and data centres. +- **(Data affinity)** It is required that edge computing provide data close to its application. +- **(Mobility supports)** It is required that edge computing support its application to move or relocate within a network while maintaining its connectivity. +- **(Infrastructure interface)** It is required that edge computing provide interfaces with its infrastructure. +- **(Cooperation among applications)** It is required that edge computing cooperate with its applications by resource sharing, load balancing and task offloading. +- **(Resource provisioning)** It is required that edge computing provide edge-computing infrastructure for physical or software resources. +- **(User authentication)** It is required that edge computing authenticate users for access to its applications and services. +- **(Data privacy)** It is required that edge computing protect user data. +- **(Provision of service)** It is required that edge computing provide its service enabled with its capability. +- **(Orchestration)** It is recommended that edge computing deploy, execute, control, schedule and coordinate its own applications, as well as coordinating and managing its infrastructure and services. + +# 10 Security considerations + +Security threats and requirements in [b-ITU-T X.1815] need to be considered for edge computing. In edge computing, [b-ITU-T X.1815] analyses the deployment scheme and typical application scenarios of its services, specifies the threats and requirements specific to them in IMT-2020 and thus establishes security capabilities for the operator to safeguard its applications. + +Security aspects for consideration within the edge-computing environment, can be also addressed by security challenges for cloud computing as described in [b-ITU-T X.1601] and [b-ITU-T X.1644]. In particular, for security, [b-ITU-T X.1601] analyses threats and challenges, and describes capabilities that could mitigate the former and meet the latter. For security on a distributed cloud, [b-ITU-T X.1644] analyses threats and challenges and proposes guidelines against the former. + +Relevant security requirements of [b-ITU-T Y.2701] and applicable ITU-T X-, ITU-T Y- and ITU-T M-series Recommendations need to be taken into consideration, including access control, authentication, data confidentiality, data retention policy, network security, data integrity, availability and privacy. + +## Appendix I + +### Analysis of edge computing for common characteristics from various application domains in industry + +(This appendix does not form an integral part of this Recommendation.) + +This appendix lists well-known application domains of edge computing in order to derive its common characteristics. The characteristics of edge computing are summarized in Table I.1. + +**Table I.1 – The applications of edge computing and its characteristics** + +| Application domain | Usage of edge computing in application domain | Characteristics derived from usage of edge computing | +|--------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Autonomous vehicle |
  • • Safe-driving
  • • Cooperative driver assistant
  • • Cellular vehicle-to-everything communication
  • • Smart city and IMT-2020, transportation system integration
  • • Charging stations – Predict and plan
  • • Personalized infotainment or reconfigurable cluster fleet management – A managed environment respecting policy and optimizations
  • • Cloud-connected drones
|
  • • Low latency
  • • Network connectivity
  • • Minimal bandwidth consumption
  • • Support of mobility
| +| Industry and manufacture |
  • • Real-time coordination of manufacturing processes using data from multiple machines, processes and systems
  • • Edge-based conditional monitoring and filtering
  • • Maintenance prediction through data analysis
  • • Cloud use for flexible manufacturing processes (manufacturing as a service)
  • • Eliminating downtime with industrial edge computing
  • • Visibility into production cycles to optimize production
  • • Machine learning and sensor fusion for industrial applications to provide an autonomous control platform
  • • Robotics and automated factories
|
  • • Low latency
  • • Proximity of user to data
  • • Minimal bandwidth consumption
  • • Support of mobility
  • • Scalability of infrastructure
| +| Smart city |
  • • Traffic signal control
  • • Work zone warnings
  • • Transit bus traffic signal priority
  • • School zone flashing beacons
  • • Changeable message signs
  • • Pay-as-you-drive insurance
  • • Smart parking
|
  • • Low latency
  • • Network connectivity
  • • Proximity of user to data
  • • Minimal bandwidth consumption
  • • Support of mobility
  • • Scalability of infrastructure
| + +**Table I.1 – The applications of edge computing and its characteristics** + +| Application domain | Usage of edge computing in application domain | Characteristics derived from usage of edge computing | +|--------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • Controlling lighting to support energy consumption and adjusting lights based on city conditions
  • CCTV control and monitoring
  • Crowd management
  • Aiding police to solve crimes
  • Smart waste management
| | +| Smart home |
  • Controlling energy and water consumption, home applications remotely with security system
  • Home automation using real-time data
  • Smart home appliances (washing machines, refrigerators, speakers, televisions and security systems) based on artificial intelligence (AI)
  • Room temperature, humidity and CO2 measured among other things and displayed on mobile devices
|
  • Network connectivity
  • Proximity of user to data
  • Minimal bandwidth consumption
  • Scalability of infrastructure
| +| Smart retail |
  • Cold chain management for store efficiency and guaranteeing secure and hazard analysis and critical control point-compliant cooling systems
  • Occupancy management
  • Real-time supply-chain monitoring
  • Queue management
  • Omni-channel shopping – optimum personalized combination of all contact points
  • Intelligent logistics
  • Real-time product location tracking
  • Real-time weight sensor and product image recognition
  • Real-time employee facial and gesture recognition
|
  • Low latency
  • Network connectivity
  • Proximity of user to data
  • Minimal bandwidth consumption
| +| Smart agriculture |
  • Smart greenhouse
  • Control of soil erosion for agriculture
  • Water management for sustainable farming
  • Precision fertilization
  • Automated irrigation and compliance
  • Grain bin level monitoring and control
  • Herd health tracking
  • Smart weeding
  • Autonomous tractors
  • Agriculture drones
|
  • Low latency
  • Network connectivity
  • Proximity of user to data
  • Support of mobility
| + +**Table I.1 – The applications of edge computing and its characteristics** + +| Application domain | Usage of edge computing in application domain | Characteristics derived from usage of edge computing | +|---------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Smart grid |
  • • Demand prediction for smart power grids
  • • Grid edge
  • • Decentralizing energy delivery, enabling people to quickly connect to and disconnect from the larger grid and generate and deliver electricity locally
  • • Distributed energy resources
  • • Micro-grid
  • • Energy-as-a-service
  • • Multi-transport network platforms, distributed intelligence and low voltage distribution management
|
  • • Network connectivity
  • • Scalability of infrastructure
| +| Smart building |
  • • Workplace distancing and contact tracing
  • • Lift monitoring and predictive maintenance
  • • Space monitoring
  • • Usage-based cleaning
  • • Indoor navigation
  • • Air quality management
  • • Parking lot monitoring
  • • Local energy management
  • • Integrated workplace management system
  • • Better utilization of building assets and services, which occurs when building managers use edge AI to keep an eye on critical systems like elevators, fire alarms and fire extinguishers
|
  • • Low latency
  • • Proximity of user to data
  • • Minimal bandwidth consumption
  • • Support of mobility
  • • Scalability of infrastructure
| +| Healthcare |
  • • Fall detection
  • • Remote patient monitoring
  • • Mobile-to-mobile connectivity across or between medical devices, allowing the tracking of people and assets within the facility
  • • Improved medical procedures and training through the use of emerging technologies such as augmented reality (AR) and virtual reality (VR)
  • • Remote and virtual pain management using AR and VR
  • • Remote or near real-time surgical assistance via the ability to layer multiple surgical techniques using AR
  • • Telemedicine
  • • Patient monitoring that leverages medical devices such as insulin pumps, smart lenses and pacemakers
  • • Wearables and connected apps that track various health metrics
|
  • • Low latency
  • • Network connectivity
  • • Proximity of user to data
  • • Minimal bandwidth consumption
  • • Support of mobility
  • • Scalability of infrastructure
| + +**Table I.1 – The applications of edge computing and its characteristics** + +| Application domain | Usage of edge computing in application domain | Characteristics derived from usage of edge computing | +|--------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • Monitoring for occupant health conditions and regulation compliance including monitoring of elevated body temperature detection, social distancing monitoring and mask detection through correlation with vision-based sensors. (COVID-19)
| | +| Transportation |
  • Routing emergency response vehicles around congested areas
  • Collecting data from embedded sensors, video cameras, crowd-sourced traffic information and other sources
  • Intelligent traffic systems, safer roads, directed parking, and frictionless toll and parking payments
  • Connected public transportation with urban mass transportation systems
  • AI-enabled traffic and weather detection, sensor-empowered interactive road lights, and smart pavements
  • Connected air travel –parking assistance on arrival at an airport, through check-in, boarding, and inflight entertainment to arrival and baggage claim
  • Preventing train and track failures, providing accurate real-time data and analytics, and facilitating pre-emptive maintenance
  • Shipping's digital transformation
|
  • Low latency
  • Network connectivity
  • Proximity of user to data
  • Minimal bandwidth consumption
  • Support of mobility
  • Scalability of infrastructure
| +| Gaming |
  • Deploying cloud games on demand from cloud to edge
  • Send a game control instruction from the cloud to multi-access edge computing (MEC), rendering the video on the MEC and sending the video stream to the terminal
  • Accelerating the rendering of images
  • Gaming traffic offloading
  • Optimizing network bandwidth usage and reduces latency
|
  • Low latency
  • Network connectivity
  • Minimal bandwidth consumption
  • Scalability of infrastructure
| +| Smart robot |
  • Product assembly to be carried out automatically
  • Putting systems intelligence in the cloud and simplifying robotics on the ground
  • Real-time capability of robot control functions
  • Smart robot applied healthcare system
|
  • Low latency
  • Network connectivity
  • Scalability of infrastructure
  • Decentralized processing
| + +# Appendix II + +## General use case for edge computing + +(This appendix does not form an integral part of this Recommendation.) + +See Table II.1. + +**Table II.1 – General use case with capability of edge computing** + +| | | +|-------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

Edge computing utilizes some enterprise data centres or other technology services such as those of cloud computing and IoT. Furthermore, edge computing deploys its applications on its nearby infrastructure from an ECC such as a processor, storage or networks in a variety of distributed resource environments.

Furthermore, by providing low-latency capability for data processing between an enterprise data centre including cloud computing and edge-computing infrastructure, low latency capability and cooperative capability selectively utilizes edge-computing infrastructure close to an ECC to provide faster data processing than the response of the centralized cloud infrastructure and ensure the stability of essential safety-critical real-time services.

Currently, in order to overcome data processing and transmission delays due to centralization of large-scale data generation, edge computing has developed to provide its service related to that of cloud computing, which processes data at a location close to its application for data affinity capability.

This use case describes an architecture that provides a high-speed network, which in edge computing connects multiple clusters as infrastructure based on a container, and thereby provides a service.

The architecture and management are shown in Figure II.1. As shown in Figure II.1, the architecture involves cooperation between cloud computing, and distant and nearby edge-computing infrastructure. Cooperation requires network connectivity capability and constitutes storage to link the clusters and edge-computing infrastructure. For automated capability, edge computing orchestrates its application and service with one orchestrator that is global connected to another that is local.

Three locations can accommodate not only cloud computing but also edge-computing infrastructure:

  • • cloud computing;
  • • distant edge-computing infrastructure;
  • • nearby (nearest) edge-computing infrastructure.

In addition, the edge-computing application supports three types of service as follows:

  • • monolithic application service;
  • • micro service;
  • • specific platform-dependent application services (function as a service, PaaS, serverless computing platform, etc.)

To support various edge-computing applications, the architecture is configured as shown in Figure II.1 and has the following characteristics.

High-performance architecture for efficient cooperation between clusters: to increase container efficiency, high-speed storage (main memory, RAM, NVMe, etc.) is utilized to compose a high-performance container.

High-speed network connectivity between clusters for cooperation: edge computing provides various capabilities for high-speed networks such as gateways for cluster master, tunnelling between clusters and high-speed routing for cluster for cooperation between clusters.

| +|-------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| + +**Table II.1 – General use case with capability of edge computing** + +| | | +|---------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| | Orchestration technology for cooperation between clusters: orchestration of edge computing provides both a global and local orchestrator at each cluster. Through intelligent scheduling to optimize cooperation between cloud computing and edge-computing infrastructure, ECNs distribute an edge-computing application over nearby edge-computing infrastructure. | +| Role/sub-role | ECC | +| Figure (optional) |

Image: Figure II.1 – The general use case of edge computing. The diagram illustrates a multi-tier architecture. At the top, 'Global orchestration' (cloud icon) connects via 'Cooperation' to 'Cloud computing' (1, cloud icon). Below, 'Edge computing infrastructure' (2, server rack icon) and 'Nearby edge computing infrastructure' (3, server rack icon) are connected by a 'Connection network' (dashed line). 'Cooperation' arrows link the infrastructure layers. A user icon labeled 'ECC' is shown with the text 'Use edge computing application'. An inset shows a 'Physical resource' (server rack) hosting three application layers: 1. 'Monolithic application' (grey box), 2. 'Micro-service' (grey box) within a 'Container/VM' (white box), and 3. 'Platform-dependent application' (grey box) within a 'Container/VM' (white box). An 'Event' (lightning bolt icon) triggers the platform-dependent application. A legend at the bottom indicates: blue square for 'Local orchestration', grey square for 'Application', and white square for 'Location'. Text below the legend: 'VM: virtual machine'. Reference 'Y.3540(23)' is in the bottom right.

Y.3540(23)

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived high-level requirements |
  • – [User proximity]
  • – [Minimization of latency]
  • – [Network connectivity for infrastructure]
  • – [Data affinity]
  • – [Infrastructure interface]
  • – [Cooperation among applications]
  • – [Resource provisioning]
  • – [Orchestration]
| + +# Appendix III + +## Use cases for edge computing + +(This appendix does not form an integral part of this Recommendation.) + +This appendix describes edge-computing use cases applied to several application domains. See Tables III.1 to III.5. + +**Table III.1 – Use case of edge computing for healthcare service** + +| | | +|-------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

IoT devices, which include medical and healthcare devices such as an electrocardiogram, smart wristband, smart watch and blood pressure monitor, are used to monitor various biological indicators of the human body and generate health data. However, due to hardware limitations related to computing capability, storage capacity and power consumption, IoT devices cannot process such health data efficiently. Therefore, IoT users have to:

  1. (1) upload data to the cloud;
  2. (2) bring the data to the hospital to obtain the health analysis result.

Both methods (1) and (2) meet the real-time requirement of applications that require analysis response immediately, and are inconvenient for user service, so there is a difficulty in early warning for potential problems of health.

By executing tasks on nearby resources where the collected data is located, edge computing effectively reduces the latency of computing execution time, decreases data transmission, and protects data security and privacy. In addition, edge computing mainly utilizes biological indicators to execute AI inference related to diagnosis, executes the AI model deployed in a large-scale data centre such as cloud computing, and feeds the execution results back to an ECC or data centre.

Devices in the IoT deliver monitored data through the local area network to nearby storage in edge-computing infrastructure, where a deep learning model for processing the data is deployed. For deep learning models for edge computing, there is a trade-off relationship between the accuracy of diagnosis and the complexity of performing the model. In other words, a deep learning model performed in edge computing has some limitations on accuracy and complexity. In addition, data privacy is considered for data transmission only within a local area network controlled by an ECC.

Cloud computing in a large-scale data centre provides global, non-real-time, long-term, big data processing and analytics. Furthermore, cloud computing in large-scale data centre performs AI model training according to business requirements, historical data, real-time data and AI execution feedback. In addition, the AI model is also sent to edge-computing infrastructure for user proximity. An ECC obtains proper health monitoring and diagnosis from nearby edge-computing infrastructure and edge computing increases accuracy by passing large-scale data to cloud computing for more accurate inference.

If an ECC authorizes hospitals and individual doctors to use its data, a more detailed and accurate diagnosis is obtained through edge computing. Edge computing using cloud computing service enables third party organizations to intelligently connect patients, clinicians, healthcare providers and insurance companies in a seamless and collaborative way, helping patients achieve a one-stop experience in nursing, healthcare and insurance services.

| +|-------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| + +**Table III.1 – Use case of edge computing for healthcare service** + +| | | +|---------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| | Resource management is a major issue in edge computing, where tasks are assigned to edge-computing infrastructure according to multiple factors such as energy, bandwidth consumption and latency. In order to set processing priorities and reduce total processing time based on data collected about a person's health condition, a job-scheduling mechanism is needed to determine whether multiple jobs need to be run on local devices, a remote cloud or both of the cluster type. | +| Role/sub-role | ECP | +| Figure (optional) |

Image: Figure III.1 – The use case of edge computing for healthcare service. The diagram shows a multi-tier architecture. At the top, 'The third party organizations (Authorized by the user, detailed diagnosis, one-stop healthcare service)' and a 'Data centre with cloud computing (More intelligent and comprehensive results, AI training)' are connected to a central cloud. Below the cloud is 'Edge computing (ECP)' which includes 'Edge computing application' and 'ECC (IoT devices-monitoring health data)'. At the bottom, there are icons for a hospital, a doctor, and IoT devices (watches, sensors) representing health data monitoring. Arrows indicate data flow between these components.

Figure III.1 – The use case of edge computing for healthcare service

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived high-level requirements |
  • – [Minimization of latency]
  • – [Orchestration]
  • – [Infrastructure interface]
  • – [Network connectivity for infrastructure]
  • – [Cooperation among applications]
  • – [Data privacy]
  • – [Resource provisioning]
  • – [Data affinity]
  • – [User proximity]
| + +**Table III.2 – Use case of edge computing for autonomous driving** + +| | | +|-------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

Autonomous vehicles are operated safely and reliably only when all data necessary for driving is analysed in real time. Furthermore, autonomous vehicles are operated with the installed sensor devices such as light detection and ranging, radio detection and ranging, camera, ultrasonic sensor and global positioning system.

These sensors are mounted on the vehicle and interlock with the electronic control unit installed in the vehicle through, for example, a controller area network so that they react immediately to the situation.

| +|-------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| + +**Table III.2 – Use case of edge computing for autonomous driving** + +| | | +|---------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

Sensors installed in vehicles are accurate at close range, but have limitations in collecting data over long distances. So, a public IMT-2020 network is used outside the vehicle. In this case, if vehicle to everything (V2X) is applied, various data such as those related to vehicle operation, traffic conditions and warnings are received from other objects (including vehicles). Since data are shared between vehicles, implementation of cooperative autonomous driving is also possible. Even if a sensor with low performance is installed, V2X fills the gaps in low performance, so there is an advantage of lowering the price of the sensor installed in the car.

A vehicle is equipped with a high-definition (HD) map in which surrounding environment information such as road, terrain, elevation, and curvature is implemented in three dimensions. The error range in an HD map is 10 cm, so a vehicle with HD provides information whose accuracy is 10 times higher than that with a general map.

If the data from the sensors and the data used for V2X and the HD map are not delivered quickly, it leads to a major accident. Therefore, a faster real-time response is required to prevent an accident.

These requirements are solved by introducing edge computing. It is possible to overcome the limited computing capability of the vehicle itself, and it is possible to use edge computing in its own infrastructure rather than cloud computing, which has excellent capability but a large latency to borrow other resources. Edge computing helps V2X communication relay efficiently and performs HD map real-time rendering. Of course, pre-processing is also possible before transmitting sensing data to cloud computing. Cloud computing handles data for the application of long-term rather than immediate data processing.

| +| Role/sub-role | ECC, ECP | +| Figure (optional) |

Image: Diagram illustrating the use case of edge computing for autonomous driving. A vehicle on the left is equipped with sensors (GPS, Camera, Lidar, Radar, Ultra sonic, VCM) connected to an ECU. The ECU is part of a 'Control area network'. Data from the ECU is sent to a series of 'Edge computing' nodes (represented by green ovals) via a '5G network'. The first edge node is labeled 'Using computing capacity for immediate data'. The second edge node is labeled 'Getting other sensing data through V2X'. The edge nodes are connected to a 'Cloud computing' node (blue cloud icon). The diagram also shows three cars at the bottom, representing other vehicles in the network. The reference Y.3540(23) is noted at the bottom right of the diagram area.

Y.3540(23)

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived high-level requirements |
  • – [Minimization of latency]
  • – [Orchestration]
  • – [Network connectivity for infrastructure]
  • – [Data affinity]
  • – [User proximity]
  • – [Mobility supports]
| + +**Table III.3 – Use case for smart home based on edge computing** + +| | | +|---------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | A use case for smart home based on edge computing | +| Description |

A smart home is implemented using smart devices that converge sensors and communication technologies with domestic home appliances, home energy, home furniture and various IoT-based devices in the home based on IoT. By the real-time data transmission through the smart devices, an ECC in edge computing immediately and directly controls the smart devices. Such smart home technology allows ECCs to remotely access smart devices from the outside and use services such as systems for meter reading system, air conditioning or /heating system, lighting, and security.

Most smart home services work with cloud computing to satisfy requirements for provide a security network for smart home, unlimited home computing and storage resource services to satisfy smart home requirements.

However, it is difficult for cloud computing-based smart home services to satisfy the increased requirements such as real-time and emergency handling, i.e. That is, in cloud computing, data collected from an IoT device is always transmitted to a cloud-computing storage device of the cloud computing every time, which incurs high costs in terms of latency, storage capacity, bandwidth, and energy consumption.

These requirements derive from the concept of edge computing. In edge computing, resources such as a processor, storage or, network, etc. are available at the edge of the network close to the end smart device, and this arrangement reduces network latency.

The smart home service scenario is shown in Figure III.3. Such a smart home includes smart devices that collect and transmit sensing data over their IoT that require minimal human intervention. Smart devices detect and process data from the home environment, and transmit the data by connecting to edge-computing infrastructure at or near the physical location.

In the edge computing, a smart home gateway is in charge of input or /output of data traffic from the smart home devices and to the cloud resources, respectively. The Edge computing performs calculation, communication, and storage for data instead of limited resources (memory, battery backup, processing capability, etc.) for smart devices. The Data analysis is also analysed in performed at the edge-computing infrastructure and spend the less time is taken for decision-making than analysis in cloud computing remotely.

The resources of cloud- computing processes for large-capacity data that cannot be processed by edge-computing infrastructure collect pre-processed data transmitted by it. Useful and relevant information for families and communities is extracted from the data collected, which and the cloud computing stores for a long time to help with heavy analysis.

Authenticated smart home ECCs access smart home data through edge-computing infrastructure and resources in cloud computing. In edge computing, ECCs use an edge computing application and edge computing service immediately in situations that require quick response, such as emergency situations, fires, and crime prevention, as well as simple control and monitoring of smart devices through the edge computing infrastructure.

| +| Role/sub-role | ECC, ECP | + +**Table III.3 – Use case for smart home based on edge computing** + +| | | +|----------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +|

Figure (optional)

| Diagram of edge computing for a smart home. A cloud labeled 'Cloud resources/cloud computing service' connects to a dashed box labeled 'Edge computing infrastructure'. Inside this box is a server icon and a 'Smart home gateway (Edge computing application)'. The gateway connects to a 'Smart home' represented by a house icon containing a 'Smart device' (light bulb, camera, thermometer, lamp). A person icon labeled 'ECC' is also connected to the gateway. The text 'ECC Y.3540(23)' is at the bottom right.

Figure III.3 – The Use case of edge computing for smart home

| +|

Pre-conditions (optional)

| | +|

Post-conditions (optional)

| | +|

Derived high-level requirements

|
  • – [Minimization of latency]
  • – [Orchestration]
  • – [Data affinity]
  • – [User Authentication].
| + +**Table III.4 – Use case for cooperation in edge computing** + +| | | +|--------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +|

Description

|

In edge computing, infrastructure and a data centre including cloud computing in different locations are connected through a network, and pieces of infrastructure are connected to each other. Therefore, edge computing includes the capability to maximize efficiency for distributed infrastructure by workload offload and migration of its application.

Figure III.4 shows a use case for cooperation in edge computing. In edge computing, a capability for cooperation includes workload offloading between data centres including cloud computing and infrastructure and migration between pieces of infrastructure.

In edge computing, migration involves movement of an application and the related data. It is necessary to have a reliable and efficient method to capture the state of the application in real time in a transferable format to save and maintain the state of running applications such as snapshot.

Offloading includes transfer of the role of resource-intensive computational tasks through monitoring of resource load and the network by global scheduling to a separate processor such as a hardware accelerator or an external device in a cloud data centre.

For edge-computing, the migration and work offload of an application to be run on each piece of its infrastructure is driven by a capability enabler. This software

| +|--------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| + +**Table III.4 – Use case for cooperation in edge computing** + +| | | +|---------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| | administers and acts as executive agent for migration to provide edge-computing service to ECP. Furthermore,, in order to migrate its application and large-capacity data, edge computing provides a storage interface for data migration, and globally shared storage for high-speed network between pieces of edge-computing infrastructure. | +| Role/sub-role | ECC, ECP | +| Figure (optional) | Diagram showing the migration of an edge computing application and infrastructure from ECC (A) to ECC (B). ECC (A) is associated with a mobile phone and a car. An arrow labeled 'Move' points from ECC (A) to ECC (B). Below, a box for 'Edge computing application' and 'Edge computing infrastructure' under ECC (A) has a 'Migration' arrow pointing to a similar box under ECC (B). An 'Offloading' arrow points from the infrastructure to a 'Cloud computing (Large scale)' block at the bottom. Dashed lines indicate 'Nearest physical location from ECC (A)' and 'Nearest physical location from ECC (B)'.

Figure III.4 – Use case of edge computing for cooperation

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived high-level requirements |
  • – [Provision of service]
  • – [Cooperation among applications]
| + +**Table III.5 – Use case for the network connectivity for edge computing** + +| | | +|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

This use case provides an example of network connectivity, which means network connection to enable continuous service to an ECC in edge computing. Network connectivity is presented as one capability in edge computing enabling continuous service according to the movement of an ECC and edge-computing application.

Figure III.5 shows network connectivity capabilities of edge computing. As shown in Figure III.5, each piece of edge-computing infrastructure and data centre using cloud computing operate remotely and separately with different IP addresses. Edge-computing infrastructure is connected with the network at the request of an ECC due to cooperation and data affinity. If edge-computing infrastructure is already connected to the network, the service is available through that network. Otherwise, the network connection is only possible to connect with the public interface (IP address or URL).

Also, if edge-computing infrastructure consists of clusters or includes a data centre with cloud computing, the access for an edge-computing application is protected and not exposed to the outside. Therefore, network connections utilize gateways between network layers, such as secure tunnelling-based networks using IP security or network

| +|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| + +**Table III.5 – Use case for the network connectivity for edge computing** + +| | | +|---------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

proxy-based routing rules using application layers in the transmission control protocol and native routing for awareness inside the cluster.

Network connectivity capability supports the fail-over for an edge-computing application to prevent service interruption and to perform load balancing when a service is deployed. In Figure III.5, information about the service connection (such as IP, domain name or URL) is exposed to the edge-computing infrastructure.

At this time, edge computing provides a high-availability service using HAProxy or another load balancer to support uninterrupted service according to service movement in both pieces of edge-computing infrastructure. The HAProxy server or load balancer checks the connection in real time and, if disconnected, performs a failover with a new connection using the service exposure. Edge computing provides a seamless network connection between ECC and edge-computing application.

In edge computing, since its infrastructure (including cloud computing) needs to support newly created services or network connection requests from an ECC, gateways, routers and service exposures for network connectivity are implemented by an ECN using hardware or software resources and a service enables network connectivity on the infrastructure.

| +| Role/sub-role | ECC, ECP | +| Figure (optional) |

Image: Figure III.5 – Use case of edge computing for network connectivity. The diagram shows an ECC (Edge Computing Client) at the top, connected via a double-headed arrow to an HA (High availability) service box. Below the HA service is a central router icon. Two boxes, each containing 'Edge computing service' and 'Edge computing infrastructure', are connected to the router. Below the router is a 'Cloud computing (Large scale)' box containing server and cloud icons. A legend at the bottom left shows a blue circle icon for 'Edge computing application'. The reference 'Y.3540(23)' is at the bottom right.

Figure III.5 – Use case of edge computing for network connectivity

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived high-level requirements |
  • – [Infrastructure interface]
  • – [Network connectivity for infrastructure]
| + +# Bibliography + +- [b-ITU-T Q.1743] Recommendation ITU-T Q.1743 (2016), *IMT-Advanced references to Release 11 of LTE-Advanced evolved packet core network*. +- [b-ITU-T X.1601] Recommendation ITU-T X.1601 (2015), *Security framework for cloud computing*. +- [b-ITU-T X.1644] Recommendation ITU-T X.1644 (2023), *Security guidelines for distributed cloud*. +- [b-ITU-T X.1815] Recommendation ITU-T X.1815 (2023), *Security guidelines and requirements for IMT-2020 edge computing services*. +- [b-ITU-T Y.2060] Recommendation ITU-T Y.2060 (2012), *Overview of the Internet of things*. +- [b-ITU-T Y.4100] Recommendation ITU-T Y.2066/Y.4100 (2014), *Common requirements of the Internet of things*. +- [b-ITU-T Y.2501] Recommendation ITU-T Y.2501 (2021), *Computing power network – Framework and architecture*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T Y.3123] Recommendation ITU-T Y.3123 (2023), *Framework of edge computing capability exposure for IMT-2020 networks and beyond*. +- [b-ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014), *Information technology – Cloud computing – Overview and vocabulary*. +- [b-ITU-T Y.3502] Recommendation ITU-T Y.3502 (2014), *Information technology – Cloud computing – Reference architecture*. +- [b-ISO 27729] International Standard ISO 27729:2012, *Information and documentation – International standard name identifier (ISNI)*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3550-202312-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3550-202312-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..7dee5ace7db3d6c9034362428ebe04a5efef4af7 --- /dev/null +++ b/marked/Y/T-REC-Y.3550-202312-I_PDF-E/raw.md @@ -0,0 +1,636 @@ + + +# Recommendation + +## **ITU-T Y.3550 (12/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Cloud Computing + +--- + +**Cloud computing – Requirements for artificial intelligence based cloud service development and operation management** + +## ITU-T Y-SERIES RECOMMENDATIONS + +# Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3550 + +# Cloud computing – Requirements for artificial intelligence based cloud service development and operation management + +## Summary + +Recommendation ITU-T Y.3550 aims to provide an overview of artificial intelligence (AI) based cloud service development and operation management based on Recommendation ITU-T Y.3525. It impacts four lifecycle stages of cloud service development and operation management with AI capabilities to improve software development and operation management efficiency. Additionally, this Recommendation also specifies the functional requirements of AI based cloud service development and operation management derived from the corresponding use cases. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3550 | 2023-12-14 | 13 | 11.1002/1000/15747 | + +## Keywords + +Artificial intelligence, cloud service, development and operation, operation management. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|---------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of AI based cloud service development and operation management..... | 2 | +| | 6.1 Introduction to AI based cloud service development and operation management..... | 2 | +| | 6.2 AI based cloud service development and operation management framework..... | 3 | +| 7 | Functional requirements of AI based cloud service development and operation management..... | 4 | +| | 7.1 Overview ..... | 4 | +| | 7.2 Code generation..... | 4 | +| | 7.3 Test case generation ..... | 4 | +| | 7.4 Integration and deployment..... | 5 | +| | 7.5 Abnormal detection ..... | 5 | +| | 7.6 Alarm convergence..... | 5 | +| | 7.7 Fault localization ..... | 5 | +| | 7.8 Fault repairing ..... | 5 | +| | 7.9 Resource optimization ..... | 5 | +| | 7.10 Resource capacity prediction..... | 6 | +| | 7.11 Intelligent response..... | 6 | +| | 7.12 Knowledge base management ..... | 6 | +| 8 | Security considerations ..... | 6 | +| | Appendix I – Use case of AI based operation management ..... | 7 | +| | I.1 Use case: automatic generation of codes and test cases ..... | 7 | +| | I.2 Use case: integration and deployment..... | 8 | +| | I.3 Use case: adaptive anomaly detection model adjustment ..... | 9 | +| | I.4 Use case: convergence of alarm storms..... | 10 | +| | I.5 Use case: fault localization based on link topology ..... | 10 | +| | I.6 Use case: fault repairing solution recommendation ..... | 11 | +| | I.7 Use case: resource optimization and scheduling..... | 12 | +| | I.8 Use case: resource capacity prediction..... | 13 | +| | I.9 Use case: intelligent response..... | 14 | +| | I.10 Use case: knowledge base system management..... | 15 | +| | Bibliography..... | 17 | + + + +# Recommendation ITU-T Y.3550 + +# Cloud computing – Requirements for artificial intelligence based cloud service development and operation management + +# 1 Scope + +This Recommendation provides functional requirements and typical use cases of artificial intelligence (AI) based cloud service development and operation management. The scope of this Recommendation includes the following aspects. + +- Overview of AI based cloud service development and operation management; +- Functional requirements of AI based cloud service development and operation management; +- Typical use cases of AI based cloud service development and operation management. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T X.1601] Recommendation ITU-T X.1601 (2015), *Security framework for cloud computing*. + +[ITU-T Y.3525] Recommendation ITU-T Y.3525 (2020), *Requirements for cloud service development and operation management*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 artificial intelligence** [b-ISO/IEC 2382]: An interdisciplinary field, usually regarded as a branch of computer science, dealing with models and systems for the performance of functions generally associated with human intelligence, such as reasoning and learning. + +**3.1.2 cloud computing** [b-ITU-T Y.3500]: Paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on demand. + +NOTE – Examples of resources include servers, operating systems, networks, software, applications, and storage equipment. + +**3.1.3 cloud service** [b-ITU-T Y.3500]: One or more capabilities offered via cloud computing invoked using a defined interface. + +**3.1.4 cloud service customer** [b-ITU-T Y.3500]: Party which is in a business relationship for the purpose of using cloud services. + +**3.1.5 cloud service partner** [b-ITU-T Y.3500]: Party which is engaged in support of, or auxiliary to, activities of either the cloud service provider or the cloud service customer, or both. + +**3.1.6 cloud service provider** [b-ITU-T Y.3500]: Party which makes cloud services available. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|------------------------------------| +| AI | Artificial Intelligence | +| CSC | Cloud Service Customer | +| CSN | Cloud Service Partner | +| CSP | Cloud Service Provider | +| IDE | Integrated Development Environment | +| NLP | Natural Language Processing | + +# **5 Conventions** + +In this Recommendation: + +The keywords "**is required**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +In the body of this Recommendation and its annexes, the words shall, shall not, should, and may sometimes appear, in which case they are to be interpreted, respectively, as is required to, is prohibited from, is recommended, and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative is to be interpreted as having no normative intent. + +# **6 Overview of AI based cloud service development and operation management** + +Based on the consideration of labour cost and R&D efficiency, traditional development and operation methods are not suitable for increasing the complexity of software development and operation. The way of development and operation is changing from manual to intelligence. + +AI based cloud service development and operation management refers to applying AI algorithms and models to development and operation in a cloud computing environment in order to make decisions and analysis by using the operation and maintenance data, such as intelligent code completion and code review, automated test case generation, root cause analysis and fault diagnosis, fault prediction, and resource capacity prediction which greatly improves the development and operation efficiency for cloud service partner (CSP). + +## **6.1 Introduction to AI based cloud service development and operation management** + +Based on the development and operation stage specified in [ITU-T Y.3525], CSN provides intelligent methods to analyse data and establish intelligent models to improve software development and operation management efficiency, which supports CSP to generate codes and test cases, and find problems from the massive operational data. Meanwhile, CSP measures and analyses feedback from cloud service customer (CSC) and provides updated or new implementation for the development stage defined in [ITU-T Y.3525]. + +## 6.2 AI based cloud service development and operation management framework + +The AI-based cloud service development and operation management framework, shown in Figure 6-1, introduces AI-based algorithms and models based on [ITU-T Y.3525], particularly impacting four lifecycle stages, including the code stage, test stage, deploy and release stage, and the operation stage. With AI capabilities, it further assists CSN and CSP in improving development and operation efficiency from complex software development and operation. + +![Figure 6-1: AI based cloud service development and operation management framework. The diagram illustrates a lifecycle framework with four main stages: Design, Deployment, Operation, and Retirement. The Design stage includes Plan, Design, and Code (impacted by AI). The Deployment stage includes Build, Test (impacted by AI), and Deploy and release (impacted by AI). The Operation stage includes Continuous operation (impacted by AI). The Retirement stage is shown as a final stage. Key processes include Development management, Continuous integration, Continuous deployment, Continuous delivery, and Measurement and feedback. Functional components in cloud computing reference architecture are shown as Build management, Test management, and Provisioning. Cloud computing activities include Monitoring and reporting, Service level management, and Incident and problem management. AI-based algorithms and models are shown as a foundational layer. A legend explains the symbols used.](562f471e8153729557e6a4ee6343c32c_img.jpg) + +Figure 6-1 illustrates the AI-based cloud service development and operation management framework. The framework is organized into four main lifecycle stages: Design, Deployment, Operation, and Retirement. The Design stage includes Plan, Design, and Code (impacted by AI). The Deployment stage includes Build, Test (impacted by AI), and Deploy and release (impacted by AI). The Operation stage includes Continuous operation (impacted by AI). The Retirement stage is shown as a final stage. Key processes include Development management, Continuous integration, Continuous deployment, Continuous delivery, and Measurement and feedback. Functional components in cloud computing reference architecture are shown as Build management, Test management, and Provisioning. Cloud computing activities include Monitoring and reporting, Service level management, and Incident and problem management. AI-based algorithms and models are shown as a foundational layer. A legend explains the symbols used. + +Legend: + +- Cloud service development and operation lifecycle stage (represented by a chevron shape) +- Cloud service development and operation process (represented by a rectangle with a vertical line) +- Functional components in cloud computing reference architecture (represented by a rectangle) +- Cloud computing activities (represented by a dashed rectangle) +- Impacted lifecycle stage by AI algorithms and models (represented by a star) + +Y.3550(23) + +Figure 6-1: AI based cloud service development and operation management framework. The diagram illustrates a lifecycle framework with four main stages: Design, Deployment, Operation, and Retirement. The Design stage includes Plan, Design, and Code (impacted by AI). The Deployment stage includes Build, Test (impacted by AI), and Deploy and release (impacted by AI). The Operation stage includes Continuous operation (impacted by AI). The Retirement stage is shown as a final stage. Key processes include Development management, Continuous integration, Continuous deployment, Continuous delivery, and Measurement and feedback. Functional components in cloud computing reference architecture are shown as Build management, Test management, and Provisioning. Cloud computing activities include Monitoring and reporting, Service level management, and Incident and problem management. AI-based algorithms and models are shown as a foundational layer. A legend explains the symbols used. + +**Figure 6-1 – AI based cloud service development and operation management framework** + +### 6.2.1 AI-based algorithms and models + +AI-based algorithms and models provide the underlying algorithm capability support, which covers the basic algorithm library, model building, model management, and so on. CSN analyses and visualizes the operational data according to AI-based algorithms and models to enhance the lifecycle stages including the code stage, test stage, deploy and release stage, and operation stage. + +### 6.2.2 AI-based code stage + +At this stage, AI-based algorithms and models enhance the code stage of the cloud service development and operation management specified in [ITU-T Y.3525]. CSN triggers the automatic generation of codes based on AI-based algorithms and models. + +### 6.2.3 AI-based test stage + +At this stage, AI-based algorithms and models enhance the test stage of the cloud service development and operation management specified in [ITU-T Y.3525]. CSN triggers the automatic generation of test cases based on AI-based algorithms and models, in order to improve test case coverage. + +### **6.2.4 AI-based deploy and release stage** + +At this stage, AI-based algorithms and models enhance the deploy and release stage of the cloud service development and operation management specified in [ITU-T Y.3525]. CSN triggers the automated process of code construction and deployment into the production environment as a cloud service based on AI-based algorithms and models, and then CSP releases it to the CSC. + +### **6.2.5 AI-based operation stage** + +At this stage, AI-based algorithms and models enhance the operation stage of the cloud service development and operation management specified in [ITU-T Y.3525]. CSP monitors the events and changes, accurately identifies the root cause, automatically triggers the repair process, optimizes the usage of resources and continuously collects repair behaviours for the reduction of response system errors of the cloud service based on AI-based algorithms, so as to improve the operation and maintenance efficiency and ensure its continuity and better CSC's service experience. + +# **7 Functional requirements of AI based cloud service development and operation management** + +## **7.1 Overview** + +This clause provides the derived functional requirements of AI based cloud service development and operation management based on the use cases in Appendix I. The functional requirements could be mapped with four stages as follows. + +- Functional requirement for AI-based code stage: code generation (7.2). +- Functional requirement for AI-based test stage: test case generation (7.3). +- Functional requirement for AI-based deploy and release stage: integration and deployment (7.4). +- Functional requirement for AI-based operation stage: abnormal detection (7.5), alarm convergence (7.6), fault localization (7.7), fault repairing (7.8), resource optimization (7.9), resource capacity prediction (7.10), intelligent response (7.11) and knowledge base management (7.12). + +## **7.2 Code generation** + +It is required that CSN supports the AI based code completion options as integrated development environment (IDE) tools according to the code fragments entered by CSP and the programming language syntax rules. + +NOTE – One of the AI based code completion is sorting to improve the effectiveness of code usage for code fragment recommendation. + +## **7.3 Test case generation** + +It is recommended that the CSN supports the automatic generation of test cases by AI algorithms and models. + +NOTE – Natural language processing is one option for creating test cases. + +It is recommended that CSN supports intelligent optimization of test cases based on the historical testing data and results. + +It is recommended that CSN supports adaptive adjustment of test cases based on changes in the testing environment of the CSP. + +## **7.4 Integration and deployment** + +It is required that CSN supports intelligent diagnosis and error correction on code changes by AI algorithms and models analysis. + +## **7.5 Abnormal detection** + +It is required that CSP completes anomaly detection by using an AI algorithm to improve detection accuracy. + +NOTE 1 – Single-index based anomaly detection should be supported by CSN. + +NOTE 2 – Anomaly detection algorithm model includes 3-sigma model, LR model, etc. + +It is recommended that CSN supports adaptive model anomaly detection for different cloud service indicators. + +NOTE 3 – Cloud service indicators include resource usage, access success rate, response time, etc. + +It is recommended that CSN supports optimized models through continuous updates of anomaly detection AI models. + +## **7.6 Alarm convergence** + +It is recommended that CSN supports automatic convergence based on AI algorithms and models to compress the same or similar alarms. + +It is recommended that CSN supports intelligently completing alarm convergence from different dimensions based on the algorithms. + +NOTE – The alarm convergence mechanism selects one or more appropriate dimensions to merge the alarm messages. Dimensions include but are not limited to server, cluster, network segment, etc. + +It is recommended that CSN supports self-learning of the alarm convergence. + +## **7.7 Fault localization** + +It is required that CSP uses different AI algorithms to analyse operational data and find the root cause of system faults. + +NOTE 1 – Data types include but are not limited to metrics and logs. + +It is recommended that CSN supports the display of latent fault propagation relationship and the faults update. + +NOTE 2 – Latent fault propagation relationship includes but is not limited to correlation and causality between different faults. + +## **7.8 Fault repairing** + +It is recommended that CSN supports automatic fault recovery. + +It is recommended that CSN supports automatic fault repair recommendation solutions based on the AI algorithms and models to analyse historical operational data. + +## **7.9 Resource optimization** + +It is recommended that CSN provides AI models to predict resource usage and recommends resource optimization. + +NOTE 1 – Resource optimization includes but is not limited to capacity expansion, capacity reduction, balanced allocation, optimized configuration, etc. + +NOTE 2 – Resource optimization recommendation is achieved by processing cloud service capacity usage data. + +## **7.10 Resource capacity prediction** + +It is recommended that CSN provides a prediction of resource capacity by AI algorithms and models. + +NOTE – Prediction model could be constructed based on a single indicator of time series data. + +It is recommended that CSN supports AI algorithms and models to predict resource capacity in different time periods, such as short-term resource capacity prediction and long-term resource capacity prediction. + +It is recommended that CSN supports the visualization of capacity prediction and early warning. + +## **7.11 Intelligent response** + +It is recommended that CSP uses semantic analysis for the relevance of CSC's requests based on the knowledge base and other historical operational data. + +It is recommended that CSN supports model training by labelling CSC's feedback data in order to automatically proofread and improve responses. + +It is recommended that CSN supports multiple response types. + +NOTE – The response types include but are not limited to single-round conversation, multi-round conversation, one question and multiple answers, etc. + +## **7.12 Knowledge base management** + +It is recommended that CSN supports automatically obtaining knowledge information from multiple data sources, and updating knowledge base. + +NOTE – The knowledge base could support AI based model generation and optimization. + +It is recommended that CSN supports knowledge association analysis and provides the recommended results to the CSP. + +It is recommended that CSN supports knowledge content tags and classifications, automatic merge and updates based on knowledge similarity. + +# **8 Security considerations** + +Security aspects for consideration within the cloud computing environment, which are addressed by security challenges for CSPs and CSNs, are described in [ITU-T X.1601]. [ITU-T X.1601] analyses security threats and challenges, and describes security capabilities that could mitigate these threats and satisfy the security challenges. + +# Appendix I + +## Use case of AI based operation management + +(This appendix does not form an integral part of this Recommendation.) + +This appendix includes the AI based operation management related use cases based on which the corresponding functional requirements are derived. + +### I.1 Use case: automatic generation of codes and test cases + +**Table I.1 – Use case: automatic generation of codes and test case** + +| | | +|----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Automatic generation of codes and test cases | +| Description |

CSN provides the automatic generation system, which supports the automatic code completion and automatic generation of test cases through AI models configured by CSP.

  1. 1) CSP configures the parameters of the automatic generation system and uploads code fragments or test requirements lists in it.
  2. 2) CSP updates generated codes and test cases in the AI model repository for further training.
  3. 3) CSP provides cloud service to CSC based on an automatic generation system.
| +| Roles | CSN, CSP, CSC | +| Figure (optional) |

Image: Figure I.1 – Automatic generation of codes and test cases. The diagram shows the workflow between CSP, CSC, CSN (Automatic generation system), AI models, Generator, Code analyser, Generated test cases, Verification and compilation, and Final results.

 graph TD     CSP[CSP] -- "Provides cloud service" --> CSC[CSC]     CSP -- "Upload" --> CSN[CSN Automatic generation system]     CSP -- "Upload" --> AI[AI models]     CSP -- "Updates" --> AI     CSP -- "Configuration" --> CSN     CSC -- "Support" --> AI     AI --> Generator[Generator]     AI --> GenTest[Generated test cases]     AI --> CodeAnalyser[Code analyser]     Generator --> GenTest     CodeAnalyser --> GenTest     GenTest --> VerComp[Verification and compilation]     VerComp --> FinalResults[Final results]     FinalResults --> CSP

Figure I.1 – Automatic generation of codes and test cases

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| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements |
  • – code generation (refer to clause 7.2)
  • – test case generation (refer to clause 7.3)
| + +### **I.2 Use case: integration and deployment** + +**Table I.2 – Use case: integration and deployment** + +| | | +|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Integration and deployment | +| Description |

The automated code integration and configuration are triggered by the CSP. The submitted source codes are automatically compiled and deployed after the AI model validation.

1) CSP configures the parameters of AI models to automatically detect errors when source codes change and then triggers a continuous integration server to compile codes.

2) CSP configures the parameters of AI models to automatically build code package and deploys it to the production environment.

3) CSP updates the AI model and provides cloud service to CSC.

| +| Roles | CSP, CSC | +| Figure (optional) |

Image: Figure I.2 – Integration and deployment diagram

The diagram illustrates the integration and deployment process. It features several components: CSC (Customer Service Center) represented by a person icon, CSP (Cloud Service Provider) represented by a person icon with a computer, AI models represented by a cloud icon with circuitry, Source code repository represented by a server icon, CI server and build machine represented by a server icon with a globe, Code package represented by a box icon, and Production environment represented by a computer monitor icon. The process flow is as follows: CSP provides cloud service to CSC. CSP sends Configuration to AI models. AI models detect errors from the Source code repository and trigger and monitor the CI server and build machine. The CI server and build machine performs code compilation to create a Code package. The Code package is then deployed to the Production environment. The Production environment sends a Report back to CSP. CSP provides Measurement and feedback to AI models. AI models also perform Validation on the Code package. The diagram is labeled Y.3550(23) in the bottom right corner.

Figure I.2 – Integration and deployment

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | – integration and deployment (refer to clause 7.4) | + +### I.3 Use case: adaptive anomaly detection model adjustment + +**Table I.3 – Use case: adaptive anomaly detection model adjustment** + +| | | +|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Adaptive anomaly detection model adjustment | +| Description |

CSN provides the anomaly detection system in a production environment, in which the characteristics of the CSP's operational data are recognized by the adaptively matched algorithms.

For example, CSN provides four different algorithms (algorithms A, B, C and D). Algorithms A and B are used to detect the data characteristics as ladder type, and algorithms C and D are used to detect the data characteristics as fluctuate type, etc. When the data characteristics change from ladder type to fluctuate type, the system will match the adaptive algorithm for anomaly detection.

  1. 1) CSP configures the parameters of data feature recognition and uploads the operational data in the anomaly detection system.
  2. 2) The configuration steps in the data feature recognition mechanism as follows are performed to identify the characteristics of the CSP's operational data.
    1. a) Fluctuation trend analysis.
    2. b) Trend sensitivity configuration.
    3. c) Detection window configuration.
    4. d) Fluctuating period length configuration.
    5. e) Detection of sliding window length.
    6. f) Mutation sensitivity configuration.
    7. g) Abnormalities proportion calculation.
  3. 3) The data characteristics are classified into three different types: cycle, ladder, and fluctuate.
  4. 4) Different types of algorithm models are selected automatically for anomaly detection in the algorithm model selection mechanism.
  5. 5) CSP provides cloud service to CSC based on an anomaly detection system.
| +| Roles | CSN, CSP, CSC | +| Figure (optional) |

Image: Figure I.3 – Adaptive anomaly detection model adjustment. The diagram illustrates the workflow of the adaptive anomaly detection system. It shows the interaction between CSC (Customer Service Center), CSP (Cloud Service Provider), and CSN (Anomaly detection system). CSP provides configuration to CSN and uploads data to Data storage. CSN processes the data through Fluctuation trend analysis, Trend sensitivity, Detection window, and Fluctuating period length, leading to Data feature recognition. This includes Proportion if abnormalities, Mutation sensitivity, and Detection of sliding window length. The results are classified into Cycle type, Fluctuate type, and Ladder type. These are then used for Algorithm model selection, which includes Algorithm/model A, B, C, D, and others. A Trained AI model for abnormal detection is used to generate Abnormal detection results, shown as line graphs. The diagram is labeled Y.3550(23).

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| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | + +**Table I.3 – Use case: adaptive anomaly detection model adjustment** + +| | | +|----------------------|--------------------------------------------| +| Derived requirements | – abnormal detection (refer to clause 7.5) | +|----------------------|--------------------------------------------| + +### I.4 Use case: convergence of alarm storms + +**Table I.4 – Use case: convergence of alarm storms** + +| | | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Convergence of alarm storms | +| Description | CSN provides CSP with the alarm analysis system to aggregate the same types of alarm information in order to help CSP find problems from a large amount of short-term alarm information, locate the problem and provide fault repair solutions. The alarm analysis system provides AI algorithms and models for knowledge association through alarm storm identification and alarm cause analysis. | +| Roles | CSN, CSP, CSC | +| Figure (optional) | Figure I.4 – Convergence of alarm storms

The diagram shows the workflow for alarm storm convergence. On the left, a CSP (Cloud Service Provider) icon is shown providing 'System configuration' to the CSN (Alarm analysis system) and 'Provides cloud service' to a CSC (Cloud Service Consumer). The CSN box contains a flow: 'Multi-source data' (represented by database icons) goes into 'Abnormal detection'. This leads to 'Confirm alarm storm', which then feeds into 'Aggregate and send out an alert event' (represented by a funnel icon). This event is processed by a box labeled 'AI algorithms and models' which contains 'Knowledge relevance mining' feeding into 'Invocation chain' and 'Knowledge graph', which both feed into 'Alarm cause correlation'. The diagram is labeled Figure I.4 – Convergence of alarm storms and Y.3550(23).

Figure I.4 – Convergence of alarm storms

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements | – alarm convergence (refer to clause 7.6) | + +### I.5 Use case: fault localization based on link topology + +**Table I.5 – Use case: fault localization based on link topology** + +| | | +|-------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Fault localization based on link topology | +| Description | The fault root cause localization system is provided by CSN based on the topological relationship of different inter-connected systems. When the cloud service indicator sounds the alarms, the fault root cause is located based on a complete topological | + +**Table I.5 – Use case: fault localization based on link topology** + +| | | +|---------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

structure for multiple systems and the localization algorithm.

CSP configures the parameters of the fault root cause localization algorithm and updates the fault localization knowledge base based on the results of the fault localization.

Some of these parameters are used for generating the fault root cause tree, which supports finding the fault root cause in the different inter-connected systems.

| +| Roles | CSN, CSP, CSC | +| Figure (optional) |

Image: Figure I.5 – Fault localization based on link topology. The diagram shows a CSN (Fault locating system) interacting with a CSP and a CSC. The CSN contains a 'Topological relationship' diagram showing a network of clients, services, and databases. It also contains a 'Root cause knowledge tree' flowchart. The flowchart starts with 'Check if the CUP indicator exceeds the limit'. If 'No', it goes to 'Check if keyword exists'. If 'Yes', it goes to 'Check for disk failure'. From 'Check if keyword exists', if 'No', it goes to 'Check node status'; if 'Yes', it goes to 'Keyword query'. From 'Check for disk failure', if 'No', it goes to 'Verify node log status'; if 'Yes', it goes to 'Verify node log status'. The CSP provides cloud service to the CSC and sends locating results to the CSN. The CSN sends update results to the CSP. The CSP sends system configuration to the CSN. The CSN sends system and fault correlation to the CSP. The CSP sends fault locating knowledge base to the CSN.

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| +| Figure I.5 – Fault localization based on link topology | | +| Pre-conditions (optional) |

CSP collects topology information of different inter-connected systems.

CSP maintains the fault localization knowledge base.

| +| Post-conditions (optional) | | +| Derived requirements | – fault localization (refer to clause 7.7) | + +### I.6 Use case: fault repairing solution recommendation + +**Table I.6 – Use case: fault repairing solution recommendation** + +| | | +|-------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Fault repairing solution recommendation | +| Description |

CSN provides CSP with a fault repairing system based on AI algorithms and models to support continuous updated fault repair solution suggestions.

CSP configures the parameters of the fault repairing system in the execution scheduling phase of fault repairing pre-processing based on the relevant operation and maintenance knowledge base.

| +| Roles | CSN, CSP, CSC | + +Table I.6 – Use case: fault repairing solution recommendation + +![Figure I.6 – Fault repairing solution recommendation diagram](ff7ce44f3fdd51bae7b231f34df07c6a_img.jpg) + +| | | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure (optional) |

The diagram illustrates the fault repairing solution recommendation process. It shows the interaction between the CSN (Fault repairing system), CSP, CSC, AI algorithms and models, Decision Recommendation, Preplanned operation, O&M knowledge base, and Infrastructure.

CSN (Fault repairing system) receives Monitoring indicators and performs the following steps:

  1. 1. Event perception
  2. 2. Failure analysis and understanding
  3. 3. Analysis and decision-making
  4. 4. Execution scheduling

AI algorithms and models provide Support to the Decision Recommendation process.

Decision Recommendation includes:

  1. 1. Fault repair rules management
  2. 2. Fault repair rules matching
  3. 3. Recommendations for fault repair rules
  4. 4. Intelligent Recommendation of fault repair tools
  5. 5. Fault repair notifications

Preplanned operation includes:

  1. 1. Configuration change rollback
  2. 2. Fault stop loss
  3. 3. Traffic scheduling
  4. 4. Overload protection
  5. 5. Active/standby switch

Infrastructure includes icons for CS, SQL, a cloud icon, a smartphone, a desktop monitor, and a server.

CSP provides Maintenance and updates to the CSN and System configuration to the O&M knowledge base. The O&M knowledge base provides Maintenance and updates to the CSN and Support to the Preplanned operation. The Preplanned operation provides Update to the O&M knowledge base and Apply actions to the Infrastructure.

CSC receives Provides cloud service from the CSP.

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| +| Pre-conditions (optional) | CSP provides infrastructure monitoring tools or system. | +| Post-conditions (optional) | | +| Derived requirements | – fault repairing (refer to clause 7.8) | + +Figure I.6 – Fault repairing solution recommendation diagram + +### I.7 Use case: resource optimization and scheduling + +Table I.7 – Use case: resource optimization and scheduling + +| | | +|-------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Resource optimization and scheduling | +| Description |

CSN provides the resource optimization and scheduling system based on AI algorithms and models. The models could adjust the resource allocation policy by analysing the current resource usage and future resource usage trends, including resource capacity expansion and reduction.

CSP configures the parameters of the resource optimization and scheduling system and schedules the resource based on the optimization solution provided by this system.

| +| Roles | CSN, CSP, CSC | + +**Table I.7 – Use case: resource optimization and scheduling** + +![Figure I.7 – Resource optimization and scheduling diagram. The diagram shows a system architecture for resource optimization and scheduling. At the top, a CSP (Cloud Service Provider) provides cloud services to CSC (Resource consumers), which include Client user, Mobile client user, and Group user. The CSP also receives feedback from the CSC. The CSP is connected to a CSN (Resource optimization system) via Models configuration and System configuration. The CSN contains AI algorithms and models, which support the Resource strategy construction process. The Resource strategy construction process is supported by a Resource optimization rule base. The Resource strategy construction process leads to Determine resource usage, which then branches into Server resource expansion and Server resource scaling. Server resource expansion leads to Resource sharing, which then leads to the Resource lake. Server resource scaling also leads to the Resource lake. The Resource lake contains Cloud service resources and Server resources. Feedback information is sent from the Resource lake back to the CSN. The diagram is labeled Y.3550(23) at the bottom right.](7f25db95ce3916c0e09803b861a2f7bc_img.jpg) + +| | | +|---------------------------------------------------------------------------------------------|------------------------------------------------------| +|

Figure (optional)

|

Y.3550(23)

| +|

Figure I.7 – Resource optimization and scheduling

| | +|

Pre-conditions (optional)

|

CSP collects resource usage data.

| +|

Post-conditions (optional)

| | +|

Derived requirements

|

– resource optimization (refer to clause 7.9)

| + +Figure I.7 – Resource optimization and scheduling diagram. The diagram shows a system architecture for resource optimization and scheduling. At the top, a CSP (Cloud Service Provider) provides cloud services to CSC (Resource consumers), which include Client user, Mobile client user, and Group user. The CSP also receives feedback from the CSC. The CSP is connected to a CSN (Resource optimization system) via Models configuration and System configuration. The CSN contains AI algorithms and models, which support the Resource strategy construction process. The Resource strategy construction process is supported by a Resource optimization rule base. The Resource strategy construction process leads to Determine resource usage, which then branches into Server resource expansion and Server resource scaling. Server resource expansion leads to Resource sharing, which then leads to the Resource lake. Server resource scaling also leads to the Resource lake. The Resource lake contains Cloud service resources and Server resources. Feedback information is sent from the Resource lake back to the CSN. The diagram is labeled Y.3550(23) at the bottom right. + +### I.8 Use case: resource capacity prediction + +**Table I.8 – Use case: resource capacity prediction** + +| | | +|-------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Resource capacity prediction | +| Description |

CSN provides a capacity prediction system, including mechanisms such as prediction model construction, prediction model training, prediction model evaluation and capacity operation plan recommendation, for analysing the historical operational data of service and resource performance based on AI algorithms and models, and automatically planning and managing resource usage to achieve capacity prediction for services and resources.

  1. 1) CSP configures the parameters of the capacity prediction system.
  2. 2) CSP maintains and configures parameters of AI algorithms and models.
  3. 3) CSP schedules cloud services or resources based on capacity prediction.
  4. 4) CSN provides capacity prediction analysis report to CSP.
| +| Roles | CSN, CSP | + +**Table I.8 – Use case: resource capacity prediction** + +![Flowchart of Resource Capacity Prediction process. The process is contained within a box labeled 'CSN (Capacity prediction system)'. It involves 'AI algorithms and models' which are updated and supported by 'Prediction model construction', 'Prediction model training', and 'Model evaluation'. 'Data storage' provides 'Import training data' and 'Continue training'. 'CSP' (Cloud Service Provider) interacts with the system for 'Maintenance and configuration', 'System configuration', and to 'Send report'. The process leads to 'Configuration prediction tasks', a 'Recommended capacity operation plan', and an 'Analysis report'. The final output is 'Adjustment and scheduling' of 'Services and resources'. A reference 'Y.3550(23)' is noted at the bottom right of the diagram area.](83852ec55d4802521a727926336bedab_img.jpg) + +| | | +|-------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------| +|

Figure (optional)

|

Y.3550(23)

| +|

Figure I.8 – Resource capacity prediction

| | +|

Pre-conditions (optional)

|

CSP collects service resource usage data.
CSN provides algorithm and modelling capability.

| +|

Post-conditions (optional)

| | +|

Derived requirements

|

– resource capacity prediction (refer to clause 7.10)

| + +Flowchart of Resource Capacity Prediction process. The process is contained within a box labeled 'CSN (Capacity prediction system)'. It involves 'AI algorithms and models' which are updated and supported by 'Prediction model construction', 'Prediction model training', and 'Model evaluation'. 'Data storage' provides 'Import training data' and 'Continue training'. 'CSP' (Cloud Service Provider) interacts with the system for 'Maintenance and configuration', 'System configuration', and to 'Send report'. The process leads to 'Configuration prediction tasks', a 'Recommended capacity operation plan', and an 'Analysis report'. The final output is 'Adjustment and scheduling' of 'Services and resources'. A reference 'Y.3550(23)' is noted at the bottom right of the diagram area. + +### I.9 Use case: intelligent response + +**Table I.9 – Use case: intelligent response** + +| Title | Intelligent response | +|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

CSN provides an intelligent response system, including mechanisms like semantic understanding, knowledge search, knowledge recommendation, and automatic response, based on natural language processing (NLP) and intelligent robots to accurately understand CSC's questions and intentions, and organize responses in appropriate language to CSC.

  1. 1) CSC requests cloud service from the CSP.
  2. 2) CSP configures the parameters of the intelligent response system, and maintains and updates NLP algorithms, NLP models, and knowledge base.
  3. 3) CSP provides cloud service to CSC.
| +| Roles | CSN, CSP, CSC | + +**Table I.9 – Use case: intelligent response** + +![Figure I.9 – Intelligent response diagram. The diagram shows the interaction between CSC, CSP, CSN, and various processing blocks. CSP provides cloud service to CSC and system configuration to CSN. CSP also performs maintenance and updates on NLP algorithms and models. CSN (Intelligent response system) contains Semantic understanding (Sentence segmentation, Statement conversion, Semantic recognition, Intent recognition), Knowledge search, Knowledge Recommendation, and Auto response decision. A Knowledge base service feeds into Knowledge search and Knowledge Recommendation. The entire system is labeled Y.3550(23).](812e188283162af0b54fb3e30ffee51b_img.jpg) + +| | | +|-----------------------------------|--------------------------------------------------------------------------------------------------------------------------| +|

Figure (optional)

|

Figure I.9 – Intelligent response

Y.3550(23)

| +|

Pre-conditions (optional)

|

CSP provides NLP algorithms, and NLP models.

| +|

Post-conditions (optional)

| | +|

Derived requirements

|

– intelligent response (refer to clause 7.11)

| + +Figure I.9 – Intelligent response diagram. The diagram shows the interaction between CSC, CSP, CSN, and various processing blocks. CSP provides cloud service to CSC and system configuration to CSN. CSP also performs maintenance and updates on NLP algorithms and models. CSN (Intelligent response system) contains Semantic understanding (Sentence segmentation, Statement conversion, Semantic recognition, Intent recognition), Knowledge search, Knowledge Recommendation, and Auto response decision. A Knowledge base service feeds into Knowledge search and Knowledge Recommendation. The entire system is labeled Y.3550(23). + +### I.10 Use case: knowledge base system management + +**Table I.10 – Use case: knowledge base system management** + +| Title | Knowledge base system management | +|-------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

CSP provides a knowledge base system, including the mechanism, knowledge extraction, knowledge templates and knowledge search, to analyse and identify different knowledge data with NLP algorithm and NLP models for knowledge extraction and template construction. It is used for template recommendation for several stages including fault location, alarm convergence, resource optimization, intelligence response, etc.

  1. 1) CSP maintains and updates the knowledge base system.
  2. 2) CSP provides cloud service to CSC based on a knowledge base system.
| +| Roles | CSP, CSP, CSC | + +**Table I.10 – Use case: knowledge base system management** + +![Figure I.10 – Knowledge base system management diagram. The diagram shows a knowledge base system (CSN) receiving data from various sources (Professional experience, File library, External resource, Community, Business systems) through Knowledge extraction. The extracted knowledge is categorized into O&M knowledge, Network knowledge, Product knowledge, and Customer service knowledge. This knowledge is then used by a Knowledge search module (Intent reasoning, Retrieve Recommendation) which interacts with a Knowledge template (Fault localization, Alarm convergence, Resource optimization, Customer support). The system also receives input from CSP (Configuration, Maintenance and updates) and CSC (Provides cloud service). The output is Multi-system support, which includes Monitoring and fault locating system, Customer service system, Smart Q&A bot, and AI platform. The diagram is labeled Y.3550(23) in the bottom right corner.](08a978a124d3ed6cf1a3d0cfd89418d0_img.jpg) + +| | | +|------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------| +|

Figure (optional)

|

Y.3550(23)

| +|

Figure I.10 – Knowledge base system management

| | +|

Pre-conditions (optional)

|

CSP collects different knowledge data sources.
CSN provides multi-system docking capability.

| +|

Post-conditions (optional)

| | +|

Derived requirements

|

– knowledge base management (refer to clause 7.12)

| + +Figure I.10 – Knowledge base system management diagram. The diagram shows a knowledge base system (CSN) receiving data from various sources (Professional experience, File library, External resource, Community, Business systems) through Knowledge extraction. The extracted knowledge is categorized into O&M knowledge, Network knowledge, Product knowledge, and Customer service knowledge. This knowledge is then used by a Knowledge search module (Intent reasoning, Retrieve Recommendation) which interacts with a Knowledge template (Fault localization, Alarm convergence, Resource optimization, Customer support). The system also receives input from CSP (Configuration, Maintenance and updates) and CSC (Provides cloud service). The output is Multi-system support, which includes Monitoring and fault locating system, Customer service system, Smart Q&A bot, and AI platform. The diagram is labeled Y.3550(23) in the bottom right corner. + +# Bibliography + +- [b-ITU-T Y.3500] Recommendation ITU-T Y.3500 (2014) | ISO/IEC 17788:2014, *Information technology – Cloud computing – Overview and vocabulary*. +- [b-ISO/IEC 2382] ISO/IEC 2382:2015, *Information technology – Vocabulary*. +<> + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3552-202409-I_PDF-E/a48a54b8213bb20f6db241f20824bb51_img.jpg b/marked/Y/T-REC-Y.3552-202409-I_PDF-E/a48a54b8213bb20f6db241f20824bb51_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..d4d8969f805414689ab79cfd08c333d454d482b3 --- /dev/null +++ b/marked/Y/T-REC-Y.3552-202409-I_PDF-E/a48a54b8213bb20f6db241f20824bb51_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:636c3839edff955a5b6208530b05fa1c983ab153d90f00216517a7a99478b988 +size 7074 diff --git a/marked/Y/T-REC-Y.3552-202409-I_PDF-E/a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg 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sha256:e94047380d9ddae6416ddf4f19c0c1f3ef18c4bd2af8986db6d6c22180eca1c0 +size 65973 diff --git a/marked/Y/T-REC-Y.3555-202508-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3555-202508-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..c6fec5c445885b751e87cd659c8283b894426071 --- /dev/null +++ b/marked/Y/T-REC-Y.3555-202508-I_PDF-E/raw.md @@ -0,0 +1,899 @@ + + +# Recommendation + +# **ITU-T Y.3555 (08/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Cloud Computing + +# --- **Cloud computing – Functional architecture for multi-cloud** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3555 + +# Cloud computing – Functional architecture for multi-cloud + +## Summary + +Recommendation ITU-T Y.3555 describes the functional architecture for multi-cloud. To provide the functional architecture for multi-cloud, the functions for multi-cloud based on the functional requirements of logical components which are identified in Recommendation ITU-T Y.3537 are specified. This Recommendation also provides the relationship between the functional architecture for multi-cloud and the cloud computing reference architecture in Recommendation ITU-T Y.3502. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3555 | 2025-08-29 | 13 | 11.1002/1000/16447 | + +## Keywords + +Cloud computing, functional architecture, multi-cloud, multi-cloud management, multi-cloud manager. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Convention..... | 3 | +| 6 Relationship between logical components and function groups for multi-cloud ..... | 3 | +| 7 Functions for multi-cloud ..... | 4 | +| 7.1 User access management function group ..... | 5 | +| 7.2 Service discovery function group ..... | 7 | +| 7.3 Service management function group ..... | 8 | +| 7.4 Connectivity management function group ..... | 9 | +| 7.5 Monitoring and reporting function group ..... | 10 | +| 7.6 Service policy management function group ..... | 11 | +| 8 Functional architecture for multi-cloud ..... | 12 | +| 8.1 Function groups for multi-cloud..... | 13 | +| 8.2 Reference points ..... | 13 | +| 9 Security Considerations ..... | 15 | +| Appendix I – Relationship between functional requirements of CSN: multi-cloud
manager and functions for multi-cloud..... | 17 | +| Appendix II – Interaction among functions for multi-cloud..... | 20 | +| Appendix III – Relationship between functions for multi-cloud and functional
components of cloud computing reference architecture ..... | 21 | +| Bibliography..... | 23 | + + + +# Recommendation ITU-T Y.3555 + +# Cloud computing – Functional architecture for multi-cloud + +# 1 Scope + +This Recommendation provides functional architecture for multi-cloud based on the functional requirements given in [ITU-T Y.3537]. It addresses the following subjects: + +- Functions for multi-cloud; +- Functional architecture for multi-cloud; +- Relationship between functional architecture for multi-cloud and the cloud computing reference architecture. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[[ITU-T Y.3537](#)] Recommendation ITU-T Y.3537 (2022), *Cloud computing – Functional requirements of a cloud service partner for multi-cloud*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 cloud service customer** [b-ITU-T Y.3500]: Party which is in a business relationship for the purpose of using cloud services. + +**3.1.2 cloud service provider** [b-ITU-T Y.3500]: Party which makes cloud services available. + +**3.1.3 composed cloud service** [ITU-T Y.3537]: Cloud services in a group. + +NOTE – In multi-cloud, composed cloud service is managed as a group by multi-cloud management. + +**3.1.4 data connectivity** [ITU-T Y.3537]: Ability to access and share the data for interoperability. + +**3.1.5 multi-cloud** [ITU-T Y.3537]: Use of cloud services in public cloud from two or more independent cloud service providers at the same time for business. + +NOTE – Multi-cloud, known as multi-cloud computing is distinguished from multiple cloud which is an environment involving two or more cloud service providers (CSPs). + +**3.1.6 multi-cloud management** [ITU-T Y.3537]: Management of cloud services in form of composed cloud service from multiple cloud service providers at a single point. + +NOTE – Capabilities of multi-cloud management include configuring, controlling and monitoring composed cloud service from multiple cloud service providers. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 multi-cloud manager:** A sub-role of cloud service partner which is responsible for providing the capabilities of multi-cloud management. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|---------|-----------------------------------------------| +| AIM-F | Access Information Management Function | +| CCSCF-F | Composed Cloud Service Configuration Function | +| CCSCT-F | Composed Cloud Service Control Function | +| CCSM-F | Composed Cloud Service Monitoring Function | +| CM-FG | Connectivity Management Function Group | +| CSC | Cloud Service Customer | +| CSC-F | Cloud Service Composition Function | +| CSD-F | Cloud Service Discovery Function | +| CSE-F | Cloud Service Evaluation Function | +| CSM-F | Cloud Service Monitoring Function | +| CSN | Cloud Service Partner | +| CSP | Cloud Service Provider | +| CSS-F | Cloud Service Search Function | +| DNS | Domain Name System | +| IAM | Identity and Access Management | +| MR-FG | Monitoring and Reporting Function Group | +| NCCF-F | Network Connection Configuration Function | +| NCCT-F | Network Connection Control Function | +| PM-F | Policy Management Function | +| PRD-F | Provisioning Request Delivery Function | +| QoS | Quality of Service | +| RC-F | Report Collection Function | +| SCCF-F | Storage Connection Configuration Function | +| SCCT-F | Storage Connection Control Function | +| SD-FG | Service Discovery Function Group | +| SLA | Service Level Agreement | +| SM-F | SLA Management Function | +| SM-FG | Service Management Function Group | + +| | | +|--------|------------------------------------------------| +| SPM-FG | Service Policy Management Function Group | +| UAA-F | User Authentication and Authorization Function | +| UAM-FG | User Access Management Function Group | +| UIM-F | User Interface Management Function | + +# 5 Convention + +None. + +# 6 Relationship between logical components and function groups for multi-cloud + +According to the definition in [ITU-T Y.3537], multi-cloud is the use of cloud services in public cloud from two or more independent cloud service providers (CSPs) at the same time for business. In multi-cloud, a cloud service customer (CSC) needs to select and use the appropriate cloud services from multiple CSPs, which is supported by the capabilities of multi-cloud management. Multi-cloud management as described in [ITU-T Y.3537] is the management of cloud services in the form of a composed cloud service from multiple CSPs at a single point and its capabilities include configuring, controlling and monitoring composed cloud service. A multi-cloud manager is responsible for providing the capabilities of multi-cloud management between a CSC and multiple CSPs. + +There are six logical components of multi-cloud manager described in [ITU-T Y.3537]: + +- Access management; +- Service discovery; +- Service management; +- Connectivity management; +- Monitoring and reporting; +- Policy management. + +These logical components are realized by the following function groups. + +- User access management function group (UAM-FG): provides the functions to provide the unified interfaces for various users (i.e., cloud service user, cloud service business manager and cloud service administrator from CSC, etc.), to authenticate and authorize the users through the coordination of identities and security credentials and to manage access information for the users; +- Service discovery function group (SD-FG): provides the functions to search available cloud services from cloud service catalogues of CSPs, to evaluate the available cloud services before provisioning them to find the optimal cloud services, to discover the best-matched cloud services for CSC's requests among available cloud services, and to deliver the provisioning requests to CSPs; +- Service management function group (SM-FG): provides the functions to compose the provisioned cloud service, and configure and control the composed cloud service with guarantees of the established service level agreements (SLAs) for a CSC; +- Connectivity management function group: provides the functions to set up and control the connectivity of network and data across cloud services provided by multiple CSPs for the composed cloud service; + +- Monitoring and reporting function group (MR-FG): provides the functions to monitor the composed cloud service in the aggregated forms and each cloud service in the composed cloud service, and to collect the various reports from CSPs, providing them to a CSC; +- Service policy management function (PM-F) group: provides the functions to manage various policies for a CSC, and to establish and manage SLAs between a CSC and CSPs. + +Table 6-1 shows the relationship between logical components and function groups for multi-cloud in this Recommendation. The mapping between the functional requirements of each logical component in [ITU-T Y.3537] and functions of each function group in clause 7 of this Recommendation is described in Appendix I. + +**Table 6-1 – Relationship between logical components of multi-cloud manager and function groups for multi-cloud** + +| Logical components in [ITU-T Y.3537] | Function groups for multi-cloud in this Recommendation | +|---------------------------------------------|---------------------------------------------------------------| +| Access management | User access management function group
(see clause 7.1) | +| Service discovery | Service discovery function group
(see clause 7.2) | +| Service management | Service management function group
(see clause 7.3) | +| Connectivity management | Connectivity management function group
(see clause 7.4) | +| Monitoring and reporting | Monitoring and reporting function group
(see clause 7.5) | +| Policy management | Service policy management function group
(see clause 7.6) | + +# 7 Functions for multi-cloud + +Figure 7-1 shows the function groups and corresponding functions for multi-cloud. + +![Figure 7-1: Function groups and functions for multi-cloud. The diagram shows five function groups: User access management, Service discovery, Service management, Connectivity management, and Monitoring and reporting. Each group contains specific functions. A legend indicates that rounded rectangles represent function groups and rectangles represent functions.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +The diagram illustrates the functional architecture for multi-cloud environments, organized into five main function groups: + +- User access management** (Function group): + - Access information management (Function) + - User authentication and authorization (Function) + - User interface management (Function) +- Service discovery** (Function group): + - Cloud service search (Function) + - Cloud service discovery (Function) + - Cloud service evaluation (Function) + - Provisioning request delivery (Function) +- Service management** (Function group): + - Cloud service composition (Function) + - Composed cloud service configuration (Function) + - Composed cloud service control (Function) +- Connectivity management** (Function group): + - Network connection configuration (Function) + - Network connection control (Function) + - Storage connection configuration (Function) + - Storage connection control (Function) +- Monitoring and reporting** (Function group): + - Composed cloud service monitoring (Function) + - Cloud service monitoring (Function) + - Report collection (Function) +- Service policy management** (Function group): + - Policy management (Function) + - SLA management (Function) + +**Legend:** + ○ Function group + □ Function + +Y.3555(25) + +Figure 7-1: Function groups and functions for multi-cloud. The diagram shows five function groups: User access management, Service discovery, Service management, Connectivity management, and Monitoring and reporting. Each group contains specific functions. A legend indicates that rounded rectangles represent function groups and rectangles represent functions. + +**Figure 7-1 – Function groups and functions for multi-cloud** + +- The user access management function group enables consistent and secure interaction with cloud services across multiple CSPs. It manages user identities, access permissions, and interfaces in a unified manner within a multi-cloud environment; +- The service discovery function group enables a CSC to identify, evaluate, and select cloud services from multiple CSPs to meet the specified requirements; +- The service management function group enables a CSC to compose cloud services from multiple CSPs into a composed cloud service as a unified entity. It provides capabilities for configuring and controlling the composed cloud service; +- The connectivity management function group manages communication and data exchange between cloud services in a composed cloud service. It configures and controls virtual networks and storage access to ensure interoperability, performance, and continuity across different CSPs; +- The monitoring and reporting function group provides capabilities to monitor the performance and status of cloud services and composed cloud services, and to generate reports based on the collected monitoring data; +- And the service policy management function group (SPM-FG) enables a CSC to define and enforce policies and SLAs for the composed cloud service. It supports autonomous service control and ensures performance and quality. + +## 7.1 User access management function group + +The user access management function group includes the user interface management function (UIM-F), the user authentication and authorization function (UAA-F) and the access information management function (AIM-F). + +### 7.1.1 User interface management + +The user interface management function adapts heterogeneous open interfaces of CSPs into a unified interface through which a CSC accesses and manages both cloud services and composed cloud services. + +This function supports the following functionalities: + +- Authenticating and authorizing a CSC using provided credentials; +- Providing unified interfaces to authenticated and authorized CSC; +NOTE 1 – A CSC searches, creates, deploys and operates cloud services in a same manner by using interfaces. +- Registering and deregistering CSPs by adapting the open interfaces of each CSP to the unified interfaces; +NOTE 2 – One method to integrate the different interfaces of CSPs is to utilize the interface driver (see clause 8.3 in [ITU-T Y.3537]). +- Invoking the cloud service search function (CSS-F) with CSC's requirements (see clause 7.2.1); +- Selecting best matched cloud services provided by the cloud service discovery function (CSD-D) (see clause 7.2.3); +- Invoking the cloud service composition function (CSC-F) with the selected cloud services for composition and deployment (see clause 7.3.1); +- Invoking the composed cloud service configuration function (CCSCF-F) with the composed cloud service, including network settings, shared storage, policies, and SLAs (see clause 7.3.2); +- Invoking the composed cloud service control function (CCSCT-F) with control actions for the composed cloud service (see clause 7.3.3); +- Monitoring the status of cloud services by delivering status and performance data provided by the composed cloud service monitoring function (CCSM-F) (see clause 7.5.1) and cloud service monitoring function (CSM-F) (see clause 7.5.2); +- Receiving the historical data and reports for analysis from the report collection function (RC-F) (see clause 7.5.3). + +#### 7.1.2 User authentication and authorization + +The user authentication and authorization function manages user identity and access control to ensure secure use of cloud services and composed cloud services across multiple CSPs. + +This function supports the following functionalities: + +- Verifying identities and credentials to decide whether to grant or deny access to each CSP; +- Determining what resources and cloud services an authenticated CSC can access based on its roles and permissions. + +### 7.1.3 Access information management + +The access information management function manages credentials and connection information for cloud services and composed cloud services across multiple CSPs. + +This function supports the following functionalities: + +- Storing access information securely including credentials and entry points for each CSP and for the composed cloud service; +NOTE 1 – The examples of credentials include user ID, password, and access keys or tokens used to authenticate with the CSP's open interfaces. +NOTE 2 – The examples of entry points are endpoint URLs to access individual cloud services within a composed cloud service. +- Providing the stored access information for each CSP and composed cloud services only to authorized CSC. + +## **7.2 Service discovery function group** + +The service discovery function group includes cloud service search function, cloud service evaluation function (CSE-F), cloud service discovery function and the provisioning request delivery function (PRD-F). + +#### **7.2.1 Cloud service search** + +The cloud service search function enables users to identify cloud services that meet users' requirements by collecting specifications from multiple CSPs' cloud service catalogues. This function provides the following functionalities: + +- Searching for specific cloud services from various CSPs that meet users' requirements; +- Providing detailed specifications of available cloud services in the cloud service catalogues; +- Updating and reviewing cloud service specifications to maintain accuracy; +- Converting the metrics in collected specifications into a unified format for consistent management. + +### **7.2.2 Cloud service evaluation** + +The cloud service evaluation function enables a CSC to evaluate and compare cloud services from multiple CSPs in terms of performance, cost, and compliance. + +This function provides the following functionalities: + +- Benchmarking and assessing the performance of cloud services identified in various CSPs; +- Providing estimated financial costs for the cloud services to a CSC; +- Evaluating the SLA and regulatory compliance of each cloud service. + +#### **7.2.3 Cloud service discovery** + +The cloud service discovery function enables a CSC to select cloud services that meet its requirements based on search and evaluation results. + +This function provides the following functionalities: + +- Filtering and prioritizing cloud services based on the result of cloud service search and evaluation; +- Discovering best-matched cloud services to compose cloud services according to CSC's requirements. + +#### **7.2.4 Provisioning request delivery** + +The provisioning request delivery function enables a CSC to request the provisioning of selected cloud services from the corresponding CSPs. + +This function provides the following functionalities: + +- Setting up the information necessary for the configuration and deployment of cloud services; +- Delivering the provisioning requests for the selected cloud services to each CSP; +- Tracking the status of each provisioning request and response. + +## **7.3 Service management function group** + +The service management function group includes cloud service composition function, composed cloud service configuration function and composed cloud service control function. + +### **7.3.1 Cloud service composition** + +The cloud service composition function enables a CSC to combine selected cloud services from multiple CSPs into a composed cloud service. + +This function provides the following functionalities: + +- Composing cloud services from multiple CSPs for integrated management and operation as a single entity; +- Adding new cloud services to the composed cloud service; +- Removing existing cloud services from the composed cloud service; +- Deploying the composed cloud service, ensuring all cloud services are correctly initiated, configured, and ready to run (see clause 7.2.4). + +### **7.3.2 Composed cloud service configuration** + +The composed cloud service configuration function enables a CSC to configure networking, storage, and policies for the operation of a composed cloud service. + +This function provides the following functionalities: + +- Configuring the network for the composed cloud service by creating virtual network connections between cloud services (see clause 7.4.1); +- Configuring the shared storage for the composed cloud service by accessing storage resources across cloud services (see clause 7.4.3); +- Defining and enforcing SLAs and policies for each cloud service in the composed cloud service (see clauses 7.6.1 and 7.6.2); +- Establishing SLAs and policies for the composed cloud service (see clauses 7.6.1 and 7.6.2). + +#### **7.3.3 Composed cloud service control** + +The composed cloud service control function provides lifecycle, scaling, and termination control for the composed cloud service and the cloud services. + +This function provides the following functionalities: + +- Controlling the entire lifecycle of the composed cloud service or each cloud service; +NOTE 1 – The lifecycle includes starting, stopping, suspending, resuming and rebooting. +- Scaling up or down the composed cloud service. +NOTE 2 – Scaling the composed cloud service is achieved by adjusting the resource allocation (e.g., CPU, memory) of existing cloud services in the composed cloud service. +- Terminating the composed cloud service. + +## **7.4 Connectivity management function group** + +The connectivity management function group includes network connection configuration function (NCC-F), the network connection control function (NCCT-F), storage connection configuration function (SCC-F) and storage connection control function (SCCT-F). + +### **7.4.1 Network connection configuration** + +The network connection configuration function enables the configuration of virtual network connections among cloud services in the composed cloud service, including topology, security, and domain name system (DNS) settings. + +This function provides the following functionalities: + +- Collecting the network information of cloud services in composed cloud service; +- Setting up virtual network connections between cloud services in composed cloud service; +- Applying security and access control policies to virtual network connections; +- Deploying the optimized virtual network topology between cloud services; +- Managing the DNS settings and the endpoint of the composed cloud service. + +### **7.4.2 Network connection control** + +The network connection control function ensures reliable communication among cloud services in a composed cloud service through connection management and traffic control. + +This function provides the following functionalities: + +- Dynamically updating virtual network connections for composed cloud service; +- Monitoring and managing network status of composed cloud service; +- Controlling the flow of network traffic and regulating bandwidth consumption between cloud services. + +#### **7.4.3 Storage connection configuration** + +The storage connection configuration function sets up secure and consistent access to shared cloud storage across cloud services. + +This function provides the following functionalities: + +- Collecting cloud storage information to find the available storage options and characteristics; +NOTE 1 – Cloud storage information includes details such as storage type (e.g., block, object, file), capacity, performance characteristics (e.g., IOPS, throughput), availability zone, access protocols, encryption support, and cost-related attributes. +- Allocating storage resources based on the requirements of the composed cloud service and the collected storage information; +- Setting security and access permissions to establish robust security measures and access controls for the shared storage resources; +NOTE 2 – This includes configuring data encryption, setting up identity and access management (IAM) policies and applying security protocols to protect data from unauthorized access and threats. +- Establishing data synchronization and replication strategies to ensure data consistency and availability across cloud services; +- Creating and mounting shared virtual volumes to enable seamless data sharing and collaboration across cloud services; + +- Establishing stability features of shared virtual volumes to maintain reliability and ensure continuous access for cloud services. + +NOTE 3 – The examples to implement and manage stability features are to provide measures such as auto-scaling, high availability, disaster recovery, etc., which are supported by CSPs. + +#### **7.4.4 Storage connection control** + +The storage connection control function manages shared storage among the cloud services by performance monitoring, security enhancement, disaster recovery, and resource adjustment. + +This function provides the following functionalities: + +- Providing performance monitoring and optimization to identify bottlenecks or inefficiencies, to enhance data transfer rates, reduce latency, and improve overall storage performance; +- Providing data security monitoring and enhancement to protect data integrity and confidentiality; + +NOTE 1 – The ways to enhance data security include updating access controls and applying encryption methods. + +- Managing and maintaining disaster recovery strategies for shared storage to maintain continuous data availability; + +NOTE 2 – The disaster recovery strategies include data backup, data replication, and data restoration. + +- Adjusting storage resources dynamically to maintain optimal storage utilization and performance. + +NOTE 3 – Storage resource adjustment involves scaling storage capacity up or down as needed and reallocating storage resources. + +## **7.5 Monitoring and reporting function group** + +The monitoring and reporting function group includes composed cloud service monitoring function, cloud service monitoring function and report collection function. + +### **7.5.1 Composed cloud service monitoring** + +The composed cloud service monitoring function collects and analyses the operational status, network performance, and resource metrics across cloud services within a composed cloud service. + +This function provides the following functionalities: + +- Checking the status across cloud services in the composed cloud service; +- Tracking network performance metrics between cloud services in the composed cloud service; +- Collecting performance metrics of the composed cloud service. + +NOTE – Performance metrics include response time, throughput, availability, error rate, latency, and resource utilization such as CPU, memory, and network bandwidth across cloud services. + +#### **7.5.2 Cloud service monitoring** + +The cloud service monitoring function enables monitoring of SLA-related metrics and security events for each cloud service by using data from CSPs or installed agents. + +This function provides the following functionalities: + +- Monitoring key performance indicators for cloud services related to SLAs; + +NOTE 1 – Key performance indicators include uptime, response time, resource usage, error rate, and other metrics defined in the SLA. + +- Installing monitoring agents to cloud service; + +NOTE 2 – Monitoring data is collected from agents which are installed in each cloud service. (see clause 8.5 in [ITU-T Y.3537]). + +- Monitoring resource utilization for cloud service; +- Monitoring the availability and security events of each cloud service; +- Storing the collected monitoring data for cloud services; +- Setting up custom alerts based on specific metrics and security events. + +#### **7.5.3 Report collection** + +The report collection function provides customized reports based on monitoring data for a composed cloud service. + +This function provides the following functionalities: + +- Providing reports for composed cloud service to CSC; +NOTE – The examples of report are usage report, audit report, problem report, performance report, etc. (see clause 8.5 in [ITU-T Y.3537]). +- Customizing the reports according to CSC's demands; +- Providing historical data for analyses and insights of composed cloud service. + +## **7.6 Service policy management function group** + +The service policy management function group includes policy management function and SLA management function (SM-F). + +#### **7.6.1 Policy management** + +The policy management function enables autonomous control of composed cloud services based on predefined conditions and actions. + +This function provides the following functionalities: + +- Defining management policies for composed cloud service; +NOTE – A management policy is to autonomously control cloud services in composed cloud service according to conditions such as a threshold of resource utilization rate or workload, and actions such as scaling-out of composed cloud service for stability and efficiency (see clause 8.6 in [ITU-T Y.3537]). +- Reviewing and updating management policies regularly; +- Registering/deregistering management policies for composed cloud service; +- Enforcing management policies to composed cloud service; +- Applying management policies proactively; +- Logging events and actions triggered by the management policies. + +#### **7.6.2 SLA management** + +The SLA management function defines, enforces and reviews SLAs to ensure that the agreed performance and quality requirements for composed cloud services are met. + +This function provides the following functionalities: + +- Establishing measurable SLAs for the expected performance and quality of service (QoS) level; +- Enforcing the established SLAs to the composed cloud service; +- Reviewing SLAs periodically to ensure that they remain aligned with the CSC's needs and expectations. + +# 8 Functional architecture for multi-cloud + +Figure 8-1 shows the functional architecture for multi-cloud. + +![Figure 8-1: Functional architecture for multi-cloud. The diagram shows five functional groups (FGs) and their internal functions (F) and interfaces (I). UAM-FG (User Access Management) contains AIM-F, UAA-F, and UIM-F. SD-FG (Service Discovery) contains CSS-F, CSD-F, CSE-F, and PRD-F. SM-FG (Service Management) contains CSC-F, CCSCF-F, and CCCT-F. CM-FG (Connectivity Management) contains NCCF-F, SCCF-F, NCCT-F, and SCCT-F. MR-FG (Monitoring and Reporting) contains CCSM-F, CSM-F, and RC-F. SPM-FG (Service Policy Management) contains PM-F and SM-F. Interfaces connect functions across FGs: I_AIM_UAA, I_CSS_UIM, I_UIM_CSD, I_CSD_CSC, I_CSC_UIM, I_CSS_CSE, I_CSE_CSS, I_PRD_AIM, I_CSC_PRD, I_CCSCF_NCCF, I_CCSCF_SCCF, I_CCSCF_PM, I_CCSCF_SM, I_CSC_CCSCF, I_CCCT_CCSCF, I_CCCT_NCCT, I_CCCT_SCCT, I_CSM_UIM, I_RC_UIM, I_PM_UIM, and I_SM_UIM.](9b9d2abd741ed4bafe7f78f89961c663_img.jpg) + +Y.3555(25) + +| | | +|-------------------------------------------------------|--------------------------------------------------------| +| UAM-FG: User access management function group | SM-FG: Service management function group | +| AIM-F: Access information management function | CSC-F: Cloud service composition function | +| UAA-F: User authentication and authorization function | CCSCF-F: Composed cloud service configuration function | +| UIM-F: User interface management function | CCCT-F: Composed cloud service control function | +| SD-FG: Service discovery function group | CM-FG: Connectivity management function group | +| CSS-F: Cloud service search function | NCCF-F: Network connection configuration function | +| CSD-F: Cloud service discovery function | NCCT-F: Network connection control function | +| CSE-F: Cloud service evaluation function | SCCF-F: Storage connection configuration function | +| PRD-F: Provisioning request delivery function | SCCT-F: Storage connection control function | +| MR-FG: Monitoring and reporting function group | SPM-FG: Service policy management function group | +| CCSM-F: Composed cloud service monitoring function | PM-F: Policy management function | +| CSM-F: Cloud service monitoring function | SM-F: SLA management function | +| RC-F: Report collection function | | + +Figure 8-1: Functional architecture for multi-cloud. The diagram shows five functional groups (FGs) and their internal functions (F) and interfaces (I). UAM-FG (User Access Management) contains AIM-F, UAA-F, and UIM-F. SD-FG (Service Discovery) contains CSS-F, CSD-F, CSE-F, and PRD-F. SM-FG (Service Management) contains CSC-F, CCSCF-F, and CCCT-F. CM-FG (Connectivity Management) contains NCCF-F, SCCF-F, NCCT-F, and SCCT-F. MR-FG (Monitoring and Reporting) contains CCSM-F, CSM-F, and RC-F. SPM-FG (Service Policy Management) contains PM-F and SM-F. Interfaces connect functions across FGs: I\_AIM\_UAA, I\_CSS\_UIM, I\_UIM\_CSD, I\_CSD\_CSC, I\_CSC\_UIM, I\_CSS\_CSE, I\_CSE\_CSS, I\_PRD\_AIM, I\_CSC\_PRD, I\_CCSCF\_NCCF, I\_CCSCF\_SCCF, I\_CCSCF\_PM, I\_CCSCF\_SM, I\_CSC\_CCSCF, I\_CCCT\_CCSCF, I\_CCCT\_NCCT, I\_CCCT\_SCCT, I\_CSM\_UIM, I\_RC\_UIM, I\_PM\_UIM, and I\_SM\_UIM. + +**Figure 8-1 – Functional architecture for multi-cloud** + +The functional architecture for multi-cloud comprises six function groups of user access management function group (UAM-FG), service discovery function group (SD-FG), service management function group (SM-FG), connectivity management function group (CM-FG), monitoring and reporting function group (MR-FG), and service policy management function group (SPM-FG), which correspond with clause 7.1 to clause 7.6, respectively. + +Each function that is described in clause 7 interacts with other functions by the reference points depicted in Figure II.1 (see Appendix II). + +## **8.1 Function groups for multi-cloud** + +The UAM-FG comprises three functions: user interface management function (UIM-F), access information management function (AIM-F), and user authentication and authorization function (UAA-F). The UAM-FG interacts with SD-FG, SM-FG, SPM-FG and MR-FG. + +The SD-FG comprises four functions: cloud service search function (CSS-F), cloud service discovery function (CSD-F), cloud service evaluation function (CSE-F), and provisioning request delivery function (PRD-F). The SD-FG interacts with UAM-FG and SM-FG. + +The SM-FG comprises three functions: cloud service composition function (CSC-F), composed cloud service configuration function (CCSCF-F), and composed cloud service control function (CCSCT-F). The SM-FG interacts with UAM-FG, SD-FG, CM-FG and SPM-FG. + +The CM-FG comprises four functions: network connection configuration function (NCC-F), network connection control function (NCCT-F), storage connection configuration function (SCC-F), and storage connection control function (SCCT-F). The CM-FG interacts with SM-FG. + +The SPM-FG comprises two functions: policy management function (PM-F) and SLA management function (SM-F). The SPM-FG interacts with UAM-FG and SM-FG. + +The MR-FG comprises three functions: composed cloud service monitoring function (CCSM-F), cloud service monitoring function (CSM-F), and report collection function (RC-F). The MR-FG interacts with UM-FG. + +## **8.2 Reference points** + +### **8.2.1 Reference points between SD-FG and UAM-FG** + +The reference points between SD-FG and UAM-FG are summarized as follows: + +| | | +|-----------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| I_CSS_UIM | reference point between CSS-F and UIM-F. Through this reference point, the searching results and details of cloud services or resources from various CSPs are delivered to the CSC. | +| I_UIM_CSD | reference point between UIM-F and CSD-F. Through this reference point, the CSC deploys the best matched cloud services by considering the searched cloud services and the evaluation result. | +| I_PRD_AIM | reference point between PRD-F and AIM-F. Through this reference point, the access information for provisioned cloud services is delivered to the CSC. | + +### 8.2.2 Reference points between SM-FG and UAM-FG + +The reference points between SM-FG and UAM-FG are summarized as follows: + +- I\_CSC\_UIM reference point between UIM-F and CSC-F. Through this reference point, a created composed cloud service is delivered to the CSC. +- I\_UIM\_CCSCCT reference point between UIM-F and CCSCCT-F. Through this reference point, the CSC controls the lifecycle of the composed cloud service or each cloud service in the composed cloud service. + +### 8.2.3 Reference points between MR-FG and UAM-FG + +The reference point between MR-FG and UAM-FG is summarized as follows: + +- I\_CCSCM\_UIM reference point between CCSCM-F and UIM-F. Through this reference point, the performance metrics and the status of the composed cloud service are delivered to the CSC. +- I\_CSM\_UIM reference point between CSM-F and UIM-F. Through this reference point, the performance metrics and the status of each cloud service in the composed cloud service are delivered to the CSC. +- I\_RC\_UIM reference point between RC-F and UIM-F. Through this reference point, the reports for the composed cloud service or each cloud service in the cloud service are delivered to the CSC. + +### 8.2.4 Reference points between SPM-FG and UAM-FG + +The reference points between SPM-FG and UAM-FG are summarized as follows: + +- I\_PM\_UIM reference point between PM-F and UIM-F. Through this reference point, the status of management policies for the composed cloud service is notified to the CSC. +- I\_SM\_UIM reference point between SM-F and UIM-F. Through this reference point, the status of the established SLAs for the composed cloud service is notified to the CSC. + +#### 8.2.5 Reference points between SD-FG and SM-FG + +The reference points between SD-FG and SM-FG are summarized as follows: + +- I\_CSD\_CSC reference point between CSD-F and CSC-F. Through this reference point, the selected cloud services are delivered to compose the cloud services and configure the composed cloud service according to the requirements in SM-FG. +- I\_CSC\_PRD reference point between CSC-F and PRD-F. Through this reference point, the selected cloud services are delivered to send the provisioning requests to each CSP. + +#### 8.2.6 Reference points between CM-FG and SM-FG + +The reference points between CM-FG and SM-FG are summarized as follows: + +- I\_CCSCF\_NCCF reference point between CCSCF-F and NCCF-F. Through this reference point, the network configuration for the composed cloud service is delivered to establish virtual network connections between cloud services in the composed cloud service. +- I\_CCSCCT\_NCCT reference point between CCSCCT-F and NCCT-F. Through this reference point, the control requests to the network connections are delivered to control the network connections among cloud services in the composed cloud service. + +- I\_CCSCF\_SCCF reference point between CCSCF-F and SCCF-F. Through this reference point, the storage configuration for the composed cloud service is delivered to set up and configure the connections to storage resources across cloud services in the composed cloud service. +- I\_CCSTCT\_SCCT reference point between CCSTCT-F and SCCT-F. Through this reference point, the control requests to the shared storage are delivered to control the shared storage across cloud services in the composed cloud service. + +#### 8.2.7 Reference points between SPM-FG and SM-FG + +The reference points between SPM-FG and SM-FG are summarized as follows: + +- I\_CCSCF\_PM reference point between CCSCF-F and PM-F. Through this reference point, the requirements of management policy for the composed cloud service are delivered to enable autonomous control over cloud services in the composed cloud service. +- I\_CCSCF\_SM reference point between CCSCF-F and SM-F. Through this reference point, the SLA requirements for the composed cloud service are delivered to ensure the SLA of each cloud service in the composed cloud service. + +#### 8.2.8 Reference points within UAM-FG + +The reference point within UAM-FG is summarized as follows: + +- I\_AIM\_UAA reference point between AIM-F and UAA-F. Through this reference point, the user access information for the selected cloud services provided by CSPs is delivered for user authentication and authorization. + +#### 8.2.9 Reference point within SD-FG + +The reference points within SD-FG are summarized as follows: + +- I\_CSS\_CSE reference point between CSS-F and CSE-F. Through this reference point, the list of available cloud services is delivered to evaluate cloud services. +- I\_CSE\_CSS reference point between CSE-F and CSS-F. Through this reference point, the evaluation results for available cloud services are delivered. + +#### 8.2.10 Reference point within SM-FG + +The reference points within SM-FG are summarized as follows: + +- I\_CSC\_CCSCF reference point between CSC-F and CCSCF-F. Through this reference point, the CSC's requirements are delivered to configure the composed cloud service. +- I\_CCSTCT\_CCSCF reference point between CCSTCT-F and CCSCF-F. Through this reference point, the CSC's requirements are delivered to configure the composed cloud service. + +# 9 Security Considerations + +It is recommended that the security framework for cloud computing described in [b-ITU-T X.1601] be considered for the multi-cloud. [b-ITU-T X.1601] analyses security threats and challenges in the cloud computing environment and describes security capabilities that could mitigate these threats and meet security challenges. + +It is recommended that the guidelines for the operational security of cloud computing described in [b-ITU-T X.1642] be considered for the multi-cloud. [b-ITU-T X.1642] clarifies the security + +responsibilities between CSPs and CSCs and analyses the requirements and categories of security metrics of operational security for cloud computing. + +Relevant security requirements in [b-ITU-T X.1631] are recommended to be taken into consideration for the multi-cloud. [b-ITU-T X.1631] provides guidelines supporting the implementation of information security controls for CSCs and CSPs. Many guidelines aid CSPs in assisting CSCs in implementing the controls and guide them to implement such controls. Selection of appropriate information security controls and the application of the implementation guidance provided depends on a risk assessment, as well as any legal, contractual, regulatory or other cloud-sector specific information security requirements. + +## Appendix I + +### Relationship between functional requirements of CSN: multi-cloud manager and functions for multi-cloud + +(This appendix does not form an integral part of this Recommendation.) + +[ITU-T Y.3537] defines the functional requirements for the logical components of cloud service partner (CSN): multi-cloud manager. Table I.1 shows an analysis of the key phrases and related functions for multi-cloud for each requirement in [ITU-T Y.3537]. + +**Table I.1 – Relationship between functional requirements of CSN: multi-cloud manager and functions for multi-cloud** + +| Logical component of CSN: multi-cloud manager in ITU-T Y.3537 | Functional Requirements of CSN: multi-cloud manager in ITU-T Y.3537 | Key functionalities | Related functions in this Recommendation | +|---------------------------------------------------------------|---------------------------------------------------------------------|---------------------------------------------|---------------------------------------------------------| +| Service discovery | Providing information of available cloud services | Available cloud services and specifications | Cloud service search | +| | Evaluating performance for cloud services | Performance evaluation | Cloud service evaluation | +| | Discovering best matched cloud services | Discovery of best-matched cloud services | Cloud service discovery | +| | Estimating cost for composed cloud service | Cost estimation | Cloud service evaluation | +| | Delivering provisioning request for cloud services | Delivery of provisioning request | Provisioning request delivery | +| Access management | Managing access information for CSP | Management of access information | Access information management | +| | Authorizing access information for CSP | Authentication and authorization | User authentication and authorization
SLA management | +| | Providing access information for composed cloud service | Providing access information to CSC | Access information management | +| | Updating access information for composed cloud service | Update of access information | Access information management | +| Service management | Providing unified interfaces to CSC | Unified interface | User interface management | +| | Composing cloud services | Compose of cloud services | Cloud service composition | +| | Configuring composed cloud service | Configure of composed cloud service | Composed cloud service configuration | +| | Adding new cloud services to composed cloud service | Adding new cloud services | Composed cloud service configuration | + +**Table I.1 – Relationship between functional requirements of CSN: multi-cloud manager and functions for multi-cloud** + +| Logical component of CSN: multi-cloud manager in ITU-T Y.3537 | Functional Requirements of CSN: multi-cloud manager in ITU-T Y.3537 | Key functionalities | Related functions in this Recommendation | +|----------------------------------------------------------------------|----------------------------------------------------------------------------|------------------------------------------|---------------------------------------------------------------| +| | Removing existing cloud services from composed cloud service | Removing cloud services | Composed cloud service configuration | +| | Applying existing configuration to new cloud services | Applying configuration | Composed cloud service configuration | +| | Controlling composed cloud service | Control of compose cloud service | Composed cloud service control | +| | Checking status of composed cloud service | Status check | Composed cloud service control | +| Connectivity management | Providing virtual network connections | Virtual network connection | Network connection control | +| | Collecting network information | Collection of network information | Network connection configuration | +| | Updating virtual network connections dynamically | Update of the virtual network connection | Network connection control | +| | Providing virtual network connection information | Virtual network connection information | Network connection configuration | +| | Collecting cloud storage information | Collection of cloud storage information | Storage connection configuration | +| | Creating shared virtual volume for cloud service | Shared virtual volume | Storage connection configuration | +| | Providing mounting of the shared virtual volume | Mount of shared virtual volume | Storage connection configuration | +| | Providing stability for the shared virtual volume | Stability of shared virtual volume | Storage connection control | +| Monitoring and reporting | Monitoring composed cloud service | Compose cloud service monitoring | Composed cloud service monitoring | +| | Monitoring cloud service | Cloud service monitoring | Cloud service monitoring | +| | Storing monitoring data | Storing monitoring data | Composed cloud service monitoring
Cloud service monitoring | +| | Providing reports | Reports | Report collection | +| Policy management | Providing management policies to CSC | Management policy | Policy management | +| | Detecting matched conditions of management policy | Detection of matched condition | Policy management | +| | Applying management policy proactively | Applying management policy | Policy management | + +**Table I.1 – Relationship between functional requirements of CSN: multi-cloud manager and functions for multi-cloud** + +| Logical component of CSN: multi-cloud manager in ITU-T Y.3537 | Functional Requirements of CSN: multi-cloud manager in ITU-T Y.3537 | Key functionalities | Related functions in this Recommendation | +|----------------------------------------------------------------------|----------------------------------------------------------------------------|----------------------------|-------------------------------------------------| +| | Logging events and actions by management policy | Logging events and actions | Policy management | + +# Appendix II + +### Interaction among functions for multi-cloud + +(This appendix does not form an integral part of this Recommendation.) + +Figure II.1 shows the details of the interactions among the functions for multi-cloud described in clause 7.1 through clause 7.6. The related information between two functions is represented by each link. + +![Figure II.1: Relationship among functions for multi-cloud. This diagram illustrates the interactions between various functional groups in a multi-cloud environment. The groups are: User access management, Service discovery, Service management, Connectivity management, Monitoring and reporting, and Service policy management. Each group contains specific functions, and arrows indicate the flow of information between them.](58f4167687de8d7339594e5f6fbe0bc6_img.jpg) + +The diagram illustrates the interactions among functions for multi-cloud, organized into six main functional groups: + +- User access management** (top): Contains Access information management, User authentication and authorization, and User interface management. It receives User access information and sends Search result and details, Deployment request with CSC's reqts., and Composed cloud service to other groups. +- Service discovery** (middle-left): Contains Cloud service search, Cloud service discovery, Cloud service evaluation, and Provisioning request delivery. It receives Access information and sends List of available services and Evaluation results to Cloud service search. +- Service management** (middle-right): Contains Cloud service composition, Composed cloud service configuration, and Composed cloud service control. It receives Selected services with CSC's reqts. and Selected services from Cloud service composition, and CSC's reqts. from Composed cloud service configuration and Composed cloud service control. +- Connectivity management** (bottom-left): Contains Network connection configuration, Storage connection configuration, Network connection control, and Storage connection control. It receives Network conf. and Storage conf. from Composed cloud service configuration and Composed cloud service control, and Policy reqts. from Composed cloud service control. +- Monitoring and reporting** (bottom-left): Contains Composed cloud service monitoring, Cloud service monitoring, and Report collection. It sends Monitoring information and Reports to other groups. +- Service policy management** (bottom-right): Contains Policy management and SLA management. It receives SLA notifications and Policy notifications from other groups. + +Legend: + +- Function group (indicated by a rounded rectangle) +- Function (indicated by a rectangle) +- Information flow (indicated by an arrow) + +Y.3555(25) + +Figure II.1: Relationship among functions for multi-cloud. This diagram illustrates the interactions between various functional groups in a multi-cloud environment. The groups are: User access management, Service discovery, Service management, Connectivity management, Monitoring and reporting, and Service policy management. Each group contains specific functions, and arrows indicate the flow of information between them. + +Figure II.1 – Relationship among functions for multi-cloud + +## Appendix III + +## Relationship between functions for multi-cloud and functional components of cloud computing reference architecture + +(This appendix does not form an integral part of this Recommendation.) + +The cloud computing reference architecture (CCRA) in [b-ITU-T Y.3502] provides the functional architecture and functional components of cloud computing. + +The functional architecture for multi-cloud complies with the functional architecture of CCRA and extends the functional components of CCRA as needed to support the functional requirements of CSN: multi-cloud manager in [ITU-T Y.3537]. The relationship between functions for multi-cloud and functional components of CCRA is shown in Figure III.1. + +![Figure III.1: Relationship between functions for multi-cloud and functional components of CCRA. The diagram shows four layers on the left (User, Access, Service, Resource) and five multi-layer function columns on the right (Integration, Security systems, Operational support systems, Business support systems, Development function). A legend at the bottom maps specific functions to functional components in ITU-T Y.3502.](4cde160bcc69b7b6c81b648dd0e4252e_img.jpg) + +The diagram illustrates the relationship between functions for multi-cloud and functional components of CCRA. It is organized into four layers on the left and five multi-layer function columns on the right. + +**Layers (Left):** + +- User layer:** Contains User function, Business function, and Administrator function, each with a corresponding User interface management function. +- Access layer:** Contains Access control and Connection management. +- Service layer:** Contains Service capabilities, Business capabilities, and Administration capabilities, with a corresponding Service orchestration function. +- Resource layer:** Contains Resource abstraction and control, and Physical resources. + +**Multi-layer functions (Right):** + +- Integration:** Security integration, Monitoring integration, Service integration, Cloud service composition, Composed cloud service configuration, Network connection configuration, Network connection control, Storage connection configuration, Storage connection control, Peer service integration. +- Security systems:** Authentication and identity management, Authorization and security policy management, Encryption management. +- Operational support systems:** Service catalogue, Monitoring and reporting, Service automation, Incident and problem management, Platform and virtualization management. +- Business support systems:** Provisioning, Service policy management, Service level management, Peer service management, Product catalogue, Account management, Subscription management, Billing, Accounts. +- Development function:** Developer environment, Build management, Test management, Cloud service evaluation. + +**Legend (Bottom):** + +- Functional component in ITU-T Y.3502 +- User access management functions for multi-cloud +- Service discovery functions for multi-cloud +- Service management functions for multi-cloud +- Connectivity management functions for multi-cloud +- Service policy management functions for multi-cloud +- Monitoring and reporting functions for multi-cloud + +Y.3555(25) + +Figure III.1: Relationship between functions for multi-cloud and functional components of CCRA. The diagram shows four layers on the left (User, Access, Service, Resource) and five multi-layer function columns on the right (Integration, Security systems, Operational support systems, Business support systems, Development function). A legend at the bottom maps specific functions to functional components in ITU-T Y.3502. + +**Figure III.1 – Relationship between functions for multi-cloud and functional components of CCRA** + +- The user access management functions for multi-cloud correspond to and extend the user layer functional components, the security integration functional component, the authentication and identity management functional component, the authorization and security policy management functional component, and the access information management functional component of CCRA; +- The service discovery functions for multi-cloud correspond to and extend the service catalogue functional component, the provisioning functional component, the product catalogue functional component and the test management functional component of CCRA; + +- The service management functions for multi-cloud correspond to and extend the service integration functional component and the provisioning functional component of CCRA; +- The connectivity management functions for multi-cloud correspond to and extend the service integration functional component of CCRA; +- The service policy management functions for multi-cloud correspond to and extend the service policy management functional component, and the service level management functional component of CCRA; +- And the monitoring and reporting functions for multi-cloud correspond to and extend the monitoring integration functional component, and the monitoring and reporting functional component of CCRA. + +## Bibliography + +- [[b-ITU-T X.1601](#)] Recommendation ITU-T X.1601 (2015), *Security framework for cloud computing*. +- [[b-ITU-T X.1631](#)] Recommendation ITU-T X.1631 (2015) | ISO/IEC 27017:2015, *Information technology - Security techniques - Code of practice for information security controls based on ISO/IEC 27002 for cloud services* . +- [[b-ITU-T X.1642](#)] Recommendation ITU-T X.1642 (2016), *Guidelines for the operational security of cloud computing*. +- [[b-ITU-T Y.3500](#)] Recommendation ITU-T Y.3500 (2014) | ISO/IEC 17788:2014, *Information technology – Cloud computing – Overview and vocabulary*. +- [[b-ITU-T Y.3502](#)] Recommendation ITU-T Y.3502 (2014) | ISO/IEC 17789:2014, *Information technology — Cloud computing - Reference architecture*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|----------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the 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sha256:58512075017e75631072b6c30ad1b1afeca7411edb228b5b2833b356af2bd53f +size 12877 diff --git a/marked/Y/T-REC-Y.3602-202209-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3602-202209-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..9758bb6d43c961125ed465d87fa14d09f41846c2 --- /dev/null +++ b/marked/Y/T-REC-Y.3602-202209-I_PDF-E/raw.md @@ -0,0 +1,2114 @@ + + +# Recommendation + +## **ITU-T Y.3602 (09/2022)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Big Data + +## --- **Big data – Functional requirements for data provenance** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +| | | +|-----------------|---------------| +| FUTURE NETWORKS | Y.3000–Y.3499 | +|-----------------|---------------| + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3500–Y.3599 | +|-----------------|---------------| + +| | | +|-----------------|----------------------| +| BIG DATA | Y.3600–Y.3799 | +|-----------------|----------------------| + +| | | +|-----------------------------------|---------------| +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +|-----------------------------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3602 + +## Big data – Functional requirements for data provenance + +## Summary + +Recommendation ITU-T Y.3602 describes a model and operations for big data provenance. This Recommendation also provides the functional requirements for a big data service provider (BDSP) to manage big data provenance. The reliability of data is an important factor in determining the reliability of the analysis result. Data provenance aims to ensure the reliability of data by providing transparency of the historical path of the data. In a big data environment, complex data processing and migration due to the big data lifecycle and data distribution cause various difficulties in managing data provenance. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3602 | 2018-12-14 | 13 | 11.1002/1000/13817 | +| 2.0 | ITU-T Y.3602 | 2022-09-29 | 13 | 11.1002/1000/15074 | + +### Keywords + +Big data, data provenance, provenance model, provenance operation, provenance requirements, use case. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +### INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-----------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Introduction to data provenance ..... | 2 | +| | 6.1 General concept of data provenance..... | 2 | +| | 6.2 Data provenance in a big data environment ..... | 3 | +| 7 | Overview of big data provenance ..... | 4 | +| | 7.1 Big data ecosystem and data provenance ..... | 4 | +| | 7.2 Conceptual model of PI ..... | 5 | +| | 7.3 Operations on PI..... | 11 | +| | 7.4 Logical components for big data provenance management ..... | 14 | +| 8 | Functional requirements of big data provenance..... | 15 | +| | 8.1 Provenance lifecycle requirements..... | 15 | +| | 8.2 Analysis support requirements ..... | 16 | +| | 8.3 Monitoring requirements ..... | 16 | +| | 8.4 Policy management requirements..... | 17 | +| 9 | Security considerations..... | 17 | +| | Appendix I – Use cases of big data provenance ..... | 18 | +| | Appendix II – Examples of provenance information profile ..... | 27 | +| | II.1 RDF profile..... | 27 | +| | II.2 Turtle profile..... | 31 | +| | II.3 JSON-LD profile ..... | 35 | +| | Bibliography..... | 44 | + + + +# Recommendation ITU-T Y.3602 + +## Big data – Functional requirements for data provenance + +# 1 Scope + +This Recommendation specifies the functional requirements for data provenance in a big data ecosystem as defined in [ITU-T Y.3600]. This Recommendation introduces data provenance as well as data provenance in a big data ecosystem, and provides a conceptual model, operations, logical components, and functional requirements for big data provenance. The functional requirements provided in this Recommendation are derived from use cases. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.3600] Recommendation ITU-T Y.3600 (2015), *Big data – Cloud computing based requirements and capabilities*. +- [ITU-T Y.3603] Recommendation ITU-T Y.3603 (2019), *Big data – Requirements and conceptual model of metadata for data catalogue*. +- [ITU-T X.680] Recommendation ITU-T X.680 (2021), *Information technology – Abstract Syntax Notation One (ASN.1): Specification of basic notation*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 big data** [ITU-T Y.3600]: A paradigm for enabling the collection, storage, management, analysis and visualization, potentially under real-time constraints, of extensive datasets with heterogeneous characteristics. + +NOTE – Examples of datasets characteristics include high-volume, high-velocity, high-variety, etc. + +**3.1.2 provenance** [b-ITU-T X.1255]: Information pertaining to any source of information including the party or parties involved in generating it, introducing it and/or vouching for it. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 big data provenance**: Information that records the historical path of data according to the data lifecycle operations in a big data ecosystem. + +NOTE 1 – Data lifecycle operations include data generation, transmission, storage, use, and deletion. + +NOTE 2 – Data provenance information provides details about the source of data, such as responsible party for the provision of data, functions applied to data, and information about the computing environment for data processing (e.g., operating system, description of the hardware, locale settings and time zone). + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-------------------------------------| +| BD | Big Data | +| BDC | Big Data service Customer | +| BDSP | Big Data Service Provider | +| DB | Data Broker | +| DP | Data Provider | +| DS | Data Supplier | +| H/W | Hardware | +| OS | Operating System | +| PI | Provenance Information | +| PII | Personally Identifiable Information | +| URI | Uniform Resource Identifier | + +# 5 Conventions + +In this Recommendation: + +The keywords "**is required to**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "**can optionally**" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +In the body of this document and its annexes, the words shall, shall not, should, and may sometimes appear, in which case they are to be interpreted, respectively, as is required to, is prohibited from, is recommended, and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative are, to be interpreted as having no normative intent. + +# 6 Introduction to data provenance + +### 6.1 General concept of data provenance + +The reliability of data used is an important factor to determine the trustworthiness of a data analysis outcome. Indeed, data can be manipulated and transformed according to the intent of the analyst and distorted in order to extract the desired result. In this sense, data provenance aims to ensure the reliability of data and analysis results by providing transparency of the historical path of data. + +Provenance is information pertaining to a responsible party for the provision of data , functions applied to data, and information about the computing environment for data processing (e.g., operating system, description of the hardware, locale settings and time zone) when the source data is changed. From a data management point of view, data continues to change until it is used, and data provenance keeps the history of these changes within: + +- data product; + +NOTE 1 – A data product is the output data production for distribution (open or sell) purposes. + +- a process that enables the creation of data; + +NOTE 2 – A process is described by the applied functions on the data source, intermediate outputs and their order. + +- a metadata recording process of workflow, annotations, notes about processes; and, +- information that helps determine the derivation history of a data product, starting from its sources. + +Data provenance is useful for: + +- managing derivation history of a data product starting from its sources; +- ascertaining the quality of data based on ancestral data and derivation; +- tracking back sources of errors; +- allowing automated re-enactment of derivations to update data; +- providing attribution of data sources. + +The concept for data provenance in this Recommendation does not include the identification of data subjects or the collection of information to identify them to ensure the use of this Recommendation complies with national legal and regulatory requirements. + +Provenance information (PI) is composed of a set of data flows, and each flow contains information of processes ( $f$ ), data sources ( $d$ ) and responsible parties ( $p$ ). In this sense, $PI$ is notated as: + +$$PI = \{(f, p), (d, p)\}$$ + +A data flow is divided into a directly associated flow and subordinately associated flow. For example, in Figure 6-1, the PI about *Data d* is composed by a set of: + +- directly associated flow: $PI = \{(f2, pC), (Data\ c, pC)\}$ ; +- subordinately associated flow: $PI(Data\ c) = \{(f1, pC), ((Data\ a, pA), (Data\ b, pB))\}$ + +![Figure 6-1: An example of data PI. The diagram illustrates data flows and tracking data history between data sources, processing functions, and responsible parties.](0bf9346902e9a3bdabf05ceacc1947f5_img.jpg) + +The diagram shows the following components and connections: + +- Data Sources:** Data *a*, Data *b*, Data *c*, and Data *d* are represented by grey circles. +- Processing Functions:** Processing (*f1*) and Processing (*f2*) are represented by black ovals. +- Responsible Parties:** Responsible party *A* (*pA*), Responsible party *B* (*pB*), and Responsible party *C* (*pC*) are shown in boxes with arrows pointing to their respective data sources. +- Data Flows (Solid Arrows):** + - Data *a* flows into Processing (*f1*). + - Data *b* flows into Processing (*f1*). + - Processing (*f1*) flows into Data *c*. + - Data *c* flows into Processing (*f2*). + - Processing (*f2*) flows into Data *d*. +- Tracking Data History (Dashed Arrows):** + - Data *a* and Data *b* have dashed arrows pointing to Data *c*. + - Data *c* and Data *d* have dashed arrows pointing to each other. + - Data *d* has a dashed arrow pointing back to Data *a*. + +Legend: +—→ Data flow +-----→ Tracking data history + +Y.3602(18)\_F6-1 + +Figure 6-1: An example of data PI. The diagram illustrates data flows and tracking data history between data sources, processing functions, and responsible parties. + +**Figure 6-1 – An example of data PI** + +## 6.2 Data provenance in a big data environment + +In a big data environment, complex data processing and migration due to the big data lifecycle operations (e.g., data generation, transmission, storage, use, and deletion) and data distribution cause various difficulties in managing data provenance. According to the big data ecosystem described in [ITU-T Y.3600], big data provenance needs to treat: + +- huge volumes of non-structured, semi-structured, and structured data; +- processing functions description for various types and formats of data; + +- data history across multi-application domains. + +NOTE 1 – An application domain is an area of knowledge or activity applied for one specific economic, commercial, social or administrative scope [b-ITU-T Y.4100]. + +NOTE 2 – Transport application domain, health application domain, and government application domain are examples of application domains. + +In addition, the big data environment causes several computing challenges for data provenance such as: + +- **an efficient storing mechanism for provenance data:** The size of provenance data can be larger than the original data, which may cause storage overhead; +- **minimize provenance collection overhead:** In a distributed system environment, recording provenance and provenance computation cost are important aspects to be considered together; +- **execution's reproduction from PI:** For some big data applications, the environment information (e.g., hardware (H/W) information and parameter configuration of big data engines) is an important factor to be taken into account when aiming to reproduce the execution from data provenance. + +The application area of big data provenance and its benefits are: + +- **collaborative big data analysis:** Big data provenance allows collaborative big data analysis related to multiple and different domains or applications using data sources information and their process steps; +- **reuse of big data analysis process:** Generally, a big data analysis has complex process steps. Thus, a well-defined analysis model which can be derived from provenance information is helpful to be reused in other cases of big data processing; +NOTE 3 – In a data processing system, the data processing means a course of events occurring according to an intended purpose of effect. +- **automating big data analysis process:** Data provenance gives a context regarding the use of data and allows automated validation and revision of derived data when the base data is updated; +- **audit and protect intellectual property:** Data provenance gives a lineage of data and allows auditing and tracing of digital rights on mash-up data. + +# 7 Overview of big data provenance + +This clause presents an overview of big data provenance. This clause describes data provenance in a big data ecosystem, a conceptual model, provenance operations, and logical components for big data provenance. + +### 7.1 Big data ecosystem and data provenance + +According to [ITU-T Y.3600], a big data service provider (BDSP) supports data provenance as a part of data management by managing information about the origin and generation process methods of data, including the party or parties involved in the generation, introduction and/or mash-up processes for data. + +![Figure 7-1: Using data provenance in a big data ecosystem. The diagram illustrates the flow of data and its provenance within a big data ecosystem. It shows a 'Data source' (DP:DS) providing data to 'BDSP (big data system A)'. Inside BDSP A, data flows through 'Processing' steps, creating intermediate data (Data, Data', Data'') and tracking history (dashed arrows). The final data is then exchanged with 'BDSP (Big data system B)' or registered in a 'DP:DB (Data registry)'. The registry stores metadata, workflow, and responsible party information, which is then used to generate a 'catalogue' for the data.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +The diagram illustrates the use of data provenance in a big data ecosystem. It shows a 'Data source' (DP:DS) providing data to 'BDSP (big data system A)'. Inside BDSP A, data flows through 'Processing' steps, creating intermediate data (Data, Data', Data'') and tracking history (dashed arrows). The final data is then exchanged with 'BDSP (Big data system B)' or registered in a 'DP:DB (Data registry)'. The registry stores metadata, workflow, and responsible party information, which is then used to generate a 'catalogue' for the data. + +Legend: +— Data flow +- - - Tracking data history + +BDSP (big data system A) components: +- Data source (DP:DS) +- Data (rectangle) +- Processing (rectangle) +- Data' (pentagon) +- Processing (oval) +- Data' (pentagon) +- Processing (rectangle) +- Data (circle) + +BDSP (Big data system B) components: +- Data (circle) + +DP:DB (Data registry) components: +- (rectangle) +- (rectangle) +- (rectangle) +- Registration with provenance Info. (rectangle) +- (rectangle) + +Metadata elements: +- : Name, URI +- : Data source, Process sequence +- : prov. Info. + +Registration with provenance Info. (rectangle) + + (rectangle): prov. Info. + +Y.3602(18)\_F7-1 + +Figure 7-1: Using data provenance in a big data ecosystem. The diagram illustrates the flow of data and its provenance within a big data ecosystem. It shows a 'Data source' (DP:DS) providing data to 'BDSP (big data system A)'. Inside BDSP A, data flows through 'Processing' steps, creating intermediate data (Data, Data', Data'') and tracking history (dashed arrows). The final data is then exchanged with 'BDSP (Big data system B)' or registered in a 'DP:DB (Data registry)'. The registry stores metadata, workflow, and responsible party information, which is then used to generate a 'catalogue' for the data. + +**Figure 7-1 – Using data provenance in a big data ecosystem** + +Figure 7-1 shows the use of data provenance in a big data ecosystem: + +- when data is imported from an outside data source (data provider (DP):data supplier (DS)) and stored, BDSP (big data system *A*) generates metadata based on the importing context (e.g., responsible party information, time, size) and these metadata elements are used for constructing data PI; + - BDSP *A* monitors and stores information about data analysis processes as a form of PI to ensure the reliability of data quality and reproducibility of the analysis result; + - when BDSP *A* exports data to BDSP *B* or registers data catalogue information to a data registry in a data market (DP:data broker (DB)), BDSP *A* delivers the corresponding data PI. +- NOTE – Concerning data exported or registered by the BDSP, the level of detail of data PI provided by the BDSP depends on the data or service policy applied by the BDSP. + +### 7.2 Conceptual model of PI + +Big data PI described in this clause is based on an extension of the general data provenance concept described in clause 6.1. + + + +#### 7.2.2 Classes and data type + +The following descriptors are used to explain the data dictionaries in the clauses that follow: + +- Name/Role name: title of class (grey coloured row in the tables), association (noted as role) and attribute; +- Description: a short description about 'Name/Role name'; +- M/R/O: the mandatory/recommended/optional (M/R/O) necessity of each class, association, and attribute; +- Cardinality: the maximum number of instances that the metadata entity or metadata element may have. Single occurrences are shown by "1"; repeating occurrences are represented by "N". +- Domain: the values allowed, or the use of free text placed on the contents of the field. "Free text" indicates that no restrictions are placed on the contents of the field. +- Domain code: designated code used in place of the concept. + +##### 7.2.2.1 Class: BDP\_ProvenanceInformation + +Table 7-1 shows the data dictionary of *BDP\_ProvenanceInformation*. + +**Table 7-1 – PI overview** + +| | Name/Role name | Description | M/R/O | Cardinality | Domain | +|---|---------------------------|------------------------------|-------|-------------|--------------------| +| 1 | BDP_ProvenanceInformation | root entity which defines PI | M | 1 | Line 2 | +| 2 | role: provenanceUnit | provenance unit for the PI | M | N | BDP_ProvenanceUnit | + +##### 7.2.2.2 Class: BDP\_ProvenanceUnit + +Table 7-2 shows the data dictionary of *BDP\_ProvenanceUnit*. + +**Table 7-2 – Provenance unit** + +| | Name/Role name | Description | M/R/O | Cardinality | Domain | +|---|--------------------------------|---------------------------------------------------------------|-------|-------------|-------------------------------| +| 3 | BDP_ProvenanceUnit | a record of the most recent changes to the data | M | N | Line 4 to 9 | +| 4 | role: computationalEnvironment | computational environment information for the provenance unit | O | 1 | BDP_Computational Environment | +| 5 | role: responsibilityParty | responsible party information for the data catalogue | O | N | BDC_Responsibility Party | +| 6 | role: dataset | dataset information for the data catalogue | M | 1 | BDP_Dataset | +| 7 | role: function | function information for the data catalogue | R | N | BDP_Function | +| 8 | unitId | a unique provenance unit name | M | 1 | free text | + +**Table 7-2 – Provenance unit** + +| | Name/Role name | Description | M/R/O | Cardinality | Domain | +|---|----------------|-----------------------------------------|-------|-------------|---------------| +| 9 | storedDate | the date of storing the provenance unit | R | N | [ITU-T X.680] | + +NOTE - [ITU-T X.680] provides support for the full range of time types specified in ISO 8601:2004 [b-ISO8601]. + +##### 7.2.2.3 Class: BDP\_ComputationalEnvironment + +Table 7-3 shows the data dictionary of *BDP\_ComputationalEnvironment*. + +**Table 7-3 – Computational environment** + +| | Name/Role name | Description | M/R/O | Cardinality | Domain | +|----|------------------------------|---------------------------------------------------------------------------|-------|-------------|-----------------------| +| 10 | BDP_ComputationalEnvironment | information about the computing environment | O | 1 | Line 11 to 14 | +| 11 | operatingSystem | information about the operating system | M | 1 | free text | +| 12 | hardwareSpecs | information about the hardware specification | M | N | BDP_HardwareSpecType | +| 13 | localeSetting | information about language, display formats of time, date, currency, etc. | O | 1 | BDP_LocaleSettingType | +| 14 | timeZone | information of time zone | M | N | ITU-T X.680 | +| 15 | BDP_HardwareSpecType | information required to describe the hardware environment | M | 1 | Line 16 to 19 | +| 16 | cpuInfo | information about speed and number of units of CPU | M | 1 | free text | +| 17 | memoryInfo | information about size and speed of memory | M | 1 | free text | +| 18 | storageInfo | information about size and speed of storage | M | 1 | free text | +| 19 | accelerationIO | Information about hardware acceleration unit (e.g., GPU) | O | 1 | free text | +| 20 | BDP_LocaleSettingType | information required to describe locale setting value | O | 1 | Line 21 to 23 | + +**Table 7-3 – Computational environment** + +| | Name/Role name | Description | M/R/O | Cardinality | Domain | +|----|----------------|------------------------------------------|-------|-------------|----------------------------| +| 21 | language | a natural language used for hardware | O | 1 | ISO 639-1
[b-ISO639] | +| 22 | country | a country code | O | 1 | ISO 3166-1
[b-ISO3166] | +| 23 | encoding | the value for character encoding setting | O | 1 | free text
(e.g., UTF-8) | + +##### **7.2.2.4 Class: BDC\_ResponsibilityParty** + +Table 7-4 shows the data dictionary of *BDC\_ResponsibilityParty*. The detailed information is described in clause 8.2.2 of [ITU-T Y.3603]. + +**Table 7-4 – Responsible party information** + +| | Name/Role name | Description | M/R/O | Cardinality | Domain | +|----|-------------------------|-----------------------------------------------------------------------------------------------------------------------|-------|-------------|--------------| +| 24 | BDC_ResponsibilityParty | name and position information for an individual or organization that is responsible for the data catalogue or dataset | O | N | ITU-T Y.3603 | + +##### **7.2.2.5 Class: BDP\_Dataset** + +Table 7-5 shows the data dictionary of *BDP\_Dataset*. + +**Table 7-5 – Dataset** + +| | Name/Role name | Description | M/R/O | Cardinality | Domain | +|----|-----------------------|------------------------------------------------------------------------------|-------|-------------|----------------| +| 25 | BDP_Dataset | a collection of data which is recorded in a provenance unit | M | N | Line 26 to 30 | +| 26 | role: datasetMetadata | dataset metadata for the dataset | O | 1 | BDC_Dataset | +| 27 | dsId | A unique identifier of the dataset | M | 1 | free text | +| 28 | availability | information about whether the data exists in the storage or has been deleted | M | 1 | boolean | +| 29 | hasPII | information about whether the data includes PII or not | R | 1 | boolean | +| 30 | BDC_Dataset | a collection of data that is available for access and/or download | O | 1 | [ITU-T Y.3603] | + +##### 7.2.2.6 Class: BDP\_Function + +Table 7-6 shows the data dictionary of *BDP\_Function*. + +**Table 7-6 – Function** + +| | Name/Role name | Description | M/R/O | Cardinality | Domain | +|----|------------------------|------------------------------------------------------------|-------|-------------|-----------------| +| 20 | BDP_Function | information about the used function | O | N | Line 21 to 30 | +| 21 | role: inputData | information of input dataset | O | N | BDP_Dataset | +| 22 | role: outputData | information of output dataset | O | N | BDP_Dataset | +| 23 | role: followedFunction | information about the function used after | O | 1 | BDP_Function | +| 24 | role: applicationInfo | information about the software providing the function used | M | 1 | BDP_Application | +| 25 | functionId | a unique function name | M | N | free text | +| 26 | functionName | The alternative name of the function | O | 1 | free text | +| 27 | description | a short introduction to the function | M | 1 | free text | +| 28 | inputParaValue | the input parameter value | O | N | free text | + +##### 7.2.2.7 Class: BDP\_Application + +Table 7-7 shows the data dictionary of *BDP\_Application*. + +**Table 7-7 – Application** + +| | | | | | | +|----|-----------------|------------------------------------------------------------|---|---|-------------------------------| +| 29 | BDP_Application | information about the software providing the function used | M | 1 | Line 30 to 33 | +| 30 | applicationName | name of software application | M | 1 | free text | +| 31 | installUri | URI at which the app may be installed | R | 1 | URI | +| 32 | softwareVersion | version of software | R | 1 | free text (major.minor.patch) | +| 33 | description | additional information about the application | O | 1 | free text | + +#### 7.2.3 Examples of PI + +Figure 7-3 illustrates an example of capturing the provenance unit on Data C. + +![Figure 7-3: An example of capturing a provenance unit on a data instance. The diagram shows a 'Capture' process where data from 'Storage' (Data A and Data B) is processed through a 'Temporal storage (e.g., sandbox)' containing functions f1, f2, f3, and fn. The final output is 'Data C' stored in 'Storage'. A 'Provenance unit on Data C' is captured at the end of the process.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +Y.3602(18)\_F7-3 + +Figure 7-3: An example of capturing a provenance unit on a data instance. The diagram shows a 'Capture' process where data from 'Storage' (Data A and Data B) is processed through a 'Temporal storage (e.g., sandbox)' containing functions f1, f2, f3, and fn. The final output is 'Data C' stored in 'Storage'. A 'Provenance unit on Data C' is captured at the end of the process. + +**Figure 7-3 – An example of capturing a provenance unit on a data instance** + +The capturing of the provenance unit occurs simultaneously when Data C is stored in the data storage. Even though all functions have input and output data, the information about the first input data and output data are captured in a provenance unit with process steps described by a sequence of functions. + +NOTE – In Figure 7-3, Data A and B are input data, and Data C is output data. + +Figure 7-4 shows an example of big data PI illustrated with a graph model. The PI of Data d corresponds to the aggregation of the provenance unit of Data c and the provenance unit of Data d. + +![Figure 7-4: An example of big data PI. The diagram illustrates the aggregation of provenance units for Data c and Data d. It shows 'Provenance information for Data d' containing 'BD_ProvenanceUnit #001' and 'BD_ProvenanceUnit #002'. 'BD_ProvenanceUnit #001' is linked to 'Provenance unit of Data c' (Functions 1, 2, 3) and 'Provenance unit of Data d' (Functions 4, 5). 'BD_ProvenanceUnit #002' is linked to 'Provenance unit of Data d'. Both units include 'Computational Environment' and 'ResponsibleParty' information. Data flow is shown from Data a and b through Functions 1, 2, 3 to Data c, and then from Data c through Functions 4, 5 to Data d.](33a8f3f01dfa8bce75d23017855a13c5_img.jpg) + +Y.3602(18)\_F7-4 + +Figure 7-4: An example of big data PI. The diagram illustrates the aggregation of provenance units for Data c and Data d. It shows 'Provenance information for Data d' containing 'BD\_ProvenanceUnit #001' and 'BD\_ProvenanceUnit #002'. 'BD\_ProvenanceUnit #001' is linked to 'Provenance unit of Data c' (Functions 1, 2, 3) and 'Provenance unit of Data d' (Functions 4, 5). 'BD\_ProvenanceUnit #002' is linked to 'Provenance unit of Data d'. Both units include 'Computational Environment' and 'ResponsibleParty' information. Data flow is shown from Data a and b through Functions 1, 2, 3 to Data c, and then from Data c through Functions 4, 5 to Data d. + +**Figure 7-4 – An example of big data PI** + +### 7.3 Operations on PI + +According to the change of data state such as storing data, updating data and deleting data, a provenance unit is recorded, kept, combined or deleted. Figure 7-5 shows the relationship between data state change and provenance operations. + +![Figure 7-5: Provenance operations according to data state change. The diagram shows a flow from 'Data' to 'Store data', 'Update data', and 'Delete data' (all black boxes). These lead to 'Record provenance unit', 'Keep provenance unit', 'Combine provenance unit', and 'Delete provenance unit' (all grey boxes). A 'Provenance unit' (white box) is connected to these and a 'Retrieve provenance information' (grey box). A legend indicates: black box = Data operation, grey box = Provenance operation, solid arrow = Data status change, dashed arrow = Related provenance operation. Reference: Y.3602(18)_F7-5.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +Figure 7-5: Provenance operations according to data state change. The diagram shows a flow from 'Data' to 'Store data', 'Update data', and 'Delete data' (all black boxes). These lead to 'Record provenance unit', 'Keep provenance unit', 'Combine provenance unit', and 'Delete provenance unit' (all grey boxes). A 'Provenance unit' (white box) is connected to these and a 'Retrieve provenance information' (grey box). A legend indicates: black box = Data operation, grey box = Provenance operation, solid arrow = Data status change, dashed arrow = Related provenance operation. Reference: Y.3602(18)\_F7-5. + +**Figure 7-5 – Provenance operations according to data state change** + +Operations to manage PI are: + +- record provenance unit (see clause 7.3.1); +- keep provenance unit (see clause 7.3.2.1); +- combine provenance unit (see clause 7.3.2.2); +- delete provenance unit (see clause 7.3.2.3); +- retrieve PI (see clause 7.3.3). + +#### 7.3.1 Record provenance unit + +Figure 7-6 shows an example of provenance units recording when the data is stored and updated. + +- **provenance unit recording:** When Data 1 is stored, BDSPP records Provenance unit 1. Data 1 is updated to Data 2 then to Data 3, BDSPP records Provenance unit 2 then Provenance unit 3 sequentially. + +![Figure 7-6: Record provenance units. The diagram shows a sequence: Data 1 (grey box) is stored (solid arrow) and a provenance unit is recorded (dashed arrow) to Provenance unit 1 (grey oval). Data 1 is then updated (solid arrow) to Data 2 (grey box), and a provenance unit is recorded (dashed arrow) to Provenance unit 2 (grey oval). Data 2 is updated (solid arrow) to Data 3 (grey box), and a provenance unit is recorded (dashed arrow) to Provenance unit 3 (grey oval). Reference: Y.3602(22)_F7-6.](77464a47f104d0d647b2414591137b64_img.jpg) + +Figure 7-6: Record provenance units. The diagram shows a sequence: Data 1 (grey box) is stored (solid arrow) and a provenance unit is recorded (dashed arrow) to Provenance unit 1 (grey oval). Data 1 is then updated (solid arrow) to Data 2 (grey box), and a provenance unit is recorded (dashed arrow) to Provenance unit 2 (grey oval). Data 2 is updated (solid arrow) to Data 3 (grey box), and a provenance unit is recorded (dashed arrow) to Provenance unit 3 (grey oval). Reference: Y.3602(22)\_F7-6. + +**Figure 7-6 – Record provenance units** + +#### 7.3.2 PI in case of deleting data + +In case of deleting data, the BDSPP provenance management system acts in the three ways described in clauses 7.3.2.1 to 7.3.2.3. + +##### 7.3.2.1 Keep provenance unit + +When Data 2 is deleted from storage, the provenance management system keeps its provenance unit (Provenance unit 2) to support the provenance of data within process steps. Figure 7-7 shows an example where provenance units are kept after the deletion of data. + +![Figure 7-7: Keep a provenance unit. This diagram illustrates the state of provenance information when Data 2 is deleted. It shows three nested boxes representing provenance information for Data 3, Data 2, and Data 1. Inside the Data 1 box is 'Provenance unit 1'. An arrow points from 'Provenance unit 1' to 'Provenance unit 2', which is labeled 'keep'. Another arrow points from 'Provenance unit 2' to 'Provenance unit 3'. Below these boxes, a data flow shows Data 1 pointing to Data 2, which is marked with a large 'X' and labeled 'delete'. Data 2 then points to Data 3. Dashed arrows connect Data 1 to 'Provenance unit 1', Data 2 to 'Provenance unit 2', and Data 3 to 'Provenance unit 3'. The label 'Y.3602(18)_F7-7' is at the bottom right.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +Figure 7-7: Keep a provenance unit. This diagram illustrates the state of provenance information when Data 2 is deleted. It shows three nested boxes representing provenance information for Data 3, Data 2, and Data 1. Inside the Data 1 box is 'Provenance unit 1'. An arrow points from 'Provenance unit 1' to 'Provenance unit 2', which is labeled 'keep'. Another arrow points from 'Provenance unit 2' to 'Provenance unit 3'. Below these boxes, a data flow shows Data 1 pointing to Data 2, which is marked with a large 'X' and labeled 'delete'. Data 2 then points to Data 3. Dashed arrows connect Data 1 to 'Provenance unit 1', Data 2 to 'Provenance unit 2', and Data 3 to 'Provenance unit 3'. The label 'Y.3602(18)\_F7-7' is at the bottom right. + +**Figure 7-7 – Keep a provenance unit** + +##### 7.3.2.2 Combine provenance units + +When Data 2 is deleted from storage, the provenance management system combines its provenance unit (Provenance unit 2) with the forward nearest provenance unit (Provenance unit 3 as shown in the example) within process steps. This is described in the example given in Figure 7-8. + +![Figure 7-8: Combine provenance units. This diagram shows the state after Data 2 is deleted. The provenance information for Data 3 now includes 'Provenance unit 1' and a combined unit labeled 'Provenance unit 2 + Provenance unit 3'. An arrow points from 'Provenance unit 1' to this combined unit. Below, the data flow shows Data 1 pointing to Data 2 (marked 'delete'), which then points to Data 3. Dashed arrows connect Data 1 to 'Provenance unit 1' and Data 3 to the combined provenance unit. The label 'Y.3602(18)_F7-8' is at the bottom right.](10781f43062bf3e9601a1e086710556c_img.jpg) + +Figure 7-8: Combine provenance units. This diagram shows the state after Data 2 is deleted. The provenance information for Data 3 now includes 'Provenance unit 1' and a combined unit labeled 'Provenance unit 2 + Provenance unit 3'. An arrow points from 'Provenance unit 1' to this combined unit. Below, the data flow shows Data 1 pointing to Data 2 (marked 'delete'), which then points to Data 3. Dashed arrows connect Data 1 to 'Provenance unit 1' and Data 3 to the combined provenance unit. The label 'Y.3602(18)\_F7-8' is at the bottom right. + +**Figure 7-8 – Combine provenance units** + +##### 7.3.2.3 Delete provenance unit + +When data 3 is deleted from storage, the provenance management system deletes the provenance unit (Provenance unit 3) together with the data instance (Data 3) since placed at the right end node of process steps. This is illustrated in the example given in Figure 7-9. + +![Figure 7-9: Delete provenance units. This diagram shows the state after Data 3 is deleted. The provenance information for Data 2 includes 'Provenance unit 1' and 'Provenance unit 2'. An arrow points from 'Provenance unit 1' to 'Provenance unit 2'. To the right, 'Provenance unit 3' is shown with a large 'X' and labeled 'delete'. Below, the data flow shows Data 1 pointing to Data 2, which then points to Data 3 (marked 'delete'). Dashed arrows connect Data 1 to 'Provenance unit 1' and Data 2 to 'Provenance unit 2'. The label 'Y.3602(18)_F7-9' is at the bottom right.](40f30e4d577a17052f8b1e6dc802a0d8_img.jpg) + +Figure 7-9: Delete provenance units. This diagram shows the state after Data 3 is deleted. The provenance information for Data 2 includes 'Provenance unit 1' and 'Provenance unit 2'. An arrow points from 'Provenance unit 1' to 'Provenance unit 2'. To the right, 'Provenance unit 3' is shown with a large 'X' and labeled 'delete'. Below, the data flow shows Data 1 pointing to Data 2, which then points to Data 3 (marked 'delete'). Dashed arrows connect Data 1 to 'Provenance unit 1' and Data 2 to 'Provenance unit 2'. The label 'Y.3602(18)\_F7-9' is at the bottom right. + +**Figure 7-9 – Delete provenance units** + +#### 7.3.3 Retrieve PI + +Figure 7-10 shows an example where PI is retrieved. As shown in the figure, when the PI of Data 3 is requested from an application (step 1), the BDSP traces the history of data based on each provenance unit (step 2). The BDSP aggregates the identified provenance units (step 3) and provides the aggregated PI of Data 3 back to the requesting application (step 4). + +![Figure 7-10: Retrieval of PI. A process diagram showing the flow from Data 1 to Data 3 and the corresponding provenance units. Step 1 is a request for PI of Data 3. Step 2 traces history back through Provenance units 3, 2, and 1. Step 3 aggregates these units. Step 4 is the response with the aggregated PI.](5445597cceefaca1ac89e710fe339325_img.jpg) + +``` + +graph LR + subgraph "Provenance information of Data 3" + subgraph "Provenance information of Data 2" + subgraph "Provenance information of Data 1" + PU1[Provenance unit 1] + end + PU1 -- "add" --> PU2[Provenance unit 2] + end + PU2 -- "add" --> PU3[Provenance unit 3] + end + + D1[Data 1] --> D2[Data 2] + D2[Data 2] --> D3[Data 3] + + D1 -.-> PU1 + D2 -.-> PU2 + D3 -.-> PU3 + + %% Steps + S1[1. Request provenance information of Data 3] --> D3 + PU3 -.-> S2[2. Tracing data history from 1 ~ 5] + S2 -.-> PU2 + PU2 -.-> PU1 + PU3 -- "3. Aggregating identified provenance units" --> PI3[Provenance information of Data 3] + PI3 --> S4[4. Response provenance information of Data 3] + +``` + +1. Request provenance information of Data 3 +2. Tracing data history from (1) ~ (5) +3. Aggregating identified provenance units +4. Response provenance information of Data 3 + +Y.3602(18)\_F7-10 + +Figure 7-10: Retrieval of PI. A process diagram showing the flow from Data 1 to Data 3 and the corresponding provenance units. Step 1 is a request for PI of Data 3. Step 2 traces history back through Provenance units 3, 2, and 1. Step 3 aggregates these units. Step 4 is the response with the aggregated PI. + +**Figure 7-10 – Retrieval of PI** + +### 7.4 Logical components for big data provenance management + +Figure 7-11 illustrates the logical components for managing big data provenance. + +![Figure 7-11: Configuration of logical components for big data provenance. A block diagram showing 'Big data provenance' containing 'Provenance model management', 'Provenance life-cycle management' (which includes 'Provenance sharing policy management' and 'Personally identifiable information (PII) management'), 'Monitoring', and 'Analysis support'.](2eb23c2210154279f8013a1594fbcc5a_img.jpg) + +``` + +graph TD + subgraph "Big data provenance" + PMM[Provenance model management] + subgraph PLCM[Provenance life-cycle management] + PSPM[Provenance sharing policy management] + PIIM[Personally identifiable information PII management] + end + MON[Monitoring] + AS[Analysis support] + end + +``` + +Y.3602(18)\_F7-11 + +Figure 7-11: Configuration of logical components for big data provenance. A block diagram showing 'Big data provenance' containing 'Provenance model management', 'Provenance life-cycle management' (which includes 'Provenance sharing policy management' and 'Personally identifiable information (PII) management'), 'Monitoring', and 'Analysis support'. + +**Figure 7-11 – Configuration of logical components for big data provenance** + +The logical components shown in Figure 7-11 are as follows: + +- **provenance model management:** This logical component manages PI compatibility among different BDSPs. This logical component validates the PI received from outside based on the big data provenance model (see clause 7.2). The valid PI is then encoded as a common model and delivered to the provenance lifecycle management logical component to store it; +- **provenance lifecycle management:** This logical component performs the recording and deletion of PI according to store, update and delete data (see clauses 7.3.1 and 7.3.2). This logical component supports retrieving PI (see clause 7.3.3); +- **analysis support:** This logical component extracts the workflows from PI, and stores them. From the stored workflows, this logical component retrieves the candidate analysis workflows based on the information of BDSP's data analysis functions and data. For the request of PI or workflow from the different system (e.g., external BDSP), this logical component may check the adaptability of the computational environment, and map to an equivalent function for that system. This logical component also supports automating the data + +analysis process based on the update of data, adding user annotation on PI, and managing the relationship between BDSP's functions and data; + +NOTE 1 – Based on the relationship between functions and data in PI, it is possible to query the list of available data with functions and the list of functions applicable to the data. + +- **provenance sharing policy management:** This logical component manages multiple sharing policies on PI. When exporting PI, BDSP checks the sharing policy and may simplify the PI before sending it to another BDSP; + +NOTE 2 – PI may contain confidential information (e. g. key-idea about a specific analysis process). In this reason, a BDSP formulates a policy and processes to allow appropriate and responsible sharing of PI. A sharing policy can be realized by abstracting the details of PI on several levels. + +- **personally identifiable information (PII) management:** This logical component checks whether the data instance contains PII when recording a provenance unit. This logical component also requests to BDSP a protection mechanism to be applied on PI that includes PII; +- **monitoring:** This logical component monitors changes in value about the computational environment and responsible party in PI. When changes are detected, this logical component updates them. + +## 8 Functional requirements of big data provenance + +### 8.1 Provenance lifecycle requirements + +Provenance lifecycle requirements include: + +- **(provenance model description)** It is required that BDSP supports an information model for big data provenance; + +NOTE 1 – Big data PI model includes function name and its uses, computational environment, data type and format of input and output data, input parameters, responsible party information, etc. + +NOTE 2 – Example of computational environment information is OS, H/W description, locale settings, time zone, etc. + +- **(a common format for exchange)** It is recommended that BDSP supports encoding and decoding PI in a common format for use on different systems; + +NOTE 3 –In this Recommendation, the meaning of encoding is the process of converting PI into a specialized format. Decoding is the opposite process. + +- **(provenance recording initiation)** It is required that BDSP records provenance unit when data is stored; + +NOTE 4 – The information contained in the metadata (from DP:DB or generated by BDSP) can be used for recording the provenance unit. + +- **(storing provenance unit)** It is required that BDSP supports a cost-efficient storing mechanism for provenance units; + +NOTE 5 – In the case of recording PI for streaming data, an efficient storage mechanism is to define a predetermined period of time to record a provenance unit rather than recording a provenance unit every time data are stored. Data compression techniques can also be considered. + +- **(storing PI)** BDSP can optionally support storing PI in advance to satisfy user's retrieval requests on time; + +- **(searching provenance unit)** It is required that BDSP supports searching a provenance unit; + +- **(combining provenance units)** It is required that BDSP supports the combining of provenance units; + +NOTE 6 – The combination of provenance units is needed in case of data deletion (see clause 7.3.2.2). + +- **(aggregating PI)** It is required that BDSP supports the aggregation of provenance units; + +- **(deleting provenance unit)** It is required that BDSP supports deleting provenance units. +NOTE 7 – In the case of deleting data, BDSP acts according to one of three mechanisms (keep, combine, delete provenance unit) based on the context (see clause 7.3.2). +NOTE 8 – The BDSP can maintain the provenance unit when associated data are deleted. This is subject to management policy. + +### 8.2 Analysis support requirements + +Analysis support requirements include: + +- **(extracting workflow)** It is required that BDSP provides extraction of workflow information from PI; +- **(storing workflow)** It is recommended that BDSP supports storing workflow; +NOTE 1 – The workflow is stored in the form of the graph, which is organized with the usage frequency of the analysis functions and sequential relationships among them. +- **(retrieving workflow)** It is recommended that BDSP supports workflow retrieval; +- **(providing data list on function)** It is recommended that BDSP provides a list of data related to a given function recorded in a given workflow; +- **(providing function list on data)** It is recommended that BDSP provides a list of functions related to a given data recorded in a given workflow; +- **(data analysis automation)** It is recommended that BDSP supports analysis automation based on workflow; +- **(user annotation)** BDSP can optionally support annotation on PI; +- **(equivalent function for process steps)** It is recommended that BDSP identifies a function for process steps based on PI coming from a different system; +NOTE 2 – For the identification of such an equivalent function, the name of the function, the format and structure of input and output data of this function, the frequency of analysis functions and the relationship among them can be used. +NOTE 3 – The results of the equivalent function mapping can be the same function with different names or a combination of functions that provide the same output. +- **(adaptability of the computational environment)** It is recommended that BDSP provides identification of the computational environment based on PI coming from a different system. + +### 8.3 Monitoring requirements + +Monitoring requirements include: + +- **(monitoring computational environment)** It is required that BDSP monitors the changes regarding the computational environment; +- **(monitoring responsible party)** It is required that BDSP monitors the changes regarding responsible party information; +- **(applying the monitoring result)** It is required that BDSP updates the monitoring results to record provenance units. +NOTE – The monitoring results include the change of computational environment and responsible party. + +### 8.4 Policy management requirements + +Policy management requirements include: + +- **(verifying PII)** It is required that BDSP provides verifying PII in a data instance when recording the corresponding provenance unit; +NOTE 1 – Verification of PII follows BDSP's policy on PII. + +NOTE 2 – In a provenance unit, data instance information (*BD\_DataInstance*) includes information about whether PII is contained or not (see clause 7.2). + +- **(protecting PII)** It is required that BDSP provides a protection mechanism for PII in data sources; + +NOTE 3 – When PII is included in data sources, BDSP decides to omit it or not based on the user's access authority. + +- **(simplifying PI)** It is recommended that BDSP supports simplifying PI based on a sharing policy; + +NOTE 4 – Methods of PI simplification include multiple levels of detail and encoding formats, etc. + +NOTE 5 – About "sharing policy", see NOTE 2 in clause 7.4. + +- **(sharing level of provenance)** It is required that BDSP supports sharing policy according to the different levels of provenance. + +NOTE 6 – The provenance level determines the level of provenance, and it is determined by the sharing policy. PI contains process steps with the applied functions, intermediate data, and responsible party information. For transferring the PI, the PI can be simplified according to the sharing policy. + +NOTE 7 – About "level of provenance", see NOTE 2 in clause 7.4. + +## 9 Security considerations + +Relevant security requirements of [b-ITU-T Y.2201], [b-ITU-T Y.2701] and applicable X, Y and M series of ITU-T Recommendations need to be taken into consideration, including access control, authentication, data confidentiality, data retention policy, network security, data integrity, availability and protection of personal information. + +## Appendix I + +### Use cases of big data provenance + +(This appendix does not form an integral part of this Recommendation.) + +**Table I.1 – Use case – Initiating PI** + +| | | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Initiating PI record | +| Description | A BDSP requests data from a data provider (DP), and gets the data. At this time, BDSP stores data as it is or modifies the original data to fit its own database. During this process, BDSP starts to record PI which includes the origin of data described in metadata, functional processes which were applied to modify data, and stores them to a distributed database. | +| Roles/sub-roles | DP:DS
DP:DB
BDSP | +| Figure (optional) |

Image: Diagram illustrating the process of initiating provenance information (PI) recording. The diagram shows two main components: 'Data provider' and 'Big data service provider'. The 'Data provider' contains a 'Data broker' and a 'Data supplier'. The 'Big data service provider' contains a box for '(Optional) modify data' and a box for 'Initiate provenance information recoding' and 'Store data with provenance information'. Arrows indicate the flow of data and metadata between these components.

 graph LR     subgraph DP [Data provider]         DB[Data broker]         DS[Data supplier]     end     subgraph BDSP [Big data service provider]         OM[• (Optional) modify data]         subgraph DBSP [ ]             direction TB             IPI[• Initiate provenance information recoding]             SDPI[• Store data with provenance information]         end     end     DB -- "Search Metadata" --> OM     DS -- "Request data/crawling" --> OM     OM --> DBSP     style DB fill:#ccc,stroke:#333,stroke-width:1px     style DS fill:#ccc,stroke:#333,stroke-width:1px     style OM fill:#fff,stroke:#333,stroke-width:1px     style DBSP fill:#fff,stroke:#333,stroke-width:1px

Y.3602(18)_T1.1

| +| Pre-conditions (optional) | DP:DS published metadata to DP:DB
BDSP searches data from DP:DB and requests data to DP:DS or crawls data from DP:DS | +| Post-conditions (optional) | | +| Derived requirement |
  • – Provenance recording initiation (see clause 8.1);
  • – Provenance model description (see clause 8.1);
  • – Storing provenance unit (see clause 8.1);
  • – User annotation (see clause 8.2);
  • – Sharing level of provenance (see clause 8.4).
| + +**Table I.2 – Use case – Updating data and managing PI** + +| | | +|----------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Updating data and managing PI in big data system | +| Description |

<Adding PI based on the change of data source status>

  • – A BDSP uses data from DP:DS regularly. When DP:DS updates the status of data (e.g., schema version upgrade, change of responsible person's information), BDSP updates the change of source information;

<Managing PI caused by deleting or preserving data from local data storage>

  • – BDSP deletes or archives the stored data for storage efficiency as well as for other management reasons. BDSP monitors the PI and decides whether to delete it or not.
| +| Roles/Sub roles | DP:DS
BDSP | +| Figure (optional) |

Image: Diagram illustrating the data flow and management between a Data supplier and a Big data service provider. The Data supplier (hexagon) sends 'Request data regularly' to the Big data service provider (rectangle). The Big data service provider sends 'Data ver.1' and 'Data ver.2' back to the Data supplier. The Big data service provider also performs self-updates: 'Update data source information' and 'Validate availability existing data / Delete/preserve data'. The diagram is labeled Y.3602(22)_T1.2.

Update data version

Request data regularly

Data ver.1

Data ver.2

Big data service provider

  • • Update data source information
  • • Validate availability existing data
  • • Delete/preserve data

Y.3602(22)_T1.2

| +| Pre-conditions (optional) | BDSP stored extensible markup language (XML) data with an external uniform resource identifier (URI) from DP:DS. | +| Post-conditions (optional) | | +| Derived requirement |
  • – Searching provenance unit (see clause 8.1);
  • – Combining provenance units (see clause 8.1);
  • – Deleting provenance unit (see clause 8.1);
  • – Monitoring computational environment (see clause 8.3);
  • – Monitoring responsible party (see clause 8.3);
  • – Applying monitoring results (see clause 8.3).
| + +**Table I.3 – Use case – Sharing and aggregating PI** + +| | | +|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Sharing and aggregating PI | +| Description |

Two collaborating BDSPs share PI with each other. When BDSP B uses data from BDSP A:

  • – BDSP B requests and receives data from BDSP A;
  • – BDSP B initiates PI recording with storing data from BDSP A;

If BDSP B needs more information (e.g., data history) on received data from:

  • – BDSP A then requests the PI about received data to BDSP A.;
  • – BDSP B aggregates the delivered PI with the local one that was created when the data from BDSP A was stored.
| +| Roles/sub-roles | – BDSP | +| |

Image: Sequence diagram showing the interaction between Big data service provider A and Big data service provider B for sharing and aggregating provenance information (PI).

 sequenceDiagram     participant A as Big data service provider A     participant B as Big data service provider B     Note over A: • Query provenance Info.
• Encoding provenance Info.     Note over B: • Integrating data
• Analyzing data     Note over B: • Decoding provenance Info.
• Aggregate provenance Info.     A->>B: (pre) request big data     B-->>A: (pre) big data     A->>B: Request provenance Info.     B-->>A: Provenance Info.     B->>B: [Data Storage]

The diagram illustrates the process of sharing and aggregating provenance information (PI) between two Big Data Service Providers (BDSPs). BDSP A (left) has a box indicating it can 'Query provenance Info.' and 'Encode provenance Info.'. BDSP B (right) has a box indicating it can 'Integrate data' and 'Analyze data', and another box indicating it can 'Decode provenance Info.' and 'Aggregate provenance Info.'. The interaction sequence is as follows: BDSP B sends a '(pre) request big data' to BDSP A, and BDSP A returns '(pre) big data' to BDSP B. Then, BDSP A sends a 'Request provenance Info.' to BDSP B, and BDSP B returns 'Provenance Info.' to BDSP A. Finally, BDSP B is shown with a data storage icon, indicating it stores the aggregated PI.

Y.3602(18)_TI.3

| +| Pre-conditions (optional) | BDSP B requested big data to BDSP A and received the data. | +| Post-conditions (optional) | BDSP B stored the aggregated PI. | +| Derived requirement |
  • – Searching provenance unit (see clause 8.1);
  • – Common format for exchange (see clause 8.1);
  • – Aggregating PI (see clause 8.1);
  • – Simplifying PI (see clause 8.4).
| + +**Table I.4 – Use case – Reuse data processing methods** + +| | | +|-------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Reusing and automating data processing methods with big data PI | +| Description |

A data analyst (e.g., a BDC playing the analyse data activity [ITU-T Y.3600]) is preparing an experiment based on existing big data analysis results with a different data source. To do this, the data analyst uses the provenance functions provided by the BDSP to extract the data analysis process and apply it.

  • – data analyst reviews analysis results;
  • – data analyst selects an analysis result to reuse its processing methods;
  • – data analyst extracts the data processing methods and related data from the PI of the analysis result and modifies them to fit for the new experiment;
  • – data analyst applies the data processing method.

Data analyst is using analysis automation based on data updates by using the PI. Data analyst sets up the periodic analysis based on the updated data according to the update period of the data.

| +| Roles/Sub roles |
  • – DP:DS
  • – BDSP
  • – big data service customer (BDC)
| +| Figure (optional) |

Image: Two diagrams illustrating the use case. The top diagram, labeled '<Reusing data processing methods>', shows a 'Data analyst' (Big data service customer) interacting with a 'Big data service provider'. The analyst sends three requests: 'Review analyzed results', 'Select/extract processing methods', and 'Modify/use processing methods'. The provider contains 'Analyzed result data', a 'Provenance function', 'Functions', 'Data' (multiple instances), and 'System configuration Info.'. The bottom diagram, labeled '<Automating big data analysis process>', shows the same analyst interacting with the provider. A 'Data supplier' sends a 'Data update' to the provider. The analyst sends 'Check the data version' and 'Request update the result' to the provider. The provider's 'Analyzed result data' is updated, indicated by a dashed arrow labeled 'Update results'. Both diagrams include a reference to Y.3602(18)_TI.4-1 and Y.3602(18)_TI.4-2 respectively.

<Reusing data processing methods> Y.3602(18)_TI.4-1

<Automating big data analysis process> Y.3602(18)_TI.4-2

| + +**Table I.4 – Use case – Reuse data processing methods** + +| | | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Pre-conditions (optional) | BDSP stores PI about the analysed result data. | +| Post-conditions (optional) | | +| Derived requirement |
  • – Extracting workflow (see clause 8.2);
  • – Retrieving workflow (see clause 8.2);
  • – Data analysis automation (see clause 8.2);
  • – Providing data list on function (see clause 8.2);
  • – Providing function list on data (see clause 8.2).
| + +**Table I.5 – Use case – Managing personal information** + +| | | +|---------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Managing personal information | +| Description |

A data analyst (e.g., a BDC playing the analyse data activity [ITU-T Y.3600] requests the PI on 'data 1' to BDSP. At this time, BDSP:

  • – traces the history of 'data 1';
  • – checks whether each data includes personal information and find out 'data 3' includes personal information;
  • – checks BDC's access right on 'data 3'.

If BDC has the access right on 'data 3', BDSP aggregates provenance units and responds it. If not, BDSP responds the PI excluding provenance unit 3 or abstracts the PI based on a predefined policy and responds it.

| +| Roles/Sub roles |
  • – BDC
  • – BDSP
| +| Figure (optional) |

Image: Diagram of the Managing personal information use case. A Data analyst (Big data service customer) sends a 'Request provenance information of "data 1"' to the BDSP's Provenance function. The Provenance function traces Data 1 to Provenance unit 1, Data 2 to Provenance unit 2, and Data 3 to Provenance unit 3. A note indicates '* Data 3 includes personal information'. The Provenance function then performs three actions: 'Trace history of data.', 'Check personal information.', and 'Check user's access right.'. Based on these actions, it either 'Aggregate provenance units (unit 1 + unit 2 + unit 3)' or '(Optional) abstract provenance information.'. The aggregated information is sent back to the Data analyst as 'Response provenance information of "data 1"'. Alternatively, an '(Optional) response abstracted provenance information of "data 1"' is sent. A dashed line shows an '(Optional) response provenance information of "data 1" excluding provenance unit 3' being sent back to the Data analyst. The diagram is labeled Y.3602(18)_TI.5.

Big data service provider

Provenance function

Data 1 trace Provenance unit 1

Data 2 Provenance unit 2

Data 3 Provenance unit 3

* Data 3 includes personal information

  • • Trace history of data.
  • • Check personal information.
  • • Check user's access right.
  • • Aggregate provenance units (unit 1 + unit 2 + unit 3)
  • • (Optional) abstract provenance information.
  • • (Optional) aggregate provenance unit 1 and unit 2.

Big data service customer

Data analyst

Request provenance information of 'data 1'

Response provenance information of 'data 1'

(Optional) response abstracted provenance information of 'data 1'

(Optional) response provenance information of 'data 1' excluding provenance unit 3

Y.3602(18)_TI.5

| +| Pre-conditions (optional) | | + +**Table I.5 – Use case – Managing personal information** + +| | | +|----------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Post-conditions (optional) | | +| Derived requirement |
  • – Aggregating PI (see clause 8.1)
  • – Verifying PII (see clause 8.4)
  • – Protecting PII (see clause 8.4)
  • – Sharing level for provenance (see clause 8.4)
  • – Simplifying PI (see clause 8.4)
| + +**Table I.6 – Use case – Reuse PI from the different analysis system** + +| | | +|-------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Reusing PI from the different analysis system | +| Description |

A data analyst (e.g., a BDC playing the analyse data activity [ITU-T Y.3600]) is preparing an experiment using the PI received from BDSP A with his/her own data. To this end, a data analyst uses the provenance functions (provided by BDSP A) to extract the data analysis workflow and reconfigure it to fit BDSP B's analysis environment.

  • – data analyst requests the PI to BDSP B;
  • – BDSP B decodes the PI;
  • – BDSP B extracts the workflow from the PI;
  • – BDSP B checks the adaptability of workflow and converts it to be available;
    • A. BDSP B checks the adaptability of the computational environment of BDSP A.
    • B. BDSP B maps the process steps extracted from the PI and the functions supported by the BDSP B.
    • C. When the functions are not mapped correctly, BDSP B examines for the alternate functions, and the data analyst selects the functions from them.
  • – data analyst applies the process steps to his/her own data.
| +| Roles/sub roles |
  • – BDSP
  • – BDC
| +| Figure (optional) | | + +**Table I.6 – Use case – Reuse PI from the different analysis system** + +![Diagram illustrating the reuse of Provenance Information (PI) from a different analysis system. The diagram shows the interaction between a Big data service provider A, a Big data service provider B, and a Big data service customer (Data analyst). It details the flow of PI request and response, the internal components of provider B (Analyzed result data, Provenance function, Functions, Data, System configuration Info.), and the mapping process from extracted steps to reconfigured steps for provider B. A legend defines function types: Mapped (black oval), Alternate (grey oval), and Not matched (white oval).](5414f65867392f05ba0063b208eeb5e1_img.jpg) + +The diagram illustrates the reuse of Provenance Information (PI) from a different analysis system. It shows the interaction between a Big data service provider A, a Big data service provider B, and a Big data service customer (Data analyst). + +**Big data service provider A** sends a **Request PI** to **Big data service provider B**, which responds with a **Response PI**. + +**Big data service provider B** contains the following components: + +- Analyzed result data**: Receives data from the **Provenance function**. +- Provenance function**: A central component that interacts with **Analyzed result data**, **Functions**, **Data**, and **System configuration Info.** +- Functions**: A set of functions that interact with the **Provenance function** and **Data**. +- Data**: A database component that stores data and interacts with **Functions** and **System configuration Info.** +- System configuration Info.**: Provides configuration information to the **Provenance function** and **Data**. + +The **Big data service customer** (Data analyst) applies processing steps to the data. + +**Extracted process steps from the received PI** are shown as a flow of **Data** through **Function** blocks. Some functions are **Mapped** (black ovals), some are **Alternate** (grey ovals), and some are **Not matched** (white ovals). + +**Mapping process steps** leads to **Reconfigured process steps for the BDSP B**, where the mapped functions are used to reconfigure the process steps. + +Legend: + +- Function** (black oval): Mapped +- Function** (grey oval): Alternate +- Function** (white oval): Not matched + +Y:3602(18)\_T1.6 + +Diagram illustrating the reuse of Provenance Information (PI) from a different analysis system. The diagram shows the interaction between a Big data service provider A, a Big data service provider B, and a Big data service customer (Data analyst). It details the flow of PI request and response, the internal components of provider B (Analyzed result data, Provenance function, Functions, Data, System configuration Info.), and the mapping process from extracted steps to reconfigured steps for provider B. A legend defines function types: Mapped (black oval), Alternate (grey oval), and Not matched (white oval). + +| | | +|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirement |
  • – Provenance model description (see clause 8.1);
  • – Common format for exchange (see clause 8.1);
  • – Extracting workflow (see clause 8.2);
  • – Adaptability of the computational environment (see clause 8.2);
  • – Equivalent function for process steps (see clause 8.2).
| + +**Table I.7 – Use case –Scientific workflow provenance** + +| | | +|-------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | PI collection and query of scientific workflow | +| Description |

Scientific workflow is a typical application system, facilitating e-Science. Scientists model, design, execute, debug, re-configure and re-run their analysis. PI in the scientific workflow system is very useful for a scientist to interpret their workflow results and for other scientists to establish trust in the experimental result.

The BDSP (scientific workflow system) initiates PI automatically, and stores the PI in the database. BDC (scientists) (e.g., a BDC playing the analyse data activity [ITU-T Y.3600]) need to retrieve the PI to confirm the source of the scientific data in an experiment or analysis process. The BDSP stores PI automatically when data status is changed to support frequent retrieving.

| + +**Table I.7 – Use case –Scientific workflow provenance** + +| | | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Roles/sub-roles |
  • – BDSP
  • – BDC
| +| Figure (optional) |

Image: Diagram of Scientific workflow provenance use case. A 'Big data service customer' (Scientists) sends a 'Request PI' to a 'Big data service provider (scientific workflow system)'. The provider contains a 'Provenance function' which interacts with 'Data status change', 'Data', 'Functions', 'Storing provenance units', 'Provenance units', 'Storing provenance information', and 'Provenance information'. A 'Response PI' is sent back to the customer. Reference: Y.3602(18)_T1.7

Y.3602(18)_T1.7

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirement |
  • – Aggregating PI (see clause 8.1)
  • – Storing PI (see clause 8.1)
| + +**Table I.8 – Use case – Extracting analysis workflow from the accumulated PI** + +| | | +|-------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Title | Extracting analysis workflow from the accumulated PI | +| Description |

BDSP A collects the PI from the different BDSPs to accumulate the analysis workflows and reuse them. BDSP C wants to find analysis methods that can be applied to its system functions and data through BDSP A.

Accordingly:

  • – BDSP A collects PI from BDSP B;
  • – BDSP A extracts the workflows from PI;
  • – BDSP A stores the workflows with an integrated graph organized by the usage frequency of the analysis functions and sequential relationship among them;
  • – BDSP C requests workflow with a list of its own functions and data as well as the information of OS, H/W description and on, locale settings;
  • – BDSP A retrieves workflow based on the information that came from BDSP C;
  • – BDSP A sends the list of candidate workflows to BDSP C;
  • – BDSP C selects the workflow that satisfies the analysis purpose;
  • – BDSP A reconstructs the workflow in a form that it can run on the BDSP C and send it to BDSP C;
  • – BDSP C uses the workflow.
| + +**Table I.8 – Use case – Extracting analysis workflow from the accumulated PI** + +| | | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Roles/sub-roles | – BDSP | +| Figure (optional) |

Image: Diagram of the workflow extraction process from accumulated provenance information (PI) to a candidate workflow.

The diagram illustrates the process of extracting an analysis workflow from accumulated provenance information (PI). On the left, a dashed box contains three 'Big data service provider' (BDSP) instances: B-1, B-2, and B-3, with a vertical ellipsis below them. Arrows labeled 'Provenance information' point from each of these providers to a central 'Big data service provider A'. Inside the central provider A, there is a 'Provenance function' block and a 'Functions' block. Below these, a list of tasks is shown: 'Extract workflows from provenance information', 'Store workflows with an integrated graph', 'Retrieve workflows that meet the conditions', 'Send the list of candidate workflow', 'Reconstruct workflow including function mapping for BDSP C', and 'Export workflow(s)'. To the right of provider A, a 'Big data service provider C' is shown. Arrows indicate the flow of information: 'Request workflow with {a list of own functions and data, computational environment of BDSP C}' from C to A, 'A list of candidate workflow' from A to C, 'Select workflow(s)' from C to A, and 'Workflow(s)' from A to C. A small identifier 'Y.3602(18)_T1.8' is located in the bottom right corner of the diagram area.

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirement |
  • – Provenance model description (see clause 8.1)
  • – Extracting workflow (see clause 8.2)
  • – Retrieving workflow (see clause 8.2)
  • – Storing workflow (see clause 8.2)
  • – Equivalent function for process steps (see clause 8.2)
  • – Adaptability of the computational environment (see clause 8.2)
| + +## Appendix II + +### Examples of provenance information profile + +(This appendix does not form an integral part of this Recommendation.) + +This appendix uses ITU-T Y.3603 metadata profile for data catalogue, the W3C data catalog vocabulary (DCAT) in the XML profile, terse resource description framework triple language (Turtle) profile (see [b-W3C DCAT]) and a JSON-based Serialization for Linked Data (JSON-LD). The namespace for DCAT is , but DCAT makes extensive use of terms from other vocabularies. The extended prefix and its namespace for this appendix are "bdp" and "". + +### II.1 RDF profile + +This clause provides the XML schema with resource description framework (RDF) format corresponding to the UML model in clause 7. + +``` + + + + + information about the software providing the function used + + + + + information about the computing environment + + + + + a collection of data which is recorded in a provenance unit + + + + + information about the used function + + + + + information required to describe the hardware environment + + + + + information required to describe locale setting value + + +``` + +``` + + + root entity which defines PI + + + + + a record of the most recent changes to the data + + + + + information about hardware acceleration unit (e.g., GPU) + + + + + + information about the software providing the function used + + + + + + name of software application + + + + + + information about whether the data exists in the storage or has been deleted + + + + + + computational environment information for the provenance unit + + + + + + a country code + + + + + + information about speed and number of units of CPU + + + + + + dataset information for the data catalogue + + + + + + dataset metadata for the dataset + +``` + +``` + + + + + + + a unique identifier of the dataset + + + + + + the value for character encoding setting + + + + + + information about the function used after + + + + + + function information for the data catalogue + + + + + + a unique function name + + + + + + the alternative name of the function + + + + + + information about the hardware specification + + + + + + information about whether the data includes PII or not + + + + + + the input parameter value + + + + + + URI at which the app may be installed + +``` + +``` + + + + + + +a natural language used for hardware + + + + + +information about language, display formats of time, date, currency, etc. + + + + + +information about size and speed of memory + + + + + +information about the operating system + + + + + +provenance unit for the PI + + + + + +responsible party information for the data catalogue + + + + + +version of software + + + + + +information about size and speed of storage + + + + + +the date of storing the provenance unit + + + + + +information of time zone + +``` + +``` + + + + + + + a unique provenance unit name + + + + + + a short introduction to the function or the application + + + + + + + +``` + +### II.2 Turtle profile + +This clause provides the Turtle format schema corresponding to the UML model in clause 7. + +``` + +# baseURI: http://www.itu.int/xml-namespace/itu-t/Y.3602/bigdataprovenance +# imports: http://purl.org/dc/elements/1.1/ +# imports: http://purl.org/dc/terms/ +# imports: https://www.w3.org/2002/07/owl# +# imports: http://www.itu.int/xml-namespace/itu-t/Y.3603/bigdatacatalogue +# prefix: bdp + +@prefix bdp: . +@prefix bdc: . +@prefix dc: . +@prefix dct: . +@prefix owl: . +@prefix rdf: . +@prefix rdfs: . +@prefix xsd: . + +bdp:Application + rdf:type rdfs:Class ; + rdfs:comment "information about the software providing the function used" ; + rdfs:subClassOf owl:Thing ; + . + +bdp:ComputationalEnvironment + rdf:type rdfs:Class ; + rdfs:comment "information about the computing environment" ; + rdfs:subClassOf owl:Thing ; + . + +bdp:Dataset + rdf:type rdfs:Class ; + rdfs:comment "a collection of data which is recorded in a provenance unit" ; + rdfs:subClassOf owl:Thing ; + . + +bdp:Function + rdf:type rdfs:Class ; + rdfs:comment "information about the used function " ; + rdfs:subClassOf owl:Thing ; + . + +``` + +``` + +bdp:HardwareSpecType + rdf:type rdfs:Class ; + rdfs:comment "information required to describe the hardware environment" ; + rdfs:subClassOf owl:Thing ; +. + +bdp:LocaleSettingType + rdf:type rdfs:Class ; + rdfs:comment "information required to describe locale setting value " ; + rdfs:subClassOf owl:Thing ; +. + +bdp:ProvenanceInformation + rdf:type rdfs:Class ; + rdfs:comment "root entity which defines PI" ; + rdfs:subClassOf owl:Thing ; +. + +bdp:ProvenanceUnit + rdf:type rdfs:Class ; + rdfs:comment "a record of the most recent changes to the data" ; + rdfs:subClassOf owl:Thing ; +. + +bdp:accelerationIO + rdf:type rdf:Property ; + rdfs:comment "information about hardware acceleration unit (e.g., GPU)" ; + rdfs:domain bdp:HardwareSpecType ; + rdfs:range xsd:string ; +. + +bdp:applicationInfo + rdf:type rdf:Property ; + rdfs:comment "information about the software providing the function used" ; + rdfs:domain bdp:Function ; + rdfs:range bdp:Application ; +. + +bdp:applicationName + rdf:type rdf:Property ; + rdfs:comment "name of software application" ; + rdfs:domain bdp:Application ; + rdfs:range xsd:string ; +. + +bdp:availability + rdf:type rdf:Property ; + rdfs:comment "information about whether the data exists in the storage or has been deleted" ; + rdfs:domain bdp:Dataset ; + rdfs:range xsd:boolean ; +. + +bdp:computationalEnvironment + rdf:type rdf:Property ; + rdfs:comment "computational environment information for the provenance unit" ; + rdfs:domain bdp:ProvenanceUnit ; + rdfs:range bdp:ComputationalEnvironment ; +. + +bdp:country + rdf:type rdf:Property ; + rdfs:comment "a country code" ; + rdfs:domain bdp:LocaleSettingType ; + rdfs:range dct:ISO3166 ; +. + +bdp:cpuInfo + rdf:type rdf:Property ; + rdfs:comment "information about speed and number of units of CPU" ; + rdfs:domain bdp:HardwareSpecType ; + +``` + +``` + + rdfs:range xsd:string ; +. +bdp:dataset + rdf:type rdf:Property ; + rdfs:comment "dataset information for the data catalogue" ; + rdfs:domain bdp:ProvenanceUnit ; + rdfs:range bdp:Dataset ; +. +bdp:datasetMetadata + rdf:type rdf:Property ; + rdfs:comment "dataset metadata for the dataset" ; + rdfs:domain bdp:Dataset ; + rdfs:range bdc:Dataset ; +. +bdp:dsId + rdf:type rdf:Property ; + rdfs:comment "a unique identifier of the dataset" ; + rdfs:domain bdp:Dataset ; + rdfs:range xsd:string ; +. +bdp:encoding + rdf:type rdf:Property ; + rdfs:comment "the value for character encoding setting" ; + rdfs:domain bdp:LocaleSettingType ; + rdfs:range xsd:string ; +. +bdp:followedFunction + rdf:type rdf:Property ; + rdfs:comment "information about the function used after" ; + rdfs:domain bdp:Function ; + rdfs:range bdp:Function ; +. +bdp:function + rdf:type rdf:Property ; + rdfs:comment "function information for the data catalogue" ; + rdfs:domain bdp:ProvenanceUnit ; + rdfs:range bdp:Function ; +. +bdp:functionId + rdf:type rdf:Property ; + rdfs:comment "a unique function name" ; + rdfs:domain bdp:Function ; + rdfs:range xsd:string ; +. +bdp:functionName + rdf:type rdf:Property ; + rdfs:comment "the alternative name of the function" ; + rdfs:domain bdp:Function ; + rdfs:range xsd:string ; +. +bdp:hardwareSpecs + rdf:type rdf:Property ; + rdfs:comment "information about the hardware specification" ; + rdfs:domain bdp:ComputationalEnvironment ; + rdfs:range bdp:HardwareSpecType ; +. +bdp:hasPII + rdf:type rdf:Property ; + rdfs:comment "information about whether the data includes PII or not" ; + rdfs:domain bdp:Dataset ; + +``` + +``` + + rdfs:range xsd:boolean ; +. +bdp:inputParaValue + rdf:type rdf:Property ; + rdfs:comment "the input parameter value" ; + rdfs:domain bdp:Function ; + rdfs:range xsd:string ; +. +bdp:installUri + rdf:type rdf:Property ; + rdfs:comment "URI at which the app may be installed" ; + rdfs:domain bdp:Application ; + rdfs:range xsd:anyURI +. +bdp:langauge + rdf:type rdf:Property ; + rdfs:comment "a natural language used for hardware" ; + rdfs:domain bdp:LocaleSettingType ; + rdfs:range dct:RFC4646 ; +. +bdp:localeSetting + rdf:type rdf:Property ; + rdfs:comment "information about language, display formats of time, date, currency, etc." ; + rdfs:domain bdp:ComputationalEnvironment ; + rdfs:range bdp:LocaleSettingType ; +. +bdp:memoryInfo + rdf:type rdf:Property ; + rdfs:comment "information about size and speed of memory" ; + rdfs:domain bdp:HardwareSpecType ; + rdfs:range xsd:string ; +. +bdp:operatingSystem + rdf:type rdf:Property ; + rdfs:comment "information about the operating system" ; + rdfs:domain bdp:ComputationalEnvironment ; + rdfs:range xsd:string ; +. +bdp:provenanceUnit + rdf:type rdf:Property ; + rdfs:comment "provenance unit for the PI" ; + rdfs:domain bdp:ProvenanceInformation ; + rdfs:range bdp:ProvenanceUnit ; +. +bdp:responsibleParty + rdf:type rdf:Property ; + rdfs:comment "responsible party information for the data catalogue" ; + rdfs:domain bdp:ProvenanceUnit ; + rdfs:range bdc:ResponsibleParty ; +. +bdp:softwareVersion + rdf:type rdf:Property ; + rdfs:comment "version of software" ; + rdfs:domain bdp:Application ; + rdfs:range xsd:string ; +. +bdp:storageInfo + rdf:type rdf:Property ; + rdfs:comment "information about size and speed of storage" ; + rdfs:domain bdp:HardwareSpecType ; + +``` + +``` + + rdfs:range xsd:string ; +. +bdp:storedDate + rdf:type rdf:Property ; + rdfs:comment "the date of storing the provenance unit" ; + rdfs:domain bdp:ProvenanceUnit ; + rdfs:range dct:W3CDTF ; +. +bdp:timeZone + rdf:type rdf:Property ; + rdfs:comment "information of time zone" ; + rdfs:domain bdp:ComputationalEnvironment ; + rdfs:range dct:W3CDTF ; +. +bdp:unitId + rdf:type rdf:Property ; + rdfs:comment "a unique provenance unit name" ; + rdfs:domain bdp:ProvenanceUnit ; + rdfs:range xsd:string ; +. +dc:description + rdfs:comment "a short introduction to the function or the application " ; + rdfs:domain bdp:Application ; + rdfs:domain bdp:Function ; + rdfs:range xsd:string ; +. + +``` + +### II.3 JSON-LD profile + +This clause provides the JSON-LD format schema corresponding to the UML model in clause 7. + +``` + +{ + "@context": { + "bdp": "http://www.itu.int/xml-namespace/itu-t/Y.3602/bigdataprovenance#", + "bdc": "http://www.itu.int/xml-namespace/itu-t/Y.3603/bigdatacatalogue#", + "dc": "http://purl.org/dc/elements/1.1/", + "dct": "http://purl.org/dc/terms/", + "owl": "http://www.w3.org/2002/07/owl#", + "rdf": "http://www.w3.org/1999/02/22-rdf-syntax-ns#", + "rdfs": "http://www.w3.org/2000/01/rdf-schema#", + "xsd": "http://www.w3.org/2001/XMLSchema#" + }, + "@graph": [ + { + "@id": "bdp:Application", + "rdf:type": { + "@id": "rdfs:Class" + }, + "rdfs:comment": "information about the software providing the function used", + "rdfs:subClassOf": { + "@id": "owl:Thing" + } + }, + { + "@id": "bdp:ComputationalEnvironment", + "rdf:type": { + "@id": "rdfs:Class" + }, + "rdfs:comment": "information about the computing environment", + "rdfs:subClassOf": { + +``` + +``` + + "@id": "owl:Thing" + } +}, +{ + "@id": "bdp:Dataset", + "rdf:type": { + "@id": "rdfs:Class" + }, + "rdfs:comment": "a collection of data which is recorded in a provenance unit", + "rdfs:subClassOf": { + "@id": "owl:Thing" + } +}, +{ + "@id": "bdp:Function", + "rdf:type": { + "@id": "rdfs:Class" + }, + "rdfs:comment": "information about the used function ", + "rdfs:subClassOf": { + "@id": "owl:Thing" + } +}, +{ + "@id": "bdp:HardwareSpecType", + "rdf:type": { + "@id": "rdfs:Class" + }, + "rdfs:comment": "information required to describe the hardware environment", + "rdfs:subClassOf": { + "@id": "owl:Thing" + } +}, +{ + "@id": "bdp:LocaleSettingType", + "rdf:type": { + "@id": "rdfs:Class" + }, + "rdfs:comment": "information required to describe locale setting value ", + "rdfs:subClassOf": { + "@id": "owl:Thing" + } +}, +{ + "@id": "bdp:ProvenanceInformation", + "rdf:type": { + "@id": "rdfs:Class" + }, + "rdfs:comment": "root entity which defines PI", + "rdfs:subClassOf": { + "@id": "owl:Thing" + } +}, +{ + "@id": "bdp:ProvenanceUnit", + "rdf:type": { + "@id": "rdfs:Class" + }, + "rdfs:comment": "a record of the most recent changes to the data", + "rdfs:subClassOf": { + +``` + +``` + + "@id": "owl:Thing" + }, + { + "@id": "bdp:accelerationIO", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about hardware acceleration unit (e.g., GPU)", + "rdfs:domain": { + "@id": "bdp:HardwareSpecType" + }, + "rdfs:range": { + "@id": "xsd:string" + } + }, + { + "@id": "bdp:applicationInfo", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about the software providing the function used", + "rdfs:domain": { + "@id": "bdp:Function" + }, + "rdfs:range": { + "@id": "bdp:Application" + } + }, + { + "@id": "bdp:applicationName", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "name of software application", + "rdfs:domain": { + "@id": "bdp:Application" + }, + "rdfs:range": { + "@id": "xsd:string" + } + }, + { + "@id": "bdp:availability", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about whether the data exists in the storage or has been deleted", + "rdfs:domain": { + "@id": "bdp:Dataset" + }, + "rdfs:range": { + "@id": "xsd:boolean" + } + }, + { + "@id": "bdp:computationalEnvironment", + "rdf:type": { + "@id": "rdf:Property" + }, + }, + +``` + +``` + +"rdfs:comment": "computational environment information for the provenance unit", +"rdfs:domain": { + "@id": "bdp:ProvenanceUnit" +}, +"rdfs:range": { + "@id": "bdp:ComputationalEnvironment" +} +}, +{ + "@id": "bdp:country", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "a country code", + "rdfs:domain": { + "@id": "bdp:LocaleSettingType" + }, + "rdfs:range": { + "@id": "dct:ISO3166" + } +}, +{ + "@id": "bdp:cpuInfo", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about speed and number of units of CPU", + "rdfs:domain": { + "@id": "bdp:HardwareSpecType" + }, + "rdfs:range": { + "@id": "xsd:string" + } +}, +{ + "@id": "bdp:dataset", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "dataset information for the data catalogue", + "rdfs:domain": { + "@id": "bdp:ProvenanceUnit" + }, + "rdfs:range": { + "@id": "bdp:Dataset" + } +}, +{ + "@id": "bdp:datasetMetadata", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "dataset metadata for the dataset", + "rdfs:domain": { + "@id": "bdp:Dataset" + }, + "rdfs:range": { + "@id": "bdc:Dataset" + } +} +}, + +``` + +``` + +{ + "@id": "bdp:dsId", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "a unique identifier of the dataset", + "rdfs:domain": { + "@id": "bdp:Dataset" + }, + "rdfs:range": { + "@id": "xsd:string" + } +}, +{ + "@id": "bdp:encoding", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "the value for character encoding setting", + "rdfs:domain": { + "@id": "bdp:LocaleSettingType" + }, + "rdfs:range": { + "@id": "xsd:string" + } +}, +{ + "@id": "bdp:followedFunction", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about the function used after", + "rdfs:domain": { + "@id": "bdp:Function" + }, + "rdfs:range": { + "@id": "bdp:Function" + } +}, +{ + "@id": "bdp:function", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "function information for the data catalogue", + "rdfs:domain": { + "@id": "bdp:ProvenanceUnit" + }, + "rdfs:range": { + "@id": "bdp:Function" + } +}, +{ + "@id": "bdp:functionId", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "a unique function name", + "rdfs:domain": { + "@id": "bdp:Function" + } +} + +``` + +``` + + }, + "rdfs:range": { + "@id": "xsd:string" + } + }, + { + "@id": "bdp:functionName", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "the alternative name of the function", + "rdfs:domain": { + "@id": "bdp:Function" + }, + "rdfs:range": { + "@id": "xsd:string" + } + }, + { + "@id": "bdp:hardwareSpecs", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about the hardware specification", + "rdfs:domain": { + "@id": "bdp:ComputationalEnvironment" + }, + "rdfs:range": { + "@id": "bdp:HardwareSpecType" + } + }, + { + "@id": "bdp:hasPII", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about whether the data includes PII or not", + "rdfs:domain": { + "@id": "bdp:Dataset" + }, + "rdfs:range": { + "@id": "xsd:boolean" + } + }, + { + "@id": "bdp:inputParaValue", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "the input parameter value", + "rdfs:domain": { + "@id": "bdp:Function" + }, + "rdfs:range": { + "@id": "xsd:string" + } + }, + { + "@id": "bdp:installUri", + "rdf:type": { + +``` + +``` + + "@id": "rdf:Property" + }, + "rdfs:comment": "URI at which the app may be installed", + "rdfs:domain": { + "@id": "bdp:Application" + }, + "rdfs:range": { + "@id": "xsd:anyURI" + } +}, +{ + "@id": "bdp:langauge", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "a natural language used for hardware", + "rdfs:domain": { + "@id": "bdp:LocaleSettingType" + }, + "rdfs:range": { + "@id": "dct:RFC4646" + } +}, +{ + "@id": "bdp:localeSetting", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about language, display formats of time, date, currency, etc.", + "rdfs:domain": { + "@id": "bdp:ComputationalEnvironment" + }, + "rdfs:range": { + "@id": "bdp:LocaleSettingType" + } +}, +{ + "@id": "bdp:memoryInfo", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about size and speed of memory", + "rdfs:domain": { + "@id": "bdp:HardwareSpecType" + }, + "rdfs:range": { + "@id": "xsd:string" + } +}, +{ + "@id": "bdp:operatingSystem", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about the operating system", + "rdfs:domain": { + "@id": "bdp:ComputationalEnvironment" + }, + "rdfs:range": { + "@id": "xsd:string" + } +} + +``` + +``` + + } + }, + { + "@id": "bdp:provenanceUnit", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "provenance unit for the PI", + "rdfs:domain": { + "@id": "bdp:ProvenanceInformation" + }, + "rdfs:range": { + "@id": "bdp:ProvenanceUnit" + } + }, + { + "@id": "bdp:responsibleParty", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "responsible party information for the data catalogue", + "rdfs:domain": { + "@id": "bdp:ProvenanceUnit" + }, + "rdfs:range": { + "@id": "bdc:ResponsibleParty" + } + }, + { + "@id": "bdp:softwareVersion", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "version of software", + "rdfs:domain": { + "@id": "bdp:Application" + }, + "rdfs:range": { + "@id": "xsd:string" + } + }, + { + "@id": "bdp:storageInfo", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information about size and speed of storage", + "rdfs:domain": { + "@id": "bdp:HardwareSpecType" + }, + "rdfs:range": { + "@id": "xsd:string" + } + }, + { + "@id": "bdp:storedDate", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "the date of storing the provenance unit", + +``` + +``` + +"rdfs:domain": { + "@id": "bdp:ProvenanceUnit" +}, +"rdfs:range": { + "@id": "dct:W3CDTF" +} +}, +{ + "@id": "bdp:timeZone", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "information of time zone", + "rdfs:domain": { + "@id": "bdp:ComputationalEnvironment" + }, + "rdfs:range": { + "@id": "dct:W3CDTF" + } +}, +{ + "@id": "bdp:unitId", + "rdf:type": { + "@id": "rdf:Property" + }, + "rdfs:comment": "a unique provenance unit name", + "rdfs:domain": { + "@id": "bdp:ProvenanceUnit" + }, + "rdfs:range": { + "@id": "xsd:string" + } +}, +{ + "@id": "dc:description", + "rdfs:comment": "a short introduction to the function or the application ", + "rdfs:domain": [ + { + "@id": "bdp:Application" + }, + { + "@id": "bdp:Function" + } + ], + "rdfs:range": { + "@id": "xsd:string" + } +} +] +} + +``` + +## Bibliography + +- [b-ITU-T X.1255] Recommendation ITU-T X.1255 (2013), *Framework for discovery of identity management information*. +- [b-ITU-T Y.2201] Recommendation ITU-T Y.2201 (2009), *Requirements and capabilities for ITU-T NGN*. +- [b-ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [b-ITU-T Y.4100] Recommendation ITU-T Y.4100/Y.2066 (2014), *Common requirements of the Internet of things*. +- [b-ISO8601] ISO 8601-2 (2019), *Date and time – Representations for information interchange – Part 2: Extensions*. +- [b-ISO639] ISO 639-1 (2002), *Codes for the representation of names of languages – Part 2: Alpha-3 code*. +- [b-ISO3166] ISO 3166-1 (2020), *Codes for the representation of names of countries and their subdivisions – Part 1: Country code*. +- [b-W3C DCAT] W3C Recommendation (202014), *Data Catalog Vocabulary (DCAT) version 2*. + + + +## **SERIES OF ITU-T RECOMMENDATIONS** + +| | | +|----------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | 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Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +| | | +|-----------------|---------------| +| FUTURE NETWORKS | Y.3000–Y.3499 | +|-----------------|---------------| + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3500–Y.3599 | +|-----------------|---------------| + +| | | +|-----------------|----------------------| +| BIG DATA | Y.3600–Y.3799 | +|-----------------|----------------------| + +| | | +|-----------------------------------|---------------| +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +|-----------------------------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3607 + +## Big data – Functional architecture for data provenance + +## Summary + +Recommendation ITU-T Y.3607 describes a functional architecture for big data provenance (BDP). To provide the functional architecture for big data provenance, the big data provenance functions are defined based on the functional requirements and logical components identified in Recommendation ITU-T Y.3602. This Recommendation also provides the relationship between the functional architecture of big data provenance and the big data reference architecture in Recommendation ITU-T Y.3605. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3607 | 2023-01-13 | 13 | 11.1002/1000/15242 | + +## Keywords + +Big data, data provenance, functional architecture. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|----------------------------------------------------------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Relationship between BDP logical components and BDP functions ..... | 3 | +| 7 BDP functions..... | 3 | +| 7.1 Provenance unit processing ..... | 3 | +| 7.2 Provenance information processing ..... | 4 | +| 7.3 Big data analytics support ..... | 5 | +| 7.4 Big data system connection ..... | 7 | +| 8 BDP functional architecture ..... | 7 | +| 8.1 Provenance unit processing functions ..... | 8 | +| 8.2 Provenance information processing functions..... | 9 | +| 8.3 Big data analytics support functions..... | 10 | +| 8.4 Big data system connection functions ..... | 11 | +| 9 Reference points ..... | 11 | +| 9.1 Reference points between PUP-FS and BDSC-FS..... | 11 | +| 9.2 Reference point between PUP-FS and PIP-FS..... | 11 | +| 9.3 Reference point between PUP-FS and BDAS-FS..... | 12 | +| 9.4 Reference point between PIP-FS and BDSC-FS..... | 12 | +| 9.5 Reference points between BDAS-FS and BDSC-FS ..... | 12 | +| 9.6 Reference points within PUP-FS..... | 12 | +| 9.7 Reference points within PIP-FS ..... | 12 | +| 9.8 Reference points within BDAS-FS ..... | 12 | +| 10 Security considerations..... | 13 | +| Appendix I – Relationships among BDP functional requirements, BDP logical components, and BDP functions..... | 14 | +| Appendix II – The overall relationships among BDP functions..... | 20 | +| Appendix III – Relationships between the BDP functions and functional components of big data architecture in [ITU-T Y.3605]..... | 21 | +| Bibliography..... | 22 | + + + +# Recommendation ITU-T Y.3607 + +## Big data – Functional architecture for data provenance + +# 1 Scope + +This Recommendation provides a functional architecture for big data provenance. It specifies the following: + +- Functions for supporting big data provenance; +- Functional architecture of big data provenance; +- Reference points among functions for big data provenance. + +In addition, this Recommendation provides a relationship between the functional architecture of big data provenance (BDP) and the big data reference architecture of [ITU-T Y.3605] in appendices. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3602] Recommendation ITU-T Y.3602 (2022), *Big data – Functional requirements for data provenance*. + +[ITU-T Y.3605] Recommendation ITU-T Y.3605 (2020), *Big data – Reference architecture*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 big data** [b-ITU-T Y.3600]: A paradigm for enabling the collection, storage, management, analysis and visualization, potentially under real-time constraints, of extensive datasets with heterogeneous characteristics. + +NOTE – Examples of datasets characteristics include high-volume, high-velocity, high-variety, etc. + +**3.1.2 big data provenance** [ITU-T Y.3602]: Information that records the historical path of data according to the data lifecycle operations in a big data ecosystem. + +NOTE 1 – Data lifecycle operations include data generation, transmission, storage, use and deletion. + +NOTE 2 – Data provenance information provides details about the source of data, such as the person responsible for the provision of data, functions applied to data, and information about the computing environment for data processing (e.g., operating system, description of the hardware, locale settings and time zone). + +**3.1.3 provenance** [b-ITU-T X.1255]: Information pertaining to any source of information including the party or parties involved in generating it, introducing it, and/or vouching for it. + +**3.1.4 reference architecture** [b-ISO/IEC 26550]: Core architecture that captures the high-level design of a software and systems product line including the architectural structure and texture + +(e.g., common rules and constraints) that constrains all member products within a software and systems product line. + +NOTE – Application architectures of the member products included in the product line reuses (possibly with modifications) the common parts and binds variable parts of the domain architecture. Application architectures of the member products may (but do not need to) provide variability. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|---------|---------------------------------------------------| +| BD | Big Data | +| BDAS-FS | Big Data Analytics Support Functions | +| BDP | Big Data Provenance | +| BDSC-FS | Big Data System Connection Functions | +| BDSI-F | Big Data System Interface Function | +| BDSP | Big Data Service Provider | +| DB | Data Broker | +| DP | Data Provider | +| H/W | Hardware | +| JSON | JavaScript Object Notation | +| OS | Operating System | +| PIC-F | Provenance Information Composition Function | +| PII | Personally Identifiable Information | +| PIM-F | Provenance Information Monitor Function | +| PIP-FS | Provenance Information Processing Functions | +| PIPM-F | Provenance Information Policy Management Function | +| PIT-F | Provenance Information Transformation Function | +| PUE-F | Provenance Unit Extraction Function | +| PUM-F | Provenance Unit Management Function | +| PUP-FS | Provenance Unit Processing Function | +| PUV-F | Provenance Unit Validator Function | +| UIAS-F | User Interface for Analytic Support Function | +| WE-F | Workflow Explorer Function | +| WMB-F | Workflow Map Building Function | +| WM-F | Workflow Management Function | +| XML | extensible Markup Language | + +# 5 Conventions + +Throughout this Recommendation, the term "big data system" is to be understood as a big data system that includes capabilities of big data provenance functions. + +# 6 Relationship between BDP logical components and BDP functions + +There are six big data provenance (BDP) logical components in [ITU-T Y.3602] including: + +- 1) provenance model management; +- 2) provenance lifecycle management; +- 3) provenance sharing policy management; +- 4) personally identifiable information (PII) management; +- 5) analysis support; and +- 6) monitoring. + +These BDP logical components are realized by the BDP functions. Table 6-1 shows the relationship between BDP logical components in [ITU-T Y.3602] and BDP functions in this Recommendation. + +**Table 6-1 – Relationship between BDP logical components and BDP functions** + +| BDP logical components
in [ITU-T Y.3602] | BDP functions
in this Recommendation | +|---------------------------------------------------------|--------------------------------------------------------------------------------------------------------| +| Provenance model management | Provenance unit processing
(see clause 7.1) | +| Provenance lifecycle management | Provenance unit processing
(see clause 7.1) | +| Provenance sharing policy management | Provenance information processing
(see clause 7.2) | +| Personally identifiable information (PII)
management | Provenance information processing
(see clause 7.2) | +| Analysis support | Big data analytics support (see clause 7.3),
and big data system connection (see clause 7.4) | +| Monitoring | Provenance information processing (see clause 7.2),
and big data system connection (see clause 7.4) | + +# 7 BDP functions + +This clause provides the BDP functions which are derived from the BDP functional requirements in [ITU-T Y.3602]. The relationships between BDP functional requirements and BDP functions are described in Appendix I. + +## 7.1 Provenance unit processing + +The provenance unit processing functions (PUP-FS) include: + +- provenance unit extraction (see clause 7.1.1); +- provenance unit validator (see clause 7.1.2); +- provenance unit management (see clause 7.1.3). + +### 7.1.1 Provenance unit extraction + +The provenance unit extraction function (PUE-F) extracts the provenance units from the big data (BD) system. This function: + +- performs collecting the required metadata for the provenance unit by query message; +NOTE 1 – Collecting the required metadata for the provenance unit has different approaches according to the data types of the provenance unit. +- records the metadata of the original data instance in the data catalogue; +NOTE 2 – The metadata of the data instance includes responsible party information, time, size, and the locations of the original data instance. +- captures the processes of data, and input / output data in the temporal storage simultaneously when the data-processing occurs; +- monitors the computational environment for recording up-to-date computational environments in the provenance unit; +- monitors the responsible party for recording up-to-date responsible party in the provenance unit. + +### **7.1.2 Provenance unit validator** + +The provenance unit validator function (PUV-F) validates the extracted provenance units with the policy and checks the provenance units for finding errors in the format or invalid information. This function: + +- informs the invalid information in the provenance units to the big data system user; +NOTE 1 – The invalid information includes the incomplete data, vacant data, and un-allowed data. +NOTE 2 – The provenance unit validator can request to correct the current invalid information in the provenance unit to the responsible party of the data. +- transmits the dataset information to the big data analytics support functions; +- checks the existence of PII in the metadata of the dataset; +- removes or abstracts the PII if the PII permission is rejected by the policy. +NOTE 3 – The provenance unit validator abstracts the PII for preventing the exposure of personal information. + +#### **7.1.3 Provenance unit management** + +The provenance unit management function (PUM-F) supports the handling of the provenance units. This function: + +- requests the continuous recording of provenance unit; +- manages the extraction algorithm which performs extracting the metadata from the dataset; +- performs the provenance data compressions without loss of information; +- provisions resources of temporal storage for the provenance unit data before completion of data-processing or workflow; +- manages storage for provenance units for backward tracing of data history. + +## **7.2 Provenance information processing** + +The provenance information processing functions (PIP-FS) include: + +- provenance information composition (see clause 7.2.1); +- provenance information transformation (see clause 7.2.2); +- provenance information monitor (see clause 7.2.3); +- provenance information policy management (see clause 7.2.4). + +### 7.2.1 Provenance information composition + +The provenance information composition function (PIC-F) generates and stores the provenance information with multiple provenance units. This function: + +- composes the provenance units into a provenance information; +- registers the provenance information to the data storage when the user's request occurs; +NOTE – The registry of the provenance information can be used to effectively retrieve the frequently used provenance information. The retrieval algorithms are the implementation issues that are not covered in this Recommendation. +- transmits the required resources for storing provenance information to the big data system connection functions. + +### 7.2.2 Provenance information transformation + +The provenance information transformation function (PIT-F) transforms the provenance information into pre-defined formats. This function: + +- encodes the provenance model into the standardized format; +NOTE 1 – The standardized format has a specified provenance model for the data provenance. For the encoding provenance unit, the metadata converts into the standardized format algorithmically and the decoding is the opposite process. +- decodes the provenance model format from an external big data system; +- transforms the provenance information into a common format. +NOTE 2 – The common format includes the programming languages such as the eXtensible markup language (XML), JavaScript object notation (JSON), etc. + +### 7.2.3 Provenance information monitor + +The provenance information monitor function (PIM-F) monitors the provenance information and provenance operation for maintaining the stability of the provenance information. This function: + +- supports backward tracing for provenance information history; +- executes the provenance operation when the dataset deletion occurs. +NOTE – The provenance operation includes the 'keep', 'delete', and 'combine' operations for the provenance unit. The detailed operations are described in clause 7.3 of [ITU-T Y.3602]. + +### 7.2.4 Provenance information policy management + +The provenance information policy management function (PIPM-F) manages the policies for sharing and monitoring provenance information. This function: + +- establishes the PII policy, provenance information monitoring policy, and provenance information sharing policy; +- manages the registry to save the profiles of the provenance information policies; +- supplies the capabilities for adjusting policies for big data system users; +NOTE – Big data system administrators can design appropriate policies for each specific purpose of data analysis. +- transmits the provenance information sharing policy to the provenance information transformation function; +- transmits the PII and monitoring policies to the provenance information monitor function. + +## 7.3 Big data analytics support + +The big data analytics support functions include: + +- workflow map building (see clause 7.3.1); + +- workflow management (see clause 7.3.2); +- workflow explorer (see clause 7.3.3). + +NOTE 1 – The requirements for workflow are described in [ITU-T Y.3602]. The workflow depicts the actual sequence of the data processes in the data. + +NOTE 2 – The big data analytics support functions support building, managing, and exploring the workflow to help the big data system user. + +### 7.3.1 Workflow map building + +The workflow map building function (WMB-F) generates the workflow map. This function: + +- composites the workflows into a workflow map in the form of a graph; +- combines the data processes produced from multiple different system configurations; +- lists up the provenance information entities by comparing workflows and removing duplicated common information; +- manages the workflows into an integrated graph. + +### 7.3.2 Workflow management + +The workflow management function (WM-F) supports big data systems to register workflows and handle workflow annotations. This function: + +- maintains the resources for storing the workflow; + - prepares the registry for annotating at the workflow; +- NOTE 1 – Big data system users can make a note or remark for the observations of workflow. +- supports the capability of writing free-text annotations and documentation; + - executes the specific workflow based on the user's request; + - offers the parameters and policies for exploring workflow maps; + - counts the usage frequency of data processes for finding frequently used data process and its usage patterns; +- NOTE 2 – The usage frequency of workflow is used for recommendation of useful or best-matched workflow for data analysis. +- measures the majority of the usage of data processes; + - performs to reproduce the workflows and recommends the workflow through a recommendation algorithm designed for data analysis. + +### 7.3.3 Workflow explorer + +The workflow explorer function (WE-F) allows a big data system user to share and transform workflow. This function: + +- executes the encapsulation of data processes into user-defined data processes; + - transforms the provenance workflow into an interchanging format (encoding / decoding); +- NOTE 1 – Checking the syntax errors in the provenance information and workflow. +- NOTE 2 – Reporting the errors to big data system users when the syntax errors are found. +- maps the equivalent data processes among different data analysis tools; + - finds the combinations of existing data processes by comparing the information of process steps; +- NOTE 3 – The information on process steps includes the name of the data process, the format and structure of input and output data of this data process, the frequency of the data process, and the relationship among them. +- visualizes the workflow graph into supporting image format; + +- offers retrieval parameters for searching specific workflows; +NOTE 4 – Workflow retrieval parameters could be combinations of input / output data types, or formats, data process, usage frequency, etc. +- measures the frequency of retrieval values. +NOTE 5 – The measurement of the frequency of retrieval values can be used for a quick response when the retrieval is requested. + +## **7.4 Big data system connection** + +The big data system connection support functions include: + +- Big data system interface (see clause 7.4.1); +- User interface for analytic support (see clause 7.4.2). + +NOTE – The big data system connection functions utilize the functional component of access control in [ITU-T Y.3605]. + +### **7.4.1 Big data system interface** + +The big data system interface function (BDSI-F) provides the capabilities to access the big data system and connect with external big data systems. This function: + +- configures the provenance lifecycle with user's preferences; +- monitors the data in the big data system for data provenance; +- maintains the connection with the external big data systems. + +NOTE – The connection supports the exchange of workflow data and the provenance information among the big data systems. + +### **7.4.2 User interface for analytic support** + +The user interface for the analytic support function provides the user interface for utilizing the workflow and the provenance information. This function: + +- provides the user interface for analysing the workflow with the provenance information; +- supports the capability to make the annotations for the workflow; +NOTE – The annotations for workflow are utilized for the purpose of future analysis by providing information such as the sharing objectives of the workflow. +- collects the provenance information when the user request occurs. + +# **8 BDP functional architecture** + +Figure 8-1 shows the BDP functional architecture. + +![Figure 8-1 – BDP functional architecture. This block diagram illustrates the functional architecture of the Big Data Provenance (BDP). It is organized into four major functional sets (FS): BDSC-FS (Big Data System Connection), PUP-FS (Provenance Unit Processing), PIP-FS (Provenance Information Processing), and BDAS-FS (Big Data Analytics Support). BDSC-FS contains BDSI-F and UIAS-F. PUP-FS contains PUE-F, PUM-F, and PUV-F. PIP-FS contains PIC-F, PIT-F, PIM-F, and PIPM-F. BDAS-FS contains WE-F, WMB-F, and WM-F. Numerous labeled interfaces (I_ prefix) connect these blocks both within and across the functional sets, such as I_BDSI_PUE connecting BDSI-F to PUE-F, and I_PUV_PIC connecting PUV-F to PIC-F.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Y.3607(23) + +Figure 8-1 – BDP functional architecture. This block diagram illustrates the functional architecture of the Big Data Provenance (BDP). It is organized into four major functional sets (FS): BDSC-FS (Big Data System Connection), PUP-FS (Provenance Unit Processing), PIP-FS (Provenance Information Processing), and BDAS-FS (Big Data Analytics Support). BDSC-FS contains BDSI-F and UIAS-F. PUP-FS contains PUE-F, PUM-F, and PUV-F. PIP-FS contains PIC-F, PIT-F, PIM-F, and PIPM-F. BDAS-FS contains WE-F, WMB-F, and WM-F. Numerous labeled interfaces (I\_ prefix) connect these blocks both within and across the functional sets, such as I\_BDSI\_PUE connecting BDSI-F to PUE-F, and I\_PUV\_PIC connecting PUV-F to PIC-F. + +**Figure 8-1 – BDP functional architecture** + +## 8.1 Provenance unit processing functions + +![Figure 8-2 – PUP-FS and related reference points. This diagram focuses on the PUP-FS (Provenance Unit Processing Functional Set) and its immediate neighbors. PUP-FS is shown in the center containing PUE-F (Extraction), PUM-F (Management), and PUV-F (Validator). It shows interfaces to BDSC-FS (specifically BDSI-F), PIP-FS (specifically PIC-F), and BDAS-FS (specifically WMB-F and PUV_WMB). Internal interfaces within PUP-FS include I_PUE_PUM, I_PUE_PUV, and I_PUM_PUV.](a33da0f14e456f92539ce3e9b7d81f9a_img.jpg) + +Y.3607(23) + +Figure 8-2 – PUP-FS and related reference points. This diagram focuses on the PUP-FS (Provenance Unit Processing Functional Set) and its immediate neighbors. PUP-FS is shown in the center containing PUE-F (Extraction), PUM-F (Management), and PUV-F (Validator). It shows interfaces to BDSC-FS (specifically BDSI-F), PIP-FS (specifically PIC-F), and BDAS-FS (specifically WMB-F and PUV\_WMB). Internal interfaces within PUP-FS include I\_PUE\_PUM, I\_PUE\_PUV, and I\_PUM\_PUV. + +**Figure 8-2 – PUP-FS and related reference points** + +The provenance unit processing functions (PUP-FS) have three functions including the provenance unit extraction function (PUE-F), provenance unit validator function (PUV-F), and provenance unit management function (PUM-F) as shown in Figure 8-2. The PUP-FS interfaces with the big data system connection functions (BDSC-FS), provenance information processing functions (PIP-FS), and big data analytics support functions (BDAS-FS). + +### 8.1.1 Provenance unit extraction function + +The PUE-F monitors the big data system and gathers the information for the provenance unit through the I\_BDSI\_PUE. The PUE-F connects the PUV-F for sending the extracted provenance units through the I\_PUE\_PUV. The configurations for provenance units are set up from PUM-F through the I\_PUE\_PUM. + +### 8.1.2 Provenance unit validator function + +The PUV-F manages the PII by following the policy configured by the PUM-F through the I\_PUM\_PUV. The valid provenance units are transferred to the provenance information composition function (PIC-F) through the I\_PUV\_PIC. PUV-F sends the dataset information in provenance units to the WMB-F through the I\_PUV\_WMB. + +### 8.1.3 Provenance unit management function + +The PUM-F configures the policy for PII and the provenance unit lifecycle. These policies are applied to the PUE-F and PUV-F through the I\_PUE\_PUM and I\_PUM\_PUV separately. + +## 8.2 Provenance information processing functions + +![Figure 8-3: PIP-FS and related reference points. The diagram shows the architecture of the Provenance Information Processing Functions (PIP-FS) and its interfaces with other systems.](bffdddb47fced140f8d17fdc2a29f592_img.jpg) + +The diagram illustrates the Provenance Information Processing Functions (PIP-FS) and its related reference points. It is organized into three main functional areas: + +- PUP-FS (Provenance Unit Processing Functions):** Contains the **PUV-F** (Provenance Unit Validator Function). +- PIP-FS (Provenance Information Processing Functions):** Contains four sub-functions: + - PIC-F** (Provenance Information Composition Function): Receives data from PUV-F via the **I\_PUV\_PIC** interface. + - PIT-F** (Provenance Information Transformation Function): Receives data from PIC-F via the **I\_PIC\_PIT** interface. + - PIM-F** (Provenance Information Monitor Function): Receives data from PIT-F via the **I\_PIT\_PIM** interface. + - PIPM-F** (Provenance Information Policy Management Function): Receives data from PIT-F via the **I\_PIT\_PIPM** interface and from PIM-F via the **I\_PIPM\_PIM** interface. +- BDSC-FS (Big Data System Connection Functions):** Contains the **UIAS-F** (User Interface and Access Service Function). It interfaces with PIT-F via the **I\_UIAS\_PIT** interface. + +Reference points (interfaces) are labeled as follows: + +- I\_PUV\_PIC**: Between PUV-F and PIC-F. +- I\_PIC\_PIT**: Between PIC-F and PIT-F. +- I\_PIT\_PIM**: Between PIT-F and PIM-F. +- I\_PIT\_PIPM**: Between PIT-F and PIPM-F. +- I\_PIPM\_PIM**: Between PIPM-F and PIM-F. +- I\_UIAS\_PIT**: Between UIAS-F and PIT-F. + +Y.3607(23) + +Figure 8-3: PIP-FS and related reference points. The diagram shows the architecture of the Provenance Information Processing Functions (PIP-FS) and its interfaces with other systems. + +**Figure 8-3 – PIP-FS and related reference points** + +The provenance information processing functions (PIP-FS) have four functions including the provenance information composition function (PIC-F), provenance information transformation function (PIT-F), provenance information monitor function (PIM-F), and provenance information policy management function (PIPM-F) as shown in Figure 8-3. The PIP-FS interfaces with the provenance unit processing functions (PUP-FS) and the big data system connection functions (BDSC-FS). + +### 8.2.1 Provenance information composition function + +The PIC-F collects the provenance units from the PUV-F through the I\_PUV\_PIC to combine the provenance information. The PIC-F stores the combined provenance information in the registry for provenance information and sends it to the PIT-F through the I\_PIC\_PIT. + +### 8.2.2 Provenance information transformation function + +The PIT-F encodes and decodes the provenance information by following the provenance policy of the PIPM-F. The provenance policy is configured through the I\_PIT\_PIPM. The PIT-F corrects the error inside the provenance information with the monitoring information from the PIM-F through I\_PIT\_PIM. The PIT-F exports the provenance information when the user request occurs from the user interface for analytic support function (UIAS-F) through the I\_UIAS\_PIT. + +### 8.2.3 Provenance information monitor function + +The PIM-F monitors the provenance information through the I\_PIT\_PIM. The PIM-F sends the invalid information to the PIT-F. The monitoring policy is configured by PIPM-F through the I\_PIPM\_PIM. + +### 8.2.4 Provenance information policy management function + +The PIPM-F applies the provenance sharing and monitoring policy to the PIT-F and PIM-F. The reference points of I\_PIT\_PIPM and the I\_PIPM\_PIM are used to configure these policies. + +## 8.3 Big data analytics support functions + +![Figure 8-4: BDAS-FS and related reference points. The diagram shows three main functional blocks: PUP-FS, BDSC-FS, and BDAS-FS. PUP-FS contains PUV-F. BDSC-FS contains BDSI-F and UIAS-F. BDAS-FS contains WE-F, WM-F, and WMB-F. Interconnections are as follows: PUV-F connects to WMB-F via I_PUV_WMB. BDSI-F connects to WE-F via I_BDSI_WE. UIAS-F connects to WM-F via I_UIAS_WM. WE-F connects to WM-F via I_WE_WM. WM-F connects to WMB-F via I_WM_WMB. A reference point Y.3607(23) is indicated at the bottom right of the BDAS-FS block.](cb4cfa42ce34febde7bdb882f3fc3094_img.jpg) + +``` +graph TD + subgraph PUP_FS [PUP-FS] + PUV_F[PUV-F] + end + subgraph BDSC_FS [BDSC-FS] + BDSI_F[BDSI-F] + UIAS_F[UIAS-F] + end + subgraph BDAS_FS [BDAS-FS] + WE_F[WE-F] + WM_F[WM-F] + WMB_F[WMB-F] + end + PUV_F -- I_PUV_WMB --> WMB_F + BDSI_F -- I_BDSI_WE --> WE_F + UIAS_F -- I_UIAS_WM --> WM_F + WE_F -- I_WE_WM --> WM_F + WM_F -- I_WM_WMB --> WMB_F + Y360723[Y.3607(23)] +``` + +Figure 8-4: BDAS-FS and related reference points. The diagram shows three main functional blocks: PUP-FS, BDSC-FS, and BDAS-FS. PUP-FS contains PUV-F. BDSC-FS contains BDSI-F and UIAS-F. BDAS-FS contains WE-F, WM-F, and WMB-F. Interconnections are as follows: PUV-F connects to WMB-F via I\_PUV\_WMB. BDSI-F connects to WE-F via I\_BDSI\_WE. UIAS-F connects to WM-F via I\_UIAS\_WM. WE-F connects to WM-F via I\_WE\_WM. WM-F connects to WMB-F via I\_WM\_WMB. A reference point Y.3607(23) is indicated at the bottom right of the BDAS-FS block. + +**Figure 8-4 – BDAS-FS and related reference points** + +The big data analytics support functions (BDAS-FS) have three functions including workflow explorer function (WE-F), workflow management function (WM-F), and workflow map building function (WMB-F) as shown in Figure 8-4. The BDAS-FS interfaces with the provenance unit management functions (PUP-FS) and big data system connection functions (BDSC-FS). + +### 8.3.1 Workflow map building function + +The WMB-F builds the workflow map by collecting the dataset information from the PUV-F through the I\_PUV\_WMB. The WMB-F sends the built workflow mapping table to the WM-F through the I\_WM\_WMB. + +### 8.3.2 Workflow management function + +The WM-F sets the registry to store the workflow from the WMB-F and WE-F. The WM-F supports big data system users to analyse information from the workflow map. The WM-F sends the information to the UIAS-F for supporting big data analysis. The WM-F provides the functionality to annotate the analysis information for the workflow through the I\_UIAS\_WM. + +### 8.3.3 Workflow explorer function + +The WE-F provides the parameter for retrieving provenance information to the big data system interface function (BDSI-F) through the I\_BDSI\_WE. The WE-F exchanges the workflow map with the WM-F through the I\_WE\_WM. + +## 8.4 Big data system connection functions + +![Figure 8-5: BDSC-FS and related reference points. The diagram shows the BDSC-FS block containing BDSI-F and UIAS-F. BDSI-F connects to PUE-F, PUM-F, and PIT-F via I_BDSI_PUE, I_BDSI_PUM, and I_BDSI_WE respectively. UIAS-F connects to WE-F and WM-F via I_UIAS_PIT and I_UIAS_WM respectively. The right side shows PUP-FS, PIP-FS, and BDAS-FS blocks containing PUE-F, PUM-F, PIT-F, WE-F, and WM-F respectively. A reference point Y.3607(23) is indicated at the bottom right.](8307f6b04df072c9332f9987e034272c_img.jpg) + +``` +graph LR + subgraph BDSC_FS [BDSC-FS] + BDSI_F[BDSI-F] + UIAS_F[UIAS-F] + end + subgraph PUP_FS [PUP-FS] + PUE_F[PUE-F] + PUM_F[PUM-F] + end + subgraph PIP_FS [PIP-FS] + PIT_F[PIT-F] + end + subgraph BDAS_FS [BDAS-FS] + WE_F[WE-F] + WM_F[WM-F] + end + BDSI_F -- I_BDSI_PUE --> PUE_F + BDSI_F -- I_BDSI_PUM --> PUM_F + BDSI_F -- I_BDSI_WE --> WE_F + UIAS_F -- I_UIAS_PIT --> PIT_F + UIAS_F -- I_UIAS_WM --> WM_F +``` + +Figure 8-5: BDSC-FS and related reference points. The diagram shows the BDSC-FS block containing BDSI-F and UIAS-F. BDSI-F connects to PUE-F, PUM-F, and PIT-F via I\_BDSI\_PUE, I\_BDSI\_PUM, and I\_BDSI\_WE respectively. UIAS-F connects to WE-F and WM-F via I\_UIAS\_PIT and I\_UIAS\_WM respectively. The right side shows PUP-FS, PIP-FS, and BDAS-FS blocks containing PUE-F, PUM-F, PIT-F, WE-F, and WM-F respectively. A reference point Y.3607(23) is indicated at the bottom right. + +**Figure 8-5 – BDSC-FS and related reference points** + +The big data system connection functions (BDSC-FS) have two functions including the big data system interface function (BDSI-F) and the user interface for analytic support function (UIAS-F) as shown in Figure 8-5. The BDSC-FS interfaces with the provenance unit processing functions (PUP-FS), provenance information processing functions (PIP-FS), and big data analytics support functions (BDAS-FS). + +### 8.4.1 Big data system interface function + +The BDSI-F supports the interface for executing the provenance functions to the PUP-FS, the PIP-FS, and the BDAS-FS. The BDSI-F has three reference points the I\_BDSI\_PUE, the I\_BDSI\_PUM, and the I\_BDSI\_WE to provide the big data system connection. + +### 8.4.2 User interface for analytic support function + +The UIAS-F provides the user interface to utilize the analysis support. For this function, the two reference points which are the I\_UIAS\_PIT and I\_UIAS\_WM are supported by the PIT-F and WM-F. + +# 9 Reference points + +This clause describes the reference points among BDP functions. + +## 9.1 Reference points between PUP-FS and BDSC-FS + +The reference points between PUP-FS and BDSC-FS are as follows: + +- I\_BDSI\_PUE reference point between BDSI-F and PUE-F. The BDSI-F sends the metadata for provenance information to the PUE-F through this reference point. +- I\_BDSI\_PUM reference point between BDSI-F and PUM-F. The BDSI-F sends the provenance unit policy to the PUM-F through this reference point. + +## 9.2 Reference point between PUP-FS and PIP-FS + +The reference point between PUP-FS and PIP-FS is as follows: + +I\_PUV\_PIC reference point between PUV-F and PIC-F. The PUV-F sends the valid provenance unit by PUV-F to PIC-F through this reference point. + +## 9.3 Reference point between PUP-FS and BDAS-FS + +The reference point between PUP-FS and BDAS-FS is as follows: + +I\_PUV\_WMB reference point between PUV-F and WMB-F. The PUV-F sends the dataset information inside the provenance unit to the WMB-F through this reference point. + +## 9.4 Reference point between PIP-FS and BDSC-FS + +The reference point between PIP-FS and BDSC-FS is as follows: + +I\_UIAS\_PIT reference point between UIAS-F and PIT-F. The PIT-F sends the exported and encoded provenance information to the UIAS-F through this reference point. + +## 9.5 Reference points between BDAS-FS and BDSC-FS + +The reference points between BDAS-FS and BDSC-FS are as follows: + +I\_BDSI\_WE reference point between BDSI-F and WE-F. The WE-F sends the workflow data to the BDSI-F through this reference point. + +I\_UIAS\_WM reference point between UIAS-F and WM-F. The WM-F sends the requested workflow to the UIAS-F and receives the user's annotation gathered by the UIAS-F through this reference point. + +## 9.6 Reference points within PUP-FS + +The reference points within PUP-FS are as follows: + +I\_PUE\_PUV reference point between PUE-F and PUV-F. The PUE-F sends the extracted provenance unit to the PUV-F through this reference point. + +I\_PUE\_PUM reference point between PUE-F and PUM-F. The PUM-F sends the configuration of the provenance unit to the PUE-F through this reference point. + +I\_PUM\_PUV reference point between PUM-F and PUV-F. The PUM-F sends the PII policy to the PUV-F through this reference point. + +## 9.7 Reference points within PIP-FS + +The reference points within PIP-FS are as follows: + +I\_PIC\_PIT reference point between PIC-F and PIT-F. The PIC-F sends the composed provenance information to the PIT-F through this reference point. + +I\_PIT\_PIM reference point between PIT-F and PIM-F. The PIM-F monitors the transformed provenance information in the PIT-F through this reference point. + +I\_PIT\_PIPM reference point between PIT-F and PIPM-F. The provenance sharing policy is configured by PIPM-F through this reference point. + +I\_PIPM\_PIM reference point between PIPM-F and PIM-F. The provenance monitoring policy is configured by PIPM-F through this reference point. + +## 9.8 Reference points within BDAS-FS + +The reference points within BDAS-FS are as follows: + +I\_WE\_WM reference point between WE-F and WM-F. The workflow map is exchanged through this reference point. + +I\_WM\_WMB reference point between WM-F and WMB-F. The data for the workflow mapping table is registered through this reference point. + +# **10 Security considerations** + +Security considerations within the big data system are addressed in [b-ITU-T X.1750], [b-ITU-T X.1751] and [b-ITU-T X.1752]. [b-ITU-T X.1750] and [b-ITU-T X.1751] describe the threats and challenges for security in the big data system. [b-ITU-T X.1751] analyses security vulnerabilities and guidelines of big data lifecycle management and includes the security aspects in data collection, data transmission, data storage, data usage, data sharing and data destruction. + +Security requirements for personally identifiable information (PII) management are addressed in [b-ITU-T X.1058]. [b-ITU-T X.1058] provides the implementation guidance for the protection of PII and other information for the protection of PII such as selecting PII controls, developing organization specific guidelines, and the lifecycle of PII. + +# Appendix I + +## Relationships among BDP functional requirements, BDP logical components, and BDP functions + +(This appendix does not form an integral part of this Recommendation.) + +**Table I.1 – Relationships among big data provenance (BDP) functional requirements, BDP logical components, and BDP functions in this Recommendation** + +| BDP functional requirements
in [ITU-T Y.3602] | | Related BDP
logical components
in [ITU-T Y.3602] | BDP functions in this
Recommendation | +|-------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Provenance
lifecycle
requirements
(Clause 8.1) | (Provenance model description)
It is required that big data service provider (BDSP) supports the model for big data provenance information;
NOTE 1 – Big data provenance information model includes function name and its uses, computational environment, data type and format of input and output data, input parameters, responsible party information, etc.
NOTE 2 – Examples of computational environment information are operating system (OS), hardware (H/W) description, locale settings, time zone, etc. | Provenance model management | Provenance unit extraction (clause 7.1.1),
Provenance unit validator (clause 7.1.2),
Provenance information policy management (clause 7.2.4) | +| | (Common format for exchange)
It is recommended that BDSP supports encoding and decoding a provenance information in a common format for use on different systems;
NOTE 3 – In this Recommendation, the meaning of encoding is the process of converting provenance information into a specialised format.
Decoding is the opposite process. | Provenance model management | Provenance information composition (clause 7.2.1),
Provenance information transformation (clause 7.2.2),
Provenance information monitor (clause 7.2.3) | +| | (Provenance recording initiation)
It is required that BDSP records the provenance unit when data is stored;
NOTE 4 – The information contained in the metadata (from data provider (DP):data broker (DB) or generated by BDSP) can be used for recording the provenance unit. | Provenance sharing policy management | Provenance unit extraction (clause 7.1.1),
Provenance unit management (clause 7.1.3) | + +**Table I.1 – Relationships among big data provenance (BDP) functional requirements, BDP logical components, and BDP functions in this Recommendation** + +| BDP functional requirements in [ITU-T Y.3602] | | Related BDP logical components in [ITU-T Y.3602] | BDP functions in this Recommendation | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| | (Storing provenance unit)
It is required that BDSP supports a cost-efficient storing mechanism for provenance units;
NOTE 5 – In case of recording provenance information of streaming data, for efficient storage usage, it is needed to designate a predetermined period of time to record provenance unit, rather than recording it every time data is stored. Data compression techniques can also be considered. | Provenance life-cycle management | Provenance unit extraction (clause 7.1.1), Provenance unit validator (clause 7.1.2), Provenance unit management (clause 7.1.3) | +| | (Storing provenance information) BDSP can optionally support pre-storing provenance information prior to the request time to reduce retrieval time. | Provenance lifecycle management | Provenance information composition (clause 7.2.1), Provenance information transformation (clause 7.2.2), Provenance information policy management (clause 7.2.4) | +| | (Searching provenance unit)
It is required that BDSP supports searching a provenance unit. | Provenance lifecycle management | Provenance unit management (clause 7.1.3) | +| | (Combining provenance units)
It is required that BDSP supports the combining of provenance units;
NOTE 6 – In case of deleting data, a provenance unit is needed to combine (see clause 7.3.2). | Provenance lifecycle management | Provenance unit validator (clause 7.1.2), Provenance unit management (clause 7.1.3) | +| | (Retrieving provenance information) It is required that BDSP supports the provenance unit aggregation to retrieve a provenance information. | Provenance life-cycle management | Provenance information monitor (clause 7.2.3), Provenance information policy management (clause 7.2.4) | + +**Table I.1 – Relationships among big data provenance (BDP) functional requirements, BDP logical components, and BDP functions in this Recommendation** + +| BDP functional requirements
in [ITU-T Y.3602] | | Related BDP
logical components
in [ITU-T Y.3602] | BDP functions in this
Recommendation | +|--------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-------------------------------------------------------------------------------------| +| |

(Deleting provenance unit) It is required that BDSP provides a provenance unit deletion mechanism;

NOTE 7 – In case of deleting data, BDSP acts with three mechanisms on the provenance unit (keep, combine and delete) based on the context (see clause 7.3.2).

NOTE 8 – The BDSP can maintain the associated provenance unit even if the data are deleted, which is subject to management policy.

| Provenance lifecycle management | Provenance unit validator (clause 7.1.2), Provenance unit management (clause 7.1.3) | +| Analysis support requirements
(Clause 8.2) |

(Extracting workflow) It is required that BDSP provides the extraction of workflow information from a provenance information.

| Analysis support | Workflow map building (clause 7.3.1), Workflow explorer (clause 7.3.3) | +| |

(Storing workflow) It is recommended that BDSP supports storing workflow;

NOTE 1 – The workflow is stored in forms of a graph, which is organized with the usage frequency of the analysis functions and the sequential relationship among them.

| Analysis support | Workflow map building (clause 7.3.1), Workflow management (clause 7.3.2) | +| |

(Retrieving workflow) It is recommended that BDSP supports workflow retrieval.

| Analysis support | Workflow explorer (clause 7.3.3) | +| |

(Providing data list on function) It is recommended that BDSP provides a list of data related to a given function recorded in a given workflow.

| Analysis support | Workflow explorer (clause 7.3.3) | +| |

(Providing function list on data) It is recommended that BDSP provides a list of functions related to a given data recorded in a given workflow.

| Analysis support | Workflow map building (clause 7.3.1), Workflow explorer (clause 7.3.3) | + +**Table I.1 – Relationships among big data provenance (BDP) functional requirements, BDP logical components, and BDP functions in this Recommendation** + +| BDP functional requirements in [ITU-T Y.3602] | | Related BDP logical components in [ITU-T Y.3602] | BDP functions in this Recommendation | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------| +| | (Data analysis automation) It is recommended that BDSP supports analysis automation based on workflow. | Analysis support, monitoring | Workflow map building (clause 7.3.1), Workflow management (clause 7.3.2), Big data system interface (clause 7.4.1) | +| | (User annotation) BDSP can optionally support annotation on provenance information. | Analysis support | Workflow management (clause 7.3.2), User interface for analytic support (clause 7.4.2) | +| | (Equivalent function for process steps) It is recommended that BDSP provides an equivalent function mapping for reusing provenance information coming from a different system;
NOTE 2 – For the equivalent function mapping, the name of the function, the format and structure of input and output data of this function, the frequency of the analysis functions, and the relationship among them can be used.
NOTE 3 – The results of the equivalent function mapping can be the same function with different names or a combination of functions that provide the same output. | Analysis support | Workflow map building (clause 7.3.1), Workflow management (clause 7.3.2) | +| | (Adaptability of computational environment) It is recommended that BDSP provides diagnose computational environment to reuse the provenance information which came from a different system. | Analysis support | Provenance unit extraction (clause 7.1.1), Provenance information composition (clause 7.2.1), Big data system interface (clause 7.4.1) | + +**Table I.1 – Relationships among big data provenance (BDP) functional requirements, BDP logical components, and BDP functions in this Recommendation** + +| BDP functional requirements
in [ITU-T Y.3602] | | Related BDP
logical components
in [ITU-T Y.3602] | BDP functions in this
Recommendation | +|------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------------------------------------------------------------------------------------------------------------| +| Monitoring
requirements
(Clause 8.3) | (Monitoring computational environment) It is required that BDSP monitors the change in the computational environment. | Monitoring | Provenance unit extraction (clause 7.1.1) | +| | (Monitoring responsible party) It is required that BDSP monitors the change of responsible party. | Monitoring | Provenance unit extraction (clause 7.1.1) | +| | (Applying the monitoring result) It is required that BDSP reflects the monitoring results to the recorded provenance unit;
NOTE – The monitoring results include the change of the computational environment and the responsible party. | Monitoring | Provenance unit extraction (clause 7.1.1),
Big data system interface (clause 7.4.1) | +| Policy
management
requirements
(Clause 8.4) | (Verifying PII) It is required that BDSP provides verifying PII in a data instance when recording a provenance unit;
NOTE 1 – Verification of PII follows BDSP's policy on PII.
NOTE 2 – In a provenance unit, data instance information (BD_DataInstance) includes information about whether PII is contained or not (see clause 7.2). | Personally identifiable information (PII) management | Provenance unit validator (clause 7.1.2),
Provenance information policy management (clause 7.2.4) | +| | (Protecting PII) It is required that BDSP provides a protection mechanism for a PII in data;
NOTE 3 – When a PII is included in the data sources, BDSP decides to omit it or not based on the user's access authority. | Personally identifiable information (PII) management | Provenance unit validator (clause 7.1.2),
Provenance information policy management (clause 7.2.4) | +| | (Simplifying provenance information) It is recommended that BDSP supports simplifying the provenance information based on a sharing policy;
NOTE 4 – Methods of provenance information simplification include multiple levels of detail and encoding formats, etc. | Provenance sharing policy management | Provenance information transformation (clause 7.2.2),
Provenance information policy management (clause 7.2.4) | + +**Table I.1 – Relationships among big data provenance (BDP) functional requirements, BDP logical components, and BDP functions in this Recommendation** + +| BDP functional requirements
in [ITU-T Y.3602] | | Related BDP
logical components
in [ITU-T Y.3602] | BDP functions in this
Recommendation | +|--------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|----------------------------------------------------------| +| |

(Sharing level of provenance) It is required that BDSP supports sharing policy according to the different levels of provenance; NOTE 5 – The provenance level decides the traceability of data, and it is determined by the sharing policy. Provenance information contains process steps with the applied functions, intermediate data, and responsible party information. For the transfer of provenance information, the provenance information can be simplified according to the sharing policy.

| Provenance sharing policy management | Provenance information policy management (clause 7.2.4.) | + +# Appendix II + +## The overall relationships among BDP functions + +(This appendix does not form an integral part of this Recommendation.) + +Appendix II depicts the overall relationships among the BDP functions which are described in clauses 7.1 through 7.4. + +![Figure II.1 – Relationships among BDP functions. This diagram illustrates the interactions between four main functional areas: Provenance unit processing functions, Provenance information processing functions, Big data system connection functions, and Big data analytics support functions. Each area contains specific sub-functions with defined data flows.](58f4167687de8d7339594e5f6fbe0bc6_img.jpg) + +The diagram illustrates the relationships among four main functional areas, each containing specific sub-functions and their interactions: + +- Provenance unit processing functions (Yellow boxes):** + - Provenance unit extraction:** Receives "Metadata for provenance information" and "Provenance unit configuration" from Provenance unit management. It outputs an "Extracted provenance unit" to Provenance unit validation. + - Provenance unit management:** Receives "Provenance unit policy" and outputs "PII policy" to Provenance unit validation. + - Provenance unit validator:** Receives the "Extracted provenance unit" and "PII policy". It outputs a "Valid provenance unit" to Provenance information composition. +- Provenance information processing functions (Orange boxes):** + - Provenance information composition:** Receives the "Valid provenance unit" and outputs "Composed provenance information" to Provenance information transformation. + - Provenance information transformation:** Receives "Composed provenance information" and outputs "Provenance information" to the Big data system connection functions. It also receives "Monitoring" from Provenance information monitor and "Provenance sharing policy" from Provenance information policy management. + - Provenance information monitor:** Outputs "Monitoring" to Provenance information transformation and receives "Provenance monitoring policy" from Provenance information policy management. + - Provenance information policy management:** Outputs "Provenance sharing policy" to Provenance information transformation and "Provenance monitoring policy" to Provenance information monitor. +- Big data system connection functions (Blue boxes):** + - Big data system interface:** Receives "Provenance information" from Provenance information transformation and outputs "Data processes" to Workflow explorer. + - User interface for analytic support:** Receives "Provenance information" from Provenance information transformation and outputs "User's annotation" to Workflow management. +- Big data analytics support functions (Green boxes):** + - Workflow explorer:** Receives "Data processes" and outputs a "Workflow map" to Workflow management. + - Workflow management:** Receives "User's annotation" and the "Workflow map". It outputs a "Workflow" to the Big data system connection functions and a "Workflow mapping table" to Workflow map building. + - Workflow map building:** Receives "Dataset information" and the "Workflow mapping table" to output a "Workflow map" to Workflow management. + +**Legend:** + +- Provenance unit processing functions (Yellow) +- Provenance information processing functions (Orange) +- Big data system connection functions (Blue) +- Big data analytics support functions (Green) + +Y.3607(23) + +Figure II.1 – Relationships among BDP functions. This diagram illustrates the interactions between four main functional areas: Provenance unit processing functions, Provenance information processing functions, Big data system connection functions, and Big data analytics support functions. Each area contains specific sub-functions with defined data flows. + +Figure II.1 – Relationships among BDP functions + +# Appendix III + +## Relationships between the BDP functions and functional components of big data architecture in [ITU-T Y.3605] + +(This appendix does not form an integral part of this Recommendation.) + +Appendix III shows the mapping between the BDP functions in clause 7 and the functional components in [ITU-T Y.3605]. + +![Diagram showing the mapping between BDP functions and functional components of big data architecture. The diagram is organized into layers and functional categories.](e90987faabad6a6665cd8ed1151dc474_img.jpg) + +The diagram illustrates the mapping between BDP functions and functional components of big data architecture, organized into layers and functional categories. + +**Layers:** + +- Access layer:** Contains **Access control** (Big data system interface, User interface for analytic support). +- Application layer:** Contains **Analysis** (Workflow map building) and **Visualization**. +- Processing layer:** Contains **Aggregation**, **Cleaning**, **Extract, transform and load**, **Provenance unit extraction**, **Provenance unit validator**, **Provenance information composition**, and **Provenance information transformation**. +- Data source layer:** Contains **Data collection** and **Data storage**. + +**Multi-layer functions:** + +- Analysis supporting systems:** Data catalogue, Workflow management (Workflow management, Workflow explorer), Monitoring and reporting (Provenance information monitor). +- Data life-cycle management:** Data provenance management (Provenance unit management), Data licence management, Data preservation management. +- Security:** Privacy management, Authorization management, Authentication management, Provenance information policy management. + +**Functional components in ITU-T Y.3605:** + +- Functional component in ITU-T Y.3605 +- Provenance unit processing functions +- Provenance information processing functions +- Big data system connection functions +- Big data analytics support functions + +Y.3607(23) + +Diagram showing the mapping between BDP functions and functional components of big data architecture. The diagram is organized into layers and functional categories. + +**Figure III.1 – Mapping between BDP functions and functional components of big data reference architecture** + +# Bibliography + +- [b-ITU-T X.1058] Recommendation ITU-T X.1058 (2017), *Information technology – Security techniques – Code of practice for personally identifiable information protection*. +- [b-ITU-T X.1255] Recommendation ITU-T X.1255 (2013), *Framework for discovery of identity management information*. +- [b-ITU-T X.1750] Recommendation ITU-T X.1750 (2020), *Guidelines on security of big data as a service for big data service providers*. +- [b-ITU-T X.1751] Recommendation ITU-T X.1751 (2020), *Security guidelines for big data lifecycle management by telecommunication operators*. +- [b-ITU-T X.1752] Recommendation ITU-T X.1752 (2022), *Security guidelines for big data infrastructure and platform*. +- [b-ITU-T Y.3600] Recommendation ITU-T Y.3600 (2015), *Big data – Cloud computing based requirements and capabilities*. +- [b-ISO/IEC 26550] ISO/IEC 26550:2015, *Software and systems engineering – Reference model for product line engineering and management*. +<> + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3608-202512-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3608-202512-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..60fdb899456daa2b3472a79cdb745d894b1acd4c --- /dev/null +++ b/marked/Y/T-REC-Y.3608-202512-I_PDF-E/raw.md @@ -0,0 +1,371 @@ + + +# Recommendation + +## ITU-T Y.3608 (12/2025) + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Big Data + +--- + +**Requirements and framework for the exploitation of big data/artificial intelligence technologies in developing countries** + +## ITU-T Y-SERIES RECOMMENDATIONS + +### Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3608 + +# Requirements and framework for the exploitation of big data/artificial intelligence technologies in developing countries + +## Summary + +Recommendation ITU-T Y.3608 presents the rationale for the exploitation of big data and artificial intelligence technologies in developing countries. It proposes a reference architecture from the perspective of adopting these technologies and indicates requirements to guide decision-making in some use cases in which these technologies are applied in developing countries. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3608 | 2025-12-14 | 13 | 11.1002/1000/16623 | + +## Keywords + +Artificial Intelligence, big data, developing countries, economic sectors. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2026 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------------------------------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Leveraging big data technology and artificial intelligence in developing countries .... | 2 | +| 7 Reference architecture of an operating model of big data technology coupled with artificial intelligence for developing countries ..... | 3 | +| 8 Functional requirements and entities of an operating model of big data technology coupled with artificial intelligence for developing countries ..... | 4 | +| 9 Requirements and recommendations for exploiting big data technology coupled with artificial intelligence for developing countries..... | 6 | +| 9.1 Requirements and recommendations for data providers ..... | 6 | +| 9.2 Requirements and recommendations for data brokers ..... | 6 | +| 9.3 Requirements and recommendations for IT operations..... | 7 | +| 9.4 General requirements and recommendations for developing countries ..... | 7 | +| 10 Security considerations ..... | 7 | +| Bibliography..... | 8 | + + + +# Recommendation ITU-T Y.3608 + +## Requirements and framework for the exploitation of big data/artificial intelligence technologies in developing countries + +## 1 Scope + +This Recommendation provides a framework containing a reference architecture for the exploitation of big data and artificial intelligence technologies in developing countries. This Recommendation also covers requirements for the exploitation of big data and artificial intelligence technologies in developing countries. + +The scope of this Recommendation includes: + +- Requirements for the exploitation of big data and artificial intelligence technologies. +- Reference architecture covering the collection of data and its utilization with regard to big data and artificial intelligence technologies. +- Operating model of both big data and artificial intelligence technologies. +- Identification of key actors in the data exploitation model and their roles. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|--------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T X.1750] | Recommendation ITU-T X.1750 (2020), Guidelines on security of big data as a service for big data service providers. | +| [ITU-T X.1751] | Recommendation ITU-T X.1751 (2020), Security guidelines for big data lifecycle management by telecommunication operators. | +| [ITU-T X.1752] | Recommendation ITU-T X.1752 (2022), Security guidelines for big data infrastructure and platform. | +| [ITU-T Y.2360] | Recommendation ITU-T Y.2360 (2024), Requirements for integrating demographic data for new and emerging technologies in developing countries. | +| [ITU-T Y.4450] | Recommendation ITU-T Y.4450/Y.2238 (2015), Overview of Smart Farming based on networks. | + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 big data** [b-ITU-T Y.3600]: A paradigm for enabling the collection, storage, management, analysis and visualization, potentially under real-time constraints, of extensive datasets with heterogeneous characteristics. + +**3.1.2 artificial intelligence (AI)** [b-ETSI GR ENI 004]: Computerized system that uses cognition to understand information and solve problems. + +NOTE 1 – [b-ISO/IEC 2382] defines AI as "interdisciplinary field, usually regarded as a branch of computer science, dealing with models and systems for the performance of functions generally associated with human intelligence, such as reasoning and learning". + +NOTE 2 – In computer science AI research is defined as the study of "intelligent agents": any device that perceives its environment and takes actions to achieve its goals. + +NOTE 3 – This includes pattern recognition and the application of machine learning and related techniques. + +NOTE 4 – Artificial intelligence is the whole idea and concepts of machines being able to carry out tasks in a way that mimics the human intelligence and would be considered "smart". + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|------------------------------------------| +| AI | Artificial Intelligence | +| CPL | Collection, Processing and Loading | +| DaaS | Data as a Service | +| ICT | Information and Communication Technology | +| IoT | Internet of Things | +| IT | Information Technology | +| R&D | Research and Development | + +## **5 Conventions** + +The keywords "is required to" indicate a requirement that must be strictly adhered to. + +The keywords "is recommended to" indicate a requirement that is recommended but is not absolutely necessary. + +## **6 Leveraging big data technology and artificial intelligence in developing countries** + +Big data and artificial intelligence (AI) are emerging technologies that have become increasingly important in developing countries due to their transformative potential. These technologies are reshaping many sectors of economy, including agriculture, health, education and financial services, among others. Their significance and widespread adoption grew during the COVID-19 period, helping to drive economic growth through the creation of new jobs and opportunities, improved productivity and efficiency of information and communication technology (ICT) start-ups, and the implementation of supportive regulations and strategies by both developed and developing countries. + +By leveraging big data and artificial intelligence to address specific challenges, developing countries can gain a competitive edge over developed countries. The implementation and integration of these technologies can accelerate progress towards attainment of the sustainable development goals (SDGs) and foster a dynamic startup ecosystem that delivers better customer experience. To fully realize these benefits, developing countries must establish clear frameworks and requirements for the effective exploitation of big data and AI, ensuring their sustainable and inclusive development. + +The complementarity between AI and big data is based on the joint use of the large amount of data to feed and improve AI systems. Big data technologies provide the infrastructure necessary for + +collecting, storing and processing massive amounts of data from different sources (Unstructured, semi-structured, structured data). These important quantities of data are then used by AI systems to create algorithms and improve their precision and performance. + +The rationale for leveraging these technologies is rooted in their ability to improve efficiency, enable data-driven policy-making, and foster innovation across various sectors. The integration of big data technology and artificial intelligence (AI) presents a transformative opportunity for developing countries to: + +- Revolutionise decision-making and governance; +- Address socioeconomic challenges; +- Drive economic growth and industrial innovation; +- Overcome infrastructure and resource constraints; +- Strengthen global competitiveness and digital transformation; +- Promote sustainable development. + +## **7 Reference architecture of an operating model of big data technology coupled with artificial intelligence for developing countries** + +There is no standard model for the different scenarios or cases for the exploitation of big data technology coupled with artificial intelligence dedicated to each sector. The technologies are still new and in the experimental phase for most African universities, research institutes and research and development (R&D) departments of private ICT companies. However, some ITU Recommendations have made attempts in providing accessibility for all in the exploitation of big data. [ITU-T Y.2360] provides requirements for integrating data demographics for new and emerging technologies. The exploitation of big data coupled with AI for the advancement of different objectives in developing countries would not be complete without the data capturing the demographic composition of such countries as provided for in [ITU-T Y.2360]. With the proper integration of demographics data, the big data generated from different sectors can be properly exploited for developing countries. + +An applicable exploitation scenario can be found in [ITU-T Y.4450], where data generated by the different actors from the different domains forms an integral part in building service capabilities required to support smart farming. These can also be looked at from a much higher platform where several smart farming ventures utilizing [ITU-T Y.4450] can be relied upon for the generation of aggregate big data which can be used for developing sophisticated AI systems. + +Inspired by different literature reviews and also the current context in developing countries, the following reference architecture is presented for the implementation and deployment of big data and AI systems in the industry for developing countries. + +![A reference architecture model for big data and AI systems. The diagram is organized into four main columns: Data source, Data collection, processing, loading (CPL), Data analysis and aggregation, and Interface and visualization. Data sources include 'Structured unstructured semi-structured' and 'Streaming'. These feed into 'Collection structured, semi-structured, unstructured' and 'Streaming collection', which then lead to 'Temp data', 'Raw data', and 'Stream temp data'. These data types are processed through 'Cleaning', 'Compression', 'Replication', 'Stream', 'Information collection', and 'Loading (Integration)'. The processed data is then analyzed through 'Deep analytics', 'Stream analytics', 'Cube data', 'Analysis results', 'Publish and subscribe', and 'Stream analysis results'. Finally, the results are used for 'Visualization applications (Dashboards)' and 'End user applications'. The bottom section, 'Job and model specification', includes 'Machine learning', 'Model specification', 'Models', 'Jobs', 'Job scheduling', and 'Job specification'. The diagram is labeled Y.3608(25) in the bottom right corner.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Y.3608(25) + +A reference architecture model for big data and AI systems. The diagram is organized into four main columns: Data source, Data collection, processing, loading (CPL), Data analysis and aggregation, and Interface and visualization. Data sources include 'Structured unstructured semi-structured' and 'Streaming'. These feed into 'Collection structured, semi-structured, unstructured' and 'Streaming collection', which then lead to 'Temp data', 'Raw data', and 'Stream temp data'. These data types are processed through 'Cleaning', 'Compression', 'Replication', 'Stream', 'Information collection', and 'Loading (Integration)'. The processed data is then analyzed through 'Deep analytics', 'Stream analytics', 'Cube data', 'Analysis results', 'Publish and subscribe', and 'Stream analysis results'. Finally, the results are used for 'Visualization applications (Dashboards)' and 'End user applications'. The bottom section, 'Job and model specification', includes 'Machine learning', 'Model specification', 'Models', 'Jobs', 'Job scheduling', and 'Job specification'. The diagram is labeled Y.3608(25) in the bottom right corner. + +**Figure 1 – A reference architecture model for big data and AI systems** + +## 8 Functional requirements and entities of an operating model of big data technology coupled with artificial intelligence for developing countries + +To train an AI model, large amounts of data are required to enable the model to recognize patterns, make predictions and improve its performance over time. For this, the basic functioning and components of AI systems to simulate intelligent behaviour are used. The components of AI include machine learning, natural language processing, computer vision, robotics and expert systems. These components allow machines to learn, understand and interact with the world around them in ways that were previously impossible. + +This is how the reference architecture for big data solutions uses some or all of these components to improve predictive analytics. The figure below represents the operating model of big data technologies coupled with artificial intelligence. A big data/AI operating model is a visual representation of how an organization's components are organized and function together to ensure that data is collected, shared and used to drive innovation and development. + +Figure 2 shows the operating model of big data coupled with AI. + +![Figure 2 – Operating model of big data coupled with AI. The diagram shows a central stack of four components: B. Data brokers (blue), C. IT operations (green), D. Data science (yellow), and E. Data and AI governance (blue), enclosed in a dashed box labeled 'Centralized data and AI teams'. Above this stack is G. AI service delivery management (grey). To the left is A. Data providers (green), labeled 'Local providers and IT teams'. To the right is F. Data consumers (green), labeled 'Local consumers and IT teams'. Bidirectional arrows connect G to A, G to F, and A to F. Bidirectional arrows also connect A to the central stack, and the central stack to F. A small reference code 'Y.3608(25)' is at the bottom right.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Figure 2 – Operating model of big data coupled with AI. The diagram shows a central stack of four components: B. Data brokers (blue), C. IT operations (green), D. Data science (yellow), and E. Data and AI governance (blue), enclosed in a dashed box labeled 'Centralized data and AI teams'. Above this stack is G. AI service delivery management (grey). To the left is A. Data providers (green), labeled 'Local providers and IT teams'. To the right is F. Data consumers (green), labeled 'Local consumers and IT teams'. Bidirectional arrows connect G to A, G to F, and A to F. Bidirectional arrows also connect A to the central stack, and the central stack to F. A small reference code 'Y.3608(25)' is at the bottom right. + +**Figure 2 – Operating model of big data coupled with AI** + +The organizations are reforming their hierarchical structures for the benefit of agile and empowered teams. The teams with diverse but complementary skills are called upon to the detriment of conventional teams. + +The functional capabilities that must be considered in the operating model of a big data/AI organization include: + +### **A. Data providers** + +These are the owners of the source system. They generate and provide stored data from the company's farm, the cooperative or even an individual. They enable provisions of critical data that will help in decision-making. + +### **B. Data brokers** + +These are intermediaries that aggregate data from multiple sources to create comprehensive datasets and facilitate the exchange of data between generators, government and consumers. They collect, aggregate, analyse and provide data-as-a-service (DaaS) to organizations, governments or individuals ensuring that data is accessible and usable. Additionally, this role enables ease of adherence to and monitoring of compliance with data privacy and security regulations. Data brokerage also promotes resource pooling in resource-constrained environments such as developing countries, allowing consumers to benefit from pooling on services such as data cleaning, anonymization and analytics. + +### **C. IT operations** + +Human resources using technology have used IT firms to create their applications. Most of these applications are hosted on servers that are not located in the national territory. The datacentres, data warehouses and cloud platforms to which these IT firms are affiliated are mostly of foreign origin. AI solutions depend on the IT infrastructures that underpin data flows and processing. Also, depending on the project, the personnel authorized to ensure the smooth running of the development, deployment and integration of the AI solution must be recruited and equipped on an ongoing basis. It is this dedicated staff within IT operations that is needed to maintain and operate the solutions deployed in production. + +### **D. Data science and AI skilled resources** + +Although data science and AI tools are becoming increasingly easier to use for non-experts, it will be necessary to utilize qualified resources, initially, who can undertake the modelling activities and the development of AI solutions. The latter will be able to train non-experts in these tasks because not all companies, cooperatives or individuals will be able to afford the luxury of having a permanent team of experts. + +### **E. Data and AI governance** + +Governance of data stored and processed within the platform is an important function that ensures that data quality, integrity and security are maintained across different datacentres and throughout data processing. It must also incorporate capabilities to explain solutions. Careful management, and possibly monitoring, of data accessibility and use will also be necessary. + +### **F. Data consumers** + +End users who will benefit from the results of the IT platform must be involved in the development of the AI solution from the start. Thereafter, their involvement continues in the design and development phase. Data availability, timeliness, quality and completeness are key considerations that will underpin business value. + +### **G. AI service delivery management** + +Companies often develop several IT initiatives. Also, they will need a centralized function to qualify and plan data science and AI projects to move projects forward and ensure that change management is integrated into the project design. This function will evolve during the "operations" phase of AI projects, and will continue to provide oversight to ensure that AI solutions and any upgrades deliver business value. + +## **9 Requirements and recommendations for exploiting big data technology coupled with artificial intelligence for developing countries** + +The requirements and recommendations for the exploitation of big data coupled with AI for developing countries in line with the different functionalities, are: + +### **9.1 Requirements and recommendations for data providers** + +- It is required that data providers establish mechanisms to report and rectify any data discrepancies or issues. +- It is required that data providers develop clear guidelines for data generation and provision to maintain consistency and reliability. +- It is recommended that data providers ensure that they adhere to data privacy and security regulations. +- It is recommended that data providers implement robust data collection and storage mechanisms to maintain data integrity and quality. +- It is recommended that data providers carry out regular updates and data validation to ensure its relevance and accuracy for decision-making. + +## **9.2 Requirements and recommendations for data brokers** + +- It is a requirement for data brokers to implement data governance frameworks to monitor and ensure compliance with data privacy and security regulations. +- It is a requirement for data brokers to develop standardized processes for data aggregation, analysis and provision to ensure data accessibility and usability. +- It is recommended that data brokers facilitate the aggregation of data from multiple sources to create comprehensive datasets. +- It is recommended that data brokers ensure compliance with data privacy and security regulations during data exchange and aggregation. +- It is recommended that data brokers adopt resource pooling to provide services like data cleaning, anonymization and analytics, especially in resource-constrained environments. + +### **9.3 Requirements and recommendations for IT operations** + +- It is required that those involved in IT operations establish clear protocols for the development, deployment and integration of AI solutions. +- It is required to carry out continuous training and development of IT personnel to keep up with technological advancements. +- It is recommended for developing countries to utilize IT firms in developing and hosting applications on reliable and secure servers, even if they are located outside the national territory. +- It is recommended that IT infrastructures supporting AI solutions be robust and scalable, to handle data flows and processing. + +### **9.4 General requirements and recommendations for developing countries** + +- It is required that developing countries develop training programmes to upskill employees in data science and AI. +- It is required that initial modelling and development activities are undertaken by qualified professionals to maintain quality and accuracy. +- It is required that developing countries develop feedback mechanisms to gather input from end users during the design and development phases. +- It is a requirement for developing countries to ensure continuous engagement with end users to refine and improve AI solutions based on their feedback. +- It is recommended that well-equipped and dedicated personnel be utilized to maintain and operate AI solutions deployed in production. +- It is recommended that developing countries utilize qualified resources for modelling activities and the development of AI solutions. +- It is recommended that developing countries train non-experts in data science and AI tools to build internal capabilities and reduce dependency on external experts. +- It is recommended to involve end users in the development of AI solutions from the start to ensure their needs and requirements are met. + +## **10 Security considerations** + +This Recommendation takes cognizance of [ITU-T X.1750], [ITU-T X.1751] and [ITU-T X.1752], which might have an impact on the applicability of this Recommendation. + +## Bibliography + +- [[b-ITU-T Y.2245](#)] Recommendation ITU-T Y.2245 (2020), *Service model of the agriculture information based convergence service*. +- [[b-ITU-T Y.3600](#)] Recommendation ITU-T Y.3600 (2015), *Big data – Cloud computing based requirements and capabilities*. +- [[b-ITU-T Y.3605](#)] Recommendation ITU-T Y.3605 (2020), *Big data – Reference architecture*. +- [[b-ITU-T Y.4470](#)] Recommendation ITU-T Y.4470 (2020), *Reference architecture of artificial intelligence service exposure for smart sustainable cities*. +- [b-ISO/IEC 2382] ISO/IEC 2382:2015, *Information technology – Vocabulary*. +- [b-Inventory] Inventory report and diagnosis of the strengthening of priority sectors with strong growth potential through the integration of ICTs in Cameroon as part of the project to accelerate Cameroon's digital transformation, DBS, 2022. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems 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b/marked/Y/T-REC-Y.3658-202404-I_PDF-E/raw.md @@ -0,0 +1,550 @@ + + +# Recommendation + +## **ITU-T Y.3658 (04/2024)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Big Data + +--- + +**Big data driven networking – Functional requirements and functional architecture of network programmability** + +## ITU-T Y-SERIES RECOMMENDATIONS + +# Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3658 + +# Big data driven networking – Functional requirements and functional architecture of network programmability + +## Summary + +Big data driven networking (bDDN) can provide a significant enhancement to the network programmability in a network control function, network infrastructure and network application. By using network programmability and intelligence of big data plane, bDDN can automatically adjust the network behaviour according to the user's requirements and network status. Recommendation ITU-T Y.3658 specifies an overview of the network programmability for bDDN, functional requirements of network programmability and functional architecture of network programmability for bDDN. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3658 | 2024-04-29 | 13 | 11.1002/1000/15874 | + +## Keywords + +Big data driven networking, functional architecture, network programmability, requirement. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|--------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 1 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of network programmability for big data driven networking ..... | 2 | +| 7 | Functional requirements of network programmability for big data driven
networking ..... | 4 | +| | 7.1 Use case of network programmability for bDDN ..... | 5 | +| | 7.2 General functional requirements of network programmability for bDDN..... | 6 | +| | 7.3 Functional requirements of network programmability for bDDN ..... | 7 | +| 8 | Functional architecture of network programmability for big data driven
networking ..... | 9 | +| | 8.1 General functional architecture of network programmability for bDDN..... | 9 | +| | 8.2 Functional architecture of programmable network application..... | 11 | +| | 8.3 Functional architecture of programmable network control function..... | 12 | +| | 8.4 Functional architecture of programmable network infrastructure in bDDN.. | 13 | +| 9 | Security considerations ..... | 15 | + + + +# Recommendation ITU-T Y.3658 + +# Big data driven networking – Functional requirements and functional architecture of network programmability + +## 1 Scope + +This Recommendation specifies the functional requirements and functional architecture of network programmability for big data driven networking (bDDN). The scope of this Recommendation includes: + +- a) Overview of network programmability for big data driven networking; +- b) Functional requirements of network programmability for big data driven networking; +- c) Functional architecture of network programmability for big data driven networking; +- d) Security consideration. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.2704] Recommendation ITU-T Y.2704 (2010), *Security mechanisms and procedures for NGN*. +- [ITU-T Y.3650] Recommendation ITU-T Y.3650 (2018), *Framework of big-data-driven networking*. +- [ITU-T Y.3653] Recommendation ITU-T Y.3653 (2021), *Big data driven networking – functional architecture*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 big data driven networking (bDDN)** [ITU-T Y.3650]: bDDN is a type of future network framework, that provides big data intelligence to facilitate network management, operation, control, optimization and security, etc. based on the big data generated by the network itself. + +It is notable that bDDN has the same meaning as DDN. + +### 3.2 Terms defined in this Recommendation + +None. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +API            Application Interface + +| | | +|------|-------------------------------------------| +| AR | Augmented Reality | +| BGP | Border Gateway Protocol | +| bDDN | Big Data Driven Networking | +| DDoS | Distributed Denial of Service | +| DHCP | Dynamic Host Configuration Protocol | +| FPGA | Field Programmable Gate Array | +| HTTP | Hypertext Transfer Protocol | +| IP | Internet Protocol | +| IPv4 | Internet Protocol version 4 | +| IPv6 | Internet Protocol version 6 | +| IPU | Intelligent Processing Unit | +| MPLS | Multi-Protocol Label Switching | +| MR | Mixed Reality | +| NFV | Network Functions Virtualization | +| NFVI | Network Functions Virtualization Instance | +| NIC | Network Interface Card | +| SDN | Software Defined Networking | +| TLV | Type Length Value | +| VR | Virtual Reality | +| XR | Extended Reality | + +## 5 Conventions + +This Recommendation uses the following conventions: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended to" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +In the body of this Recommendation and its annexes, the words 'should' sometimes appear, in which case they are to be interpreted as is recommended, and can optionally. The appearance of such phrases or keywords in an appendix or in material explicitly marked as informative are to be interpreted as having no normative intent. + +## 6 Overview of network programmability for big data driven networking + +Software defined networking (SDN) solution achieves the separation of network control and forwarding and enhances the centralized programmable ability of the control plane. It has been popular for the functions of the control plane on traditional switches and routers to be realized by the software. However, the programmable functions provided by the control plane are designed by hardware manufacturers and are closely bound with hardware. These functions are difficult to provide to a third party for secondary development. Although some network devices can provide more advanced SDN control capabilities, the functions that users can control are also very limited. + +The purpose of SDN is to unify the programming ability of the control plane, so as to make the network equipment more flexible and not bound by the manufacturer. + +Different manufacturers of forwarding devices have their own different implementation methods for data or packet forwarding. It is difficult to achieve consistency in the support of the new protocol, resulting in the problem of device compatibility. Once the new network protocol is published, each manufacturer will implement it separately. Because the protocol is bound to the hardware, manufacturers need to redesign the network equipment from the chip, which greatly limits the rapid development of the network technology. + +The programmability of the application layer is always ignored, and with the continuous development of new applications such as augmented reality (AR) / virtual reality (VR) / mixed reality (MR) / extended reality (XR) and metaverse applications, it is often necessary to customize the network resources and capabilities according to the application requirements. Therefore, programmable capabilities are also needed at the application layer. + +The current network is actually a huge, distributed computing system. In order to meet the requirements of applications, network devices should be able to identify the intention of the applications and provide services according to the intention of the applications. Network programmability in bDDN, such as the computer programmability, is to translate the intention of the service carried by the network into a series of forwarding instructions of the network infrastructure. The network infrastructure completes the corresponding forwarding action according to the forwarding instructions to meet the requirements of services for the network, so as to meet the customized requirements of the service and realize the network programmability. The bDDN network programmability model is shown in Figure 6-1. + +![Figure 6-1 – bDDN network programmability model. The diagram illustrates the interaction between a user and a network system. On the left, a 'User' icon points to a vertical stack of three boxes: 'Programmable network application', 'Programmable network control function', and 'Programmable network infrastructure'. These are collectively labeled 'bDDN programmability'. On the right, a 3D cube represents the 'Network plane'. The top face is the 'Management plane' with layers: 'Network maintenance', 'Network administration', and 'Network marketing and operation'. The front face is the 'Application layer', 'Network controller', and 'Network infrastructure'. The right face is the 'Big data plane' with layers: 'Data intelligence and service', 'Network big data analyser', 'Network big data repository', and 'Network big data sensing'. Dashed double-headed arrows connect the 'Programmable network application' to the 'Application layer', the 'Programmable network control function' to the 'Network controller', and the 'Programmable network infrastructure' to the 'Network infrastructure'.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +Figure 6-1 – bDDN network programmability model. The diagram illustrates the interaction between a user and a network system. On the left, a 'User' icon points to a vertical stack of three boxes: 'Programmable network application', 'Programmable network control function', and 'Programmable network infrastructure'. These are collectively labeled 'bDDN programmability'. On the right, a 3D cube represents the 'Network plane'. The top face is the 'Management plane' with layers: 'Network maintenance', 'Network administration', and 'Network marketing and operation'. The front face is the 'Application layer', 'Network controller', and 'Network infrastructure'. The right face is the 'Big data plane' with layers: 'Data intelligence and service', 'Network big data analyser', 'Network big data repository', and 'Network big data sensing'. Dashed double-headed arrows connect the 'Programmable network application' to the 'Application layer', the 'Programmable network control function' to the 'Network controller', and the 'Programmable network infrastructure' to the 'Network infrastructure'. + +**Figure 6-1 – bDDN network programmability model** + +Network programmability is the ability to deploy, manage, and troubleshoot network elements through software. Network programmability in bDDN is the ability that bDDN manages and adjusts the network behaviour according to the user's requirements and intelligence of the big data plane. The network programmability of bDDN enables bDDN to adapt to the requirements of new types of applications as well as the complex needs of various users without changing the network architecture. + +The network programmability in bDDN is realized mainly through three parts: programmable network application, programmable network control function, and programmable network infrastructure. + +**Programmable network application:** Network application is an end-to-end service running on the network. The programmable network applications need to carry the requirements of users and translate these requirements into specific performance requirements that the network can recognize. Different applications have different network QoS and resources requirements, including bandwidth, delay, jitter and other performance capabilities. The application also needs to program these requirements into the application's frame structure and then transmit them to the underlying software stack. + +**Programmable network control function:** Programmable network control function is similar to the operating system in the computer. It will send the requirements of network applications into executable instructions of network infrastructure according to the context and state of the network. + +**Programmable network infrastructure:** The programmable network infrastructure is responsible for forwarding packets or bits and executing some instructions of the network. The instructions may be firstly processed by the control plane of the network, such as the Internet protocol (IP) routing protocol, multi-protocol label switching (MPLS) protocol and other protocols. It is then processed by the network infrastructure, such as the programmable forwarding chip of the switch, router and the switch module of the network functions virtualization (NFV). Programmable network infrastructure can be traditional hardware devices, or software modules. Generally, the programmable forwarding infrastructure part needs to have programmable matching tables and packet header parsers parts. + +bDDN can realize not only the programmability of network infrastructure, but also the programmability of network applications and network control functions. The programmable ability of network infrastructure is mainly used for packet forwarding, load balancing, network measurement, fault diagnosis, security prevention and other scenarios. The programmability of the programmable network infrastructure can forward and process the packets according to the user's intention. And the programmable ability of network applications is mainly used to identify the intention of applications and realize the customization of the user requirements. This way is to carry the user's intention through the network protocol and packet. Without changing the forwarding infrastructure, the user's intention is translated into a series of labels or bits, which are processed by the network infrastructure, so as to achieve flexible orchestration and on-demand customization of the network services. The programmability of the network control function can easily achieve the expansion of network protocols and network functions. At the same time, users and operators can easily control network behaviour by a programmable network control function. + +# **7 Functional requirements of network programmability for big data driven networking** + +With the development of different subdivision technologies in the network, independent programmable technologies in different layers of networks have emerged, including programmable applications, programmable network control functions and programmable network infrastructure. bDDN network framework has a deep programmability in various aspects. The network programmability is very important for bDDN due to the following points: + +1. Network is becoming a distributed computing system + +With the advent of SDN including programmable forwarding and advanced programming language for hardware, the network has become a deeply programmable platform that can be controlled by network owners to meet their requirements. It is now possible to program the control plane and the forwarding pipeline end-to-end on the servers, network interface cards (NICs), switches and optical switch devices. With this, we can now reimagine the network as a dynamic distributed computing system. + +### 2. Operator can take control of the network on demand + +With the network now programmable end-to-end and top-to-bottom, software now defines network behaviour, control moves from equipment vendors to network owners, and network functions can be placed where they are best suited which may be in the hardware, on device software, or on the central controller. Thereby, the operator can take control of their own destiny when they start to leverage the network as a distributed computing platform, and the network becomes an asset for innovation and competitive advantage. The network programmability can enable the operator to build and dynamically deploy customized network functionality in a secure and reliable manner. + +### 3. The future network must be a programmable network + +The application scenarios of bDDN will be applied in future networks. Through rich programmability and open interfaces, operators can control their own network more freely. In bDDN, to automatically adjust the network policy and routing according to the user's needs, the network framework needs to support programmable features. + +### 4. bDDN requires the network programmability + +The bDDN is required to manage and adjust the network according to the big data analysis of the network state, so that the network can better serve the operators and users. Therefore, the network plane of big data driven networking must have programmable ability. This ability is to provide operators and users with the ability to change the network behaviour. In the bDDN, the network plane is no longer a black box. + +### 7.1 Use case of network programmability for bDDN + +### 1. Specify network forwarding behaviour + +With the programmability of network application, network control function and infrastructure, the network operator can control the forwarding path and behaviour of the network equipment in the network according to the service's requirement or user's intention. bDDN can insert the forwarding operation or other requirements into the programmable application at the source of the routing path to guide the forwarding behaviour of the network infrastructure in the network. With this network programmability of network infrastructure, bDDN can meet different network QoS requirements, such as network slicing, deterministic delay and so on. Combined with the global network management and control capability of bDDN, it can realize flexible network functions and facilitate faster the deployment of new services. + +According to the above analysis, the programmability of the application, network control function and infrastructure is required in this use case. + +### 2. Real-time network intelligent awareness + +The network management and maintenance depend on timely and effective network measurement and monitoring. Through programmable infrastructure, intelligent awareness technology can measure a wider range of network data, and collect flow-based measurement data. By programmable applications, users can not only send collection instructions to the underlying infrastructure, but also query some information about the device, such as queue size, link utilization, queue delay, etc. + +According to the above analysis, programmable infrastructure and programmable applications are required in this use case. + +### 3. Load balance + +In large data centres, most of the traffic is virtual IP address traffic, which requires load balancing to maintain the consistency of each connection. Load-balancing often needs complex appliances that can be a burden on the network infrastructure. With programmable network infrastructure, load balancing can be done inside the switch, bridging the gap between multi terabit switches and gigabit + +servers and appliances. The consistency of each connection can be maintained through the bloom filter implemented by programmable infrastructure, so as to maintain the stately connection of millions of connections on the switch at the same time. This method not only reduces the cost of load balancing, but also reduces the delay and jitter. In addition, the existing transport layer protocol cannot give good consideration to low delay and high throughput. With the help of a programmable network control function, users can customize a new transport layer protocol in the data centre to solve this problem. Moreover, the programmable switch adopts packet by packet multi-path load balancing technology to realize low delay and high throughput transmission. + +According to the above analysis, programmable infrastructure and programmable network control functions are required in this use case. + +### 4. Network attack detection + +Distributed denial of service (DDoS) attack is the largest and the most frequent network attack means in the current network environment. The traditional method uses middleware to alleviate it. The DDoS traffic cleaning method on the programmable network infrastructure is adopted to avoid interaction with the controller. The server does not need to maintain a large amount of traffic and data thus, it can deal with large attack traffic. Programmability of network infrastructure can enable networks that detect DDoS attacks and other network attacks faster and mitigate them more effectively due to their exceptional high performance, and because these tasks are performed in the network and do not rely on other resources. + +According to the above analysis, programmable infrastructure is required in this use case. + +### 5. Network resource optimization + +The packet flow table resource is an important network resource affecting network scalability. On the one hand, programmable network infrastructure can realize a more flexible flow table matching method and provide an intelligent flow table expiration mechanism to make full use of the flow table resources. On the other hand, programmable network control functions can provide a flexible protocol extension which can make network devices support new protocols easily. Therefore, programmable network infrastructure and programmable control functions bring opportunities for network resource optimization and a more scalable data plane. + +According to the above analysis, programmable infrastructure and programmable network control functions are required in this use case. + +### 7.2 General functional requirements of network programmability for bDDN + +The general requirements include programmable requirements, compatible requirements and protocol-independent requirements, which are for all use cases mentioned above. + +### 1. Programmable requirements + +- The application layer in bDDN is required to support programmable ability. + +The programmability of network application in bDDN means the user can program the application's requirements into the packet that carries the application. These requirements are translated into an ordered list of instructions, which are executed by the network devices along the path. + +- The control function of the network plane in bDDN is required to support programmable ability. + +Due to the continuous emergence of new network protocols, the traditional switch cannot support the new protocol. Therefore, this requirement is to flexibly define the packet processing flow of the network control function by programming without replacing the forwarding hardware. + +- The network infrastructure of the network plane in bDDN is required to support programmable ability. + +This kind of network infrastructure can be designed based on the network devices such as switches, routers, network functions virtualization instance (NFVI) devices and other software forwarding components, as well as the smart NIC (network interface card) of the server in the cloud centre. + +#### 2. Compatible requirements + +In bDDN, there are many kinds of network infrastructure, such as traditional switches, routers, NFV virtual devices, and field programmable gate array (FPGA) / intelligent processing unit (IPU) devices with programmable ability. The compatible requirements of the infrastructure are as follows: + +- It is required for bDDN to be compatible with traditional infrastructure such as switch, routers, etc. +- It is required for bDDN to be compatible with traditional network protocols such as Internet protocol version 4 (IPv4), Internet protocol version 6 (IPv6), MPLS, etc. +- It is required for bDDN to be compatible with traditional application layer technology such as hypertext transfer protocol (HTTP), etc. + +The programmable interfaces of these devices are also diverse, and the unified management and development are difficult. For users and applications, a unified interface can support the development of new business applications and the unified management of infrastructures. The requirements of the programmable interface are as follows: + +- It is required for bDDN to have a unified programmable interface that should hide the differences of manufacturers and provide a consistent access interface for the upper application. +- It is required for bDDN to open the programmable interface for users. + +#### 3. Protocol-independent requirements + +As a large number of protocols supported by traditional switches cannot be used in all scenarios, there are many redundant protocols. At the same time, in order to support new applications and network functions, bDDN is required to be protocol-independent. Therefore, this requirement is to make the network infrastructure not needed to pay attention to the format and semantics of the protocol. The packet processing behaviour supported by the network infrastructure is not limited by the protocol type. The requirements of protocol-independent are as follows: + +- It is required for bDDN infrastructure to be protocol-independent. +- It is required for bDDN network control function to be protocol-independent. +- It is required for bDDN application to be protocol-independent. + +## 7.3 Functional requirements of network programmability for bDDN + +#### 7.3.1 Functional requirements of programmable network application + +The programmability of the application layer is also an important capability of bDDN, and the programmability requirements of the application layer mainly include the following: + +- It is required to have packet fields for network protocol that can specify service level agreements. +- It is recommended to have packet fields for network protocol that can specify end to end delay parameters of the application or service. +- It is recommended to have packet fields for network protocol that can specify end to end jitter parameters of the application or service. + +- It is recommended to have packet fields for network protocol that can specify end to end bandwidth parameters of the application or service. +- It is recommended to have packet fields for network protocol that can specify other parameters of the application or service. +- It is recommended to have packet fields for network protocol that can specify the forwarding path of the application or service. +- It is recommended to have packet fields for network protocol in the packets that can specify the actions of a forwarding node to handle the packet. +- It is recommended to have packet fields for network protocol to specify the required computing power. +- It is recommended to have packet fields for network protocol to specify the parameters to be measured. + +#### **7.3.2 Functional requirements of network control function** + +- It is required that the network control function can handle programmable parameters passed from the application layer. +- It is required that the control function handle service level parameters passed from the application layer. +- It is recommended that the control function can handle service performance measurement requirements. +- It is recommended that the control function can measure the performance parameter of the service. +- It is recommended that the control function can measure the end-to-end delay parameters of the service. +- It is recommended that the control function can measure the end-to-end jitter parameters of the service. +- It is required that the control function can abstract the different manufacturers hardware. +- It is required that the control function can handle the requirement from the application layer. +- It is required that the control function can abstract the network device to the logical functional block. +- It is recommended that the control function can abstract switch devices into standard models. +- It is recommended that the control function can abstract router devices into standard models. +- It is recommended that the control function can abstract optical transport network devices into standard models. +- It is recommended that the control function can abstract access network devices into standard models. +- It is recommended that the control function can abstract network links and optical lines into standard models. +- It is recommended for the control function to provide the configuration interface of the link layer. +- It is recommended for the control function to provide the configuration management function. +- It is recommended for the control function to provide the topology management function. + +- It is recommended for the control function to provide the link discovery management function. +- It is recommended for the control function to provide the performance management function. +- It is recommended for the control function to provide the fault management function. +- It is recommended for the control function to provide the policy management function. + +#### **7.3.3 Functional requirements of programmable network infrastructure** + +- It is required that the packet processing and forwarding logic of the programmable infrastructure can be programmed or configured through software. +- It is required that programmable infrastructure provide programmable interfaces for the upper layer. +- If the programmable infrastructure is a type of packet forwarding device, it is recommended that the programmable infrastructure support the advanced programming languages. +- If the programmable infrastructure is a type of packet forwarding device, it is required that the programmable infrastructure can program packet processing and forwarding logic according to the requirements of the upper layer. +- If the programmable infrastructure is a type of packet forwarding device, it is recommended that the programmable infrastructure have a programmable ingress with a match action table. +- If the programmable infrastructure is a type of packet forwarding device, it is recommended that the programmable infrastructure have a programmable egress with a match action table. +- If the programmable infrastructure is a type of packet forwarding device, it is recommended that the match unit in ingress and egress can match any field and offset of a packet. +- If the programmable infrastructure is a type of packet forwarding device, it is recommended that the action unit in ingress and egress has programmable forwarding actions and packet processing functions. + +## **8 Functional architecture of network programmability for big data driven networking** + +### **8.1 General functional architecture of network programmability for bDDN** + +The functional architecture of network programmability is based on the framework of bDDN defined in [ITU-T Y.3650] and the functional architecture defined in [ITU-T Y.3653]. The architecture defined in [ITU-T Y.3653] is the functional architecture of bDDN, while the architecture of this Recommendation develops and enhances the programmable functions and capabilities of bDDN. This architecture mainly includes three levels of programmable functionalities in the network plane of bDDN, including programmable network application, programmable network control function and programmable network infrastructure, as shown in Figure 8-1. + +![Figure 8-1: Functional architecture of network programmability for bDDN. The diagram is divided into three horizontal sections: Programmable network application, Programmable network control function, and Programmable network infrastructure. The top section shows a flow from Packets (0 to n) through a Programmable path (DA [0] to DA [n]) to a Programmable action (Address, Function, Arguments). The middle section shows a Northbound interface, Configuration entity, Management entity (Performance, fault, security), Micro service management, Controller entity, Network state data, Network protocol entity, and Infrastructure management interface. The bottom section shows an Infrastructure abstraction interface, Adapter, and a row of infrastructure components: Switch, Router, Optical device, and others.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +The diagram illustrates the functional architecture of network programmability for bDDN, organized into three main layers separated by dashed lines: + +- Programmable network application:** This top layer shows a sequence of packets (Packet 0, Packet 1, ..., Packet [n]) being processed through a "Programmable path" (DA [0], DA [1], ..., DA [n]) and then through a "Programmable action" (Address, Function, Arguments). +- Programmable network control function:** The middle layer contains a "Northbound interface" at the top, followed by a "Configuration entity" and a "Management entity (Performance, fault, security)". Below these is "Micro service management", which includes a "Controller entity", "Network state data", and a "Network protocol entity". At the bottom of this layer is the "Infrastructure management interface". +- Programmable network infrastructure:** The bottom layer features an "Infrastructure abstraction interface" at the top, which connects to "Adapter" components. Below the adapters are the physical infrastructure elements: "Switch", "Router", "Optical device", and others. + +Y.3658(24) + +Figure 8-1: Functional architecture of network programmability for bDDN. The diagram is divided into three horizontal sections: Programmable network application, Programmable network control function, and Programmable network infrastructure. The top section shows a flow from Packets (0 to n) through a Programmable path (DA [0] to DA [n]) to a Programmable action (Address, Function, Arguments). The middle section shows a Northbound interface, Configuration entity, Management entity (Performance, fault, security), Micro service management, Controller entity, Network state data, Network protocol entity, and Infrastructure management interface. The bottom section shows an Infrastructure abstraction interface, Adapter, and a row of infrastructure components: Switch, Router, Optical device, and others. + +**Figure 8-1 – Functional architecture of network programmability for bDDN** + +#### 1 Programmable network application + +The application layer in the network plane of bDDN also has the programmable capability. The programmable capability of the application includes two aspects: + +- First, the packet forwarding path is programmable by the user or application. The packet forwarding path is not determined by the traditional routing protocol but is calculated by the bDDN big data plane according to the user's SLA requirements. The calculated path uses the source routing method to carry the path nodes in the data packet. +- Second, application programmability of bDDN can program the behaviour of the forwarding nodes in the path. The data packet can carry some information to the nodes in the forwarding path, and the forwarding node can complete the tasks according to the information. The application packets can carry some information for each node, which can be passed to the node in the form of type length value (TLV) or other parameters. This instruction information represents some customized requirements of the application for this node, such as QoS instructions, OAM instructions, measurement information and other instruction information. When the forwarding nodes process the packets, nodes can complete the specific task according to the information besides the forwarding packets. This can better meet the needs of the users and achieve flexible programming capabilities. + +### **2 Programmable network control function** + +The network control layer is composed of a network controller and a network protocol stack, which is responsible for controlling the network resources and behaviour. The programmability of the network control stack is mainly to adapt to the extension of new network functions and new network protocols. + +In the network control function, bDDN uses data media to achieve the decoupling of network function modules. Network control function modules no longer interact with each other through the direct data transmission mode but through the intermediate database. The network function changes from focusing on the process to focusing on the data, which realizes the decoupling among the network functional modules. The architecture using data media not only provides a convenient development of new functions but also provides the ability to solve function failures and function upgrades without affecting the forwarding plane. + +The protocols of the network software (e.g., dynamic host configuration protocol (DHCP), border gateway protocol (BGP), etc.) are completely independent of the communication details of the specific hardware. The network control function reads the required data from the database or writes the data to the database without directly communicating with the hardware. + +#### **3 Programmable network infrastructure** + +The network infrastructure layer also needs to be programmable. The processing and forwarding logic of a network can be programmable by the network control function or applications. Programmable infrastructure allows network operators to define the complete processing flow of data packets from end to end. The forwarding logic of the network infrastructure layer is determined by the program loaded on the infrastructure. + +Abstraction interface is part of the programmable infrastructure and provides a unified application interface (API) for the upper layer network control function. The network control function can run on different infrastructure platforms through the abstract interface. Because of the existence of an abstraction layer, the network control function can support any infrastructure from multiple manufacturers. On the basis of matching the abstraction interface, network infrastructure can provide features such as higher speed, lower power consumption, lower cost, and higher port density, without a specific adaptation of the network control function. This way enabling the infrastructure and network control functions to rapidly iterate and develop respectively. + +The programmable infrastructure in bDDN includes optical switch devices, packet switches, routers and other devices with switching capability. + +## **8.2 Functional architecture of programmable network application** + +The programmable network application of bDDN can program the application's requirements or network functions into the packet that carries the application. These requirements or functions are translated into an ordered list of instructions, which are executed by network devices along the way, achieving flexible programming and on-demand customization of the network applications. + +Usually, a computer instruction includes two aspects: the operation instruction and the parameters of the instruction. Operation instructions determine the computer operation to be executed and parameters refer to the data needed by the instruction. Similarly, the programmability of the application of bDDN also requires the definition of network instructions, where a network instruction consists of three parts, as shown in Figure 8-2, address, function and arguments. + +![Figure 8-2: Functional architecture of programmable application. The diagram shows a 'Programmable network application' box. Inside, at the top, are 'Packet 0', 'Packet 1', '...', and 'Packet [n]'. A downward arrow labeled 'Programmable path for each packet' points to a row of boxes: 'DA [0]', 'DA [1]', '...', 'DA [n]', '...', '...', and 'Optional field'. A downward arrow labeled 'Instruction for each address' points from the 'DA' boxes to a row of boxes: 'Address', 'Function', and 'Arguments'. Another downward arrow labeled 'Optional instruction' points from the 'Optional field' box to the right. The reference 'Y.3658(24)' is at the bottom right.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +Figure 8-2: Functional architecture of programmable application. The diagram shows a 'Programmable network application' box. Inside, at the top, are 'Packet 0', 'Packet 1', '...', and 'Packet [n]'. A downward arrow labeled 'Programmable path for each packet' points to a row of boxes: 'DA [0]', 'DA [1]', '...', 'DA [n]', '...', '...', and 'Optional field'. A downward arrow labeled 'Instruction for each address' points from the 'DA' boxes to a row of boxes: 'Address', 'Function', and 'Arguments'. Another downward arrow labeled 'Optional instruction' points from the 'Optional field' box to the right. The reference 'Y.3658(24)' is at the bottom right. + +**Figure 8-2 – Functional architecture of programmable application** + +Address is the identifier of a network node or device in a network topology, used for routing and forwarding packets to that node. The location information is identified by the address. The function field is used to express the forwarding action to be executed by the instruction, similar to the opcode of a computer instruction. In bDDN, different forwarding behaviours are represented by different functions, such as forwarding packets to a specified node or performing forwarding path lookup in a specified table. The arguments field is an optional field. It is the parameter corresponding to the instruction during execution, which may contain flow, service, or any other related information. + +Instructions are the foundation for network application programmability. Based on these instructions, any network requirements of end-to-end service can be represented through a set of instructions. The application programmability of bDDN is achieved by encapsulating an ordered instruction list in the packet in the source node, instructing the network to execute corresponding instructions on the specified node to achieve network programmability. With the increasing number of application scenarios for programmable networks in the future, this instruction set continues to evolve and expand. + +## 8.3 Functional architecture of programmable network control function + +The programmable control function of bDDN is responsible for managing the underlying infrastructure and providing programming interfaces to upper level applications. The programmable network control function is different from the traditional network software protocol stacks. The functional architecture is shown in Figure 8-3. + +![Figure 8-3: Functional architecture of programmable control function. The diagram shows a 'Programmable network control function' box. Inside, there are four main layers. The top layer is 'Northbound interface'. The second layer contains five boxes: 'Configuration entity', 'Topology management', 'Performance management', 'Fault management', and 'Security management'. The third layer is 'Micro service management', which contains three boxes: 'Controller entity', 'Network state dataDB', and 'Network protocol entity'. The bottom layer is 'Infrastructure management interface'. The reference 'Y.3658(24)' is at the bottom right.](8592a32c2fdf17c1e562f0ba6b7e8e1a_img.jpg) + +Figure 8-3: Functional architecture of programmable control function. The diagram shows a 'Programmable network control function' box. Inside, there are four main layers. The top layer is 'Northbound interface'. The second layer contains five boxes: 'Configuration entity', 'Topology management', 'Performance management', 'Fault management', and 'Security management'. The third layer is 'Micro service management', which contains three boxes: 'Controller entity', 'Network state dataDB', and 'Network protocol entity'. The bottom layer is 'Infrastructure management interface'. The reference 'Y.3658(24)' is at the bottom right. + +**Figure 8-3 – Functional architecture of programmable control function** + +Programmable network control function provides open and scalable northbound interfaces for the application layer, rather than fixed interfaces based on manufacturers. These interfaces are mainly used to provide standard interfaces for applications, including service management interfaces, requirement management interfaces, configuration interfaces, topology management interfaces, device management interfaces, performance management interfaces, alarm management interfaces and other management interfaces. The application accesses devices based on these standard interfaces and passes the requirements to the underlying network. The application can be easily extended because the standard interface is used. + +Programmable network control function manages the underlying infrastructure through standard infrastructure management interfaces. The infrastructure management interface logically abstracts various underlying infrastructures into standard network elements and functions. Programmable control function is designed and developed based on these standard network elements and functions. Through the infrastructure management interface, standard functional interfaces are provided to the network control stack and applications. Infrastructure management interfaces include device management interfaces and programming interfaces from manufacturers, which can be interfaced with advanced programming languages. + +The main functions of the programmable control function include service management, slice management, resource scheduling, configuration management, topology management, device management, performance management, etc. These control functions are designed and developed based on the logical network elements and functions and are not directly related to specific manufacturers' hardware devices or specific application services. This approach makes the network control stack easier to expand. + +The functional modules of the programmable network control function are loosely coupled based on microservices and data buses. This loose coupling relationship facilitates the expansion of new functions and protocols in the network control function. When it is necessary to extend new functions or add new protocols, only the new software modules need to provide standardized service interfaces and data interfaces. This approach greatly improves the network control function's scalability for new features and protocols. + +Programmable network control function can manage various hardware and software resources, including computing, storage, networking, etc. These resources are accessed through infrastructure management interfaces. Network control function can orchestrate and schedule computing, storage, network and other resources based on the standard interfaces. + +## **8.4 Functional architecture of programmable network infrastructure in bDDN** + +Programmable infrastructure can either be a packet switch device, such as programmable routers or switches, or a non-packet device such as optical transmission network devices. Since the underlying equipment of each manufacturer has different programmable capabilities, both packet infrastructure and non-packet infrastructure use standard programmable interfaces to shield the differences in the equipment. At the equipment layer, they may include various devices, such as routers, switches and optical devices. Programmable network infrastructure consists of two parts, one is the infrastructure standard interface, and the other is infrastructure entities, such as routers, switches and optical devices as shown in Figure 8-4. + +![Figure 8-4: Functional architecture of programmable infrastructure. The diagram shows a layered architecture. At the top is a box labeled 'Infrastructure abstraction interface'. Below it are three boxes labeled 'Adapter'. At the bottom is a box containing 'Switch', 'Router', 'Optical device', and '....'. The entire structure is enclosed in a large rectangle. The reference Y.3658(24) is at the bottom right.](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +Y.3658(24) + +Figure 8-4: Functional architecture of programmable infrastructure. The diagram shows a layered architecture. At the top is a box labeled 'Infrastructure abstraction interface'. Below it are three boxes labeled 'Adapter'. At the bottom is a box containing 'Switch', 'Router', 'Optical device', and '....'. The entire structure is enclosed in a large rectangle. The reference Y.3658(24) is at the bottom right. + +**Figure 8-4 – Functional architecture of programmable infrastructure** + +#### 8.4.1 Network infrastructure abstraction interface + +The infrastructure abstraction interface can keep the base network control function simple, consistent and stable. It breaks the software-hardware coupling and enables us to choose the best fit of software and hardware based on the requirement of application or the requirement of networking. By providing simple, consistent interfaces for applications and protocol stacks, it helps reduce the impact of the underlying complex and heterogeneous infrastructure easily. The infrastructure abstraction interface is therefore a big step towards programmable networking infrastructure. + +A standardized infrastructure API allows the network hardware vendors to develop innovative hardware architectures to achieve great speeds while keeping the programming interface consistent. As new hardware functions are exposed, hardware vendors can introduce extensions to the API. This would introduce change at the hardware programming level, but this change would be much less frequent than traditional hardware as it would only be required for functional changes, not simply implementation differences. + +An important component of the infrastructure abstraction interface is the adapter. Adapter is a pluggable module, supplied by a vendor, that contains hardware driver code and implements the abstraction interfaces. Adapters are registered with the network control function and can then be loaded as needed. It is the responsibility of the adapter to discover and bind to the specified underlying hardware, including loading of or attaching to drivers if needed. Adapters are expected to be as simple as possible, ideally simple wrappers around the vendor's driver. During initialization, the adapter initiates the discovery process of the specified instance of a switching entity. + +The infrastructure abstraction interfaces API are grouped into three categories: + +- Mandatory functionality. This is a set of "core" interfaces that are required to build a basic switch appliance, which might be a packet switch or optical switch. All vendors must support these interfaces and the network control function stack will fail loading of the adapter, if any of these interfaces are missing. +- Optional functionality. This is a set of additional interfaces which are not required but enable various scenarios in some special cases. Definition of these interfaces is common for all the vendors. These interfaces are not required by the network control function stack to be exposed from the adapter. However, they become required if a given system configuration references any of these features. +- Custom defined functionality. This is a set of interfaces that are unique for a vendor and is not standardized. The default adapter host is not aware of these interfaces and a custom adapter host can be supplied by the vendor to expose these interfaces to the network control function stack. + +#### 8.4.2 Network infrastructure entities + +In bDDN, there may be multiple underlying switching devices, such as optical switch devices, packet switch devices, or virtual network function based on software. Computing devices and storage devices will gradually integrate together to provide services. Therefore, bDDN supports multiple hardware and software devices to form its own underlying infrastructure. All these underlying infrastructures are programmable, including optical switch devices, packet switch devices and virtual network function. However, from the standardization perspective, the functional architecture of packet switch infrastructure is only illustrated here. + +The programmable packet switch infrastructure consists of a few packet forwarding pipelines. A pipeline represents a complete set of data processing procedures. As shown in Figure 8-5, a pipeline is composed of the programmable parser, programmable match-action table and programmable deparser. The main modules of the pipeline are all programmable. A packet switch device can consist of multiple pipelines. When there are multiple pipelines, they may be parallel or serial. The former can carry more bandwidth and more network ports, while the latter can realize more complex functional logic and obtain more table capacity. Usually, a packet switch device has two stages, ingress and egress. Both ingress and egress stages can adopt this pipeline, or only one of them can be used. + +![Diagram of a pipeline of programmable packet infrastructure. The pipeline consists of three main stages: a Programmable parser, a Programmable match-action pipeline, and a Programmable deparser. The Programmable match-action pipeline is composed of multiple parallel match-action tables. A dashed line labeled 'Recirculate' connects the output of the Programmable deparser back to the input of the Programmable parser. The diagram is labeled Y.3658(24) in the bottom right corner.](79e1709a7317ead45379cbb8ff3ba802_img.jpg) + +The diagram illustrates a packet forwarding pipeline. It starts with a 'Programmable parser' block on the left, which receives multiple input arrows. This is followed by a 'Programmable match-action pipeline' block, which contains several parallel match-action units, each represented by a grey rectangle with two output arrows. An ellipsis indicates that there can be more than two such units. The final stage is a 'Programmable deparser' block on the right, which has multiple output arrows. A dashed line labeled 'Recirculate' loops from the output of the deparser back to the input of the parser. The entire pipeline is enclosed in a rectangular box. The reference 'Y.3658(24)' is located at the bottom right of the diagram. + +Diagram of a pipeline of programmable packet infrastructure. The pipeline consists of three main stages: a Programmable parser, a Programmable match-action pipeline, and a Programmable deparser. The Programmable match-action pipeline is composed of multiple parallel match-action tables. A dashed line labeled 'Recirculate' connects the output of the Programmable deparser back to the input of the Programmable parser. The diagram is labeled Y.3658(24) in the bottom right corner. + +**Figure 8-5 – Pipeline of programmable packet infrastructure** + +The programmable interface and network control function are basically programmed for these modules of the pipeline. These modules are not completely mandatory. In some cases, some modules may not appear in the pipeline (e.g., egress parser/deparser). When each packet passes through these processing modules, there is always a buffer or memory for storing metadata and caching intermediate processing data and results. The metadata information can be the output result of an action or the input of a match in the next pipeline. + +## 9 Security considerations + +When applying network programmability in bDDN, security best practices should be adopted such as authentication, authorization and access control as described in [ITU-T Y.2704]. + +In the meantime, the operation related to network resources should have multiple reliability guaranteeing measures in order to avoid incorrect operation to network resources and causing the degrading of the network performance. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and 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| Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3659 + +# Big data driven networking – Requirements, architecture and mechanism of application awareness + +## Summary + +Recommendation ITU-T Y.3659 specifies the functional requirements of application awareness, functional architecture of application awareness, and the mechanism of application awareness of big-data-driven networking (bDDN). The bDDN supports a variety of applications which have different service requirements. In order to provide more refined services to these different applications, the application awareness capability of bDDN perceives the requirements, status, and context information of the applications, and analyses these large amounts of data through the big data plane to achieve more accurate resource scheduling and allocation. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3659 | 2025-04-29 | 13 | 11.1002/1000/16319 | + +## Keywords + +Application awareness, big data, big data driven networking (bDDN). + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Introduction of application awareness in bDDN ..... | 3 | +| 7 | Requirement of application awareness in bDDN ..... | 4 | +| | 7.1 General requirements of application awareness of bDDN ..... | 4 | +| | 7.2 Functional requirements of application awareness..... | 4 | +| | 7.3 Functional requirement of SLA guarantee based on application awareness.. | 5 | +| 8 | Functional architecture of application awareness in bDDN ..... | 6 | +| | 8.1 Functional entity for awareness of application requirement ..... | 7 | +| | 8.2 Functional entity for awareness of application context..... | 7 | +| | 8.3 Functional entity for awareness of application status..... | 8 | +| 9 | Mechanisms of application awareness for bDDN ..... | 9 | +| | 9.1 Mechanism for awareness of application requirement..... | 9 | +| | 9.2 Mechanism for awareness of application status ..... | 10 | +| | 9.3 Mechanism for awareness of application context ..... | 11 | +| | 9.4 Mechanism for resource orchestration based on application awareness ..... | 11 | +| 10 | Security considerations..... | 13 | + + + +# Recommendation ITU-T Y.3659 + +# Big data driven networking – Requirements, architecture and mechanism of application awareness + +# 1 Scope + +This Recommendation specifies the requirements, architecture, and mechanism of application awareness for big-data-driven networking. + +The scope of this Recommendation includes: + +- Introduction of application awareness in big-data-driven networking (bDDN). +- Requirements of application awareness in bDDN. +- Architecture of application awareness in bDDN. +- Mechanism of application awareness in bDDN. +- Security considerations. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [[ITU-T Y.2704](#)] Recommendation ITU-T Y.2704 (2010), *Security mechanisms and procedures for NGN*. +- [[ITU-T Y.3185](#)] Recommendation ITU-T Y.3185 (2023), *Functional architecture for intelligent awareness of network requirements*. +- [[ITU-T Y.3650](#)] Recommendation ITU-T Y.3650 (2018), *Framework of big-data-driven networking*. +- [[ITU-T Y.3652](#)] Recommendation ITU-T Y.3652 (2020), *Big data driven networking – requirements*. +- [[ITU-T Y.3653](#)] Recommendation ITU-T Y.3653 (2021), *Big data driven networking – functional architecture*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 big-data-driven networking (bDDN)** [ITU-T Y.3650]: Big-data-driven networking (bDDN) is a type of future network framework that collects big data from networks and applications, and generates big data intelligence based on the big data; it then provides big data intelligence to facilitate smarter and autonomous network management, operation, control, optimization and security, etc. + +NOTE – bDDN has the same meaning as DDN. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 application status:** Status, which includes the lifecycle state and the performance state of an application. + +NOTE – The lifecycle state of an application includes states such as start, running, and finished; the performance state of the application includes bandwidth, latency, jitter and so on. + +**3.2.2 application context:** The network environment information related to the application running, such as related resources state information, related configuration parameters, and related topology information, etc. + +**3.2.3 application awareness:** The network capability of big-data-driven networking (bDDN) that enables classification of applications and perception of their requirements, status, and context, facilitating the dynamic adjustment of network resources to meet service level agreement (SLA) requirements. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-------------------------------------------| +| AI | Artificial Intelligence | +| ANN | Artificial Neural Network | +| bDDN | Big-Data-Driven Networking | +| CPU | Central Processing Unit | +| DNN | Deep Neural Network | +| eMBB | enhanced Mobile Broad Band | +| GNN | Graph Neural Network | +| iBN | intent-Based Networking | +| IP | Internet Protocol | +| mMTC | massive Machine Type Communication | +| QoE | Quality of Service | +| QoS | Quality of Experience | +| SLA | Service Level Agreement | +| uRLLC | Ultra-Reliable Low-Latency Communications | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +## **6 Introduction of application awareness in bDDN** + +With the development of network technology, applications are becoming increasingly diversified, and the network requirements of application are becoming more refined, but the network is still regarded as a pipeline providing network services for upper applications. The network infrastructure cannot obtain fine-grained application requirement information, resulting in the following problems: + +- 1) It is difficult for operators to achieve refined operation. The traditional network is unaware of applications and their detailed requirements. Therefore, the network is also unable to provide fine-granularity service to the applications. In such cases, it is impossible for operators to ensure that profits grow in the same proportion as the investment in network infrastructure. +- 2) It is difficult to achieve high utilization of network resources. The network lacks application information and refined requirements, yet it also needs to satisfy the promised service quality. Therefore, network operators usually adopt a strategy of light traffic, resulting in low utilization of network bandwidth. The traditional network treats all application data packets in the same way, which is the main cause of low bandwidth utilization. + +In order to deal with the above problems, big-data-driven networking (bDDN) needs the capabilities to perceive application requirements and to orchestrate resources in a refined manner based on application awareness. [ITU-T Y.3652] defines the general requirements of bDDN, but does not define the requirements of application awareness. [ITU-T Y.3653] defines the high-level functional architecture of bDDN but does not define the functional architecture of application awareness. + +Application awareness is the key capability of bDDN through which the bDDN network can perceive the detailed requirements, context and status of an application. In this Recommendation, application awareness capabilities need to perceive three aspects: application requirement, application status and application context. + +### **Awareness of application requirement** + +The application requirement refers to the quality of service and resource demands of the application. bDDN needs to perceive the data related to application requirement. The application requirements may be carried by the application itself or passed on to the network provider by the service level agreement (SLA). In this case, awareness of application requirements is a simple matter. It is also possible that the application itself does not have a clear SLA or quality of experience (QoS) requirement. In this case, the strategy adopted by bDDN is to use the method defined in [ITU-T Y.3185] and determine what level of service quality and resource parameters are needed for this application. + +### **Awareness of application context** + +The application context, such as network topology, configuration information, and so on, is also required to be collected in bDDN. These data can be used to evaluate and predict the overall state of the network. The application context data can help bDDN analyse the status of resources and help bDDN to better schedule and orchestrate resources. Meanwhile, according to the SLA requirements of the application, when context data changes, bDDN should take corresponding measures to ensure that the QoS of the application is not affected. + +### **Awareness of application status** + +Each application has its running status and corresponding traffic status. bDDN also needs to collect the running status of the application. Also, each application has corresponding traffic when the application starts up. bDDN needs to collect the status of the corresponding traffic of each application, such as traffic bandwidth, traffic delay, traffic jitter, etc. By collecting application + +status and corresponding traffic status data, bDDN can know whether the QoS of the application is met and also understand the characteristics of the application traffic. In this way, it can provide better and refined resource scheduling for the application. + +According to the above-mentioned three aspects of awareness, bDDN can obtain the detailed information about applications, and provide the refined resource orchestration and accurate service for applications. + +# **7 Requirement of application awareness in bDDN** + +### **7.1 General requirements of application awareness of bDDN** + +As described in the previous section, in this Recommendation, application awareness includes three aspects: awareness of application requirement, awareness of application context and awareness of application status. The relevant requirements are listed as follows: + +- It is required that bDDN supports the ability of application requirement awareness. +- It is required that bDDN supports the ability of application context awareness. +- It is required that bDDN supports the ability of application status awareness. + +bDDN also needs to have the ability to provide refined and customized services for applications based on sensed detailed requirements. The relevant requirements are listed as follows: + +- It is required that bDDN supports refined and dynamic resource orchestration mechanisms. +NOTE 1 – Refined resource orchestration refers to bDDN's ability to orchestrate and schedule resources based on detailed requirements and status of applications. +- It is required that bDDN supports the ability and mechanisms to customize service for specific applications. +NOTE 2 – Customised service refers to the ability of application users to specify the network resource and performance, such as path, bandwidth, latency, jitter, and other parameters of service. + +Additionally, bDDN needs artificial intelligence (AI) capabilities to process big data and related computing. The relevant requirements are listed as follows: + +- It is required that bDDN supports capability to process and analysis big data. +- It is recommended that bDDN supports the capability of analysing big data using machine learning and deep learning technology. + +### **7.2 Functional requirements of application awareness** + +#### **7.2.1 Functional requirements for awareness of application requirement** + +To provide more refined services for applications, bDDN needs to be able to provide the capabilities to collect more detailed requirements of the application. The relevant requirements are listed as follows: + +- It is required that the big data plane of bDDN collects the SLA level parameters, including the detailed parameters of each SLA level when operators define multiple SLA level, such as the highest SLA level, the lowest SLA level, the middle SLA level and so on. +- It is recommended that the big data plane of bDDN collects the bandwidth requirement parameters of an application. +- It is recommended that the big data plane of bDDN collects the end-to-end delay requirement parameters of an application. +- It is recommended that the big data plane of bDDN collects the jitter requirement parameters of an application. + +NOTE – The above-mentioned application parameters, such as bandwidth, delay, and jitter, may be explicitly from the SLA. + +#### **7.2.2 Functional requirements for awareness of application context** + +To schedule and orchestrate resources more accurately, bDDN needs to collect the detailed application context information. The relevant requirements are listed as follows: + +- It is required that the big data plane of bDDN collects the configuration context information related to the application. +- It is required that the big data plane of bDDN collects the topology context information related to the application. +- It is recommended that the big data plane of bDDN collects the infrastructure context information of application, such as the state of interface/port, central processing unit (CPU) of switch, memory of switch, etc. +- It is recommended that the big data plane of bDDN collects the forwarding context information related to the application, such as Internet protocol (IP) forwarding table, optical switch table, etc. + +#### **7.2.3 Functional requirements for awareness of application status** + +To guarantee the actual QoS of applications, bDDN needs to collect the status of the application. The relevant requirements are listed as follows: + +- It is required that the big data plane of bDDN collects the path node and interface traversed by the traffic of the application. +- It is recommended that the big data plane of bDDN collects the bidirectional transmission rate of traffic of application. +- It is recommended that the big data plane of bDDN collects the bandwidth usage data of traffic in each device traversed by the application. +- It is recommended that the big data plane of bDDN collects the end-to-end latency data of the application. +- It is recommended that the big data plane of bDDN collects the latency data of traffic in each device traversed by the application. +- It is recommended that the big data plane of bDDN collects the end-to-end jitter data of the application. +- It is recommended that the big data plane of bDDN collects the jitter data of traffic in each device traversed by the application. +- It is recommended that the big data plane of bDDN collects the abnormal information related to the application. + +### **7.3 Functional requirement of SLA guarantee based on application awareness** + +#### **7.3.1 Functional requirements of analysis for application awareness data** + +The relevant requirements are listed as follows: + +- It is recommended that the big data plane of bDDN supports the ability to perform machine learning. +- It is required that the big data plane of bDDN processes and analyses the awareness data automatically. +- It is required that the big data plane of bDDN supports the ability to predict the application status. + +- It is required that the big data plane of bDDN predicts the network status using the AI method of the big data plane. +- It is required that the big data plane of bDDN predicts the end-to-end delay of traffic from the application awareness data. +- It is required that the big data plane of bDDN analyses the reasons when the end-to-end delay cannot meet the requirements. +- It is required that the big data plane of bDDN predicts the end-to-end jitter of traffic from application awareness data. +- It is required that the big data plane of bDDN analyses the reasons when the end-to-end jitter cannot meet the requirements. +- It is required that the big data plane of bDDN predicts the end-to-end accurate bandwidth parameters of traffic from the data collected by application awareness. +- It is required that the big data plane of bDDN analyses the reasons when the bandwidth cannot meet the requirements. +- It is required that the big data plane of bDDN computes the resource consumption of each traffic from application awareness data. + +#### **7.3.2 Functional requirements of SLA guarantee based on application awareness** + +In order to provide better QoS/quality of service (QoE) for applications, bDDN needs to be able to provide fine-grained and even application-level SLA guarantees. According to the application awareness information, the relevant requirements include the following aspects: + +- It is required that bDDN supports a traffic engineering mechanism for application to guarantee the QoS of service. +- It is required that bDDN adjusts the resource allocation policy for applications according to the application awareness data. +- It is required that bDDN establishes the path that meets the SLA requirements of the application according to the awareness data. +- It is required that bDDN predicts the path status according to the awareness data. +- It is required that bDDN adjusts the path resources dynamically to meet the application requirements according to the computing and prediction of the big data plane. +- It is recommended that bDDN establishes the end-to-end logical network that meets the application SLA requirements according to the awareness data. +- It is recommended that bDDN predicts the status of the end-to-end logical network according to the awareness data. +- It is recommended that bDDN adjusts the network resources of the end-to-end logical network dynamically to meet the application requirements according to the awareness data. + +# **8 Functional architecture of application awareness in bDDN** + +Application awareness in this Recommendation only focuses on the awareness of application requirement, application status and application context related to SLA guaranteeing. Application awareness is mainly aimed at those applications that have clear SLA requirements or need to measure the performance parameters and resource conditions of their networks, and adjust network resources when the performance cannot meet the SLA requirements. Application awareness is a feature of the data sensing layer in the big data plane that is defined in [ITU-T Y.3653]. Application awareness consists of three aspects: awareness of application requirement, awareness of application status, and awareness of application context. The functional entities of network awareness are shown in Figure 8-1. + +![Figure 8-1: Functional entities of application awareness for bDDN. The diagram shows three main planes: Big data plane, Functional entities related application awareness, and Network plane. The Big data plane includes layers: Big data intelligence and service layer, Network big data analyser, Network big data repository layer, and Network big data sensing layer (which contains the Data sensing layer). The Functional entities plane is divided into three awareness sections: 1. Awareness of application requirement (containing Application SLA collector and Application requirement collector), 2. Awareness of application context (containing Network topology and configuration collector and Application resources collector), and 3. Awareness of application status (containing Application status sensor and Traffic status sensor). The Network plane includes the Application layer, Control layer, and Infrastructure layer. Dashed arrows labeled 'iBN' indicate communication from the Application layer to the Application requirement collector, from the Control layer to the Application resources collector, and from the Infrastructure layer to the Traffic status sensor. A reference 'Y.3659(25)' is at the bottom right.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Figure 8-1: Functional entities of application awareness for bDDN. The diagram shows three main planes: Big data plane, Functional entities related application awareness, and Network plane. The Big data plane includes layers: Big data intelligence and service layer, Network big data analyser, Network big data repository layer, and Network big data sensing layer (which contains the Data sensing layer). The Functional entities plane is divided into three awareness sections: 1. Awareness of application requirement (containing Application SLA collector and Application requirement collector), 2. Awareness of application context (containing Network topology and configuration collector and Application resources collector), and 3. Awareness of application status (containing Application status sensor and Traffic status sensor). The Network plane includes the Application layer, Control layer, and Infrastructure layer. Dashed arrows labeled 'iBN' indicate communication from the Application layer to the Application requirement collector, from the Control layer to the Application resources collector, and from the Infrastructure layer to the Traffic status sensor. A reference 'Y.3659(25)' is at the bottom right. + +**Figure 8-1 – Functional entities of application awareness for bDDN** + +### 8.1 Functional entity for awareness of application requirement + +#### Application SLA collector + +Applications usually specify their SLA level by gold service, silver service and bronze services, etc. They can be encoded into the QoS level in the IP packet or another format. The application SLA collector in bDDN needs to collect SLA level information and translate it into specific network requirement data according to the network environment and SLA agreement. The SLA data generally does not change throughout the entire lifecycle of the application. So, SLA data is collected at the initial stage of application deployment. In special circumstances, if SLA data changes, the network plane will immediately notify the application SLA collector through the notification interface of intent-based networking (iBN), which is defined in [ITU-T Y.3650], and the application SLA collector will also notify the resource orchestrator for resource scheduling. + +#### Application requirement collector + +The application requirement collector is mainly used to collect the requirements of an application, including bandwidth, delay, jitter, service continuity, reliability and other requirements. The application can specify the values of these requirements explicitly or not. When performance parameters are not specified explicitly, the requirement collector needs to get the requirement parameters based on the method in [ITU-T Y.3185]. Requirement data is collected at the initial stage of application deployment. Application requirement data also does not change during its lifecycle. In special circumstances, if requirement data changes, the network plane will immediately notify the application requirement collector through a notification interface of iBN, and the requirement collector will also notify the resource orchestrator. + +### 8.2 Functional entity for awareness of application context + +#### Network topology and configuration collector + +The network topology collector collects end-to-end network topology related to an application, including links, nodes, forwarding capabilities, etc. bDDN will generate a topology map based on the collected data for network computing and analysis. The network topology collector can get all topology data at once from the controller in the network plane in the initial stage and then set a notification subscription collection mode on the network plane. When the topology changes, the network plane will notify the network topology collector through a notification interface of iBN. + +Network configuration data is also important to the application, including network management configuration, device configuration, security policies configuration, and other aspects. The network configuration data is collected at the initial stage of application deployment. The network configuration collector sets the notification subscription mode in the network plane. When the network configuration changes, the network plane will notify the collector of the network configuration through the notification interface. + +#### **Application resources collector** + +A network is composed of a series of devices, all of which have resources such as connection resources, computing resources, and memory resources. An end-to-end application consumes these resources on the devices it passes through. The utilization rate of these resources by the application is also important data for resource scheduling and orchestration. Therefore, bDDN collects data on the resource utilization of all devices that each application passes through via the application resources collector in the big data plane. These data are also transmitted to the application resources collector through the iBN interface. As the resource utilization rate is constantly changing over time, this part of the data needs to be collected more frequently, and the interval of collection can be determined based on the needs of the application and the ability of the device itself. + +### **8.3 Functional entity for awareness of application status** + +#### **Application status sensor** + +Application status sensor is mainly responsible for collecting the running state of each application, such as start-up, running, finish, fault etc. The running state information can be collected from the application layer in the network plane. + +#### **Traffic status sensor** + +The traffic status of an application plays a crucial role in analysing its long-term characteristics and predicting its future state. Therefore, in addition to measuring application performance, it is more important for bDDN to collect traffic status data for each application. Traffic status data is used to describe the network transmission characteristics of application flow, mainly including the following aspects: + +**Traffic bandwidth:** The bandwidth usage by traffic transmission in the network. + +**Packet latency:** Packet latency is the amount of time it takes for a packet to travel from source to destination across the network. + +**Packet jitter:** Packet jitter is a variation in the delay of received packets in the traffic. + +**Number of packets per second:** The number of data packets transmitted in the network. + +**Packet size:** The size of data packets transmitted in the network, which can be used to determine the efficiency of network data transmission. + +**Packet time interval:** The time interval between two data packets in a network, which can be used to determine the real-time performance of the network. + +**Packet loss rate:** The ratio of data packets lost during measurement to the total number of data packets sent. + +Due to the fact that traffic status is real-time and the amount of data is large, bDDN collects the traffic status at every fixed time interval. At the same time, data compression technology can be used to improve the efficiency of data transmission. + +## 9 Mechanisms of application awareness for bDDN + +Mechanisms of application awareness consist of three parts: mechanisms of application requirement awareness, application status awareness and application context awareness. In addition, the mechanism of resource orchestration based on application awareness is also important for applications. + +### 9.1 Mechanism for awareness of application requirement + +The SLA information of an application may be performance parameters, such as bandwidth, delay, jitter, etc. SLA information may also be the service type, such as enhanced mobile broadband (eMBB), ultra-reliable low-latency communications (uRLLC), massive machine type communication (mMTC). + +The performance parameters of SLA information include the following aspects, but are not limited to: + +- 1) bandwidth parameters +- 2) delay parameters +- 3) jitter parameters. + +If parameters are not provided in SLA, the parameters of application requirement will be calculated using the method from [ITU-T Y.3185]. + +The awareness of application requirement includes two cases: + +- 1) Application has explicit SLA information. +- 2) Application has no explicit SLA information. + +In the first case, the application requests resources by sending an explicit SLA message to the application aware manager, which includes all performance parameters. In this case, the resource orchestrator will compute the explicit path that meets the application's SLA and the resource manager will allocate the corresponding resources. There are usually multiple paths to meet the application SLA. The resource manager will select an optimal path for the application, and select another path as the backup path according to the reliability requirements of the application. + +![Flowchart illustrating the SLA and requirement collection mechanism. The process starts with 'SLA and requirement collect from SLA collector', leading to a decision 'SLA and requirement is explicit'. If 'Yes', it goes to 'Transfer SLA to requirement parameters'. If 'No', it goes to 'Get application classification', then 'Get Historic data, Get application context data, Get network situation data', then 'Get requirement parameters using ITU-T Y.3185 method'. Both paths lead to 'Final requirement parameters'.](70de8885bd7de15723aaad5eb5c5febf_img.jpg) + +``` +graph TD; A[SLA and requirement collect from SLA collector] --> B{SLA and requirement is explicit}; B -- Yes --> C[Transfer SLA to requirement parameters]; B -- No --> D[Get application classification]; D --> E[Get Historic data +Get application context data +Get network situation data]; E --> F[Get requirement parameters using ITU-T Y.3185 method]; C --> G[Final requirement parameters]; F --> G; +``` + +Y.3659(25) + +Flowchart illustrating the SLA and requirement collection mechanism. The process starts with 'SLA and requirement collect from SLA collector', leading to a decision 'SLA and requirement is explicit'. If 'Yes', it goes to 'Transfer SLA to requirement parameters'. If 'No', it goes to 'Get application classification', then 'Get Historic data, Get application context data, Get network situation data', then 'Get requirement parameters using ITU-T Y.3185 method'. Both paths lead to 'Final requirement parameters'. + +Figure 9-1 – SLA and requirement collection mechanism + +In the second case, there is no explicit SLA and requirement information. The awareness method based on [ITU-T Y.3185] is used to compute the network requirement parameters. Figure 9-1 shows the procedure. + +bDDN collects and stores historical application data, including their basic information, configuration information, SLA information, traffic status data, etc. The big data plane of bDDN utilizes machine learning technology to learn the relationship among application and its configuration, network situation, SLA, and QoS from the collected historical data. + +For applications without explicit requirement information, bDDN first classifies the applications based on their request information. Then, according to this information, the big data plane computes the application requirements based on method of [ITU-T Y.3185]. At the same time, bDDN will perceive application context data and network situation data. + +Then the big data plane will send this parameter to the network controller, which will schedule and allocate the network resources. Meanwhile the big data plane collects the performance data and status data of the application. If the performance cannot meet requirements, or there are some faults, alarms, etc., the big data plane will optimize the configuration parameters based on feedback information until the requirements of the application are met. + +### 9.2 Mechanism for awareness of application status + +The mechanism for application status awareness consists of application lifecycle status awareness and its corresponding traffic status awareness. Application lifecycle status can be collected from the service management module of the network plane. + +After the application start-up, the big data plane of bDDN will set up a traffic status sensor for each application. The traffic status sensor is established in the form of a service or VNF to measure the end-to-end performance parameters for the corresponding traffic of application, including bandwidth, end-to-end delay, jitter and other parameters. As shown in Figure 9-2, the traffic status sensor collects the status of traffic from the node passed by the traffic, and the traffic status collector receives the status data from traffic status sensor. The traffic status collector will compute and judge whether the traffic status meets SLA requirements. If it is found that the performance cannot meet the SLA requirements for a period of time, or any problems such as failures and sudden performance degradation occur, the traffic status collector will provide feedback and notify the resource orchestration entity to reallocate new resources. + +![Figure 9-2 – Traffic status awareness mechanism diagram](cb4cfa42ce34febde7bdb882f3fc3094_img.jpg) + +The diagram illustrates the traffic status awareness mechanism. It shows a sequence of three 'Traffic status sensor' blocks (labeled 1, 2, and 3) connected by a horizontal arrow representing the flow of 'Traffic'. Above these sensors is a dashed rectangular box containing a 'Traffic status collector' block. Dashed lines connect the collector to each sensor. Between each sensor and the collector, there is a 'Status data' block. Arrows indicate the flow of status data from each sensor to its corresponding 'Status data' block, and then from each 'Status data' block to the 'Traffic status collector'. + +Figure 9-2 – Traffic status awareness mechanism diagram + +**Figure 9-2 – Traffic status awareness mechanism** + +The bDDN management plane sends awareness tasks to the traffic status collector, including the traffic objects and parameters for measurement. When traffic enters the bDDN domain, the first entry node begins to collect the status data of the measured traffic, while the intermediate node + +collects data along the way hop by hop based on data collection instructions from the traffic status collector and records the data. When the traffic flows out of the awareness node, all collected data are sent to the traffic status collector. + +### 9.3 Mechanism for awareness of application context + +The context information of an application includes device information, configuration parameters of the devices it passes through, as well as resource status information during runtime, such as CPU, memory of switches or routers. The collection of this information is generally obtained through the network management system or an agent on each device and then transmit to the collectors on the big data plane within the domain. + +For topology and configuration information, it is mostly static information and can be easily obtained from a device. For the resource status information such as CPU, memory of network devices, it is necessary to obtain the resource status information of all devices that the application passes through. The topology and configuration information is collected by the topology and configuration collector, as shown in Figure 9-3. The time interval for collecting this data can be negotiated with the device. The data awareness mode can adopt a publish-subscribe mode or a direct reporting mode. + +![Figure 9-3: Mechanism of application context awareness. The diagram shows three network devices (Network device 1, Network device 2, and Network device 3) connected in a sequence. Each device contains three application boxes labeled App1, App2, and App3. Arrows indicate traffic flow from App1 to App2 to App3 across the devices. Above the devices is a dashed box labeled 'Big data plane' containing two collectors: 'Application resource collector' and 'Topology and configuration collector'. Arrows point from each network device to the Big data plane, indicating data collection.](df82d77a0d2637cbf2da9ea920a554fa_img.jpg) + +Figure 9-3: Mechanism of application context awareness. The diagram shows three network devices (Network device 1, Network device 2, and Network device 3) connected in a sequence. Each device contains three application boxes labeled App1, App2, and App3. Arrows indicate traffic flow from App1 to App2 to App3 across the devices. Above the devices is a dashed box labeled 'Big data plane' containing two collectors: 'Application resource collector' and 'Topology and configuration collector'. Arrows point from each network device to the Big data plane, indicating data collection. + +**Figure 9-3 – Mechanism of application context awareness** + +As shown in Figure 9-3, an end-to-end application will pass through multiple devices, and a device will carry multiple applications. The application resource collector of the big data plane will collect interface resources, CPU resources, memory resources, and other resource information occupied by each application on each device. The refined information contributes to more detailed analysis and more detailed learning of applications by the big data plane. The time interval for collecting application resource data can be negotiated with the device. The data awareness mode can adopt a publish-subscribe mode or direct reporting mode. + +## 9.4 Mechanism for resource orchestration based on application awareness + +The big data plane of bDDN will gather the collected SLA requirement data and performance data of each application, and input these data into the analyser of the big data plane. The analyser will give the resources required to meet the SLA for each application based on machine learning with collected data, and generate configuration information based on analysis results. The configuration information is transmitted to the network plane through the interface between the big data plane and + +the network plane, and the network plane is automatically configured. The mechanism for big data-driven resource orchestration is shown in Figure 9-4. + +![Figure 9-4: Mechanism for resource orchestration based on application awareness. The diagram is divided into two main sections: 'Big data plane' and 'Network plane'. In the 'Big data plane', there are four stacked components: 'Resource optimization service' at the top, followed by 'Performance prediction for each application (Delay, jitter, packet loss)', then 'Analyser based on GNN' (represented by a neural network diagram), and 'Network data storage entity' at the bottom. Below the storage entity are 'Application requirement', 'Application context', and 'Application status' entities. Arrows show data flow from the bottom entities up through the storage and analyser to the performance prediction and optimization service. In the 'Network plane', there are three components: 'Application layer' at the top, 'Control layer' in the middle (containing a 'Resource orchestration entity'), and 'Network infrastructure' at the bottom. An arrow labeled 'Resource orchestration' points from the 'Resource optimization service' in the Big data plane to the 'Resource orchestration entity' in the Control layer. Another arrow labeled 'Configuration' points from the 'Resource orchestration entity' down to the 'Network infrastructure'.](ff7ce44f3fdd51bae7b231f34df07c6a_img.jpg) + +Figure 9-4: Mechanism for resource orchestration based on application awareness. The diagram is divided into two main sections: 'Big data plane' and 'Network plane'. In the 'Big data plane', there are four stacked components: 'Resource optimization service' at the top, followed by 'Performance prediction for each application (Delay, jitter, packet loss)', then 'Analyser based on GNN' (represented by a neural network diagram), and 'Network data storage entity' at the bottom. Below the storage entity are 'Application requirement', 'Application context', and 'Application status' entities. Arrows show data flow from the bottom entities up through the storage and analyser to the performance prediction and optimization service. In the 'Network plane', there are three components: 'Application layer' at the top, 'Control layer' in the middle (containing a 'Resource orchestration entity'), and 'Network infrastructure' at the bottom. An arrow labeled 'Resource orchestration' points from the 'Resource optimization service' in the Big data plane to the 'Resource orchestration entity' in the Control layer. Another arrow labeled 'Configuration' points from the 'Resource orchestration entity' down to the 'Network infrastructure'. + +**Figure 9-4 – Mechanism for resource orchestration based on application awareness** + +The analyser of bDDN in Figure 9-4 is a deep learning analyser that uses artificial neural network (ANN) technology, such as deep neural network (DNN) or graph neural network (GNN) technology. This analyser utilizes deep learning technology to model complex relationships between various network entities and different configurations. Specifically, the network system is represented as a relation graph. The nodes of the graph represent network entities with configurations, and the edges of the graph reflect the relationships between nodes. The knowledge of network configurations can be embedded through configuring the attributes of the edge. The bDDN analyser maps the relationship formed by these network configurations to a deep learning framework. Then it uses deep learning techniques to model the network topology. Through this approach, the deep learning analyser can understand the complex relationship between topology, routing, and input traffic, thereby accurately estimating the distribution of packet delay and loss rate for each source-destination pair. Thus, traffic performance prediction such as delay, jitter, and packet loss can be achieved. + +The analyser utilizes the performance predictions (delay, jitter, and packet loss) made by the deep learning model. After evaluating a given set of candidate routing schemes, the optimizer selects a better solution to achieve the optimization goal based on the model's predictions. Especially in configurations that meet loss and jitter constraints, it selects routing schemes that result in lower average latency per source/destination. In the absence of a routing scheme that satisfies the packet loss limit, the analyser selects the route that minimizes the average packet loss. + +When the network awareness entities detect that the performance of the application drops suddenly, or cannot meet the SLA requirements, or some fault occurs, the resource orchestration entity will first select the backup path. If the backup path is still available, it uses the backup path to switch to carry the application. If the backup path is unavailable or no backup path is configured, the resource orchestration entity will notify the route calculation module to recalculate the path. After the calculation is completed, the resource will be configured, and the application will switch to the new path. + +# **10 Security considerations** + +When applying application awareness in bDDN, security best practices should be adopted such as authentication, authorization and access control, as described in [ITU-T Y.2704]. + +In the meantime, operations related to application awareness should have multiple reliability guaranteeing measures in order to avoid incorrect operation of network resources and causing the degradation of network performance. + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3701-202508-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3701-202508-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..42ca3a86f7ad57046c8a51b5d5eaab16a139830b --- /dev/null +++ b/marked/Y/T-REC-Y.3701-202508-I_PDF-E/raw.md @@ -0,0 +1,859 @@ + + +# Recommendation + +## **ITU-T Y.3701 (08/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Big Data + +--- + +**Data handling – Functional requirements of collaborative data processing in data platforms** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3701 + +# Data handling – Functional requirements of collaborative data processing in data platforms + +## Summary + +Recommendation ITU-T Y.3701 provides the functional requirements for collaborative data processing in data platforms. It describes the framework for enabling multiple users and systems to work together on large datasets through integrated data pipelines, shared workspaces, distributed provenance tracking and secure access control. This Recommendation extends established big data activities and roles – such as collaborative data processing (CDP) provider, data service provider and CDP customer – to ensure scalable, reliable and efficient collaborative processing within a big data ecosystem. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3701 | 2025-08-29 | 13 | 11.1002/1000/16451 | + +## Keywords + +Collaborative data processing, data handling, data platform, functional requirement. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------------------------------------|------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview of collaborative data processing..... | 3 | +| 6.1 Data platform and challenges ..... | 3 | +| 6.2 Concept and characteristics of collaborative data processing in data
platforms..... | 4 | +| 6.3 Collaborative data processing service ..... | 5 | +| 6.4 Roles involved in collaborative data processing ..... | 6 | +| 6.5 Logical components for collaborative data processing ..... | 8 | +| 7 Functional requirements ..... | 10 | +| 7.1 Requirements for data pipeline orchestration..... | 10 | +| 7.2 Requirements for collaborative workspace ..... | 11 | +| 7.3 Requirements for dashboards ..... | 11 | +| 7.4 Requirements for distributed data management ..... | 11 | +| 7.5 Requirements for distributed data catalogue management..... | 12 | +| 7.6 Requirements for distributed resource management ..... | 12 | +| 7.7 Requirements for data policy management ..... | 13 | +| 7.8 Requirements for monitoring ..... | 13 | +| 7.9 Requirements for visualization and reporting ..... | 13 | +| 7.10 Requirements for access control and security ..... | 14 | +| 8 Security considerations ..... | 14 | +| Appendix I – Use cases of collaborative data processing..... | 16 | +| I.1 Collaboration between data scientists and data engineers for an ML
project..... | 16 | +| I.2 Establishing a collaborative workspace for a data project ..... | 17 | +| I.3 Batch data processing workflow ..... | 18 | +| I.4 Cross-platform data provenance..... | 19 | +| I.5 Enhancing data security in a collaborative environment..... | 20 | +| I.6 Visualization and reporting in a collaborative environment ..... | 22 | +| I.7 Data quality management in a collaborative environment ..... | 23 | +| I.8 Data policy management in a collaborative environment ..... | 24 | +| Bibliography..... | 26 | + + + +# Recommendation ITU-T Y.3701 + +# Data handling – Functional requirements of collaborative data processing in data platforms + +# 1 Scope + +This Recommendation specifies the overview and functional requirements to support collaborative data processing (CDP) in data platforms. The scope of this Recommendation includes: + +- overview of collaborative data processing in data platforms including characteristics and roles; +- functionalities of CDP in data platforms including logical components; +- functional requirements to support CDP; +- use cases of CDP in data platforms. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [[ITU-T Y.3600](#)] Recommendation ITU-T Y.3600 (2015), *Big data – Cloud computing based requirements and capabilities*. +- [[ITU-T Y.3601](#)] Recommendation ITU-T Y.3601 (2025), *Big data – Framework and requirements for data exchange*. +- [[ITU-T Y.3602](#)] Recommendation ITU-T Y.3602 (2022), *Big data – Functional requirements for data provenance*. +- [[ITU-T Y.3603](#)] Recommendation ITU-T Y.3603 (2023), *Big data – Requirements and conceptual model of metadata for data catalogue*. +- [[ITU-T Y.3605](#)] Recommendation ITU-T Y.3605 (2020), *Big data – Reference architecture*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 big data** [ITU-T Y.3600]: A paradigm for enabling the collection, storage, management, analysis and visualization, potentially under real-time constraints, of extensive datasets with heterogeneous characteristics. + +NOTE – Examples of datasets characteristics include high-volume, high-velocity, high-variety, etc. + +**3.1.2 data catalogue** [ITU-T Y.3601]: A listing of all metadata which a data broker makes available. + +**3.1.3 metadata** [b-ITU-T M.3030]: Data that describes other data. + +NOTE – In this Recommendation, metadata includes structural, administrative or descriptive aspects of data enabling operation and lifecycle management. + +**3.1.4 provenance** [b-ITU-T X.1255]: Information pertaining to any source of information including the party or parties involved in generating it, introducing it and/or vouching for it. + +**3.1.5 role** [b-ITU-T Y.3502]: A set of activities that serves a common purpose. + +**3.1.6 sub-role** [b-ITU-T Y.3502]: A subset of the activities of a given role. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 collaborative data processing:** The process of multiple individuals or systems working together to analyse, manipulate or extract insights from the dataset. + +**3.2.2 data pipeline:** Sequential steps involved in data processing from one or more data sources to one or more destinations in a controlled and automated manner. + +NOTE – A data pipeline involves extracting data from various sources, transforming it into a desired format and loading it into a target system or storage location. + +**3.2.3 data platform:** A system or a set of distributed systems to efficiently manage, process, store and analyse large volumes of data. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|----------------------------------------------| +| AI | Artificial Intelligence | +| BI | Business Intelligence | +| CDP | Collaborative Data Processing | +| CI/CD | Continuous Integration/Continuous Deployment | +| CRM | Customer Relationship Management | +| CSV | Comma Separated Values | +| DAC | Dynamic Access Control | +| DP | Data Provider | +| ETL | Extraction, Transformation and Loading | +| IoT | Internet of Things | +| MFA | Multi-Factor Authentication | +| ML | Machine Learning | +| ODF | Open Document Format for Office applications | +| PDF | Portable Document Format | +| POS | Point of Sale | +| RBAC | Role-Based Access Control | +| SMS | Short Message Service | +| SNS | Social Networking Service | +| SSO | Single Sign-On | + +## 5 Conventions + +The keywords "**is required to**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The appearance of "should" in an appendix or in material explicitly marked as informative are to be interpreted as having no normative intent. + +# 6 Overview of collaborative data processing + +### 6.1 Data platform and challenges + +A data platform is a system or a collection of distributed systems designed to perform various functions within an organization, including data analysis, data discovery, data modelling, data processing, data storage and others. It serves as the underlying infrastructure and offers the necessary tools for managing the entire data life cycle and extracting valuable insights from the data. Figure 6–1 illustrates the concept of a data platform and its functionalities with [ITU-T Y.3605], which outlines a high-level reference architecture that describes the functional components provided by data platforms. + +![Figure 6-1: Concept of data platform and functionalities. The diagram shows a 'Data platform' box on the left with a stack of functions: Data analysis, Data discovery, Data modelling, Data processing, Data storage, and an ellipsis. To the left of this box, three user icons are shown with arrows indicating 'Use data service' (pointing to the platform) and 'Valuable insights' (pointing from the platform). To the right, a dashed box titled 'Functional view of big data reference architecture [ITU-T Y.3605]' contains four layers: 'Access layer' with 'Access control'; 'Application layer' with 'Analysis' and 'Visualization'; 'Processing layer' with 'Aggregation', 'Cleaning', and 'Extract, transform and load'; and 'Data source layer' with 'Data collection' and 'Data storage'. To the right of these layers are three vertical bars labeled 'Analysis supporting systems', 'Data life-cycle management', and 'Security'. The reference ID 'Y.3701(25)' is at the bottom right.](0b87abe67b21a93777287649c33e755d_img.jpg) + +Y.3701(25) + +Figure 6-1: Concept of data platform and functionalities. The diagram shows a 'Data platform' box on the left with a stack of functions: Data analysis, Data discovery, Data modelling, Data processing, Data storage, and an ellipsis. To the left of this box, three user icons are shown with arrows indicating 'Use data service' (pointing to the platform) and 'Valuable insights' (pointing from the platform). To the right, a dashed box titled 'Functional view of big data reference architecture [ITU-T Y.3605]' contains four layers: 'Access layer' with 'Access control'; 'Application layer' with 'Analysis' and 'Visualization'; 'Processing layer' with 'Aggregation', 'Cleaning', and 'Extract, transform and load'; and 'Data source layer' with 'Data collection' and 'Data storage'. To the right of these layers are three vertical bars labeled 'Analysis supporting systems', 'Data life-cycle management', and 'Security'. The reference ID 'Y.3701(25)' is at the bottom right. + +**Figure 6-1 – Concept of data platform and functionalities** + +The demand for data is exploding due to the shift to data-driven problem-solving. Organizations strive to develop reliable decision support systems based on big data analytics or ML that collect as much data as possible to make timely decisions. Typical problems that occur in this process are as follows: + +- **Delayed information sharing:** In data projects that involve multiple experts, relying on traditional channels such as email or scheduled meetings can result in slower response times and hinder collaboration during the decision-making and feedback processes. +- **Data integration and preparation complexities:** Harmonizing data across an organization is complex, and time and resource-consuming. Data from various sources are collected, transformed and merged manually, which increases the risk of errors and inconsistencies. Manual integration is also not scalable and becomes increasingly complex as the volume and variety of data sources grow; + +- **Maintaining data quality:** As determined in advance based on the intended purpose within individual systems, the given data quality changes depending on the purpose of new uses. Therefore, it is essential to make efforts to measure, evaluate, improve and manage data quality according to usage; +- **Limited data accessibility:** Data accessibility is often restricted to a few individuals with expertise in data integration and preparation. This limits the ability of other users to access and work with the data, impeding collaboration and hindering the exploration and utilization of data across the organization. + +### 6.2 Concept and characteristics of collaborative data processing in data platforms + +CDP refers to the process of multiple individuals (users) or systems working together to analyse, manipulate or extract insights from a dataset. It involves collaboration and information sharing among the users in an organization to streamline data-related tasks and ensure that data is accessible, accurate and secure. + +![Figure 6-2: Concept of collaborative data processing diagram. It shows a 'Data platform' box at the top and a 'Users' box at the bottom. Inside the Data platform, a linear flow goes from Creation/Capture to Store, Preparation, Analysis, and Visualization. A curved arrow labeled 'Exchange' loops back from Preparation to Store. Another curved arrow labeled 'Deletion Retirement' loops from Store back to Creation/Capture. A large black arrow labeled 'Collaborative data processing environment' spans the width, listing 'Collaboration and information sharing/Monitoring and feedback/Automation/Scalability'. Below, the 'Users' section shows icons for Data scientist, Data engineer, Business analyst, Security analyst, and others represented by an ellipsis.](e6df2733626a85205c1db682e6259c46_img.jpg) + +``` + +graph LR + subgraph Data_platform [Data platform] + direction LR + CC[Creation Capture] --> S[Store] + S --> P[Preparation] + P --> A[Analysis] + A --> V[Visualization] + P -. Exchange .-> S + S -. Deletion Retirement .-> CC + + subgraph Lifecycle [Data lifecycle in big data ecosystem ITU-T Y.3603] + CC + S + P + A + V + end + end + + CDPE[Collaborative data processing environment +Collaboration and information sharing/Monitoring and feedback/Automation/Scalability] + + subgraph Users [Users] + DS[Data scientist] + DE[Data engineer] + BA[Business analyst] + SA[Security analyst] + ETC[...] + end + + Users --- CDPE + CDPE --- Data_platform + +``` + +Figure 6-2: Concept of collaborative data processing diagram. It shows a 'Data platform' box at the top and a 'Users' box at the bottom. Inside the Data platform, a linear flow goes from Creation/Capture to Store, Preparation, Analysis, and Visualization. A curved arrow labeled 'Exchange' loops back from Preparation to Store. Another curved arrow labeled 'Deletion Retirement' loops from Store back to Creation/Capture. A large black arrow labeled 'Collaborative data processing environment' spans the width, listing 'Collaboration and information sharing/Monitoring and feedback/Automation/Scalability'. Below, the 'Users' section shows icons for Data scientist, Data engineer, Business analyst, Security analyst, and others represented by an ellipsis. + +**Figure 6-2 – Concept of collaborative data processing** + +Figure 6-2 illustrates a CDP environment where multiple users can work together in a data platform and its characteristics. The key characteristics of CDP include: + +- **Collaboration and information sharing** facilitate interactions among users to ensure that data keeps accurate, relevant, and up-to-date; +- **Monitoring and feedback** enable real-time issue identification and resolution as well as continuous improvement of data processing outcomes; +NOTE – Feedback enables users to report any data issues directly within the platform. +- **Automation** automates as many manual, repetitive and error-prone data processing tasks as possible, using tools such as pipelines, workflows, and scripts; +- **Scalability** meets the needs of organizations regardless of whether they handle small amounts of data or large, complex data processing environments (e.g., storage, GPU, memory). + +The application areas of CDP include domains or industries where optimizing data processes is critical. These include: + +- **Big data analytics**, managing large amounts of structured and unstructured data for big data analytics purposes; + +- **Business intelligence (BI)**, improving the speed and accuracy of data-driven decision-making in organizations; +- **Machine learning/artificial intelligence (ML/AI)**, streamlining the development and deployment of ML and AI models; +- **Internet of Things (IoT)**, managing and making sense of the large amounts of data generated by connected devices and sensors in IoT environments; +- **DevOps and continuous integration/continuous deployment (CI/CD)**, integrating data-related processes into DevOps and CI/CD pipelines for faster, more automated and more reliable data-driven decision-making. + +### 6.3 Collaborative data processing service + +Figure 6-3 shows a concept of a collaborative data processing (CDP) service in a data platform. A CDP service enables users to work together to process or analyse large and complex data within a data platform and external data sources by providing various tools, such as: + +- **Shared workspace:** An environment where multiple users collaborate on projects, tasks or documents. It serves a centralized coordination among users working towards common objectives. +- **Data pipelining:** Tools for creating and managing data pipelines, which are sequential steps involved in data processing. These pipelines help move data from various sources to a destination for storage, analysis or further processing, ensuring a streamlined and automated workflow. + +NOTE – Creation of data pipeline includes adding or deleting datasets in the pipeline. + +- **Information sharing:** Real-time tools that enable users to interact, discuss and collaborate effectively while working within the shared workspace. These real-time information-sharing tools facilitate decision-making and problem-solving among users. +- **Data quality management:** Capabilities to assess, improve and maintain the quality of data used for analysis, and decision-making from the different data sources. +- **Data security management:** Measures that allow users to share data securely and control access permissions. These measures ensure that only authorized individuals or teams can access and collaborate on the data. + +![Figure 6-3: Collaborative data processing service in a data platform. The diagram shows a multi-tier architecture. At the top, multiple groups of users (represented by person icons) interact with a 'Collaborative data processing service' layer. This layer contains several functional blocks: 'Shared workspace', 'Data pipelining', 'Information sharing tools', 'Data quality management', 'Data security management', and an ellipsis '...'. Below this service layer is a 'Use data service/Use data' layer. This layer connects to a 'Data platform' layer. The 'Data platform' layer includes an 'External data source' (cylinder icon), four systems ('System #A', 'System #B', 'System #C', 'System #X') each with its own database (cylinder icon), and an 'IoT device'. Arrows indicate data flow: from the 'Data platform' up to the 'Use data service' layer, and from the 'Use data service' layer up to the 'Collaborative data processing service' layer. Additionally, there are vertical arrows between the 'Collaborative data processing service' layer and the user groups at the top.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Figure 6-3: Collaborative data processing service in a data platform. The diagram shows a multi-tier architecture. At the top, multiple groups of users (represented by person icons) interact with a 'Collaborative data processing service' layer. This layer contains several functional blocks: 'Shared workspace', 'Data pipelining', 'Information sharing tools', 'Data quality management', 'Data security management', and an ellipsis '...'. Below this service layer is a 'Use data service/Use data' layer. This layer connects to a 'Data platform' layer. The 'Data platform' layer includes an 'External data source' (cylinder icon), four systems ('System #A', 'System #B', 'System #C', 'System #X') each with its own database (cylinder icon), and an 'IoT device'. Arrows indicate data flow: from the 'Data platform' up to the 'Use data service' layer, and from the 'Use data service' layer up to the 'Collaborative data processing service' layer. Additionally, there are vertical arrows between the 'Collaborative data processing service' layer and the user groups at the top. + +Y.3701(25) + +**Figure 6-3 – Collaborative data processing service in a data platform** + +### 6.4 Roles involved in collaborative data processing + +#### 6.4.1 Overview + +This clause describes an environment, called the CDP ecosystem, through roles and sub-roles. It also defines necessary activities for roles providing and consuming CDP services. + +The CDP ecosystem includes the following roles: + +- CDP provider; +- Data service provider; +- Data provider; +- CDP customer. + +Figure 6-4 illustrates the CDP ecosystem, with the grey dotted box indicating the scope of this Recommendation. + +![Figure 6-4: Roles of collaborative data processing in data platforms. The diagram shows a layered architecture. At the top is the 'CDP customer'. Below it is the 'CDP provider' layer, which contains two hexagonal components: 'CDP service provider' and 'CDP manager'. To the right of the CDP provider is the 'Data service provider'. At the bottom is the 'Data provider' layer. A dashed blue box encloses the CDP customer and CDP provider layers, with a legend indicating 'The scope of this Recommendation'. Reference codes '[ITU-T Y.3600, Y.3601]' are present next to the Data service provider and Data provider layers. The identifier 'Y.3701(25)' is at the bottom right.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +CDP customer + +CDP provider + +CDP service provider      CDP manager + +Data service provider + +[ITU-T Y.3600, Y.3601] + +Data provider + +[ITU-T Y.3600, Y.3601] + +The scope of this Recommendation + +Y.3701(25) + +Figure 6-4: Roles of collaborative data processing in data platforms. The diagram shows a layered architecture. At the top is the 'CDP customer'. Below it is the 'CDP provider' layer, which contains two hexagonal components: 'CDP service provider' and 'CDP manager'. To the right of the CDP provider is the 'Data service provider'. At the bottom is the 'Data provider' layer. A dashed blue box encloses the CDP customer and CDP provider layers, with a legend indicating 'The scope of this Recommendation'. Reference codes '[ITU-T Y.3600, Y.3601]' are present next to the Data service provider and Data provider layers. The identifier 'Y.3701(25)' is at the bottom right. + +**Figure 6-4 – Roles of collaborative data processing in data platforms** + +#### **6.4.2 Collaborative data processing provider** + +##### **6.4.2.1 Collaborative data processing service provider** + +The CDP service provider provides functionalities that enable efficient collaborative data processing. The CDP service provider provides a set of services that facilitate data flow through the interaction of the CDP customers during various data processing steps such as data capture, storage, preparation, analysis and visualization. The CDP service provider's activities include: + +- Providing information-sharing tools; +- Providing data pipelining tools; +- Providing a shared workspace. + +##### **6.4.2.2 Collaborative data processing manager** + +The CDP manager oversees and manages the end-to-end data processing operations within a data platform, ensuring a seamless and efficient flow of data. The CDP manager's activities include: + +- Managing data quality for CDP; +- Managing data security for CDP; +- Managing computing resources and processes that support CDP. + +#### **6.4.3 Data service provider** + +The data service provider supports capabilities for data analytics and computing resources. The data service provider in this Recommendation is the same as the big data service provider in [ITU-T Y.3600], and the details are provided in clause 6.2.2 of [ITU-T Y.3600] and clause 7.2.2 of [ITU-T Y.3601]. + +#### **6.4.4 Data provider** + +The data provider provides data and serves as a connection between data providers and data service providers. The data provider in this Recommendation is the same as the data provider in [ITU-T Y.3600], and the details are provided in clause 6.2.1 of [ITU-T Y.3600] and clause 7.2.1 of [ITU-T Y.3601]. + +#### **6.4.5 Collaborative data processing customer** + +The CDP customer is the end user who utilizes the services from the CDP provider. The CDP customer activities include using CDP services. + +These are the example of CDP customers. + +- A data engineer designs, builds and provisions computing resources that support data processing within a data platform. +- A data scientist analyses data using statistical models, ML algorithms and other techniques to extract insights and drive data-informed decision-making. +- A data steward manages and governs data within an organization. +- A business analyst bridges the gap between business objectives and data-driven insights. +- A DevOps engineer integrates development and operations practices to automate and streamline the deployment, management and maintenance of the data platform. +- A security analyst implements and maintains measures to protect data against unauthorized access, ensuring regulatory compliance and mitigating security risks. + +### 6.5 Logical components for collaborative data processing + +CDP services utilize the functionalities of data platforms, including data analysis, data discovery, data modelling, data processing and data storage. + +NOTE 1 – [ITU-T Y.3602] specifies the functional requirements for data provenance in a big data ecosystem, and [b-ITU-T Y.3607] provides a functional architecture for big data provenance. + +The configuration of logical components for CDP is shown in Figure 6-5. + +![Figure 6-5: Configuration of logical components for collaborative data processing. The diagram shows two main layers. The top layer, 'Collaborative data processing', contains components like Collaborative workspace, Data catalogue integrated management, Data pipeline orchestration, Distributed data provenance, Data quality management, Version control, Access control and security, Data policy management, Visualization and reporting, and Distributed resource management. The bottom layer, 'Data platform', contains Data analysis, Data discovery, Data modelling, Data processing, Data storage, Data provenance, and an ellipsis. Bidirectional arrows connect the two layers. Brackets on the right indicate the 'Scope of this Recommendation' for the top layer and the 'ITU-T Y.3600 series' for the bottom layer. A reference 'Y.3701(25)' is at the bottom right.](1b5a812c8aa20fd5cba28e97001d32de_img.jpg) + +The diagram illustrates the configuration of logical components for collaborative data processing, organized into two main layers: + +- Collaborative data processing (Top Layer):** This layer is enclosed in a large grey box and contains several sub-components: + - Collaborative workspace + - Data catalogue integrated management + - Data pipeline orchestration + - Distributed data provenance + - Data quality management + - Version control + - Access control and security + - Data policy management + - Visualization and reporting + - Distributed resource management + A bracket on the right side of this layer is labeled "Scope of this Recommendation". +- Data platform (Bottom Layer):** This layer is enclosed in a grey box and contains: + - Data analysis + - Data discovery + - Data modelling + - Data processing + - Data storage + - Data provenance + - ... + A bracket on the right side of this layer is labeled "ITU-T Y.3600 series". + +Three bidirectional vertical arrows connect the two layers, indicating interaction. The reference "Y.3701(25)" is located at the bottom right of the diagram. + +Figure 6-5: Configuration of logical components for collaborative data processing. The diagram shows two main layers. The top layer, 'Collaborative data processing', contains components like Collaborative workspace, Data catalogue integrated management, Data pipeline orchestration, Distributed data provenance, Data quality management, Version control, Access control and security, Data policy management, Visualization and reporting, and Distributed resource management. The bottom layer, 'Data platform', contains Data analysis, Data discovery, Data modelling, Data processing, Data storage, Data provenance, and an ellipsis. Bidirectional arrows connect the two layers. Brackets on the right indicate the 'Scope of this Recommendation' for the top layer and the 'ITU-T Y.3600 series' for the bottom layer. A reference 'Y.3701(25)' is at the bottom right. + +**Figure 6-5 – Configuration of logical components for collaborative data processing** + +The logical components shown in Figure 6-5 are as follows: + +- **A collaborative workspace** is an interactive environment designed to facilitate collaboration among CDP customers, in the context of collaborative data processing. This logical component provides capabilities that enable CDP customers to share insights, discuss findings and coordinate effectively in data processing tasks. Key functionalities of a collaborative workspace include: + - real-time information sharing; + - integrated editing, commenting and tagging; + +- task assignment and workflow sharing. + +- **Data pipeline orchestration** is responsible for designing, scheduling and executing data pipelines. It enables CDP customers to collaboratively build, modify and execute these pipelines. The process systematically manages the relationships and dependencies among various steps and tasks, ensuring proper sequencing and coordinated execution. Flexible control over pipeline execution is essential for addressing emergencies and resolving data issues promptly, minimizing disruptions and maintaining operational continuity. +- **Distributed data provenance** is responsible for tracking and recording the history of data as it moves across various data platforms. This logical component offers the capabilities to efficiently manage and integrate records of data provenance across multiple platforms, coordinating the consolidation of provenance information from diverse sources for comprehensive data processing oversight. + +NOTE 2 – A model and operations for big data provenance are described in [ITU-T Y.3602]. + +- **Version control** tracks changes to data pipelines, executable code and configurations, facilitating collaborative development by permitting CDP customers to work in parallel. This logical component also maintains version history and rollback capabilities. +- **Access control and security** utilize robust access control mechanisms to manage user permissions and effectively control data access while incorporating encryption and other data security measures to protect data during CDP. CDP service providers can further enhance security by offering end-to-end encryption capabilities, ensuring that data remains encrypted from its point of origin in distributed data platforms to its consumption by users. + +NOTE 3 – To give some examples of robust access control, RBAC (role-based access control) is permissions attributed to an access control role granting access to an object [b-ITU-T Y.4500.11]. DAC (dynamic access control) adjusts who can access information in a computer system, based on different factors that can change. For example, the system might allow a user to access certain data only when they are connected to the office network but not when they are using public Wi-Fi. + +- **Visualization and reporting** provide capabilities for the graphical representation and communication of data, enabling the creation and sharing of dashboards and detailed reports that offer structured presentations of data. This logical component allows users to effectively visualize a complex dataset and integrate data provenance information to improve understanding of data sources and transformations. It also offers support for generating insights from processed data. + +NOTE 4 – Dashboard refers to a user interface tool that not only visually displays important information but also adapts and updates its content in real-time or near-real-time based on user interactions, data inputs or changes in underlying data sources. Typically aggregating and presenting key data and metrics in an easily interpretable format, dashboards are designed to provide users with a more interactive and clear view of current performance and trends, based on real-time or historical data. + +- **Data catalogue integrated management** interfaces with distributed data platforms for retrieving data catalogues. This logical component provides the capabilities to interconnect and manage distributed data catalogues, enabling CDP customers to effectively discover datasets, tables and data sources across connected data catalogues. Key functionalities of the data catalogue integrated management logical component include: + - centralized management of distributed data catalogues through real-time or periodic synchronization; + - catalogue search integration using an exchangeable data catalogue and API. + +NOTE 5 – Data catalogue integrated management relies on exchangeable data catalogue schemas and real-time data catalogue synchronization that ensures the accuracy and consistency of the integrated data catalogue. + +NOTE 6 – The requirements and a conceptual model of metadata for a data catalogue to support the big data ecosystem are described in [ITU-T Y.3603]. + +- **Data quality management** provides the capabilities to manage data quality across the data lifecycle in a comprehensible manner for a variety of CDP customers. This logical component establishes a mechanism to monitor and maintain data quality throughout the collaborative process. It enables individual CDP customers to observe and manage the impact of their participation in data processes on the overall data quality. +- **Data policy management** provides capabilities to ensure that all data handling and processing activities within the CDP environment comply with relevant regulations, industry standards and data retention policies. This includes harmonizing disparate data policies to resolve conflicts, standardize practices and integrate policies from individual platforms into a unified framework. Additionally, it involves documenting actions, decisions, and events related to data handling, enabling accountability and verifying adherence to established data protection laws and guidelines. +- **Distributed resource management** manages the allocation of computing resources across the distributed data platform, including dynamic resource allocation, monitoring and handling CDP customer requests for resources to be optimized utilization of computational resources efficiently. + +NOTE 7 – Computing resources include CPUs, GPUs, memory, storage capacity, network bandwidth, virtual machines and containers. + +NOTE 8 – Dynamic allocation adjusts resources automatically to match real-time workload demands, ensuring optimal pipeline performance. + +# 7 Functional requirements + +### 7.1 Requirements for data pipeline orchestration + +Data pipeline orchestration requirements include: + +- **(Pipeline designing interface)** It is required that the CDP service provider provide a visual interface for designing data pipelines. + +NOTE 1 – The interface includes drag-and-drop design, workflow connections and validation of pipeline components. +- **(Distributed pipeline creation)** It is required that the CDP manager provide a collaborative creation of distributed data pipelines. +- **(Automated triggers)** It is required that the CDP service provider provide automation triggers that initiate data pipeline executions based on predefined scheduling options or events. + +NOTE 2 – Predefined scheduling options include daily, weekly, monthly and custom intervals to cater to different workflow needs. + +NOTE 3 – Predefined events include data arrival, file changes, database updates or external signals. +- **(Scheduling and execution)** It is required that the CDP service provider provide scheduling of data pipeline executions for each individual data processing step. +- **(Pipeline execution control)** It is required that the CDP manager provide functionality to pause, resume and cancel pipeline executions as needed. +- **(Automated deployment)** It is required that the CDP manager provide automated deployment of the data processing results. + +NOTE 4 – Data processing results include the results of the final stage or ML models. +- **(Pipeline alerts customization)** It is recommended that the CDP manager provide customizable alerts for pipeline status changes. + +NOTE 5 – Customizable alerts refer to notifications or warnings that users tailor to their specific needs or preferences. These alerts are configured based on various conditions, thresholds or events within a system to ensure timely and relevant communication. + +- **(Real-time error resolution)** It is recommended that the CDP manager provide real-time error resolution mechanisms within data pipelines. + +NOTE 6 – Real-time error resolution mechanisms include automated error detection, alerting, retry policies and isolation of erroneous data within the pipeline. + +### 7.2 Requirements for collaborative workspace + +Collaborative workspace requirements include: + +- **(Service integration tools)** It is required that the CDP service provider provide APIs or plugins to enable seamless integration with data services. +- **(Task scheduling)** It is required that the CDP service provider provide scheduling for collaborative tasks within the workspace. +- **(Dashboard collaboration)** It is required that the CDP service provider provide tools for collaborative works on dashboards. + +NOTE 1 – Collaborative works include multi-user editing, commenting and real-time information sharing by chat, messaging, file sharing, etc. + +- **(Workspace template)** It is recommended that the CDP service provider provide pre-configured templates for workspace set-up. + +NOTE 2 – Templates apply to the overall workspace layout and configuration. + +- **(User customization)** It is recommended that the CDP service provider provide user configuration methods according to the preferences and data project requirements. + +NOTE 3 – User configuration methods include user interface customization, notification settings and user-specific dashboard setups. + +### 7.3 Requirements for dashboards + +Dashboard requirements include: + +- **(Interactive dashboards)** It is recommended that the CDP service provider provide interactive dashboards, enabling users to conduct in-depth explorations of data at multiple levels of granularity. + +NOTE 1 – Granularity allows viewing data from broad overviews to fine details. + +- **(Dashboard updates)** It is recommended that the CDP service provider provide real-time data updates of dashboards without requiring a manual refresh. +- **(Dashboard version control)** It is required that the CDP service provider provide version control for dashboards. +- **(Dashboard templates)** It is recommended that the CDP service provider provide pre-designed dashboard templates tailored to common use cases. + +NOTE 2 – Templates apply to dashboards specifically and are independent of workspace configurations. + +- **(Custom dashboard)** It is recommended that the CDP service provider provide customizing dashboards. + +NOTE 3 – Customization includes drag-and-drop elements, filters and visualization selection for individual preferences. + +### 7.4 Requirements for distributed data management + +Distributed data management requirements include: + +- **(Quality tracking)** It is recommended that the CDP manager provide historical tracking of data quality metrics over time. +- **(Quality benchmarking)** It is recommended that the CDP manager provide benchmarking capabilities for data quality metrics. +NOTE 1 – Benchmarking allows users to compare their data quality metrics against industry standards or organizational targets. +- **(Feedback loop)** It is recommended that the CDP service provider provide an integrated feedback loop mechanism. +NOTE 2 – An integrated feedback loop mechanism includes in-app feedback tools, user surveys, polls, commenting and annotation, and change requests. +- **(Collaborative assessment)** It is required that the CDP manager provide data quality assessment with multiple user participation. +NOTE 3 – Multiple user participation allows collaborative identification of data issues, collective decision-making on data cleaning rules and shared responsibilities for maintaining data quality. +- **(Quality version control)** It is required that the CDP manager provide version control mechanisms for tracking and managing changes in data quality management processes. +- **(Provenance report)** It is required that the CDP service provider provide customizable data provenance reports based on data policy. +- **(Provenance schema)** It is recommended that the CDP service provider provide an exchangeable data provenance information schema to track the changes applied to data across platforms. +NOTE 4 – A conceptual schema of provenance information is defined in [ITU-T Y.3602]. +- **(Provenance visualization)** It is required that the CDP service provider provide provenance information visualization. +NOTE 5 – Visualization of provenance information enables users to view, understand and analysis data provenance across different data platforms. + +### 7.5 Requirements for distributed data catalogue management + +Distributed data catalogue management requirements include: + +- **(Data catalogue integration)** It is recommended that the CDP service provider provide data catalogue integration from multiple connected data platforms. +- **(Data catalogue synchronization)** It is recommended that the CDP service provider provide data catalogue synchronization across distributed data catalogues within the multiple connected data platforms. +- **(Connectivity testing)** It is required that the CDP service provider provide a connectivity testing method for the data source in the multiple connected data platforms. +- **(Catalogue APIs)** It is required that the CDP service provider provide APIs to search data catalogues for the multiple connected data platforms. +- **(Exchangeable data catalogue)** It is required that the CDP service provider provide a exchangeable data catalogue from different data platforms. +NOTE – A conceptual schema of a data catalogue is defined in [ITU-T Y.3603]. + +### 7.6 Requirements for distributed resource management + +Distributed resource management requirements include: + +- **(Dynamic resource allocation)** It is recommended that the CDP manager provide dynamic resource allocation for pipelines based on workload. + +- **(Authorized resource assignment)** It is required that the CDP manager provide the authorized computing resources for execution. +- **(Execution authorization)** It is required that the CDP manager provide authorization mechanisms to execute functionalities in data platforms. +- **(Centralized storage)** It is recommended that the CDP manager provide a centralized storage for processing distributed data and storing the result. + +### 7.7 Requirements for data policy management + +Data policy management requirements include: + +- **(Data policy creation)** It is required that the CDP service provider provide a collaborative data policy creation tool that enables users from different data platforms. +- **(Data policy integration)** It is required that the CDP service provider provide integration of data policies from various sources into a unified set. +- **(Data policy updates)** It is required that the CDP service provider provide updating of data policies so that changes to policies are promptly incorporated. +- **(Data policy testing)** It is required that the CDP service provider provide data policy testing to validate changes before enforcement. +NOTE – Data policy testing reduces the risk of unintended consequences from policy updates. +- **(Data policy enforcement)** It is required that the CDP service provider provide enforcement of data policies across all data processing activities. + +### 7.8 Requirements for monitoring + +Monitoring requirements include: + +- **(Real-time error detection)** It is recommended that the CDP service provider provide real-time error detection. +- **(Real-time system monitoring)** It is required that the CDP service provider provide real-time monitoring to enable oversight of access to data and system activities. +NOTE 1 – System monitoring includes resource usage, user activities, data access logs and security events. +- **(Data process monitoring)** It is recommended that the CDP manager provide data process monitoring. +NOTE 2 – Data process monitoring includes real-time and execution results of components per schedule. +- **(Real-time notification)** It is recommended that the CDP service provider provide real-time notification of collaboration tasks. +NOTE 3 – Notifications include task updates, status changes and deadlines to enhance team collaboration. + +### 7.9 Requirements for visualization and reporting + +Visualization and reporting requirements include: + +- **(Report editing)** It is required that the CDP service provider provide collaborative editing and commenting on reports. +- **(Report distribution)** It is recommended that the CDP service provider provide distribution of reports with various communication channels directly. +NOTE 1 – Communication channels include email, SNS, SMS and instant messaging apps. +- **(Report export)** It is recommended that the CDP service provider provide the export of reports in various formats. + +NOTE 2 – Examples of report formats are PDF, CSV and ODF. + +- **(Pipeline structure visualization)** It is required that the CDP service provider provide visualization of the data pipeline's structure and flow. + +NOTE 3 – Visualization includes pipeline stages, dependencies and execution progress for monitoring purposes. + +- **(Report version control)** It is required that the CDP service provider provide version control for collaborative reports. +- **(Visualization annotation)** It is recommended that the CDP service provider provide annotation and inline commenting on visualizations. + +NOTE 4 – Annotations apply to visual elements such as graphs, charts and dashboards for enhanced collaboration. + +### 7.10 Requirements for access control and security + +Access control and security requirements include: + +- **(Access control)** It is required that the CDP manager provide robust access control mechanisms. +- **(Authentication)** It is required that the CDP manager provide authentication mechanisms to identify users. +- **(MFA)** It is recommended that the CDP manager provide MFA (multifactor authentication). + +NOTE 1 – MFA is a security mechanism that requires users to provide two or more verification factors to gain access to a resource, such as an application, online account or a VPN. + +- **(Data encryption and decryption)** It is recommended that the CDP manager provide data encryption and decryption. +- **(Masking sensitive data)** It is recommended that the CDP manager provide masking of sensitive data in query results. +- **(Session timeout)** It is required that the CDP manager provide session timeout mechanisms to automatically log out inactive users. +- **(SSO)** It is required that the CDP manager provide SSO (single sign-on) to enable users to access other CDP platform's integrated data services using their own CDP platform credentials. +- **(Logging)** It is required that the CDP manager provide logging capabilities to record information about access and activities within data pipelines and system operations. + +NOTE 2 – Logging focuses on operational insight by capturing system events, such as pipeline execution, performance metrics and errors. + +- **(Audit logging)** It is required that the CDP manager provide audit logging capabilities to validate oversight of data access and system activities. + +NOTE 3 – Audit logging focuses on compliance, accountability and security by recording user actions, system access events and changes to critical configurations. + +## 8 Security considerations + +Relevant security requirements of [b-ITU-T Y.2201], [b-ITU-T Y.2701] and applicable X, Y and M-series of ITU-T Recommendations need to be taken into consideration, including access control, authentication, data confidentiality, data retention policy, network security, data integrity, availability and protection of personal information. + +From the perspective of integrating with data service providers, the security challenges and protection measures for big data as a service, as detailed in [b-ITU-T X.1750], [b-ITU-T X.1751] and [b-ITU-T X.1752], need to be taken into account. These Recommendations provide comprehensive + +security guidelines for managing vulnerabilities throughout the big data lifecycle and offer a framework to counter security threats to big data infrastructure and platforms. + +Security aspects that need to be considered when securely combining de-identified datasets provided by different organizations in a CDP environment can also be addressed by [b-ITU-T X.1771]. + +## Appendix I + +## Use cases of collaborative data processing + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Collaboration between data scientists and data engineers for an ML project + +| Title | Collaboration between data scientists and data engineers for an ML project | +|---------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

A retail company aims to extract valuable insights from some data to inform decision-making in the CDP environment. The data scientists provide expertise in designing and testing statistical models while the data engineers build and maintain the data infrastructure needed to support the project.

  1. 1) Data scientists work with business stakeholders to understand their requirements and define the problem they want to solve with machine learning.
  2. 2) Data scientists ingest and prepare the necessary data for the ML project.
  3. 3) Data engineers work with data scientists to set up a data pipeline to move the data from the source to a centralized storage location.
  4. 4) Data engineers work with data scientists to design a schema for the data in the centralized storage location.
  5. 5) Data scientists use the data in the centralized storage location to build and train an ML model.
  6. 6) Data engineers work with data scientists to automate the deployment of the machine learning model into a production environment.
  7. 7) Data scientists monitor the performance of the machine learning model in production and make any necessary improvements.
| +| Role or sub-role |

CDP customer
CDP provider:CDP manager
CDP provider:CDP service provider

| +| Figure (optional) | Diagram illustrating the collaboration between business stakeholders, data scientists, and data engineers for an ML project. The diagram shows a 'Business stakeholder' (with 'Business requirements') interacting with a 'CDP service' (which includes 'Access control', 'Real-time information sharing', 'Build and monitor data pipeline', and 'Automate deployment'). The 'CDP service' is part of a 'Data platform' that includes 'Data service' (represented by four database icons) and 'Centralized storage' (represented by a single database icon). A 'Data pipeline' connects the 'Data service' to the 'Centralized storage'. The 'Data scientist' and 'Data engineer' roles are shown interacting with the 'CDP service' and the 'Data platform' components.

The diagram illustrates the collaboration between business stakeholders, data scientists, and data engineers for an ML project. It shows a 'Business stakeholder' (with 'Business requirements') interacting with a 'CDP service' (which includes 'Access control', 'Real-time information sharing', 'Build and monitor data pipeline', and 'Automate deployment'). The 'CDP service' is part of a 'Data platform' that includes 'Data service' (represented by four database icons) and 'Centralized storage' (represented by a single database icon). A 'Data pipeline' connects the 'Data service' to the 'Centralized storage'. The 'Data scientist' and 'Data engineer' roles are shown interacting with the 'CDP service' and the 'Data platform' components.

Y.3701(25)

| +| Pre-conditions (optional) | | + +| Title | Collaboration between data scientists and data engineers for an ML project | +|-----------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Post-conditions (optional) | | +| Derived requirements or recommendations |
  • – Access control
  • – Dashboard collaboration
  • – Centralized storage
  • – Scheduling and execution
  • – Automated deployment
  • – Data process monitoring
  • – Execution authorization
  • – Authorized resource assignment
| + +### I.2 Establishing a collaborative workspace for a data project + +| Title | Establishing a collaborative workspace for a data project | +|------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

In the ever-evolving realm of data-driven decision-making, organizations recognize the need for a cross-functional data team. This team, composed of data engineers, data scientists, analysts, data governance specialists and domain experts, converges within the CDP platform.

Establishing a virtual team within the CDP platform, several key tasks are undertaken for a smooth and effective start to the team's collaborative efforts, such as:

  • – creating user accounts for team members on the CDP platform;
  • – defining and configuring a RBAC policy and assigning appropriate permissions to team members based on their roles and responsibilities;
  • – creating a virtual workspace or project environment within the CDP platform;
  • – configuring collaboration tools, such as chat, messaging and file sharing within the workspace;
  • – integrating relevant data analysis, modelling and visualization tools.
| +| Role or sub-role |

CDP customer

CDP provider:CDP service provider

| + +| Title | Establishing a collaborative workspace for a data project | +|-----------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure (optional) |

Image: Diagram illustrating the establishment of a collaborative workspace for a data project. The diagram shows a 'CDP service' box containing a 'Project XXX' box, which in turn contains a 'Virtual workspace' box. The 'Virtual workspace' box includes 'Chat', 'Messaging', 'File sharing', and 'Integrated functionalities from data service'. Below the 'CDP service' box is a 'Data platform' box containing 'Data analysis', 'Data discovery', 'Data modelling', 'Data processing', 'Data storage', and 'Data provenance'. A double-headed arrow connects the 'CDP service' and 'Data platform' boxes. To the right, three steps are listed: (1) Establishing project team, configuring virtual workspace; (2) Integrating data services and data sources from connected data platform; (3) Use CDP services. These steps are connected to a group of people icons labeled 'CDP customers (Data project team)'.

CDP service

Project XXX

Virtual workspace

Chat Messaging

File sharing ...

Integrated functionalities from data service

Data platform

Data analysis Data discovery Data modelling

Data processing Data storage Data provenance ...

(1) Establishing project team, configuring virtual workspace

(2) Integrating data services and data sources from connected data platform

(3) Use CDP services

CDP customers (Data project team)

Y.3701(25)

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements or recommendations |
  • – Access control
  • – SSO
  • – Dashboard collaboration
  • – Service integration tools
  • – User customization
  • – Task scheduling
  • – Workspace template
  • – Real-time system monitoring
  • – Real-time notification
| + +### I.3 Batch data processing workflow + +| Title | Batch data processing workflow | +|-------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

Company wants to automate its daily sales data processing, including data extraction, transformation and loading (ETL) into a data warehouse. They need a reliable and automated solution to handle this process efficiently.

  • – Data extraction: Data pipeline orchestration triggers the extraction of daily sales data from various point-of-sale systems and online stores.
  • – Data transformation: It then applies transformations, such as data cleansing, enrichment and aggregation, to ensure data quality.
  • – Data loading: The processed data is loaded into a local data platform for analytics.
  • – Error handling: The pipeline detects errors, logs them and sends alerts for immediate resolution.
| + +| Title | Batch data processing workflow | +|-----------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – Scheduling: The pipeline is scheduled to run automatically at the end of each business day.
| +| Role or sub-role | CDP provider:CDP service provider
CDP customer | +| Figure (optional) |

Image: Diagram of a Batch data processing workflow. CDP customers interact with a CDP service (Data pipeline orchestration). The service triggers extraction of daily sales data from Online store #A, Online store #B, and an Inventory management system. This data is then aggregated/transformed into a Local data platform, resulting in Transformed data. The process is scheduled and monitored by the CDP service.

The diagram illustrates a batch data processing workflow. On the left, 'CDP customers' (represented by three people icons) are shown. On the right, the 'CDP service' (Data pipeline orchestration) is shown. The workflow consists of three main steps: (1) Build a data pipeline schedule a data pipeline, (2) Trigger the extraction of daily sales data, and (3) Trigger data aggregation/Transformation/Loading. The extraction step involves pulling data from three sources: 'Online store #A', 'Online store #B', and an 'Inventory management system'. These sources feed into a 'Daily sales data Inventory data' box. This data is then processed and transformed into 'Transformed data' within a 'Local data platform'. The CDP service orchestrates the entire process, including scheduling and triggering the extraction and transformation steps. The diagram is labeled Y.3701(25) in the bottom right corner.

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements or recommendations |
  • – Scheduling and execution
  • – Automated triggers
  • – Real-time system monitoring
  • – Logging
  • – Real-time error detection
  • – Real-time error resolution
  • – Pipeline execution control
  • – Dynamic resource allocation
  • – Pipeline alerts customization
| + +### I.4 Cross-platform data provenance + +| Title | Cross-platform data provenance | +|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

A multinational corporation has data stored in various data platforms across different regions. They need to track the provenance of customer data from the point of collection to its use in analytics while complying with data privacy regulations.

  • – Data collection: Data is collected from customers through web applications and stored in local databases.
  • – Data aggregation and transformation: Data is periodically aggregated from regional databases to a user's data lake. Data undergoes transformations for cleansing and anonymization.
  • – Analytics: Data analysts use data for market segmentation and product recommendations.
| + +| Title | Cross-platform data provenance | +|-----------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • Compliance reporting: Detailed data provenance reports are generated for compliance auditing.
| +| Role or sub-role | CDP provider:CDP service provider
CDP customer | +| Figure (optional) | | +| Pre-conditions (optional) | Data catalogues in Regions 1 to 3 are registered to the integrated data catalogue in the CDP platform. | +| Post-conditions (optional) | Diagram of Cross-platform data provenance architecture and process flow.

The diagram illustrates the cross-platform data provenance architecture and process flow. It shows CDP customers interacting with a CDP service and a Data lake. The CDP service includes Distributed data provenance management and an Integrated data catalogue. The Data lake includes an Aggregation component. Three Data platforms (#1, #2, #3) are shown, each with its own Data catalogue, Provenance information, and Transformation components. The process flow is as follows: (1) Search data from multiple data sources and creating a pipeline for moving, transforming, and storing selected data. (2) Data are transformed and moved to target data platform. (3) Data are aggregated to fit for the data lake. (4) Request/Review provenance information with visualization tool. A pre-condition is to Register data catalogue.

Y.3701(25)

| +| Derived requirements or recommendations |
  • Exchangeable data catalogue
  • Catalogue APIs
  • Data catalogue synchronization
  • Connectivity testing
  • Data catalogue integration
  • Provenance schema
  • Provenance visualization
  • Provenance report
| + +### I.5 Enhancing data security in a collaborative environment + +| Title | Enhancing data security in a collaborative environment | +|-------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

A company utilizes a CDP environment to facilitate collaboration among data scientists, data engineers and analysts who are located in different regions. The company handles sensitive financial data, including personal information of clients, transaction histories and proprietary financial models. This data should be protected from unauthorized access while promoting efficient collaboration within the CDP environment.

  • The person in charge of the company defines specific user roles within the CDP environment, such as data analyst, data engineer and project manager, each with tailored access rights to data and resources based on the principle of least privilege.
| + +| Title | Enhancing data security in a collaborative environment | +|-----------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – The company establishes dynamic access control policies that adjust access rights based on the context, such as the project phase, data classification and user location, to mitigate the risk of data exposure.
  • – The company integrates secure authentication mechanisms, including MFA and SSO, to ensure that users can access the CDP environment and connected data services securely and conveniently.
  • – All sensitive data within the CDP environment is encrypted both at rest and in transit to protect against data interception and unauthorized access.
  • – The CDP environment is equipped with comprehensive audit logging and real-time monitoring capabilities to track access to data and detect suspicious activities, facilitating swift response to potential security incidents.
| +| Role or sub-role | CDP customer
CDP provider:CDP service provider | +| Figure (optional) |

Image: Diagram of the CDP service architecture showing data scientists, engineers, and analysts interacting with a CDP service that includes data policy management, access control and security, integrated data service, and data encryption, all connected to three data platforms.

The diagram illustrates the CDP service architecture. On the left, a box contains three user groups: Data scientists, Data engineers, and Data analysts. Arrows show their interactions with the CDP service components. Data scientists and Data engineers have arrows pointing to 'Assign access rights to data for each CDP customer' and 'Login using SSO and MFA'. Data analysts have an arrow pointing to 'Use data service'. The CDP service is a large box containing 'Data policy management', 'Access control and security', 'Integrated data service' (dashed box), and 'Data encryption'. A dashed arrow labeled 'Establish DAC policy' points from 'Data policy management' to 'Access control and security'. An arrow labeled 'Monitor and logging' points from 'Access control and security' to 'Integrated data service'. Three 'Data platform' boxes (#1, #2, #3) at the bottom have arrows pointing to the 'Integrated data service' box. The reference 'Y.3701(25)' is at the bottom right.

| +| Pre-conditions (optional) | The company has defined access rights to data held by each data platform. | +| Post-conditions (optional) | | +| Derived requirements or recommendations |
  • – Access control
  • – SSO
  • – Authentication
  • – MFA
  • – Session timeout
  • – Masking sensitive data
  • – Data encryption and decryption
  • – Real-time system monitoring
  • – Audit logging
| + +### I.6 Visualization and reporting in a collaborative environment + +| Title | Visualization and reporting in a collaborative environment | +|------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +|

Description

|

A company operates a vast network of stores and online shopping platforms. The company has recently adopted a CDP platform to streamline data analytics processes and foster collaboration among its global team of data scientists, business analysts and marketing specialists. The primary goal is to leverage data for better decision-making, enhanced customer insights and optimized operations.

  • – Data scientists and analysts need to create dashboards that visualize sales data, customer feedback and inventory levels across regions. These dashboards are customizable to cater to the specific needs of different departments.
  • – Teams from various departments collaborate on a quarterly market analysis report. The process involves integrating data from multiple sources and enabling simultaneous contributions and reviews.
  • – The marketing team seeks access to real-time campaign performance data to make timely adjustments. They benefit from dashboards that update automatically as new data comes in.
| +|

Role or sub-role

|

CDP customer
CDP provider: CDP service provider

| +|

Figure (optional)

| Diagram of CDP service architecture showing collaboration between Data scientists, Data engineers, and Data analysts. The CDP service includes a central 'Access control and security' module, a 'Data pipeline orchestration' layer, and three 'Data platform' instances (#1, #2, #3). Data scientists can customize and modify dashboards, comment on reports, and distribute reports. Data engineers and analysts interact with the CDP service through the access control and security module. The CDP service visualizes data pipeline with real-time data and provides reports. The diagram is labeled Y.3701(25).

The diagram illustrates the CDP service architecture. On the left, a box contains three roles: Data scientists, Data engineers, and Data analysts. Data scientists have arrows pointing to 'Customize dashboard' and 'Modify dashboard' boxes, which then point to the 'Access control and security' module. Data engineers have an arrow pointing to 'Comment on report', which points to the 'Access control and security' module. Data analysts have an arrow pointing to 'Distribute report', which points to the 'Access control and security' module. The 'Access control and security' module is a vertical bar that connects to the 'Data pipeline orchestration' layer. The 'Data pipeline orchestration' layer is a horizontal bar that connects to three 'Data platform' instances (#1, #2, #3). The 'Data pipeline orchestration' layer also connects to a 'Visualize data pipeline with real-time' box, which then connects to a '<Dashboard>' box. The '<Dashboard>' box connects to a '<Report>' box. The '<Report>' box connects to a 'Data pipeline orchestration' box. The 'Data pipeline orchestration' box connects to the 'Data platform' instances. The diagram is labeled Y.3701(25).

| +|

Pre-conditions (optional)

| | +|

Post-conditions (optional)

| | +|

Derived requirements or recommendations

|
  • – Custom dashboard
  • – Dashboard updates
  • – Dashboard templates
  • – Dashboard collaboration
  • – Dashboard version control
  • – Report editing
  • – Report version control
  • – Pipeline structure visualization
  • – Visualization annotation
| + +| Title | Visualization and reporting in a collaborative environment | +|-------|-------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • – Access control
  • – Interactive dashboard
  • – Report export
  • – Report distribution
| + +### I.7 Data quality management in a collaborative environment + +| Title | Data quality management in a collaborative environment | +|---------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

A retail company is a large retail chain that leverages a CDP platform to analyse customer behaviour, sales performance and inventory management. The platform is used by a diverse team of data scientists, business analysts and marketing experts. Due to the vast amount of data collected from various sources, including online transactions, customer feedback and in-store purchases, the company faces challenges in maintaining data quality. To enhance data quality management across CDP platform, ensuring high-quality, reliable data for informed decision-making and reporting, it considers the following.

  • – The CDP platform aggregates data from various sources, including e-commerce websites, CRM (customer relationship management) systems, and POS (point-of-sale) systems in stores. This process often results in duplicate, incomplete or inconsistent data entries.
  • – Data scientists dedicate time to cleaning and standardizing the aggregated data before it can be analysed. This includes correcting errors, filling in missing values and ensuring consistent formats across datasets.
  • – Before launching a new marketing campaign, the marketing team needs to verify that the customer data they intend to use is accurate and up-to-date.
  • – Business analysts are responsible for producing regular reports on data quality metrics to monitor the health of the data over time.
| +| Role or sub-role | CDP customer
CDP provider:CDP service provider | +| Figure (optional) |

Image: Diagram of Data Quality Management in a Collaborative Environment. The diagram shows a central 'CDP service' box containing a '<Dashboard>' with 'Data quality monitoring' and 'Data quality assessment and enhancement' components. A vertical bar labeled 'Access control and security' is between the dashboard and a group of roles on the left: 'Data scientists' and 'Business analysts'. Arrows show 'Data scientists' performing 'Monitor data quality', 'Define data quality requirements', and 'Assess data quality', while 'Business analysts' provide 'Feed back'. The dashboard also feeds into 'Data pipeline orchestration', which connects to three 'Data platform' boxes (#1, #2, #3). A feedback loop labeled 'Iteration' connects 'Data quality assessment and enhancement' back to 'Aggregates data'.

The diagram illustrates the data quality management process. On the left, a box contains icons for 'Data scientists' and 'Business analysts'. Arrows indicate their interactions with the 'CDP service' and each other. 'Data scientists' send 'Monitor data quality', 'Define data quality requirements', and 'Assess data quality' signals. 'Business analysts' provide 'Feed back'. The 'CDP service' contains a '<Dashboard>' with 'Data quality monitoring' and 'Data quality assessment and enhancement' components, separated by an 'Access control and security' barrier. The dashboard feeds into 'Data pipeline orchestration', which connects to three 'Data platform' boxes (#1, #2, #3). A feedback loop labeled 'Iteration' connects 'Data quality assessment and enhancement' back to 'Aggregates data'.

| +| Pre-conditions (optional) | | +| Post-conditions | | + +Y.3701(25) + +| Title | Data quality management in a collaborative environment | +|-----------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| (optional) | | +| Derived requirements or recommendations |
  • – Collaborative assessment
  • – Quality tracking
  • – Quality benchmarking
  • – Quality version control
  • – Custom dashboard
  • – Feedback loop
| + +### I.8 Data policy management in a collaborative environment + +| Title | Data policy management in a collaborative environment | +|------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Description |

A health-care company utilizes a CDP platform to share, analyse and manage vast amounts of health data across borders and institutions. Given the sensitive nature of health data and varying international data protection regulations, they face the challenge of ensuring that all collaborative data handling complies with global and local data privacy standards, ethical guidelines and consortium agreements.

To establish a robust data policy management system within the CDP environment that ensures compliance, fosters trust among participants and enhances collaborative health data analysis efforts, it considers the following.

  • – A company needs a unified policy management to maintain consistency in data policy interpretation and enforcement across diverse data sources from different countries and institutions.
  • – With data policies varying significantly between regions and types of data (e.g., patient records versus anonymized study data), the company requires integration of these policies into a cohesive set that respects all legal and ethical obligations.
  • – To ensure data is used appropriately for research and health-care improvement, the company mandates consistent enforcement of the unified data policies across all data processing and analysis activities within the collaborative platform.
  • – A centralized policy dashboard is essential to monitor compliance, manage policies and address potential issues promptly across all collaborative projects and platforms.
  • – Given the evolving nature of data protection laws, the company needs automated policy updates within the CDP platform to reflect changes in regulations and ensure continuous compliance.
  • – To accommodate the diverse interests and requirements of its global partners, the company introduces a collaborative data policy creation tool, facilitating consensus and adherence to shared data handling standards.
| +| Role or sub-role |

CDP customer

CDP provider: CDP service provider

| + +| Title | Data policy management in a collaborative environment | +|-----------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Figure (optional) |

Image: Diagram of Data policy management in a collaborative environment. The diagram shows a central 'CDP service' box containing 'Data policy management', 'Data policy creation', 'Data policy integration', 'Data policy update', and 'Data pipeline orchestration'. A 'Data policy dashboard' is connected to 'Data policy management'. On the left, a box contains 'Data scientists', 'Security analyst', and 'Data analysts'. An 'Analyse data' arrow points from this box to 'Data policy management'. Dashed arrows connect 'Data policy creation', 'Data policy integration', and 'Data policy update' to three 'Data platform' boxes (#1, #2, #3) at the bottom. Solid arrows connect 'Data pipeline orchestration' and 'Data policy enforcement' to these platforms. Each platform contains a 'Data policy' box and a database icon. The reference 'Y.3701(25)' is at the bottom right.

Y.3701(25)

| +| Pre-conditions (optional) | | +| Post-conditions (optional) | | +| Derived requirements or recommendations |
  • – Data policy integration
  • – Data policy enforcement
  • – Data policy testing
  • – Data policy updates
  • – Data policy creation
| + +## Bibliography + +- [[b-ITU-T M.3030](#)] Recommendation ITU-T M.3030 (2002), *Telecommunications Markup Language (tML) framework*. +- [[b-ITU-T X.1255](#)] Recommendation ITU-T X.1255 (2013), *Framework for discovery of identity management information*. +- [[b-ITU-T X.1750](#)] Recommendation ITU-T X.1750 (2020), *Guidelines on security of big data as a service for big data service providers*. +- [[b-ITU-T X.1751](#)] Recommendation ITU-T X.1751 (2020), *Security guidelines for big data lifecycle management by telecommunication operators*. +- [[b-ITU-T X.1752](#)] Recommendation ITU-T X.1752 (2022), *Security guidelines for big data infrastructure and platform*. +- [[b-ITU-T X.1771](#)] Recommendation ITU-T X.1771 (2024), *Security guidelines for combining de-identified data using trusted third party*. +- [[b-ITU-T Y.2201](#)] Recommendation ITU-T Y.2201 (2009), *Requirements and capabilities for ITU-T NGN*. +- [[b-ITU-T Y.2701](#)] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [[b-ITU-T Y.3502](#)] Recommendation ITU-T Y.3502 (2014), *Information technology – Cloud computing - Reference architecture*. +- [[b-ITU-T Y.3607](#)] Recommendation ITU-T Y.3607 (2023), *Big data – Functional architecture for data provenance*. +- [[b-ITU-T Y.4500.11](#)] Recommendation ITU-T Y.4500.11 (2018), *oneM2M – Common terminology*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3801-202004-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg b/marked/Y/T-REC-Y.3801-202004-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..e65717dd07972d4823575807ee1b935fcbec4bd6 --- /dev/null +++ b/marked/Y/T-REC-Y.3801-202004-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:bde5c32c1d5c777fa8aa61253887d1c158e532ab5a3573f4ceb9fbd03b250e75 +size 4155 diff --git a/marked/Y/T-REC-Y.3801-202004-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3801-202004-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..087a14c94b7f5a891d46f8b7956c576c7a2b02ff --- /dev/null +++ b/marked/Y/T-REC-Y.3801-202004-I_PDF-E/raw.md @@ -0,0 +1,431 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.3801 + +(04/2020) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Cloud Computing + +# --- **Functional requirements for quantum key distribution networks** + +Recommendation ITU-T Y.3801 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|---------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.3801 + +# Functional requirements for quantum key distribution networks + +## Summary + +In the context of quantum key distribution networks (QKDNs), Recommendation ITU-T Y.3801 specifies the functional requirements for quantum layer, the key management layer, the QKDN control layer and the QKDN management layer. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3801 | 2020-04-29 | 13 | 11.1002/1000/14258 | + +## Keywords + +QKD (quantum key distribution), QKDN (QKD network), QKDN functional requirements. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-----------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References ..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation ..... | 2 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Conventions ..... | 3 | +| 6 Introduction ..... | 3 | +| 7 Functional requirements for quantum layer ..... | 3 | +| 8 Functional requirements for key management layer ..... | 4 | +| 9 Functional Requirements for QKDN control layer ..... | 5 | +| 10 Functional requirements of QKDN management layer ..... | 5 | +| 11 Security Considerations ..... | 6 | +| Bibliography ..... | 7 | + + + +## Recommendation ITU-T Y.3801 + +## Functional requirements for quantum key distribution networks + +## 1 Scope + +This Recommendation specifies the functional requirements for quantum key distribution networks (QKDN) as follows: + +- functional requirements for quantum layer; +- functional requirements for key management layer; +- functional requirements for QKDN control layer; +- functional requirements for QKDN management layer. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3800] Recommendation ITU-T Y.3800 (2019), *Overview on networks supporting quantum key distribution*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 access control** [b-ITU-T X.800]: The prevention of unauthorized use of a resource, including the prevention of use of a resource in an unauthorized manner. + +**3.1.2 classical channel** [b-ETSI GR QKD 007]: Communication channel that is used by two communicating parties for exchanging data encoded in a form that may be non-destructively read and fully reproduced. + +**3.1.3 information theoretically secure (IT-secure)** [ITU-T Y.3800]: Secure against any deciphering attack with unbounded computational resources. + +**3.1.4 key life cycle** [ITU-T Y.3800]: A sequence of steps that a key undergoes from its reception by a key manager (KM) through its use in a cryptographic application and until deletion or preservation depending on the key management policy. + +**3.1.5 key management** [ITU-T Y.3800]: All activities performed on keys during their life cycle starting from their reception from the quantum layer, storage, formatting, relay, synchronization, authentication, to supply to a cryptographic application and deletion or preservation depending on the key management policy. + +**3.1.6 key manager (KM)** [ITU-T Y.3800]: A functional module located in a quantum key distribution (QKD) node to perform key management in the key management layer. + +**3.1.7 key manager link (KM link)** [ITU-T Y.3800]: A communication link connecting key managers (KMs) to perform key management. + +**3.1.8 key relay** [ITU-T Y.3800]: A method to share keys between arbitrary quantum key distribution (QKD) nodes via intermediate QKD node(s). + +**3.1.9 key supply** [ITU-T Y.3800]: A function providing keys to cryptographic applications. + +**3.1.10 quantum channel** [b-ETSI GR QKD 007]: Communication channel for transmitting quantum signals. + +**3.1.11 quantum key distribution (QKD)** [b-ETSI GR QKD 007]: Procedure or method for generating and distributing symmetrical cryptographic keys with information theoretical security based on quantum information theory. + +**3.1.12 quantum key distribution link (QKD link)** [ITU-T Y.3800]: A communication link between two quantum key distribution (QKD) modules to operate the QKD. + +NOTE – A QKD link consists of a quantum channel for the transmission of quantum signals, and a classical channel used to exchange information for synchronization and key distillation. + +**3.1.13 quantum key distribution module (QKD module)** [ITU-T Y.3800]: A set of hardware and software components that implements cryptographic functions and quantum optical processes, including quantum key distribution (QKD) protocols, synchronization, distillation for key generation, and is contained within a defined cryptographic boundary. + +NOTE – A QKD module is connected to a QKD link, acting as an endpoint module in which a key is generated. These are two types of QKD modules, namely, the transmitters and the receivers. + +**3.1.14 quantum key distribution network (QKDN)** [ITU-T Y.3800]: A network comprised of two or more quantum key distribution (QKD) nodes connected through QKD links. + +NOTE – A QKDN allows sharing keys between the QKD nodes by key relay when they are not directly connected by a QKD link. + +**3.1.15 quantum key distribution network controller (QKDN controller)** [ITU-T Y.3800]: A functional module, which is located in a quantum key distribution (QKD) network control layer to control a QKD network. + +**3.1.16 quantum key distribution network manager (QKDN manager)** [ITU-T Y.3800]: A functional module, which is located in a quantum key distribution (QKD) network management layer to monitor and manage a QKD network. + +**3.1.17 quantum key distribution node (QKD node)** [ITU-T Y.3800]: A node that contains one or more quantum key distribution (QKD) modules protected against intrusion and attacks by unauthorized parties. + +NOTE – A QKD node can contain a key manager (KM). + +**3.1.18 quality of service (QoS)** [b-ITU-T Q.1743]: The collective effect of service performances, which determine the degree of satisfaction of a user of a service. It is characterized by the combined aspects of performance factors applicable to all services, such as: + +- service operability performance; +- service accessibility performance; +- service retainability performance; +- service integrity performance; and +- other factors specific to each service. + +**3.1.19 user network** [ITU-T Y.3800]: A network in which cryptographic applications consume keys supplied by a quantum key distribution (QKD) network. + +### **3.2 Terms defined in this Recommendation** + +None. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----------|----------------------------------| +| AES | Advanced Encryption Standard | +| IT-secure | Information Theoretically secure | +| KM | Key Manager | +| OTP | One-Time Pad | +| QKD | Quantum Key Distribution | +| QKDN | QKD Network | +| QoS | Quality of Service | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +Some requirements in this Recommendation refer to information (i.e., key management, status, fault, performance, accounting, configuration, security related information) provided by entities within a quantum key distribution network (QKDN) for control and/or management purposes. The information provided under a requirement will depend on the use case and/or implementation. How to specify the information included is outside the scope of this Recommendation and the selection made in an implementation will not prevent a claim of conformance with this Recommendation. + +In this Recommendation, "key" means "symmetric random bit strings" produced by QKDN. + +## 6 Introduction + +Clauses 7 to 10 specify the functional requirements for QKDN, meeting the QKDN capabilities and the layer structure of QKDN specified in [ITU-T Y.3800]. Since the scope of this Recommendation is to specify the functional requirements from the network aspect, some security requirements are mentioned when the requirement is directly related to the security of keys. General security management of a whole QKDN and detailed security issues in each layer and trusted node are outside the scope of this Recommendation. + +## 7 Functional requirements for quantum layer + +To generate keys in a QKDN, quantum key distribution (QKD) protocols should meet the following requirements: + +Req\_Q.1 The QKD protocols are required to be provably secure and allow IT-secure key establishment. + +To generate keys in a QKDN, a QKD module should meet the following requirements: + +Req\_Q.2 The QKD module is required to implement functions that are necessary to execute one or more QKD protocols with a corresponding QKD module connected by a QKD link. + +NOTE 1 – Functions of the QKD modules may include random number generation, quantum communication, distillation for key generation, and quantum channel synchronization. + +NOTE 2 – The QKD module acts as an endpoint module in which a key is generated. + +NOTE 3 – A QKD link may include one or more quantum relay point(s) to extend a distance of QKD as described in [ITU-T Y.3800]. + +- Req\_Q.3 The QKD module is required to be contained within a defined cryptographic boundary. +- Req\_Q.4 A pair of QKD modules connected by a QKD link is required to transfer a key to corresponding key managers (KMs) via an appropriate interface. +- Req\_Q.5 The QKD module is recommended to provide status information of the QKD module and optionally of the QKD link to the KM. +- Req\_Q.6 The QKD module is required to provide status information of the QKD module and optionally of the QKD link to the QKDN controller. +- Req\_Q.7 The QKD module is required to provide fault and performance information of the QKD module to the QKDN manager. + +## **8 Functional requirements for key management layer** + +To manage keys in a QKDN securely, reliably, and efficiently, a KM should meet the following requirements: + +- Req\_KM 1 The KM is recommended to be compatible with various kinds of QKD modules which implement different protocols. +- Req\_KM 2 The KM is required to receive keys from a QKD module(s) via an appropriate interface, and to store them securely when storage is necessary. +- Req\_KM 3 The KM is recommended to format keys where necessary for internal purposes or for key supply or key relay, including combining or splitting where lengths are not appropriate. +- Req\_KM 4 The KM is recommended to receive status information of QKD module(s) and QKD link(s) from the QKD module(s) in the quantum layer. + +NOTE 1 – The KM can forward the status information to the QKDN controller. + +Req\_KM 5 The KM is required to provide: + +- information on key management for QKDN control functions to the QKDN controller; +- information on key management for QKDN management functions to the QKDN manager; +- fault and performance information of the KM and KM links to the QKDN manager. + +NOTE 2 – Information on key management may include information such as which QKD module the key comes from, which node the key is relayed to, timestamp, the cryptographic application to which the key is supplied, shared key amount of a KM link, key consumption rate, KM link status, accounting and alarm on fault. + +- Req\_KM 6 The KM is recommended to support key relay employing highly secure encryption (e.g., one-time pad (OTP) [b-Shannon 1949]) via trusted node(s) to establish keys between any two remote KMs connected to a QKDN with three or more nodes. +- Req\_KM 7 The KM is recommended to support another appropriate method (e.g., advanced encryption standard (AES) [b-ISO/IEC 18033-3], [b-FIPS PUB 197]) for key relay according to key management policy. +- Req\_KM 8 To make key relay reliable and secure, the KMs and KM links are recommended to have capabilities of key synchronization, entity authentication and message authentication. +- Req\_KM 9 To make key relay efficient, the KMs are recommended to cooperate with each other under the control of the QKDN controller. +- Req\_KM 10 Where a QKD node supplies keys by design or configuration to the user network, the following requirements are applied: + +- the KM is required to receive key requests from authorized cryptographic applications via the key supply interface; + +NOTE 3 – In some cases key requests are received by the KM through a KM link. + +- the KM is required to supply the requested number of keys to a cryptographic application in the service layer of the user network via a key supply interface, subject to any key management policies, when sufficient keys are available; +- the KM is required to supply keys to cryptographic applications in the service layer of the user network via a key supply interface with security capabilities; +- the KM is recommended to present a key supply interface that various cryptographic applications in the service layer of the user network can utilize; + +NOTE 4 – Cryptographic applications may have diverse requirements and run on various environments. Design goals for key supply interfaces include broad usability and flexible extensibility for current and future applications. + +- the KM is recommended to support access control of cryptographic applications. +- the KM is required to apply the key management policy. + +NOTE 5 – Key management policy may include deleting the keys or preserving the keys in key storage after the key supply has been executed. + +Req\_KM 11 The KM is required to provide elements of key life cycle management. + +## 9 Functional requirements for QKDN control layer + +To control a QKDN for secure, stable, efficient, and robust operations and services, a QKDN controller should meet the following requirements: + +- Req\_C 1 The QKDN controller is required to provide routing control of key relay if the key relay function is supported by a QKDN. +- Req\_C 2 The QKDN controller is recommended to provide configuration control of QKD modules, QKD links, KMs and KM links. +- Req\_C 3 The QKDN controller is recommended to provide charging policy control. +- Req\_C 4 The QKDN controller is recommended to provide quality of service (QoS) policy control. +- Req\_C 5 The QKDN controller is recommended to support and ensure access control of functional elements in the quantum layer and the key management layer. +- Req\_C 6 The QKDN controller is recommended to provide session control. + +NOTE – The session is the communication between KMs to establish the end-to-end key or to supply keys to cryptographic applications in the service layer of the user network. The session control initiates, maintains, and terminates the session. + +- Req\_C 7 The QKDN controller is recommended to provide fault, performance, accounting, and configuration information to a QKDN manager. + +## 10 Functional requirements of QKDN management layer + +To support monitoring, and management of a QKDN as a whole, and to support user network management, a QKD manager should meet the following requirements. + +- Req\_M 1 The QKDN manager is required to provide fault management to support: + - collecting/receiving status information provided by the quantum, key management, and QKDN control layers; + - analysing the status information collected/received for fault indicators. + +- Req\_M 2 The QKDN manager is recommended to provide fault management to support: + +- root-cause analysis capability; +- diagnosis capability; +- management of failure resolving policies, and interactions with relevant functional components for healing actions. + +Req\_M 3 The QKDN manager is required to provide configuration management to support: + +- management of resource provisioning. + +Req\_M 4 The QKDN manager is recommended to provide configuration management to support: + +- routing and rerouting of key relay if the QKDN supports key relay. +- collecting and managing a network topology; +- resource configuration for inventory management; +- changing of managed resources based on the demand and availability; +- discovering QKD managed resources in the managed QKDN. + +Req\_M 5 The QKDN manager is recommended to provide accounting management to support: + +- key supply services and their policies. + +Req\_M 6 The QKDN manager is required to provide performance management to support: + +- collecting/receiving performance information from the quantum layer, the key management layer and the QKDN control layer; +- analysing the QKDN performance information collected/received. + +Req\_M 7 The QKDN manager is recommended to provide performance management to support: + +- QoS of key supply; +- management of key supply service policies. + +Req\_M 8 The QKDN manager is required to provide security management to support: + +- collecting/receiving security related management information from the QKDN. + +Req\_M 9 The QKDN manager is required to support key life cycle management for KMs. + +Req\_M 10 The QKDN manager is recommended to provide security management to support: + +- management of authentication and authorization. + +Req\_M 11 The QKDN manager is recommended to perform cross-layer management orchestration and also to support management requests from a user network management. + +## 11 Security considerations + +In order to mitigate security threats and potential attacks, issues of confidentiality, integrity, authenticity, non-repudiation, availability and traceability need to be addressed, and appropriate security and privacy protection schemes should be considered in the QKDN, the user network and interfaces between the two networks. Details are outside the scope of this Recommendation. + +## Bibliography + +- [b-ITU-T Q.1743] Recommendation ITU-T Q.1743 (2016), *IMT-Advanced references to Release 11 of LTE-Advanced evolved packet core network*. +- [b-ITU-T X.800] Recommendation ITU-T X.800, *Security architecture for Open Systems Interconnection for CCITT applications*. +- [b-ETSI GR QKD 007] ETSI GR QKD 007 (2018), *Quantum Key Distribution (QKD); Vocabulary*. +- [b-ISO/IEC 18033-3] ISO/IEC 10833-3:2010 (2010), *Information technology – Security techniques – Encryption algorithms – Part 3: Block ciphers*. +- [b-FIPS PUB 197] Federal Information Processing Standards Publication 197 (2001), *Announcing the ADVANCED ENCRYPTION STANDARD (AES)*. +- [b-Shannon 1949] Shannon, Claude, 1949, *Communication Theory of Secrecy Systems*, Bell System Technical Journal, vol. 28, pp. 666–682. + + + + + +## **SERIES OF ITU-T RECOMMENDATIONS** + +| | | +|----------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git 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l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.3807 + +(02/2022) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Quantum key distribution networks + +# --- Quantum key distribution networks – Quality of service parameters + +Recommendation ITU-T Y.3807 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +### CLOUD COMPUTING + +Y.3500–Y.3599 + +### BIG DATA + +Y.3600–Y.3799 + +### **QUANTUM KEY DISTRIBUTION NETWORKS** + +**Y.3800–Y.3999** + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3807 + +# Quantum key distribution networks – Quality of service parameters + +## Summary + +Recommendation ITU-T Y.3800 specifies an overview on networks supporting quantum key distribution (QKD). For the purpose of design, deployment, operation and maintenance to support QKD network (QKDN) implementation, the required quality level of quantum key distribution service should be identified and quantified. + +Recommendation ITU-T Y.3806 describes high-level and functional quality of service (QoS) requirements for QKDN. + +Recommendation ITU-T Y.3807 describes QoS and network performance (NP) on QKDN and specifies the associated relative parameters for QoS and their definitions. + +This Recommendation helps to quantify what kind of QoS requirements should be monitored and measured for this purpose; QoS parameters. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3807 | 2022-02-13 | 13 | 11.1002/1000/14864 | + +## Keywords + +Network performance, quality of service, quantum key distribution, quantum key distribution network. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|---------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Introduction ..... | 2 | +| 7 | QoS aspect of QKDN ..... | 3 | +| 8 | QoS parameters of QKDN..... | 5 | +| | 8.1 Throughput ..... | 5 | +| | 8.2 KSA-key response delay (KKRD) ..... | 6 | +| | 8.3 KSA-key response delay variation (KKRDV) ..... | 6 | +| | 8.4 KSA-key delivery error ratio (KKDER) ..... | 7 | +| | 8.5 KSA-key delivery loss ratio (KKDLR)..... | 7 | +| | 8.6 Availability ..... | 7 | +| 9 | Network performance supporting factors ..... | 8 | +| | 9.1 Network performance related physical elements ..... | 8 | +| 10 | Security considerations..... | 8 | +| | Bibliography..... | 9 | + + + +# Recommendation ITU-T Y.3807 + +# Quantum key distribution networks – Quality of service parameters + +## 1 Scope + +This Recommendation specifies quality of service (QoS) parameters on the quantum key distribution network (QKDN) for the purpose of network operation and maintenance as follows: + +- Descriptions of QoS and network performance (NP) on QKDN +- Classification of performance concerns for which parameters may be needed +- QoS parameters of QKDN +- Network performance supporting factors + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.3800] Recommendation ITU-T Y.3800 (2019), *Overview on networks supporting quantum key distribution*. + +[ITU-T Y.3802] Recommendation ITU-T Y.3802 (2020), *Quantum key distribution networks - Functional architecture*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 key management** [ITU-T Y.3800]: All activities performed on keys during their life cycle starting from their reception from the quantum layer, storage, formatting, relay, synchronization, authentication, to supply to a cryptographic application and deletion or preservation depending on the key management policy. + +**3.1.2 key supply agent-key (KSA-key)** [b-ITU-T Y.3803]: Key data stored and processed in a key supply agent (KSA), and securely shared between a KSA and a matching KSA. + +**3.1.3 network performance (NP)** [b-ITU-T E.417]: The performance of a portion of a telecommunications network that is measured between a pair of network-user or network-network interfaces using objectively defined and observed performance parameters. + +**3.1.4 quality of service (QoS)** [b-ITU-T P.10]: The totality of characteristics of a telecommunications service that bear on its ability to satisfy stated and implied needs of the user of the service (see [b-ITU-T E.800]). + +**3.1.5 quantum key distribution (QKD)** [b-ETSI GR QKD 007]: Procedure or method for generating and distributing symmetrical cryptographic keys with information theoretical security based on quantum information theory. + +**3.1.6 quantum key distribution (QKD) module** [ITU-T Y.3800]: A set of hardware and software components that implements cryptographic functions and quantum optical processes, including quantum key distribution (QKD) protocols, synchronization, distillation for key generation, and is contained within a defined cryptographic boundary. + +**3.1.7 quantum key distribution network (QKDN)** [ITU-T Y.3800]: A network comprised of two or more quantum key distribution (QKD) nodes connected through QKD links. + +**3.1.8 user network** [ITU-T Y.3800]: A network in which cryptographic applications consume keys supplied by a quantum key distribution (QKD) network. + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|----------------------------------| +| CA | Cryptographic Application | +| KKDER | KSA-key Delivery Error Ratio | +| KKDLR | KSA-key Delivery Loss Ratio | +| KKRD | KSA-key Response Delay | +| KKRDV | KSA-key Response Delay Variation | +| KSA | Key Supply Agent | +| NP | Network Performance | +| QKD | Quantum Key Distribution | +| QKDN | Quantum Key Distribution Network | +| QoS | Quality of Service | + +# **5 Conventions** + +None. + +# **6 Introduction** + +[ITU-T Y.3800] identifies the layered model-based conceptual structure of the quantum key distribution network (QKDN) and user network. From the user network's perspective, it is expected that the required quality level of quantum key distribution (QKD) service is supported in a way to be observed and measured; where quality of service (QoS) can be observed and measured. On the other hand, it should consider how to support the required quality level of QKD service from QKDN's perspective in the same way; where network performance (NP) can be observed and measured. + +Figure 1 shows the demarcation boundary to clarify the QoS and the NP in QKDN. QoS and NP can be observed and measured at the boundary between the user network and QKDN. + +![Figure 1: QoS and NP in a QKD network. The diagram shows a 'User network' at the top, containing 'Cryptographic application' and 'Network devices'. Below it is the 'QKDN' (Quantum Key Distribution Network), represented by a cloud of nodes connected by lines. A dashed horizontal line separates the User network from the QKDN. On the right, a vertical axis shows 'QoS' (Quality of Service) above the dashed line and 'NP' (Network Performance) below it, with arrows indicating the direction of measurement. The label 'Y.3807(22)' is at the bottom right.](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +Figure 1: QoS and NP in a QKD network. The diagram shows a 'User network' at the top, containing 'Cryptographic application' and 'Network devices'. Below it is the 'QKDN' (Quantum Key Distribution Network), represented by a cloud of nodes connected by lines. A dashed horizontal line separates the User network from the QKDN. On the right, a vertical axis shows 'QoS' (Quality of Service) above the dashed line and 'NP' (Network Performance) below it, with arrows indicating the direction of measurement. The label 'Y.3807(22)' is at the bottom right. + +**Figure 1 – QoS and NP in a QKD network** + +In this Recommendation, a study is focusing on QKDN itself and the quality of user network is out of scope. + +QoS is defined in [b-ITU-T E.800] as the *"totality of characteristics of a telecommunications service that bear on its ability to satisfy stated and implied needs of the user of the service."* + +The definition of QoS in [b-ITU-T E.800] is a wide one encompassing many areas of work, including subjective customer satisfaction. However, within this Recommendation, the aspects of QoS in QKDN that are covered are restricted to the identification of parameters that can be directly observed and measured at the point at which the QKD service is accessed by the user network (i.e., 99.99% of QKD service availability). + +NP is measured in terms of parameters which are meaningful to the QKDN provider and are used for the purpose of design, configuration, control and management of QKDN. NP is defined independently of the user network (i.e., 10 ms delay of key relay between two adjacent QKD nodes). + +Table 1 shows some of the characteristics which distinguish QoS and NP in QKDN. + +**Table 1 – Distinction between QoS and NP in QKDN** + +| QoS | NP | +|------------------------------------------|---------------------------------------------------| +| User network-oriented | QKDN operator-oriented | +| Service attribute | Network elements attribute | +| Focus on user network-observable effects | Focus on planning, design, control and management | +| Between (at) QKD service access points | End-to-end or QKDN elements capabilities | + +## 7 QoS aspect of QKDN + +As shown in Figure 1, from the QoS aspect of QKDN, the demarcation boundary between the user network and QKDN is the only point of interest. Relative procedures in the boundary should be identified as shown in Figure 2. + +![Diagram illustrating the possible KSA key supply procedures between two cryptographic applications (A and B) and a Quantum Key Distribution Network (QKDN).](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +The diagram shows two cryptographic applications, 'Cryptographic application - A' and 'Cryptographic application - B', at the top. They are connected by a horizontal line labeled 'Step ③' with a red arrow pointing from A to B. Below them is a large rounded rectangle representing the QKDN. Inside this rectangle, there are two columns. Each column contains a 'KM layer' box above a 'Quantum layer' box. + +On the left side of the QKDN: + + +- A vertical line connects 'Cryptographic application - A' to the 'KM layer'. +- A red arrow labeled 'Step ①' points down from the application to the 'KM layer'. +- A red arrow labeled 'Step ②' points up from the 'KM layer' to the application. + + On the right side of the QKDN: + + +- A vertical line connects 'Cryptographic application - B' to the 'KM layer'. +- A red arrow labeled 'Step ④' points down from the application to the 'KM layer'. +- A red arrow labeled 'Step ⑤' points up from the 'KM layer' to the application. + + Horizontal connections within the QKDN: + + +- A red arrow points from the 'KM layer' of application A to the 'KM layer' of application B. +- A red arrow points from the 'KM layer' of application B to the 'KM layer' of application A. +- A red arrow points from the 'Quantum layer' of application A to the 'Quantum layer' of application B. + + The identifier 'Y.3807(22)' is located at the bottom right of the QKDN box. + +Diagram illustrating the possible KSA key supply procedures between two cryptographic applications (A and B) and a Quantum Key Distribution Network (QKDN). + +**Figure 2 – The possible KSA key supply procedures** + +- Step①; cryptographic application-A (CA-A) requests to supply KSA-key into QKDN +- Step②; QKDN supplies requested KSA-key to CA-A +- Step③; CA-A sends notification message to CA-B +- Step④; CA-B requests to supply KSA-key into QKDN +- Step⑤; QKDN supplies requested KSA-key to CA-B + +The main purpose of QKDN is to supply symmetric KSA-keys to user network. The overall QoS evaluation should be based on the events of completion on the supply. In this document, the evaluated events of QoS are related to step① and step⑤. + +The observations of step① and step⑤ can be classified in three events as successful, errored and lost events, as shown in Figure 3. + +![Sequence diagram showing KSA-key request events between Cryptographic application - A and Cryptographic application - B under three conditions: Successful, Errored, and Lost. It includes time constraints t ≤ T_max and t > T_max.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +``` + +sequenceDiagram + participant A as Cryptographic application - A + participant B as Cryptographic application - B + + Note over A, B: Successful + A->>B: KSA-key request + B-->>A: Requested KSA-key + Note right of A: t ≤ T_max + + Note over A, B: Errored + A->>B: KSA-key request + B-->>A: Errored KSA-key + Note right of A: t ≤ T_max + + Note over A, B: Lost + A->>B: KSA-key request + Note right of A: Not received + + A->>B: KSA-key request + B-->>A: Requested KSA-key + Note right of A: t > T_max + +``` + +The diagram illustrates the observed events on a demarcation boundary between two cryptographic applications, A and B. It is divided into three horizontal sections: Successful, Errored, and Lost, separated by dashed lines. + +- Successful:** Cryptographic application - A sends a "KSA-key request" to Cryptographic application - B. The response is "Requested KSA-key". A time constraint $t \leq T_{\max}$ is indicated between the request and the response. +- Errored:** Cryptographic application - A sends a "KSA-key request" to Cryptographic application - B. The response is "Errored KSA-key". A time constraint $t \leq T_{\max}$ is indicated between the request and the response. +- Lost:** This section shows two scenarios. In the first, a "KSA-key request" is sent but "Not received" (indicated by a dashed box). In the second, a "KSA-key request" results in a "Requested KSA-key" response, but the time taken is $t > T_{\max}$ . + +Y.3807(22) + +Sequence diagram showing KSA-key request events between Cryptographic application - A and Cryptographic application - B under three conditions: Successful, Errored, and Lost. It includes time constraints t ≤ T\_max and t > T\_max. + +**Figure 3 – The observed events on demarcation boundary** + +The time taken by step ③ is determined by the cryptographic application and is not associated with QoS of the QKDN itself. Such delays and any instances where a cryptographic application does not make a request to both nodes or does not accept a response from the QKDN may be excluded from QKDN QoS measurement results which influence QoS parameters. The calculation of QoS parameters may be modified accordingly. + +# 8 QoS parameters of QKDN + +### 8.1 Throughput + +It is useful to characterize performance in terms of throughput that is used to evaluate the ability of QKDN to generate and supply quantities of KSA-keys. It should be noted that a parameter intended to characterize the throughput of a boundary would not be equal to the number of generated KSA-keys from the QKDN. This is because the KSA-keys can experience errors or loss during delivery from the QKDN to the boundary. + +Throughput is defined for the total number of KSA-keys successfully received during a specified time interval divided by the time interval duration (equivalently, the number of successfully received KSA-keys per service-second). + +### 8.2 KSA-key response delay (KKRD) + +Once the user network asks QKDN to send the KSA-key, the reaction timing should be measured in terms of response delay. The KSA-key response delay (KKRD) could be calculated as follows. + +KKRD is defined for all successful and errored KSA-keys across the boundary. KKRD is the time, $(T_B - T_A)$ between the occurrence of two corresponding events, the sending of KSA-key request message at time-A ( $T_A$ ) in CA-A and the receiving of the requested KSA-key at time-B ( $T_B$ ) in CA-B, where $(T_B > T_A)$ . + +KKRD can be measured for every occurrence of a KSA-key request by CA-A that is followed by a corresponding key being successfully received by CA-B, $KKRD_{A,B,n}$ . + +### 8.3 KSA-key response delay variation (KKRDV) + +The variations in KKRD are also important. Some types of cryptographic applications aim to replace keys with fresh keys from a key supply agent (KSA) on a periodic schedule. Extreme variations in KKRD could lead to a key refresh not completing with any required time period. + +KSA-key response delay variation (KKRDV) is defined based on the observations of corresponding KSA-key request's sending events at CA-A and the requested KSA-key's receiving events at CA-B. These observations characterize the variability in the pattern of actual KSA-key receiving events in comparison to the median KKRD. + +The KKRDV for KSA-keys is the difference between the actual KKRD ( $KKRD_{A,B,n}$ ) and a median KKRD ( $KKRD_{m(A,B)}$ ) between CA-A and CA-B (see Figure 4); $V_n = KKRD_{A,B,n} - KKRD_{m(A,B)}$ + +![Figure 4: QoS parameter; KSA-key response delay variation. The diagram shows two vertical timelines for CA-A and CA-B. CA-A has request times T_{A,0}, T_{A,1}, T_{A,2}, ..., T_{A,n-1}, T_{A,n}. CA-B has reception times T_{B,0}, T_{B,1}, T_{B,2}, ..., T_{B,n-1}, T_{B,n}. Red arrows show the delay from CA-A to CA-B. Dashed lines show the median delay KKRD_{m(A,B)}. A box defines KKRD_{A,B,n} = T_{B,n} - T_{A,n} and V_n = KKRD_{A,B,n} - KKRD_{m(A,B)}. A reference time t=0 is shown at the top.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +$$KKRD_{A,B,n} = T_{B,n} - T_{A,n}$$ + +$$V_n = KKRD_{A,B,n} - KKRD_{m(A,B)}$$ + +Y.3807(22) + +Figure 4: QoS parameter; KSA-key response delay variation. The diagram shows two vertical timelines for CA-A and CA-B. CA-A has request times T\_{A,0}, T\_{A,1}, T\_{A,2}, ..., T\_{A,n-1}, T\_{A,n}. CA-B has reception times T\_{B,0}, T\_{B,1}, T\_{B,2}, ..., T\_{B,n-1}, T\_{B,n}. Red arrows show the delay from CA-A to CA-B. Dashed lines show the median delay KKRD\_{m(A,B)}. A box defines KKRD\_{A,B,n} = T\_{B,n} - T\_{A,n} and V\_n = KKRD\_{A,B,n} - KKRD\_{m(A,B)}. A reference time t=0 is shown at the top. + +Variables: + +$T_{A,n}$ : KSA-key request sending time at CA-A + +$T_{B,n}$ : Requested KSA-key's actual receiving time at CA-B + +$KKRD_{A,B}$ : Actual response delay of KSA-keys between CA-A and CA-B + +$KKRD_{m(A,B)}$ : Median response delay of KSA-keys between CA-A and CA-B + +$V_n$ : KKRDV value between CA-A and CA-B + +**Figure 4 – QoS parameter; KSA-key response delay variation** + +### 8.4 KSA-key delivery error ratio (KKDER) + +KKDER is the ratio of total errored KSA-keys to the total of successfully received KSA-keys plus errored KSA-keys. + +### 8.5 KSA-key delivery loss ratio (KKDLR) + +KKDLR is the ratio of total lost KSA-keys to the total of successfully received KSA-keys plus lost KSA-keys. + +### 8.6 Availability + +The QoS parameters which are defined above are intended to characterize QKDN in the available state. An availability serves to classify the total scheduled service time for a QKD service into available and unavailable periods. On the basis of this classification, both the percent QKDN availability and the percent QKDN unavailability should be specified. + +NOTE – The scheduled service time for QKDN is assumed to be 24 hours a day, seven days a week. + +#### **8.6.1 Service restoration time** + +Service restoration time is defined as the time from KSA-key not-supplied to the time KSA-key re-supplied. + +NOTE – The performance parameters defined in this Recommendation can be measured by in-service and out-of-service measurement methods. In order to implement these methods, new functions could be added; time stamp and numbering of KSA-keys (in-service) or the user network could inform those functions into the QKDN manager through the Mu reference point introduced in [ITU-T Y.3802] (out-of-service). The details of the functions are out of scope of this Recommendation. + +# **9 Network performance supporting factors** + +### **9.1 Network performance related physical elements** + +#### **9.1.1 Link distance** + +Link distance can negatively influence delay-related parameters as longer links are introduced. + +#### **9.1.2 Link complexity** + +Link complexity can negatively influence delay/error-related parameters as more QKD nodes are introduced. + +#### **9.1.3 Key storage and pool** + +Storing of keys may influence delay-related parameters as longer remaining is introduced. + +# **10 Security considerations** + +In order to mitigate security threats and potential attacks, issues of confidentiality, integrity, authenticity, non-repudiation, availability and traceability need to be addressed, and appropriate security and privacy protection schemes should be considered in the QoS aspects of QKDN. Details are outside the scope of this Recommendation. + +# Bibliography + +- [b-ITU-T E.417] Recommendation ITU-T E.417 (2005), *Framework for the network management of IP-based networks*. +- [b-ITU-T E.800] Recommendation ITU-T E.800 (2008), *Definitions of terms related to quality of service*. +- [b-ITU-T P.10] Recommendation ITU-T P10/G.100 (2017), *Vocabulary for performance, quality of service and quality of experience*. +- [b-ITU-T Y.3801] Recommendation ITU-T Y.3801 (2020), *Functional requirements for quantum key distribution networks*. +- [b-ITU-T Y.3803] Recommendation ITU-T Y.3803 (2020), *Quantum key distribution networks – Key management*. +- [b-ITU-T Y.3804] Recommendation ITU-T Y.3804 (2020), *Quantum key distribution networks – Control and management*. +- [b-ITU-T Y.3806] Recommendation ITU-T Y.3806 (2021), *Quantum key distribution networks – Requirements for quality of service assurance*. +- [b-ETSI GR QKD 007] ETSI GR QKD 007 (2018), *Quantum Key Distribution (QKD); Vocabulary*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3812-202209-I_PDF-E/a48a54b8213bb20f6db241f20824bb51_img.jpg b/marked/Y/T-REC-Y.3812-202209-I_PDF-E/a48a54b8213bb20f6db241f20824bb51_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..d4d8969f805414689ab79cfd08c333d454d482b3 --- /dev/null +++ b/marked/Y/T-REC-Y.3812-202209-I_PDF-E/a48a54b8213bb20f6db241f20824bb51_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:636c3839edff955a5b6208530b05fa1c983ab153d90f00216517a7a99478b988 +size 7074 diff --git a/marked/Y/T-REC-Y.3812-202209-I_PDF-E/cfda9df1319e04207eb28bcefd1dab7b_img.jpg b/marked/Y/T-REC-Y.3812-202209-I_PDF-E/cfda9df1319e04207eb28bcefd1dab7b_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..734df9a69d53dd33e684632526d7314676f7fcc0 --- /dev/null +++ b/marked/Y/T-REC-Y.3812-202209-I_PDF-E/cfda9df1319e04207eb28bcefd1dab7b_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:a8da3fc6d1f3af26dd4cee3fdec6feeb6fe689a851e55e106661ee6b8d6883a7 +size 64716 diff --git a/marked/Y/T-REC-Y.3812-202209-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3812-202209-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..ba79a72b57224cb822358458563431681830d3df --- /dev/null +++ b/marked/Y/T-REC-Y.3812-202209-I_PDF-E/raw.md @@ -0,0 +1,464 @@ + + +# Recommendation**ITU-T Y.3812 (09/2022)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Quantum key distribution networks + +--- + +**Quantum key distribution networks – +Requirements for machine learning based +quality of service assurance** + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +| | | +|-----------------|---------------| +| FUTURE NETWORKS | Y.3000–Y.3499 | +|-----------------|---------------| + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3500–Y.3599 | +|-----------------|---------------| + +| | | +|----------|---------------| +| BIG DATA | Y.3600–Y.3799 | +|----------|---------------| + +| | | +|------------------------------------------|----------------------| +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +|------------------------------------------|----------------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|---------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.3812 + +# Quantum key distribution networks – Requirements for machine learning based quality of service assurance + +## Summary + +Recommendation ITU-T Y.3812 specifies high-level and functional requirements of machine learning (ML) based quality of service (QoS) assurance for quantum key distribution networks (QKDNs). + +This Recommendation first provides an overview of requirements of ML based QoS assurance for the QKDN. It describes a functional model of ML based QoS assurance which is followed by associated high-level and functional requirements of ML based QoS assurance. Additionally, some use cases are described. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.3812 | 2022-09-29 | 13 | 11.1002/1000/15065 | + +## Keywords + +Functional model, machine learning, QKDN, QoS assurance, and requirements. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-----------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview ..... | 3 | +| 7 | Functional model of ML based QoS assurance for QKDN..... | 3 | +| 8 | High-level requirements of ML based QoS assurance for the QKDN ..... | 4 | +| 9 | Functional requirements of ML based QoS assurance for QKDN..... | 5 | +| | 9.1 Functional requirements for QoS data collection..... | 5 | +| | 9.2 Functional requirements for QoS data pre-processing ..... | 5 | +| | 9.3 Functional requirements for history QoS data repository ..... | 5 | +| | 9.4 Functional requirements for modelling and training..... | 5 | +| | 9.6 Functional requirements for QoS application..... | 5 | +| | 9.7 Functional requirements for QoS policy decision making, enforcement
and reporting..... | 6 | +| | 9.8 Reference point requirements..... | 6 | +| 10 | Security considerations..... | 6 | +| | Appendix I – Use cases of machine learning based QoS assurance for QKDN..... | 7 | +| | I.1 Quantum channel performance..... | 7 | +| | I.2 QoS fault diagnosis and prediction..... | 7 | +| | Bibliography..... | 8 | + + + +# Recommendation ITU-T Y.3812 + +# Quantum key distribution networks – Requirements for machine learning based quality of service assurance + +# 1 Scope + +This Recommendation specifies high-level and functional requirements of ML based quality of service (QoS) assurance for quantum key distribution networks. The scope of this Recommendation is as follows: + +- Overview of requirements of ML based QoS assurance for QKDNs; +- Functional model of ML based QoS assurance for QKDNs; +- High-level requirements of ML based QoS assurance for QKDNs; +- Functional requirements of ML based QoS assurance for QKDNs; +- Use cases of ML based QoS assurance for QKDNs. + +This Recommendation considers ML for QKDN in the context of QoS assurance only. Therefore, any other use of ML is out of the scope of this Recommendation. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|------------------------------------------------------------------------------------------------------------| +| [ITU-T X.1710] | Recommendation ITU-T X.1710 (2020), Security framework for quantum key distribution networks. | +| [ITU-T Y.2701] | Recommendation ITU-T Y.2701 (2007), Security requirements for NGN release 1. | +| [ITU-T Y.3101] | Recommendation ITU-T Y.3101 (2018), Requirements of the IMT-2020 network. | +| [ITU-T Y.3801] | Recommendation ITU-T Y.3801 (2020), Functional requirements for quantum key distribution networks . | +| [ITU-T Y.3802] | Recommendation ITU-T Y.3802 (2020), Quantum key distribution networks - Functional architecture . | +| [ITU-T Y.3804] | Recommendation ITU-T Y.3804 (2020), Quantum key distribution networks - Control and management . | + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 assurance** [b-ITU-T X.1500]: The degree of confidence that the process or deliverable meets defined characteristics or objectives. + +**3.1.2 network performance** [b-ITU-T E.417]: The performance of a portion of a telecommunications network that is measured between a pair of network-user or network-network interfaces using objectively defined and observed performance parameters. + +**3.1.3 quality of experience** [b-ITU-T P.10]: The degree of delight or annoyance of the user of an application or service. [b-Qualinet] + +NOTE – Recognizing ongoing research on this topic, this is a working definition which is expected to evolve for some time. (This note is not part of the definition.) + +**3.1.4 quality of service** [b-ITU-T Q.1741.1]: The collective effect of service performance which determine the degree of satisfaction of a user of a service. It is characterized by the combined aspects of performance factors applicable to all services, such as: + +- Service operability performance; +- Service accessibility performance; +- Service retainability performance; +- Service integrity performance; and +- Other factors specific to service. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|----------------------------------------| +| DWDM | Dense Wavelength Division Multiplexing | +| E2E | End to End | +| ETL | Extract-Transform-Load | +| KMA | Key Management Agent | +| KML | Key Management Layer | +| KPI | Key Performance Indicator | +| KSA | Key Supply Agent | +| ML | Machine Learning | +| QBER | Quantum Bit Error Rate | +| QKD | Quantum Key Distribution | +| QKDN | Quantum Key Distribution Networks | +| QL | Quantum Layer | +| QoE | Quality of Experience | +| QoS | Quality of Service | + +# **5 Conventions** + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# **6 Overview** + +The QKDN is expected to be able to provide optimized support for a variety of different quantum key distribution (QKD) services. The key performance indicators (KPIs) include optimal latency, accuracy, throughput and availability for key distribution. + +One of the challenges of QKDN is to ensure the network performance and specific QoS /quality of experience (QoE) requirements per application scenario. + +To meet such QoS requirements for different applications, QKDN is required to support the following capabilities: + +- 1) QoS related events that happened in the past can be reconstructed automatically and accurately; +- 2) Current QoS related events can be detected accurately and in a timely manner to trigger automatic and immediate actions; +- 3) Future QoS related events can be predicted with high confidence. + +With the increasing complexity and dynamics of network behaviours, it is very hard for traditional programmers to develop traditional codes to schedule the network resources based on expert knowledge, especially when the mathematical causal relationship between the network events and the QoS anomalies may be dependent on unknown characteristics and may not be known or possible to derive. + +ML mechanisms, with the capabilities of teaching a computer to learn knowledge using data without being explicitly programmed, have demonstrated their capabilities to solve complex tasks such as image recognition and speech recognition. ML mechanisms can also be applied to the networking field to intelligently learn the network environment and react to dynamic situations. They can learn from past QoS data against target KPIs and reconstruct relationships between past QoS related data and QoS anomalies automatically and accurately. Using the learned relationships, they can detect current QoS anomalies. They can then trigger automatic mitigation or suggested actions. ML mechanisms can also predict future QoS related anomalies with high confidence. These capabilities are modelled as an ML based QoS assurance functional model. + +# **7 Functional model of ML based QoS assurance for QKDN** + +ML is based on algorithms, data and computing power. Current communication networks with distributed architecture and limited computing power have not been designed to cope with data analytics and ML. + +According to [ITU-T Y.3801], the QKDN is required to support diverse performance requirements of heterogeneous services based on unified and end-to-end (E2E) QoS control mechanisms. To meet such requirements, QKDN QoS assurance ML algorithms need input data which should be collected from the quantum layer and key management layer. They also need QoS KPI data to build a correlation between QoS KPI and QoS related data. However, due to the complexity and dynamics of the QKDN, it will produce massive and heterogeneous data. Therefore, a unified data format is necessary for the functional model of ML based QoS assurance to work efficiently and accurately. + +According to [ITU-T Y.3804], the QKDN management and orchestration plane need to detect the QoS fault and anomalous events and perform the management process, aiming at the fulfilment and assurance of QKDN services. Assurance is defined as the degree of confidence that the process or deliverable meets defined characteristics or objectives [b-ITU-T X.1500]. Based on these + +considerations, this Recommendation specifies a functional model of ML based QoS assurance which is depicted in Figure 1. + +The functional model of ML based QoS assurance for QKDN includes functional components such as QoS data collection, pre-processing, modelling and training, QoS anomaly detection, QoS anomaly prediction, QoS decision making, and reporting. The detailed descriptions of the model are for further study. + +![Figure 1: Functional model of ML based QoS assurance for the QKDN. The diagram shows a flow from data sources (Static QoS data, Dynamic QoS data, QoS KPI data) into a 'Machine learning engine for QKDN QoS assurance' block. Inside this block, the flow is: QoS data collection -> QoS data pre-processing -> (parallel split to) QoS anomaly detection and QoS anomaly prediction -> QoS policy decision. A 'History QoS data repository' cylinder is connected to the 'Modelling and training' step and the 'QoS data pre-processing' step. The 'QoS policy decision' step outputs to 'QoS policy reporting' (leading to 'QKDN manager') and 'QoS policy enforcement' (leading to 'QL/KML').](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +``` + +graph LR + subgraph ML_Engine [Machine learning engine for QKDN QoS assurance] + direction TB + QDC[QoS data collection] --> QDP[QoS data pre-processing] + QDP --> QAD[QoS anomaly detection] + QDP --> QAP[QoS anomaly prediction] + QAD --> QPD[QoS policy decision] + QAP --> QPD + QPD --> QPR[QoS policy reporting] + QPD --> QPE[QoS policy enforcement] + end + QPR --> QKM[QKDN manager] + QPE --> QKML[QL/KML] + + SQA[(Static QoS data)] --> QDC + DQA[(Dynamic QoS data)] --> QDC + QKPI[(QoS KPI data)] --> QDC + + HQR[(History QoS data repository)] --> MT[Modelling and training] + MT --> QDP + HQR --> QDP + +``` + +Figure 1: Functional model of ML based QoS assurance for the QKDN. The diagram shows a flow from data sources (Static QoS data, Dynamic QoS data, QoS KPI data) into a 'Machine learning engine for QKDN QoS assurance' block. Inside this block, the flow is: QoS data collection -> QoS data pre-processing -> (parallel split to) QoS anomaly detection and QoS anomaly prediction -> QoS policy decision. A 'History QoS data repository' cylinder is connected to the 'Modelling and training' step and the 'QoS data pre-processing' step. The 'QoS policy decision' step outputs to 'QoS policy reporting' (leading to 'QKDN manager') and 'QoS policy enforcement' (leading to 'QL/KML'). + +Y.3812(22) + +**Figure 1 – Functional model of ML based QoS assurance for the QKDN** + +# 8 High-level requirements of ML based QoS assurance for the QKDN + +The high-level requirements of ML based QoS assurance for QKDN include the requirements of QoS related data collection, data pre-processing, history QoS data storage, ML based modelling and training, QoS anomaly detection and prediction, QoS policy decision making, enforcement and reporting. + +- The QKDN is required to collect static QoS data and QoS KPIs from the quantum layer (QL) and key management layer (KML). +- The QKDN is required to collect dynamic QoS data and QoS KPIs from the QL and KML. +- The QKDN is required to pre-process collected raw QoS data. +- The QKDN is required to provide a history QoS data repository. +- The QKDN is required to construct ML models for QoS assurance. +- The QKDN is recommended to provide training in QoS anomaly detection and prediction. +- The QKDN is required to support the detection of QoS related anomalies. +- The QKDN is recommended to support the prediction of QoS related anomalies. +- The QKDN is recommended to support QoS policy decision making. +- The QKDN is recommended to enforce QoS decision policy. +- The QKDN is recommended to report QoS decision policy. + +# **9 Functional requirements of ML based QoS assurance for QKDN** + +### **9.1 Functional requirements for QoS data collection** + +The QoS data can be collected from the QL and KML, either passively or actively. + +The functional requirements for QL QoS data collection are as follows. + +- The QKDN is required to collect static QoS data from the QL (e.g., history QL QoS data set). +- The QKDN is required to collect dynamic QoS data from the QL (e.g., link distance, link complexity, noise, secret-key rate, quantum bit error rate (QBER), operating frequency). +- The QKDN is required to collect QL QoS KPI data (e.g., QoS KPIs of the quantum and classical channels). + +The functional requirements for KML QoS data collection are as follows. + +- The QKDN is required to collect static QoS data from the KML (e.g., history KML QoS data set). +- The QKDN is required to collect dynamic QoS data from the KML (e.g., the usage of KML resources, key management agent (KMA) and key supply agent (KSA) links delay, loss rate and throughput). +- The QKDN is required to collect KML QoS KPI data (e.g., QoS KPIs of the KMA and KSA links). + +### **9.2 Functional requirements for QoS data pre-processing** + +- The QKDN is required to perform extract-transform-load (ETL) and transform the collected multisource, heterogeneous QKDN QoS raw data into understandable, unified and easy-to-use structures. +- The QKDN is required to clean and filter noisy data from the collected multisource, heterogeneous QKDN QoS raw data. +- The QKDN is recommended to normalize and unify the data format of the collected multisource, heterogeneous QKDN QoS raw data for further storage and analysis. + +### **9.3 Functional requirements for history QoS data repository** + +- The QKDN is required to store the multisource, heterogeneous QKDN QoS pre-processed data. +- The QKDN is recommended to label the QoS related anomalies and the corresponding collected QKDN QoS pre-processed data, if applicable. + +### **9.4 Functional requirements for modelling and training** + +- The QKDN is required to construct ML models based on the pre-processed QKDN QoS data and QoS KPI parameters (e.g., ML models: supervised learning, unsupervised learning, semisupervised learning, deep learning, reinforcement learning, either alone or in combination). +- The QKDN is recommended to train the ML models be based on the available pre-processed QKDN QoS data and QoS KPIs. + +### **9.6 Functional requirements for QoS application** + +- The QKDN is required to undertake ML for QoS diagnostics. +- The QKDN is recommended to support the prediction of QoS related anomalies based on ML models. + +- The QKDN is recommended to support the assessment of QoS related data based on ML models. +- The QKDN is recommended to support static parameter tuning in the QL and KM layer according to QoS related data based on ML models. +- The QKDN is recommended to support dynamic feedback in the QL and KM layer according to QoS related data based on ML models. + +### **9.7 Functional requirements for QoS policy decision making, enforcement and reporting** + +- The QKDN is recommended to make decisions on key relay routes in terms of ML based QoS policy. +- The QKDN is recommended to measure QoS parameters in terms of the ML based QoS enforcement policy. +- The QKDN is recommended to (re-)configure the QKD module, QKD links, KM and KM links in terms of the ML based QoS policy. + +### **9.8 Reference point requirements** + +- The QKDN is required to support QoS data collection by the QKDN reference points Mc, Mk, Mq, Mqrp, Mops, Mu and Ma. +- The QKDN is required to support QoS data feedback based on the QoS policy decision by the QKDN reference points Mc, Mk, Mq, Mqrp, Mops, Mu and Ma. +- The QKDN is required to support the adjustment of the key-distribution strategy based on QoS data assessing in the KM layer by QKDN reference points Mc and Mk. +- The QKDN is required to support parameter tuning based on QoS data assessing in the QL by QKDN reference points Mc, Mq, Mqrp and Mops. +- The QKDN is required to support data communication for QoS/QoE correlation by the QKDN reference points Mc, Mu and Ma. +- The QKDN is required to support reference points between the QoS policy decision functional component and the user plane. +- The QKDN is required to support reference points between the QoS policy decision functional component and the management plane. + +# **10 Security considerations** + +This Recommendation describes the high-level and functional requirements of ML based QoS assurance for QKDNs; therefore, security requirements described in [ITU-T X.1710], [ITU-T Y.3801] and [ITU-T Y.3802] and general network security requirements and mechanisms in IP based networks described in [ITU-T Y.2701] and [ITU-T Y.3101] should be applied. Details are outside the scope of this Recommendation. + +# Appendix I + +## Use cases of machine learning based QoS assurance for QKDN + +(This appendix does not form an integral part of this Recommendation.) + +Some use cases of ML based QoS assurance for the QKDN are described in this Recommendation. + +## I.1 Quantum channel performance + +Integrating QKD with existing traditional dense wavelength division multiplexing (DWDM) fibre-optical networks is critical to the realization and commercialization of quantum networks. When solving the problem of mixed transmission of quantum signal and classical signal, the main challenge is the impact of noise, which has a significant impact on the QoS of quantum signal. It is difficult for the traditional method to estimate the noise in the quantum band in practical networks, because a large number of classical channels is distributed at different wavelengths and different channel spacing, modulated by mixed formats and carrying different data rates. + +Therefore, it is proposed to apply the ML method to estimate the performance of the quantum channel (e.g., noise, secret-key rate, and QBER) to achieve better QoS. ML can be used to make accurate predictions. Selecting the quantum channel with the best transmission performance based on the prediction results can reduce the influence of noise and improve the QoS. + +### I.2 QoS fault diagnosis and prediction + +The QoS fault will lead to the decline of QoS and QoE in the QKDN. As the size of the QKDN continues to grow, it is urgently necessary to develop an automatic and efficient data mining analysis tool to realize the QoS fault diagnosis of the QKDN and to predict the QoS fault of the QKDN by combining the historical data of equipment operation and external data. + +The QoS fault diagnosis model of the QKDN needs the ability to quickly identify the type of QoS fault and accurately locate the QoS fault. The types of device in a QKDN are cumbersome, and some of them are very complex and crucial. We can use the advantages of ML to extract the QoS faults of the collected QKDN. This information and various data are based on deep learning methods, which can establish the characteristics of the QKDN more accurately and perform QoS fault diagnosis in the QKDN more effectively. + +The QoS fault prediction model of the QKDN needs the ability to predict QoS faults in advance according to historical data and external data. The amount of historical data and external data in the QKDN are numerous, and the data types are complex and diverse. It is difficult to find the internal patterns through these QoS data. Machine learning can be used to find hidden patterns in QoS data, and the ML model can accurately predict the impending QoS fault through these inherent patterns so as to handle the QoS faults of the QKDN more accurately. + +# Bibliography + +- [b-ITU-T E.417] Recommendation ITU-T E.417 (2005), *Framework for the network management of IP-based networks*. +- [b-ITU-T P.10] Recommendation ITU-T P.10/G.100 (2017), *Vocabulary for performance, quality of service and quality of experience*. +- [b-ITU-T Q.1741.1] Recommendation ITU-T Q.1741.1 (2002), *IMT-2000 references to release 1999 of GSM evolved UMTS core network with UTRAN access network*. +- [b-ITU-T X.1500] Recommendation ITU-T X.1500 (2011), *Overview of cybersecurity information exchange*. +- [b-ITU-T Y.3803] Recommendation ITU-T Y.3803 (2020), *Quantum key distribution networks – Key management*. +- [b-ITU-T Y.3806] Recommendation ITU-T Y.3806 (2021), *Quantum key distribution networks – Requirements for quality of service assurance*. +- [b-ITU-T Y.3807] Recommendation ITU-T Y.3807 (2021), *Quantum key distribution networks - Quality of service parameters*. +- [b-Qualinet] Qualinet White Paper on Definitions of Quality of Experience (2013), Output from the fifth Qualinet meeting, Novi Sad, March 12. +[http://www.qualinet.eu/index.php?option=com\\_content&view=article&id=45&Itemid=52](http://www.qualinet.eu/index.php?option=com_content&view=article&id=45&Itemid=52) + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal 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b/marked/Y/T-REC-Y.3819-202312-I_PDF-E/raw.md @@ -0,0 +1,652 @@ + + +# Recommendation + +## **ITU-T Y.3819 (12/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Quantum key distribution networks + +--- + +**Quantum key distribution networks – +Requirements and architectural model for +autonomic management and control +enablement** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3819 + +## Quantum key distribution networks – Requirements and architectural model for autonomic management and control enablement + +## Summary + +As the number and diversity of devices and other resources that make up the individual quantum key distribution networks (QKDNs) continues to grow, automating QKDN control and management tasks becomes ever-more important to avoid untimely actions and improve the quality of service (QoS). To cope with the challenges of QKDN control and management, while minimizing human intervention towards full automation of QKDN services, Recommendation ITU-T Y.3819 specifies requirements and a possible architectural model for autonomic management and control (AMC) enabled QKDN (QKDNamec) including an overview, requirements, considerations for the cognition process, an architectural model, and example procedures. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3819 | 2023-12-14 | 13 | 11.1002/1000/15749 | + +## Keywords + +Autonomic management and control (AMC), quantum key distribution (QKD), QKD network (QKDN). + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +# Table of Contents + +| | | Page | +|----|--------------------------------------------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 3 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 3 | +| 6 | Overview of QKDNamec ..... | 4 | +| 7 | Considerations for the cognition process of QKDNamec ..... | 4 | +| 8 | Requirements for QKDNamec ..... | 6 | +| | 8.1 High-level requirements for QKDNamec ..... | 6 | +| | 8.2 Functional requirements for QKDNamec ..... | 6 | +| 9 | Architectural model for QKDNamec ..... | 9 | +| | 9.1 General autonomic DEs..... | 10 | +| | 9.2 Functional elements for QKDNamec..... | 10 | +| | 9.3 Reference points for QKDNamec ..... | 11 | +| 10 | Example operational procedures of QKDNamec ..... | 11 | +| | 10.1 Example AMC operational procedure supported by ML-based quantum
channel performance prediction ..... | 11 | +| | 10.2 Example AMC operational procedure supported by ML-based key
storage management ..... | 13 | +| | 10.3 Example AMC operational procedure supported by ML-based key replay
routing optimization ..... | 15 | +| 11 | Security considerations..... | 17 | +| | Appendix I – Use cases of AMC in QKDN..... | 18 | +| | I.1 AMC for optimization of key supply in QKDN..... | 18 | +| | I.2 AMC for recovery of key supply in QKDN ..... | 18 | +| | Bibliography..... | 19 | + + + +# Recommendation ITU-T Y.3819 + +# Quantum key distribution networks – Requirements and architectural model for autonomic management and control enablement + +# 1 Scope + +This Recommendation specifies one possible set of functional requirements and a possible architectural model for autonomic management and control (AMC)-enabled QKDN (QKDName). In particular, the scope of this Recommendation includes: + +- Overview of QKDName; +- Requirements for QKDName; +- Consideration for the cognition process of QKDName; +- Architectural model for QKDName; +- Example operational procedures of QKDName. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T X.1710] Recommendation ITU-T X.1710 (2020), *Security framework for quantum key distribution networks*. +- [ITU-T Y.2701] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [ITU-T Y.3101] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [ITU-T Y.3324] Recommendation ITU-T Y.3324 (2018), *Requirements and architectural framework for autonomic management and control of IMT-2020 networks*. +- [ITU-T Y.3800] Recommendation ITU-T Y.3800 (2019), *Overview on networks supporting quantum key distribution*. +- [ITU-T Y.3801] Recommendation ITU-T Y.3801 (2020), *Functional requirements for quantum key distribution networks*. +- [ITU-T Y.3802] Recommendation ITU-T Y.3802 (2020), *Quantum key distribution networks – Functional architecture*. +- [ITU-T Y.3814] Recommendation ITU-T Y.3814 (2023), *Quantum key distribution networks – Functional requirements and architecture for machine learning enablement*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 autonomic management and control (AMC)** [ITU-T Y.3324]: A behaviour or action which is determined in a reactive or proactive manner based on the external stimuli (environment aspects) as well as the goals they are required to fulfil, principles of operation, capabilities, experience and knowledge. + +NOTE – In the case of software-defined networks, this definition means that AMC has the ability to dynamically select the network's configuration, control and manage the network, through its self-management functionality that reaches optimal decisions, taking into account the context of operation (environment requirements and characteristics), goals and policies (corresponding to principles of operation), profiles (corresponding to capabilities i.e., functional features supported), and machine learning (for managing and exploiting knowledge and experience). + +**3.1.2 key manager (KM)** [ITU-T Y.3800]: A functional module located in a quantum key distribution (QKD) node to perform key management in the key management layer. + +**3.1.3 quantum key distribution (QKD)** [b-ETSI GR QKD 007]: Procedure or method for generating and distributing symmetrical cryptographic keys with information theoretical security based on quantum information theory. + +**3.1.4 quantum key distribution link (QKD link)** [ITU-T Y.3800]: A communication link between two quantum key distribution (QKD) modules to operate the QKD. + +NOTE – A QKD link consists of a quantum channel for the transmission of quantum signals, and a classical channel used to exchange information for synchronization and key distillation. + +**3.1.5 quantum key distribution module (QKD module)** [ITU-T Y.3800]: A set of hardware and software components that implements cryptographic functions and quantum optical processes, including quantum key distribution (QKD) protocols, synchronization, distillation for key generation, and is contained within a defined cryptographic boundary. + +NOTE – A QKD module is connected to a QKD link, acting as an endpoint module in which a key is generated. These are two types of QKD modules, namely, the transmitters (QKD-Tx) and the receivers (QKD-Rx). + +**3.1.6 quantum key distribution network (QKDN)** [ITU-T Y.3800]: A network comprised of two or more quantum key distribution (QKD) nodes connected through QKD links. + +NOTE – A QKDN allows sharing keys between the QKD nodes by key relay when they are not directly connected by a QKD link. + +**3.1.7 quantum key distribution network controller (QKDN controller)** [ITU-T Y.3800]: A functional module, which is located in a quantum key distribution (QKD) network control layer to control a QKD network. + +**3.1.8 quantum key distribution network manager (QKDN manager)** [ITU-T Y.3800]: A functional module, which is located in a quantum key distribution (QKD) network management layer to monitor and manage a QKD network. + +**3.1.9 quantum key distribution node (QKD node)** [ITU-T Y.3800]: A node that contains one or more quantum key distribution (QKD) modules protected against intrusion and attacks by unauthorized parties. + +NOTE – A QKD node can contain a key manager (KM). + +**3.1.10 quality of service (QoS)** [b-ITU-T P.10]: The totality of characteristics of a telecommunications service that bear on its ability to satisfy stated and implied needs of the user of the service (see [b-ITU-T E.800]). + +**3.1.11 machine learning-enabled quantum key distribution network (ML-enabled QKDN)** [ITU-T Y.3814]: A quantum key distribution network (QKDN) that extends or enhances its functionalities enabled by machine learning (ML) capabilities to achieve different objectives. + +NOTE 1 – ML is an optional functionality for QKDN. + +NOTE 2 – Examples of different objectives are specified in [b-ITU-T Y-Sup.70]. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 autonomic management and control enabled quantum key distribution network (AMC-enabled QKDN):** A quantum key distribution network (QKDN) that extends or enhances its functionalities enabled by autonomic management and control (AMC) capabilities to achieve different objectives. + +NOTE – AMC is an optional functionality for QKDN. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|--------------------------------------------------------| +| AMC | Autonomic Management and Control | +| CL | Control Layer | +| CLMO | Cross Layer Management and Orchestration | +| DE | Decision-making Element | +| KM | Key Manager | +| KMA | Key Management Agent | +| KML | Key Management Layer | +| KML DE | Key Management Layer autonomic Decision-making Element | +| KSA | Key Supply Agent | +| ME | Management Entity | +| ML | Machine Learning | +| NE | Network Element | +| NFV | Network Function Virtualization | +| NP | Network Performance | +| OSNR | Optical Signal-to-Noise Ratio | +| QBER | Quantum Bit-Error Ratio | +| QKD | Quantum Key Distribution | +| QKDN | QKD Network | +| QL | Quantum Layer | +| QL DE | Quantum Layer autonomic Decision-making Element | +| SDN | Software-Defined Networking | +| SPD | Single Photon Detector | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Overview of QKDNamc + +As the number and diversity of devices that make up individual QKD networks (QKDNs) continues to grow, automating QKDN control and management tasks becomes ever-more important, so as to avoid untimely actions and improve QoS. Autonomic management and control (AMC) can enable a network to adjust to varying network conditions and service demands in a timely and efficient manner without requiring human intervention. AMC as presented in [ITU-T Y.3324] is targeted at IMT-2020 networks, but this same idea is applicable elsewhere. AMC concerns decision-making elements (DEs) as autonomic functions (i.e., control-loops) with cognition. The component (software logic) that drives autonomics at a particular level of abstraction for self-\* functionality (self-configuration, self-optimization, etc.) is called a decision-making element (DE) and is described in depth in [b-ETSI TS 103 195-2]. DEs are responsible for autonomic management and adaptive control of systems and network resources, parameters, and services. Cognition enhances DE logic and enables DEs to manage and handle even unforeseen situations and events detected in the environment around the DE(s). + +To cope with the challenges of QKDN control and management, while minimizing human intervention towards full automation of QKDN, this Recommendation specifies the requirements and architectural model for AMC in QKDNs including an overview, considerations for the cognition process, requirements, and an architectural model. + +# 7 Considerations for the cognition process of QKDNamc + +The cognition process of AMC in QKDN is based on a decision-making feedback loop of autonomic monitoring, learning, decision, and action sub-processes as shown in Figure 7-1. The considerations for each sub-process are outlined below: + +![Figure 7-1: Cognition process of AMC in QKDN. The diagram shows a feedback loop within a dashed box labeled 'Cognition process of AMC in QKDN'. Inside the box, four rounded rectangular boxes are connected by arrows: 'Autonomic monitoring' points to 'Autonomic learning', which points to 'Autonomic decision', which points to 'Autonomic action'. Below the dashed box is a box labeled 'QKDN'. An arrow labeled 'NPs and QoS' points from the 'QKDN' box up to the 'Autonomic monitoring' box. Another arrow labeled 'Action assessment' points from the 'Autonomic action' box down to the 'QKDN' box. The reference 'Y.3819(23)' is located at the bottom right of the diagram.](053f1077d592e6622cd21dc4bb4cb366_img.jpg) + +``` +graph LR + subgraph Cognition_Process [Cognition process of AMC in QKDN] + AM[Autonomic monitoring] --> AL[Autonomic learning] + AL --> AD[Autonomic decision] + AD --> AA[Autonomic action] + end + QKDN[QKDN] -- "NPs and QoS" --> AM + AA -- "Action assessment" --> QKDN +``` + +Figure 7-1: Cognition process of AMC in QKDN. The diagram shows a feedback loop within a dashed box labeled 'Cognition process of AMC in QKDN'. Inside the box, four rounded rectangular boxes are connected by arrows: 'Autonomic monitoring' points to 'Autonomic learning', which points to 'Autonomic decision', which points to 'Autonomic action'. Below the dashed box is a box labeled 'QKDN'. An arrow labeled 'NPs and QoS' points from the 'QKDN' box up to the 'Autonomic monitoring' box. Another arrow labeled 'Action assessment' points from the 'Autonomic action' box down to the 'QKDN' box. The reference 'Y.3819(23)' is located at the bottom right of the diagram. + +**Figure 7-1 – Cognition process of QKDNamc** + +- **Autonomic monitoring:** involves collecting and analyzing information about the network performances (NPs) and quality of service (QoS) of the QKDN, such as QKD modules status and key manager status, etc. The monitoring data can be used to detect changes in the QKDN that may require attention. +- **Autonomic learning:** involves acquiring and updating knowledge about the QKDN based on the monitored data and its environment, such as the behaviours of QKDN functional components. The learning data can be used to improve the understanding and prediction of the dynamic QKDN performances. +- **Autonomic decision:** involves selecting and planning the best course of actions to achieve the AMC goal in the QKDN. The decision data can be based on the monitoring and learning data, as well as on the predefined policies, rules, and objectives of the QKDN. +- **Autonomic action:** involves executing and evaluating the chosen action on the QKDN, so as to modify or optimize the QKDN. The action data can be used to assess the effectiveness + +and efficiency of the action, which will provide feedback for further monitoring and learning. + +Cloud computing, software-defined networking (SDN), network function virtualization (NFV), and machine learning (ML) are core enablers of AMC. AMC requires the seamless intelligent decision-making feedback loop of the precise monitoring of status of managed resources, intelligent decision-making and necessary policy generation based on the monitored information and open programmable enforcement of generated policies. Cloud computing provides an abundant resource pool for which complex autonomic decision-making processes are required. SDN provides open control capability for enforcing autonomic decision policies. NFV provides a virtual programmable execution environment that autonomic decision entities could run. Lastly, ML provides an intelligence for optimal decision-making of the complex networking environment. Built-in cognitive management integrates ML as part of the workflows and operations to support intelligent operations. + +The cognition process described in Figure 7-1 is general. Any autonomic closed-loop should follow the same four general processes: monitoring, learning, decision, and action. However, these general processes can be further divided into more specific processes depending on the timing, priority, and action types. They are the processes of collect, normalize, compare, plan, decide and act. Monitoring consists of collect and normalize sub-processes, Decision consists of compare, plan, and decide sub-processes. For example, when the cognition process of autonomic control and management is initiated for the first time, there are no learned or history information for autonomic control and management actions. In this case a full cycle of monitoring, learning, decision, and action processes has to be executed. However, when learned or history information, decision, and/or actions exist, the cognition process can be executed more efficiently by skipping some processes, for example, learning, and/or decision-making processes. The fastest loop (urgent), thus, can be monitoring, compare, and action processes only when the monitored event is learned or known in priori. Another faster loop (high priority) can be monitoring, decision (compare and decide), and action when the learned or history information exist but a further decision-making process is necessary. Figure 7-2 illustrates the enhanced three types of autonomic management and control cognition process. + +![Figure 7-2: Enhanced cognition process of AMC in QKDN. The diagram illustrates a feedback loop for autonomic management and control. It starts with a 'QKD network' (represented by a cloud with red nodes) feeding into a 'Collect' process. 'Collect' leads to 'Normalize', which then leads to 'Compare'. 'Compare' leads to 'Plan', which then leads to 'Decide'. 'Decide' leads to 'Action', which then feeds back into the 'QKD network'. A central 'ML models and reasoner' block is connected to 'Collect', 'Normalize', 'Compare', 'Plan', 'Decide', and 'Action'. Below this block are two repositories: 'Short-term repository' and 'Long-term repository'. Three paths are highlighted: a 'Normal' path (black arrows), a 'High priority' path (green arrows), and an 'Urgent' path (red arrows). The 'Urgent' path bypasses 'Plan' and 'Decide', going directly from 'Compare' to 'Action'. The 'High priority' path bypasses 'Plan', going directly from 'Compare' to 'Decide'. The 'Normal' path follows the full sequence: Collect -> Normalize -> Compare -> Plan -> Decide -> Action.](5a4e62bead259c258d069fd3663ea670_img.jpg) + +Figure 7-2: Enhanced cognition process of AMC in QKDN. The diagram illustrates a feedback loop for autonomic management and control. It starts with a 'QKD network' (represented by a cloud with red nodes) feeding into a 'Collect' process. 'Collect' leads to 'Normalize', which then leads to 'Compare'. 'Compare' leads to 'Plan', which then leads to 'Decide'. 'Decide' leads to 'Action', which then feeds back into the 'QKD network'. A central 'ML models and reasoner' block is connected to 'Collect', 'Normalize', 'Compare', 'Plan', 'Decide', and 'Action'. Below this block are two repositories: 'Short-term repository' and 'Long-term repository'. Three paths are highlighted: a 'Normal' path (black arrows), a 'High priority' path (green arrows), and an 'Urgent' path (red arrows). The 'Urgent' path bypasses 'Plan' and 'Decide', going directly from 'Compare' to 'Action'. The 'High priority' path bypasses 'Plan', going directly from 'Compare' to 'Decide'. The 'Normal' path follows the full sequence: Collect -> Normalize -> Compare -> Plan -> Decide -> Action. + +**Figure 7-2 – Enhanced cognition process of AMC in QKDN** + +# **8 Requirements for QKDNamec** + +## **8.1 High-level requirements for QKDNamec** + +The high-level requirements of QKDNamec are as follows: + +- QKDNamec is recommended to support autonomic management capabilities including knowledge layer with cognitive management functionality. +NOTE 1 – Knowledge layer provides necessary functionality to support autonomic management of QKDN and services. One of the main functions of the knowledge layer is a cognitive management process which is a control loop of monitoring, learning, decision and action sub-processes. Autonomic management decisions and associated actions are made through this process. +- QKDNamec is required to support scalability. +NOTE 2 – AMC functionality should be scalable to be used in complex and large QKDN management and control environments. +- QKDNamec is required to support availability and reliability. +- QKDNamec is required to support real, near-real, and/or non-real time AMC decision making and operations. +NOTE 3 – Cognition process is required to support three modes of operations: urgent, high-priority, and normal to meet this requirement. +- QKDNamec is required to support interworking capability with the management functionality of QKDN. +NOTE 4 – Autonomic management should co-exist with other management functionalities. It is a supporting functionality of the other management functionalities. +- QKDNamec is required to support performance management functionality. +- QKDNamec is required to support coordination functionality among AMC functional capabilities. + +## **8.2 Functional requirements for QKDNamec** + +Based on the QKDN control and management requirements specified in [ITU-T Y.3801] and the functional requirements of AMC specified in [ITU-T Y.3324], QKDNamec is required to meet the following functional requirements: + +### **8.2.1 Functional requirements for QKDNamec autonomic monitoring** + +- QKDNamec is required to support autonomic collection/receipt of the status information from the quantum, key management, and control layers. +- QKDNamec is recommended to support autonomic semantic monitoring capability to reduce communication and computing overhead. +- QKDNamec is recommended to autonomically receive fault, performance, accounting and configuration information. + +### **8.2.2 Functional requirements for QKDNamec autonomic knowledge management** + +- QKDNamec is required to support capability of autonomic DE in the QKDN knowledge layer. +NOTE 1 – Autonomic DE in the QKDN knowledge layer is responsible for an entire QKDN context. Thus, a slow control loop operation is used in non-real time manner. +- QKDNamec is required to support capability of ML repository in the QKDN knowledge layer. +- QKDNamec is required to support capability of model-based information translation. + +- QKDNamec required to support capability of cognitive management in the QKDN knowledge layer. +- QKDNamec is required to support capability of control layer autonomic DE in the QKDN management layer. +NOTE 2 – Control layer autonomic DE supports real-time or near real-time fast closed-loop operation. +- QKDNamec is required to support capability of key management layer autonomic DE in the QKDN management layer. +NOTE 3 – Key management layer autonomic DE supports real-time or near real-time fast closed-loop operation. +- QKDNamec is required to support capability of quantum layer autonomic DE in the QKDN management layer. +NOTE 4 – Quantum layer autonomic DE supports real-time or near real-time fast closed-loop operation. +- QKDNamec is required to support a reference point between the QKDN knowledge layer and QKDN ML layer. +- QKDNamec is required to support a reference point between the QKDN knowledge layer and QKDN management layer. + +### **8.2.3 Functional requirements for QKDNamec autonomic configuration management** + +- QKDNamec is required to provide autonomic configuration control of QKD modules, QKD links, KMs and KM links. +- QKDNamec is required to provide autonomic configuration management of virtual and physical resource provisioning. +- QKDNamec is recommended to provide autonomic configuration management to support: + - autonomic routing and rerouting of key relay if the QKDN supports key relay; + - autonomic collecting and managing a network topology; + - autonomic resource configuration for inventory management; + - autonomic changing of managed resources based on the demand and availability; + - autonomic discovering QKD managed resources in the managed QKDN. + +### **8.2.4 Functional requirements for QKDNamec autonomic fault management** + +- QKDNamec is required to provide autonomic fault management to support autonomic analysis of the status information collected/received for fault indicators. +- QKDNamec is required to support autonomic diagnose of the known faults (e.g., traffic affected faults or non-traffic affected faults). +- QKDNamec is recommended to support autonomic healing, for example, based on autonomic location and autonomic correction of the root cause of known failures. +NOTE – Since the target failure in this requirement is known in the past, autonomic location and autonomic correction of the same types of failure can be supported. Autonomic healing is the overall process to remedy such known failures based on these two functionalities (i.e., autonomic location and correction). +- QKDNamec is recommended to support autonomic protection from malicious attacks and unauthorized access. + +### **8.2.5 Functional requirements for QKDNamec autonomic security management** + +- QKDNamec is recommended to autonomically provide security management to support auto-management of authentication and authorization. + +### **8.2.6 Functional requirements for QKDNamec autonomic optimization** + +- QKDNamec is required to provide auto-routing control of key relay if the key relay function is supported based on the resource status and the service requirements. +- QKDNamec is recommended to provide autonomic QoS policy control. +- QKDNamec is recommended to provide autonomic QKDN resource optimization. +- QKDNamec is recommended to provide optimal autonomic key supply. + +### **8.2.7 Functional requirements for other QKDNamec** + +- QKDNamec is required to support interface with the management functionality of QKDN. +- QKDNamec is required to support the information model for the interface with the management functionality of QKDN. + +# 9 Architectural model for QKDDName + +![Figure 9-1: A possible architectural model for QKDDName. The diagram shows a multi-layered architecture with the following layers and components: + - Service layer: Contains a 'Cryptographic application' block. It has an external input 'Ax' and an output 'Ma' to the User network management layer. + - User network management layer: Contains a 'User network manager' block. It receives 'Ma' and has an output 'Mu' to the QKDN knowledge layer. + - QKDN knowledge layer: A shaded box containing four blocks: 'QKDN autonomic decision-making-element (DE)', 'QKDN knowledge repository', 'Model based information translation', and 'QKDN cognitive management'. It receives 'Mu' and has an output 'Mkn' to the QKDN ML layer. + - QKDN ML layer: Contains four blocks: 'QKDN ML functions', 'QKDN ML repository', 'QKDN ML sandbox', and 'QKDN ML management'. It receives 'Mkn' and has an output 'Mml' to the QKDN control layer. + - QKDN control layer: Contains a 'QKDN controller' block with sub-components: 'Access control', 'Policy based control', 'Routing control', 'Session control', and 'Configuration control'. Below these is 'QKDN controller control and management'. It has an external input 'Cx' and an output 'Ck' to the Key management layer. + - QKDN management layer: Contains a 'QKDN manager' block with sub-components: 'FCAPS functions' (including 'Control layer management' with 'Control layer autonomic DE' and 'Control layer ML SRC/SINK'), 'Key management layer management' (including 'Key management layer autonomic DE' and 'Key management layer ML SRC/SINK'), and 'Quantum layer management' (including 'Quantum layer autonomic DE' and 'Quantum layer ML SRC/SINK'). A vertical bar on the right is labeled 'Cross-layer management orchestration'. + - Key management layer: Contains 'Key manager (KM)', 'KSA', 'KMA', and 'KM control and management'. It receives 'Ck' and has an output 'Mk' to the QKDN management layer. + - Quantum layer: Contains 'QKD module' and 'QKD module control and management' (connected via 'Kq-1'), and 'QKD link' (connected via 'Kq-2'). It has an output 'Mq' to the QKDN management layer. + - Inter-layer connections: 'Ma' connects to 'User network manager'. 'Mu' connects to 'QKDN knowledge layer'. 'Mkn' connects to 'QKDN ML layer'. 'Mml' connects to 'QKDN control layer'. 'Ck' connects to 'Key management layer'. 'Mk' connects to 'QKDN management layer'. 'Mq' connects to 'QKDN management layer'. 'Mops' and 'Mqrp' are also shown as outputs from the Quantum layer to the QKDN management layer. + - Reference: Y.3819(23) is noted at the bottom right.](bd0b93e7a46ede276d0a3b79ac487bd9_img.jpg) + +Figure 9-1: A possible architectural model for QKDDName. The diagram shows a multi-layered architecture with the following layers and components: + - Service layer: Contains a 'Cryptographic application' block. It has an external input 'Ax' and an output 'Ma' to the User network management layer. + - User network management layer: Contains a 'User network manager' block. It receives 'Ma' and has an output 'Mu' to the QKDN knowledge layer. + - QKDN knowledge layer: A shaded box containing four blocks: 'QKDN autonomic decision-making-element (DE)', 'QKDN knowledge repository', 'Model based information translation', and 'QKDN cognitive management'. It receives 'Mu' and has an output 'Mkn' to the QKDN ML layer. + - QKDN ML layer: Contains four blocks: 'QKDN ML functions', 'QKDN ML repository', 'QKDN ML sandbox', and 'QKDN ML management'. It receives 'Mkn' and has an output 'Mml' to the QKDN control layer. + - QKDN control layer: Contains a 'QKDN controller' block with sub-components: 'Access control', 'Policy based control', 'Routing control', 'Session control', and 'Configuration control'. Below these is 'QKDN controller control and management'. It has an external input 'Cx' and an output 'Ck' to the Key management layer. + - QKDN management layer: Contains a 'QKDN manager' block with sub-components: 'FCAPS functions' (including 'Control layer management' with 'Control layer autonomic DE' and 'Control layer ML SRC/SINK'), 'Key management layer management' (including 'Key management layer autonomic DE' and 'Key management layer ML SRC/SINK'), and 'Quantum layer management' (including 'Quantum layer autonomic DE' and 'Quantum layer ML SRC/SINK'). A vertical bar on the right is labeled 'Cross-layer management orchestration'. + - Key management layer: Contains 'Key manager (KM)', 'KSA', 'KMA', and 'KM control and management'. It receives 'Ck' and has an output 'Mk' to the QKDN management layer. + - Quantum layer: Contains 'QKD module' and 'QKD module control and management' (connected via 'Kq-1'), and 'QKD link' (connected via 'Kq-2'). It has an output 'Mq' to the QKDN management layer. + - Inter-layer connections: 'Ma' connects to 'User network manager'. 'Mu' connects to 'QKDN knowledge layer'. 'Mkn' connects to 'QKDN ML layer'. 'Mml' connects to 'QKDN control layer'. 'Ck' connects to 'Key management layer'. 'Mk' connects to 'QKDN management layer'. 'Mq' connects to 'QKDN management layer'. 'Mops' and 'Mqrp' are also shown as outputs from the Quantum layer to the QKDN management layer. + - Reference: Y.3819(23) is noted at the bottom right. + +**Figure 9-1 – A possible architectural model for QKDDName** + +The architectural model for QKDDName, shown in Figure 9-1, is based on the architecture model of ML-enabled QKDN in [ITU-T Y.3814]. Autonomic DEs with closed control loops are the core elements for AMC implementation in QKDN. + +## 9.1 General autonomic DEs + +Decision-making-elements (DEs) are autonomic functions (i.e., control-loops) with cognition processes in the control and management plane. DEs realize self-\* features (self-configuration, self-optimization, etc.) as a result of the decision-making behaviour of a DE that performs dynamic/adaptive control and management of its associated managed entities (MEs) and their configurable and controllable parameters. Such a DE can be embedded in a network node (network element (NE) in general) or higher at a specific layer of the outer overall network and services control and management architecture. An NE may be physical or virtualized (such as in the case of the NFV paradigm). From an architecture perspective, a control-loop can be based on a distributed model (for fast control loops). In this case the DE is embedded in the nodes (physical or virtualized). Whereas in a centralized model (for slow control-loops), the DE is embedded (implemented) outside of the network nodes. Both kinds of control-loops act towards a global goal to ensure a stable state of the network. A DE can negotiate with another DE to realize dynamic adaptation of network resources and parameters, or services, via reference points. This leads to the notion of global network autonomics, a result of interworking DEs as collaborative manager components that perform AMC of their associated MEs and their parameters [b-ETSI WP 16]. + +## 9.2 Functional elements for QKDNamc + +There are two types of DEs including the QKDN DEs at network-level and the local DEs specific to different QKDN layers. The new QKDN knowledge layer is added between the QKDN ML layer and the QKDN management layer through the reference points Mkn and Mkm. It includes QKDN autonomic DEs, QKDN knowledge repository, model-based information translation and QKDN cognitive management. The local DEs are implemented in a QKDN management layer specific to the quantum layer, key management layer and QKDN control layer, to make the faster closed-loop decisions based on the local AMC policies. In the architectural model, DEs in QKDN knowledge layer are logically centralized and act as slow control loops. DEs in the management layer specific to each control/key management/quantum layer, play fast control loops and negotiate with one another to achieve global AMC goals. The functional elements for QKDNamc, shown in Figure 9-1, are described below: + +- **Quantum layer autonomic DE:** provides self-management capabilities of quantum modules and links. It supports real-time or near real-time closed-loop operation. +- **Key management layer autonomic DE:** provides self-management capabilities of optimal key storage and distribution. It supports real-time or near real-time closed-loop operation. +- **Control layer autonomic DE:** provides self-management capabilities of control plane resources and functional entities for the autonomic control orchestration and control entities management, etc. It supports real-time or near real-time closed-loop operation. +- **QKDN autonomic DEs:** provide global AMC capabilities for QKDN at network-level. The DEs make autonomic policy decisions that encompass quantum, key management, and control layers as a slow closed-loop. +- **QKDN knowledge repository:** provides capabilities to store the QKDN-wide self-management policy information in a distributed manner to deal with the scalability of large volumes and performance of accessing distributed repositories. +- **Model-based information translation:** provides translation of self-management policies into layer specific provisioning rules. To support heterogenous types of information, a translation model is used to translate from/to heterogeneous information into a common one. +- **QKDN cognitive management:** provides a realization of the cognitive process by orchestration at network-level. It also supports interaction with the QKDN management layer to deploy the DE decision policies into the control layer autonomic DE, key + +management layer DE, and quantum layer DE and to monitor the status of operation of DEs. + +## 9.3 Reference points for QKDNamec + +The newly added reference points include: + +- **Mkn**: a reference point connecting QKDN cognitive management and QKDN ML management. It is responsible for exchanging the orchestration information of requesting the ML capabilities and the learnt QKDN information between the QKDN ML management and the QKDN cognitive management. +- **Mkm**: a reference point connecting QKDN cognitive management and the cross-layer management orchestration. It is responsible for exchanging the orchestration information for realizing cognitive processes between the QKDN cognitive management and the QKDN manager. + +# 10 Example operational procedures of QKDNamec + +This clause describes some example operational procedures of AMC for QKDN based on the architectural model defined in clause 9 to illustrate how autonomic management and control is performed in QKDN. Three AMC basic operational procedures are specified: AMC basic operational procedures for quantum channel performance prediction, key storage management, and key relay routing optimization. Note that three basic operational procedures referenced ML use cases specified in [b-ITU-T Y-Sup.70]. + +## 10.1 Example AMC operational procedure supported by ML-based quantum channel performance prediction + +Stable and predictable quantum channel performance and transmission quality in the quantum layer is crucial for the implementation and commercialization of QKDNs. The main challenge is that the noise falls into the quantum channel, thereby reducing the quality of quantum channel and causing a low key rate, especially when quantum-encoded photons coexist with high-intensity classical signals. This procedure specifies autonomic management and control supported by ML-based quantum channel performance prediction such as optical signal-to-noise ratio (OSNR) and quantum bit-error ratio (QBER) as shown in Figure 10-1. + +![Sequence diagram showing the AMC operational procedure supported by ML-based quantum channel performance prediction. The diagram involves four main components: QKD module, QKDN manager, QKDN knowledge layer, and QKDN ML layer. The process starts with the QKD module sending performance data to the QL DE in the QKDN manager. The QL DE checks for an existing ML model. If it exists, it generates control actions and requests them from the QKD module. If not, it requests preprocessing and ML model generation from the Cross layer management orchestration in the QKDN manager, which then requests it from the QKDN knowledge layer. The QKDN knowledge layer generates the model and sends it to the QKDN ML layer for preprocessing and generation. The QKDN ML layer then deploys the model back to the QKDN knowledge layer, which in turn deploys it to the QKDN manager. The QKDN manager then collects performance data again and generates control actions, which are requested from the QKD module. The diagram is labeled with 'Step1 - 3: Fast control-loop' and 'Step4 - 8: Slow control-loop'.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +``` + +sequenceDiagram + participant QKD as QKD module + participant QKDN_mgr as QKDN manager + participant QKDN_kl as QKDN knowledge layer + participant QKDN_ml as QKDN ML layer + + QKD->>QKDN_mgr: 1. Collect QL performance information via QL management function + activate QKDN_mgr + QKDN_mgr->>QKDN_mgr: 2. ML model to handle exist? + QKDN_mgr-->>QKDN_mgr: No + QKDN_mgr->>QKDN_mgr: 3-3. Request preprocessing and ML model generation + QKDN_mgr->>QKDN_kl: 4-1. Request preprocessing and ML model generation + QKDN_kl->>QKDN_ml: 4-2. Request preprocessing and ML model generation + QKDN_ml->>QKDN_ml: 5. Preprocess via sandbox function and generate ML model + QKDN_ml->>QKDN_kl: 6-1. Deploy ML model + QKDN_kl->>QKDN_mgr: 6-2. Deploy ML model + QKDN_mgr->>QKDN_mgr: 3-1. Analyse them and generate associated control action(s) + QKDN_mgr->>QKD: 3-2. Request control action(s) + QKD->>QKDN_mgr: 7. Collect QL performance information via QL management function + QKDN_mgr->>QKDN_mgr: 8-1. Analyse them and generate associated control action(s) + QKDN_mgr->>QKD: 8-2. Request control action(s) + deactivate QKDN_mgr + deactivate QKDN_kl + deactivate QKDN_ml + + Note over QKDN_kl, QKDN_ml: Step1 - 3: Fast control-loop + Note over QKDN_kl, QKDN_ml: Step4 - 8: Slow control-loop + +``` + +Y.3819(23) + +Sequence diagram showing the AMC operational procedure supported by ML-based quantum channel performance prediction. The diagram involves four main components: QKD module, QKDN manager, QKDN knowledge layer, and QKDN ML layer. The process starts with the QKD module sending performance data to the QL DE in the QKDN manager. The QL DE checks for an existing ML model. If it exists, it generates control actions and requests them from the QKD module. If not, it requests preprocessing and ML model generation from the Cross layer management orchestration in the QKDN manager, which then requests it from the QKDN knowledge layer. The QKDN knowledge layer generates the model and sends it to the QKDN ML layer for preprocessing and generation. The QKDN ML layer then deploys the model back to the QKDN knowledge layer, which in turn deploys it to the QKDN manager. The QKDN manager then collects performance data again and generates control actions, which are requested from the QKD module. The diagram is labeled with 'Step1 - 3: Fast control-loop' and 'Step4 - 8: Slow control-loop'. + +**Figure 10-1 – Example AMC operational procedure supported by ML-based quantum channel performance prediction** + +- (1) The quantum layer autonomic decision-making element (QL DE) function in QKDN manager collects quantum channel performance-related parameters (e.g., QBER of quantum channel, the single photon detector (SPD) output counter, code formation rates under different noise environments) from the quantum layer QKD module control and management function. +- (2) The QL DE checks if an ML model is available to analyse the collected data and generate associated autonomic control action(s). +- (3-1) If an ML model exists, the QL DE performs analytics of the collected performance data and generates associated control action(s). +- (3-2) The QL DE sends the control action(s) to QL QKD module control and management function to apply. This control action is performed in real or near-real time which is the urgent process (fast control-loop) of the AMC cognition process. +- (3-3) If an ML model does not exist, QL DE requests to create an ML model to QKDN knowledge layer via the cross layer management and orchestration (CLMO) function in the QKDN manager. + +- (4-1) The CLMO function then conveys the request message to the knowledge layer QKDN automatic DE for further processing. +- (4-2) The QKDN automatic DE then sends the request to the QKDN ML layer to pre-process, train the data and generate an ML model. +- (5) This process is handled by the ML sandbox function in the ML layer. +- (6-1) The generated ML model deployment request is sent back to CLMO. +- (7) The QL autonomic DE function in QKDN manager collects quantum channel performance-related parameters which can now handle them. +- (8-1) The QL autonomic DE then performs analytics of the collected performance data and generates associated control action(s). +- (8-2) The QL DE sends the associated control action(s) to the QL QKD module control and management function to apply. This control action is performed in non-real time since the ML model generation process is involved which is the normal process (slow control-loop) of the AMC cognition process. + +## **10.2 Example AMC operational procedure supported by ML-based key storage management** + +Since the QKDN services are dynamic and extensive, it is necessary to have efficient key storage management, so as to realize the reasonable scheduling and efficient utilization of key resources. The ML-based key storage management solution reasonably evaluates and predicts the health state of key storage. This procedure specifies autonomic management and control supported by ML-based key storage management as shown in Figure 10-2. + +![Sequence diagram illustrating the Example AMC operational procedure supported by ML-based key storage management. The diagram shows interactions between five layers: Key manager, Service layer, QKDN manager, QKDN knowledge layer, and QKDN ML layer. The process starts with the Key manager (KM control and management) collecting key storage status information via the QKDN manager's QL management function. The QKDN manager's KML autonomous DE then collects service information and checks if an ML model exists. If it does, it analyzes the data and generates control actions, which are then sent back to the Key manager. If no model exists, it requests preprocessing and ML model generation from the QKDN manager's CL autonomous DE, which then requests preprocessing and ML model generation from the QKDN knowledge layer's QKDN autonomous DE. The QKDN ML layer then preprocesses the data via a sandbox function and generates an ML model, which is then deployed back to the QKDN manager's CL autonomous DE. The process concludes with the QKDN manager's KML autonomous DE collecting QL performance information via the QL management function, analyzing it, and generating control actions, which are then sent back to the Key manager. The diagram is labeled Y.3819(23) at the bottom right.](b6671cfafda3820aafe9a24fa7a4d8c7_img.jpg) + +``` + +sequenceDiagram + participant KeyManager as Key manager + participant ServiceLayer as Service layer + participant QKDNManager as QKDN manager + participant QKDNKnowledgeLayer as QKDN knowledge layer + participant QKDNMLLayer as QKDN ML layer + + KeyManager->>QKDNManager: 1. Collect key storage status information via QL management function + QKDNManager->>ServiceLayer: 1. Collect service information + QKDNManager->>QKDNManager: 2. ML model to handle exist? + QKDNManager->>QKDNManager: 3-1. Analyse them and generate associated control action(s) + QKDNManager->>KeyManager: 3-2. Request control action(s) + QKDNManager->>QKDNManager: 7. Collect QL performance information via QL management function + QKDNManager->>QKDNManager: 8-1. Analyse them and generate associated control action(s) + QKDNManager->>KeyManager: 8-2. Request control action(s) + QKDNManager->>QKDNManager: 3-3. Request preprocessing and ML model generation + QKDNManager->>QKDNKnowledgeLayer: 4-1. Request preprocessing and ML model generation + QKDNManager->>QKDNMLLayer: 4-2. Request preprocessing and ML model generation + QKDNMLLayer->>QKDNMLLayer: 5. Preprocess via sandbox function and generate ML model + QKDNMLLayer->>QKDNManager: 6-1. Deploy ML model + QKDNManager->>QKDNManager: 6-2. Deploy ML model + +``` + +Y.3819(23) + +Sequence diagram illustrating the Example AMC operational procedure supported by ML-based key storage management. The diagram shows interactions between five layers: Key manager, Service layer, QKDN manager, QKDN knowledge layer, and QKDN ML layer. The process starts with the Key manager (KM control and management) collecting key storage status information via the QKDN manager's QL management function. The QKDN manager's KML autonomous DE then collects service information and checks if an ML model exists. If it does, it analyzes the data and generates control actions, which are then sent back to the Key manager. If no model exists, it requests preprocessing and ML model generation from the QKDN manager's CL autonomous DE, which then requests preprocessing and ML model generation from the QKDN knowledge layer's QKDN autonomous DE. The QKDN ML layer then preprocesses the data via a sandbox function and generates an ML model, which is then deployed back to the QKDN manager's CL autonomous DE. The process concludes with the QKDN manager's KML autonomous DE collecting QL performance information via the QL management function, analyzing it, and generating control actions, which are then sent back to the Key manager. The diagram is labeled Y.3819(23) at the bottom right. + +**Figure 10-2 – Example AMC operational procedure supported by ML-based key storage management** + +- (1) The key management layer autonomous decision-making element (KML DE) function in QKDN manager collects service data from the service layer (e.g., service type, security level, required key quantity) in real time and key storage status (e.g., key numbers, key life cycle) from the KML control and management function. +- (2) The KML DE checks if an ML model is available to analyse the collected data and generate associated autonomous control action(s). +- (3-1) If an ML model exists, the KML DE performs analytics of the collected service and key storage status data and generates associated control action(s). +- (3-2) The KML DE sends the control action(s) to the KML control and management function to apply. This control action is performed in real or near-real time which is the urgent process (fast control-loop) of the AMC cognition process. +- (3-3) If an ML model does not exist, the KML DE requests to create an ML model to the QKDN knowledge layer via the CLMO function in QKDN manager. + +- (4-1) The CLMO function then conveys the request message to the knowledge layer of QKDN automatic DE for further processing. +- (4-2) The QKDN automatic DE then sends the request to the QKDN ML layer to pre-process, train the data and generate an ML model. +- (5) This process is handled by the ML sandbox function in the ML layer. +- (6-1) The generated ML model deployment request is sent back to CLMO. +- (7) The KML autonomic DE function in the QKDN manager collects service data and key storage status data which can now handle them. +- (8-1) The QL autonomic DE then performs analytics of the collected service and key storage data and generates associated control action(s). +- (8-2) The KML DE sends the control action(s) to KML control and management function to apply. This control action is performed in non-real time since the ML model generation process is involved which is the normal process (slow control-loop) of the AMC cognition process. + +## **10.3 Example AMC operational procedure supported by ML-based key replay routing optimization** + +When a service request arrives, an appropriate route needs to be selected according to the key requirements and resource states in QKDN. The QKDN control and management layers are responsible for finding and provisioning the optimal key relay route. Due to the dynamic and explosive nature of services, the generation and consumption of key resources are often unbalanced. When the keys on the chosen route cannot meet the key requirements of services, the success rate of services is reduced. ML algorithms enable computation of an optimal routing in a reasonable amount of time. This procedure specifies autonomic management and control supported by ML-based key relay routing optimization as shown in Figure 10-3. + +![Sequence diagram illustrating the Example AMC operational procedure supported by ML-based key relay routing optimization. The diagram shows interactions between five main components: QKD module, KML, QKDN manager, QKDN knowledge layer, and QKDN ML layer. The process starts with data collection (1-1 to 1-3) from the QKD module and KML into the QKDN manager's CL autonomous DE. A decision is made (2) if an ML model exists. If 'Yes', analysis and action generation (3-1) occur in the CL DE, followed by requests for control actions (3-2, 3-3) to the QKDN manager and KML. If 'No', preprocessing and model generation requests (3-4, 4-1, 4-2) are sent to the QKDN knowledge layer and QKDN ML layer. The ML layer performs preprocessing (5) and deploys the model (6-1). The QKDN manager then deploys the model (6-2) and collects performance data (7). A final analysis and action generation (8-1) occurs in the CL DE, with requests for control actions (8-2, 8-3) sent to the QKDN manager and KML. A legend at the bottom right identifies 'Step1 - 3: Fast control-loop' and 'Step4 - 8: Slow control-loop'.](e69b9188aa2c14ec6b21c83f711fef65_img.jpg) + +Y.3819(23) + +Sequence diagram illustrating the Example AMC operational procedure supported by ML-based key relay routing optimization. The diagram shows interactions between five main components: QKD module, KML, QKDN manager, QKDN knowledge layer, and QKDN ML layer. The process starts with data collection (1-1 to 1-3) from the QKD module and KML into the QKDN manager's CL autonomous DE. A decision is made (2) if an ML model exists. If 'Yes', analysis and action generation (3-1) occur in the CL DE, followed by requests for control actions (3-2, 3-3) to the QKDN manager and KML. If 'No', preprocessing and model generation requests (3-4, 4-1, 4-2) are sent to the QKDN knowledge layer and QKDN ML layer. The ML layer performs preprocessing (5) and deploys the model (6-1). The QKDN manager then deploys the model (6-2) and collects performance data (7). A final analysis and action generation (8-1) occurs in the CL DE, with requests for control actions (8-2, 8-3) sent to the QKDN manager and KML. A legend at the bottom right identifies 'Step1 - 3: Fast control-loop' and 'Step4 - 8: Slow control-loop'. + +**Figure 10-3 – Example AMC operational procedure supported by ML-based key relay routing optimization** + +- (1) The CL DE function in QKDN manager collects QKD link parameters, key consumption rate and service requirements, and QKDN topology from the QL QKD module, KML control and management function and CL management function in QKND manager. +- (2) The CL DE checks if an ML model is available to analyse the collected data and generate associated autonomic control action(s). +- (3-1) If an ML model exists, the CL DE performs analytics of the collected performance data and generates associated control action(s) which include an optimal key relay route. It may also include a re-routing action if re-routing is required to keep key relay routing optimal. +- (3-2) The CL DE sends the control action(s) to the CL management function. +- (3-3) It further also sends the control action(s) to KML control and management function to apply (that is, provisioning the optimal key relay route). This control action is performed in real or near-real time which is the urgent process (fast control-loop) of the AMC cognition process. + +- (3-4) If an ML model does not exist, the CL DE requests to create an ML model to QKDN knowledge layer via the CLMO function in QKDN manager. +- (4-1) CLMO then conveys the request message to the knowledge layer QKDN automatic DE for further processing. +- (4-2) The QKDN automatic DE then sends the request to the QKDN ML layer to pre-process, train the data and generate an ML model. +- (5) This process is handled by the ML sandbox function in the ML layer. +- (6-1) The generated ML model deployment request is sent back to CLMO. +- (7) The CL DE function in the QKDN manager collects QKD link parameters, key consumption rate and service requirements, and QKDN topology which can now handle them. +- (8-1) The CL DE then performs analytics of the collected performance data and generates associated control action(s). +- (8-2) The CL DE sends the control action(s) to the KML control and management function to apply. This control action is performed in non-real time since the ML model generation process is involved which is the normal process (slow control-loop) of the AMC cognition process. + +# **11 Security considerations** + +This Recommendation describes requirements and an architectural model for autonomic management and control for QKDNs; therefore, security requirements described in [ITU-T X.1710], [ITU-T Y.3801] and [ITU-T Y.3802] and general network security requirements and mechanisms in IP based networks described in [ITU-T Y.2701] and [ITU-T Y.3101] should be applied. Details are outside the scope of this Recommendation. + +# Appendix I + +## Use cases of AMC in QKDN + +(This appendix does not form an integral part of this Recommendation.) + +Clauses I.1 and I.2 describe potential use cases for AMC in QKDN. + +## I.1 AMC for optimization of key supply in QKDN + +**Need:** To ensure high quality of key supply for the cryptographic applications with different characteristics such as time-sensitive or multi-granularity characteristics, it is essential to have dynamic optimization of key supply in QKDN while maintaining high operational efficiency and optimal resource utilization. + +**Solution:** AMC for optimization of key supply in QKDN is firstly to monitor various parameters in QKDN, such as key generation rate, available key number and key demand number. Then, the collected data is analysed to identify whether there is potential optimization space of key supply in QKDN with the help of the learnt knowledge based on the problem in QKDN such as key shortage, key surplus and key invalidation. The appropriate decisions on how to adjust the key supply are made for optimizing the key supply, so as to meet the requirements of cryptographic applications as much as possible. Prediction of the future key demand and supply situation can also be performed to help the decision-making. Finally, the corresponding actions are executed by the QKDN controller and manager. + +## I.2 AMC for recovery of key supply in QKDN + +**Need:** To ensure consistent key supply with high availability for the served cryptographic applications, it is essential to have rapid recovery of key supply in QKDN in the case of disruptions, system failures, or security breaches. The autonomic ability is needed to help the recovery of key supply to be timely and efficient. + +**Solution:** The AMC for recovery of key supply in QKDN is firstly to monitor the status of key supply for cryptographic applications, the status of available keys in the key managers and parameters of the QKD/KM links. Then, the monitored data is analysed to learn the key-supply-recovery related knowledge with the help of a knowledge repository, to find whether there is an abnormal status, and to predict the future status of key supply. If the key supply is found to be interrupted, a detailed recovery strategy of key supply will be decided, such as the recovery path based on the key-supply-recovery related knowledge. Finally, the QKDN controller will configure the recovery path for the cryptographic application to keep the key supply consistent. + +# Bibliography + +- [b-ITU-T E.800] Recommendation ITU-T E.800 (2008), *Definitions of terms related to quality of service*. +- [b-ITU-T P.10] Recommendation ITU-T P.10/G.100 (2017), *Vocabulary for performance, quality of service and quality of experience*. +- [b-ITU-T Y-Sup.70] Supplement 70 to ITU-T Y.3800-series Recommendations (2021), *Quantum key distribution networks – Applications of machine learning*. +- [b-ETSI GR QKD 007] ETSI GR QKD 007 (2018), *Quantum Key Distribution (QKD); Vocabulary*. +- [b-ETSI TS 103 195-2] ETSI TS 103 195-2 (2018), *Autonomic network engineering for the self-managing Future Internet (AFI); Generic Autonomic Network Architecture; Part 2: An Architectural Reference Model for Autonomic Networking, Cognitive Networking and Self-Management*. +[https://portal.etsi.org/webapp/WorkProgram/Report\\_WorkItem.asp?WKI\\_ID=50970](https://portal.etsi.org/webapp/WorkProgram/Report_WorkItem.asp?WKI_ID=50970) +- [b-ETSI WP 16] ETSI White Paper no. 16 (2016), *The Generic Autonomic Networking Architecture Reference Model for Autonomic Networking, Cognitive Networking and Self-Management of Networks and Services*. +[http://www.etsi.org/images/files/ETSIWhitePapers/etsi\\_wp16\\_gana\\_Ed1\\_20161011.pdf](http://www.etsi.org/images/files/ETSIWhitePapers/etsi_wp16_gana_Ed1_20161011.pdf) + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3821-202404-I_PDF-E/2d4807f80a3f0106f1722d5722cfac87_img.jpg b/marked/Y/T-REC-Y.3821-202404-I_PDF-E/2d4807f80a3f0106f1722d5722cfac87_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..d4d8969f805414689ab79cfd08c333d454d482b3 --- /dev/null +++ b/marked/Y/T-REC-Y.3821-202404-I_PDF-E/2d4807f80a3f0106f1722d5722cfac87_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:636c3839edff955a5b6208530b05fa1c983ab153d90f00216517a7a99478b988 +size 7074 diff --git a/marked/Y/T-REC-Y.3827-202504-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3827-202504-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..5898cc6ef1c1be132d622ae27674f8ada15482aa --- /dev/null +++ b/marked/Y/T-REC-Y.3827-202504-I_PDF-E/raw.md @@ -0,0 +1,349 @@ + + +# Recommendation + +## **ITU-T Y.3827 (04/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Quantum key distribution networks + +--- + +# **Quantum key distribution networks – Measurement methodology for quality of service parameters** + +## ITU-T Y-SERIES RECOMMENDATIONS + +# Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3827 + +# Quantum key distribution networks – Measurement methodology for quality of service parameters + +## Summary + +The quality of service (QoS) parameters specified in Recommendation ITU-T Y.3807 should be quantitatively measured and utilized for the design, deployment, operation, and maintenance supporting quantum key distribution network (QKDN) implementation. For this purpose, a method for measuring those parameters is required. + +Recommendation ITU-T Y.3827 specifies the measurement structure, measurement process and QoS parameters calculation for the measurement methodology of QoS parameters in QKDN. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3827 | 2025-04-29 | 13 | 11.1002/1000/16321 | + +## Keywords + +In-service measurement, measurement methodology, out-of-service measurement, quality of service parameters, quantum key distribution network. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|----------------------------------------------------|------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview..... | 2 | +| 7 Measurement structure..... | 3 | +| 8 Measurement process..... | 4 | +| 9 QoS parameters calculation ..... | 5 | +| 9.1 Availability calculation ..... | 5 | +| 9.2 Delay-related QoS parameters calculation ..... | 5 | +| 10 Security considerations ..... | 6 | +| Bibliography..... | 7 | + + + +# Recommendation ITU-T Y.3827 + +## Quantum key distribution networks – Measurement methodology for quality of service parameters + +## 1 Scope + +This Recommendation specifies the measurement methodology for quality of service (QoS) parameters in quantum key distribution networks (QKDN). In particular, the scope of this Recommendation includes: + +- Measurement structure for QKDN; +- Measurement process for QoS parameters of QKDN; +- QoS parameter calculation for QKDN. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [[ITU-T Y.3800](#)] Recommendation ITU-T Y.3800 (2019), *Overview on networks supporting quantum key distribution*. +- [[ITU-T Y.3803](#)] Recommendation ITU-T Y.3803 (2020), *Quantum key distribution networks – Key management*. +- [[ITU-T Y.3804](#)] Recommendation ITU-T Y.3804 (2025), *Quantum key distribution networks – Control and management*. +- [[ITU-T Y.3807](#)] Recommendation ITU-T Y.3807 (2022), *Quantum key distribution networks – Quality of service parameters*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 in-service measurement** [b-ITU-T P.10]: In-service measurement means that the results are obtained during regular use of a network. + +**3.1.2 key supply agent-key (KSA-key)** [ITU-T Y.3803]: Key data stored and processed in a key supply agent (KSA), and securely shared between a KSA and a matching KSA. + +**3.1.3 out-of-service measurement** [b-ITU-T P.10]: Out-of-service measurements are performed when the network is out of service. + +**3.1.4 quality of service (QoS)** [b-ITU-T E.800]: Totality of characteristics of a telecommunications service that bear on its ability to satisfy stated and implied needs of the user of the service. + +**3.1.5 quantum key distribution (QKD)** [b-ETSI GR QKD 007]: Procedure or method for generating and distributing symmetrical cryptographic keys with information theoretical security based on quantum information theory. + +**3.1.6 quantum key distribution network (QKDN)** [ITU-T Y.3800]: A network comprised of two or more quantum key distribution (QKD) nodes connected through QKD links. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 KSA-key response delay (KKRD)**: A QoS parameter of QKDN wherein once a user network asks the QKDN to send the KSA-key, the reaction timing is measured in terms of response delay. + +NOTE – Definition adapted from [ITU-T Y.3807]. + +**3.2.2 KSA-key response delay variation (KKRDV)**: A QoS parameter of QKDN wherein the KKRDV for KSA-keys is the difference between the actual KKRD and a median KKRD. + +NOTE – Definition adapted from [ITU-T Y.3807]. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|----------------------------------| +| CA | Cryptographic Application | +| ID | Identifier | +| KKRD | KSA-key Response Delay | +| KKRDV | KSA-key Response Delay Variation | +| KML | Key Management Layer | +| KSA | Key Supply Agent | +| QKD | Quantum Key Distribution | +| QKDN | Quantum Key Distribution Network | +| QoS | Quality of Service | + +## **5 Conventions** + +None. + +## **6 Overview** + +Quality of service (QoS) parameters in [ITU-T Y.3807] should be quantitatively measured and utilized for the design, deployment, operation and maintenance to support quantum key distribution network (QKDN) implementation. For this purpose, a method for measuring those parameters is required. + +In general, there are two possible methods of measuring QoS parameters; in-service and out-of-service measurements. In-service measurement is performed when testing the quality of service delivered by the QKDN to the user network. In the in-service measurement mode, the live traffic of a connection is monitored directly. The out-of-service measurement mode makes use of some additional measurement functions (see clause 7) for the accurate estimation of QoS parameters. Measurement is performed by these additional functions while the connection is out-of-service. + +The key supply agent (KSA)-key format is defined in [ITU-T Y.3803] and it includes a key identifier (ID) and a key generation time stamping function. These two functions are available for measuring loss and delay parameters in the in-service measurement mode. + +On the other hand, it is generally possible to monitor the number of KSA-keys arriving and the time at which a key arrives in the cryptographic application. The key supply agent (KSA)-key format with key identifier (ID) and a key generation time stamping function is also available for loss and delay parameters in the out of service measurement mode. + +## 7 Measurement structure + +In order to identify a practical measurement methodology, the exact measurement points, and relative correlations in the overall procedure of QKDN should be clarified. Figure 1 and Figure 2 respectively show the measurement points in the in-service and in the out-of-service measurement modes of QKDN. + +![Diagram showing measurement points in in-service measurement mode for QKDN. It illustrates the flow between Cryptographic application-A and Cryptographic application-B, and their interaction with the KM layer and Quantum layer within the QKDN structure. Steps 1 through 5 are indicated for key supply and measurement.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +The diagram illustrates the measurement points in the in-service measurement mode of QKDN. It shows two cryptographic applications, Cryptographic application-A and Cryptographic application-B, connected by a horizontal line labeled Step ③. Below each application is a vertical line representing the measurement point, with Step ① and Step ② for application-A, and Step ④ and Step ⑤ for application-B. These measurement points are connected to the KM layer (Key Management layer) within the QKDN structure. The KM layer contains an 'In-service measurement' box with 'KSA-key ID' and 'Supply time stamp'. The KM layer is connected to the Quantum layer. The Quantum layer is also connected to the KM layer. The QKDN structure is labeled 'QKDN' on the right. A legend indicates that a yellow circle represents a 'Measurement point'. + +Diagram showing measurement points in in-service measurement mode for QKDN. It illustrates the flow between Cryptographic application-A and Cryptographic application-B, and their interaction with the KM layer and Quantum layer within the QKDN structure. Steps 1 through 5 are indicated for key supply and measurement. + +| Table – Metadata information (Basic information) of key file format in [ITU-T Y.3803] | | | +|---------------------------------------------------------------------------------------|------------------------------------------------------------------------------|-----| +| Metadata | Description | M/O | +| ... | | | +| (4) KSA-key | | | +| KSA-key ID | ID of the KSA-key | M | +| Key length | Key length of the KSA-key | O | +| Supply time stamp | Time stamp of the KSA-key supply from the KSA to a cryptographic application | O | +| Application name | Name of cryptographic application | O | +| Application source ID | Source ID of cryptographic application | O | +| Application destination ID | Destination ID of cryptographic application | O | + +Figure 1 – (a) Measurement points for in-service measurement mode, (b) Metadata that can be measured in an in-service measurement mode in the table of [ITU-T Y.3803] + +For the in-service measurement mode, two sources of metadata information are used; KSA-key ID and supply time stamp. + +The KSA-key ID identifies each KSA-key respectively. The number of KSA-key IDs counted during the measurement time period is identical to the number of KSA-keys received in step⑤. However, the number of KSA-key requests in step① should be measured in the cryptography application (CA)-A or the corresponding key management layer (KML). Further details are out of the scope of this Recommendation. + +The supply time stamp shows the sending time of each KSA-key respectively. The time of the KSA-key time stamp monitored during the measurement time period is identical to the approximated time of the KSA-key received in step⑤. However, the sending time of KSA-key requests in step① should be measured in CA-A or the corresponding KML. Further details are out of the scope of this Recommendation. + +![Figure 2: Measurement points for out-of-service measurement mode. The diagram shows two cryptographic applications, CA-A and CA-B, connected by a horizontal line labeled Step③. CA-A contains an 'Out-of-service measurement' box with 'KSA-key request counting' and 'Request time stamp'. CA-B contains an 'Out-of-service measurement' box with 'KSA-key ID counting' and 'Receive time stamp'. Below each application is a 'Key management layer' and a 'Quantum layer'. Red arrows indicate Step① (downward from CA-A to KML) and Step② (upward from KML to CA-A). Similarly, Step④ (downward from CA-B to KML) and Step⑤ (upward from KML to CA-B) are shown. A horizontal double-headed arrow connects the two KMLs. A legend at the bottom shows a green circle as a 'Measurement point'.](e6df2733626a85205c1db682e6259c46_img.jpg) + +Figure 2: Measurement points for out-of-service measurement mode. The diagram shows two cryptographic applications, CA-A and CA-B, connected by a horizontal line labeled Step③. CA-A contains an 'Out-of-service measurement' box with 'KSA-key request counting' and 'Request time stamp'. CA-B contains an 'Out-of-service measurement' box with 'KSA-key ID counting' and 'Receive time stamp'. Below each application is a 'Key management layer' and a 'Quantum layer'. Red arrows indicate Step① (downward from CA-A to KML) and Step② (upward from KML to CA-A). Similarly, Step④ (downward from CA-B to KML) and Step⑤ (upward from KML to CA-B) are shown. A horizontal double-headed arrow connects the two KMLs. A legend at the bottom shows a green circle as a 'Measurement point'. + +**Figure 2 – Measurement points for out-of-service measurement mode** + +For out-of-service measurement mode, some additional functions are required in CA-A and CA-B. + +First, in CA-A, the KSA-key request counting function that calculates the number of KSA-key requests is required. Second, the KSA-key request time stamp function that identifies the generation or sending time of each KSA-key request is required. Further details are out of the scope of this Recommendation. + +Thirdly, in CA-B, the KSA-key ID counting function that calculates the number of KSA-keys received is required. Lastly, the time stamp function of KSA-key received that identifies the time of each KSA-key received is required. In the case that the distance between the cryptographic application and the KML is negligible, the supply time stamp information of the KML can be used. Further details are out of the scope of this Recommendation. + +NOTE – For further details on the structure and arrows in Figure 1-(a) and in Figure 2, see [ITU-T Y.3807]. + +## 8 Measurement process + +The locations of the functional measurement points at which the QoS of QKDN should be evaluated are specified in the clause 7. + +Since these functional measurement points are generally not accessible by a measurement entity, practical measurements for QoS of QKDN can be performed with the measurement entity connected at the physical interface. The measurement entity is recommended to be connected as near as possible to the functional measurement point. This implies that the time of occurrences of reference events can only be approximated by the measurement entity. + +The QoS parameters of QKDN are derived from the observation of different events (KSA-key request event and KSA-key received event, see [ITU-T Y.3807] for details) occurring at one or more measurement points throughout the network. Events are processed in two steps: the sequence of monitored events is analysed to determine outcomes (successful, errored and lost, see [ITU-T Y.3807] for details), then outcomes are further processed to calculate the set of QoS parameters. + +This general measurement process is illustrated in Figure 3. + +![Flowchart of the general measurement process: Event -> Analysis -> Outcomes -> Processing -> QoS parameter. Reference: Y.3827(25)](5a4e62bead259c258d069fd3663ea670_img.jpg) + +``` +graph LR; Event[Event] -- Analysis --> Outcomes[Outcomes]; Outcomes -- Processing --> QoSparameter[QoS parameter]; +``` + +Y.3827(25) + +Flowchart of the general measurement process: Event -> Analysis -> Outcomes -> Processing -> QoS parameter. Reference: Y.3827(25) + +**Figure 3 – General measurement process** + +## **9 QoS parameters calculation** + +There are two types of QoS parameters to be calculated; availability and delay-related QoS parameters. To make calculation meaningful, long-term measurement is recommended. + +Based on the long-term measurement of the QoS parameters, the measurement results represent mean values for all valid KSA-keys over the entire measurement period. + +For example, KSA-key response delay (KKRD) identified in [ITU-T Y.3807] requires mean KKRD calculation for a valid value for the entire measurement period. The mean KKRD is associated with the number of valid KSA-key services. + +### **9.1 Availability calculation** + +The QoS parameters' value shall be calculated for every valid KSA-key received during the available time mentioned in [ITU-T Y.3807]. + +As an option in the case of KKRD, it may be useful to measure a KKRD value by calculating every valid KSA-key received during available time as well as during unavailable time. This option provides a complete set of results for both cases. + +### **9.2 Delay-related QoS parameters calculation** + +Mean KKRD and KSA-key response delay variation (KKRDV) are delay-related QoS parameters defined in [ITU-T Y.3807]. The KKRDs are used to calculate the mean KKRD. The same results are used to calculate the KKRDV. + +The measurement accuracy depends on factors including; whether the measurement point is transmitting the analysing KSA-key flow, as well as the KSA-key rate of the KSA-key flow, and the desired number of samples. When high accuracy is required, the frequency and/or phase synchronized timestamp clocks of the transmitting and receiving measurement points are required. The timestamp clock is the mechanism included in the measurement point. It provides time information to be inserted in the timestamps of the requested KSA-key events or the received KSA-key events. + +## **10 Security considerations** + +In order to mitigate security threats and potential attacks, issues of confidentiality, integrity, authenticity, non-repudiation, availability and traceability need to be addressed, and appropriate security and privacy protection schemes should be considered in the QoS aspects of QKDN, details of which are outside the scope of this Recommendation. + +## Bibliography + +- [[b-ITU-T E.800](#)] Recommendation ITU-T E.800 (2008), *Definitions of terms related to quality of service*. +- [[b-ITU-T P.10](#)] Recommendation ITU-T P.10/G.100 (2017), *Vocabulary for performance, quality of service and quality of experience*. +- [b-ETSI GR QKD 007] ETSI GR QKD 007 (2018), *Quantum Key Distribution (QKD); Vocabulary*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.3828-202504-I_PDF-E/raw.md b/marked/Y/T-REC-Y.3828-202504-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..c0e46a952d391c3e172a612ed62cc506ca484acc --- /dev/null +++ b/marked/Y/T-REC-Y.3828-202504-I_PDF-E/raw.md @@ -0,0 +1,409 @@ + + +# Recommendation + +## **ITU-T Y.3828 (04/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Quantum key distribution networks + +--- + +**Integration of quantum key distribution network and user network supporting end-to-end modern cryptography services – Requirements for quality of service assurance** + +## ITU-T Y-SERIES RECOMMENDATIONS + +# Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| General | Y.100-Y.199 | +| Services, applications and middleware | Y.200-Y.299 | +| Network aspects | Y.300-Y.399 | +| Interfaces and protocols | Y.400-Y.499 | +| Numbering, addressing and naming | Y.500-Y.599 | +| Operation, administration and maintenance | Y.600-Y.699 | +| Security | Y.700-Y.799 | +| Performances | Y.800-Y.899 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| General | Y.1000-Y.1099 | +| Services and applications | Y.1100-Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200-Y.1299 | +| Transport | Y.1300-Y.1399 | +| Interworking | Y.1400-Y.1499 | +| Quality of service and network performance | Y.1500-Y.1599 | +| Signalling | Y.1600-Y.1699 | +| Operation, administration and maintenance | Y.1700-Y.1799 | +| Charging | Y.1800-Y.1899 | +| IPTV over NGN | Y.1900-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| Frameworks and functional architecture models | Y.2000-Y.2099 | +| Quality of Service and performance | Y.2100-Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200-Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250-Y.2299 | +| Enhancements to NGN | Y.2300-Y.2399 | +| Network management | Y.2400-Y.2499 | +| Computing power networks | Y.2500-Y.2599 | +| Packet-based Networks | Y.2600-Y.2699 | +| Security | Y.2700-Y.2799 | +| Generalized mobility | Y.2800-Y.2899 | +| Carrier grade open environment | Y.2900-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.3828 + +# Integration of quantum key distribution network and user network supporting end-to-end modern cryptography services – Requirements for quality of service assurance + +## Summary + +It is challenging to integrate a quantum key distribution network (QKDN) and a user network to support end-to-end modern cryptography services for users including mobile objects (i.e., autonomous car, mobile phone, etc.). One of the main challenges is an implication on the end-to-end quality of service assurance. To address this issue, Recommendation ITU-T Y.3828 specifies architectural reference models and high-level and functional requirements for quality of service (QoS) assurance for integrated QKDN and user network supporting end-to-end modern cryptography (UNemc) services. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.3828 | 2025-04-29 | 13 | 11.1002/1000/16298 | + +## Keywords + +Integration, QKD network (QKDN), quality of service (QoS) assurance, quantum key distribution (QKD), user network supporting end-to-end modern cryptography (UNemc) services. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|---------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 3 | +| 6 | Introduction..... | 3 | +| 7 | Architectural reference models of QoS assurance for integrated QKDN and UNemc..... | 3 | +| 8 | High-level requirements of QoS assurance for integrated QKDN and UNemc..... | 5 | +| 9 | Functional requirements of QoS assurance for integrated QKDN and UNemc..... | 5 | +| | 9.1 Quality of service planning requirements for QKDNunemc..... | 5 | +| | 9.2 Quality of service monitoring requirements for QKDNunemc..... | 5 | +| | 9.3 Quality of service optimization requirements for QKDNunemc ..... | 6 | +| | 9.4 Quality of service provisioning requirements for QKDNunemc ..... | 6 | +| | 9.5 Quality of service protection/recovery requirements for QKDNunemc ..... | 7 | +| 10 | Security considerations..... | 7 | +| | Appendix I – Use cases of QoS assurance for integrated QKDN and UNemc ..... | 8 | +| | I.1 Use case 1: QoS assurance of vertical integration for E2E QKD-encryption..... | 8 | +| | I.2 Use case 2: QoS assurance of horizontal integration for QKD-encryption and modern cryptography-encryption ..... | 8 | +| | I.3 Use case 3: QoS assurance of horizontal integration for E2E QKD-encryption..... | 9 | +| | Bibliography..... | 10 | + + + +# Recommendation ITU-T Y.3828 + +# Integration of quantum key distribution network and user network supporting end-to-end modern cryptography services – Requirements for quality of service assurance + +## 1 Scope + +This Recommendation specifies architectural reference models and high-level and functional requirements of quality of service (QoS) assurance for integrated quantum key distribution network (QKDN) and user network supporting end-to-end modern cryptography (UNemc) services. In particular, the scope of this Recommendation includes: + +- Architectural reference models for integrated QKDN and UNemc; +- High-level requirements of QoS assurance for integrated QKDN and UNemc; +- Functional requirements of QoS assurance for integrated QKDN and UNemc. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [[ITU-T X.1710](#)] Recommendation ITU-T X.1710 (2020), *Security framework for quantum key distribution networks*. +- [[ITU-T Y.2701](#)] Recommendation ITU-T Y.2701 (2007), *Security requirements for NGN release 1*. +- [[ITU-T Y.3101](#)] Recommendation ITU-T Y.3101 (2018), *Requirements of the IMT-2020 network*. +- [[ITU-T Y.3800](#)] Recommendation ITU-T Y.3800 (2019), *Overview on networks supporting quantum key distribution*. +- [[ITU-T Y.3801](#)] Recommendation ITU-T Y.3801 (2020), *Functional requirements for quantum key distribution networks*. +- [[ITU-T Y.3802](#)] Recommendation ITU-T Y.3802 (2020), *Quantum key distribution networks – Functional architecture*. +- [[ITU-T Y.3806](#)] Recommendation ITU-T Y.3806 (2021), *Quantum key distribution networks – Requirements for quality of service assurance*. +- [[ITU-T Y.3811](#)] Recommendation ITU-T Y.3811 (2022), *Quantum key distribution networks – Functional architecture for quality of service assurance*. +- [[ITU-T Y.3826](#)] Recommendation ITU-T Y.3826 (2024), *Integration of quantum key distribution network and user network supporting end-to-end modern cryptography services – Framework*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 assurance** [b-ITU-T X.1500]: The degree of confidence that the process or deliverable meets defined characteristics or objectives. + +**3.1.2 quantum key distribution (QKD)** [b-ETSI GR QKD 007]: Procedure or method for generating and distributing symmetrical cryptographic keys with information theoretical security based on quantum information theory. + +**3.1.3 quantum key distribution network (QKDN)** [ITU-T Y.3800]: A network comprised of two or more quantum key distribution (QKD) nodes connected through QKD links. + +NOTE – A QKDN allows sharing keys between the QKD nodes by key relay when they are not directly connected by a QKD link. + +**3.1.4 quality of service** [b-ITU-T Q.1741.9]: The collective effect of service performances, which determine the degree of satisfaction of a user of a service. It is characterized by the combined aspects of performance factors applicable to all services, such as: service operability performance, service accessibility performance, service retainability performance, service integrity performance, and other factors specific to service. + +### 3.2 Terms defined in this Recommendation + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------------|-----------------------------------| +| E2E | End to End | +| IKE | Internet Key Exchange | +| IP | Internet Protocol | +| IT-secured | Information Theoretically-secured | +| KSA | Key Supply Agent | +| MAC | Medium Access Control | +| OSI | Open System Interconnection | +| OTP | One-Time Pad | +| PKI | Public Key Infrastructure | +| PPP | Point-to-Point Protocol | +| PQC | Post Quantum Cryptography | +| PSK | Phase Shift Keying | +| QKD | Quantum Key Distribution | +| QKDN | QKD Network | +| QKDNunemc | Integrated QKDN and UNemc | +| QoS | Quality of Service | +| SLA | Service Level Agreement | + +| | | +|-------|--------------------------------------------------------| +| SSL | Secure Socket Layer | +| TLS | Transport Layer Security | +| UNemc | User Network supporting end-to-end modern cryptography | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Introduction + +It is challenging to integrate a quantum key distribution network (QKDN) and a user network to support end-to-end modern cryptography services for users including mobile objects (i.e., autonomous car, mobile phone, etc.). [b-ITU-T Y-Suppl.79] addresses this issue and describes several use cases to deliver key supply agent (KSA)-keys generated from QKDNs to the user applications by means of modern cryptography, such as public key infrastructure (PKI) technology, with post quantum cryptography (PQC) algorithms. It also identifies various issues to be addressed for standardization. One of these is an implication on the end-to-end quality of service assurance. + +This Recommendation specifies architectural reference models and high-level and functional requirements for quality of service (QoS) assurance for integrated QKDN and user network supporting end-to-end modern cryptography (UNemc) services. + +## 7 Architectural reference models of QoS assurance for integrated QKDN and UNemc + +The architectural reference models of QoS assurance for integrated QKDN and UNemc combined services are depicted in Figure 1 and Figure 2. There are two models to encompass several use cases. Specifying use cases as partially composed reference models simplifies the composition. + +Figure 1 illustrates the first integration and associated QoS assurance reference model. The QKDN provides KSA-keys to both sides of the responder and the initiator. The encryptor and the descriptor will communicate through encrypted communication link with one-time pad (OTP) encryption with KSA-keys or will use KSA-keys for phase shift keying (PSK) for other encryption methods. Another alternative is to choose a modern encryption method such as post quantum cryptography (PQC) for encrypted communication between the encryptor and the descriptor without KSA-keys. This also illustrates the scope of QoS assurance in both vertical and horizontal end-to-end contexts. + +![Figure 1: Conceptual architecture model – Case 1. This diagram shows a nested architecture. At the bottom is a box labeled 'QKDN'. Above it is a large box labeled 'User network'. Inside the 'User network' is a box labeled 'Modern cryptography'. Within 'Modern cryptography' are two columns: 'Responder' on the left and 'Initiator' on the right. Each column contains three stacked boxes: 'Encryptor/decryptor' at the top, 'Key exchange' in the middle, and 'Key manager' at the bottom. Horizontal double-headed arrows connect the 'Encryptor/decryptor', 'Key exchange', and 'Key manager' boxes between the Responder and Initiator columns. A vertical double-headed arrow on the right side of the 'User network' box is labeled 'User network QoS assurance'. A horizontal double-headed arrow at the top of the 'User network' box is labeled 'End-to-end QoS assurance'. Two arrows labeled 'KSA-keys' point from the 'QKDN' box up to the 'Key manager' boxes in both the Responder and Initiator columns. A small label 'Y.3828(25)' is at the bottom right of the 'QKDN' box.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 1: Conceptual architecture model – Case 1. This diagram shows a nested architecture. At the bottom is a box labeled 'QKDN'. Above it is a large box labeled 'User network'. Inside the 'User network' is a box labeled 'Modern cryptography'. Within 'Modern cryptography' are two columns: 'Responder' on the left and 'Initiator' on the right. Each column contains three stacked boxes: 'Encryptor/decryptor' at the top, 'Key exchange' in the middle, and 'Key manager' at the bottom. Horizontal double-headed arrows connect the 'Encryptor/decryptor', 'Key exchange', and 'Key manager' boxes between the Responder and Initiator columns. A vertical double-headed arrow on the right side of the 'User network' box is labeled 'User network QoS assurance'. A horizontal double-headed arrow at the top of the 'User network' box is labeled 'End-to-end QoS assurance'. Two arrows labeled 'KSA-keys' point from the 'QKDN' box up to the 'Key manager' boxes in both the Responder and Initiator columns. A small label 'Y.3828(25)' is at the bottom right of the 'QKDN' box. + +**Figure 1 – Conceptual architecture model – Case 1** + +Figure 2 depicts the second integration and associated QoS assurance reference model. The QKDN provides the KSA-keys to the responder or the initiator of two of modern cryptographies, which is mainly due to the limited geographic coverage of the QKDN. KSA-keys may be conveyed to the other side with encryption by the modern cryptographies and then, encryptor and descriptor will communicate end-to-end through an encrypted communication link with OTP encryption with KSA-keys or use KSA-keys for PSK for other encryption methods. This also illustrates the scope of QoS assurance in both vertical and horizontal end-to-end contexts. + +NOTE – The security level of end-to-end communication depends on modern cryptography to convey the KSA-keys. The details of security are out of the scope of this Recommendation. + +![Figure 2: Conceptual architecture model – Case 2. This diagram shows a more complex architecture. At the bottom is a box labeled 'QKDN'. Above it is a large box labeled 'User network'. Inside the 'User network' are two boxes: 'Modern cryptography-A' on the left and 'Modern cryptography-B' on the right. Each of these boxes contains a 'Responder' column and an 'Initiator' column. Each column has three stacked boxes: 'Encryptor/decryptor', 'Key exchange', and 'Key manager'. Horizontal double-headed arrows connect the 'Encryptor/decryptor', 'Key exchange', and 'Key manager' boxes within each 'Modern cryptography' box. Additionally, a horizontal arrow points from the 'Key manager' box of 'Modern cryptography-A' to the 'Key manager' box of 'Modern cryptography-B'. A vertical double-headed arrow on the right side of the 'User network' box is labeled 'User network QoS assurance'. A horizontal double-headed arrow at the top of the 'User network' box is labeled 'End-to-end QoS assurance'. Two arrows labeled 'KSA-keys' point from the 'QKDN' box up to the 'Key manager' boxes in both 'Modern cryptography-A' and 'Modern cryptography-B'. A small label 'Y.3828(25)' is at the bottom right of the 'QKDN' box.](daa4a6fa7e2ba1954258f86b4928eb32_img.jpg) + +Figure 2: Conceptual architecture model – Case 2. This diagram shows a more complex architecture. At the bottom is a box labeled 'QKDN'. Above it is a large box labeled 'User network'. Inside the 'User network' are two boxes: 'Modern cryptography-A' on the left and 'Modern cryptography-B' on the right. Each of these boxes contains a 'Responder' column and an 'Initiator' column. Each column has three stacked boxes: 'Encryptor/decryptor', 'Key exchange', and 'Key manager'. Horizontal double-headed arrows connect the 'Encryptor/decryptor', 'Key exchange', and 'Key manager' boxes within each 'Modern cryptography' box. Additionally, a horizontal arrow points from the 'Key manager' box of 'Modern cryptography-A' to the 'Key manager' box of 'Modern cryptography-B'. A vertical double-headed arrow on the right side of the 'User network' box is labeled 'User network QoS assurance'. A horizontal double-headed arrow at the top of the 'User network' box is labeled 'End-to-end QoS assurance'. Two arrows labeled 'KSA-keys' point from the 'QKDN' box up to the 'Key manager' boxes in both 'Modern cryptography-A' and 'Modern cryptography-B'. A small label 'Y.3828(25)' is at the bottom right of the 'QKDN' box. + +**Figure 2 – Conceptual architecture model – Case 2** + +The use cases described in Appendix I are realized by the combination of these two architectural reference models. + +# **8 High-level requirements of QoS assurance for integrated QKDN and UNemc** + +- Integrated QKDN and UNemc (QKDNunemc) is required to assure different classes of quality of QKD services across integrated QKDN and UNemc environments. +- QKDNunemc is required to assure different classes of quality of UNemc (e.g., PQC) services across integrated QKDN and UNemc environments. +- QKDNunemc is required to support capabilities of QoS interworking across integrated QKDN and UNemc environments. +- QKDNunemc is required to support capabilities of data collection and analytics to assure QoS services over integrated QKDN and UNemc environments. +- QKDNunemc is recommended to support scalability, performance, and reliability of QoS assurance mechanisms. +- QKDNunemc is recommended to support ML-based and/or autonomic QoS assurance capabilities. + +## **9 Functional requirements of QoS assurance for integrated QKDN and UNemc** + +During the lifecycle of the QKDNunemc services, the QoS lifecycle management ensures that the QoS is also involved in the functional requirements for QKDNunemc services. The QoS assurance functional requirements can be classified into five interdependent categories: QKDNunemc QoS planning, QoS monitoring, QoS optimization, QoS provisioning, and QoS protection/recovery. The functional requirements are also specified below for each category. + +### **9.1 Quality of service planning requirements for QKDNunemc** + +- QKDNunemc is required to support service-driven QoS planning. +NOTE – Service-driven QoS planning means an intent-based QoS planning. The capability of mapping the intent (business objectives) into a service level agreement (SLA) is associated with this requirement (e.g., a gold service as an intent can be translated into SLA specific parameters such as target latency, jitter, and throughput). +- QKDNunemc is required to support SLA-based QoS planning. +- QKDNunemc is required to convert QKDNunemc service models to QKDNunemc traffic models accurately. +- QKDNunemc is required to support an accurate estimate of QKDNunemc network coverage, capacity and resources demands. +- QKDNunemc is recommended to estimate and allocate network resources in a way that maximizes its utilization. + +### **9.2 Quality of service monitoring requirements for QKDNunemc** + +- QKDNunemc is recommended to provide a mechanism for supporting real-time E2E QoS monitoring. +- QKDNunemc is required to measure and analyse the throughput of generation of KSA and UNemc encryption keys. +- QKDNunemc is required to measure and analyse KSA and UNemc encryption keys response delays. +- QKDNunemc is recommended to measure and analyse KSA key delivery error ratio (KKDER). + +- QKDNunemc is recommended to measure and analyse UNemc encryption key delivery error ratio (UKDER). +- QKDNunemc is recommended to analyse integrated KKDER and UKDER. +- QKDNunemc is recommended to measure and analyse KSA key delivery loss ratio (KKDLR). +- QKDNunemc is recommended to measure and analyse UNemc encryption key delivery loss ratio (UKDLR). +- QKDNunemc is recommended to analyse integrated KKDLR and UKDLR. +- QKDNunemc is recommended to measure and analyse the QoS class of real-time control and management traffic. +- QKDNunemc is required to provide performance analysis information to provisioning and optimization functional entities to support QoS-based provisioning and optimization. +- QKDNunemc is recommended to expose QoS capability to the user network. + +### **9.3 Quality of service optimization requirements for QKDNunemc** + +- QKDNunemc is recommended to support QoS-based resource utilization optimization. +- QKDNunemc is recommended to assure optimal throughput of quantum key generation. +- QKDNunemc is recommended to optimize response delay. +- QKDNunemc is recommended to optimize KSA key error ratio (QKER). +- QKDNunemc is recommended to optimize UNemc encryption key error ratio (UKER). +- QKDNunemc is recommended to optimize integrated QKER and UKER. +- QKDNunemc is recommended to optimize KSA key loss ratio (QKLR). +- QKDNunemc is recommended to optimize UNemc encryption key loss ratio (UKLR). +- QKDNunemc is recommended to optimize integrated QKLR and UKLR. +- QKDNunemc is recommended to optimize QoS class for real-time control and management traffic. +- QKDNunemc is recommended to optimize operating frequency which is the frequency of sending quantum signals when a pair of QKD devices work together. + +### **9.4 Quality of service provisioning requirements for QKDNunemc** + +- QKDNunemc is recommended to provision network and key-related resources in a way that maximizes its utilization. +- QKDNunemc is required to support QoS provisioning policy control of the QKDNunemc controller. +- QKDNunemc is required to support QoS-based routing and rerouting provisioning control of the QKDNunemc controller. +- QKDNunemc is required to support QoS-based fault associated provisioning of the QKDNunemc fault manager. +- QKDNunemc is required to support QoS-based performance associated provisioning of the QKDNunemc performance manager. +- QKDNunemc is recommended to support the availability and reliability of quantum key distribution by providing QoS-based provisioning of redundancy of QKD links provided by the quantum layer. +- QKDNunemc is required to support service-driven QoS provisioning. +- QKDNunemc is required to support SLA-based QoS provisioning. + +- QKDNunemc is recommended to support cross-layer QoS provisioning. + +### **9.5 Quality of service protection/recovery requirements for QKDNunemc** + +- QKDNunemc is recommended to assure key request session recovery ratio. +- QKDNunemc is recommended to assure service restoration time. + +## **10 Security considerations** + +This Recommendation specifies use cases, architectural models, high-level, and functional requirements of quality of service assurance for integrated quantum key distribution network (QKDN) and user network supporting end-to-end modern cryptography services (UNemc). Therefore, security requirements described in [ITU-T X.1710], [ITU-T Y.3801] and [ITU-T Y.3802] and general network security requirements and mechanisms in IP based networks described in [ITU-T Y.2701] and [ITU-T Y.3101] should be applied. Details are outside the scope of this Recommendation. + +## Appendix I + +### Use cases of QoS assurance for integrated QKDN and UNemc + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Use case 1: QoS assurance of vertical integration for E2E QKD-encryption + +In this use case, shown in Figure I.1, QoS assurance of vertical integration for E2E QKD-encryption is described. + +![Figure I.1: Use case of QoS assurance for vertical integration of QKDN and UNemc. The diagram shows a layered architecture. At the top, a double-headed arrow spans the width, labeled 'End-to-end integrated QoS assurance'. Below this, a box represents the protocol stack: the top layer is 'Transport layer' containing 'SSL/TLS'; the middle layer is 'Network layer' containing 'IPsec'; the bottom layer is 'Data link layer' containing 'QKD PPP' and 'MACsec'. To the left of the stack are labels for 'Transport layer', 'Network layer', and 'Data link layer'. To the right, two vertical double-headed arrows indicate 'NQC network QoS assurance' (covering Transport and Network layers) and 'QKD network QoS assurance' (covering Data link layer). Below the stack is a cloud labeled 'QKD network' containing three red nodes connected by lines. Two blue arrows labeled 'KSA-key' point from the QKD network up to the 'QKD PPP' and 'MACsec' components. The reference 'Y.3828(25)' is at the bottom right.](a26e142d3df5bef41a84a9dd099d7825_img.jpg) + +Figure I.1: Use case of QoS assurance for vertical integration of QKDN and UNemc. The diagram shows a layered architecture. At the top, a double-headed arrow spans the width, labeled 'End-to-end integrated QoS assurance'. Below this, a box represents the protocol stack: the top layer is 'Transport layer' containing 'SSL/TLS'; the middle layer is 'Network layer' containing 'IPsec'; the bottom layer is 'Data link layer' containing 'QKD PPP' and 'MACsec'. To the left of the stack are labels for 'Transport layer', 'Network layer', and 'Data link layer'. To the right, two vertical double-headed arrows indicate 'NQC network QoS assurance' (covering Transport and Network layers) and 'QKD network QoS assurance' (covering Data link layer). Below the stack is a cloud labeled 'QKD network' containing three red nodes connected by lines. Two blue arrows labeled 'KSA-key' point from the QKD network up to the 'QKD PPP' and 'MACsec' components. The reference 'Y.3828(25)' is at the bottom right. + +Figure I.1 – Use case of QoS assurance for vertical integration of QKDN and UNemc + +### I.2 Use case 2: QoS assurance of horizontal integration for QKD-encryption and modern cryptography-encryption + +In this use case, shown in Figure I.2, QoS assurance of horizontal integration of a concatenated combination of QKD-encryption and modern cryptography-encryption is described. + +![Figure I.2: Use case of QoS assurance for horizontal integration of QKDN and UNemc. The diagram shows a horizontal flow of data. At the top, a long double-headed arrow is labeled 'End-to-end integrated QKDN and UNemc QoS assurance'. The flow starts on the left with a car icon connected to a 'UNemc responder' box. A dashed green line labeled 'Modern cryptography-encrypted' connects the responder to a 'UNemc initiator' box. From the initiator, a dashed red line labeled 'OTP-encrypted' connects to another 'UNemc initiator' box, which is then connected to a 'UNemc responder' box on the right by another dashed green line labeled 'Modern cryptography-encrypted'. The right responder is connected to a person icon. Below the initiator boxes are two antenna icons. Two blue arrows labeled 'KSA-key' point from a cloud labeled 'QKD network' (containing three red nodes) up to these antenna icons. To the right, two vertical double-headed arrows indicate 'End-to-end User network QoS assurance' (covering the green dashed lines) and 'QKD network QoS assurance' (covering the red dashed line and the QKD network cloud). The reference 'Y.3828(25)' is at the bottom right.](c036e2540a94b31357ceb0002f0cacab_img.jpg) + +Figure I.2: Use case of QoS assurance for horizontal integration of QKDN and UNemc. The diagram shows a horizontal flow of data. At the top, a long double-headed arrow is labeled 'End-to-end integrated QKDN and UNemc QoS assurance'. The flow starts on the left with a car icon connected to a 'UNemc responder' box. A dashed green line labeled 'Modern cryptography-encrypted' connects the responder to a 'UNemc initiator' box. From the initiator, a dashed red line labeled 'OTP-encrypted' connects to another 'UNemc initiator' box, which is then connected to a 'UNemc responder' box on the right by another dashed green line labeled 'Modern cryptography-encrypted'. The right responder is connected to a person icon. Below the initiator boxes are two antenna icons. Two blue arrows labeled 'KSA-key' point from a cloud labeled 'QKD network' (containing three red nodes) up to these antenna icons. To the right, two vertical double-headed arrows indicate 'End-to-end User network QoS assurance' (covering the green dashed lines) and 'QKD network QoS assurance' (covering the red dashed line and the QKD network cloud). The reference 'Y.3828(25)' is at the bottom right. + +Figure I.2 – Use case of QoS assurance for horizontal integration of QKDN and UNemc + +### I.3 Use case 3: QoS assurance of horizontal integration for E2E QKD-encryption + +In this use case, shown in Figure I.3, QoS assurance of horizontal integration for E2E QKD-encryption is described. + +![Architectural model of QoS assurance for horizontal integration of E2E QKD-encryption](724c7777b608e53be38b12b6fb3c43bc_img.jpg) + +The diagram illustrates the architectural model for QoS assurance in a QKD network. It shows a horizontal integration between a car (Originator) and a pedestrian (Recipient) via a QKD network. The communication path is divided into two segments: 'End-to-end integrated QKDN and UNemc QoS assurance' (top) and 'End-to-end User network QoS assurance' (bottom). The top segment shows the QKD network (red nodes) providing QoS assurance. The bottom segment shows the user network (blue nodes) providing QoS assurance. The communication is encrypted using OTP-encrypted keys (KSA-key) and is shown as a red dashed line. The QKD network is represented by a cloud with red nodes. The user network is represented by a cloud with blue nodes. The car and pedestrian are represented by icons with yellow circles. The legend indicates that a yellow circle represents the Originator and a yellow circle with a cross represents the Recipient. The reference Y.3828(25) is noted at the bottom right. + +Architectural model of QoS assurance for horizontal integration of E2E QKD-encryption + +**Figure I.3 – Architectural model of QoS assurance for horizontal integration of for E2E QKD-encryption** + +## Bibliography + +- [[b-ITU-T Q.1741.9](#)] Recommendation ITU-T Q.1741.9 (2015), *IMT-2000 references to Release 11 of GSM evolved UMTS core network*. +- [[b-ITU-T X.1500](#)] Recommendation ITU-T X.1500 (2011), *Overview of cybersecurity information exchange*. +- [b-ITU-T Y-Suppl.79] ITU-T Y.3800 series – Supplement 79 (2023), *Quantum Key Distribution Networks – Role in end-to-end cryptographic services with non-quantum cryptography*. +- [b-ETSI GR QKD 007] ETSI GR QKD 007 V1.1.1 (2018), *Quantum Key Distribution (QKD); Vocabulary*. +[https://www.etsi.org/deliver/etsi\\_gr/QKD/001\\_099/007/01.01.01\\_60/gr\\_qkd007v010101p.pdf](https://www.etsi.org/deliver/etsi_gr/QKD/001_099/007/01.01.01_60/gr_qkd007v010101p.pdf) + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline 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Internet of things for big data** + +Recommendation ITU-T Y.4114 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +## CLOUD COMPUTING + +Y.3500–Y.3999 + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.4114 + +# Specific requirements and capabilities of the Internet of things for big data + +## Summary + +Recommendation ITU-T Y.4114 specifies requirements and capabilities of the Internet of things (IoT) for big data. This Recommendation complements the developments on common requirements of the IoT described in Recommendation ITU-T Y.4100/Y.2066 and the functional framework and capabilities of the IoT described in Recommendation ITU-T Y.2068 in terms of the specific requirements and capabilities that the IoT is expected to support in order to address the challenges related to big data. This Recommendation also constitutes a basis for further standardization work such as functional entities, application programming interfaces (APIs) and protocols concerning big data in the IoT. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4114 | 2017-07-07 | 20 | 11.1002/1000/13265 | + +## Keywords + +Big data, Internet of things, IoT big data characteristics, IoT data operations, IoT data roles + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2017 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of big data in the IoT..... | 3 | +| | 6.1 Data characteristics in the IoT ..... | 3 | +| | 6.2 IoT data roles ..... | 3 | +| | 6.3 Challenges of the IoT from the IoT data roles perspective ..... | 5 | +| 7 | Requirements of the IoT for big data..... | 5 | +| | 7.1 IoT data operations in the IoT for big data..... | 5 | +| | 7.2 Requirements of the device for big data..... | 7 | +| | 7.3 Requirements of the gateway for big data..... | 8 | +| | 7.4 Requirements of the network for big data ..... | 8 | +| | 7.5 Requirements of the IoT platform for big data..... | 9 | +| | 7.6 Requirements of the IoT application server for big data ..... | 10 | +| 8 | Capabilities of the IoT for big data..... | 12 | +| | 8.1 Overview ..... | 12 | +| | 8.2 Big data collection..... | 12 | +| | 8.3 Big data pre-processing ..... | 12 | +| | 8.4 Big data analysis..... | 13 | +| | 8.5 Big data transfer ..... | 13 | +| | 8.6 Big data storage ..... | 13 | +| | 8.7 Big data time synchronization management..... | 13 | +| | 8.8 Big data visualization ..... | 14 | +| | 8.9 Big data query..... | 14 | +| | 8.10 Big data security and privacy protection ..... | 14 | +| | Appendix I – Use case with IoT big data characteristics..... | 15 | +| | I.1 City environment monitoring ..... | 15 | +| | Appendix II – Relationships among IoT data roles, IoT business roles, IoT data operations and IoT components..... | 16 | +| | II.1 Relationships between IoT data roles and IoT business roles..... | 16 | +| | II.2 Relationships between IoT data roles and IoT data operations..... | 17 | +| | II.3 Relationships between IoT data operations and IoT components ..... | 17 | +| | Bibliography..... | 18 | + + + +# Recommendation ITU-T Y.4114 + +# Specific requirements and capabilities of the Internet of things for big data + +# 1 Scope + +This Recommendation provides specific requirements and capabilities of the IoT for big data. This Recommendation complements the developments on common requirements of the IoT [ITU-T Y.4100] and functional framework of the Internet of things (IoT) [ITU-T Y.2068] in terms of the specific requirements and capabilities that the IoT is expected to support in order to address the challenges related to big data. + +In order to enhance the IoT system for dealing with the big data challenges in the IoT environment, the big data characteristics of IoT data and the IoT ecosystem from the IoT data point of view are investigated. From the perspective of the IoT data roles, big data challenges in the IoT are described. + +The requirements of the IoT for big data are specified addressing different IoT data operations in the IoT which are impacted by big data. IoT data operations include data collection, data pre-processing, data analysis, data transfer, data storage, data query and data visualization. + +Building on the identified specific requirements of the IoT for big data, the capabilities of the IoT for big data are then specified. + +The scope of this Recommendation includes: + +- Overview of big data in the IoT +- Requirements of the IoT for big data +- Capabilities of the IoT for big data + +An IoT use case with big data characteristics is provided in Appendix I. + +Details on relationships among IoT data roles, IoT business roles, IoT data operations and IoT components are provided in Appendix II. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|-------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.2068] | Recommendation ITU-T Y.2068 (2015), Functional framework and capabilities of the Internet of things. | +| [ITU-T Y.3600] | Recommendation ITU-T Y.3600 (2015), Big data – Cloud computing based requirements and capabilities. | +| [ITU-T Y.4000] | Recommendation ITU-T Y.4000/Y.2060 (2012), Overview of the Internet of things. | +| [ITU-T Y.4100] | Recommendation ITU-T Y.4100/Y.2066 (2014), Common requirements of the Internet of things. | +| [ITU-T Y.4113] | Recommendation ITU-T Y.4113 (2016), Requirements of the network for the Internet of things. | + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.2 big data** [ITU-T Y.3600]: A paradigm for enabling the collection, storage, management, analysis and visualization, potentially under real-time constraints, of extensive datasets with heterogeneous characteristics. + +NOTE – Examples of datasets characteristics include high-volume, high-velocity, high-variety, etc. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 IoT big data characteristics:** IoT data set characteristics of high-volume, high-velocity and/or high-variety related to the challenges of IoT data set operations. + +NOTE 1 – The term "volume" refers to the size of the IoT data sets, the term "velocity" refers to the speed of IoT data streams in and out of the IoT data sets and the term "variety" refers to the diversity of IoT data types of the IoT data sets. + +NOTE 2 – Additional dimensions of data, such as veracity, variability, etc., may also be associated with the IoT big data characteristics. + +NOTE 3 – Examples of operations on IoT data sets include collection, pre-processing, transfer, storage, query, analysis and visualization. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|-----------------------------------| +| API | Application Programming Interface | +| EHM | e-Health Monitoring | +| IoT | Internet of Things | +| QoE | Quality of Experience | +| QoS | Quality of Service | +| SLA | Service Level Agreement | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Overview of big data in the IoT + +## 6.1 Data characteristics in the IoT + +It is expected that in the future the quantity of connected things will be so huge that the IoT data will constitute a predominant part of the data carried by networks. These IoT data include not only data collected from things via devices and/or gateways within the IoT system and data processed within the IoT system itself, but also data injected from sources which are external to the IoT system (e.g., Web, social networks and industry domain specific information systems). + +In order to enhance the IoT system enabling it to deal with big data challenges in the IoT environment, it is essential to investigate application independent characteristics (i.e., common characteristics) of IoT data. Consequently, according to the common characteristics of IoT data, the IoT system is enabled to handle the IoT data by the means of common capabilities facilitating data operations in the IoT. + +With respect to traditional data operations, operations on IoT data require additional study due to some unique characteristics of IoT data, named here as "IoT big data characteristics", essentially due to the diversity of collected IoT data types and the broad variety of application scenarios. The prominent IoT big data characteristics are IoT data's high volume (the size of the data sets), IoT data's high variety (heterogeneity of data types and sources) and IoT data's high velocity (the speed of data streams in and out of the data sets). These prominent IoT big data characteristics are the main driver of the requirements study in this Recommendation, helping to identify related common capabilities of the IoT system with respect to the variety of concrete IoT deployments. + +## 6.2 IoT data roles + +Based on consideration of the IoT system and the IoT big data characteristics, five key IoT data roles, i.e., the key roles which are relevant in an IoT deployment from a data operation perspective, are identified for the IoT ecosystem as shown in Figure 1. + +![Figure 1 – IoT data roles diagram](0b87abe67b21a93777287649c33e755d_img.jpg) + +``` +graph LR + subgraph Providers + DCP[Data collected from things] --> IDP[IoT data provider] + DER[Data injected from external resources] --> IDP + IDFP[IoT data framework provider] + IDAP[IoT data application provider] + end + IDP -- "IoT data" --> IDC[IoT data carrier] + IDFP -- "IoT data" --> IDC + IDAP -- "IoT data" --> IDC + IDC -- "IoT data" --> IDCON[IoT data consumer] +``` + +The diagram illustrates the IoT data roles. It shows a flow from data sources to an IoT data provider, then to an IoT data carrier, and finally to an IoT data consumer. The IoT data provider receives data from two sources: 'Data collected from things' and 'Data injected from external resources'. The IoT data carrier receives data from the IoT data provider and also from two other providers: 'IoT data framework provider' and 'IoT data application provider'. The IoT data consumer receives data from the IoT data carrier. The data flow is labeled 'IoT data'. + +Figure 1 – IoT data roles diagram + +Figure 1 – IoT data roles + +- **IoT data provider:** The IoT data provider collects data from things, injects data processed within the IoT system as well as data from external sources and provides them via the IoT data carrier to the IoT data consumer (optionally, the applications provided by the IoT data application provider may execute relevant data operations with the support of the IoT data framework provider). +- **IoT data application provider:** The IoT data application provider provides applications related to the execution of IoT data operations (e.g., applications for data analysis, data pre-processing, data visualization and data query). + +NOTE 1 – The applications provided by the IoT data application provider can interact with the infrastructure (e.g., storage cloud) provided by the IoT data framework provider through the IoT data carrier or run on the infrastructure (e.g., scalable distributed computing platforms) provided by the IoT data framework provider. + +- **IoT data framework provider:** The IoT data framework provider provides general IoT data processing capabilities and related infrastructure (e.g., storage and computing resources, data processing run time environment) as required by IoT data provider, IoT data carrier, IoT data application provider and IoT data consumer for the support of data operations execution. + - **IoT data consumer:** The IoT data consumer consumes IoT data. Usage of the consumed data depends on the application purposes. + - **IoT data carrier:** The IoT data carrier carries data among the IoT data provider, the IoT data framework provider, the IoT data application provider and the IoT data consumer. +- NOTE 2 – An actor of a concrete IoT deployment can play multiple roles. As an example, an actor executing data analysis plays the role of IoT data application provider, but it also plays the role of IoT data provider when it sends the results of this data analysis to other actors. + +Figure 2 shows key possible mappings from IoT business roles [ITU-T Y.4000] to the above described IoT data roles. + +![Figure 2: Key possible mappings from IoT business roles to IoT data roles. The diagram shows five main IoT data roles: IoT data provider, IoT data carrier, IoT data framework provider, IoT data application provider, and IoT data consumer. Each role is represented by a box containing sub-roles. IoT data provider includes Device provider, Network provider, Platform provider, and Application provider. IoT data carrier includes Network provider. IoT data framework provider includes Network provider and Platform provider. IoT data application provider includes Application provider, Device provider, and Network provider. IoT data consumer includes Device provider, Network provider, Platform provider, Application provider, and Application customer. Arrows indicate data flow: 'Data collected from things' and 'Data injected from external resources' point to the IoT data provider. 'IoT data' flows from the IoT data provider to the IoT data carrier, and from the IoT data carrier to the IoT data consumer. Bidirectional 'IoT data' flows connect the IoT data carrier to both the IoT data framework provider and the IoT data application provider.](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +Y.4114(17)\_F02 + +Figure 2: Key possible mappings from IoT business roles to IoT data roles. The diagram shows five main IoT data roles: IoT data provider, IoT data carrier, IoT data framework provider, IoT data application provider, and IoT data consumer. Each role is represented by a box containing sub-roles. IoT data provider includes Device provider, Network provider, Platform provider, and Application provider. IoT data carrier includes Network provider. IoT data framework provider includes Network provider and Platform provider. IoT data application provider includes Application provider, Device provider, and Network provider. IoT data consumer includes Device provider, Network provider, Platform provider, Application provider, and Application customer. Arrows indicate data flow: 'Data collected from things' and 'Data injected from external resources' point to the IoT data provider. 'IoT data' flows from the IoT data provider to the IoT data carrier, and from the IoT data carrier to the IoT data consumer. Bidirectional 'IoT data' flows connect the IoT data carrier to both the IoT data framework provider and the IoT data application provider. + +**Figure 2 – Key possible mappings from IoT business roles to IoT data roles** + +NOTE 3 – Figure 2 is an abstract representation of multiple possible IoT deployments. In fact, as shown in Figure 2, from an IoT data perspective, the same IoT business role may be mapped to multiple IoT data roles. + +As an example, concerning the device provider, when it provides its collected data to other IoT business roles (including platform provider, application provider and application customer), it acts as IoT data provider; on the other hand, when it consumes IoT data provided by other IoT business roles (including network provider, platform provider and application provider), it acts as IoT data consumer; finally, when it provides applications related to IoT data processing capabilities to other IoT business roles (including network provider, platform provider and application provider), it acts as IoT data application provider. + +An example of deployment scenarios with respect to IoT data roles is described in Appendix II.1. + +## **6.3 Challenges of the IoT from the IoT data roles perspective** + +The IoT is a system that can connect things, capture, aggregate, transfer, store, analyse and query IoT data and provide things-related services. The IoT faces the challenges of IoT data from the perspective of the various roles related to IoT data as described in clause 6.2. + +From the IoT data provider point of view, the IoT needs to cope with a rapidly increasing number and types of devices and needs to provide IoT data in an efficient way to facilitate data operation execution and data consumption. + +From the IoT data carrier point of view, the IoT needs to deal with a large number of devices accessing the network and transferring large amounts of data. These IoT data, related to different IoT applications, have different service level agreement (SLA) and quality of service (QoS) requirements: e.g., some IoT data have real time QoS requirements (for example, real-time monitoring IoT data and emergency alarm IoT data), others have no strict QoS requirements (for example, IoT data from electricity meters). These aspects raise challenges in terms of IoT data transfer handling, including the avoidance of possible network congestions from concurrent access of devices and gateways and in terms of active scheduling data transmission (e.g., among IoT application servers and IoT platforms). + +From the IoT data framework provider point of view, the IoT needs to leverage general IoT data processing capabilities and related infrastructure, in order to be accessible via open and standard interfaces, provide APIs to the IoT data application provider, interoperate with other IoT data processing capabilities and with data processing related IoT applications, while providing integrity, privacy and security protection for IoT data. + +From the IoT data application provider point of view, the IoT needs to be scalable and flexible for support of applications based on IoT data processing capabilities, enabling the processing of variable sizes of data sets, differentiated speed of data streams in and out of the IoT application, diversity of data formats to be processed by the IoT application while providing integrity, privacy and security protection for IoT data. + +From the IoT data consumer point of view, the IoT needs to provide consumers with the desired data according to their requirements, including quality of experience (QoE). + +Besides, collection, transfer, processing and consumption in a secure way and assurance of appropriate privacy of IoT data, including personal data, are challenges which concern all IoT data roles. + +# **7 Requirements of the IoT for big data** + +This clause complements the common requirements of the IoT [ITU-T Y.4100] in terms of the specific requirements that the IoT is expected to support in order to address the challenges related to big data. + +## **7.1 IoT data operations in the IoT for big data** + +Big data in the IoT are IoT data which have characteristics of high volume, high variety, high velocity and high volatility as described in clause 6.1 and are hard to operate using existing tools and methods. To handle challenges faced by big data in the IoT as described in clause 6.3, requirements of the IoT for big data are specified for the IoT components, i.e., device, gateway, network, IoT platform and IoT application server as described in [ITU-T Y.4113], from the view point of IoT data operations as shown in Figure 3. + +Considering that the diverse set of concrete IoT deployments do not imply a unique logical sequencing of the various IoT data operations, Figure 3 provides an abstract representation of the various IoT data operations and related data flows. + +![Figure 3 – IoT data operations diagram. A central circle is connected by arrows to seven surrounding boxes: Data pre-processing, Data analysis, Data query, Data collection, Data visualization, Data transfer, and Data storage. The arrows indicate bidirectional data flows between the central circle and each operation box. The label 'Y.4114(17)_F03' is located at the bottom right of the diagram.](d4af765160d04ecef538e5066006dc77_img.jpg) + +``` + +graph TD + CP(( )) <--> DPP[Data pre-processing] + CP <--> DA[Data analysis] + CP <--> DQ[Data query] + CP <--> DC[Data collection] + CP <--> DV[Data visualization] + CP <--> DT[Data transfer] + CP <--> DS[Data storage] + +``` + +Y.4114(17)\_F03 + +Figure 3 – IoT data operations diagram. A central circle is connected by arrows to seven surrounding boxes: Data pre-processing, Data analysis, Data query, Data collection, Data visualization, Data transfer, and Data storage. The arrows indicate bidirectional data flows between the central circle and each operation box. The label 'Y.4114(17)\_F03' is located at the bottom right of the diagram. + +**Figure 3 – IoT data operations** + +In Figure 3, the boxes represent the IoT data operations and the arrows represent the data flows with associated directionality. The circle, cross point of the data flows, is merely intended to represent the fact that there is no unique logical sequencing of the various IoT data operations. + +In particular, for the operation of data collection, a unidirectional data flow is shown since this data flow can only be from data collection to other operations; similarly, for the operation of data visualization, the data flow can only be from other operations to data visualization, so it is also shown as unidirectional data flow; for the other IoT data operations, bi-directional data flows are used to describe their possible data flows. + +NOTE 1 – The sequencing of IoT data operations in IoT depends greatly on the service and deployment scenarios. Cloud computing and edge computing are two technologies that may be implemented in the IoT for support of different IoT data operation sequences: e.g., cloud computing can be used to perform data analysis after the data are transferred to the remote IoT platform, while edge computing can be used to perform data analysis locally such as at the gateway. + +NOTE 2 – Detailed information concerning relationships between IoT data roles and IoT data operations is provided in Appendix II.2. + +NOTE 3 – Detailed information concerning relationships between IoT data operations and IoT components are described in Appendix II.3. + +### **7.1.1 Data collection** + +Data collection is the data operation related to measurement processes and/or data information gathering from components of IoT. + +NOTE – Data collected by an IoT platform directly from sensors and data collected by an IoT platform via a gateway can be seen as two typical examples of data collection scenarios. + +### **7.1.2 Data transfer** + +Data transfer is the IoT data operation related to the physical transfer of IoT data between components of IoT as well as between the IoT system and external systems. + +### **7.1.3 Data storage** + +Data storage is the IoT data operation related to the physical storage of IoT data. + +NOTE – The data storage local to an edge IoT component such as a gateway and/or device and the remote data storage in a core IoT component such as an IoT platform and IoT application server (e.g., cloud based storage) can be seen as two typical examples of the data storage scenarios. + +### **7.1.4 Data pre-processing** + +Data pre-processing is the IoT data operation on the IoT data aiming to ensure and/or enhance the quality or efficiency of other IoT data operations. + +NOTE – Data format transformation after data collection and data de-noising before the data analysis can be seen as two typical examples of data pre-processing scenarios. + +### **7.1.5 Data analysis** + +Data analysis is the IoT data operation related to the computing process on IoT data aiming to derive additional information according to application requirements, e.g., for making decisions, predicting future results, etc. + +### **7.1.6 Data visualization** + +Data visualization is the IoT data operation related to the visual representation of IoT data. + +### **7.1.7 Data query** + +Data query is the IoT data operation related to querying IoT data, including raw IoT data and processed IoT data. + +NOTE – Data query on historical IoT data and real-time IoT data can be seen as two typical examples of data query scenarios. + +## **7.2 Requirements of the device for big data** + +### **7.2.1 Data collection** + +The device is required to have enough precision to sense IoT data from monitored things in order to measure and record the characteristics of the monitored things. + +The device is recommended to mark the sensed IoT data with labels to indicate the types (related to the monitored things' characteristics) of the sensed IoT data, so that other IoT components can understand the types of the sensed IoT data (e.g., physiological data for healthcare). + +### **7.2.2 Data pre-processing** + +The device is recommended to organize sensed IoT data according to pre-defined information models and represent them according to the pre-defined formats. + +The device is recommended to associate time stamps to the collected IoT data, in order to keep track of chronology of sensed data. + +The device is recommended to associate semantic description to the collected IoT data, so that other technical components of the IoT, i.e., gateway, IoT platform and IoT application server, can understand the semantics of the sensed IoT data. + +NOTE 1 – Examples of associated semantic description may include provenance, location, etc. + +The device is recommended to have the ability to clean IoT data, e.g., removing redundant IoT sensed data in order, for example, to minimize the amount of transferred IoT data. + +NOTE 2 – The specific data cleaning capabilities of a device depend on its computing resources. + +### **7.2.3 Data storage** + +The device is recommended to store the sensed IoT data according to rules (including e.g., temporally or permanently). + +### **7.2.4 Data analysis** + +The device is recommended to make appropriate data analysis for sensed IoT data and operational status of the device itself (e.g., battery status, transmission bandwidth) to help its decision making process, including e.g., when to send out what signaling data to other IoT components. + +### **7.2.5 Data transfer** + +The device is recommended to provide other IoT components with transfer configuration parameters for sensed IoT data in order to apply required network resources (e.g., data buffer and network QoS) for data transfer quality support. + +### **7.2.6 Data visualization** + +The device is recommended to show the sensed IoT data according to application requirements, e.g., in real time. + +## **7.3 Requirements of the gateway for big data** + +### **7.3.1 Data collection** + +The gateway is required to efficiently collect the sensing IoT data or monitoring IoT data from connected devices. For example, the gateway can arrange the collection period for each connected device according to application or network requirements to avoid large amount of useless IoT data being frequently collected. + +### **7.3.2 Data pre-processing** + +The gateway is recommended to pre-process the collected IoT data to verify and improve their quality. For example, some inaccurate sensing IoT data collected from one connected device can be detected by the gateway via comparing with the sensing IoT data from other similar connected devices. + +The gateway is recommended to associate a time stamp to collected IoT data if there is no associated time stamp from connected devices. + +The gateway is recommended to associate a semantic description to collected IoT data if there is no associated semantic description from connected devices. + +The gateway is recommended to have the ability to perform local operations, e.g., in case the collected IoT data is not required by other remote components of the IoT system. + +### **7.3.3 Data storage** + +The gateway is recommended to support data storage for the collected IoT data and operation log files. + +NOTE – The size of data storage depends on the application requirements. The data storage of a gateway can be based on a local disk or based on cloud storage. + +### **7.3.4 Data transfer** + +The gateway is recommended to aggregate the collected IoT data for transfer in order to reduce the transfer overhead. + +NOTE 1 – Aggregation is particularly beneficial in cases where the destination of the IoT data is the same. + +The gateway is recommended to provide buffer mechanisms for transfer in order to ease transfer pressure on the network. + +NOTE 2 – If the network is busy, the gateway can buffer IoT data within a tolerable time before transmission. + +The gateway is recommended to compress IoT data before transfer in order to reduce the transfer load. + +### 7.3.5 Data analysis + +The gateway is recommended to have the ability to perform data analysis on its collected data. For example, these results can be then sent to local applications according to their requests so that the latency can be reduced compared with performing the data analysis on the remote IoT platform. + +NOTE – The gateway data analysis capability can be used to support edge computing. + +## 7.4 Requirements of the network for big data + +General network requirements of the IoT can be found in [ITU-T Y.4100]. + +### 7.4.1 Data transfer + +In addition to the general network requirements of the IoT, three main challenges, as described in clause 6.3, for a network handling data with "IoT big data characteristics" are identified: + +- Access of a large number of devices to the network; +- Transfer of data in the network with different SLA and QoS requirements; +- Transfer in the network of high volumes of IoT data. + +The access of a large number of devices to the network may cause network congestion. Network requirements related to congestion issues caused by massive device access (e.g., in application scenarios using a large number of smart meters and sensors) are identified in [ITU-T Y.4113]. + +Concerning SLA and QoS, according to the specific service requirements, the network is required to adopt appropriated network technologies in order to support diverse services (e.g., time-critical services and non-time-critical services). + +NOTE – Examples of network technologies include IoT dedicated cellular technologies and IoT dedicated non-cellular technologies. + +In the IoT, in particular for data migration and data backup purposes, the volume of IoT data transferred among different IoT platforms and among IoT platforms and IoT application servers may be huge. The network is recommended to provide appropriate bandwidth according to requirements of IoT platforms and IoT application servers in order to support the huge volume of these data flows. Figure 4 describes typically relevant IoT data flows among different IoT components. The thickness of the lines in Figure 4 symbolizes the relative volume of exchanged data. + +![Diagram illustrating typically relevant data flows among different IoT components. The diagram shows two IoT platforms (cylinders) at the top, two devices (mobile phone and camera) at the bottom left, a gateway (routable device) at the bottom center, and an IoT application server (server rack) at the bottom right. Red arrows indicate data flow: a thick arrow from the left IoT platform to the right IoT platform; a thick arrow from the left IoT platform to the IoT application server; a thick arrow from the IoT application server to the left IoT platform; a thin arrow from the left IoT platform to the gateway; a thin arrow from the gateway to the IoT application server; a thin arrow from the left IoT platform to the left device; a thin arrow from the left device to the gateway; a thin arrow from the right device to the gateway.](18722c46c9e8475524e634dedd08bac2_img.jpg) + +Y.4114(17)\_F04 + +Diagram illustrating typically relevant data flows among different IoT components. The diagram shows two IoT platforms (cylinders) at the top, two devices (mobile phone and camera) at the bottom left, a gateway (routable device) at the bottom center, and an IoT application server (server rack) at the bottom right. Red arrows indicate data flow: a thick arrow from the left IoT platform to the right IoT platform; a thick arrow from the left IoT platform to the IoT application server; a thick arrow from the IoT application server to the left IoT platform; a thin arrow from the left IoT platform to the gateway; a thin arrow from the gateway to the IoT application server; a thin arrow from the left IoT platform to the left device; a thin arrow from the left device to the gateway; a thin arrow from the right device to the gateway. + +**Figure 4 – Typically relevant data flows among different IoT components** + +## **7.5 Requirements of the IoT platform for big data** + +### **7.5.1 Data collection** + +The IoT platform is required to have the ability to efficiently collect the IoT data received from a gateway or devices. For example, data collection schedulers can be used in the IoT platform to arrange the collection period and collection sequence according to application or network requirements in order to relieve the network and the IoT platform load when dealing with a large amount of IoT data. + +### **7.5.2 Data pre-processing** + +The IoT platform is required to have the ability to pre-process the collected IoT data in order to verify and improve the accuracy of the IoT data, e.g., de-noising operation. + +The IoT platform is required to associate time stamps to collected IoT data if data have no associated time stamps. + +The IoT platform is recommended to have the ability to associate semantic description to collected IoT data if there is no associated semantic description for the IoT data, assuming that the IoT platform can understand the meaning of the IoT data (e.g., according to the associated data model). + +### **7.5.3 Data storage** + +The IoT platform is required to support secure and high-volume data storage for the IoT data. + +The IoT platform is also recommended to support secure and high-volume data storage for the IoT data with semantic annotation. + +### **7.5.4 Data transfer** + +The IoT platform is required to support buffer mechanisms for data transfer in order to reduce network load. + +NOTE – If the network is busy, the IoT platform can buffer IoT data within a tolerable time before transmission. + +The IoT platform is recommended to have the ability to compress IoT data before their transfer in order to reduce the transfer load. + +### **7.5.5 Data analysis** + +The IoT platform is recommended to have the ability to perform some pre-defined universal data analysis (e.g., universal data statistics and data mining algorithms) according to application requests and send the data analysis results to the requesting applications. + +The IoT platform, for its internal use, is also recommended to have the ability to perform data analysis for classifying which service type the IoT data is associated with, so that the IoT platform can efficiently deal with data collection, data access and data transfer according to the service type. + +### **7.5.6 Data query** + +The IoT platform is required to support data query on the stored historical IoT data and raw IoT data. + +The IoT platform is recommended to support data query on real-time processed results of collected IoT data. + +The IoT platform is recommended to support semantic data query. + +The IoT platform is required to support data query with access control enabling query scope restriction. + +## **7.6 Requirements of the IoT application server for big data** + +### **7.6.1 Data collection** + +The IoT application server is required to have the ability to collect IoT data from devices, gateways, IoT platforms and other IoT application servers. + +### **7.6.2 Data pre-processing** + +The IoT application server is required to have the ability to pre-process IoT data. Examples of data pre-processing include validation, cleaning of invalid and irrelevant IoT data, insertion of default values for incomplete IoT data, compression of IoT data and format transformation of IoT data. + +Data received by the IoT application server from devices, gateways, IoT platforms or other IoT application servers may be invalid or irrelevant. The IoT application server is required to identify invalid and irrelevant IoT data by certain methods (e.g., data correlation) and then remove them. + +Required data fields of IoT data received by the IoT application server from devices, gateways, IoT platforms or other IoT application servers may be incomplete. The IoT application server is required to supplement missing data fields with default values. + +Not all data fields of IoT data received by the IoT application server from devices, gateways, IoT platforms or other IoT application servers may be needed. The IoT application server is required to compress received IoT data (e.g., lossy compression by removing data fields which are not needed by the IoT application server). + +Data received by the IoT application server from devices, gateways, IoT platforms or other IoT application servers may have an inappropriate data format for data analysis. The IoT application server is required to transform a received data format for efficient data analysis. + +### **7.6.3 Data storage** + +The IoT application server is required to have the ability to store IoT data temporarily and/or permanently. + +Before pre-processing, IoT data received by the IoT application server from devices, gateways, IoT platforms or other IoT application servers are recommended to be stored temporarily and locally. + +Data concerning analysis results are required to be stored permanently. IoT data stored permanently can be stored locally or remotely. + +### **7.6.4 Data transfer** + +The IoT application server is required to support application specific data transfer requirements including for, but not limited to, latency, reliability, bandwidth and connectivity. + +### **7.6.5 Data analysis** + +The IoT application server is required to have the ability to analyse IoT data according to dedicated algorithms and customized profiles. For example, e-health monitoring (EHM) application servers should be able to process EHM IoT data according to specific medical algorithms and specific profiles configured by doctors. + +The IoT application server is recommended to have the ability to execute distributed data analysis. In case of complex data analysis, the IoT application server should be able to make usage of resources from an IoT platform and other IoT application servers. + +### **7.6.6 Data visualization** + +The IoT application server is required to have the ability to show results of data analysis according to a consumer's customized needs. + +Personal identity and other privacy sensitive information are required to be protected. + +### **7.6.7 Data query** + +The IoT application server is required to support data query on the IoT data related to its provided applications. + +The IoT application server is recommended to support semantic data query on the IoT data related to its applications. + +The IoT application server is required to support data query with access control enabling query scope restriction. + +# **8 Capabilities of the IoT for big data** + +This clause complements the functional framework of the IoT [ITU-T Y.2068] in terms of the specific capabilities that the IoT is expected to support in order to address the challenges related to big data. + +## **8.1 Overview** + +Nine capabilities are identified based on the requirements provided in clause 7, some capabilities are deduced from corresponding requirements and others from analysis of multiple requirements: + +- Big data collection +- Big data pre-processing +- Big data storage +- Big data transfer +- Big data time synchronization +- Big data analysis +- Big data query +- Big data visualization +- Big data security and privacy protection + +All IoT components are concerned by capabilities of the IoT for big data. + +NOTE – Specific deployments may vary in terms of the location of one or more of these capabilities in the different parts of the IoT system. + +## **8.2 Big data collection** + +Big data collection capability implements the data collection operation as described in clause 7.1.1. + +According to the requirements in clauses 7.2.1, 7.3.1, 7.5.1 and 7.6.1, the following abilities are provided by the big data collection capability: + +- The ability to mark the collected IoT data to indicate sufficient information related to the usage of the collected IoT data. +NOTE 1 – Data marking with tags and semantic annotation can be seen as two examples of the IoT data marking. +- The ability to ensure sufficient precision of the collected IoT data according to the quality required by the usage of these collected IoT data. +- The ability to support efficient data collection in order to relieve the load of the IoT system. +NOTE 2 – As an example, when collecting IoT data from multiple devices, the usage of a data collection scheduler, which schedules the sequence and frequency of the IoT data collection, can relieve the load of the IoT system. + +## 8.3 Big data pre-processing + +Big data pre-processing capability implements the data pre-processing operation as described in clause 7.1.4. + +According to the requirements in clauses 7.2.2, 7.3.2, 7.5.2 and 7.6.2, the following abilities are provided by the big data pre-processing capability: + +- The ability to support the data format transformation of IoT data according to pre-defined data models. +NOTE – Missing data fields are supplemented with default values during transformation. +- The ability to support the association of time stamp and collected IoT data. +- The ability to support the semantic annotation for IoT data. +- The ability to support data quality enhancement operations, e.g., de-noising and de-duplication. + +## 8.4 Big data analysis + +Big data analysis capability implements the data analysis operation as described in clause 7.1.5. + +According to the requirements in clauses 7.3.5, 7.5.5 and 7.6.5, the following abilities are provided by the big data analysis capability: + +- The ability to analyse IoT data according to user algorithms and profiles. +- The ability to provide pre-defined data analysis functions (e.g., data statistics and data mining algorithms). +- The ability to support data analysis for classifying the type of IoT services, the operational states of devices and the network status. +- The ability to support distributed data analysis. + +## 8.5 Big data transfer + +Big data transfer capability implements the data transfer operation as described in clause 7.1.2. + +According to the requirements in clauses 7.2.5, 7.3.4, 7.4.1, 7.5.4 and 7.6.4, the following abilities are provided by the big data transfer capability: + +- The ability to support IoT data transfer configuration concerning required network resources (e.g., data buffer and network QoS) to enable transfer quality. +- The ability to support aggregation of IoT data to enable reduction of transfer overhead. +- The ability to support transfer buffer management to mitigate network congestion issues. +- The ability to compress IoT data before transfer in order to reduce transfer load. + +## 8.6 Big data storage + +Big data storage capability implements the data storage operation as described in clause 7.1.3. + +According to the requirements in clauses 7.2.3, 7.3.3, 7.5.3 and 7.6.3, the following abilities are provided by the big data storage capability: + +- The ability to support secure and high-volume data storage for the IoT data with various formats. The data storage can be either locally or remotely. +NOTE – For high-volume data storage, cloud based data storage infrastructure can be used. For time critical services, edge computing based data storage can be used. +- The ability to support secure and high-volume data storage for the IoT data with semantic annotation. The semantic data and non-semantic data can be separately stored in different databases to facilitate the IoT data processing. + +- The ability to support high-volume data read and write operations with fast speed. Data caching, synchronization and indexing mechanisms can be used to achieve fast speed IoT data read and write. +- The ability to support data integrity checking and life cycle management of stored data (e.g., classification of data activation level and storage in different storage spaces as appropriate). + +## **8.7 Big data time synchronization management** + +Big data time synchronization management capability provides support to IoT data operations and implements time synchronization and time calibration among different components of the IoT. + +According to the requirements in clauses 7.2.2, 7.3.2 and 7.5.2, the following abilities are provided by the big data time synchronization management capability: + +- The ability to provide time synchronization and time calibration among different components in the IoT to ensure correct time stamping of IoT data. + - The ability to support the following features, but not limited to: + - high precision and low power consumption +- NOTE – Different components of the IoT may require different time precision and power consumption levels. +- Time conflict management and negotiation among different components in the IoT. + - Support of centralized synchronization mode or distributed synchronization mode. + +## **8.8 Big data visualization** + +Big data visualization capability implements the data visualization operation as described in clause 7.1.6. + +According to the requirements in clauses 7.2.6 and 7.6.6, the following abilities are provided by the big data visualization capability: + +- The ability to show IoT data according to a consumer's customized needs (e.g., via charts, tables, figures). +- The ability to support data visualization for the various types of IoT data (according to their variety, velocity, volume, etc.). + +## **8.9 Big data query** + +Big data query capability implements the data query operation as described in clause 7.1.7. + +According to the requirements in clauses 7.5.6 and 7.6.7, the following abilities are provided by the big data query capability: + +- The ability to support query on stored historical IoT data and raw IoT data. +- The ability to support query on the real-time processed results of the collected IoT data. +- The ability to support semantic query. + +## **8.10 Big data security and privacy protection** + +Big data security and privacy protection capability, providing support to IoT data operations, implements security and privacy protection of data. + +According to the requirements in clauses 7.5.3 and 7.6.6, the following abilities are provided by the big data security and privacy protection capability: + +- The ability to support the security of IoT data access control, including access control on data query scope, so that the stored IoT data can be only accessed by authorized users. + +- The ability to support the security of IoT data storage during the storage process and once data are stored. +- The ability to support the security of data transfer. +- The ability to support the protection of the privacy sensitive information during IoT data visualization. + +# Appendix I + +## Use case with IoT big data characteristics + +(This appendix does not form an integral part of this Recommendation.) + +## I.1 City environment monitoring + +Figure I.1 shows a city environment monitoring use case as an example showing how the IoT can handle data with IoT big data characteristics. In this use case, a large number of environment monitoring sensors and cameras will be deployed in the city to monitor the real-time conditions of the air, water, traffic, power and waste in the city. + +![Diagram of a city environment monitoring use case showing data flow from monitoring devices to a data centre via an IoT platform.](7d3d5fb5d09c0cd35a9d637be241651e_img.jpg) + +The diagram illustrates the data flow in a city environment monitoring system. On the left, a dashed box labeled 'City environment monitoring devices' contains three categories: 'Air monitoring devices' (represented by a sensor icon), 'Water monitoring devices' (represented by a pump icon), and 'Traffic monitoring devices' (represented by a camera icon). Arrows from these devices point to a central 'IoT platform' server icon. The IoT platform is connected to a 'Data centre' (represented by three server rack icons) and a 'City environment application server' (represented by a single server rack icon). Bidirectional arrows connect the IoT platform to both the Data centre and the application server. The label 'Y.4114(17)\_FI.1' is located at the bottom right of the diagram. + +Diagram of a city environment monitoring use case showing data flow from monitoring devices to a data centre via an IoT platform. + +**Figure I.1 – City environment monitoring use case** + +In each second, a large amount of data will be transferred from those sensors and cameras to the IoT platform. All the data will experience data collection, data transfer, data pre-processing, data storage and data analysis procedures. + +- During the data collection procedure, the data collection schedulers in the IoT platform will arrange the collection period and collection sequence to relieve the network and the IoT platform load. The collected data from the city environment sensors will be partially annotated with time stamp and semantic information according to the capability of sensors. +- During the data transfer procedure, small data packets will converge into bigger packets to improve the transmission efficiency and some redundant data (e.g., video data) will be compressed before the data transmission. +- During the data pre-processing procedure, the collected environment data without time stamps will be annotated with time stamps by the IoT platform and the collected environment data in different formats will be transformed into a unified standard data format. For time-series environmental data, the missing or incorrect data detection and interpolation operation may be adopted. +- During the data storage procedure, the collected data will be stored in the data centre after a data pre-processing procedure. +- During the data analysis procedure, the city environment analysis applications will analyse the collected environmental data. Some city environment indexes (e.g., air quality index) will be calculated according to the collected environmental data and some city environment events (e.g., traffic jams) will be detected. + +# Appendix II + +## Relationships among IoT data roles, IoT business roles, IoT data operations and IoT components + +(This appendix does not form an integral part of this Recommendation.) + +## II.1 Relationships between IoT data roles and IoT business roles + +This appendix describes some typical relationships between IoT data roles (as described in clause 6) and IoT business roles (as described in [ITU-T Y.4000]) via an example of deployment scenarios. + +Figure II.1 shows three IoT components, i.e., device, IoT platform and IoT application server, connected to each other via the network, another IoT component. + +![Figure II.1: Example of deployment scenarios with respect to the relationship between IoT data roles and IoT business roles. The diagram illustrates the flow of IoT data and revenue streams between various components. IoT data flow (solid arrows) occurs between: Device provider and Device; Device and IoT data carrier (Network); IoT data carrier and IoT application server (a) (IoT data consumer); IoT data carrier and IoT platform (IoT data framework provider); IoT data carrier and IoT data application provider (Application server (b)); and IoT platform and IoT data application provider. Revenue streams (dashed arrows) are shown from Device provider to IoT data provider; from IoT data provider to IoT data carrier; from IoT data carrier to IoT data framework provider; from IoT data framework provider to Platform provider; from Network provider to IoT data carrier; from Application provider (I) to IoT data carrier; from Application provider (II) to IoT data carrier; from Application provider (I) to IoT data application provider; and from Application provider (II) to IoT data application provider. The IoT data provider, IoT data carrier, IoT data framework provider, and IoT data application provider are all enclosed in dashed boxes. The IoT data carrier is labeled 'Network'.](ab846b81e78dbc8da2a6f9511e2f248a_img.jpg) + +----- Revenue stream                      <-----> IoT data flow + +Y.4114(17)\_FII.1 + +Figure II.1: Example of deployment scenarios with respect to the relationship between IoT data roles and IoT business roles. The diagram illustrates the flow of IoT data and revenue streams between various components. IoT data flow (solid arrows) occurs between: Device provider and Device; Device and IoT data carrier (Network); IoT data carrier and IoT application server (a) (IoT data consumer); IoT data carrier and IoT platform (IoT data framework provider); IoT data carrier and IoT data application provider (Application server (b)); and IoT platform and IoT data application provider. Revenue streams (dashed arrows) are shown from Device provider to IoT data provider; from IoT data provider to IoT data carrier; from IoT data carrier to IoT data framework provider; from IoT data framework provider to Platform provider; from Network provider to IoT data carrier; from Application provider (I) to IoT data carrier; from Application provider (II) to IoT data carrier; from Application provider (I) to IoT data application provider; and from Application provider (II) to IoT data application provider. The IoT data provider, IoT data carrier, IoT data framework provider, and IoT data application provider are all enclosed in dashed boxes. The IoT data carrier is labeled 'Network'. + +**Figure II.1 – Example of deployment scenarios with respect to the relationship between IoT data roles and IoT business roles** + +In Figure II.1, the IoT business roles [ITU-T Y.4000] associated to the above four IoT components, i.e., device provider, platform provider, network provider and application provider, describe the relationships in terms of revenue streams. The two application providers shown in Figure II.1 aim to describe two different sub-roles in a given deployment scenario from the IoT data perspective: + +- Application provider (I) provides IoT applications to the application customer (described in [ITU-T Y.4000]); +- Application provider (II) provides IoT data processing capabilities to application provider (I) via handling IoT data and providing the analysis results to application provider (I). + +In Figure II.1, the interactions between the IoT data roles associated with the five IoT components, i.e., IoT data provider, IoT data carrier, IoT data framework provider, IoT data application provider and IoT data consumer, describe the relationships in terms of IoT data operations in this specific scenario: + +- The IoT data provider role is played by the device provider collecting the IoT data; +- The IoT data framework provider role is played by the platform provider providing general IoT data processing capabilities and related infrastructure; + +- The IoT data application provider role is played by the application provider (II) providing specific (e.g., application-domain specific) data processing related applications; +- The IoT data carrier role is played by the network provider supporting data transfer; +- The IoT data consumer role is played by the application provider (I) getting the desired data from the specific data processing related applications provided by the application provider (II) and providing customized applications (e.g., data visualization) to the application customer. + +## II.2 Relationships between IoT data roles and IoT data operations + +In the IoT ecosystem, different IoT data roles are in charge of different IoT data operations. The Table II.1 gives a non-exhaustive association of the key IoT data operations with the IoT data roles described in clause 6. + +NOTE – Table II.1 is not exhaustive. According to the specific deployment scenarios, the roles below can perform other IoT data operations not identified in Table II.1. For example, a device provider, when acting as IoT data consumer, can also perform data storage on devices. + +**Table II.1 – Key IoT data operations associated to the IoT data roles** + +| IoT data roles\ IoT data operations | Data collection | Data transfer | Data pre-processing | Data analysis | Data query | Data storage | Data visualization | +|-------------------------------------|-----------------|---------------|---------------------|---------------|------------|--------------|--------------------| +| IoT data provider | √ | | | | | | | +| IoT data framework provider | | | | | | √ | | +| IoT data application provider | | | √ | √ | √ | | √ | +| IoT data carrier | | √ | | | | | | +| IoT data consumer | | | | | | | | + +## II.3 Relationships between IoT data operations and IoT components + +The IoT components perform different operations on the IoT data. Table II.2 summarizes the key IoT data operations associated with the different IoT components. + +NOTE – Table II.2 is not exhaustive. According to the specific deployment scenarios, the different IoT components can perform other IoT data operations not identified in Table II.2. + +**Table II.2 – Key IoT data operations performed by the different IoT components** + +| IoT data operations\IoT components | Device | Gateway | Network | IoT platform | IoT application server | +|------------------------------------|--------|---------|---------|--------------|------------------------| +| Data collection | √ | √ | | √ | √ | +| Data pre-processing | √ | √ | | √ | √ | +| Data storage | √ | √ | | √ | √ | +| Data analysis | √ | | | √ | √ | +| Data transfer | √ | √ | √ | √ | √ | +| Data query | | √ | | √ | √ | +| Data visualization/application | √ | | | | √ | + +# Bibliography + +- [b-ITU-T Y.4111] Recommendation ITU-T Y.4111/Y.2076 (2016), *Semantics based requirements framework of the Internet of things*. +- [b-FG M2M D3.1] Focus Group on Machine-To-Machine Service Layer, *Deliverable 3.1, M2M service layer: APIs and protocols overview*. +<> +- [b-NIST Special Publication 1500-7] NIST Big Data Interoperability Framework: Volume 7, *Standards Roadmap*. +<> +- [b-JTC 1 Big data report] ISO/IEC JTC 1 Big data *Preliminary Report 2014*. +<[https://www.iso.org/files/live/sites/isoorg/files/developing\\_standards/docs/en/big\\_data\\_report-jtc1.pdf](https://www.iso.org/files/live/sites/isoorg/files/developing_standards/docs/en/big_data_report-jtc1.pdf)> + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| 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INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Requirements and use cases + +# --- **Requirements and capability framework for smart shopping mall systems** + +Recommendation ITU-T Y.4123 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +### CLOUD COMPUTING + +### BIG DATA + +### QUANTUM KEY DISTRIBUTION NETWORKS + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.4123 + +# Requirements and capability framework for smart shopping mall systems + +## Summary + +By deploying Internet of things (IoT) devices, smart shopping malls make use of IoT technologies to collect data, control devices remotely, monitor the environment, etc. These IoT technologies can enable intelligent services such as intelligent device collaboration, indoor navigation, asset tracking etc., which can help to improve management efficiency, resulting in enhanced consumer experience and more businesses opportunities. + +Recommendation ITU-T Y.4123 specifies the requirements and capability framework of smart shopping mall system. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4123 | 2022-01-13 | 20 | 11.1002/1000/14813 | + +## Keywords + +Capabilities, IoT, requirements, smart shopping mall system. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of smart shopping mall system enabled by IoT ..... | 3 | +| 7 | Requirements of smart shopping mall system..... | 4 | +| | 7.1 Requirements of smart shopping mall platform ..... | 4 | +| | 7.2 Requirements of smart shopping mall devices..... | 5 | +| | 7.3 Requirements of the network..... | 6 | +| 8 | Capability framework of smart shopping mall system..... | 6 | +| | 8.1 Capabilities of the application layer ..... | 7 | +| | 8.2 Capabilities of the device layer ..... | 8 | +| | 8.3 Capabilities of the network layer..... | 8 | +| | Appendix I – Use cases of smart shopping mall..... | 10 | +| | I.1 Equipment anti-theft service..... | 10 | +| | I.2 Intelligent environment control ..... | 10 | +| | I.3 Automatic navigation ..... | 11 | +| | Bibliography..... | 13 | + + + +# Recommendation ITU-T Y.4123 + +# Requirements and capability framework for smart shopping mall systems + +# 1 Scope + +This Recommendation specifies the requirements and capability framework of smart shopping mall system. + +The requirements and capability framework build on the Internet of things (IoT) reference model [ITU-T Y.4000] and the common requirements of IoT [ITU-T Y.4100]. The requirements and capabilities focus on technical aspects of smart shopping mall system. + +This Recommendation can help shopping mall operators, service providers, solution and network providers, and users of the services. + +The scope of this Recommendation includes: + +- Overview of smart shopping mall system enabled by IoT; +- Requirements of smart shopping mall system; +- Capability framework of smart shopping mall system. + +Use cases of smart shopping mall system are provided in Appendix I. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of Internet of things*. + +[ITU-T Y.4100] Recommendation ITU-T Y.4100/Y.2066 (2014), *Common requirements of the Internet of things*. + +[ITU-T Y.4204] Recommendation ITU-T Y.4204 (2019), *Accessibility requirements for the Internet of things applications and services*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application** [b-ITU-T Y.2091]: A structured set of capabilities, which provide value-added functionality supported by one or more services, which may be supported by an API interface. + +**3.1.2 customer** [b-ITU-T Y.2091]: The customer buys products and services from the enterprise or receives free offers or services. A customer may be a person or a business. + +**3.1.3 device** [ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.4 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – In a broad perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.5 sensor** [b-ITU-T Y.4105]: An electronic device that senses a physical condition or chemical compound and delivers an electronic signal proportional to the observed characteristic. + +**3.1.6 service** [b-ITU-T Y.2091]: A set of functions and facilities offered to a user by a provider. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|------------------------------------------------| +| 2G | 2nd Generation Mobile Communication Technology | +| 5G | 5th Generation Mobile Communication Technology | +| AI | Artificial Intelligence | +| API | Application Programming Interface | +| ICT | Information and Communication Technologies | +| IoT | Internet of Things | +| RSRP | Reference Signal Received Power | +| RSS | Received Signal Strength | +| RSSI | Received Signal Strength Indication | +| SMS | Short Message Service | +| TDOA | Time Difference of Arrival | +| TOA | Time of Arrival | +| UWB | Ultra-Wide Bandwidth | +| WiFi | Wireless Fidelity | + +# **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement needs not be present to claim conformance. + +The keywords "can optionally" and "may" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the + +network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# **6 Overview of smart shopping mall system enabled by IoT** + +The shopping mall is one of the most important parts of city infrastructure. It provides not only a place for shopping, but also a place for people to gather for leisure. A shopping mall may provide one-stop convenient services such as retail, catering, education, medical treatment, and entertainment. With the development of the economy, people's demand for consumer goods and cultural life is increasing. In order to improve the service quality for customers, shopping malls need to provide more intelligent and convenient services. + +The smart shopping mall system uses information and communication technologies (ICTs) to provide intelligent services which can help shopping malls improve customer experience, management and competitiveness. By deploying IoT devices, e.g., temperature, humidity, air quality sensors, infrared sensors, navigation devices, shopping malls can obtain the ambient information, control the environment, acquire location of assets, etc. Based on these smart devices, a smart shopping mall system can support intelligent services, such as indoor navigation, asset tracking, intelligent device collaboration and business analysis. + +Figure 1 shows an overall conceptual diagram of a smart shopping mall system. Smart shopping mall devices are deployed inside the smart shopping mall. Examples of smart shopping mall devices include environmental monitoring devices, security devices, intelligent navigation devices, and asset location devices. An IoT network is responsible for communications among devices and the platform. The platform provides intelligent services by processing and analysing the data collected by smart shopping mall devices. It can also provide application programming interfaces (APIs) for smart city systems and other users. When the user obtains the authorization of a smart shopping mall platform, it can initiate a request to obtain information from the smart shopping mall platform. The smart shopping mall platform can send the corresponding information to users. + +NOTE 1 – The devices refer to IoT devices that can collect environmental, security, navigation or location related data. + +NOTE 2 – The assets are the valuable mall devices that need to be traced and monitored. Actually, some IoT devices can be also considered as assets, such as a navigation robot. + +![Overall conceptual diagram for smart shopping mall system. The diagram shows a central 'Smart shopping mall platform' (represented by server icons) connected to various components. On the left, a box labeled 'Smart shopping mall devices' contains icons for 'Environmental related devices', 'Security devices', 'Navigation devices', and 'Asset location devices'. On the right, a box labeled 'Other smart shopping mall users' contains icons for a laptop and a smartphone. Above the central platform, a dashed circle labeled 'Smart city system' connects to 'E-Health platform' and 'E-Government platform'. Below the central platform, it connects to 'Fire fighting platform' and 'Other platforms'. A legend at the bottom left shows a double-headed arrow labeled 'Interface'. The reference 'Y.4123(22)' is at the bottom right.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Overall conceptual diagram for smart shopping mall system. The diagram shows a central 'Smart shopping mall platform' (represented by server icons) connected to various components. On the left, a box labeled 'Smart shopping mall devices' contains icons for 'Environmental related devices', 'Security devices', 'Navigation devices', and 'Asset location devices'. On the right, a box labeled 'Other smart shopping mall users' contains icons for a laptop and a smartphone. Above the central platform, a dashed circle labeled 'Smart city system' connects to 'E-Health platform' and 'E-Government platform'. Below the central platform, it connects to 'Fire fighting platform' and 'Other platforms'. A legend at the bottom left shows a double-headed arrow labeled 'Interface'. The reference 'Y.4123(22)' is at the bottom right. + +**Figure 1 – Overall conceptual diagram for smart shopping mall system** + +# 7 Requirements of smart shopping mall system + +## 7.1 Requirements of smart shopping mall platform + +In addition to the common requirements specified in [ITU-T Y.4100], specific requirements for smart shopping mall platform are listed below: + +#### 7.1.1 General requirements + +- Smart shopping mall platform is required to collect ambient information of the shopping mall, which includes temperature, humidity, etc. +- Smart shopping mall platform is required to intelligently process and analyse the collected data through machine learning, semantics-based technologies or other technologies so that it can implement applications such as ambient data analysis. The result of the intelligent analysis can bring benefits to the shopping mall such as energy savings, labour costs reducing, etc. +- Smart shopping mall platform can optionally manage the smart shopping mall device's maintenance records. +- Smart shopping mall platform is required to have the means to check and analyse the integrity and correctness of the collected data. + +#### 7.1.2 Location related requirements + +- Depending on service requirements, the smart shopping mall platform can optionally record the location information of assets. +- Depending on services requirements, the smart shopping mall platform can optionally calculate the device location according to the information collected by the device or network by using a specific location algorithm. +- Depending on services requirements, the smart shopping mall platform can optionally request the location information of shopping mall assets periodically. + +- Depending on services requirements, the smart shopping mall platform can optionally support location tracking. +- Depending on services requirements, the smart shopping mall platform can optionally support electronic fences. Alarm will be activated when the target asset is outside the designated area. +- Depending on services requirements, the smart shopping mall platform can optionally notify related personnel to maintain the damaged asset, when information on demolition of assets is received. + +#### **7.1.3 Routing related requirements** + +- Depending on services requirements, the smart shopping mall platform can optionally receive the route planning requests (examples of such requests are starting and destination locations). +- Depending on the services requirements, the smart shopping mall platform can optionally recommend route planning based on the received route planning request. + +#### **7.1.4 Environment related requirements** + +- Smart shopping mall platform is required to shield the heterogeneity among various sensing data, provide data fusion analysis for environmental information, and support collaboration among different devices to improve the efficiency of the devices and reduce energy consumption. + +NOTE – Various sensing devices are installed in the shopping mall, and their data are a valuable input for environment control. By fully deploying these sensing data with advanced data analysis methods, better environment control and energy conservation are expected. + +## **7.2 Requirements of smart shopping mall devices** + +In addition to the common requirements specified in [ITU-T Y.4100], specific requirements for smart shopping mall devices are listed below: + +### **7.2.1 General requirements** + +- Smart shopping mall devices are required to provide computing capability. + +NOTE – Smart shopping mall devices can optionally expose spare computing capability, enabling decentralized computing tasks. + +### **7.2.2 Location related requirements** + +- Smart shopping mall devices can optionally collect location related information. + +NOTE – Location related information may be acquired in real time depending on service requirements or periodically depending on the configuration of the platform. + +- Smart shopping mall devices can optionally detect damage of shopping mall assets and send related information to the platform, so that the operator can maintain the damaged asset immediately. + +### **7.2.3 Routing related requirements** + +- Smart shopping mall devices can optionally provide multiple interfaces for human-computer interaction to request route planning. + +NOTE – The interfaces include audio, image, text, etc. + +#### **7.2.4 Environment related requirements** + +Smart shopping mall devices are required to collect environment information, for example, temperature, humidity, air quality, etc. + +## 7.3 Requirements of the network + +In addition to the common requirements specified in [ITU-T Y.4100], specific requirements for the network are listed below: + +- The network can optionally provide location related information, i.e., measurement information of the terminal, such as reference signal received power (RSRP), time of arrival (TOA), which can be used for device location calculation. + +NOTE 1 – The network layer may provide one or multiple methods that support positioning, such as 2G-5G, Bluetooth or WiFi. + +NOTE 2 – The network layer obtains the information required by the positioning algorithm to achieve device positioning using location methods such as reference signal received power (RSRP), time of arrival (TOA). + +NOTE 3 – This technology can locate a victim in the event of theft, violence, etc. in a timely manner. Also, the positioning service can support a route planning algorithm, which may provide the user with the fastest path to a destination. + +# 8 Capability framework of smart shopping mall system + +Based on the IoT reference model specified in [ITU-T Y.4000], Figure 2 illustrates the capability framework of the smart shopping mall system, which consists of four layers and two cross-layer capability groups. + +In addition to capabilities specified in [ITU-T Y.4000], specific capabilities are required for the application layer, network layer and device layer. These specific capabilities are shown in the blue highlighted rectangles in Figure 2. + +![Figure 2: Capability framework of smart shopping mall system. The diagram shows a four-layer architecture: Application layer, Service support and application support layer, Network layer, and Device layer. Each layer contains specific capabilities, with some highlighted in blue. Two vertical bars on the sides represent cross-layer capability groups: Management capability and Security capability. Two boxes at the bottom represent additional capabilities: Data processing, collection, presentation, and network connection; and Smart routing, device-position management, environment control, and intelligent analysis.](fbfa653853daf5541118a9ddecb92284_img.jpg) + +The diagram illustrates the capability framework of a smart shopping mall system, structured into four layers and two cross-layer capability groups. + +**Layers and Capabilities:** + +- Application layer:** Smart shopping mall platform capability (highlighted in blue). +- Service support and application support layer:** Data analysis capability, Data storage capability. +- Network layer:** Position capability (highlighted in blue), Network capability, Transport capability. +- Device layer:** Smart shopping mall device capability (highlighted in blue), Gateway capability. + +**Cross-layer Capability Groups:** + +- Management capability:** Represented by a vertical bar on the left, it spans all four layers. +- Security capability:** Represented by a vertical bar on the right, it spans all four layers. + +**Additional Capabilities (Bottom Boxes):** + +- Left Box:** Data processing capability, Data collection capability, Data presentation capability, Network connection capability (all highlighted in blue). +- Right Box:** Smart routing capability, Device-position management capability, Environment control capability, Intelligent analysis capability (all highlighted in blue). + +Arrows indicate connections from the Application layer to the Data processing box and from the Device layer to the Smart routing box. + +Figure 2: Capability framework of smart shopping mall system. The diagram shows a four-layer architecture: Application layer, Service support and application support layer, Network layer, and Device layer. Each layer contains specific capabilities, with some highlighted in blue. Two vertical bars on the sides represent cross-layer capability groups: Management capability and Security capability. Two boxes at the bottom represent additional capabilities: Data processing, collection, presentation, and network connection; and Smart routing, device-position management, environment control, and intelligent analysis. + +Y.4123(22) + +**Figure 2 – Capability framework of smart shopping mall system** + +## **8.1 Capabilities of the application layer** + +According to the smart shopping mall platform requirements described in clause 7.1, the application layer supports the smart shopping mall platform capabilities, including smart routing, indoor positioning, knowledge graph and intelligent analysis capabilities. Details of these capabilities are provided in the following clauses. + +#### **8.1.1 Smart routing capability** + +According to the requirements described in clause 7.1.3, the following features of smart routing capability are identified: + +- to provide a 3D display of the shopping mall environment. The physical location of assets and related areas in the mall is presented in an intuitive way; +- to provide route planning. The route is planned according to user's preferences (e.g., shortest route, or least crowded). The starting point of the route defaults to the location of the asset, or can be input manually; +- to update the routing algorithm. When the shopping mall layout changes, the routing algorithm needs to be updated accordingly. + +#### **8.1.2 Device-position management capability** + +According to the requirements described in clause 7.1.2, the following features of device-position management capability are identified: + +- to provide anti-theft capability for devices; +NOTE – This includes set up of an electronic fence, i.e., when the positioning information of the device shows that the device has crossed the fence, an alarm is triggered. +- to provide asset management capability. Recording and requesting of the location information of assets, with location tracking support, is provided. In cases of asset damage, notification to the maintenance personnel about the damaged asset is also provided. + +#### **8.1.3 Environment control capability** + +According to the requirements described in clauses 7.1.1 and 7.1.4, the following features of environment control capability are identified: + +- to integrate the environmental information of the mall (such as temperature, humidity, light, etc.), and automatically adjust the related facilities in the mall. + +#### **8.1.4 Intelligent analysis capability** + +According to the requirements described in clause 7.1.1, the following features of intelligent analysis capability are identified: + +- to provide intelligent analysis reports for departments in the mall as appropriate, such as customers flow, sales, safety reports, and marketing strategy recommendations; +NOTE – For customer complaints and suggestions, analysis algorithms can intelligently classify them and provide related reports. +- to detect abnormal behaviours and trigger alarms; +- to predict alarm events; +- to predict maintenance requirements based on smart shopping mall devices' managed maintenance records; +- to check and analyse the integrity and correctness of the collected data. + +## **8.2 Capabilities of the device layer** + +According to smart shopping mall device requirements described in clause 7.2, the device layer supports the smart shopping mall device capabilities, including data processing, data collection, data presentation and network connection capabilities. + +#### **8.2.1 Data processing capability** + +According to the requirements described in clause 7.2.1, the following features of data processing capability are identified: + +- to provide data analysis capability such as knowledge graph and AI. For some basic control operations, such as temperature adjustment, lighting device control, the collected data can be analysed and processed on the device layer to reduce network overload; +- to provide decentralized computing capability for data processing and analysis in order to speed up the calculation and utilize idle computing resources. + +### **8.2.2 Data collection capability** + +According to the requirements described in clauses 7.2.2, 7.2.3 and 7.2.4, the following features of data connection capability are identified: + +- to collect environmental information, such as temperature, humidity, light, etc.; +- to collect critical events in shopping malls, such as customers accidentally falling down and crowds gathering; +- to collect interactive information of multiple forms, such as visual, audio, haptic, etc. Considering the requirements of persons with disabilities, persons with age related disabilities and those with specific needs, multiple forms of interactive information are enabled [ITU-T Y.4204]. + +NOTE – The assets need to be equipped with necessary functional modules such as a microphone, touch screen, manual call button, etc. + +#### **8.2.3 Data presentation capability** + +According to the requirements described in clause 7.2.3, the data presentation capability is mainly used in human-computer interaction, and only required for interactive devices. The following features are identified: + +- to present interactive information of multiple forms. Considering the requirements of persons with disabilities, persons with age related disabilities and those with specific needs, multiple forms of interactive information are enabled [ITU-T Y.4204]. + +NOTE – Examples of interactive information forms include touch screen, motion sensors, , wearable devices that incorporate vibration, smart speakers and so on. + +### **8.2.4 Network connection capability** + +According to the requirements described in clauses 7.2.2 and 7.2.3, the following feature of network connection capability is identified: + +- to provide measures in support of locating capability in case locating capability is provided by the network. + +## **8.3 Capabilities of the network layer** + +According to the requirements described in clause 7.3, the following capability of the network layer is identified in addition to the networking and transport capabilities defined in [ITU-T Y.4000]: + +- position capability. + +NOTE 1 – As far as indoor positioning is concerned, different positioning technology methods can be used, including but not limited to time of arrival (TOA), time difference of arrival (TDOA), received signal strength (RSS), etc. + +NOTE 2 – As an example, with respect to the following widely used networking technologies, the network layer may provide network-based locating capability using the following methods: + +- WiFi: the wireless local area network (WLAN) uses the location information of access points and a combination of empirical and theoretical signal propagation models to locate the connected devices. +- Bluetooth: Bluetooth indoor positioning is based on the value of the received signal strength indication (RSSI), and the location is performed through the principle of triangulation. +- Ultra-wide bandwidth (UWB): the positioning technology uses pre-arranged anchor nodes and bridge nodes with known locations to communicate with newly added blind nodes and, using triangulation or "fingerprint" positioning methods, determine the location. + +# Appendix I + +## Use cases of smart shopping mall + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Equipment anti-theft service + +Smart shopping mall platform uses the positioning function of the device to provide anti-theft monitoring. The positioning module transmits the position information to the smart shopping mall platform. The platform stores the positioning data on the platform and analyses its trajectory information. If the track information is abnormal, the smart shopping mall will send an alarm message to the administrator to prevent the device from being stolen. + +As shown in the Figure I.1, the positioning module is responsible for collecting the location information of the device, and then transmitting it to the smart shopping mall platform, and the platform performs trajectory analysis based on the collected positioning information. When an abnormality occurs, the administrator can receive a warning about the abnormality of the device on his/her PC and/or mobile applications. + +![Figure I.1: Use case of anti-theft service for device. The diagram shows a flow from three types of devices (a robot, a dome-shaped sensor, and a camera) to their respective 'Positioning module' ovals. These modules connect to a central 'Network' box, which then connects to the 'Smart shopping mall platform' box. The platform connects to a computer icon, which finally connects to a 'Manager' person icon.](41a438d7e4adc17c3a4005e7c9500091_img.jpg) + +``` +graph LR; D1[Device 1] --> PM1([Positioning module]); D2[Device 2] --> PM2([Positioning module]); D3[Device 3] --> PM3([Positioning module]); PM1 --> N[Network]; PM2 --> N; PM3 --> N; N --> SSM[Smart shopping mall platform]; SSM --> PC[PC]; PC --> M[Manager]; +``` + +Figure I.1: Use case of anti-theft service for device. The diagram shows a flow from three types of devices (a robot, a dome-shaped sensor, and a camera) to their respective 'Positioning module' ovals. These modules connect to a central 'Network' box, which then connects to the 'Smart shopping mall platform' box. The platform connects to a computer icon, which finally connects to a 'Manager' person icon. + +Y.4123(22) + +**Figure I.1 – Use case of anti-theft service for device** + +The anti-theft service for device has the following functions: + +- 1) Information collection: The positioning module collects the location information of the device, so that the platform can monitor the specific location of the device in real time. Provide managers with the ability to monitor and query. +- 2) Alarm service: Trajectory analysis of the positioning information on the smart shopping mall platform. When the trajectory is abnormal, the abnormal device number and location information will be sent to the management staff by short message service (SMS), email and app push. +- 3) Data management and analysis: The smart shopping mall platform will save the device collected data and provide the data to researchers for statistical analysis. The smart shopping mall platform can then help to provide better planning and management solutions. + +### I.2 Intelligent environment control + +The smart shopping mall platform provides automated control of the environment in the shopping mall through digital analysis. Environmental monitoring devices such as thermometers and hygrometers arranged in the mall will upload the environmental data to the smart shopping mall platform. According to the analysis result, the air conditioner, humidifier and other device in the shopping mall are automatically controlled. + +As shown in Figure I.2, the monitoring device in the shopping mall is responsible for collecting environmental information in the shopping mall and sending it to the platform. The platform analyses the environment based on the uploaded information, and reversely controls the environmental changing devices in the shopping mall based on the analysis results. The platform will periodically output analysis reports to managers. + +![Figure I.2 – Use case of intelligent environment control. The diagram illustrates a feedback loop between environmental monitoring devices, a smart shopping mall platform, and environmental changing devices, all managed by a manager. On the left, 'Environmental monitoring devices' (represented by a thermometer, a hygrometer, and a light sensor) send data to a central box containing 'Temperature', 'Humidity', and 'Luminance'. An arrow labeled 'Upload data' points from this box to the 'Smart shopping mall platform'. The platform then sends a 'Report' to a 'Manager' (represented by a person icon). On the right, the platform sends 'Control based on analysis results' to 'Environmental changing devices' (represented by a smart mirror, an air conditioner, and two pendant lights).](c85ded401105f62f2d6ff26b3b5eb4af_img.jpg) + +Figure I.2 – Use case of intelligent environment control. The diagram illustrates a feedback loop between environmental monitoring devices, a smart shopping mall platform, and environmental changing devices, all managed by a manager. On the left, 'Environmental monitoring devices' (represented by a thermometer, a hygrometer, and a light sensor) send data to a central box containing 'Temperature', 'Humidity', and 'Luminance'. An arrow labeled 'Upload data' points from this box to the 'Smart shopping mall platform'. The platform then sends a 'Report' to a 'Manager' (represented by a person icon). On the right, the platform sends 'Control based on analysis results' to 'Environmental changing devices' (represented by a smart mirror, an air conditioner, and two pendant lights). + +**Figure I.2 – Use case of intelligent environment control** + +Intelligent environment control includes the following functions: + +- 1) Intelligent temperature control: The thermometer in the mall will report the current temperature in the area in real time. When the temperature is detected to exceed the set suitable temperature threshold, the air conditioner will work and report the working status to the smart shopping mall platform. +- 2) Humidity intelligent control: The hygrometer in the shopping mall will report the humidity in the area in real time. When the humidity is detected to exceed the set suitable temperature threshold, the humidifier or dehumidifier will work and report the working status to the smart shopping mall platform. +- 3) Intelligent brightness control: The light sensing device in the mall will report the current luminance in area in real time, automatically control the lights in the mall according to the luminance and weather, and report the working status to the smart shopping mall platform. + +### **I.3 Automatic navigation** + +In the smart shopping mall, machines with human-computer interaction capability will be placed to realize the function of intelligent navigation. The customer enters where he/she wants to go through the display screen of machine. The platform calculates the best route through the smart routing algorithm and displays it to customers on the display screen of machine. The default starting position of the path planning is the location of the machine, which can also be entered manually by the customer. + +As shown in Figure I.3, the machine is responsible for interacting with customers and acquiring customer needs. Additionally it uploads the navigation origin (location information or input information) and destination to the smart shopping mall via the network. The platform plans the route and returns the result to the interactive machine. The machine presents the route to the user through the display screen. + +![Diagram illustrating the use case of automatic navigation. A Customer interacts with a Machine with human-computer interaction capability. The Machine sends 'Enter the destination' to a Positioning module and 'Enter the origin and destination' to a Smart shopping mall platform. The Smart shopping mall platform returns 'Navigation results' to the Machine.](ff7ce44f3fdd51bae7b231f34df07c6a_img.jpg) + +``` +graph LR; Customer[Customer] --> Machine[Machines with human-computer interaction capability]; Machine -- "Enter the destination" --> Positioning(Positioning module); Machine -- "Enter the origin and destination" --> Platform[Smart shopping mall platform]; Platform -- "Navigation results" --> Machine; +``` + +Y.4123(22) + +Diagram illustrating the use case of automatic navigation. A Customer interacts with a Machine with human-computer interaction capability. The Machine sends 'Enter the destination' to a Positioning module and 'Enter the origin and destination' to a Smart shopping mall platform. The Smart shopping mall platform returns 'Navigation results' to the Machine. + +**Figure I.3 – Use case of automatic navigation** + +# Bibliography + +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-ITU-T Y.4105] Recommendation ITU-T Y.4105/Y.2221 (2010), *Requirements for support of ubiquitous sensor network (USN) applications and services in the NGN environment*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4206-201906-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4206-201906-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..17527f82442493113afff004e39f9dcf80c51c57 --- /dev/null +++ b/marked/Y/T-REC-Y.4206-201906-I_PDF-E/raw.md @@ -0,0 +1,765 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4206 + +(06/2019) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Requirements and use cases + +# --- **Requirements and capabilities of user-centric work space service** + +Recommendation ITU-T Y.4206 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3499 | +| Y.3500–Y.3999 | | + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.4206 + +# Requirements and capabilities of user-centric work space service + +## Summary + +Recommendation ITU-T Y.4206 provides the requirements and capabilities of the user-centric work space (UCS) service, based on the use cases of the UCS service addressed by ITU-T Y.Suppl.42. A UCS service is one that is capable of providing a personalized work space to its service users by orchestrating local and/or remote ICT resources as addressed in ITU-T Y.Suppl.42. + +The provided requirements and capabilities are necessary to implement various types of UCS services. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4206 | 2019-06-13 | 20 | 11.1002/1000/13919 | + +## Keywords + +Capabilities, requirements, UCS, UCS service, user-centric work space, user-centric work space service. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2019 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|---------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview..... | 2 | +| 7 | Requirements of the user-centric work space service..... | 5 | +| | 7.1 User-centric work space service UA requirements ..... | 5 | +| | 7.2 User-centric work space service manager requirements ..... | 5 | +| | 7.3 User-centric work space service device agent requirements..... | 6 | +| 8 | Capability framework for user-centric work space service ..... | 6 | +| | 8.1 Functional entities of the user-centric work space system ..... | 6 | +| | 8.2 Interfaces of the user-centric work space system ..... | 8 | +| 9 | User-centric work space service workflows ..... | 9 | +| | 9.1 Device resource advertisement and discovery ..... | 9 | +| | 9.2 UCS with device resources requiring additional access control ..... | 11 | +| | 9.3 Collaborative UCS with shared resource ..... | 11 | +| | 9.4 Collaborative UCS with shared resource and mitigation of race condition ... | 12 | +| | Appendix I - Implementation scenarios for UCS manager's location..... | 14 | +| | I.1 UCS manager co-located with UCS UA at user's smart device level ..... | 14 | +| | I.2 UCS manager co-located at a gateway level ..... | 14 | +| | I.3 UCS manager located at a dedicated server level ..... | 14 | +| | Bibliography..... | 16 | + + + +## Recommendation ITU-T Y.4206 + +# Requirements and capabilities of user-centric work space service + +## 1 Scope + +This Recommendation identifies requirements and capabilities of the user-centric work space (UCS) service. A UCS service is one that is capable of providing a personalized work space to its service users by orchestrating local and/or remote ICT resources as described in [b-ITU-T Y.Suppl.42]. + +In particular, this Recommendation addresses: + +- requirements of the UCS service; +- capability framework of the UCS service; and +- essential workflows of the UCS service. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [ITU-T Y.4100] Recommendation ITU-T Y.4100/Y.2066 (2014), *Common requirements of the Internet of things*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 device** [ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.2 gateway** [b-ITU-T Y.4101]: A unit in the Internet of things which interconnects the devices with the communication networks. It performs the necessary translation between the protocols used in the communication networks and those used by devices. + +**3.1.3 thing** [ITU-T Y.4000]: With regard to the Internet of things, this is an object of the physical world (physical things) or the information world (virtual things), which is capable of being identified and integrated into communication networks. + +**3.1.4 UCS service** [b-ITU-T Y.Suppl.42]: A service providing UCS to service users. + +**3.1.5 user-centric work space (UCS)** [b-ITU-T Y.Suppl.42]: A personalized work environment configured by orchestrating local and/or remote ICT resources. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 device resource:** ICT resource associated with a device. + +**3.2.2 user-centric work space device agent (UCS DA):** The device-side component of the UCS system, which manages one or more device resources. + +**3.2.3 user-centric work space manager (UCS manager):** The component of the UCS system mediating between UCS UA and UCS DA. + +**3.2.4 user-centric work space system (UCS system):** The set of UCS components necessary to realize a UCS service. + +**3.2.5 user-centric work space user agent (UCS UA):** The user-side component of the UCS system, which enables a user to configure their own UCS. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +DA Device Agent + +FE Functional Entity + +ICT Information and Communication Technology + +IoT Internet of things + +UA User Agent + +UCS User-Centric work Space + +## **5 Conventions** + +In this Recommendation: + +The keywords "**is required to**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement need not be present to claim conformance. + +The keywords "**can optionally**" and "**may**" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# **6 Overview** + +The user-centric work space (UCS) is a personal work environment configured by orchestrating one or more device resources provided by devices. A device may have one or more device resources; device resources are equivalent to functions provided by a device, for example, a multifunction printer represents scanning, printing and copying functions. + +With one or more device resources, regardless of their physical location, a UCS is configured by orchestrating them. As an example of a UCS configuration, a UCS service user borrows both keyboard and display functions from available nearby office devices and then associates them with a smart device to have an experience similar to that of a desktop personal computer (PC). + +NOTE 1 – Examples of smart devices include smart phones and smart tablets. + +Figure 1 depicts the concept of a UCS, which can be used as a personalized work environment [b-ITU-T Y.Suppl.42]. In terms of the Internet of things (IoT) reference model [ITU-T Y.4000], device resources are represented by virtual things and devices are represented by physical things. + +![Figure 1: The UCS concept diagram. It shows a 'User-centric work space (UCS)' represented by a blue hatched rectangle. Inside this space, there are 'Smart devices' (hatched squares) and 'Devices' (solid squares). These are connected to 'Physical things' (solid circles) and 'Virtual things' (circles with a diagonal line). A 'Network' cloud is shown at the top. Arrows indicate 'Representation' (dashed) and 'Association' (dashed with a double arrow). A legend on the right defines the symbols: Smart device (hatched square), Device (solid square), Physical thing (solid circle), Virtual thing (circle with diagonal line), Representation (dashed arrow), Association (dashed double arrow), and User-centric work space (UCS) (hatched rectangle). The label 'Y.4206(19)_F01' is at the bottom right.](acfc53eca625d62b38aa2563efa95c3e_img.jpg) + +Figure 1: The UCS concept diagram. It shows a 'User-centric work space (UCS)' represented by a blue hatched rectangle. Inside this space, there are 'Smart devices' (hatched squares) and 'Devices' (solid squares). These are connected to 'Physical things' (solid circles) and 'Virtual things' (circles with a diagonal line). A 'Network' cloud is shown at the top. Arrows indicate 'Representation' (dashed) and 'Association' (dashed with a double arrow). A legend on the right defines the symbols: Smart device (hatched square), Device (solid square), Physical thing (solid circle), Virtual thing (circle with diagonal line), Representation (dashed arrow), Association (dashed double arrow), and User-centric work space (UCS) (hatched rectangle). The label 'Y.4206(19)\_F01' is at the bottom right. + +**Figure 1 – The UCS concept** + +By associating device resources with a UCS service user's smart device, a UCS service provides a user-centric work space to the UCS service user [b-ITU-T Y.Suppl.42]. + +In terms of a UCS service, the service capabilities offered by a device are regarded as device resources. As a device may have one or more service capabilities (for instance, a multifunction printer has printing, scanning and other service capabilities), a device may have one or more device resources, i.e., each service capability offered by a device is mapped into a device resource. + +Figure 2 presents three ways of configuring the UCS, based on [b-ITU-T Y.Suppl.42]. + +![Figure 2: Three ways of configuring a UCS diagram. It is divided into 'Physical world' and 'Information world' by a vertical dashed line. In the Physical world, there are 'Smart devices' [A], [B], and [C], 'Devices' a, b, and c, and a 'Gateway'. 'Communication networks' connect these. In the Information world, there are 'UCS of [A]', 'UCS of [B]', 'UCS of [C]', and a 'Collaborated UCS between [B] and [C]'. Arrows show 'Access to local device' (green dashed), 'Access to remote device' (red dashed), and 'Collaboration of UCS' (blue dashed). A legend at the bottom defines symbols: Smart device (hatched square), Device (solid square), Gateway (white square), Physical thing (solid circle), Virtual thing (circle with diagonal line), Communication (dashed double arrow), Representation (dashed arrow), Access to local device (green dashed arrow), Access to remote device (red dashed arrow), Collaboration of UCS (blue dashed arrow), User-centric work space (UCS) (hatched rectangle), and Collaborated UCS (dashed rectangle). The label 'Y.4206(19)_F02' is at the bottom right.](dbe553cf16dd14073b89a8263a428664_img.jpg) + +Figure 2: Three ways of configuring a UCS diagram. It is divided into 'Physical world' and 'Information world' by a vertical dashed line. In the Physical world, there are 'Smart devices' [A], [B], and [C], 'Devices' a, b, and c, and a 'Gateway'. 'Communication networks' connect these. In the Information world, there are 'UCS of [A]', 'UCS of [B]', 'UCS of [C]', and a 'Collaborated UCS between [B] and [C]'. Arrows show 'Access to local device' (green dashed), 'Access to remote device' (red dashed), and 'Collaboration of UCS' (blue dashed). A legend at the bottom defines symbols: Smart device (hatched square), Device (solid square), Gateway (white square), Physical thing (solid circle), Virtual thing (circle with diagonal line), Communication (dashed double arrow), Representation (dashed arrow), Access to local device (green dashed arrow), Access to remote device (red dashed arrow), Collaboration of UCS (blue dashed arrow), User-centric work space (UCS) (hatched rectangle), and Collaborated UCS (dashed rectangle). The label 'Y.4206(19)\_F02' is at the bottom right. + +**Figure 2 – Three ways of configuring a UCS** + +NOTE 2 – Figure 2 of [b-ITU-T Y.Suppl.42] shows that a device is associated with a physical thing and the physical thing is projected into one or more virtual things. In terms of this Recommendation, a physical thing corresponds to a UCS device (see Figure 3), and a virtual thing corresponds to a device resource (see Figure 3). + +The three ways of configuring UCS are: + +- 1) UCS with local device resource: When a UCS service user wants to configure their UCS with local device resources UCS of (user) [A], the user communicates with UCS devices in the physical world in order to orchestrate virtual things (device resources) in the information world as shown in Figure 2; +- 2) UCS with remote device resources: When a UCS service user wants to configure their UCS with remote device resources UCS of (user) [B], the user communicates with UCS devices in the physical world via a gateway in order to orchestrate virtual things (device resources) in the information world as shown in Figure 2; +- 3) UCS by collaboration: When a UCS service user wants to configure UCS with device resources which are already involved in another UCS which is a collaboration UCS between (user) [B] and (user) [C], the user communicates with the the other UCS service user's smart device (capable of UCS user agent (UA)) in the physical world in order to share virtual things (device resources) in the information world between the two UCSs as shown in Figure 2. + +A UCS service can be realized by a UCS system which consists of a UCS UA, UCS device agent (DA) and UCS manager as shown in Figure 3. + +![Figure 3: Overview of the UCS system. The diagram shows a UCS manager at the top, connected to a User's smart device on the left and a UCS device on the right. The User's smart device contains a UCS UA. The UCS device contains a UCS DA and several Device resources. A direct signalling path (blue line) connects the UCS UA and the UCS DA. Indirect signalling paths (black lines) connect the UCS manager to both the UCS UA and the UCS DA. A legend at the bottom indicates that a black line represents an indirect signalling path (relay) and a blue line represents a direct signalling path. The identifier Y.4206(19)_F03 is located at the bottom right of the diagram.](daa4a6fa7e2ba1954258f86b4928eb32_img.jpg) + +Figure 3: Overview of the UCS system. The diagram shows a UCS manager at the top, connected to a User's smart device on the left and a UCS device on the right. The User's smart device contains a UCS UA. The UCS device contains a UCS DA and several Device resources. A direct signalling path (blue line) connects the UCS UA and the UCS DA. Indirect signalling paths (black lines) connect the UCS manager to both the UCS UA and the UCS DA. A legend at the bottom indicates that a black line represents an indirect signalling path (relay) and a blue line represents a direct signalling path. The identifier Y.4206(19)\_F03 is located at the bottom right of the diagram. + +**Figure 3 – Overview of the UCS system** + +The UCS UA, which is located at the UCS service user's smart device, discovers available device resources through the UCS manager. On behalf of a UCS service user, it orchestrates the discovered device resources to configure UCS. + +The UCS DA, which is located at the UCS device, advertises device resources' information and status through the UCS manager. Upon appropriate request from the UCS UA, it offers its associated device resources to the UCS UA. + +NOTE 3 – The device resources' information may include device resources' location, capabilities and identification. The status of device resources indicates their occupancy status. + +The UCS manager, which is an intermediate component, handles one or more UCSs. It manages device resources' information collected from the UCS DA, and then it provides device resources' information to the UCS UA according to the UCS service user's profile. + +NOTE 4 – Appendix I describes examples with different potential locations of the UCS manager. + +## **7 Requirements of the user-centric work space service** + +This clause addresses the requirements of a UCS service with respect to aspects of the UCS UA, UCS manager and UCS DA, respectively. + +### **7.1 User-centric work space service UA requirements** + +The followings are UCS UA's requirements for UCS service. + +- 1) Requirements of UCS service control: + - UCS UA is required to be capable of communicating directly with the UCS service user's smart device; + - UCS UA is required to have an interface to collaborate with other UCS system components; + - UCS UA is required to be capable of managing information related to the UCS service user and smart device associated with itself. +- 2) Requirements of resource advertisement and discovery: + - UCS UA is required to be capable of discovering the UCS manager; + - UCS UA is required to be capable of getting information related to available device resources from the UCS manager. + +NOTE – Examples of information provided by the UCS manager include ownership, capabilities and occupancy status of device resources. +- 3) Requirements of device resource access control: + - UCS UA is required to be capable of requesting access permission for the device resource which is occupied and/or owned by others; + - UCS UA is required to be capable of granting the access permission request for the device resource which is occupied and/or owned by itself; + - UCS UA is required to use information security management best practices. + +### **7.2 User-centric work space service manager requirements** + +The followings are the UCS manager's requirements for UCS service. + +- 1) Requirements of UCS service control: + - UCS manager is required to be capable of managing one or more UCSs; + - UCS manager is required to have an interface for collaborating with other UCS system components; + - UCS manager is required to be capable of managing the connection between the UCS UA and device resources; + - UCS manager is required to be capable of relaying connection control messages between the UCS UA and UCS DA. In some cases direct communication between the UCS UA and UCS DA may be possible and management of connection by the UCS manager is not required; + - UCS manager is required to use information security management best practices to protect information of the UCS UA and UCS DA. +- 2) Requirements of resource advertisement and discovery: + - UCS manager is required to be capable of managing device resource information provided by the UCS DA; + - UCS manager is required to be capable of managing information of the UCS UA and UCS DA; + +- UCS manager is required to be capable of providing selected device resources information to the UCS UA based on the UCS service user's profile and/or on the location of the UCS UA. +- 3) Requirements of device resource access control: + - UCS manager is required to be capable of access control for device resources; + - UCS manager is required to be capable of granting UCS UA's access to the device resources which are owned by other UCS service users; + - UCS manager is required to be capable of granting UCS UA's access for the shared resources which are occupied by other UCS service users. + +NOTE – UCS manager can relay access control messages to the UCS UAs or UCS DAs involved in the UCS service. + +### **7.3 User-centric work space service device agent requirements** + +The followings are the UCS DA requirements for UCS service. + +- 1) Requirements of UCS service control: + - UCS DA is required to be capable of accessing the device resources; + - UCS DA is required to have interfaces to collaborate with the other UCS system components as well as the device resources associated with the UCS DA itself. +- 2) Requirements of resource advertisement and discovery: + - UCS DA is required to be capable of managing information of associated device resources. +NOTE – Examples of information include ownership, capabilities access profile and occupancy status of device resources; + - UCS DA is required to have an interface to notify the status of device resources; + - UCS DA is required to be capable of advertising the associated device resources through collaboration with UCS manager; + - UCS DA is required to be capable of sharing device resources among multiple UCS UAs. +- 3) Requirements of device resource access control: + - UCS DA is required to be capable of handling associated device resources based on UCS service user's access rights; + - UCS DA is required to use information security management best practice to protect device resources' owner. + +NOTE – UCS DA can assign different levels of access rights for each device resource. + +## **8 Capability framework for user-centric work space service** + +The UCS service can be realized by a UCS system which consists of a UCS UA, UCS manager and a UCS DA. This clause addresses the functional entities (FEs) of the UCS system and interfaces between them. + +### **8.1 Functional entities of the user-centric work space system** + +Figure 4 shows the FEs of the UCS system. + +![Figure 4 – Functional entities of the UCS system. The diagram shows three main functional entities: UCS UA, UCS manager, and UCS DA, connected by a signalling path. UCS UA contains: Device information management FE, Resource discovery FE, Resource access control FE, Connection control client FE, and Media control FE. UCS manager contains: Resource management FE, Resource access control proxy FE, and Connection control proxy FE. UCS DA contains: Resource advertisement FE, Connection control server FE, Resource capability management FE, Media control FE, and Resource status monitoring FE. A separate box for 'Devices resources' is connected to the UCS DA. A legend indicates that a solid line represents the 'Signalling path'. The reference 'Y.4206(19)_F04' is at the bottom right.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Y.4206(19)\_F04 + +Figure 4 – Functional entities of the UCS system. The diagram shows three main functional entities: UCS UA, UCS manager, and UCS DA, connected by a signalling path. UCS UA contains: Device information management FE, Resource discovery FE, Resource access control FE, Connection control client FE, and Media control FE. UCS manager contains: Resource management FE, Resource access control proxy FE, and Connection control proxy FE. UCS DA contains: Resource advertisement FE, Connection control server FE, Resource capability management FE, Media control FE, and Resource status monitoring FE. A separate box for 'Devices resources' is connected to the UCS DA. A legend indicates that a solid line represents the 'Signalling path'. The reference 'Y.4206(19)\_F04' is at the bottom right. + +**Figure 4 – Functional entities of the UCS system** + +Functional entities of the UCS UA are as follows: + +- **Device information management FE** manages information related to the UCS service user and associated smart device itself. +NOTE 1 – Examples of the managed information include user identification and user location. +- **Resource discovery FE** discovers device resources advertised by the UCS DA in consultation with the UCS manager. The discovered device resources are used to configure a specific UCS; +- **Connection control client FE** manages the device resource control path enabling the UCS service user to utilize the device resources provided by the UCS DA; +- **Resource access control FE** enables UCS service user to obtain the access right for device resources; +- **Media control FE** establishes a control path for device resources between the UCS UA and UCS DA. + +Functional entities of UCS manager are as follows: + +- **Resource management FE** collects device resource information associated with the UCS DA and then provides this information to the UCS UA; +- **Connection control proxy FE** relays the control messages used for device resource control path management between the UCS UA and UCS DA; +NOTE 2 – Example cases of this FE's involvement are when the direct exchange of control messages used for control device resource control path between the UA and DA is not possible and when a service provider is involved in the interaction between the UCS UA and UCS DA for billing purposes. +- **Resource access control proxy FE** relays resource access control messages between the UCS UA and UCS DA. + +Functional entities of the UCS DA are as follows: + +- **Resource advertisement FE** advertises device resource information associated with corresponding UCS DA; +- **Resource capability management FE** collects and manages device resource information managed by corresponding UCS DA. Examples of managed device resource information include location, control profile and media type of device resources; + +- **Resource status monitoring FE** monitors the availability of the device resources associated with the UCS DA; +- **Connection control server FE** manages the device resource control path associated with the UCS DA; +- **Media control FE** establishes a control path for device resources between the UCS UA and UCS DA. + +### 8.2 Interfaces of the user-centric work space system + +Figure 5 shows the interfaces of the UCS system. + +![Figure 5: Interfaces of the UCS system. The diagram shows three main components: UCS UA, UCS manager, and UCS DA, each containing functional elements (FEs) and their interconnections.](a33da0f14e456f92539ce3e9b7d81f9a_img.jpg) + +The diagram illustrates the interfaces of the UCS system, showing the interactions between three main components: UCS UA, UCS manager, and UCS DA. + +- UCS UA** contains: + - Device information management FE + - Resource discovery FE + - Connection control client FE + - Resource access control FE + - Media control FE +- UCS manager** contains: + - Resource management FE + - Connection control proxy FE + - Resource access control proxy FE +- UCS DA** contains: + - Resource advertisement FE + - Resource capability management FE + - Resource status monitoring FE + - Connection control server FE + - Media control FE + +Interconnections are labeled as follows: + +- (U1)**: Device information management FE to Resource discovery FE. +- (U2)**: Resource discovery FE to Connection control client FE. +- (U3)**: Connection control client FE to Resource access control FE. +- (U4)**: Resource access control FE to Media control FE. +- (UM1)**: Resource discovery FE to Resource management FE. +- (UM2)**: Connection control client FE to Connection control proxy FE. +- (UM3)**: Resource access control FE to Resource access control proxy FE. +- (MD1)**: Resource management FE to Resource advertisement FE. +- (MD2)**: Connection control proxy FE to Connection control server FE. +- (D1)**: Resource advertisement FE to Resource capability management FE. +- (D2)**: Resource capability management FE to Resource status monitoring FE. +- (D3)**: Connection control server FE to Media control FE. +- (UD1)**: Connection control proxy FE to Connection control server FE. +- (UD2)**: Media control FE to Media control FE. + +Devices resources are connected to the Media control FE in the UCS DA. + +Y.4206(19)\_F05 + +Figure 5: Interfaces of the UCS system. The diagram shows three main components: UCS UA, UCS manager, and UCS DA, each containing functional elements (FEs) and their interconnections. + +**Figure 5 – Interfaces of the UCS system** + +- 1) Interfaces between the UCS UA and UCS manager: + - **(UM1) resource discovery FE – resource management FE**: this interface is used by the UCS UA to discover the UCS manager and to receive device resource information; + - **(UM2) connection control client FE – connection control proxy FE**: this interface is used by the UCS UA and UCS manager to manage the connection for device resource delivery between the UCS UA and UCS DA; + +NOTE 1 – Example cases of when this interface is required include when the direct path between the UCS UA and UCS DA is not possible and when a service provider is involved for billing purposes. + + - **(UM3) resource access control FE – resource access control proxy FE**: this interface is used by the UCS UA and the UCS manager to control access rights for device resources. Upon successful UCS UA's access request for a certain device resource, the owner of the device resource grants access through this interface. +- 2) Interfaces between UCS manager and UCS DA: + - **(MD1) resource management FE – resource advertisement FE**: this interface is used by the UCS manager and the UCS DA to advertise the information and status of device resources; + +- **(MD2) connection control proxy FE – connection control server FE**: this interface is used by the UCS manager and the UCS DA to manage the connection used for the device resource association between the UCS UA and UCS DA. +NOTE 2 – Example cases of when this interface is required include when the direct path between the UCS UA and UCS DA is not possible and when a service provider is involved for billing purposes. +- 3) Interfaces between UCS UA and UCS DA: + - **(UD1) connection control client FE – connection control server FE**: this interface is used by the UCS UA and the UCS DA to manage the direct connection to associate device resources (without intermediation of the UCS manager); + - **(UD2) media control FE – media control FE**: this interface is used by the UCS UA and UCS DA to deliver device resources. +- 4) Interfaces within UCS UA: + - **(U1) resource discovery FE – device information management FE**: this interface is an internal interface of the UCS UA. To initiate the UCS configuration, the resource discovery FE uses this interface to get the necessary information of the UCS service user's smart device from the device information management FE; +NOTE 3 – The information of the UCS service user's smart device includes device profile, device capability and its location. + - **(U2) resource discovery FE – connection control client FE**: this interface is an internal interface of the UCS UA and is used to discover device resource information from the resource discovery FE; + - **(U3) connection control client FE – resource access control FE**: this interface is an internal interface of the UCS UA and is used to discover resource access rights from the resource access control FE; + - **(U4) connection control client FE – media control FE**: this interface is an internal interface of the UCS UA and is used to manage connection for delivering device resources. +- 5) Interfaces within the UCS DA: + - **(D1) resource advertisement FE – resource capability management FE**: this interface is an internal interface of the UCS DA and is used by the resource advertisement FE to obtain the device resource capability information from the resource capability management FE; + - **(D2) resource advertisement FE – resource status monitoring FE**: this interface is an internal interface of the UCS DA and is used to obtain the status of device resources from the resource status monitoring FE; + - **(D3) UCS connection control server FE – media control FE**: this interface is an internal interface of the UCS DA and is used to manage connections for device resource delivery. + +## 9 User-centric work space service workflows + +This clause addresses four workflows to realize the UCS service. + +The first workflow addresses advertisement and discovery of device resources. + +The second workflow addresses UCS service with device resources requiring additional access control. + +The third and fourth workflows address UCS collaboration. + +### 9.1 Device resource advertisement and discovery + +Figure 6 shows the workflow for device resource advertisement and discovery. + +![Sequence diagram showing the process of device resource advertisement and discovery between Smart device (UCS UA), UCS manager, UCS DA, and UCS device (Resource X and Y).](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +``` + +sequenceDiagram + participant Smart_device as Smart device +UCS UA + participant UCS_manager as UCS manager + participant UCS_DA as UCS DA + participant UCS_device as UCS device +Resource X Y + + Note over UCS_DA, UCS_device: 1. Resource information collecting + Note over UCS_DA, UCS_device: 2. UCS resource advertisement + Note over UCS_manager, UCS_DA: 2. UCS resource advertisement + Note over Smart_device, UCS_manager: 3. Smart device information collecting + Note over Smart_device, UCS_manager: 4. UCS manager discovery + Note over Smart_device, UCS_manager: 5. UCS resource discovery request + Note over UCS_manager, UCS_DA: 6. UCS resource filtering + Note over Smart_device, UCS_manager: 7. UCS resource discovery Acknowledgment + Note over Smart_device, UCS_manager: 8. Selection of UCS resources + Note over Smart_device, UCS_manager: 9. UCS resource permission control + Note over Smart_device, UCS_manager: 10. UCS resource connection setup + Note over UCS_manager, UCS_DA, UCS_device: 10. UCS resource connection setup + +``` + +Y.4206(19)\_F06 + +Sequence diagram showing the process of device resource advertisement and discovery between Smart device (UCS UA), UCS manager, UCS DA, and UCS device (Resource X and Y). + +**Figure 6 – Device resource advertisement and discovery** + +(Step 1) **resource information collecting**: the UCS DA's resource capability management FE stores and manages device resource capability information, and then the UCS DA's resource status monitoring FE collects the availability status of each device resource. + +(Step 2) **UCS resource advertisement**: the UCS DA's resource advertisement FE sends the collected resource capability information and status to the specified UCS manager. The UCS manager's resource management FE stores and manages the resource capability information and status. + +(Step 3) **smart device information collecting**: the UCS UA's device information management FE collects user information and smart device information (such as its current location). + +(Step 4) **UCS manager discovery**: the UCS UA discovers the UCS manager. The UCS UA's resource discovery FE sends a request to discover the UCS manager, and then the UCS manager's resource management FE which receives the UCS manager discovery request acknowledges the discovery request. + +(Step 5, 6, 7) **UCS resource discovery**: when the UCS UA's resource discovery FE receives the UCS manager's discovery acknowledgement, the UCS UA's resource discovery FE requests the UCS manager for available device resources. When this request is received, the UCS manager's resource management FE configures available device resources information according to smart device information such as location. As a response to the UCS UA's UCS resource discovery request, the UCS manager's resource management FE provides the configured device resource information to the UCS UA's resource discovery FE. + +(Step 8) **selection of UCS resources**: based on the received device resource information, the UCS UA decides which device resources are to be involved in the UCS. The UCS UA's resource discovery FE can choose one of two options for the selection: it can select the device resources either automatically or by asking the UCS service user which device resources are required. + +(Step 9) **UCS resource access permission control**: the UCS UA's resource access control FE requests access permission for selected device resources from the UCS manager. When access is allowed, the UCS manager sends an acknowledgement to the UCS UA's resource access control FE. + +(Step 10) **UCS connection setup and service starting**: the UCS UA's connection control client FE establishes a connection with the UCS DA's connection control server FE via the UCS manager's connection control proxy FE. + +### 9.2 UCS with device resources requiring additional access control + +Figure 7 shows the workflow of UCS with device resources requiring additional access control. + +![Sequence diagram showing the workflow of UCS with device resources requiring additional access control. The participants are User 1 smart device UCS UA, Owner of resource smart device UCS UA, UCS manager, UCS device UCS DA, and Resource X and Y. The steps are: 1. Selection of UCS resources (self-loop on User 1), 2. UCS resource permission request (User 1 to UCS manager), 3. Detection of resource owner (UCS manager to Owner of resource), 4. UCS resource permission request (Owner of resource to UCS manager), 5. UCS resource permission granted (Owner of resource to UCS manager), 6. UCS resource permission granted (UCS manager to User 1), 7. UCS resource connection setup (User 1 to UCS DA via UCS manager).](8307f6b04df072c9332f9987e034272c_img.jpg) + +``` + +sequenceDiagram + participant U1 as User 1 +smart device +UCS UA + participant OR as Owner of resource +smart device +UCS UA + participant UM as UCS manager + participant UD as UCS device +UCS DA + participant RX as Resource X + participant RY as Resource Y + + U1->>U1: 1. Selection of UCS resources + U1->>UM: 2. UCS resource permission request + UM->>OR: 3. Detection of resource owner + OR->>UM: 4. UCS resource permission request + OR->>UM: 5. UCS resource permission granted + UM->>U1: 6. UCS resource permission granted + U1->>UD: 7. UCS resource connection setup + +``` + +Y.4206(19)\_F07 + +Sequence diagram showing the workflow of UCS with device resources requiring additional access control. The participants are User 1 smart device UCS UA, Owner of resource smart device UCS UA, UCS manager, UCS device UCS DA, and Resource X and Y. The steps are: 1. Selection of UCS resources (self-loop on User 1), 2. UCS resource permission request (User 1 to UCS manager), 3. Detection of resource owner (UCS manager to Owner of resource), 4. UCS resource permission request (Owner of resource to UCS manager), 5. UCS resource permission granted (Owner of resource to UCS manager), 6. UCS resource permission granted (UCS manager to User 1), 7. UCS resource connection setup (User 1 to UCS DA via UCS manager). + +**Figure 7 – Device resources requiring additional access control** + +(Step 1) **selection of UCS resources**: after the UCS resource advertisement and discovery process is completed, the UCS UA's resource discovery FE selects the resources from the discovered device resources to configure UCS. + +(Step 2, 3, 4) **UCS resource permission request**: the UCS UA's resource access control FE requests access permission for selected resources. When the UCS manager's resource access control proxy FE receives the access permission request, if additional access control is required for a specific resource, the UCS manager's resource access control proxy FE detects the owner of that resource and forwards the access permission request for the resource. + +(Step 5, 6) **UCS resource permission granted**: when the UCS UA of the resource owner receives the permission request message, the UCS UA's resource access control FE decides whether the resource permission is granted or not through interaction with the user of the UCS UA. The UCS UA's resource access control FE of the resource owner sends the UCS resource permission response. When the resource permission granted message is received from the UCS UA of the resource owner, the UCS manager's resource access control proxy FE forwards it to the UCS UA's resource access control FE which requested the resource permission. + +(Step 7) **UCS connection setup and service starting**: when the UCS UA's resource access control FE receives the resource permission granted message, the UCS UA's connection control client FE starts connection setup with the UCS DA's connection control server FE via the UCS manager's connection control proxy FE. And the UCS UA starts the UCS service. + +### 9.3 Collaborative UCS with shared resource + +Figure 8 shows a workflow of collaborative UCS with shared resource. + +![Sequence diagram showing the collaborative UCS process with a shared resource. The participants are User 1 smart device UCS UA, User 2 (Resource X occupant) smart device UCS UA, UCS manager, UCS device UCS DA, and Resource X and Y. The steps are: 1. UCS resource connection (between UCS manager and UCS DA), 2. Selection of UCS resources (self-loop on User 1 UCS UA), 3. UCS resource permission request (from User 1 UCS UA to UCS manager), 4. Checking the shared resource capability (self-loop on UCS manager), 5. UCS resource permission granted (from UCS manager to User 1 UCS UA), and 6. UCS resource connection (between User 1 UCS UA and UCS DA).](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +``` + +sequenceDiagram + participant U1 as User 1 smart device UCS UA + participant U2 as User 2 (Resource X occupant) smart device UCS UA + participant UM as UCS manager + participant UD as UCS device UCS DA + participant RX as Resource X + participant RY as Resource Y + + Note over UM,UD: 1. UCS resource connection + Note over U1: 2. Selection of UCS resources + U1->>UM: 3. UCS resource permission request + Note over UM: 4. Checking the shared resource capability + UM->>U1: 5. UCS resource permission granted + U1->>UD: 6. UCS resource connection + +``` + +Y.4206(19)\_F08 + +Sequence diagram showing the collaborative UCS process with a shared resource. The participants are User 1 smart device UCS UA, User 2 (Resource X occupant) smart device UCS UA, UCS manager, UCS device UCS DA, and Resource X and Y. The steps are: 1. UCS resource connection (between UCS manager and UCS DA), 2. Selection of UCS resources (self-loop on User 1 UCS UA), 3. UCS resource permission request (from User 1 UCS UA to UCS manager), 4. Checking the shared resource capability (self-loop on UCS manager), 5. UCS resource permission granted (from UCS manager to User 1 UCS UA), and 6. UCS resource connection (between User 1 UCS UA and UCS DA). + +**Figure 8 – Collaborative UCS with shared resource** + +(Step 1) **shared resource condition**: User 1 tries to configure UCS using the device resources occupied by User 2. User 2 has already configured UCS including resource X which is a shared device resource. + +(Step 2) **selection of UCS resources**: after the UCS resource advertisement and discovery process is completed, the UCS UA's resource discovery FE selects the resources including the shared device resource X among the discovered device resources. + +(Step 3) **UCS resource permission request**: the UCS UA's resource access control FE requests access permission for the shared resource X. + +(Step 4, 5) **UCS resource permission granted**: when the UCS manager's resource access control proxy FE receives the access permission request, the UCS manager's resource access control proxy FE checks whether the device resource can be shared or not. If the requested device resource can be shared with User 1, the UCS manager's resource access control proxy FE grants the resource permission to the UCS UA which is associated with User 1. + +(Step 6) **UCS connection setup and service starting**: when the UCS UA's resource access control FE receives the resource permission granted message from the UCS manager, the UCS UA's connection control client FE establishes a connection with the UCS DA's connection control server FE via the UCS manager's connection control proxy FE. Finally, the UCS UA provides UCS to User 1. + +### 9.4 Collaborative UCS with shared resource and mitigation of race condition + +Figure 9 shows a workflow of collaborative UCS with shared resource and mitigation of race condition. + +![Sequence diagram showing the collaborative UCS process with shared resource and mitigation of race condition between User 1, User 2, UCS manager, and UCS device.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +``` + +sequenceDiagram + participant U1 as User 1 smart device UCS UA + participant U2 as User 2 (Resource X occupant) smart device UCS UA + participant UM as UCS manager + participant DA as UCS DA + participant RX as Resource X + participant RY as Resource Y + + Note over U2, RX: 1. UCS resource connection + U2->>RX: + U1->>U1: 2. Selection of UCS resources + U1->>UM: 3. UCS resource permission request + UM->>UM: 4. Checking the shared resource capability + UM->>U2: 5. UCS resource permission revoked + U2->>U1: 6. UCS resource permission granted + Note over U1, RX: 7. UCS resource connection setup + U1->>UM: + UM->>DA: + DA->>RX: + +``` + +Y.4206(19)\_F09 + +Sequence diagram showing the collaborative UCS process with shared resource and mitigation of race condition between User 1, User 2, UCS manager, and UCS device. + +**Figure 9 – Collaborative UCS with shared resource and mitigation of race condition** + +(Step 1) **shared resource condition**: User 1 tries to configure UCS using the device resources occupied by User 2. User 2 has already configured UCS including resource X which is a shared device resource. This can cause a race condition as more than one user attempts to occupy a device resource at the same time. + +(Step 2) **selection of UCS resources**: after the UCS resource advertisement and discovery process is completed, the UCS UA's resource discovery FE selects device resources including the shared device resource X among the discovered device resources. + +(Step 3) **UCS resource permission request**: the UCS UA's resource access control FE requests the UCS manager access permission for the shared device resource X. + +(Step 4) **checking the shared resource capability**: when the UCS manager's resource access control proxy FE receives the access permission request from the UCS UA, the UCS manager's resource access control proxy FE detects the occupant status of the device resource X and whether the device resource can be shared. + +(Step 5, 6) **mitigation of race condition**: in order to mitigate the race condition, the UCS manager's resource access control proxy FE requests the device resource's access permission to the UCS UA which occupies the target device resource. The resource access control FE of User 2's UCS UA grants the resource access request from User 1's UCS UA. + +(Step 7) **UCS connection setup and service starting**: when the device resource is granted, the UCS UA's connection control client FE establishes a connection with the UCS DA's connection control server FE via the UCS manager's connection control proxy FE. Finally, the UCS UA provides UCS to User 1. + +## Appendix I + +### Implementation scenarios for UCS manager's location + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 UCS manager co-located with UCS UA at user's smart device level + +A UCS service user may have a personal UCS manager. In this case, a user can configure their UCS using device resources, which can be located both locally and remotely, with the UCS manager collocated with the UCS UA at the UCS service user's smart device level. The UCS manager's stored information for accessing both local and remote device resources is used only by the associated UCS UA. + +![Diagram of UCS manager co-located with UCS UA at user's smart device level.](3da1a07cb87051bf616c9876db958cf0_img.jpg) + +The diagram illustrates a network architecture where a UCS manager is co-located with a UCS UA at the user's smart device level. On the left, a 'Local network' is shown as a circle containing a 'Smart device' (represented by a person icon), a 'UCS UA' (hatched triangle), a 'UCS manager' (solid black triangle), and two 'Device' boxes, each with a 'UCS DA' (solid grey triangle) and 'Device resource' (hatched circle). This local network is connected via a 'Gateway' to a central 'Network (WAN)' cloud. On the right, another 'Local network' is shown, containing two 'Device' boxes, each with a 'UCS DA' and 'Device resource', connected to the WAN via another 'Gateway'. A legend at the bottom identifies the symbols: solid black triangle for UCS manager, hatched triangle for UCS UA, solid grey triangle for UCS DA, and hatched circle for Device resource. The identifier 'Y.4206(19)\_FI.1' is located in the bottom right corner. + +Diagram of UCS manager co-located with UCS UA at user's smart device level. + +Figure I.1 – UCS manager co-located with UCS UA at user's smart device level + +### I.2 UCS manager co-located at a gateway level + +When a UCS service is open and public in a certain restricted area such as q home, office or café, a UCS manager can be collocated at the gateway level of the area (e.g., in an IoT gateway with edge computing capabilities). In this case, a UCS manager stores the necessary information for accessing the device resources and then offers the stored information to the UCS UA upon appropriate request. + +![Diagram of UCS manager co-located at a gateway level.](a51105b2031bad93b818b82f071c6add_img.jpg) + +The diagram illustrates a network architecture where a UCS manager is co-located at a gateway level. On the left, a 'Local network' is shown as a circle containing a 'Smart device' (person icon), a 'UCS UA' (hatched triangle), and two 'Device' boxes, each with a 'UCS DA' (solid grey triangle) and 'Device resource' (hatched circle). This local network is connected via a 'Gateway' to a central 'Network (WAN)' cloud. The 'UCS manager' (solid black triangle) is located on the 'Gateway' itself. On the right, another 'Local network' is shown, containing two 'Device' boxes, each with a 'UCS DA' and 'Device resource', connected to the WAN via another 'Gateway'. A legend at the bottom identifies the symbols: solid black triangle for UCS manager, hatched triangle for UCS UA, solid grey triangle for UCS DA, and hatched circle for Device resource. The identifier 'Y.4206(19)\_FI.2' is located in the bottom right corner. + +Diagram of UCS manager co-located at a gateway level. + +Figure I.2 – UCS manager co-located at a gateway level + +### I.3 UCS manager located at a dedicated server level + +When a service provider wants to offer UCS service to users on a large scale, permanent basis, a UCS manager can be located at a dedicated server level. In this case, the UCS service provider can offer UCS service to its UCS service users with long-term commercial agreements. In addition, this + +approach is suitable for UCS collaboration because, in this case, the UCS manager can easily maintain the information of both device resources to be shared for UCS collaboration and their occupants. + +NOTE – Refer to clause 6 for UCS collaboration. + +![Network diagram showing UCS manager at a dedicated server level.](c5655e700cc3e9aac7e9f4f07f30264d_img.jpg) + +The diagram illustrates a network architecture for UCS collaboration. At the top center, a 'Dedicated server' (represented by a server rack icon) is connected to a 'CLOUD' (represented by a cloud icon). Below the server, a 'Local network' is shown, enclosed in a large circle. This local network contains a 'Smart device' (represented by a person icon), two 'Device' boxes (each containing a 'UCS DA' triangle and two 'Device resource' circles), and a 'UCS UA' triangle. The local network is connected to a 'Gateway' (represented by a router icon), which is connected to a 'Network (WAN)' (represented by a cloud icon). The WAN is connected to another 'Gateway' (represented by a router icon), which is connected to another 'Local network' (enclosed in a large circle). This second local network contains two 'Device' boxes, each containing a 'UCS DA' triangle and two 'Device resource' circles. A legend at the bottom identifies the symbols: a black triangle for 'UCS manager', a hatched triangle for 'UCS UA', a gray triangle for 'UCS DA', and a hatched circle for 'Device resource'. The text 'Local network' is written below the left local network circle. The text 'Dedicated server' is written below the server icon. The text 'Network (WAN)' is written inside the central cloud icon. The text 'Gateway' is written below the left gateway icon. The text 'Smart device' is written inside the smart device icon. The text 'Device' is written inside the device boxes. The text 'CLOUD' is written inside the top cloud icon. The text 'Y.4206(19)\_F1.3' is written in the bottom right corner. + +Network diagram showing UCS manager at a dedicated server level. + +**Figure I.3 – UCS manager located at a dedicated server level** + +## Bibliography + +- [b-ITU-T Y.4101] Recommendation ITU-T Y.4101/Y.2067 (2017), *Common requirements and capabilities of a gateway for Internet of things applications*. +- [b-ITU-T Y.Suppl.42] Recommendation ITU-T Y.Suppl.42 (2016), *Use cases of user-centric work space service*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4207-201906-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4207-201906-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..76fe881e06c2191c7bc1abdbcb8d87d8a33c7dd3 --- /dev/null +++ b/marked/Y/T-REC-Y.4207-201906-I_PDF-E/raw.md @@ -0,0 +1,525 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4207 + +(06/2019) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Requirements and use cases + +# --- **Requirements and capability framework of smart environmental monitoring** + +Recommendation ITU-T Y.4207 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3499 | +| Y.3500–Y.3999 | | + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.4207 + +# Requirements and capability framework of smart environmental monitoring + +## Summary + +Recommendation ITU-T Y.4207 provides the requirements and capability framework of smart environmental monitoring (SEM). As a smart application of Internet of things (IoT) in the field of environmental monitoring and protection, SEM is an important means to enhance environmental management level and develop environmental protection. + +The provided requirements and capability framework are intended to be generally applicable in environmental monitoring. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4207 | 2019-06-13 | 20 | 11.1002/1000/13920 | + +## Keywords + +SEM, SEM device, SEM platform, smart environmental monitoring. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2019 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|----------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview of smart environmental monitoring ..... | 2 | +| 7 Requirements of smart environmental monitoring..... | 3 | +| 7.1 Requirements of SEM platform..... | 3 | +| 7.2 Requirements of SEM devices ..... | 4 | +| 7.3 Requirements of the network..... | 5 | +| 8 Capability framework of smart environmental monitoring..... | 5 | +| 8.1 Capabilities of the application layer ..... | 6 | +| 8.2 Capabilities of the device layer ..... | 7 | +| 8.3 Capabilities of the network layer..... | 8 | +| Appendix I - Use cases of smart environmental monitoring ..... | 9 | +| I.1 Water quality warning service..... | 9 | +| Bibliography..... | 10 | + + + +## Recommendation ITU-T Y.4207 + +# Requirements and capability framework of smart environmental monitoring + +# 1 Scope + +This Recommendation specifies requirements and capability framework of smart environmental monitoring (SEM). As a smart application of Internet of things (IoT) in the field of environmental monitoring and protection, SEM is an important means to enhance environmental management level and develop environmental protection. + +The scope of this Recommendation includes: + +- overview of smart environmental monitoring; +- requirements of smart environmental monitoring; +- capability framework of smart environmental monitoring. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of Internet of things*. + +[ITU-T Y.4401] Recommendation ITU-T Y.4401/Y.2068 (2015), *Functional framework and capabilities of the Internet of things*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 device** [ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.2 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.3 sensor** [b-ITU-T Y.4105]: An electronic device that senses a physical condition or chemical compound and delivers an electronic signal proportional to the observed characteristic. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|------------------------------------| +| API | Application Programming Interface | +| GNSS | Global Navigation Satellite System | +| IoT | Internet of things | +| SEM | Smart Environmental Monitoring | +| SMS | Short Message Service | + +# **5 Conventions** + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus this requirement needs not be present to claim conformance. + +The keywords "can optionally" and "may" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# **6 Overview of smart environmental monitoring** + +Environmental monitoring describes all processes and activities that need to take place to characterize and monitor the quality of the environment. Environmental monitoring is used for environmental impact assessments, as well as for circumstances in which human activities carry a risk of harmful effects on or from the environment. + +Real-time environmental monitoring systems that are capable of collecting and analysing all information relevant to the environmental status are essential for efficient environmental monitoring and protection. In general, there is air monitoring, water monitoring, and soil monitoring, because air, water and soil are three essential factors among many environmental resources. The collected data are stored and analysed for further use in forecasting weather status, measurement of pollution, consequence assessment of natural resource management, etc. + +IoT technologies are key to enable more flexible real-time environmental monitoring, diagnostics, and finally protection of further serious degradations. By integrating IoT devices in the environment itself, the level of environmental monitoring could be substantially raised, giving environmental monitoring many new, intelligent features. These features are primarily self-monitoring and self-protecting with the possibility of not only reactive but also proactive actions. + +SEM is a self-monitoring and self-protecting environmental monitoring application that is aware of current environmental status with the possibility of automatic alarm rising when appropriate. SEM provides not only environmental monitoring, but also data analysis which can be used for management. + +Figure 1 shows the overall conceptual diagram for SEM. + +A SEM device usually consists of one or more type of sensors, edge computing facilities and gateway facilities for interconnection to the SEM platform. SEM devices measure environmental status, such as air quality, water quality or soil quality. + +The network enables the interaction between SEM devices and the SEM platform. + +The SEM platform is responsible for collecting and managing environmental data, mainly for environmental protection purposes. It provides the resulting environmental information to SEM users, including other platforms as shown in Figure 1. + +NOTE – Concerning other platforms, the SEM platform may interface with them for exchanging mutually beneficial information. In some scenarios, the SEM platform may also be integrated within a larger scope system, typically a smart city system. + +![Overall conceptual diagram for SEM showing the SEM platform at the center, connected to SEM devices, Smart city system, and various other platforms.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +The diagram illustrates the overall conceptual architecture for Smart Environmental Monitoring (SEM). At the center is the **SEM platform**, represented by a blue box containing server icons. This platform is enclosed within a dashed circle labeled **Smart city system**. To the left, **SEM devices** (depicted with icons of a park, buildings, and a sensor) connect to the SEM platform via a **Network** (indicated by a dashed line). To the right, **Others SEM users** (depicted with a smartphone and a computer) also connect to the SEM platform. Surrounding the central SEM platform are several other platforms: **Smart water platform**, **Smart building platform**, and **Smart tourism platform** at the top; and **E-health platform**, **E-government platform**, and **Others** at the bottom. Double-headed blue arrows indicate **Interface** connections between the SEM platform and these surrounding platforms. A legend at the bottom shows a double-headed blue arrow for **Interface** and a dashed line for **Communication**. The identifier **Y.4207(19)\_F01** is located in the bottom right corner of the diagram area. + +Overall conceptual diagram for SEM showing the SEM platform at the center, connected to SEM devices, Smart city system, and various other platforms. + +**Figure 1 – Overall conceptual diagram for SEM** + +# 7 Requirements of smart environmental monitoring + +This clause categorises SEM requirements with respect to the SEM platform, SEM devices and the network. + +## 7.1 Requirements of SEM platform + +- SEM platform is required to provide environmental information, such as air quality, water quality, soil quality, etc.; +- SEM platform is required to provide real-time environmental warning when the environmental warning preset conditions are reached; +- SEM platform is required to send environmental warnings to relevant personnel, in an appropriate time, according to the specific scenario of the warning generation; + +NOTE 1 – Examples of warning transmission modalities include telephone, short message service (SMS) and e-mail. + +- SEM platform is required to share appropriate information in the event of an environmental emergency; + +NOTE 2 – This includes sharing information with relevant personnel on emergency management, operations, planning, etc. + +- SEM platform is recommended to locate the sources that cause observations to exceed the threshold; +- SEM platform is recommended to provide support to the identification and analysis of the origins that cause observations to exceed the threshold; +- SEM platform can optionally provide environmental reports based on the acquired environmental data; +- SEM platform is recommended to provide suggested actions, including how to improve environmental quality; +- SEM platform is required to provide capabilities of presenting data through interfaces to SEM users; + +NOTE 3 – Examples of data presentation modalities include Web portal and mobile applications. + +- SEM platform is recommended to expose open application programming interfaces (APIs) for environmental information usage by third-party applications; +- SEM platform is required to provide interfaces for other platforms to exchange information as appropriate; + +NOTE 4 – Examples of information provided by the SEM platform include environmental information, environmental warning service information, environmental emergency service information, etc. Examples of information received from other platforms include weather condition and other environment related information. + +- SEM platform is recommended to have the ability to be integrated within smart city systems; + +NOTE 5 – This includes provisioning of open APIs for its integration. + +- SEM platform is required to identify the location of SEM devices as appropriate; +- SEM platform is required to present SEM device-related information through interface to SEM users as appropriate; +- SEM platform is required, where possible, to locate a faulty SEM device, present fault information, and remotely command troubleshooting of the faulty device; +- SEM platform is recommended to send measurement settings to SEM devices; +- SEM platform is recommended to configure measurement settings of specific SEM devices; +- SEM platform is recommended to configure measurement settings of SEM devices according to their location; +- SEM platform can optionally manage SEM devices' maintenance records and can optionally send reminders to relevant personnel when scheduled maintenance procedures are needed. + +NOTE 6 – For example, the platform can enable management of device cleaning records, replacement records, calibration records and accuracy requirements. + +## **7.2 Requirements of SEM devices** + +- SEM devices are required to monitor environmental information, such as air quality, water quality and soil chemical components; +- SEM devices are required to transfer the acquired environmental information to SEM platform; +- In case of a lost connection to the SEM platform, SEM devices are required to store data and upload data automatically once the connection is recovered; +- SEM devices are recommended to be time synchronised with SEM platform; + +- SEM devices can optionally obtain their locations via appropriate device capabilities, utilizing different techniques, such as Global Navigation Satellite System (GNSS). Location accuracy depends on different types of devices and applications; +- SEM devices are required to receive, store and execute measurement settings; +- When an SEM device is faulty, the SEM device is recommended to detect the abnormal status where possible, and then report the fault information automatically to SEM platform. + +## 7.3 Requirements of the network + +- The network is recommended to have the ability to obtain the location of SEM devices. + +# 8 Capability framework of smart environmental monitoring + +Based on the IoT reference model specified in [ITU-T Y.4000], Figure 2 illustrates the SEM capability framework, which consists of four layers and two cross-layer capability groups. In this figure, a specific zoom is provided on SEM platform and SEM devices, illustrated by two outside rectangles with detailed capabilities. In addition to capabilities specified in [ITU T Y.4000] and [ITU-T Y.4401], additional specific capabilities are required for SEM platform, SEM devices and the network, as shown in Figure 2 via yellow highlighted rectangles. + +![Figure 2: Capability framework of SEM. The diagram shows a four-layer architecture: Application layer, Service support and application support layer, Network layer, and Device layer. It also includes two cross-layer capability groups: Generic management capabilities and Generic security capabilities. Specific capabilities are highlighted in yellow: SEM platform capability, Locating capability, and SEM device capability. Detailed views of these capabilities are provided in zoomed-in boxes at the bottom.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +The diagram illustrates the SEM capability framework, organized into four layers and two cross-layer capability groups. The layers are: + +- Application layer:** Contains **SEM platform capability** (highlighted in yellow). +- Service support and application support layer:** Contains Data processing capability and Data storage capability. +- Network layer:** Contains Network capability, Transport capability, and **Locating capability** (highlighted in yellow). +- Device layer:** Contains **SEM device capability** (highlighted in yellow) and Gateway capability. + +Two cross-layer capability groups are shown on the sides: + +- Generic management capabilities:** Encompasses the Application, Service support, and Network layers. +- Generic security capabilities:** Encompasses the Service support, Network, and Device layers. + +Two detailed views are provided at the bottom: + +- SEM platform capability (Zoomed view):** Includes Connecting capability (Measurement setting storage and execution capability, Maintenance capability, Locating capability, Data sensing capability, Data processing capability). +- SEM device capability (Zoomed view):** Includes Data presentation capability (Measurement setting management capability, Maintenance capability, Statistics and analysis capability, Interface capability to other platforms), Data transfer capability, and Data sensing capability. + +Y.4207(19)\_F02 + +Figure 2: Capability framework of SEM. The diagram shows a four-layer architecture: Application layer, Service support and application support layer, Network layer, and Device layer. It also includes two cross-layer capability groups: Generic management capabilities and Generic security capabilities. Specific capabilities are highlighted in yellow: SEM platform capability, Locating capability, and SEM device capability. Detailed views of these capabilities are provided in zoomed-in boxes at the bottom. + +**Figure 2 – Capability framework of SEM** + +The following clauses describe the specific capabilities of SEM. + +## **8.1 Capabilities of the application layer** + +According to SEM requirements described in clauses 7.1 and 7.2, the capabilities of the application layer include data transfer capability, measurement setting management capability, maintenance capability, statistics and analysis capability, data presentation capability and interface capability to other platforms. The details of these capabilities are described in the following clauses. + +#### **8.1.1 Data transfer capability** + +Data transfer capability transfers data among different capabilities in SEM platform. It includes but is not limited to: + +- sending the measurement, identity, type of SEM device to maintenance management capability, statistics and analysis capability; +- sending the measurement settings from measurement setting management capability to SEM device. + +#### **8.1.2 Measurement setting management capability** + +Measurement setting management capability manages the creation, modification and deletion of measurement settings. It includes but is not limited to: + +- creating measurement settings based on the location of a device and environmental factors; +- creating measurement settings to configure control degree, such as location control of device; +- receiving information from statistics and analysis capability and creating measurement settings accordingly. For example, if a negative environmental event is predicted, devices within the region of interest could increase their measurement frequency to provide better observation; +- modifying and deleting measurement settings; +- sending measurement settings to data transfer capability. + +#### **8.1.3 Maintenance capability** + +Maintenance capability maintains SEM devices. It includes but is not limited to: + +- recognizing and detecting the identity, type, operating status of SEM device from data transfer capability; +- automatically generating fault reports from operating status; +- automatically triggering alarms, and then informing the maintenance staff. + +#### **8.1.4 Statistics and analysis capability** + +Statistics and analysis capability generates environmental reports, produces environmental warning events and identifies possible sources that cause observations to exceed thresholds. It includes but is not limited to: + +- analysing environmental quality based on the environmental raw data, utilizing the data analysis capability in service support and application support layer. The results may be provided to users directly or stored in service support and application support layer; +- producing environmental warning events based on the results of environmental quality analysis and informing specific users of these events in various ways, including telephone, SMS, e-mail; +- analysing the changing trend of environmental parameters (e.g., air quality, water quality and soil quality), to identify the possible sources that cause observations to exceed the thresholds and providing suggested actions for solution. + +#### **8.1.5 Data presentation capability** + +Data presentation capability presents the environmental quality information. It includes but is not limited to: + +- providing interface to authorized SEM users to present the environmental measurement data. Environmental measurement data presentation is recommended to include presentation of raw data at each given location (of one or more SEM devices) and presentation of processed data derived from raw data according to SEM users' requirements; +- providing interface to authorized SEM users to present the physical distribution of all SEM devices, and maintenance status of each SEM device as well; +- providing interface to authorized SEM users to present the physical distribution of faulty SEM devices with their fault information. + +#### **8.1.6 Interface capability to other platforms** + +- As other platforms may need to exchange information with SEM platform, application layer is required to support open APIs. + +### **8.2 Capabilities of the device layer** + +According to SEM requirements identified in clause 7.2, the capabilities of the device layer include connection and sleeping capabilities as already specified in [ITU-T Y.4000], as well as the following specific capabilities: data sensing, data processing, connecting, measurement setting storage and execution, maintenance and (device based) locating capabilities. + +#### **8.2.1 Data sensing capability** + +Data sensing capability senses the environment. It includes but is not limited to: + +- sensing environmental conditions and obtaining the raw environmental data, including but not limited to air, water and soil. + +NOTE – It is recommended to integrate multiple sensors in a single physical SEM device, to sense multiple environmental data by just one device at a certain location. + +#### **8.2.2 Data processing capability** + +Data processing capability processes data. It includes but is not limited to: + +- deriving target parameters for environmental monitoring from the raw environmental data, with tools such as filtering and format conversion; +- provide g time synchronization with SEM platform; +- preparing the data with message composition to make it suitable for communication. + +#### **8.2.3 Connecting capability** + +Data connecting capability enables SEM devices to communicate with SEM platform. It includes but is not limited to: + +- setting up the communication between SEM devices and SEM platform; +- receiving the measurement settings from SEM platform; +- sending the measurement settings to measurement settings storage and execution capability; +- regularly reporting the collected parameters from maintenance capability to SEM platform; +- reporting fault information from maintenance capability to SEM platform. + +#### **8.2.4 Measurement setting storage and execution capability** + +Measurement setting storage and execution capability manages measurement settings. It includes but is not limited to: + +- receiving and storing measurement settings from connecting capability; +- automatically executing the measurement settings if preset conditions are reached; +- automatically executing the measurement settings of a specific SEM device. + +#### **8.2.5 Maintenance capability** + +Maintenance capability maintains SEM devices. It includes but is not limited to: + +- monitoring the working status of SEM devices; +- detecting abnormal measurements and reporting the fault information automatically to connecting capability. + +#### **8.2.6 Locating capability** + +Locating capability collects location information. It includes but is not limited to: + +- collecting the location information of SEM devices. + +NOTE – SEM needs to be aware of the location of most devices. Though such awareness can be achieved by marking every device and placing it to a fixed location, deployment flexibility and scalability will be impacted in such case. Alternatively, devices can optionally be able to obtain their locations via the device-based locating capability utilizing different locating techniques, such as GNSS. Locating accuracy depends on different types of devices and applications. + +## **8.3 Capabilities of the network layer** + +SEM does not need additional specific capabilities of the network layer in terms of networking and transport capabilities. However, network-based locating capability is recommended. + +#### **8.3.1 Locating capability** + +Locating capability collects location information. It includes but is not limited to: + +- collecting the location information of SEM devices. + +NOTE – Locating devices by marking every device and placing them in a fixed location generally impacts deployment flexibility and scalability, and device-based locating techniques increase the cost and power consumption of devices, thus network layer is recommended to have the ability to obtain the location of SEM devices. + +## Appendix I + +## Use cases of smart environmental monitoring + +(This appendix does not form an integral part of this Recommendation.) + +## I.1 Water quality warning service + +SEM users use the water quality warning service to monitor water quality. Water quality sensing devices transmit the collected organic or inorganic pollutant concentration to the SEM platform, where the monitoring data are stored in a database for statistical analysis. When the pollutant measurement value reaches a threshold value, the SEM platform sends warning information to users to prevent water pollution and protect human health. + +As shown in Figure I.1, water quality sensing devices collect water quality data of surface water, underground water and sewage draining exit, and then transmit the data to the SEM platform, where the data are stored and analysed. Users can receive the water quality warning on PC and mobile apps. + +![Figure I.1 – Water quality warning service scenario diagram](9ae17964ddd9b814c7d905b1af2fddf2_img.jpg) + +The diagram illustrates the water quality warning service scenario. On the left, three data sources are shown: 'Surface water', 'Underground water', and 'Sewage draining exit'. Each source is connected to a 'Water quality sensing device' (represented by a cone with an antenna). Each sensing device is connected to a 'Router'. The three routers are connected to a central 'Gateway' (represented by a cube with a red circular arrow). The Gateway is connected to an 'Access network' (represented by a cloud), which is then connected to a 'Core network' (also represented by a cloud). The Core network is connected to the 'SEM platform' (represented by a dashed box containing server icons). The SEM platform is connected to a 'User' (represented by a person icon), who can receive warnings on a 'PC' or a 'Mobile' device. The label 'Y.4207(19)\_FI.1' is located at the bottom right of the diagram. + +Figure I.1 – Water quality warning service scenario diagram + +**Figure I.1 – Water quality warning service scenario** + +The water quality warning service provides the following three functions: + +- 1) information release: water quality sensing devices carry out regular or continuous monitoring of the water environment, obtain the monitoring data and sending them to the SEM platform. Users can query the data through the web portal or mobile app; +- 2) warning service: when the measured value reaches a preset threshold, the SEM platform automatically triggers alarms at different alarm levels, and sends the alarms to the user by telephone, SMS, e-mail; +- 3) data management: the SEM platform carries on the statistical analysis of the monitoring data, and provides the obtained results to relevant personnel in order to make a corresponding management plan. + +# **Bibliography** + +- [b-ITU-T Y.4105] Recommendation ITU-T Y.4105/Y.2221 (2010), *Requirements for support of ubiquitous sensor network (USN) applications and services in the NGN environment.* + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4209-202004-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4209-202004-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..3fc176c2338af4c0f3593a0bff921bc8dfe28c79 --- /dev/null +++ b/marked/Y/T-REC-Y.4209-202004-I_PDF-E/raw.md @@ -0,0 +1,540 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4209 + +(04/2020) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Requirements and use cases + +# --- **Requirements for interoperation of the smart port with the smart city** + +Recommendation ITU-T Y.4209 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +### CLOUD COMPUTING + +Y.3500–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.4209 + +# Requirements for interoperation of the smart port with the smart city + +## Summary + +Recommendation ITU-T Y.4209 addresses the interoperation of the smart port with the smart city, identifying the requirements for the smart port platform to be able to interoperate with smart city platforms and other smart elements in the environment where the port is located. Additionally, these requirements are the foundation that enables the provision of enhanced smart services by the smart port platform (which may also benefit smart cities), also described in this Recommendation. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4209 | 2020-04-06 | 20 | 11.1002/1000/14163 | + +## Keywords + +Interfaces, interoperation, port area of influence, smart city, smart city platform, smart port, smart port platform, smart port services. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-------------------------------------------------------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 2 | +| 3.1 Terms defined elsewhere..... | 2 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 3 | +| 5 Conventions ..... | 3 | +| 6 Overview of the smart port in terms of interoperation ..... | 3 | +| 7 High-level requirements for the smart port platform to enable interoperation with smart city platforms and/or other smart elements..... | 5 | +| 8 Requirements of interoperation between the smart port platform and smart city platforms and/or other smart elements ..... | 7 | +| 9 Smart services provided by the smart port platform interoperating with smart city platforms and/or other smart elements ..... | 8 | +| Appendix I – Examples of smart port's information exchange and provision of services to the smart city ..... | 9 | +| Appendix II – Example of smart port interoperation with the smart city ..... | 11 | +| Bibliography..... | 12 | + + + +# Recommendation ITU-T Y.4209 + +# Requirements for interoperation of the smart port with the smart city + +## 1 Scope + +This Recommendation addresses the interoperation of the smart port with the smart city, identifying the requirements for the smart port platform to be able to interoperate with smart city platforms and other smart elements in the environment where the port is located, in order to provide enhanced services. + +Nautical services and other services management provided by the smart port are out of the scope of this Recommendation. + +Security aspects required by customs and immigration authorities are out of scope of this Recommendation. + +Interoperation with other ports is out of scope of this Recommendation given the focus of this Recommendation is on interoperation between the smart port and the smart city. + +Clause 6 provides an overview of the smart port in terms of interoperation with the components of the smart port ecosystem. + +Clause 7 describes high-level requirements for the smart port platform to enable interoperation with smart city platforms and/or other smart elements. + +Clause 8 describes the requirements of interoperation between the smart port platform and smart city platforms and/or other smart elements. + +Clause 9 describes the smart services provided by the smart port platform interoperating with smart city platforms and/or other smart elements. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|----------------------------------------------------------------------------------------------------------------------------| +| [ITU-T L.1370] | Recommendation ITU-T L.1370 (2018), Sustainable and intelligent building services . | +| [ITU-T Y.3600] | Recommendation ITU-T Y.3600 (2015), Big data – Cloud computing based requirements and capabilities . | +| [ITU-T Y.4000] | Recommendation ITU-T Y.4000/Y.2060 (2012), Overview of the Internet of things . | +| [ITU-T Y.4111] | Recommendation ITU-T Y.4111/Y.2076 (2016), Semantics based requirements and framework of the Internet of things . | +| [ITU-T Y.4114] | Recommendation ITU-T Y.4114 (2017), Specific requirements and capabilities of the Internet of things for big data . | +| [ITU-T Y.4200] | Recommendation ITU-T Y.4200 (2018), Requirements for the interoperability of smart city platforms . | + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 big data** [ITU-T Y.3600]: A paradigm for enabling the collection, storage, management, analysis and visualization, potentially under real-time constraints, of extensive datasets with heterogeneous characteristics. + +NOTE – Examples of dataset characteristics include high-volume, high-velocity, high-variety, etc. + +**3.1.2 city** [b-ITU-T Y.4900]: An urban geographical area with one (or several) local government and planning authorities. + +**3.1.3 data/knowledge layer** [ITU-T Y.4201]: Architectural layer of a Smart Port that supports data processing, adding value and transforming information into knowledge. + +**3.1.4 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.5 open interface** [ITU-T Y.4201]: A public standard for connecting hardware to hardware and software to software. Open interfaces are designed and documented for safe and easy use by third party developers and freely available to all. + +**3.1.6 smart sustainable city (SSC)** [b-ITU-T Y.4900]: A smart sustainable city is an innovative city that uses information and communication technologies (ICTs) and other means to improve quality of life, efficiency of urban operation and services, and competitiveness, while ensuring that it meets the needs of present and future generations with respect to economic, social, environmental and cultural aspects. + +**3.1.7 smart city platform (SCP)** [ITU-T Y.4200]: A computer system or integration of computer systems that, under control of the city, uses information and communication technologies (ICTs) to access data sources and process them to offer urban operation and services to the city. The concept is extended to a community and a territory. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 smart port:** Innovative port that uses Information and Communication Technologies (ICTs) and other means to improve quality and efficiency of port operation and services, as well as its competitiveness. + +**3.2.2 smart port platform:** A computer system or integration of computer systems that, under control of the port, uses information and communication technologies (ICTs) to access data sources and process them to offer both port operation and services. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|-------------------------------------------------| +| API | Application Programming Interface | +| ICT | Information and Communication Technologies | +| IoT | Internet of Things | +| LTE | Long Term Evolution | +| REST | Representational State Transfer | +| RFID | Radio-Frequency Identification | +| Wi-Fi | Wireless Fidelity | +| WIMAX | Worldwide Interoperability for Microwave Access | + +## **5 Conventions** + +The expression "is required" indicates a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The expression "is recommended" indicates a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance with this Recommendation. + +The expression "can optionally" and "may" indicates an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +In this Recommendation the expression "smart city" is used instead of "smart sustainable city" as defined in clause 3. + +## **6 Overview of the smart port in terms of interoperation** + +In the context of this Recommendation, a smart port is considered the central point of a smart port ecosystem. + +As defined in clause 3, a smart port is an innovative port that uses information and communication technologies (ICTs) and other means to improve the quality and efficiency of port operation and services, as well as its competitiveness. At a practical level, the area considered a part of the smart port are the geographical areas having a relationship of mutual dependence and impact with the port, which are regarded in this Recommendation as the port area of influence. Components of the port area of influence are sources and/or destinations of data for the smart port. + +A smart port is expected to provide services that enable the enhancement of the user experience in the port, including passengers, visitors and port employees. + +A smart port may interoperate with the port area of influence, with one or more smart cities, with other smart elements (e.g., airport, railway stations) and with third parties (e.g., stakeholders, service providers). + +A smart element is regarded in this Recommendation as a logical or physical entity that is typically part of the smart city ecosystem (e.g., railway stations, airport) but not necessarily (i.e., the smart port is an independent smart element that might not be related to any city), and that interoperates with the city itself or with any of the rest of the smart elements. The smart port itself is a smart + +element, but not its area of influence, which is to be considered as a natural extension of the smart port. + +NOTE 1 – Internal devices and infrastructure components within any of the smart elements cannot be considered smart elements themselves, as their interaction with others is performed by means of the participation of the platform which the devices or infrastructure components are part of. + +![Diagram illustrating the interactions of the smart port within the smart port ecosystem. A central 'Smart port' icon (a ship) is connected by double-headed arrows to five surrounding icons: three 'Smart city' icons (buildings), 'Other smart elements' (a stack of blue circles with a star), 'Third parties' (a gear and a person), and 'Other components in port area of influence' (a stack of blue rectangles with a globe).](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +Y.4209(20)\_F01 + +Diagram illustrating the interactions of the smart port within the smart port ecosystem. A central 'Smart port' icon (a ship) is connected by double-headed arrows to five surrounding icons: three 'Smart city' icons (buildings), 'Other smart elements' (a stack of blue circles with a star), 'Third parties' (a gear and a person), and 'Other components in port area of influence' (a stack of blue rectangles with a globe). + +**Figure 1 – Interactions of the smart port within the smart port ecosystem** + +Figure 1 shows at high level the interactions of the smart port within the smart port ecosystem. The port area of influence comprises nearby (and even distant) surroundings that have a relationship of mutual dependence and impact with the port. + +Some components within the port and the port area of influence may not be relevant from a smart city perspective and will not take part in the interoperation with the smart cities. + +NOTE 2 – Free zones, storage points, warehouses, transport terminals and transport networks are typical components of the port area of influence, whose activity and usage has a direct relation of interdependence with the port and its activity. Taking the concrete case of the transport network as an example, roads leading to the port are a part of its area of influence, as traffic jams or other situations that may occur on these roads have an impact on the port; on the other hand, traffic generated by the port, for example when a ferry arrives, will have an impact on the transport network and, ultimately, on the city (if there is one in that port's ecosystem). + +Third parties include, but are not limited to, service providers, open data providers and other stakeholders of the smart port ecosystem. + +NOTE 3 – The internal components of the smart port interoperate with the smart port platform but this interoperation at the service level is out of scope of this Recommendation. + +The wide range of different port activities, apart from the touristic ones, show the reason why the nature of the data to be exchanged with the city cannot be focused strictly on the tourism industry. Hence, the nature of the interoperation of the smart port with smart cities and other smart elements must be extended to a wider approach considering all of the related aspects in the port's activity, and taking into account the role that the smart port can play as a major centre of activity and development, for both cities and the whole port area of influence. + +In just the same way that the smart city needs a smart city platform in order to provide the smart city with smart services and interoperation capabilities, the smart port needs a smart port platform. As defined in clause 3.2.2, the smart port platform is a computer system or integration of computer systems that, under control of the port, uses information and communication technologies (ICTs) to access data sources and process them to offer both port operation and services. + +The focus of this Recommendation is on the smart port platform, as the interoperation requirements for the smart port generate requirements for the smart port platform. + +The smart port will have to accomplish its functions in terms of its traditional port activities, for which it relies on its underlying traditional sub-systems, that are out of the scope of this Recommendation, and for which proprietary interfaces are allowed. + +The smart port platform is an abstraction which embraces not only all of the underlying traditional sub-systems of the port, but also the functions and interfaces that arise when considering that the smart port interoperates with the smart city. The part of the smart port platform that is related to legacy, pre-existent and underlying sub-systems apart from the interoperation with the city is out of the scope of this Recommendation, but in any case, this Recommendation considers the smart port platform as a whole. + +NOTE 4 – It is expected to minimize port platform system complexity. A scenario to be avoided is one where there is not a single smart port platform, but a number of different and independent platforms, all of them integrating on their own. This scenario would multiply integration efforts and interoperation maintenance, and would open the door to costly and complicated "spaghetti" integrations (each platform is integrated with every other platform), involving different platforms with different levels of interoperation. + +Figure 2 shows the interfaces of the smart port platform with the interoperating components of the smart port ecosystem. + +![Diagram showing the interfaces of the smart port platform. A central blue box labeled 'SMART PORT PLATFORM' is connected by double-headed arrows to three surrounding labels: 'Third-party interfaces (Not necessarily open)' on the left, 'Smart city and other smart elements interfaces (Open and standardised)' on the right, and 'Port area of influence interfaces (Not necessarily open)' below. The identifier 'Y.4209(20)_F02' is located at the bottom right of the diagram area.](5e92d9e8e9ce204e405bff2367f88176_img.jpg) + +``` + +graph TD + A[Third-party interfaces +(Not necessarily open)] <--> B[SMART PORT PLATFORM] + B <--> C[Smart city and other +smart elements interfaces +(Open and standardised)] + B <--> D[Port area of influence interfaces +(Not necessarily open)] + +``` + +Y.4209(20)\_F02 + +Diagram showing the interfaces of the smart port platform. A central blue box labeled 'SMART PORT PLATFORM' is connected by double-headed arrows to three surrounding labels: 'Third-party interfaces (Not necessarily open)' on the left, 'Smart city and other smart elements interfaces (Open and standardised)' on the right, and 'Port area of influence interfaces (Not necessarily open)' below. The identifier 'Y.4209(20)\_F02' is located at the bottom right of the diagram area. + +**Figure 2 – Interfaces of the smart port platform** + +In common with any platform, a traditional port platform acquires data from sensors or other sub-systems, processes this data, and exchanges information with external entities. + +The data which is shared by the smart port platform with the smart cities or other smart elements, in an anonymized and aggregated or individual way, depends on its utility at city level and on the legal considerations. + +## **7 High-level requirements for the smart port platform to enable interoperation with smart city platforms and/or other smart elements** + +In terms of interoperability and data exchange needs, the smart port platform has similar requirements to a smart city platform. + +[HighLevel-Reql] In order to exchange data with smart cities and other smart elements, a port platform is required to support open interfaces [ITU-T Y.4201], preferably based on internationally recognised standards, and according to [ITU-T Y.4200]. + +NOTE 1 – In most cases, and in order to improve the horizontality of platforms [ITU-T Y.4201], it is appropriate to provide the aforementioned open and preferably internationally standardised interfaces that are suitable for this exchange. However, a practical solution to offer open interfaces may be to develop interface adaptors: they are independent components which may be added to the smart port platform's interface, and which translate the information exchange taking place through the interface and its structure, so that the smart port platform can interoperate with other sub-systems and platforms of the ecosystem that implement different information structures. + +[HighLevel-Req2] The smart port platform is required to fulfil the Internet of things (IoT) related requirements identified in [ITU-T Y.4000]. + +NOTE 2 – There might be services that benefit from the exchange of raw sensor and device data between the smart port platform and the smart city platform. The smart port platform capability of enabling such data exchange improves the horizontality of both platforms. It may also enable third parties to enrich the data further as well as to enable data subscription services for third parties and/or other smart elements. + +[HighLevel-Req3] The smart port platform is required to fulfil the requirements for interoperability of a smart city platform according to [ITU-T Y.4200]. + +[HighLevel-Req4] In terms of data acquisition, e.g., data collected from sensors and devices, the smart port platform is required to be able to interoperate directly or indirectly with existing networks and sub-systems in the port, e.g., sensor networks, energy supply networks (for usage and consumption), multimedia and multiservice networks (e.g., for volumes calculation of goods and location of those volumes) and building sub-systems. + +[HighLevel-Req5] As far as the interoperation with networks and sub-systems in the port, the smart port platform is required to have the ability to use either fixed communication technologies, e.g., optical wiring, power line communications and/or radio technologies (e.g., Wi-Fi, WiMax, LTE, RFID, Zigbee, low-range technologies, narrow band technologies). + +[HighLevel-Req6] The interfaces and associated APIs of the smart port platform used to interoperate with the smart city platform and/or other smart elements are required to be open and preferably based on internationally recognized standards. + +[HighLevel-Req7] The interfaces and associated APIs of the smart port platform, as well as the information and data being exchanged through them (either with origin in the port or with the port as destination), are required to adopt best practices in information security including confidentiality, integrity and availability. + +NOTE 3 – Notwithstanding, in general terms, it is expected to allow access by default only to non-critical and non-personally identifiable information. Access to critical information is based on access granting by port authorities. + +[HighLevel-Req8] The smart port platform is required to support capabilities to manage big data [ITU-T Y.3600] [ITU-T Y.4114]. + +[HighLevel-Req9] The smart port platform is recommended to minimize platform system complexity. + +NOTE – Actually, the smart port platform can be implemented via a set of platforms, each one providing different services. On the other hand, independently of the number of the other port sub-systems, a single smart port platform may minimize complexity. + +[HighLevel-Req10] The smart port platform is recommended to enable semantics-based capabilities [ITU-T Y.4111] in support to the smart port platform data acquisition, e.g., data collected from sensors and devices, and data exchange. + +[HighLevel-Req11] From the interoperability perspective, the smart port platform is recommended to be implemented in accordance with [ITU-T Y.4201]. + +NOTE 4 – The smart port platform implementation is strongly related to the underlying IoT infrastructure deployed in each port. + +[HighLevel-Req12] In terms of the connectivity with internal port components, it must be taken into account that the smart port platform is required to integrate, either directly or by means of intermediate platforms, with the existing networks and systems in the port. + +[HighLevel-Req13] It is required that this integration is based on open interfaces [ITU-T Y.4201] and preferably on recognized international standards, so that the smart port can easily integrate other future networks and related sub-systems. + +## 8 Requirements of interoperation between the smart port platform and smart city platforms and/or other smart elements + +Information produced by the smart port may be very useful for cities and other smart elements. Data exchange is expected to be performed in both directions for the mutual benefit of the port and the cities and other smart elements. + +Figure 3, adapted from [ITU-T Y.4200], shows an overview of a smart city platform and external systems/platforms. + +![Figure 3: Overview of a smart city platform and external systems/platforms. The diagram shows a central SCP (Smart City Platform) box with four functional blocks: Security and management functions, Services support functions, Interfacing functions, and Data/knowledge functions. It also includes Acquisition/interconnection functions. The SCP is connected to Service and application providers (top), Sensing and infrastructure providers (bottom), and Data and computation providers (right) via Services interface, Acquisition interface, and Interoperability interface respectively.](410562339ce067fdc6fa41940c118658_img.jpg) + +The diagram illustrates the architecture of a smart city platform (SCP) and its interactions with external systems. The SCP is represented by a central box with a dashed border, containing four main functional blocks: Security and management functions, Services support functions, Interfacing functions, and Data/knowledge functions. Below these is the Acquisition/interconnection functions block. The SCP is connected to three external systems/platforms: Service and application providers (top), Sensing and infrastructure providers (bottom), and Data and computation providers (right). The connections are labeled as Services interface, Acquisition interface, and Interoperability interface respectively. The diagram is labeled Y.4209(20)\_F04. + +Figure 3: Overview of a smart city platform and external systems/platforms. The diagram shows a central SCP (Smart City Platform) box with four functional blocks: Security and management functions, Services support functions, Interfacing functions, and Data/knowledge functions. It also includes Acquisition/interconnection functions. The SCP is connected to Service and application providers (top), Sensing and infrastructure providers (bottom), and Data and computation providers (right) via Services interface, Acquisition interface, and Interoperability interface respectively. + +**Figure 3 – Overview of a smart city platform and external systems/platforms** +Adapted from [ITU-T Y.4200] + +[Interop-Req1] Figure 3 is directly applicable to the interoperation of the smart port platform with the smart city platform or other smart elements, i.e., from the interoperability perspective, the smart port platform functions are recommended to be aligned with the functions defined for the smart city platform [ITU-T Y.4200]. + +[Interop-Req2] Regarding smart port services and open data related services interfaces, these are required to be open, preferably based on internationally recognized standards and in accordance with [ITU-T Y.4200]. + +[Interop-Req3] Regarding third party interfaces, API-based connectivity is required in order to provide third parties with interoperability capabilities for connecting to the smart port platform. + +[Interop-Req4] Although third party interfaces are not necessarily open, these APIs are recommended to be well documented, explaining how to get connected to the smart port platform in a clear and unambiguous way. Through the usage of these APIs, third parties may gain access to different services and information of the smart port platform as appropriate, providing that they do have the access rights needed for this access. + +[Interop-Req5] Regarding interfaces with the port area of influence, these interfaces do not need to be necessarily either open nor based on internationally recognized standards, but this is recommended where possible, as well as being documented in a clear and unambiguous way. + +[Interop-Req6] It is required to enable the access of the smart port platform only to the services provided by the smart city platform and/or other smart elements that are useful and appropriate for the smart port activity. + +[Interop-Req7] Similarly, it is required that the smart city platform and/or other smart elements gain access only to the services provided by the smart port platform that are useful and appropriate for the smart city activity. + +Examples of information handled by the smart port services which may be relevant for the smart city platform and/or other smart elements are provided in Appendix I. + +Examples of information handled by smart city services which may be relevant for the smart port platform are provided in Appendix I. + +An example of smart port interoperation with the smart city, including the flow of the exchanged messages and API REST calls, is provided in Appendix II. + +## **9 Smart services provided by the smart port platform interoperating with smart city platforms and/or other smart elements** + +Based on the requirements provided in clauses 7 and 8, the smart port platform is able to implement appropriately interoperability, and thus a range of smart services can be provided. + +The services provided by the smart port platform can be associated either to devices (such as mobile devices) or can be provided by the devices installed in the smart port. + +From a pure service point of view, these services may be classified in four different service categories. These categories are related to the way in which a smart port can contribute to the improvement of the port functioning and the users' experience in the port, which may be improved by the smart port platform interoperating with the smart city platforms and/or other smart elements: services for users including citizens, services for port and commercial operators, services for the city and smart process efficiency. + +Examples of information that may be provided by the smart port services, classified per service category, are provided in Appendix I. + +## Appendix I + +### **Examples of smart port's information exchange and provision of services to the smart city** + +(This appendix does not form an integral part of this Recommendation.) + +Examples of information handled by the smart port services which may be relevant for the smart city platforms and/or other smart elements include, but are not limited to: + +- Levels of pollution produced by port activities and ships. +- Prevision of arrival/departure of ships, with the relevant related information: + - Number of passengers + - Purpose of visit + - Interests of passengers + - Information from businesses such as tour or shore excursion operators + - Information related to transportation and destinations + - Information related to goods +- Information to improve the port users' (including passengers) experience and meet their needs. +- Water supply used in port activities. +- Energy supply used in the port activities. +- Waste management. +- Vehicles on-board and off-board management. +- Contingency plan designed for the case that an emergency event takes place and its needs of support and involvement by the city. + +NOTE – The port may send relevant information to the city in critical crisis, making it possible to do risk evaluation, emergency detection, and coordination with emergency services. + +Examples of information handled by smart city services which may be relevant for the smart port platform include, but are not limited to: + +- Recommendations from the local and national authorities. +- Information about incidents in the city. +- Municipal events, such as concerts, festivals, sport events. +- Touristic activities in the city and surroundings. +- Points of interest and their tickets availability for the following days. +- Concentrations and demonstrations in the city (especially those affecting means of transport or touristic attractions). +- Information related to transportation such as public transportation, roadways and traffic, disruptions. +- Public services available for tourists and visitors, their location and opening hours. +- Meteorological forecast and relevant recommendations. + +Examples of information that may be provided by the smart port services, classified per service category, include but are not limited to: + +- Services for users including citizens: + - Tickets availability and people influx in the case of concerts, sports events, etc. that are held within the port area (onshore or offshore). +- Services for port and commercial operators: + - Presence of taxis at the port's taxis rank and its correlation with expected needs from passengers' influx. + - Excursion hiring possibilities, both for the users including citizens going to the port (for example for a day-trip to a nearby island), and for the passengers that arrive to the port and would like to hire an excursion by themselves. +- Services for the city: + - Capacities, services and facilities offered by and for the city, with a special attention to be paid to touristic offering. + - Points of interest in the city and in the port (e.g., fish marketplace, commercial areas, exhibitions that take place within the port premises). + - Information about mobility in the city (e.g., traffic forecasts, routes, incidents). + - Passengers with origin/destination from/to the port connecting with other means of transport (e.g., flights, long-haul trains, etc.). + - Hotel availability. +- Smart process efficiency: + - Efficiency of port and ships' energy consumption. + - Efficiency of port and ships' water supply usage. + - Efficiency in the detection and measures taken to minimize the pollution produced by the port, with special attention to sonic pollution and pollution discharged to the sea, and their impact in the city and its surroundings (e.g., nearby beaches). + - Other data provided for better decision-making at the port level, which can be extended to the city. + +## Appendix II + +### Example of smart port interoperation with the smart city + +(This appendix does not form an integral part of this Recommendation.) + +This appendix outlines a general flow taking place in the interoperation of the smart port with the smart city, with respect to a generic service provided by the smart port and/or the smart city. This is just an example consisting in a concrete case that may serve as a basis to better understand, from a practical point of view, the implementation of the interoperability between the port and the city. + +The example includes a sample API REST calls schema that does not intend to fully describe the messages to be exchanged with accuracy, but just shows the messages' general structure for the purpose of this appendix. + +Considered for the example is an event triggering the information flow exchange between the port and the city, i.e., a cruiser arrival at the port. The general schema of the exchanged messages and API REST calls is as follows: + +![Icon of a ship at a dock Icon of a SMART PORT PLATFORM with sensors Icon of a ship at a dock Icon of a smart city building Icon of a smart city building with a document Icon of a smart city building with a gear Icon of a ship at a dock Icon of a smart city building Icon of a ship at a dock with a gear](21ad58fee90f2be50708ff541d225507_img.jpg) + +| Smart port | Smart city | Action | +|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |

Example API REST call post:
URL: http://smartcity.com

{   Id_post: sample_port   Id_sensor: Dock1_counting   Num_passengers: 4345   Pass_type: cruisers   Pass_interests: cultural_offer }
|

There's an event at port that impacts the city: in this example, a passengers arrival

| +| | |

Counting sensors data is acquired by the port with the number of passenger arrivals, and enriched with passengers interests

| +| | |

The port transmits this information to the city by means of an API REST call

| +|

Example API REST call post:
URL: http://smartport.com

{   Id_city: sample_city   Id_sensor: Dock1_counting   Num_passengers: 4345   Pass_type: cruisers   Pass_offering: museums week }
| |

The city checks that the information is as expected and according to the pre-defined set of rules for the exchanged information structure

| +| | |

The city processes the information and works out a bespoke touristic offering

| +| | |

The city transmits the touristic offering to the port by means of an API REST call

| +| | |

The port checks the integrity of the information and that it sticks to the pre-defined set of rules for the exchanged information structure. Then, it informs passengers and proceeds with internal touristic procedures.

| + +Icon of a ship at a dock Icon of a SMART PORT PLATFORM with sensors Icon of a ship at a dock Icon of a smart city building Icon of a smart city building with a document Icon of a smart city building with a gear Icon of a ship at a dock Icon of a smart city building Icon of a ship at a dock with a gear + +Y.4209(20)\_F04 + +Figure 4 – Example of smart port interoperation with the smart city + +## Bibliography + +- [b-ITU-T Y.4900] Recommendation ITU-T Y.4900/L.1600 (2016), *Overview of key performance indicators in smart sustainable cities*. +- [b-Forum] Digital Transport And Logistics Forum: Forum led by the European Commission addressing collaborative or federated digital platforms, among other transport and logistic issues. +[https://ec.europa.eu/transport/themes/logistics-and-multimodal-transport/digitalisation-transport-and-logistics-and-digital-transport-and\\_fr](https://ec.europa.eu/transport/themes/logistics-and-multimodal-transport/digitalisation-transport-and-logistics-and-digital-transport-and_fr) + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4215-202202-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4215-202202-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..31a736fd7b42e1c523a4c02d5d918129459312bd --- /dev/null +++ b/marked/Y/T-REC-Y.4215-202202-I_PDF-E/raw.md @@ -0,0 +1,441 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4215 + +(02/2022) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Requirements and use cases + +--- + +**Use cases, requirements and capabilities of +unmanned aircraft systems for the Internet of +things** + +Recommendation ITU-T Y.4215 + +# ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3500–Y.3599 | +|-----------------|---------------| + +### BIG DATA + +| | | +|-----------------------------------|---------------| +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +|-----------------------------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.4215 + +# Use cases, requirements and capabilities of unmanned aircraft systems for the Internet of things + +## Summary + +Recommendation ITU-T Y.4215 describes the use cases, requirements and capabilities of unmanned aircraft systems (UASs) for the Internet of things (IoT). + +According to different wireless communication scenarios, the use cases are classified into four categories: UAS-aided offloading, UAS-aided emergency response, UAS-aided relaying and UAS-aided information dissemination and data collection. + +Common and specific requirements and capabilities of UASs for IoT support of the different use cases are described in this Recommendation. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4215 | 2022-02-03 | 20 | 11.1002/1000/14825 | + +## Keywords + +Capabilities, Internet of things (IoT), requirements, unmanned aircraft systems, use cases. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Introduction of UAS for IoT..... | 2 | +| 7 Requirements of UASs for IoT..... | 2 | +| 7.1 Common requirements of UASs for IoT ..... | 2 | +| 7.2 Specific requirements of UASs for IoT..... | 3 | +| 8 Capabilities of UASs for IoT ..... | 3 | +| 8.1 Common capabilities of UASs for IoT..... | 3 | +| 8.2 Specific capabilities of UASs for IoT ..... | 4 | +| Appendix I – Use cases of UAS for IoT ..... | 5 | +| I.1 UAS-aided offloading ..... | 5 | +| I.2 UAS-aided emergency response..... | 5 | +| I.3 UAS-aided relaying ..... | 6 | +| I.4 UAS-aided information dissemination and data collection..... | 6 | +| Bibliography..... | 8 | + + + +## Recommendation ITU-T Y.4215 + +## Use cases, requirements and capabilities of unmanned aircraft systems for the Internet of things + +# 1 Scope + +This Recommendation describes the use cases, requirements and capabilities of unmanned aircraft systems (UASs) for the Internet of things (IoT). UASs can act as a key part of IoT as wireless communication platforms in IoT. The use cases are specified according to different communication scenarios. The requirements and capabilities are also specified based on the different use cases. + +This Recommendation covers the following: + +- Classification of the use cases of UAS-aided communication; +- Common and specific requirements of UASs for IoT; +- Common and specific capabilities of UASs for IoT. + +Use cases of UAS for IoT are provided in the appendix. + +Regulation and supervision of UASs are out of the scope of this Recommendation. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +None. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 device** [b-ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.2 gateway** [b-ITU-T Y.4101]: A unit in the Internet of things which interconnects the devices with the communication networks. It performs the necessary translation between the protocols used in the communication networks and those used by devices. + +**3.1.3 Internet of things** [b-ITU-T Y.4000]: A global infrastructure for the information society enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.4 service** [b-ITU-T Y.2091]: A set of functions and facilities offered to a user by a provider. + +**3.1.5 unmanned aircraft system (UAS)** [b-ICAO]: An aircraft and its associated elements which are operated with no pilot on board. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +IoT      Internet of Things + +UAS      Unmanned Aircraft System + +# **5 Conventions** + +In this Recommendation: + +- The keywords "is required to" indicate a requirement that must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. +- The keywords "is recommended" indicate a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. +- The keywords "can optionally" and "may" indicate an optional requirement that is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# **6 Introduction of UAS for IoT** + +The IoT is a global infrastructure that interconnects (physical and virtual) things and has the fundamental characteristics of interconnectivity and on an enormous scale [b-ITU-T Y.4000]. UASs can act as a key part in wireless communication platforms to support the interconnection in IoT with the advantage of high mobility, easy deployment, and low cost. + +This Recommendation describes the requirements and capabilities of UAS for IoT. + +The use cases of UAS for IoT, according to which the requirements and capabilities are identified, are provided in the appendix. UASs can be used for computing offloading, emergency response, communication relaying, information dissemination and data collection for IoT. + +# **7 Requirements of UASs for IoT** + +In this clause, the requirements of UASs for IoT are described taking into consideration the use cases described in the appendix. Clause 7.1 and clause 7.2 respectively provide common requirements of UASs for IoT as well as specific requirements of UASs in different use cases for IoT. + +## **7.1 Common requirements of UASs for IoT** + +The common requirements of UASs for IoT are as follows. + +- The UASs are required to provide wireless communication links for IoT devices and IoT networks. For example, in some delay constraint scenarios, the UASs must keep real-time communication with IoT devices. + +- The UASs are recommended to locate itself accurately, e.g., during flight altitude and geographic position. +- The UASs are required to support energy-efficiency management strategies to guarantee flight endurance, including for, but not limited to, communication purposes. +- The UASs are recommended to support the capability to store, process and compress data. +- The UASs are required to take into account the confidentiality, integrity and availability of the data, including during the period that UASs provide communication links for IoT devices. The data includes the transmission data between UASs and IoT devices, and the stored data carried by the UASs. +- The UASs are required to mitigate communication interference from other UASs which are deployed in the same frequency band. + +### **7.2 Specific requirements of UASs for IoT** + +#### **7.2.1 Requirements of UASs for IoT in UAS-aided offloading** + +The following are specific requirements of UASs for IoT in UAS-aided offloading. + +- The UASs are required to support high bandwidth communication for data receiving and transmitting. +- The UASs are recommended to support capabilities to plan optimal trajectory. + +NOTE – The UASs should maintain good communication links, e.g., line of sight communications by planning its trajectory intelligently. + +#### **7.2.2 Requirements of UASs for IoT in UAS-aided emergency response** + +The following are specific requirements of UASs for IoT in UAS-aided emergency response. + +- The UASs are required to provide low-latency and high reliable communications. +- The UASs are required to support rapid configuration in emergency situations. + +#### **7.2.3 Requirements of UASs for IoT in UAS-aided relaying** + +The following are specific requirements of UASs for IoT in UAS-aided relaying. + +- The UASs are recommended to keep reliable communications with specific IoT devices. + +NOTE – In UAS-aided relaying, the UASs provide communication links for two devices or device groups that have no direct communication links between each other. Thus, it is necessary for the UASs to provide reliable communications for these specific devices. The UASs must also be equipped with an equipment, such as a directional antenna to provide reliable links for specific devices. + +#### **7.2.4 Requirements of UASs for IoT in UAS-aided information dissemination and data collection** + +The following are specific requirements of UASs for IoT in UAS-aided information dissemination and data collection. + +- The UASs are required to receive and forward the data between the nodes. + +# **8 Capabilities of UASs for IoT** + +### **8.1 Common capabilities of UASs for IoT** + +The common capabilities of UASs for IoT are as follows. + +- Wireless communication capability: Wireless communication capability provides the communication links between IoT devices and UASs and the communication links between UASs and IoT networks. + +- Locating capability: Locating capability enables UASs to locate themselves accurately. Locating capability helps the UASs to find an appropriate position to provide communication links with maximum allowable quality. +- Energy-efficient management capability: Energy-efficient management capability enables UASs to perform the communications tasks with energy-efficient communication schemes under flight constraints. +- Data management capability: Data management capability enables UASs to take actions such as processing, compressing, storing, and enabling confidentiality, availability and integrity of the data that is received from the IoT devices. +- Interference mitigation capability: Interference mitigation capability enables UASs to receive the data from the IoT devices in their coverage with little interference from non-associated IoT devices. Interference mitigation capability also provides the ability for the UASs to distinguish the signals from different devices. + +## **8.2 Specific capabilities of UASs for IoT** + +#### **8.2.1 Capabilities of UASs for IoT in UAS-aided offloading** + +- High bandwidth transmission capability: High bandwidth transmission capability enables UASs to support the receiving and transmission of large volumes of data between UASs and IoT networks. +- Trajectory planning capability: Trajectory planning capability enables UASs to adaptively optimize the flight path in order to maintain the communication links between UASs and IoT devices. + +#### **8.2.2 Capabilities of UASs for IoT in UAS-aided emergency response** + +- Fast connection establishment capability: Fast connection establishment capability enables the UASs to establish communication links between IoT devices and IoT network in real-time. Fast connection establishment capability guarantees communication efficiency and reliability. + +#### **8.2.3 Capabilities of UASs for IoT in UAS-aided relaying** + +- Dynamic routing capability: Dynamic routing capability enables UASs to maintain a wireless connection between two or more IoT devices without direct communication links. + +#### **8.2.4 Capabilities of UASs for IoT in UAS-aided information dissemination and data collection** + +- Data receiving capability: Data receiving capability enables the data acquisition from IoT devices. Data receiving capability guarantees the delivery of information. +- Data forwarding capability: Data forwarding capability enables UASs to transmit data to other nodes (including UASs and IoT devices). Data forwarding capability also provides the ability to collect data from IoT devices to IoT network. + +## Appendix I + +### Use cases of UAS for IoT + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 UAS-aided offloading + +When the existing communication infrastructures cannot provide qualified services, the communication requirements cannot be satisfied. For example, when massive IoT devices attempt to access the IoT network (e.g., reboot after a power outage), the burden of terrestrial access infrastructures (e.g., base stations in a cellular network) are so high that the access attempts cannot be handled in a timely manner. UASs can provide communication capability between IoT devices and the IoT network to realize offloading. The use case of UAS-aided offloading is shown in Figure I.1. + +![Diagram illustrating UAS-aided offloading. The top part shows IoT devices connected to terrestrial access infrastructure, which is then connected to the IoT network. A yellow warning triangle indicates a problem. A green arrow points down to the bottom part, where a UAS (drone) is shown acting as a relay between the IoT devices and the IoT network, bypassing the terrestrial infrastructure.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +The diagram illustrates the UAS-aided offloading process in two states. In the top state, a group of IoT devices (represented by small antenna icons in a dashed oval) is shown connected to a terrestrial access infrastructure (a radio tower). This infrastructure is then connected to the IoT network (a cloud icon). A yellow warning triangle with an exclamation mark is placed between the IoT devices and the terrestrial infrastructure, indicating a problem or high burden. A green arrow points down to the bottom state, where a UAS (drone) is shown acting as a relay. The IoT devices are now connected to the UAS, which is in turn connected to the terrestrial access infrastructure, which remains connected to the IoT network. This setup allows the UAS to offload communication from the terrestrial infrastructure. + +Y.4215(22) + +Diagram illustrating UAS-aided offloading. The top part shows IoT devices connected to terrestrial access infrastructure, which is then connected to the IoT network. A yellow warning triangle indicates a problem. A green arrow points down to the bottom part, where a UAS (drone) is shown acting as a relay between the IoT devices and the IoT network, bypassing the terrestrial infrastructure. + +**Figure I.1 – UAS-aided offloading** + +### I.2 UAS-aided emergency response + +After disasters, terrestrial access infrastructures encounter malfunctions or damages. Under these circumstances, the IoT devices have no available paths to access the IoT network. This is when UASs provide temporary communication links between IoT devices and the IoT network. The use case of UAS-aided emergency response is shown in Figure I.2. + +![Figure I.2 – UAS-aided emergency response diagram](d4af765160d04ecef538e5066006dc77_img.jpg) + +The diagram illustrates a two-stage emergency response process. In the top stage, a group of IoT devices (represented by small antenna icons) is shown on the left, and an IoT network (represented by a cloud icon) is on the right. A red 'X' is placed over the direct communication link between them, indicating a failure. A terrestrial access infrastructure (represented by a tower icon) is also shown with a red 'X' over its connection to the IoT network. A green arrow points down to the bottom stage. In the bottom stage, a UAS (Unmanned Aerial System, represented by a drone icon) is positioned between the IoT devices and the IoT network. The UAS has successful communication links (represented by lightning bolts) with both the IoT devices and the IoT network. The terrestrial access infrastructure remains with a red 'X' over its connection to the IoT network. + +Figure I.2 – UAS-aided emergency response diagram + +Y.4215(22) + +**Figure I.2 – UAS-aided emergency response** + +### I.3 UAS-aided relaying + +Due to the impact from some obstacles (e.g., high mountains), reliable direct communication links between some IoT devices cannot be established. In this case, UASs can be used to provide wireless connectivity between two or more devices or between device groups. The use case of UAS-aided relaying is shown in Figure I.3. + +![Figure I.3 – UAS-aided relaying diagram](7f17c430b9598e4d748a8041457810b3_img.jpg) + +The diagram shows two UASs (drones) positioned above a large black mountain range. The UAS on the left is connected by a lightning bolt to a single IoT device located at its base. The UAS on the right is connected by a lightning bolt to a group of three IoT devices located at its base. A lightning bolt also connects the two UASs, indicating they are communicating with each other to relay data. + +Figure I.3 – UAS-aided relaying diagram + +Y.4215(22) + +**Figure I.3 – UAS-aided relaying** + +### I.4 UAS-aided information dissemination and data collection + +IoT devices are widely used and densely deployed in various industries. Some IoT devices cannot be covered by the IoT network due to some constraints (e.g., geographic factors or costs). Under these circumstances, the information from the IoT network can be disseminated to the IoT devices located under constraints by UASs. The data that is collected from these IoT devices can also be sent later to the IoT network by the UASs. The use case of information dissemination and data collection can be realised via a sequence of UAS repeaters as shown in Figure I.4. + +![Diagram illustrating UAS-aided information dissemination and data collection. A UAS gateway drone is connected to a cluster of IoT devices. The gateway is also part of a multi-hop network of UAS repeaters (1, 2, 3, 4, 5, ..., n) that relay data to an IoT network cloud.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +The diagram shows a UAS gateway drone at the bottom left, connected to a cluster of IoT devices represented by small antenna icons within a dashed oval. The gateway is also connected to UAS repeater 1. A series of yellow lightning bolts represent the multi-hop communication links between UAS repeaters 1, 2, 3, 4, 5, and n, forming a network path. UAS repeater n is connected to an IoT network cloud on the right. The text 'Y.4215(22)' is located at the bottom right of the diagram area. + +Diagram illustrating UAS-aided information dissemination and data collection. A UAS gateway drone is connected to a cluster of IoT devices. The gateway is also part of a multi-hop network of UAS repeaters (1, 2, 3, 4, 5, ..., n) that relay data to an IoT network cloud. + +**Figure I.4 – UAS-aided information dissemination and data collection** + +NOTE – This use case implies the management of location information of the various UAS repeaters for patch communication management. + +Depending on the IoT devices type and the data generated by them, the connection between IoT devices and the IoT network can be classified as a real-time or a delay-tolerant data transmission network [b-Fall]. The data transfer from the IoT device to the IoT network is considered to happen via multi-hop routing. UASs work as repeater nodes which provide the capability of effective information transmission. The use of such a transmission method may assist data to be transmitted over long distances. Depending on the requirements for QoS, e.g., latency and throughput, the number of intermediate nodes may vary. + +# Bibliography + +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-ITU-T Y.4000] Recommendation ITU-T Y.4000/2060 (2012), *Overview of the Internet of things*. +- [b-ITU-T Y.4101] Recommendation ITU-T Y.4101/2067 (2017), *Common requirements and capabilities of a gateway for Internet of things applications*. +- [b-Fall] Fall, K. (2003), *A delay-tolerant network architecture for challenged internets*, SIGCOMM '03: Proceedings of the 2003 conference on Applications, technologies, architectures, and protocols for computer communications. pp. 27-34. +<> +- [b-ICAO] International Civil Aviation Organization Cir 328 (2011), *Unmanned Aircraft Systems (UAS)*. +<[https://www.icao.int/meetings/uas/documents/circular%20328\\_en.pdf](https://www.icao.int/meetings/uas/documents/circular%20328_en.pdf)> + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4216-202208-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4216-202208-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..ead444d6bea4f92b9bd533fd3a5d04e3d59a877a --- /dev/null +++ b/marked/Y/T-REC-Y.4216-202208-I_PDF-E/raw.md @@ -0,0 +1,478 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.4216 + +(08/2022) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Requirements and use cases + +# --- **Requirements of sensing and data collection system for city infrastructures** + +Recommendation ITU-T Y.4216 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3599 | +| BIG DATA | Y.3600–Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.4216 + +# Requirements of sensing and data collection system for city infrastructures + +## Summary + +Recommendation ITU-T Y.4216 provides the concept and classification of basic city infrastructures. The sensing and data collection system of a city infrastructure is also described. + +City infrastructures are taken into consideration in building smart cities such as energy, transportation, healthcare, cultural, sports and educational infrastructures. This Recommendation identifies these infrastructures and provides the functions and requirements of sensing and data collection system for those city infrastructures. The sensing and data collection system provides a unified management of the sensing devices attached to various city infrastructures. + +This Recommendation is also helpful for cities to build smart cities by improving upon the efficiency and resilience of a city infrastructure through the information and communication technology (ICT). + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4216 | 2022-08-29 | 20 | 11.1002/1000/15067 | + +## Keywords + +Cities, information communication technologies (ICTs), infrastructure, Internet of Things (IoT), sensing and data collection system (SDCS), smart sustainable cities (SSCs). + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|----------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Basic infrastructures for smart sustainable cities..... | 2 | +| | 6.1 Energy infrastructure ..... | 2 | +| | 6.2 Water supply and drainage infrastructure..... | 3 | +| | 6.3 Transportation infrastructure ..... | 3 | +| | 6.4 Post and communication infrastructure ..... | 3 | +| | 6.5 Disaster risk reduction infrastructure ..... | 3 | +| | 6.6 Cultural, sports and educational infrastructure..... | 4 | +| | 6.7 Healthcare infrastructure ..... | 4 | +| | 6.8 Social welfare infrastructure..... | 4 | +| 7 | Concept of sensing and data collection system ..... | 5 | +| 8 | Functions of the sensing and data collection system..... | 6 | +| 9 | Requirements of sensing and data collection system for city infrastructures..... | 7 | +| | 9.1 Common requirements due to the features of city infrastructures ..... | 7 | +| | 9.2 Requirements of the device control function..... | 7 | +| | 9.3 Requirements of the data collection and processing function..... | 8 | +| | 9.4 Requirement of linkage management function..... | 8 | +| | 9.5 Requirements of the networking function ..... | 9 | +| | 9.6 Requirements of the sensing function ..... | 9 | +| | Bibliography..... | 10 | + + + +## Recommendation ITU-T Y.4216 + +# Requirements of sensing and data collection system for city infrastructures + +# 1 Scope + +This Recommendation describes the basic infrastructures for smart sustainable cities and defines the functions and requirements of sensing and data collection system (SDCS) for basic city infrastructures. This Recommendation covers: + +- Basic infrastructures for smart sustainable cities; +- Functions of SDCS for city infrastructures; and +- Requirements of SDCS for city infrastructures. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +| | | +|-----------------|----------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.4200] | Recommendation ITU-T Y.4200 (2018), Requirements for the interoperability of smart city platforms . | +| [ITU-T Y.4201] | Recommendation ITU-T Y.4201 (2018), High-level requirements and reference framework of smart city platforms . | +| [ISO/IEC 29100] | ISO/IEC 29100:2011, Information technology – Security techniques – Privacy framework . | + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 city** [b-ITU-T Y.4900]: An urban geographical area with one (or several) local government and planning authorities. + +**3.1.2 personally identifiable information principal** [ISO/IEC 29100]: Natural person to whom the personally identifiable information (PII) relates. + +**3.1.3 personally identifiable information** [ISO/IEC 29100]: Any information that (a) can be used to identify the PII principal to whom such information relates, or (b) is or might be directly or indirectly linked to a PII principal. + +NOTE – To determine whether a PII principal is identifiable, an account should be taken of all the means which can reasonably be used by the privacy stakeholder holding the data, or by any other party, to identify that natural person. + +**3.1.4 smart sustainable cities** [b-ITU-T Y.4900]: A smart sustainable city is an innovative city that uses information and communication technologies (ICTs) and other means to improve quality of life, the efficiency of urban operation and services, and competitiveness, while ensuring that it meets the needs of the present and future generations with respect to economic, social, environmental as well as cultural aspects. + +**3.1.5 smart city platform (SCP)** [ITU-T Y.4201]: A city platform that offers direct integration of city platforms and systems, or through open interfaces between city platforms and third parties, in order to offer the urban operation and services supporting the functioning of city services, as well as efficiency, performance, security and scalability. + +## **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 city infrastructures:** The interconnected structures that enable people to get the resources they need in the city, and the interconnected structures to provide public services for social and economic activities in the city. + +**3.2.2 sensing and data collection system:** A system that monitors the status and collects information on different kinds of city infrastructures, controls and manages the sensing devices attached to those city infrastructures and provide corresponding information to the smart city platform (SCP). + +NOTE – The corresponding information includes sensed information and information about the sensor itself. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|------------------------------------------| +| ICT | Information and Communication Technology | +| IoT | Internet of Things | +| PII | Personally Identifiable Information | +| SCP | Smart City Platform | +| SDCS | Sensing and Data Collection System | +| SSC | Smart Sustainable Cities | + +# **5 Conventions** + +In this Recommendation: + +The expression "is required" indicates a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The expression "is recommended" indicates a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance with this Recommendation. + +# **6 Basic infrastructures for smart sustainable cities** + +The following are the basic infrastructures for building and operating smart sustainable cities (SSCs). + +## **6.1 Energy infrastructure** + +At the city-level, it needs to expand infrastructures and upgrade technology to support sustainable energy services to meet SDG 7.b [b-UN SDG-2018]. + +Facilities, such as gas, heat, and electricity as well as the affiliated facilities, are energy infrastructures that are to be built and improved to meet the needs of production and living in a smart city. These facilities must be operated safely which can be monitored through the ICT. + +Implementation of safety detection and monitoring in the exploitation of the energy industry, energy conservation and emission reductions are also needed. + +Sensing data such as fire detection can be collected by sensors deployed in these infrastructures. + +## **6.2 Water supply and drainage infrastructure** + +At the city-level, it needs to develop water facilities to ensure availability and sustainable management of water and sanitation to meet SDG 6 [b-UN SDG-2018]. + +Water supply facilities for water collection, processing, transmission and finished water distribution facilities are infrastructures to be built and improved to meet the needs of production and living in a smart city. These facilities can be monitored through the ICT. + +Drainage facilities for sewage and rainwater collection, transmission, processing, regeneration, and discharge are needed to be built in a smart city. The sewage treatment rate is to be over 90%. The effluent of sewage treatment facilities is to be met the national standard. The long-term operation mechanism of sewage treatment plants is needed to be established, and the supervisory monitoring rate of sewage treatment plants is to be reached by 100%. These facilities can also be monitored through the ICT. + +Sensing data such as water-saving or city flood control and irrigation can be collected by sensors deployed in these infrastructures. + +### **6.3 Transportation infrastructure** + +At the city-level, it needs to expand public transport and improve road safety to meet SDG 11.2 [b-UN SDG-2018]. + +Transportation infrastructures including road transport, railway transport, water transport, and air transport can be monitored and improved through the ICT. Parking lots on urban roads are set up in accordance with the national standards. The city must vigorously advocate public transport, and the coverage of bus stops to conform to the national regulations or standards. + +ICT can be used to promote energy-saving and new energy transportation equipment and improve the intelligent transportation management system. It needs to apply new energy technologies such as solar power generation in wharves and stations and promote the use of new energy vehicles and gradually increase the proportion of new energy vehicles in public transport. + +Sensing data such as road traffic control can be collected by sensors deployed in these infrastructures. + +### **6.4 Post and communication infrastructure** + +At the city-level, it needs to significantly increase access to the ICT and strive to provide universal and affordable access to the Internet to meet SDG 9.c [b-UN SDG-2018]. + +It needs to develop urban postal facilities to undertake the obligation of the universal postal service in a smart city. Other competitive postal facilities are also supported to be open and commercialized. The city needs to improve its ICT facilities to promote an information society. + +Sensing data such as postal mail tracking information can be collected by sensors deployed in these infrastructures. + +## **6.5 Disaster risk reduction infrastructure** + +At the city-level, it needs to reduce disaster risk to meet SDG 9.1 and SDG 11.b [b-UN SDG-2018]. + +Disaster risk reduction infrastructures can implement early warnings and predictions to reduce loss and casualties and have a unified emergency response in order to coordinate the emergency rescue work in disasters such as fire control, flood control, earthquake prevention and typhoon prevention. + +ICT can be used to support wireless on-site command for disaster relief and event handling through remote video conference, expert consultation, document handling and evacuation announcement, and also provide large-scale network coverage in forest areas in order to understand the forest cutting production and forest land use in real time. + +Sensing data such as weather forecast information can be collected by sensors deployed in these infrastructures. + +### **6.6 Cultural, sports and educational infrastructure** + +At the city-level, it needs to build and upgrade education facilities for children, disabilities and gender sensitivity to meet SDG 4.a [b-UN SDG-2018]. + +Cultural and educational facilities include kindergartens, schools, museums, galleries, cultural centres, science and technology museums and other facilities. ICT technologies can be used to improve the utilization rate of these facilities. A cultural protection system can strengthen the excavation and protection of the local characteristic culture; constantly improving the protection and inheritance mechanism of the intangible cultural heritage. + +Sensing data such as security surveillance information can be collected by sensors deployed in these infrastructures. + +### **6.7 Healthcare infrastructure** + +At the city-level, it needs to develop the capacity for early warning, risk reduction and management of health risks through infrastructure construction to meet SDG 3.d [b-UN SDG-2018]. + +Healthcare infrastructures include hospitals, health centres, centres for disease control and other institutions. ICT could be used to rapidly process medical emergency events such as epidemics, disease control, food poisoning, occupational poisoning, etc. and carry out resource scheduling, medical rescue and epidemic prevention. Medical information systems can be used to share medical resources such as hospital beds and medical information, especially electronic health records. + +NOTE – The term electronic health records does not intend to include personally identifiable information (PII). [ISO/IEC 29100] + +ICT can support telemedicine diagnosis, including the collection of medical parameters and online expert consultations and support drug management to ensure safety and deterioration reminders during production, storage, and use, and also provide health information to the public with timely disease prevention. + +Sensing data such as atmosphere poisoning analysis information can be collected by sensors deployed in these infrastructures. + +### **6.8 Social welfare infrastructure** + +At the city-level, it needs to implement appropriate social protection systems and measures and achieve substantial coverage of the poor and the vulnerable to meet SDG 1.3 and 1.5 [b-UN SDG-2018]. + +Social welfare facilities include elderly activity centres, nursing homes, welfare homes and other infrastructures. ICT can be used to maintain the information of all kinds of welfare facilities and institutions to guarantee the serviceability to rescue urban vagrants, begging children and disabled people. + +Sensing data such as facility utilization rate information can be collected by sensors deployed in these infrastructures. + +# 7 Concept of sensing and data collection system + +A smart city aims to promote intelligent urban planning, construction, management and service by using information communication technologies such as the Internet of things, cloud computing, big data, spatial geographic information integration, etc. It makes full use of the new ICT means to sense, analyse and integrate the key information of urban operations and management systems in order to make intelligent responses to the needs of the urban governance, people's livelihood services, business activities, etc., mainly to drive the development of cities with data, and create better urban life for human beings. + +ICTs can be used to enhance the functions and performances of city infrastructures. The technologies provide methods to improve the productivity and efficiency of city infrastructures. It is required to establish sensing and data collection systems (SDCS) across different areas of city infrastructures for the sensing and infrastructure providers of smart sustainable cities (SSC). The sensing devices for different areas of city infrastructures can monitor the whole status of the city. With analysis and sharing between different areas of sensing data, it provides better cooperation between different city infrastructures and plays an important role in smart and sustainable cities. + +![Figure 1: SDCS for city infrastructure. The diagram illustrates the architecture of a Smart City Platform (SCP) and its interaction with various service providers and sensing infrastructure. At the top, 'Service and application service providers' connect to the 'Smart city platform (Defined in ITU-T Y.4201)' via a 'Service interface'. The SCP also connects to 'Data and computation providers' through an 'Interoperability interface'. Below the SCP, 'Sensing and infrastructure providers' are shown, which include the 'Sensing and data collection system' (SDCS) and 'City infrastructures' (Water, gas, electricity, traffic, buildings). The SDCS contains 'Sensors' represented by camera icons. Two acquisition interfaces are shown: 'Acquisition interface a' connects the SDCS to the SCP, while 'Acquisition interface b' connects the City infrastructures directly to the SCP.](5a4e62bead259c258d069fd3663ea670_img.jpg) + +Figure 1: SDCS for city infrastructure. The diagram illustrates the architecture of a Smart City Platform (SCP) and its interaction with various service providers and sensing infrastructure. At the top, 'Service and application service providers' connect to the 'Smart city platform (Defined in ITU-T Y.4201)' via a 'Service interface'. The SCP also connects to 'Data and computation providers' through an 'Interoperability interface'. Below the SCP, 'Sensing and infrastructure providers' are shown, which include the 'Sensing and data collection system' (SDCS) and 'City infrastructures' (Water, gas, electricity, traffic, buildings). The SDCS contains 'Sensors' represented by camera icons. Two acquisition interfaces are shown: 'Acquisition interface a' connects the SDCS to the SCP, while 'Acquisition interface b' connects the City infrastructures directly to the SCP. + +Y.4216(22) + +**Figure 1 – SDCS for city infrastructure** + +Figure 1 shows the relationship between SDCS and a smart city platform (SCP). SCP has the ability to acquire data directly from different kinds of sensing devices. However, with large deployments of sensing devices among all kinds of city infrastructures, the SCP is unable to manage all the sensing devices. The SDCS can provide both raw sensing data to the SCP and work as an agent to control and acquire data from the sensing device to the SCP. + +When the SCP acquires data directly from the different kinds of sensing devices, there is no need for the SDCS to process the sensing data. In this case, the SDCS is working on a transparent transmission mode and sensing devices transmit data through the acquisition interface b to provide raw sensing data to the SCP. + +When there are large deployments of sensing devices among city infrastructures, the SCP is unable to manage all the sensing devices. In this case, the SDCS is required to be used as an agent to control and acquire data for the SCP and together works on an agent transmission mode and transmits the processed sensing data via the acquisition interface a. + +It uses unified data management and a standardized open interface to provide support for different vertical applications and is in charge of device control and linkage management for those city infrastructure sensing devices. + +# 8 Functions of the sensing and data collection system + +The functions of the SDCS are described in Figure 2. The SDCS provides device control, linkage management, data collection and processing, networking and sensing functions. + +![Figure 2: Functions of SDCS for city infrastructure. The diagram shows a Smart city platform at the top, connected via Acquisition interfaces to two Sensing and data collection systems (A and X). Each system contains Device control, Linkage management, and Data collection and processing functions, along with Networking and Sensing functions. These systems are connected to City infrastructures A and X respectively. A bidirectional arrow connects the two SDCS systems.](27b06ec9f42b5d727a2630f61a5f1861_img.jpg) + +The diagram illustrates the functional architecture of the Sensing and Data Collection System (SDCS) for city infrastructure. At the top is the **Smart city platform (Defined in ITU-T Y.4201)**. Below it, two **Sensing and data collection systems** (A and X) are shown, each connected to the platform via an **Acquisition interface**. Each system contains three main functional blocks: **Device control function**, **Linkage management function**, and **Data collection and processing function**. These are supported by a **Networking function** and a **Sensing function**. The systems are connected to **City infrastructures A** and **City infrastructures X** respectively. A bidirectional arrow indicates interaction between the two SDCS systems. The reference **Y.4216(22)** is noted at the bottom right. + +Figure 2: Functions of SDCS for city infrastructure. The diagram shows a Smart city platform at the top, connected via Acquisition interfaces to two Sensing and data collection systems (A and X). Each system contains Device control, Linkage management, and Data collection and processing functions, along with Networking and Sensing functions. These systems are connected to City infrastructures A and X respectively. A bidirectional arrow connects the two SDCS systems. + +**Figure 2 – Functions of SDCS for city infrastructure** + +One challenge of a highly efficient operation of a smart sustainable city (SSC) is to break the barrier between different city infrastructures and foster better cooperation with each other. Data from different city infrastructures such as transportation and environmental monitoring facilities are needed to be shared and reused, for example, surveillance data of CO2 emissions in a specific city area from environmental monitoring facilities could be used as the control parameter of transportation infrastructures to restrict the number of motor cars on the road in that area. + +For a smart city scenario, the government usually uses SCP on top of SDCS to interact between Internet of Things (IoT) devices provided by different industries or even different suppliers. The SCP is the application enabling platform, whose main focus is the interaction with various industries and cross industry platforms, rather than the direct interaction with sensor and control terminal equipment. The IoT applications of a smart city run on the SCP. The SDCS focuses on the direct interaction with sensor and control terminal equipment and also supports data sharing and exchanges between different vertical industries without SCP. + +In smart cities, sectors such as the water industry, waste management, intelligent transportation and energy supply, have their own platforms to manage and control the corresponding industries. The most important thing for application enablers is to coordinate all these industries. The application enabling platform communicates with the SDCS, and integrates the aggregated data information from these systems. The application enabling platform can initiate operation commands to the following SDCS, and these systems then start corresponding the commands to operate the corresponding end devices. + +The SDCS can provide safe and reliable full linkage management of all kinds of sensing devices used in one field of a city infrastructure and support various applications of SCP. It has the key function of breaking the barrier between different city infrastructures and making the operation of the smart city more efficient. + +The SDCS has the following functions: + +- Device control function: provides mechanisms for device identification and establishing equipment database of sensing devices for city infrastructures. They also provide device operations including authentication and authorization, status reports, fault detection, operation log record, remote firmware updating, situation prediction, intelligent scheduling, rapid response and rapid recovery. +- Data collection and processing function: supports the collection and processing of sensing data. They receive data from sensing devices and enable the movement of large amounts of data, and data processing and analysis functionalities to generate new datasets or modify / complete existing ones. They also support data protection, data access control, and information resource sharing and interaction between different SDCS for different fields in the city infrastructures. +- Linkage management function: provides a connection between SDCS and SCP, and supports the acquisition interface defined in [ITU-T Y.4200] and [ITU-T Y.4201]. It supports the interconnection between multiple SDCS of different fields of city infrastructures. It also manages the links for the sensors deployed in the city infrastructures. +- Networking function: provides the available physical links for sensors deployed in the city infrastructures. +- Sensing function: through a variety of information acquisition equipments, sensors, surveillance cameras, GPS terminals, etc, the function provides the ability of having an intelligent perception of the city infrastructures. + +# **9 Requirements of sensing and data collection system for city infrastructures** + +## **9.1 Common requirements due to the features of city infrastructures** + +SDCS has the following requirements due to the features of city infrastructures: + +- SDCS is required to periodically inspect city infrastructures through sensing devices to check whether it is in good working condition. In particular, some sensing devices should be able to turn on/off according to the instructions. +- SDCS is required to provide life-cycle management of infrastructures in order to cover the service life of those infrastructures and upgrade it with a replacement in this way upgrading the city infrastructures. +- SDCS is recommended to provide two kinds of sensing data that is related to the facility: + - monitoring data on the structural health of the facility, to reflect the structural damage or degradation of the facility. The data includes stress, displacement, vibration, deformation and other parameters; + - monitoring data on environmental conditions of the facility. The data includes environmental parameters such as temperature, humidity, air pressure and harmful gas concentration. + +## **9.2 Requirements of the device control function** + +Device control function has the following requirements: + +- It is required to provide a dynamic information database that includes all the information on working sensing devices of city infrastructures and completes the accurate identification of the sensing devices. +- It is required to realize undisturbed inventory and loophole scans of the sensing equipment. +- It is required to support the authentication that verifies the identity of the users who request to access the sensing device. + +- It is required to support the authorization that grants the corresponding authority to be assigned to the users according to its authentication result. +- It is required to retrieve device status and management data of a sensor or controller periodically or with a request. +- It is required to generate exception information or alarms, and correspondingly start/stop/lock/calibrate/recover the sensor or controller when any sensor or controller has an abnormal status. +- It is required to collect the management data and operate the log and transfer it to the SCP. +- It is required to support the sensing device firmware updates and firmware fallbacks, etc. +- It is required to create, modify, and delete the configuration policies of various sensors based on data collecting frequency and period. +- It is required to send configuration policies to the sensors or controllers and start/stop/lock/calibrate/recover the sensors or controllers themselves or the applications on them. +- It is required to perform mask/open, encrypt/decrypt, and delete/restore specific data stored in the sensors or controllers. +- It is required to receive data about the operating status, performance, and fault report of the sensors or controllers. +- It is required to support the automatic notification of the status of sensors and its changes in order to monitor them in a timely manner. +- It is required to support integrity checking of devices, in order to help support the high availability of devices. + +## **9.3 Requirements of the data collection and processing function** + +Data collection and processing functions have the following requirements: + +- It is required to support the storage, retrieval and classification of all the information of sensors. +- It is required to support storage, retrieval, and classification of all the sensing, controlling and configuration data. +- It is required to provide all the sensing, controlling and configuration data protection functions. +- It is required to support the sensing data processing (e.g., data restructuring, etc.) based on the predefined rules and policies. +- It is required to support access control of the sensing data, enabling the ability to control how these data are exposed to the upper layer applications. +- It is required to support integrity checking and life cycle management of the sensing data to provide high availability and reliability of those data. +- It is required to support the sensing data exchange and information sharing between SDCSs of different fields of city infrastructures. + +## **9.4 Requirement of linkage management function** + +The linkage management function has the following requirements: + +- It is required to support interaction between SDCS and the SCP to comply with the interoperability requirement in [ITU-T Y.4200]. + +- It is required to support the interconnection for delivering sensing data from sensing devices and management, and configuration data to sensing devices using a wired network (e.g., optical or Ethernet network). +- It is required to support the data transmission between SDCS and SCP using a wired network. +- It is required to provide a direct link between sensors and the SCP to transmit raw sensing data and sensor control data when working in transparent transmission mode. +- It is required to support a unified data interface from SDCS to the SCP to transmit processed sensing data and sensor control data when working in agent transmission mode. +- It is required to support stable and safe data transmission for timing-sensitive and wideband sensing data. +- It is required to support the interconnection for delivering sensing management data to the sensing devices using a wireless network (e.g., Wi-Fi or mobile network). Adequate access technology should be selected in terms of usage, affordability and cost-effectiveness. +- It is required to support the interconnection between SDCSs. + +## **9.5 Requirements of the networking function** + +The networking function has the following requirements: + +- It is required to form local networks for sensors to communicate with each other using wired or wireless communication technologies. +- It is recommended to support autonomic networking [b-IETF RFC 7575] of the sensors to adapt to different applications, different communication environments, large numbers and different types of devices. +- It is required to support the configuration of a wired / wireless integrated sensing network in various infrastructures. +- It is recommended to provide the construction of sensors network in an ad-hoc manner in some scenarios which need increased scalability and quick deployment. + +## **9.6 Requirements of the sensing function** + +The sensing function has the following requirements: + +- It is required to detect or measure information related to the corresponding city infrastructures. +- It is required to convert detected information of city infrastructures into digital electronic signals. + +# Bibliography + +- [b-ITU-T Y.4900] Recommendation ITU-T Y.4900/L.1600 (2016), *Overview of key performance indicators in smart sustainable cities.* +- [b-IETF RFC 7575] IETF RFC 7575 (2015), *Autonomic Networking: Definitions and Design Goals* +- [b-ITU-T FG-SSC-0097] ITU-T FG-SSC (2015), Technical Report on *Overview of smart sustainable cities infrastructure.* +- [b-UN SDG-2018] United Nations (2018), *Global indicator framework for the Sustainable Development Goals and targets of the 2030 Agenda for Sustainable Development.* +<[https://unstats.un.org/sdgs/indicators/Global%20Indicator%20Framework%20after%202020%20review\\_Eng.pdf](https://unstats.un.org/sdgs/indicators/Global%20Indicator%20Framework%20after%202020%20review_Eng.pdf)> + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4217-202208-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4217-202208-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..39f98b0e1f8f50b1ad0b215e9bd14510f490dd09 --- /dev/null +++ b/marked/Y/T-REC-Y.4217-202208-I_PDF-E/raw.md @@ -0,0 +1,510 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.4217 + +(08/2022) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Requirements and use cases + +# --- **Service requirements and capability framework for Internet of things-related crowdsourced systems** + +Recommendation ITU-T Y.4217 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +### CLOUD COMPUTING + +Y.3500–Y.3599 + +### BIG DATA + +Y.3600–Y.3799 + +### QUANTUM KEY DISTRIBUTION NETWORKS + +Y.3800–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.4217 + +# Service requirements and capability framework for Internet of things-related crowdsourced systems + +## Summary + +Recommendation ITU-T Y.4217 specifies service requirements of Internet of things (IoT)-related crowdsourced systems, in addition to the requirements of IoT-related crowdsourced systems (Recommendation ITU-T Y.4205); and the common requirements of IoT (Recommendation ITU-T Y.4100). Based on these requirements, a capability framework of IoT-related crowdsourced systems is developed. With this, service requirements and capability framework for IoT-related crowdsourced systems can help with the implementation of IoT-related crowdsourced systems. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4217 | 2022-08-29 | 20 | 11.1002/1000/15068 | + +## Keywords + +Capabilities, Internet of things, IoT-related crowdsourced systems, service requirements. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|----------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Introduction of IoT-related crowdsourced systems ..... | 2 | +| | 6.1 Concept of IoT-related crowdsourced systems ..... | 2 | +| | 6.2 Reference model of IoT-related crowdsourced systems ..... | 3 | +| 7 | Service requirements of IoT-related crowdsourced systems ..... | 4 | +| | 7.1 Service requirements of the crowdsourcing platform ..... | 4 | +| | 7.2 Service requirements of the crowdsourced resources ..... | 5 | +| 8 | Capability framework of IoT-related crowdsourced systems..... | 5 | +| | 8.1 Overview ..... | 5 | +| | 8.2 Capabilities of the crowdsourcing platform ..... | 6 | +| | 8.3 Capabilities of the crowdsourced resources ..... | 8 | + + + +# Recommendation ITU-T Y.4217 + +# Service requirements and capability frameworks for Internet of things-related crowdsourced systems + +# 1 Scope + +Internet of things (IoT)-related crowdsourced systems need to provide appropriate capabilities to support the requirements of IoT-related crowdsourced systems. This Recommendation specifies the service requirements and capability frameworks for IoT-related crowdsourced systems. + +The scope of this Recommendation includes: + +- Service requirements of IoT-related crowdsourced systems; +- Capability framework of IoT-related crowdsourced systems. + +These service requirements and capability frameworks build on the requirements of IoT-related crowdsourced systems [ITU-T Y.4205] and the common requirements of IoT [ITU-T Y.4100]. Service requirements and capability framework address aspects of crowdsourcing platforms and crowdsourced resources in IoT-related crowdsourced systems. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [ITU-T Y.4100] Recommendation ITU-T Y.4100/Y.2066 (2014), *Common requirements of the Internet of things*. +- [ITU-T Y.4205] Recommendation ITU-T Y.4205 (2019), *Requirements and reference model of IoT-related crowdsourced systems*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 crowd** [ITU-T Y.4205]: The term is used to collectively refer to the contributors (crowdsources) of a crowdsourced system, as well as the resources that are provided to a crowdsourced system. + +**3.1.2 crowdsourcing participant** [ITU-T Y.4205]: The person contributing to a crowdsourced system by providing and potentially benefitting from ideas, content, or access to services, hardware or other system resources. In the general case, the participant is a member of a large, open and potentially undefined group of people. + +**3.1.3 crowdsourced resource** [ITU-T Y.4205]: The device, hardware module, service or other system resources that a crowdsourced system has been given access to by crowdsourcing participants. + +**3.1.4 crowdsourcer** [ITU-T Y.4205]: The initiator of a crowdsourcing task. It can refer to a single person, a group of people, a corporation, an organization, etc. + +**3.1.5 crowdsourcing** [ITU-T Y.4205]: The practice of obtaining needed services, ideas, content or other system resources by soliciting contributions from a large, open and potentially undefined group of people, rather than from employees, suppliers or identified experts through an online open call by providing incentives (financial, social, or entertainment) to all or a subset of those crowd members who participate in the crowdsourcing activity. + +**3.1.6 crowdsourced systems** [ITU-T Y.4205]: Systems that employ crowdsourcing in order to augment their constituent infrastructure and the set of provided services or collected information. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|--------------------------| +| AGV | Automated Guided Vehicle | +| IoT | Internet of Things | +| PM 2.5 | Particulate Matter 2.5 | +| UAV | Unmanned Aerial Vehicle | + +# **5 Conventions** + +In this Recommendation: + +The expression "is required" indicates a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The expression "is recommended" indicates a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance with this Recommendation. + +The expressions "can optionally" and "may" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. + +# **6 Introduction of IoT-related crowdsourced systems** + +## **6.1 Concept of IoT-related crowdsourced systems** + +Crowdsourcing is the practice of obtaining needed services, ideas, content, or other system resources by soliciting contributions from a large, open, and potentially undefined group of people, rather than from employees, suppliers, or identified experts through an online open call by + +providing (financial, social, or entertainment) incentives to all or a subset of those crowd members who participate in the crowdsourcing activity, as defined in [ITU-T Y.4205]. + +The IoT-related crowdsourced system is an IoT system that employs crowdsourcing in order to augment its constituent infrastructure and the set of provided services or the collected information. It can employ IoT devices via crowdsourcing and orchestrate their operation in the context of carrying out a task. In return, the crowdsourcing platform provides the owners of the devices with incentives. The IoT-related crowdsourced system leverages human intelligence, which has a deeper context understanding than traditional IoT networks [ITU-T Y.4205]. + +## 6.2 Reference model of IoT-related crowdsourced systems + +The reference model of IoT related crowdsourced systems, as shown in Figure 1, has been defined in [ITU-T Y.4205]. It is a reference model, where there is no limitation on how it can be implemented in the context of a particular crowdsourced system. + +![Figure 1: The reference model for IoT-related crowdsourced systems. The diagram illustrates a three-layer architecture: the Crowdsourcer at the top, the Crowdsourcing platform in the middle, and The crowd at the bottom. The Crowdsourcer sends a 'Crowdsourced task' (Specifications and incentives) to the platform and receives 'Crowdsourced data' in return. The Crowdsourcing platform consists of a Task handler, Resources management, Data management, and a Resources gateway. The crowd provides 'Sensed data and services' to the platform and receives 'Incentives' in return. The crowd is represented by icons of people and IoT devices.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +The diagram illustrates the reference model for IoT-related crowdsourced systems, organized into three vertical layers: + +- Crowdsourcer:** Located at the top, it sends a "Crowdsourced task" (containing "Specifications and incentives") to the platform and receives "Crowdsourced data" in return. +- Crowdsourcing platform:** A dashed box in the middle containing: + - Task handler:** Interfaces with the Crowdsourcer. + - Resources management** and **Data management:** Core platform functions. + - Resources gateway:** Interfaces with the crowd. +- The crowd:** Located at the bottom, represented by icons of people and IoT devices. It provides "Sensed data and services" to the platform and receives "Incentives" in return. + +Figure 1: The reference model for IoT-related crowdsourced systems. The diagram illustrates a three-layer architecture: the Crowdsourcer at the top, the Crowdsourcing platform in the middle, and The crowd at the bottom. The Crowdsourcer sends a 'Crowdsourced task' (Specifications and incentives) to the platform and receives 'Crowdsourced data' in return. The Crowdsourcing platform consists of a Task handler, Resources management, Data management, and a Resources gateway. The crowd provides 'Sensed data and services' to the platform and receives 'Incentives' in return. The crowd is represented by icons of people and IoT devices. + +**Figure 1 – The reference model for IoT-related crowdsourced systems [ITU-T Y.4205]** + +A crowdsourced system consists of three layers (the crowdsourcer, the crowdsourcing platform and the crowd) arranged in a vertical manner. + +The crowdsourcer is the initiator of a crowdsourcing task. It can be referred to as a single person, a group of people, a corporation, an organization, etc. + +The crowdsourcing platform is the intermediary medium that connects the crowdsourcer and the crowd. This includes the task handler functions (interfacing the crowdsourcer), the resources management and data management functions, and the resources gateway functions (interfacing the crowd). + +The crowd represents the contributors of a crowdsourced system, providing sensed data and/or services and in return receiving incentives. + +# **7 Service requirements of IoT-related crowdsourced systems** + +## **7.1 Service requirements of the crowdsourcing platform** + +### **7.1.1 Efficiency-related requirements** + +- 1) Depending on the service requirements, the crowdsourcing platform may support time-sensitive tasks. + +NOTE 1 – In order to complete each sensitive task in a short time, it is necessary to distribute these tasks to the participants with the shortest task completion time. + +- 2) Depending on the service requirements, the crowdsourcing platform may support tasks that are sensitive to the number of participants. + +NOTE 2 – Some crowdsourcing platforms have few participants and a large number of tasks. It is necessary to mobilize as many participants as possible to match the tasks in the platform. + +- 3) Depending on the service requirements, the crowdsourcing platform may support tasks that are sensitive to the activity of the participants. + +- 4) Depending on the service requirements, the crowdsourcing platform may support tasks that are sensitive to the historical task completion records of the participants. + +NOTE 3 – Taking violation records as an example, some participants have a record of manipulating data or personal information to receive more incentives, which leads to leaving violation records in the platform. The crowdsourcing platform may use the historical data of the participants' violation records and take the information into account for task distribution. + +- 5) Depending on the service requirements, the crowdsourcing platform may support tasks that are sensitive to data quality. + +NOTE 4 – Taking the detection of a road crack as an example, the crowdsourcing platform is required to judge whether the photos uploaded by the participants have sufficient quality based on the image quality assessment. + +### **7.1.2 Incentive-related requirements** + +- 1) Depending on the service requirements, the crowdsourcing platform may support incentives that can be paid to participants, which may include monetary rewards, virtual credits, honours, entertainment and gamification, etc. + +- 2) Depending on the service requirements and the supply-demand factors, the crowdsourcing platform may employ different task distribution methods. + +NOTE – Examples of such methods include but are not limited to task-snatching, task-auction and fixed partnership. + +### **7.1.3 Anonymity-related requirements** + +- 1) The crowdsourcing platform is required to ensure data minimization of the crowd. + +- 2) The crowdsourcing platform is required to ensure the data retention limits of the crowd. + +NOTE – Examples of such requirements include, but are not limited to, the support of periodical data purging. + +- 3) The crowdsourcing platform is required to ensure data desensitization and de-identification of the crowd information. + +### **7.1.4 Other requirements** + +- 1) Depending on the service requirements, the crowdsourcing platform may support applications with different technical requirements, such as bandwidth and/or storage size and/or computing power. + +NOTE – These requirements relate to the four functional components of the reference model for IoT-related crowdsourcing platforms, i.e., task handler, resources management, data management and resources gateway [ITU-T Y.4205]. Depending on the service requirements, the crowdsourcing platform may support multiple application interfaces in order to support an undefined, open group of crowdsources (crowds having good health, elderly people with poor mobility, people with visual disabilities, etc.). + +## **7.2 Service requirements of the crowdsourced resources** + +### **7.2.1 Efficiency-related requirements** + +- 1) Depending on the service requirements, the crowdsourced resources may support energy consumption sensitive tasks. + +NOTE 1 – Taking unmanned aerial vehicles (UAV) as an example, they are sensitive to the travelled distance. The load of each task may need to be minimized so that each UAV can fulfil the task with the shortest distance travelled. + +- 2) Depending on the service requirements, the crowdsourced resources may support intelligent data quality assessment to reduce the redundancy in the process of data acquisition, transmission and communication interaction. + +NOTE 2 – Taking the image task as an example, due to the uncertainty of crowdsourcing data acquisition, the data packets contain redundant data or low-quality invalid data. The crowdsourced resources may detect the redundancy according to the image similarity and remove the redundant sensed data based on the quality evaluation. + +### **7.2.2 Anonymity-related requirements** + +- 1) Depending on the service requirements, the crowdsourced resources are required to support data desensitization and de-identification processing (such as video mosaic, masking and filtering), in order to minimize the information transmitted to the platform. +- 2) Depending on the service requirements, the crowdsourced resources are required to obtain an opt-in consent from crowdsourcing participants before collecting any data. + +### **7.2.3 Other requirements** + +- 1) Depending on the service requirements, the crowdsourced resources may provide the crowdsourcing platform with the locations of the IoT devices. + +# **8 Capability framework of IoT-related crowdsourced systems** + +## **8.1 Overview** + +Figure 2 illustrates the capability framework of IoT-related crowdsourced systems, including the mapping of the reference model for IoT-related crowdsourced systems [ITU-T Y.4205] to the IoT reference model [ITU-T Y.4000]. + +![Figure 2: Capability framework of IoT-related crowdsourced systems. The diagram illustrates the mapping of IoT-related crowdsourced systems to the IoT reference model. The top part shows the crowdsourcing ecosystem with a Crowdsourcer, a Crowdsourcing platform (Task handler, Resources management, Data management, Resources gateway), and The crowd (Crowdsourcing participants). Data flows include Crowdsourced data, Crowdsourced task Specifications and incentives, and Incentives. The bottom part shows the IoT reference model layers: Application layer, Service support and application support layer (highlighted in green), Network layer, and Device layer (highlighted in blue). Vertical bars on the sides represent Generic management capabilities and Generic security capabilities. A large arrow points from the crowdsourcing ecosystem to the IoT reference model. Below the IoT reference model, two detailed blocks are shown: the Crowdsourcing platform (containing Crowdsourcing task distribution, User data processing, Crowdsourcing data quality management, Privacy management, Incentive management, Crowdsourcing time synchronization, and Openness) and the Crowdsourcing resources (containing Crowdsourcing data collection management, Crowdsourcing user privacy management, User data processing, and Positioning management of equipment). Red dashed arrows indicate mappings from the crowdsourcing platform to the service support and application support layer, and from the crowdsourcing resources to the device layer.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Y.4217(22) + +Y.4217(22) + +Figure 2: Capability framework of IoT-related crowdsourced systems. The diagram illustrates the mapping of IoT-related crowdsourced systems to the IoT reference model. The top part shows the crowdsourcing ecosystem with a Crowdsourcer, a Crowdsourcing platform (Task handler, Resources management, Data management, Resources gateway), and The crowd (Crowdsourcing participants). Data flows include Crowdsourced data, Crowdsourced task Specifications and incentives, and Incentives. The bottom part shows the IoT reference model layers: Application layer, Service support and application support layer (highlighted in green), Network layer, and Device layer (highlighted in blue). Vertical bars on the sides represent Generic management capabilities and Generic security capabilities. A large arrow points from the crowdsourcing ecosystem to the IoT reference model. Below the IoT reference model, two detailed blocks are shown: the Crowdsourcing platform (containing Crowdsourcing task distribution, User data processing, Crowdsourcing data quality management, Privacy management, Incentive management, Crowdsourcing time synchronization, and Openness) and the Crowdsourcing resources (containing Crowdsourcing data collection management, Crowdsourcing user privacy management, User data processing, and Positioning management of equipment). Red dashed arrows indicate mappings from the crowdsourcing platform to the service support and application support layer, and from the crowdsourcing resources to the device layer. + +**Figure 2 – Capability framework of IoT-related crowdsourced systems** + +The reference model for IoT-related crowdsourced systems [ITU-T Y.4205] consists of a crowdsourcer, crowdsourcing platform and a crowd. + +The IoT reference model [ITU-T Y.4000] consists of an application layer, service support and application support layer, network layer, a device layer, as well as a cross-layer management and security capabilities. + +With regard to mapping the reference model for IoT-related crowdsourced systems [ITU-T Y.4205] to the IoT reference model [ITU-T Y.4000], the following applies: the crowdsourcing platform, which includes task handler, resources management and data management, is mapped to the service support and application support layer capabilities; the crowdsourced devices and the resources gateway of the crowdsourcing platform are mapped to the device layer. + +## 8.2 Capabilities of the crowdsourcing platform + +### 8.2.1 Crowdsourcing task distribution capability + +In line with the requirements identified in clause 7.1, the following abilities are identified: + +- 1) The crowdsourcing platform enables task distribution by utilizing results from the platform's data analysis capability as the basis. + +- 2) The crowdsourcing platform enables the management model and related algorithm to count the income and cost of crowdsourcing tasks and coordinates the crowdsourcing resources for participation in the tasks. +- 3) The crowdsourcing platform enables the configuration and optimization of crowdsourcing task allocation and decomposition. + +### **8.2.2 Crowdsourcing user data processing capability** + +In line with the requirements identified in clause 7.1, the following abilities are identified: + +- 1) The crowdsourcing platform enables the analysis of dynamic and static tasks to improve system performance, including but not limited to the generation of evaluation reports of crowdsourcing services before, during, and after the execution of the crowdsourcing tasks. +- 2) The crowdsourcing platform enables the classification of crowdsourcing resources. + +NOTE 1 – For example, a vehicle may receive tasks regard to a user experience, and the user experience sub-tasks may include safety, entertainment and driving experience. Therefore, it is necessary to classify crowdsourcing resources into different classes to distribute tasks processing as appropriate. + +- 3) The crowdsourcing platform enables network topology-based management of the crowdsourcing resources in relation to the data forwarding path. + +NOTE 2 – For example, the crowdsourcing platform distributes crowdsourcing tasks through a distributed network. The data may be forwarded several times in a multi-hop network. Therefore, it is necessary to analyse the network topology (star topology, reticular topology, tree topology, etc.), and select the optimal path for task distribution. + +- 4) The crowdsourcing platform enables the partitioning of the crowdsourcing resources into resource groups or subtasks for task scheduling. +- 5) The crowdsourcing platform enables the usage of algorithms for improvement of the computational efficiency of data pre-processing and reduction of the execution time of the crowdsourcing tasks such as authentication and authorization, identity coding, identifier management and data format adaptation. + +### **8.2.3 Crowdsourcing data quality management capability** + +In line with the requirements identified in clause 7.1, the following abilities are identified: + +- 1) The crowdsourcing platform enables the evaluation of data quality of crowdsourcing tasks, including but not limited to data volume, data accuracy and data timeliness. + +NOTE – The crowdsourcing platform might support applications that are able to evaluate the quality of data uploaded by the participants and reward participants accordingly based on the quality of the data. For example, in the crowdsourcing task of urban particulate matter (PM) 2.5 monitoring, the crowdsourcing participants who provide a more accurate location, time and PM 2.5 concentration data, may receive a higher reward. + +- 2) The crowdsourcing platform enables the analysis of the impact of the quality of the crowdsourcing tasks execution and provides early warning of crowdsourcing abnormal events, such as false data and task management exceptions. + +### **8.2.4 Privacy management capability** + +In line with the requirements identified in clause 7.1, the following abilities are identified: + +- 1) The crowdsourcing platform enables the anonymization of the data uploaded by users to protect the privacy of their users. + +NOTE – The crowdsourcing platform may support location-sensitive applications. When completing the crowdsourcing tasks, the user location information may be uploaded to the crowdsourcing platform. After the tasks are completed, the platform deletes the location data immediately. + +- 2) The crowdsourcing platform enables the analysis and verification of the data uploaded by the crowdsourcing resources by data analysis capability in order to avoid a potential risk to the system, such as user privacy data theft. + +### **8.2.5 Crowdsourcing time synchronization capability** + +In line with the requirements identified in clause 7.1, the following abilities are identified: + +- 1) The crowdsourcing platform enables a crowdsourcing platform to employ a global clock to execute various time synchronization-related tasks. + +NOTE 1 – The clock can optionally employ the clock generated by the platform or can be aligned with an external clock. + +- 2) The crowdsourcing platform enables sorting the order of the times of the tasks' completion for tasks with time sequence requirements. + +NOTE 2 – For example, the application of an automated guided vehicle (AGV) collaborative control requires multiple AGVs to communicate with a high-precision clock in order to realize collaborative transportation. + +### **8.2.6 Incentive management capability** + +In line with the requirements identified in clause 7.1, the following abilities are identified: + +- 1) The crowdsourcing platform enables incentive mechanisms to encourage participants to participate in the tasks. These incentives may include different types of rewards. +- 2) The crowdsourcing platform enables the incentive of direct payment (without a third party) for crowdsourcing participants. +- 3) The crowdsourcing platform enables the various types of payment for different time-wise participation options, including but not limited to real-time payment for short-term participants, periodic payment for long term or periodic participants and stage payment for contract participants. +- 4) The crowdsourcing platform enables the utilization of incentive mechanisms to improve the crowdsourcing participation rate within a given payment budget. + +### **8.2.7 Openness capability** + +In line with the requirements identified in clause 7.1, the following abilities are identified: + +- 1) The crowdsourcing platform enables the crowdsourcing resources to support multiple interfaces, which extend the access to all populations, including people with disabilities, people with age related disabilities and those with specific needs. +- 2) The crowdsourcing platform enables crowdsourcing tasks to support different types of device terminals, such as mobile phones, tablets and handheld terminals. +- 3) The crowdsourcing platform supports the interfaces which are compatible with different crowdsourcing resource access methods or different types of devices. + +## **8.3 Capabilities of the crowdsourced resources** + +### **8.3.1 Crowdsourcing data collection capability** + +In line with the requirements identified in clause 7.2, the following abilities are identified: + +- 1) The crowdsourced resources support the obtention of information related to task requirements according to the configuration or the operation of crowdsourcing participants, thus supporting active participation in crowdsourcing tasks. +- 2) On the premise of user authorization, the crowdsourcing resources collect the IoT-related terminal's information, including identification information, and analyse the information according to the task's requirements automatically. + +### **8.3.2 User privacy management capability** + +In line with the requirements identified in clause 7.2, the following abilities are identified: + +- 1) The crowdsourced resources support anonymity management for the privacy of users participating in crowdsourcing tasks. +- 2) The crowdsourced resources support the analysis and verification of the authenticity of the resources from the resources' data processing capability, thus avoiding potential safety issues to the system. + +### **8.3.3 Data processing capability** + +In line with the requirements identified in clause 7.2, the following abilities are identified: + +- 1) The crowdsourced resources used by crowdsourcing participants support computing, storage, and communication functionalities, including for support of direct processing of the collected data. +- 2) The crowdsourcing resources support low-power consumption processing capabilities in order to support applications that are sensitive to the energy consumption of data sensing and uploading. + +### **8.3.4 Positioning management capability** + +In line with the requirements identified in clause 7.2, the following abilities are identified: + +- 1) The crowdsourcing resources support location positioning and tracking, in order to support the acquisition of location information to meet the requirements of applications' accuracy. + +NOTE – These abilities should be restricted to devices that are not associated with any individuals (e.g., personal devices), and/or which could be used to identify an individual. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4225-202407-I_PDF-E/0484c5fce6aa2558cf08aa4125ecc08d_img.jpg b/marked/Y/T-REC-Y.4225-202407-I_PDF-E/0484c5fce6aa2558cf08aa4125ecc08d_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..a53ee3db4cbf0f4cc6269314642d049bf72ed2a7 --- /dev/null +++ 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cities and communities – +Frameworks, architectures and protocols + +# --- **Functional framework of web of objects** + +Recommendation ITU-T Y.4452 + +# ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS AND NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4452 + +# Functional framework of web of objects + +## Summary + +Recommendation ITU-T Y.4452 provides the functional framework including the concept, reference model, functional capabilities and information models of the web of objects (WoO). + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4452 | 2016-09-13 | 20 | 11.1002/1000/13027 | + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2016 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Concept of web of objects ..... | 2 | +| 7 WoO reference model and functional capabilities..... | 3 | +| 7.1 WoO virtual level ..... | 4 | +| 7.2 WoO service level ..... | 5 | +| 8 Information models of WoO..... | 6 | +| 8.1 VO information model ..... | 6 | +| 8.2 CVO information model..... | 7 | +| 8.3 Service information model ..... | 8 | +| Bibliography..... | 9 | + + + +# Recommendation ITU-T Y.4452 + +# Functional framework of web of objects + +# 1 Scope + +The web of objects (WoO) supports a functional framework to deploy Internet of things (IoT) services in the World Wide Web (WWW) environment. + +This Recommendation covers the following: + +- the concept of WoO; +- the reference model and functional capabilities of WoO; +- information models of WoO. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. + +[ITU-T Y.4552] Recommendation ITU-T Y.4552/Y.2078 (2016), *Application support models of the Internet of things*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on, existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.2 object** [b-ITU-T Y.4404]: An intrinsic representation of an entity that is described at an appropriate level of abstraction in terms of its attributes and functions. + +NOTE 1 – An object is characterized by its behaviour. An object is distinct from any other object. An object interacts with its environment including other objects at its interaction points. An object is informally said to perform functions and offer services (an object which makes a function available is said to offer a service). For modelling purposes, these functions and services are specified in terms of the behaviour of the object and of its interfaces. An object can perform more than one function. A function can be performed by the cooperation of several objects. + +NOTE 2 – Objects include terminal devices (e.g., used by a person to access the network such as mobile phones, Personal computers, etc.), remote monitoring devices (e.g., cameras, sensors, etc.), information devices (e.g., content delivery server), products, contents, and resources. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 virtual object (VO):** A virtual representation of a real world object (e.g., sensor, device, task, process and information). + +NOTE – Real world objects are identifiable through their virtual representation. + +**3.2.2 composite virtual object (CVO):** A collection of multiple VOs to abstract a service feature, operation or management function, to enable the mash-up and collaboration. + +**3.2.3 web of objects (WoO):** A way to incorporate virtual objects on the world wide web and to facilitate the creation of IoT services. + +**3.2.4 information model:** A model to define how the elements (i.e., VO and CVO) in an information environment are represented as a common set of objects and the relationships between them. + +**3.2.5 resource:** This Recommendation does not limit the scope of what might be a resource; rather, the term "resource" is used in a general sense for whatever might be identified by a URI (based on the definition given in [b-IETF RFC 3986]). + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-----------------------------------| +| API | Application Programming Interface | +| CVO | Composite Virtual Object | +| foaf | Friend of a friend | +| HTTP | Hypertext Transfer Protocol | +| IoT | Internet of Things | +| IP | Internet Protocol | +| MAC | Media Access Control | +| RDF | Resource Description Framework | +| URI | Uniform Resource Identifier | +| VO | Virtual Object | +| WoO | Web of Objects | +| WWW | World Wide Web | +| XML | Extensible Markup Language | + +# 5 Conventions + +None. + +# 6 Concept of web of objects + +The web of objects (WoO) is a way to structure relationships between IoT services [ITU-T Y.4000], where virtualized objects (i.e., VO and CVO) are connected, controlled and incorporated with + +resources to facilitate development, deployment and operation of IoT services on the World Wide Web. + +Figure 6-1 illustrates the relationship among WoO entities. VOs are used to deliver the related information, situation and condition of real world objects and are described by a rule (e.g., resource description framework (RDF) and ontology). Multiple VOs are combined into a composite virtual object (CVO) to abstract a service feature, operation or management function. A CVO includes information such as time, location, profile, features and performance of a group of VOs for future service capability. A resource is related to a VO and a CVO and is used by a service at any particular instance in time. + +The WoO enables multiple types of VOs and CVOs to share and cooperate with resources on the World Wide Web. WoO facilitates collaboration and harmonization among distributed VOs and CVOs to support user-centered and context-aware features. + +![Figure 6-1: Relationship among WoO entities. The diagram shows a 'Web of objects (WoO)' box containing 'Resource', 'Virtual object', and 'Composite virtual object'. 'Resource' is related to both 'Virtual object' and 'Composite virtual object'. 'Virtual object' is used to provide a 'Service' and collaborates with 'Composite virtual object'. 'Composite virtual object' is provided to a 'Service' and collaborates with 'Real world objects'. 'Real world objects' are abstracted into 'Virtual object' and used by a 'Service'.](b3baf3a29b67c7425d2562ddbc52f0cc_img.jpg) + +``` + +graph LR + subgraph WoO [Web of objects (WoO)] + Resource((Resource)) + VirtualObject((Virtual object)) + CompositeVirtualObject((Composite virtual object)) + Service((Service)) + end + Resource -- "is related to" --> VirtualObject + Resource -- "is related to" --> CompositeVirtualObject + VirtualObject -- "is used to" --> Service + VirtualObject -- "is provided to" --> Service + VirtualObject -- "is collaborated to" --> CompositeVirtualObject + CompositeVirtualObject -- "is provided to" --> Service + CompositeVirtualObject -- "is collaborated" --> CompositeVirtualObject + RealWorldObjects((Real world objects)) + RealWorldObjects -- "is abstracted to" --> VirtualObject + RealWorldObjects -- "is used to" --> Service + +``` + +Y.4452(16)\_F6-1 + +Figure 6-1: Relationship among WoO entities. The diagram shows a 'Web of objects (WoO)' box containing 'Resource', 'Virtual object', and 'Composite virtual object'. 'Resource' is related to both 'Virtual object' and 'Composite virtual object'. 'Virtual object' is used to provide a 'Service' and collaborates with 'Composite virtual object'. 'Composite virtual object' is provided to a 'Service' and collaborates with 'Real world objects'. 'Real world objects' are abstracted into 'Virtual object' and used by a 'Service'. + +**Figure 6-1 – Relationship among WoO entities** + +# 7 WoO reference model and functional capabilities + +Figure 7-1 shows the WoO reference model. It is composed of two levels called the WoO virtual level and the WoO service level. The WoO virtual level is divided into two sub-levels called the VO sub-level level and the CVO sub-level. Three types of databases (the registry database, the template repository and the information database) for 3 levels (service level, CVO sub-level and VO sub-level) are created, designed and monitored in the WoO reference model. + +IoT applications in Figure 7-1 will be supported on the World Wide Web with the capabilities specified in [ITU-T Y.4552]. These application support models are the configurable application support model, the adaptable application support model and the reliable application support model. + +![Figure 7-1 – WoO reference model diagram. The diagram shows a layered architecture. At the top is 'IoT applications' (green box). Below it is the 'WoO service level' (orange box). Underneath is the 'WoO virtual level' (blue box), which contains the 'CVO sub-level' (light blue) and the 'VO sub-level' (darker blue). At the bottom is 'Real world objects' (grey box). To the right, within a dashed red box labeled 'Web of objects', are three databases: 'Registry database' (green cylinder), 'Template repository' (pink cylinder), and 'Information database' (grey cylinder). These are collectively labeled 'WoO databases' in a blue dashed box. Lines connect the 'WoO service level' to all three databases. The 'CVO sub-level' connects to the 'Registry database' and 'Template repository'. The 'VO sub-level' connects to the 'Registry database' and 'Information database'. The 'Real world objects' are connected to the 'VO sub-level'.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Y.4452(16)\_F7-1 + +Figure 7-1 – WoO reference model diagram. The diagram shows a layered architecture. At the top is 'IoT applications' (green box). Below it is the 'WoO service level' (orange box). Underneath is the 'WoO virtual level' (blue box), which contains the 'CVO sub-level' (light blue) and the 'VO sub-level' (darker blue). At the bottom is 'Real world objects' (grey box). To the right, within a dashed red box labeled 'Web of objects', are three databases: 'Registry database' (green cylinder), 'Template repository' (pink cylinder), and 'Information database' (grey cylinder). These are collectively labeled 'WoO databases' in a blue dashed box. Lines connect the 'WoO service level' to all three databases. The 'CVO sub-level' connects to the 'Registry database' and 'Template repository'. The 'VO sub-level' connects to the 'Registry database' and 'Information database'. The 'Real world objects' are connected to the 'VO sub-level'. + +**Figure 7-1 – WoO reference model** + +## 7.1 WoO virtual level + +In the WoO virtual level of the WoO reference model, the functional capabilities of the VO sub-level and the CVO sub-level are described respectively in clause 7.1.1 and clause 7.1.2. + +### 7.1.1 VO sub-level + +The VO sub-level provides the functional capabilities responsible for the control and management of VOs. Figure 7-2 depicts the functional capabilities of VO sub-level based on the WoO reference model shown at Figure 7-1. + +![Figure 7-2 – Functional capabilities of VO sub-level diagram. A large teal box contains internal components: 'VO factory' and 'Resource optimization engine' on the left, and 'VO management' on the right. The 'VO management' box contains 'VO container' and 'Life cycle manager'. To the right of the teal box are three purple cylinders: 'VO registry', 'VO template repository', and 'VO database'. Double-headed arrows connect the teal box to each of these three external components.](053f1077d592e6622cd21dc4bb4cb366_img.jpg) + +Y.4452(16)\_F7-2 + +Figure 7-2 – Functional capabilities of VO sub-level diagram. A large teal box contains internal components: 'VO factory' and 'Resource optimization engine' on the left, and 'VO management' on the right. The 'VO management' box contains 'VO container' and 'Life cycle manager'. To the right of the teal box are three purple cylinders: 'VO registry', 'VO template repository', and 'VO database'. Double-headed arrows connect the teal box to each of these three external components. + +**Figure 7-2 – Functional capabilities of VO sub-level** + +The functional capabilities of VO sub-level are as follows: + +- VO factory: is concerned with the production of new running VO instances; +- Resource optimization engine: manages system knowledge for optimal resource utilization; +- VO management: includes the capabilities to manage the VO container and the life cycle manager: + - VO container: provides a runtime execution platform. The VOs are monitored, controlled and managed by a life cycle manager; + - Life cycle manager: VO goes through a number of different states during its life cycle such as creation, execution, suspension, and termination. The life cycle manager manages the life cycle of a VO. + +- VO registry: is a registry database that stores RDF triples for the description of available VOs; +- VO template repository: contains a semantically query-able collection of VO templates; +- VO database: provides data storage and access capabilities. + +### 7.1.2 CVO sub-level + +The CVO sub-level is responsible for control and management of CVOs. Figure 7-3 depicts the functional capabilities of the CVO sub-level based on the WoO reference model shown in Figure 7-1. + +![Figure 7-3: Functional capabilities of CVO sub-level. The diagram shows a central yellow box representing the CVO sub-level, divided into two main sections: 'CVO factory' and 'CVO management'. The 'CVO factory' section contains a 'Composition engine' and 'Approximation and re-use opportunity detection'. The 'CVO management' section contains a 'CVO container', 'Life cycle manager', and 'System knowledge creation engine'. To the right of the yellow box are three cylindrical databases: 'CVO registry', 'CVO template repository', and 'CVO database'. Double-headed arrows connect the yellow box to each of these databases. The label 'Y.4452(16)_F7-3' is located at the bottom right of the diagram.](5a4e62bead259c258d069fd3663ea670_img.jpg) + +Figure 7-3: Functional capabilities of CVO sub-level. The diagram shows a central yellow box representing the CVO sub-level, divided into two main sections: 'CVO factory' and 'CVO management'. The 'CVO factory' section contains a 'Composition engine' and 'Approximation and re-use opportunity detection'. The 'CVO management' section contains a 'CVO container', 'Life cycle manager', and 'System knowledge creation engine'. To the right of the yellow box are three cylindrical databases: 'CVO registry', 'CVO template repository', and 'CVO database'. Double-headed arrows connect the yellow box to each of these databases. The label 'Y.4452(16)\_F7-3' is located at the bottom right of the diagram. + +**Figure 7-3 – Functional capabilities of CVO sub-level** + +The capabilities of each of the functional entities in the CVO sub-level are as follows: + +- CVO factory: provides capabilities concerned with the production of new running CVO instances; + - Composition engine: includes mechanisms to create complex and composite services to fulfil the user request; + - Approximation and re-use opportunity detection. +- CVO management: supports the management functions of the CVO container and life cycle manager; + - CVO container: provides a runtime execution platform. The CVOs are monitored, controlled and managed by a life cycle manager; + - Life cycle manager: a CVO goes through a number of different states during its life cycle such as creation, execution, suspension and termination. The life cycle manager manages the life cycle of a CVO. +- System knowledge creation engine: provides a capability to manage a system knowledge which is then stored in the system knowledge database; +- CVO registry: is a registry database that stores RDF triples for the description of available CVOs. It allows the creation of a semantically enriched description of CVOs, the interaction with stored data and communication with other entities of the WoO; +- CVO template repository: provides a repository capability with a semantically query-able collection of CVO templates; +- CVO database: provides data storage and access capabilities in the CVO sub-level. + +## 7.2 WoO service level + +WoO service level supports functions to create and manage IoT service entities in [ITU-T Y.4000]. Figure 7-4 depicts the functional capabilities of the service level: + +![Figure 7-4: Functional capabilities of the service level. The diagram shows a central service level box with four main components: Service composition engine, Service Discovery and Lookup, Service execution environment (containing Service container and Life cycle manager), and Service configuration management. To the right, three external components are shown: Service registry, Service template repository, and Service database. Bidirectional arrows connect the central box to each of these external components. The Service registry is connected to Service Discovery and Lookup. The Service template repository is connected to Real world knowledge and situation management. The Service database is connected to Real world knowledge and situation management. The Real world knowledge and situation management component includes Situation classification, Situation recognition, and Situation detection.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Y.4452(16)\_F7-4 + +Figure 7-4: Functional capabilities of the service level. The diagram shows a central service level box with four main components: Service composition engine, Service Discovery and Lookup, Service execution environment (containing Service container and Life cycle manager), and Service configuration management. To the right, three external components are shown: Service registry, Service template repository, and Service database. Bidirectional arrows connect the central box to each of these external components. The Service registry is connected to Service Discovery and Lookup. The Service template repository is connected to Real world knowledge and situation management. The Service database is connected to Real world knowledge and situation management. The Real world knowledge and situation management component includes Situation classification, Situation recognition, and Situation detection. + +**Figure 7-4 – Functional capabilities of the service level** + +- Service composition engine: includes mechanisms to create complex and composite services to fulfil the user request; +- Service execution environment: includes the service container and the life cycle manager; + - Service container: provides a service execution platform. The services are monitored, controlled and managed by a life cycle manager; + - Life cycle manager: a service goes through a number of different states during its life cycle such as service creation, execution, suspension and termination. The life cycle manager manages the life cycle of a service. +- Service configuration management: manages the configuration of the service user and devices through detecting system and service data and recovering the faults; +- Service discovery and lookup: analyses service requests based on user information and supports discovery of services based on history, semantic matchmaking and service constraints; +- Real world knowledge and situation management: manages a database which includes knowledge and situation data related to real world objects; +- Service registry: is a database that stores RDF triples for the description of available services. It allows the creation of a semantically enriched description of services, the interaction with stored data and communication with other entities of the WoO; +- Service template repository: contains a semantically query-able collection of services and service templates; +- Service database: stores user profiles, user's access rights and real world knowledge. + +# 8 Information models of WoO + +The WoO needs a foundation to understand the interrelationships between resources and attributes, IoT service entities and interfaces at virtual and service level in the World Wide Web. This clause addresses basic information models to denote attribute types, events, time, location, actions, tasks and associated behaviours. + +## 8.1 VO information model + +The VO information model in Figure 8-1 includes information that characterizes a VO. + +![Figure 8-1 – VO information model diagram](af7916c89a458fdab6c3f443217388ae_img.jpg) + +``` + +classDiagram + class VirtualObject["Virtual object"] + class VOPProfile["VOPProfile"] { + - ObjectType + - ObjectID + - FriendlyName + } + class TemporalFeature { + - hasTimeInfo: URI + } + class TimeValue { + - hasStartTime: time + - hasEndTime: time + } + class DateValue { + - hasStartDate: date + - hasEndDate: date + } + class Attributes["Attributes of real world object"] + + VirtualObject --> VOPProfile : hasVOPProfile + VirtualObject --> TemporalFeature : hasTime + VirtualObject --> Attributes : < instance of > + TemporalFeature --> TimeValue : hasTimeValue + TemporalFeature --> DateValue : hasDateValue + +``` + +The diagram illustrates the VO information model. At the top is the 'Virtual object' entity. It has three outgoing relationships: 'hasVOPProfile' pointing to the 'VOPProfile' class, 'hasTime' pointing to the 'TemporalFeature' class, and '< instance of >' pointing to the 'Attributes of real world object' entity. The 'VOPProfile' class contains attributes: '- ObjectType', '- ObjectID', and '- FriendlyName'. The 'TemporalFeature' class contains the attribute: '- hasTimeInfo: URI'. The 'TemporalFeature' class has two outgoing relationships: 'hasTimeValue' pointing to the 'TimeValue' class and 'hasDateValue' pointing to the 'DateValue' class. The 'TimeValue' class contains attributes: '- hasStartTime: time' and '- hasEndTime: time'. The 'DateValue' class contains attributes: '- hasStartDate: date' and '- hasEndDate: date'. + +Figure 8-1 – VO information model diagram + +Y.4452(16)\_F8-1 + +**Figure 8-1 – VO information model** + +- VOPProfile: consists of details that identify VOs; +- TemporalFeature: has sub-portions that indicate time- and data-related information; +- attributes of real world objects: includes information on real world objects. + +## 8.2 CVO information model + +The CVO information model in Figure 8-2 includes basic information that characterizes a CVO. + +![Figure 8-2 – CVO information model diagram](ddc7460821484f1ae2835c67955c554c_img.jpg) + +``` + +classDiagram + class CompositeVirtualObject["Composite virtual object"] + class CVODescription { + MemberList + TaskList + AccessRightInfo + LifeTime+Age + Tags + Restrictions + } + class TemporalFeature { + - hasTimeInfo: URI + } + class TimeValue { + - hasStartTime: time + - hasEndTime: time + } + class DateValue { + - hasStartDate: date + - hasEndDate: date + } + class AccessInterface + class InterfaceType + class VOs + class REST + class SOAP + + CompositeVirtualObject --> CVODescription : hasDescription + CompositeVirtualObject --> AccessInterface : hasAccessInterface + CompositeVirtualObject --> TemporalFeature : hasTime + CompositeVirtualObject --> VOs : hasVOs + AccessInterface --> InterfaceType : hasInterfaceType + InterfaceType --> REST : <> + InterfaceType --> SOAP : <> + +``` + +The diagram illustrates the CVO information model. At the top is the 'Composite virtual object' entity. It has four outgoing relationships: 'hasDescription' pointing to the 'CVODescription' class, 'hasAccessInterface' pointing to the 'AccessInterface' class, 'hasTime' pointing to the 'TemporalFeature' class, and 'hasVOs' pointing to the 'VOs' class. The 'CVODescription' class contains attributes: 'MemberList', 'TaskList', 'AccessRightInfo', 'LifeTime+Age', 'Tags', and 'Restrictions'. The 'TemporalFeature' class contains the attribute: '- hasTimeInfo: URI'. The 'TemporalFeature' class has two outgoing relationships: 'hasTimeValue' pointing to the 'TimeValue' class and 'hasDateValue' pointing to the 'DateValue' class. The 'TimeValue' class contains attributes: '- hasStartTime: time' and '- hasEndTime: time'. The 'DateValue' class contains attributes: '- hasStartDate: date' and '- hasEndDate: date'. The 'AccessInterface' class has one outgoing relationship: 'hasInterfaceType' pointing to the 'InterfaceType' class. The 'InterfaceType' class has two outgoing relationships: '<>' pointing to the 'REST' class and '<>' pointing to the 'SOAP' class. + +Figure 8-2 – CVO information model diagram + +Y.4452(16)\_F8-2 + +**Figure 8-2 – CVO information model** + +- CVODescription: indicates details of functional aspects of CVOs and the details of the template base structure are described in Figure 8-2; +- AccessInterface: denotes the interface types between a CVO and the WoO service level and between remote CVOs; +- TemporalFeature: has sub-portions that indicate time- and data-related information of CVOs. + +## 8.3 Service information model + +The service information model in Figure 8-3 includes information elements that characterize a service at service level. + +![Figure 8-3 – Service information model diagram](4ee27dbf5ef12e7b58b0ef0937bc5a5e_img.jpg) + +The diagram illustrates the Service information model. At the center is the **Service** entity (oval). It is connected to several other entities: + +- ServiceSchedule** and **ServiceArea** (ovals) are connected to **ServiceProfile** (oval) via **hasServiceSchedule** and **hasServiceArea** relationships. +- ServiceProfile** is connected to **Service** via a **hasServiceProfile** relationship. +- Service** is connected to **ServiceDescription** (rectangle) via a **hasServiceDescription** relationship. The **ServiceDescription** rectangle contains the following attributes: + - ServiceID + - ServiceName + - ServiceCategory +- Service** is connected to **foaf:URI** (oval) via a **hasUser** relationship. The **foaf:URI** oval is enclosed in a dashed blue box labeled **foaf ontology**. +- Service** is connected to **ServiceType** (oval) via a **hasServiceType** relationship. +- Service** is connected to **ObjectType** (oval) via a **hasObjectType** relationship. +- ObjectType** is connected to **VO** (oval) and **CVO** (oval) via a **** relationship. + +Figure 8-3 – Service information model diagram + +Y.4452(16)\_F8-3 + +**Figure 8-3 – Service information model** + +- **ServiceDescription**: includes information to identify the service name, ID and service category; +- **ServiceType**: the service modeling language type technique; +- **ServiceProfile**: the profile of a service includes a range of service, a schedule, an input and output, a precondition, an effect, other related information and the connection of each device to the ValueContainer in the real world environment; +- **ObjectType**: refers to an instance indicating various combinations of VOs and CVOs; +- **Friend of a friend (foaf) ontology**: external ontology defining the user of the service. + +# Bibliography + +- [b-ITU-T Y.4404] Recommendation ITU-T Y.4404/Y.2062 (2012), *Framework of object-to-object communication for ubiquitous networking in next generation networks*. +- [b-IETF RFC 3986] IETF RFC 3986 (2005), *IETF Uniform Resource Identifiers (URI): Generic Syntax*. <[http://datatracker.ietf.org/doc/rfc3986/?include\\_text=1](http://datatracker.ietf.org/doc/rfc3986/?include_text=1)> + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | General tariff principles | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Terminals and subjective and objective assessment methods | +| Series Q | Switching and signalling | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| 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a/marked/Y/T-REC-Y.4457-201806-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4457-201806-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..899ab44f591992f1274d03eaca955cba9e22b33d --- /dev/null +++ b/marked/Y/T-REC-Y.4457-201806-I_PDF-E/raw.md @@ -0,0 +1,996 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.4457 + +(06/2018) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Frameworks, architectures and protocols + +# --- **Architectural framework for transportation safety services** + +Recommendation ITU-T Y.4457 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +### CLOUD COMPUTING + +Y.3500–Y.3999 + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4457 + +# Architectural framework for transportation safety services + +## Summary + +Accidents and disasters caused by various means of transportation affect many lives and properties. Transportation safety can be influenced by defective vehicles (e.g., cars, trains, ships), environmental status (e.g., wind, snow, low temperatures), disruption to transportation infrastructures (e.g., bridges, tunnels, roads) and human error. Transportation safety services based on Internet of things (IoT) technologies can reduce the occurrence of accidents and disasters, save lives and reduce damage to properties. + +Recommendation ITU-T Y.4457 describes a transportation safety management model and an architectural framework for transportation safety services based on the IoT reference model. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4457 | 2018-06-29 | 20 | 11.1002/1000/13641 | + +## Keywords + +Architecture, framework, IoT, transportation safety management model, transportation safety service. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2018 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-------------------------------------------------------------------------------|-------------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 3 | +| 4 | Abbreviations and acronym..... | 3 | +| 5 | Conventions ..... | 3 | +| 6 | Overview of transportation safety services..... | 3 | +| 7 | Transportation safety management model and safety measurement parameters..... | 4 | +| | 7.1 Transportation safety management model..... | 4 | +| | 7.2 Safety measurement parameters ..... | 6 | +| 8 | Architectural model for transportation safety services ..... | 6 | +| | 8.1 Device layer..... | 7 | +| | 8.2 Network layer ..... | 9 | +| | 8.3 Service support and application support layer..... | 10 | +| | 8.4 Application layer ..... | 12 | +| | Annex A – The creation of a safety index and safety knowledge..... | 14 | +| | Annex B – The creation of driver tiredness knowledge..... | 16 | +| | Appendix I – Sensing data pre-processing procedure..... | 18 | +| | I.1 Sensing data pre-processing in a vehicle..... | 18 | +| | I.2 Sensing data pre-processing in adjacent vehicle ..... | 19 | +| | Appendix II – Characteristics of transportation application services ..... | 22 | +| | Bibliography..... | 25 | + + + +# Recommendation ITU-T Y.4457 + +# Architectural framework for transportation safety services + +# 1 Scope + +This Recommendation addresses a transportation safety management model that describes disaster management steps based on Internet of things (IoT) technologies in order to reduce damage from disasters. An architectural model for transportation safety services is described based on [ITU-T Y.4116] and on requirements according to the IoT reference model [ITU-T Y.4000]. + +The scope and characteristics of transportation disasters from various transportations (e.g., road, railway, maritime and air transportation) are based on [ITU-T Y.4116]. Transportation safety management parameters (e.g., safety index and driver tiredness) are presented respectively in Annex A and Annex B and sensing data pre-processing procedure and characteristics of transportation application services are described in the appendices of this Recommendation. + +NOTE – In this Recommendation, some capabilities (e.g., driver condition monitoring, infrastructure monitoring) and some applications (e.g., road/train/maritime/air safety management services) may be related to regulation in some countries. In this case, non-functional aspects related to regulation are out of scope and functional aspects cannot supersede existing regulation. Regulatory issues may be subject to laws (e.g., intelligent transportation system (ITS) related regulation). + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T E.108] Recommendation ITU-T E.108 (2016), *Requirements for a disaster relief mobile message service*. +- [ITU-T F.749.1] Recommendation ITU-T F.749.1 (2015), *Functional requirements for vehicle gateways*. +- [ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [ITU-T Y.4050] Recommendation ITU-T Y.4050/Y.2069 (2012), *Terms and definitions for the Internet of things*. +- [ITU-T Y.4101] Recommendation ITU-T Y.4101/Y.2067 (2017), *Common requirements and capabilities of a gateway for Internet of things applications*. +- [ITU-T Y.4116] Recommendation ITU-T Y.4116 (2017), *Requirements of transportation safety services including use cases and service scenarios*. +- [ITU-T Y.4401] Recommendation ITU-T Y.4401/Y.2068 (2015), *Functional framework and capabilities of the Internet of things*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 disaster** [b-ITU-T FG-DR&NRR]: A serious disruption of the functioning of a community or a society involving widespread human, material, economic or environmental losses and impacts, which exceeds the ability of the affected community or society to cope using its own resources. + +**3.1.2 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on, existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.3 logistics satisfaction index** [ITU-T Y.4116]: An index that reflects the degree of satisfaction of an owner of goods during a delivery process. + +NOTE – For example, the logistics satisfaction index may be evaluated by considering the delivery experience of goods on the delivery route and the facilities of the delivery vehicles. + +**3.1.4 safety index (safety level)** [ITU-T Y.4116]: A numerical value indicating the health status of transportation infrastructure or vehicle at a given time. A low safety index means a critical health status of the transportation infrastructure or vehicle. + +NOTE – As an example of specific transportation infrastructure safety index, the type of road such as mountain road and urban road, and the road health status such as irregularity and flatness, pothole, accident status, etc., are evaluated for the road safety index. The road safety index can be adjusted in its evaluation other parameters such as the type of vehicle and the driver characteristics such as gender, age. + +**3.1.5 thing** [ITU-T Y.4000]: In the Internet of things, this is an object of the physical world (physical things) or the information world (virtual things), which is capable of being identified and integrated into communication networks. + +**3.1.6 vehicle** [ITU-T Y.4116]: A means of transportation in air, maritime or surface environments. + +NOTE – Examples of vehicles include cars, ships, flights, trains, unmanned aerial systems (UASs). + +**3.1.7 vehicle gateway (VG)** [ITU-T F.749.1]: A VG is a device in a vehicle that enables communications between a device in the vehicle and another device which may be physically located either inside the vehicle or outside the vehicle (e.g., roadside station, cloud-based server, etc.). A VG provides standardized interfaces and protocols, communications across heterogeneous networks, optimized network selection based on application needs and network quality of service (QoS), arbitration and integration of network communications, security and switching network connections to maintain service continuity. + +**3.1.8 virtual sensor (soft sensor)** [ITU-T Y.4116]: A kind of sensor that uses information available from various measurements including process measurement parameters, to estimate the quantity of interest. A virtual sensor can process measurement parameters from physical sensors or other virtual sensors. + +NOTE 1 – Some virtual sensors may convert parameters of physical domains to logical domain values, e.g., for specific monitoring purposes. Also, some virtual sensors may realize this conversion among multiple domains, e.g., a "freezing" sensor can be finally assembled from temperature sensor(s) and humidity sensor(s). + +NOTE 2 – As an example, in case of transportation safety, the vibration of a vehicle and the elevation, humidity, temperature and freezing status of the road, may be considered to create a virtual sensor for transportation safety. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronym** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|------------------------------------------| +| AP | Access Point | +| API | Application Programming Interface | +| CCTV | Closed Circuit Television | +| DTN | Delay Tolerant Network | +| GPS | Global Positioning System | +| GUI | Graphical User Interface | +| ICT | Information and Communication Technology | +| IoT | Internet of Things | +| IP | Internet Protocol | +| ITS | Intelligent Transportation System | +| LPI | Logistics Performance Index | +| PPDR | Public Protection and Disaster Relief | +| QoS | Quality of Service | +| RDF | Resource Description Framework | +| RSE | Road Side Equipment | +| UAS | Unmanned Aerial System | +| VG | Vehicle Gateway | +| V2V | Vehicle to Vehicle | +| WCN | Wideband Communication Network | +| WSN | Wireless Sensor Network | + +# **5 Conventions** + +None. + +# **6 Overview of transportation safety services** + +Transportation accidents and disasters have an effect on lives and properties and there are many factors such as abnormal status of vehicles (e.g., cars, trains, ships) and transportation infrastructures (e.g., bridges, tunnels, roads), and driver's driving status (e.g., tiredness, drunk, sleeping) that can influence accidents and injuries. It is essential to prevent disasters and reduce the damage from disasters by continuously monitoring the status of vehicles, transportation infrastructures and driver's driving status. Therefore, this Recommendation addresses the use of Internet of things (IoT) technologies to prevent transportation accidents and disasters. + +There are some intelligent transportation system (ITS) related standards such as [b-ISO 15638-7], [b-ISO 15638-12], [b-ISO 15638-17] and [b-ISO 13185-2] that define the framework for telematics and vehicle interfaces for provisioning and support of ITS services to resolve traffic problems by providing traffic information collection service, telematics service, etc., but these standards do not include transportation disaster management related technologies. To resolve transportation accidents and disasters [ITU-T Y.4116] describes requirements for providing transportation safety services including the use cases and related service scenarios. Based on [ITU-T Y.4116], the present Recommendation provides a transportation safety management model and an architectural framework for transportation safety services based on the IoT reference models presented in [ITU-T Y.4000]. These models are applicable to various transportation services (e.g., vehicles, railway, maritime, air transportation). + +# 7 Transportation safety management model and safety measurement parameters + +This clause presents a transportation safety management model and safety measurement parameters (safety knowledge and driver tiredness knowledge), which can be used to analyse the safety status of vehicles and transportation infrastructures as well as drivers' driving status. + +## 7.1 Transportation safety management model + +This clause presents a transportation safety management model to prevent disasters and reduce the damage from disasters. The transportation safety management model, shown in Figure 1, consists of 5 steps as follows: + +- Monitoring early warning of disaster; +- Disaster detection; +- Disaster simulation; +- Disaster countermeasure; +- Disaster prevention. + +![Figure 1: Transportation safety management model. A circular flow diagram with five green circular nodes connected by arrows in a clockwise cycle. The nodes are: Monitoring early warning of disaster (top), Disaster detection (right), Disaster simulation (bottom right), Disaster countermeasure (bottom left), and Disaster prevention (left).](053f1077d592e6622cd21dc4bb4cb366_img.jpg) + +``` +graph TD; A((Monitoring early warning of disaster)) --> B((Disaster detection)); B --> C((Disaster simulation)); C --> D((Disaster countermeasure)); D --> E((Disaster prevention)); E --> A; +``` + +Y.4457(18)\_F01 + +Figure 1: Transportation safety management model. A circular flow diagram with five green circular nodes connected by arrows in a clockwise cycle. The nodes are: Monitoring early warning of disaster (top), Disaster detection (right), Disaster simulation (bottom right), Disaster countermeasure (bottom left), and Disaster prevention (left). + +**Figure 1 –Transportation safety management model** + +#### 7.1.1 Monitoring early warning of disaster + +In order to prevent or mitigate damages from the disaster, it is necessary to monitor early warnings of disaster accurately. The measuring parameters that can be used to anticipate disasters are temperature, vibration, humidity, weather, etc. Disaster monitoring can be done in a distributed manner by clients in vehicles and servers in consideration of vehicle mobility. The threshold values + +for the anticipation of disasters in vehicles can be delivered from a network server [ITU-T Y.4116]. During the monitoring procedure, the following data are used: + +- IoT sensing data from vehicles (e.g., temperature, vibration, velocity of vehicle, etc.); +- IoT sensing data from transportation infrastructures (e.g., temperature, vibration, etc.); +- IoT sensing data from surrounding environment (e.g., temperature, fire, fog, etc.); +- Virtual IoT sensing data created by converging various IoT sensing data. + +#### **7.1.2 Disaster detection** + +In order to detect disasters in real time, it is necessary to analyse the various kinds of IoT sensing data quickly and increase the detection probability of disasters by combining several IoT data. Since IoT sensing data are changed in a certain range according to time, the measured sensing data are filtered in a certain period to increase the detection probability of disasters. The threshold value of each IoT sensing data is defined by cooperating vehicles and network servers and several IoT sensing data with multimedia formats to detect disasters with high accuracy. Abnormal operation of IoT sensors must be recognized to avoid false alarms. + +#### **7.1.3 Disaster simulation** + +The disaster simulation is used in order to estimate the magnitude, type and propagation time of a disaster. It is necessary to simulate the disaster in three dimensions to analyse the damage for accurate countermeasures and to prevent secondary damage. The affected disaster area depends on the magnitude and type of the disaster and environmental factors (e.g., temperature, fog, etc.). + +#### **7.1.4 Disaster countermeasure** + +It is necessary to counteract rapidly after disaster detection and simulation to save lives and to reduce the damage. The disaster countermeasure procedure can be approached differently according to the disaster magnitude. A systematic countermeasure from the disaster is managed by a disaster control centre as follows: + +- An emergency communication network including wired and/or wireless communication facilities should be provided within a limited time. + +NOTE – Unmanned aerial systems (UASs) can provide wireless communication links to support an emergency countermeasure and to support wireless sensing networks to monitor the status of disasters, for example using airdrop sensors and delay tolerant network (DTN) equipment [b-IETF RFC 4838] and [b-IETF RFC 5050]. + +- An alert signal can be issued differently according to the nature of the disaster. In case of road accidents, a message indicating a detour may be transmitted to the related area. +- A disaster relief procedure should be provided in order to reduce the damage by connecting related organizations (e.g., fire station, hospital, etc.) [ITU-T E.108]. + +#### **7.1.5 Disaster prevention** + +Since an efficient maintenance procedure for vehicles and transportation infrastructures can prevent a disaster, it is necessary to monitor vehicles and transportation infrastructures periodically or intermittently according to the safety level as follows: + +- Create a safety index [ITU-T Y.4116] of vehicles and transportation infrastructures based on IoT sensing data: + - periodic sensing is necessary to perform health monitoring of vehicles and transportation infrastructures to ensure that the safety index is in normal status; + - short periodic sensing or non-periodic sensing scheduling is necessary to ensure that the safety index is in different status. +- In order to increase the disaster prevention ratio, the repair history data can be considered. + +NOTE – In case of a public transportation company, when vehicles enter a designated repair centre, repair information may be gathered automatically and be sent to a management centre to create a database for maintenance history. + +- When the anticipatory sign of a disaster is detected, an urgent disaster prevention procedure should be initiated by sending an alert signal to related organizations and/or entities (e.g., road corporation, road transportation company, railway company, driver, etc.). + +### **7.2 Safety measurement parameters** + +#### **7.2.1 Safety knowledge** + +It is necessary to use safety related parameters to evaluate vehicles and infrastructure quantitatively. One of the measuring parameters used to evaluate safety is a safety index. A safety index represents a numerical value indicating the current health status of an object [ITU-T Y.4116] and safety knowledge represents the health state of an object using a safety index at a given condition (e.g., weather and time, etc.). The safety knowledge can be different for the same object according to the conditions (e.g., an environment and time, season, etc.). When the safety knowledge is created, the repair history of a vehicle and/or an infrastructure is used to estimate more accurately the safety status [ITU-T Y.4116]. + +NOTE 1 – Details of safety index and safety knowledge are shown in Annex A. + +NOTE 2 – Transportation service companies can use safety knowledge to maintain vehicles in order to prevent disasters. Road corporations and railway companies can use safety knowledge to maintain transportation infrastructures. + +#### **7.2.2 Driver tiredness knowledge** + +Since driver tiredness affects transportation disasters, it is necessary to manage driver tiredness using IoT bio-sensing data that can be acquired during driving using a non-constraining or non-stimulative method. + +Driver tiredness knowledge is managed by a tiredness index that indicates the degree of tiredness of a driver. A tiredness index differs for each person in the same bio signal conditions, according to individual characteristics (e.g., gender, age, illness, etc.). + +NOTE 1 – Transportation service companies can use driver tiredness knowledge to administrate drivers to prevent disasters. For measuring tiredness, there are two kinds of methodology: + +- the tiredness measurement using IoT sensors in a car; +- the cooperative measurement: a driver can cooperate with an administration centre using an actuator attached on the steering wheel and road side equipment (RSE) installed on road in the case of road transportation. + +NOTE 2 – Details of driver tiredness knowledge are shown in Annex B. + +# **8 Architectural model for transportation safety services** + +Figure 2 shows an architectural model for transportation safety services based on the IoT reference model in [ITU-T Y.4000]. It is composed of four layers as follows: + +- Device layer; +- Network layer; +- Service support and application support layer; +- Application layer. + +![Figure 2: Architectural model for transportation safety services. The diagram shows a multi-layered architecture with four main layers: [Application layer], [Service support and application support layer], [Network layer], and [Device layer]. The [Application layer] includes IoT applications based on transportation safety (Road, Train, Marine, Smart logistics, Air). The [Service support and application support layer] includes Transportation safety service platform capabilities (Monitoring object modelling, Disaster monitoring/detection, Threshold value creation, Disaster simulation), Virtual sensor creation capabilities (Virtual IoT sensor creation, Sensor management), and Safety knowledge creation capabilities (Safety knowledge creation, Knowledge storage and growth). The [Network layer] includes Transmission capabilities (Wired network, Wireless network, DTN) and Sensing data delivery capabilities (Sensing data pre-processing). The [Device layer] includes Sensor management capability, Sensor actuation capability, Sensor networking capability, IoT sensing capabilities (Environment monitoring, Loading status monitoring, Driver condition monitoring, Vehicle monitoring, Infrastructure monitoring), and Gateway capabilities (Sensor gateway). The architecture is flanked by Management capabilities (Specific and Generic) on the left and Security capabilities (Specific and Generic) on the right.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +The diagram illustrates the architectural model for transportation safety services, organized into four main layers with associated capabilities: + +- [Application layer]:** + - IoT applications based on transportation safety: + - Road transportation safety management + - Train transportation safety management + - Marine transportation safety management + - Smart logistics + - Air transportation safety management +- [Service support and application support layer]:** + - Transportation safety service platform capabilities: + - Monitoring object modelling + - Disaster monitoring/detection + - Threshold value creation + - Disaster simulation + - Virtual sensor creation capabilities: + - Virtual IoT sensor creation + - Sensor management + - Safety knowledge creation capabilities: + - Safety knowledge creation + - Knowledge storage and growth +- [Network layer]:** + - Transmission capabilities: + - Wired network + - Wireless network + - DTN + - Sensing data delivery capabilities: + - Sensing data pre-processing +- [Device layer]:** + - Sensor management capability + - Sensor actuation capability + - Sensor networking capability + - IoT sensing capabilities: + - Environment monitoring + - Loading status monitoring + - Driver condition monitoring + - Vehicle monitoring + - Infrastructure monitoring + - Gateway capabilities: + - Sensor gateway + +The architecture is supported by two vertical bars on the sides: + +- Management capabilities:** + - Specific management capabilities + - Generic management capabilities +- Security capabilities:** + - Specific security capabilities + - Generic security capabilities + +Figure 2: Architectural model for transportation safety services. The diagram shows a multi-layered architecture with four main layers: [Application layer], [Service support and application support layer], [Network layer], and [Device layer]. The [Application layer] includes IoT applications based on transportation safety (Road, Train, Marine, Smart logistics, Air). The [Service support and application support layer] includes Transportation safety service platform capabilities (Monitoring object modelling, Disaster monitoring/detection, Threshold value creation, Disaster simulation), Virtual sensor creation capabilities (Virtual IoT sensor creation, Sensor management), and Safety knowledge creation capabilities (Safety knowledge creation, Knowledge storage and growth). The [Network layer] includes Transmission capabilities (Wired network, Wireless network, DTN) and Sensing data delivery capabilities (Sensing data pre-processing). The [Device layer] includes Sensor management capability, Sensor actuation capability, Sensor networking capability, IoT sensing capabilities (Environment monitoring, Loading status monitoring, Driver condition monitoring, Vehicle monitoring, Infrastructure monitoring), and Gateway capabilities (Sensor gateway). The architecture is flanked by Management capabilities (Specific and Generic) on the left and Security capabilities (Specific and Generic) on the right. + +Y.4457(18)\_F02 + +**Figure 2 – Architectural model for transportation safety services** + +### 8.1 Device layer + +The device layer supports various capabilities to acquire sensing data and deliver it to a network layer. + +#### 8.1.1 Sensor management capability + +This capability supports sensor establishment and generates the control message for detecting the status of sensor operation and for managing sensors. The status information of a sensor is reported to a service support and application support layer via a sensor gateway to support sensor management capability as follows: + +- When any IoT sensor does not work, other sensors can be operated substituting it. + +NOTE – Details of substituting sensing data are shown in Appendix I. + +- When IoT sensing data has an abnormal status, sensor management capability can calibrate the abnormal IoT sensor in collaboration with the sensor actuation capability. +- Sensor management capability manages the power status of a sensor to extend the operating life and to control the transmission period of measured data. + +#### **8.1.2 Sensor actuation capability** + +This capability generates a sensor control message to operate a sensor for the purpose of demand as follows: + +- IoT sensor calibration for the purpose of refreshing; +- Virtual IoT sensor creation by controlling the IoT sensor operation. + +#### **8.1.3 Sensor networking capability** + +This capability supports the configuration of a wireless sensor network (WSN) for vehicles and transportation infrastructures. + +- In the case of vehicles, WSN can be configured in internal and external environments from the vehicles (e.g., sensor nodes in a vehicle can be connected to access points (AP) installed in infrastructures). +- In the case of trains, in order to extend the service coverage of WSN, multi-hop relay and mesh networking can be used in trains. + +#### **8.1.4 Sensor gateway capability** + +This capability supports the interconnection between WSN and a wideband communication network (WCN) (e.g., backbone network or mobile communication network) for IoT operation [ITU-T Y.4101]. All of the sensing data are delivered to a network layer via a sensor gateway. A sensor gateway performs the protocol conversion function between WSN and WCN. In addition, a sensor gateway provides the graphical user interface (GUI) based monitoring function to display safety information on the terminal screen (e.g., a vehicle gateway (VG) in a vehicle [ITU-T F.749.1] or a sensor gateway in a train locomotive can gather sensing data and display safety information). + +#### **8.1.5 IoT sensing capabilities** + +##### **8.1.5.1 Vehicle monitoring** + +This capability supports the vehicle monitoring that measures various parameters (e.g., temperature, vibration, balance, tire pressure in the case of a road vehicle, etc.). An analogue value of sensing data is converted to a digital value for an estimation process and transmission to a transportation safety service platform. The sampling rate of a sensor can be changeable according to the power status of the sensor and interference level of a WSN. The sensing data are compared with the predefined threshold value to detect the abnormal status of an object in real time. In the case where measured sensing data is abnormal, alert information has to be generated in real time. + +In addition the repair history of a vehicle can be registered in a database to estimate the possibility of failure. + +##### **8.1.5.2 Infrastructure monitoring** + +This capability supports the monitoring for transportation infrastructures. The various parameters (e.g., vibration, cracks and pot-holes in the case of road transportation) are measured to estimate the safety index to prevent an accident caused by the abnormal status of an infrastructure. Sensors installed in a vehicle or sensors installed in a transportation infrastructure measure various parameters from an infrastructure in real time and deliver these parameters to service support and application support layers. + +##### **8.1.5.3 Environment monitoring** + +This capability supports the monitoring of the surrounding environment of vehicles and transportation infrastructures. The various parameters (e.g., freezing, fog, road slipperiness, etc.) are measured to estimate indications of a possible accident. Sensors installed in a vehicle or sensors + +installed in a transportation infrastructure measure environmental parameters in real time and deliver these parameters to service support and application support layers. + +##### **8.1.5.4 Loading status monitoring** + +This capability supports the loading status monitoring that measures the loading status of vehicles, and weight status of vehicles to estimate the effect of an accident, because the overloading of a vehicle can cause an accident (e.g., overturning, derailment). + +##### **8.1.5.5 Driver condition monitoring** + +Since transportation accidents can be induced not only by an abnormal status of transportation infrastructures, but also by driver tiredness, it is necessary to monitor the status of the driver. + +This capability supports driver condition monitoring to prevent an accident caused by a driver's tiredness. A bio-signal can be monitored by unconstrained signal measurements or unconsciousness measurements during driving status. Driver tiredness can be measured by a bio-signal or a driver's response delay time. + +NOTE – In order to assure safe driving, a driver and roadside equipment can cooperate with each other for measuring a driver's tiredness and for refreshing the tired driver (e.g., roadside equipment sends the test sequence message to measure the response time of a driver.). If the response time is beyond the predefined duration, the roadside equipment estimates the tiredness of a driver and performs counteractive activities. + +### **8.2 Network layer** + +#### **8.2.1 Networking capabilities** + +For networking capabilities, an Internet protocol (IP) packetizing algorithm considering the encapsulation of multiple sensing data supports delivery of the sensing data to a transportation safety service platform. + +##### **8.2.1.1 Wired network** + +This capability supports the interconnection for delivering sensing data to a service support and application support layer using a wired network (e.g., optical or Ethernet network). A wired network is useful for infrastructure monitoring and wideband multimedia data transmission for example a closed circuit television (CCTV). + +##### **8.2.1.2 Wireless network** + +This capability supports the interconnection for delivering sensing data to a service support and application support layer using a wireless/mobile network. IoT sensing data can be delivered to the service support and application support layer via a Wi-Fi network in place of a mobile network. + +There are two methodologies (i.e., periodic transmission and event driven transmission) to deliver sensing data to a transportation safety service platform. + +##### **8.2.1.3 Delay tolerant network** + +This capability supports interconnection between a WSN and Internet network where there are no permanent backbone networks. IoT sensing data can be compressed considering the characteristics of sensing data to be stored in a delay tolerant network (DTN) gateway during the disconnection period of backbone links. Thereafter reconnecting the backbone link, DTN functionality transmits the stored sensing data with timing information. + +NOTE – UAS or a smart phone can provide intermittent backbone links to deliver stored sensing data in a DTN gateway. + +#### **8.2.2 Sensing data pre-processing capabilities** + +##### **8.2.2.1 Sensing data pre-processing** + +When considering a wireless network that is limited to the transmission data rate, it is necessary to reduce transmission data volumes. Sensing data pre-processing capability is required according to the characteristics of sensing data (e.g., occurrence, value range, duplication, etc.). + +The duplication of sensing data includes duplication among current sensing data, duplication between current and pre-transmitted sensing data and duplication among platooning vehicles. The compression technique for duplication data includes average calculation or data substitution among adjacent vehicles. + +Invalid sensing data whose values are beyond a predetermined range cannot be delivered to a transportation safety service platform. In this case, this capability supports a reset or calibration of the abnormal sensors. + +NOTE – Appendix I presents details of sensing data pre-processing procedure. + +### **8.3 Service support and application support layer** + +#### **8.3.1 Virtual sensor creation capabilities** + +##### **8.3.1.1 Virtual IoT sensor creation** + +This capability supports the IoT sensor creation that creates a new IoT sensor combining several IoT sensors for the purpose of monitoring certain objects [ITU-T Y.4116]. This capability can easily measure various parameters without the establishment of new physical IoT sensors. If it is necessary to control sensors from a remote location for the creation of a virtual IoT sensor, this functionality can cooperate with the sensor management capability. + +NOTE – When a virtual IoT sensor is created, some sensors may be controlled to adjust the sensing range or sampling frequency, or substitute other sensors, etc. + +##### **8.3.1.2 Sensor management** + +This capability supports the sensor management that monitors IoT sensor status (e.g., normal and abnormal status and power levels, etc.). Also IoT sensors installed in vehicles or transportation infrastructures can be calibrated from a remote site by this capability. This capability cooperates with the sensor management capability in the device layer. + +#### **8.3.2 Transportation safety service platform capabilities** + +There are several capabilities in a transportation safety service platform as shown in Figure 2. These capabilities are related to each other as shown in Figure 3. + +![Figure 3: The relationship among capabilities in a transportation safety service platform. The diagram shows a flow of data and control between several functional blocks. 'Virtual IoT sensor creation' (purple) feeds into 'Disaster monitoring/detection' (yellow). 'Disaster monitoring/detection' feeds into 'Sensor management' (purple), which in turn feeds into 'Threshold value creation' (yellow). 'Threshold value creation' feeds into 'Disaster monitoring/detection'. 'Disaster monitoring/detection' feeds into 'Disaster simulation' (yellow). 'Disaster simulation' feeds into 'Safety knowledge creation' (blue), which feeds into 'Knowledge storage and growth' (blue). 'Disaster simulation' also feeds into 'Monitoring object modelling' (yellow). 'Monitoring object modelling' feeds into 'Sensor management'. 'Sensor management' feeds into 'Virtual IoT sensor creation'. There are also feedback loops from 'Disaster simulation' to 'Threshold value creation' and from 'Monitoring object modelling' to 'Disaster simulation'.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +``` + +graph TD + V[Virtual IoT sensor creation] --> DM[Disaster monitoring/detection] + DM --> SM[Sensor management] + SM --> V + SM --> TVC[Threshold value creation] + TVC --> DM + DM --> DS[Disaster simulation] + DS --> SKC[Safety knowledge creation] + SKC <--> KSG[Knowledge storage and growth] + DS --> MOM[Monitoring object modelling] + MOM --> SM + DS --> TVC + MOM --> DS + +``` + +Y.4457(18)\_F03 + +Figure 3: The relationship among capabilities in a transportation safety service platform. The diagram shows a flow of data and control between several functional blocks. 'Virtual IoT sensor creation' (purple) feeds into 'Disaster monitoring/detection' (yellow). 'Disaster monitoring/detection' feeds into 'Sensor management' (purple), which in turn feeds into 'Threshold value creation' (yellow). 'Threshold value creation' feeds into 'Disaster monitoring/detection'. 'Disaster monitoring/detection' feeds into 'Disaster simulation' (yellow). 'Disaster simulation' feeds into 'Safety knowledge creation' (blue), which feeds into 'Knowledge storage and growth' (blue). 'Disaster simulation' also feeds into 'Monitoring object modelling' (yellow). 'Monitoring object modelling' feeds into 'Sensor management'. 'Sensor management' feeds into 'Virtual IoT sensor creation'. There are also feedback loops from 'Disaster simulation' to 'Threshold value creation' and from 'Monitoring object modelling' to 'Disaster simulation'. + +**Figure 3 – The relationship among capabilities in a transportation safety service platform** + +##### 8.3.2.1 Monitoring object modelling + +This capability classifies vehicles and transportation infrastructures into several models in order to support IoT sensor establishment and simulation. + +NOTE 1 – When a new IoT sensor has to be established, an IoT sensor establishment point and the number of IoT sensors can be determined by this functionality. In this case, the IoT sensor establishment point can be determined according to the correlation value of sensing data among sensors. Also it is possible to predict disasters by the disaster simulation capability using an object model. + +NOTE 2 – As an example, it is possible to decide the IoT sensor establishment location in a bridge using a bridge model and to create a bridge disaster prediction model based on a bridge model. + +##### 8.3.2.2 Disaster simulation + +This capability supports the prediction of disasters by generating a disaster prediction model in cooperation with the monitoring object modelling capability using IoT sensing data. This capability performs the following specific tasks: + +- Supports the creation of threshold values for the detection of disaster in cooperation with threshold value creation capability. +- Evaluates the effects of disaster after occurrence of disaster, e.g., estimating the size and seriousness of disaster using IoT sensing data to counteract accident. + +##### 8.3.2.3 Disaster monitoring and detection + +This capability supports disaster monitoring and detection that monitors the signs of disasters in real time. When the measured data have reached threshold values, it is estimated as disaster occurrence; thereafter this information is delivered to the disaster simulation capability. The level of disaster is classified according to the predefined threshold values. + +This capability operates in a distributed manner between the device layer in vehicles and the service support and application layer in a disaster management centre to ensure the fast and accurate detection of disasters and countermeasures. + +##### 8.3.2.4 Threshold value creation + +This capability creates threshold values of various sensing data by cooperating with the disaster simulation capability for monitoring and detecting disasters. Multilevel threshold values are determined to indicate various safety levels and these values are adjusted according to the observation goal (e.g., disaster type and object entity). Threshold values are delivered to the entity + +for the disaster monitoring and detection capability that can be implemented in a vehicle and a disaster management centre. + +#### **8.3.3 Safety knowledge creation capabilities** + +##### **8.3.3.1 Safety knowledge creation** + +This capability creates the safety knowledge that estimates the degree of safety of transportation vehicles and transportation infrastructures at a given condition by analysing IoT sensing data. + +- In case of transportation infrastructures, safety knowledge is generated by analysing the IoT sensing data of infrastructures and surrounding environmental parameters (e.g., vibration and temperature, humidity, etc.); +- In case of vehicles, safety knowledge is generated by analysing IoT sensing data and the history of repair. + +NOTE – Annex A presents details of safety knowledge creation. + +##### **8.3.3.2 Knowledge storage and update** + +This capability stores the generated safety indices with context information in an appropriate format (e.g., a RDF triple form) as shown in Annex A and updates the knowledge according to the renewed IoT sensing data continuously. The safety knowledge of objects can be different from each other in the same conditions (e.g., the safety index of a small car is different from the safety index of a heavy car in the same place.). Also the safety knowledge can be changed according to the other parameters (e.g., weather and seasons, etc.). + +### **8.4 Application layer** + +This layer provides application services using IoT sensing data for transportation safety. The application provider utilizes various IoT sensing data and capabilities as shown in Figure 2 in order to provide IoT application services to application customers [ITU-T Y.4000]. + +#### **8.4.1 IoT applications based on transportation safety** + +There are several IoT applications based on transportation safety related to IoT sensing data and capabilities. This clause introduces transportation safety management services for road, railway, maritime and air transportation (e.g., UAS) including smart logistics. All of service procedures have to be worked in real time within a limited time. + +##### **8.4.1.1 Road transportation safety management service** + +This service supports open application programming interfaces (APIs) to create the monitoring and detecting, counteracting functions to reduce the loss of lives and damage caused by transportation disasters in a road transportation environment. + +NOTE – The characteristics of a transportation safety management service are shown in Table II.1 in Appendix II. + +##### **8.4.1.2 Railway transportation safety management service** + +This service supports open APIs to create the monitoring and detecting, counteracting functions from disasters in a railway environment. + +NOTE – The characteristics of a railway transportation safety management service are shown in Table II.2 in Appendix II. + +##### **8.4.1.3 Marine transportation safety management service** + +This service supports open APIs to create the monitoring and detecting, counteracting functions from disasters in a marine transportation environment. + +NOTE – The characteristics of a marine transportation safety management service are shown in Table II.3 in Appendix II. + +##### **8.4.1.4 Air transportation safety management service** + +This service supports open APIs to create monitoring and detecting functions to reduce disasters caused by air transportation (e.g., UAS). + +NOTE – The characteristics of UAS safety management service are shown in Table II.4 in Appendix II. + +##### **8.4.1.5 Smart logistics service** + +This service supports open APIs to create monitoring and evaluation functions in goods delivery. + +The scope of an evaluation function is as follows: + +- Logistics satisfaction index: This means an indicator obtained by the weighted satisfaction scores that can be calculated on the basis of a certain standard from the experienced environmental parameters (e.g., vibration, temperature, etc.) during delivery. +- Vehicles trust index: This means an indicator obtained by the weighted trust scores that can be calculated on the basis of a certain standard from the experienced environmental parameters (e.g., vibration, temperature, accidents, etc.) during delivery. +- The trust index of a delivery company: This is evaluated by logistics performance index (LPI) [b-LPI] and logistics satisfaction index. + +NOTE – The characteristics of smart logistics service is shown in Table II.5 in Appendix II. + +## Annex A + +### The creation of a safety index and safety knowledge + +(This annex forms an integral part of this Recommendation.) + +The annex describes safety index calculation and safety knowledge creation. + +A safety index can be calculated by several methods. One of the methods for calculating a safety index is as follows [ITU-T Y.4116]: + +$$SI = \sum_{j=1}^m W_j \cdot \frac{\sum_{i=1}^k \{SS_{i\_max} - D_i\} \cdot T_i}{D_T}$$ + +SI: safety index + +$W_j$ : weight factor for IoT sensor $j$ + +$SS_{i\_max}$ : the maximum value of safety score, which means the best safety status. Safety score is allocated according to the status of an object, that is, the maximum value is assigned when an object is at the highest safe status, meanwhile, the minimum value is assigned when an object is at the lowest safe status as shown in Figure A.1 + +$D_i$ : offset value from $SS_{i\_max}$ . This offset value can be determined based on the historical data + +$T_i$ : observation time slot duration for the renewal of a safety index + +$D_T$ : total time duration for the generation of a safety index + +![Figure A.1: The concept of safety score allocation. The diagram shows a normal distribution curve representing the distribution of sensing data by IoT sensor #i. The curve is divided into three regions: 'Safe' (blue arrow pointing left), 'Caution' (orange arrow pointing right), and 'Danger' (red arrow pointing right). The peak of the curve is labeled 'Mean'. The maximum value of the safety score is labeled 'Safety score SS_{i\_max} = k'. The offset value from the maximum is labeled 'Offset D_i'. The safety score at the offset is labeled 'Safety score l'. The safety score at the danger threshold is labeled 'Safety score m'. The relationship between the maximum score and the offset is given by the equation m = k - Offset D_i. The relationship between the maximum score and the offset is also given by the equation l = k - Offset D_i.](c610fce83e7d292c8e755881b299200d_img.jpg) + +Figure A.1: The concept of safety score allocation. The diagram shows a normal distribution curve representing the distribution of sensing data by IoT sensor #i. The curve is divided into three regions: 'Safe' (blue arrow pointing left), 'Caution' (orange arrow pointing right), and 'Danger' (red arrow pointing right). The peak of the curve is labeled 'Mean'. The maximum value of the safety score is labeled 'Safety score SS\_{i\\_max} = k'. The offset value from the maximum is labeled 'Offset D\_i'. The safety score at the offset is labeled 'Safety score l'. The safety score at the danger threshold is labeled 'Safety score m'. The relationship between the maximum score and the offset is given by the equation m = k - Offset D\_i. The relationship between the maximum score and the offset is also given by the equation l = k - Offset D\_i. + +The distribution of sensing data by IoT sensor #i Y.4457(18)\_FA.1 + +**Figure A.1 – The concept of safety score allocation** + +In order to create the safety knowledge, firstly safety scores of objects and surrounding environment should be generated as shown in Figure A.2. Thereafter a safety index for an object is generated combining several sensing data in the consideration of weight parameters. Safety knowledge can be created according to condition parameters of an object. + +![Flowchart illustrating the concept of safety knowledge creation, showing the progression from IoT sensing data to safety knowledge and its connection to a safety knowledge data base.](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +The diagram illustrates the process of safety knowledge creation through four main stages, connected by downward arrows: + +- IoT sensing data:** This stage is divided into three yellow boxes. The first box, labeled "[Object] Sensing data", contains three pink circles labeled #i, #j, and #k. The second box, labeled "[Surrounding environment] Sensing data", contains three pink circles labeled #l, #m, and #n. The third box is labeled "Object repair/Accident history data". +- Safety score allocation:** This stage is a light blue box. It shows two objects, "Object #o" and "Object #p", each with associated safety scores. For "Object #o", scores are listed as #k : SSk and #i : SSi. For "Object #p", scores are listed as #k : SSo and #n : SSn. There are also two empty circles between the objects. +- Safety index:** This stage is a light green box. It shows the same two objects, "Object #o" and "Object #p", each with a "Safety index" label. There are also two empty circles between the objects. +- Safety knowledge:** This stage is a light orange box. It contains a table with three rows: + + +| | | | +|-----------|--------------|---------------------------| +| Object #o | Condition #j | Safety index j | +| | Condition #k | Safety index k | +| | Condition #m | Safety index m | + + To the right of this table is a green box labeled "Safety knowledge data base". A double-headed green arrow connects the "Safety knowledge" table to the "Safety knowledge data base". + +Y.4457(18)\_FA.2 + +Flowchart illustrating the concept of safety knowledge creation, showing the progression from IoT sensing data to safety knowledge and its connection to a safety knowledge data base. + +**Figure A.2 – The concept of safety knowledge creation** + +## Annex B + +### The creation of driver tiredness knowledge + +(This annex forms an integral part of this Recommendation.) + +There may be several kinds of methods used for measuring the driver tiredness (e.g., the bio-signal measurement of driver in a car, monitoring the driver's posture, etc.). In this annex, a cooperative method between a driver and an administration centre is described in Figure B.1. In this case, an administration centre sends test sequence messages to a vehicle through a road side equipment (RSE) and then, a driver responds to test sequence messages using an actuator attached on the steering wheel while driving (e.g., test sequence messages may consists of "push left button, push right button, push right button, etc."). An administration centre can estimate the tiredness of a driver by analysing the response time from a driver as shown in Figure B.2 (a). + +When the vehicle is in a predefined emergency state, the vehicle suspends to send test sequence messages to a driver and the vehicle transmits automatically an automatic emergency state notification message to the administration centre. If RSE and the administration centre receive an automatic emergency state notification message, they stop counteractive activities related to the driver tiredness. + +In Figure B.2 (b), if the driver's response message arrives in RSE within a permissible time limit, it is estimated that the driver is in normal state. If the response message arrives in RSE beyond the permissible time limit, the driver's tiredness is evaluated such as caution status, tired status, etc., according to the delayed time values. In case of tiredness status, the RSE send the counteract message to the vehicle for preventing disasters. + +![Diagram illustrating the concept of driver's tiredness measurement. The diagram shows a vehicle in an 'Examination section' on a road. The vehicle is connected to a 'Navigation system' (displaying a map), a 'Handle with actuator' (steering wheel), and a 'Smart phone'. The vehicle is also connected to a 'Driver's seat'. The vehicle communicates with 'RSE (road side equipment)' via a radio signal. The RSE is connected to the 'Internet' and the 'Administration centre' (which includes 'Cloud computing'). The Administration centre sends test sequence messages to the vehicle through the RSE. The vehicle responds to these messages using the actuator on the steering wheel. The Administration centre estimates the driver's tiredness based on the response time.](5793a44ffdadd039928e2f9fe6daae06_img.jpg) + +The diagram illustrates the concept of driver's tiredness measurement. It shows a vehicle in an 'Examination section' on a road. The vehicle is connected to a 'Navigation system' (displaying a map), a 'Handle with actuator' (steering wheel), and a 'Smart phone'. The vehicle is also connected to a 'Driver's seat'. The vehicle communicates with 'RSE (road side equipment)' via a radio signal. The RSE is connected to the 'Internet' and the 'Administration centre' (which includes 'Cloud computing'). The Administration centre sends test sequence messages to the vehicle through the RSE. The vehicle responds to these messages using the actuator on the steering wheel. The Administration centre estimates the driver's tiredness based on the response time. + +Diagram illustrating the concept of driver's tiredness measurement. The diagram shows a vehicle in an 'Examination section' on a road. The vehicle is connected to a 'Navigation system' (displaying a map), a 'Handle with actuator' (steering wheel), and a 'Smart phone'. The vehicle is also connected to a 'Driver's seat'. The vehicle communicates with 'RSE (road side equipment)' via a radio signal. The RSE is connected to the 'Internet' and the 'Administration centre' (which includes 'Cloud computing'). The Administration centre sends test sequence messages to the vehicle through the RSE. The vehicle responds to these messages using the actuator on the steering wheel. The Administration centre estimates the driver's tiredness based on the response time. + +Y.4457(18)\_FB.1 + +Figure B.1 –The concept of driver's tiredness measurement + +![Sequence diagram and graph showing driver's tiredness measurement procedure and distribution.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +**a) Measurement procedure** + +``` + +sequenceDiagram + participant Vehicle + participant RSE + participant AdministrationCentre as Administration centre + + Vehicle->>RSE: Vehicle information + RSE->>AdministrationCentre: Vehicle information + AdministrationCentre->>RSE: Indication for tiredness measurement + RSE->>Vehicle: Indication for tiredness measurement + Vehicle->>RSE: Acknowledgement + RSE->>AdministrationCentre: Acknowledgement + AdministrationCentre->>RSE: Test sequence message + RSE->>Vehicle: Test sequence message + Note over Vehicle: Emergency check (Normal state) + Vehicle->>RSE: Response message to test sequence message + RSE->>AdministrationCentre: Response message to test sequence message + AdministrationCentre->>RSE: Refresh command message + RSE->>Vehicle: Refresh command message + Note over Vehicle: Emergency check (emergency state) + Vehicle->>RSE: Automatic emergency state notification message + RSE->>AdministrationCentre: Refresh command message + AdministrationCentre-->>AdministrationCentre: X + +``` + +**b) The distribution of driver's tiredness** + +The graph shows a normal distribution curve of response time (msec). Key time points are marked on the x-axis: + +- Test message transmitted time at RSE (vertical blue line) +- Test message received time at vehicle (vertical blue line) +- Test message received time at RSE (vertical green line) + +The distribution is divided into three status regions: + +- Normal status:** Indicated by a green double-headed arrow between the transmitted and received times at the RSE. +- Caution status:** Indicated by an orange double-headed arrow between the received time at the vehicle and the received time at the RSE. +- Tired status:** Indicated by a red double-headed arrow to the right of the received time at the RSE. + +The mean of the distribution is marked by a vertical dashed blue line. + +Sequence diagram and graph showing driver's tiredness measurement procedure and distribution. + +**Figure B.2 –The measurement procedure of driver's tiredness** + +# Appendix I + +## Sensing data pre-processing procedure + +(This appendix does not form an integral part of this Recommendation.) + +This appendix describes a sensing data pre-processing procedure based on scenarios of data duplication in vehicles. + +### I.1 Sensing data pre-processing in a vehicle + +In Figure I.1, when vehicles move in locations of near-identical environments, the characteristics of collected sensing data are expected to be identical. + +The amount of required processing resources for both vehicles and a transport safety service platform is increased exponentially. Thus pre-processing to minimize transmitting duplicated data is needed. + +NOTE – When a vehicle moves on a road with less highway junctions, sensing data collected by each vehicle shows a significantly high correlation (e.g., vehicle speed, outside temperature, road information, GPS information, etc.). Figure I.1 shows scenarios of data duplication in vehicles. When a transport safety service platform (server) collects driving information of a vehicle and all vehicles transmit their own collected data to the transport safety service platform, it leads to the transmission of duplicated data. + +![Diagram illustrating scenarios of data duplication in vehicles. A Transportation safety service platform (server) is connected to a Network. The Network is connected to two vehicles, Vehicle 1 and Vehicle 2, which are both located in Location A. The diagram shows three steps: 1. Request for data transmission by broadcasting in Location A, 2. Sending sensing data in vehicle 1, and 3. Sending sensing data in vehicle 2.](19a5f0db57a21a0e82a7f326083e96fd_img.jpg) + +The diagram illustrates a scenario of data duplication in vehicles. At the top, a pink rounded rectangle represents the 'Transportation safety service platform (server)'. Below it is a cloud labeled 'Network'. At the bottom, a blue rectangle represents 'Location A', which is divided into three horizontal lanes by solid lines. Two vehicles, 'Vehicle 1' and 'Vehicle 2', are shown as pink rectangles within these lanes. Dashed arrows indicate the flow of data: 1. A dashed arrow from the server to the network is labeled '1. Request for data transmission by broadcasting in Location A'. 2. A dashed arrow from the network to Vehicle 1 is labeled '2. Sending sensing data in vehicle 1'. 3. A dashed arrow from the network to Vehicle 2 is labeled '3. Sending sensing data in vehicle 2'. The label 'Location A' is at the bottom right of the blue rectangle. The identifier 'Y.4457(18)\_Fl.1' is at the bottom right of the diagram. + +Diagram illustrating scenarios of data duplication in vehicles. A Transportation safety service platform (server) is connected to a Network. The Network is connected to two vehicles, Vehicle 1 and Vehicle 2, which are both located in Location A. The diagram shows three steps: 1. Request for data transmission by broadcasting in Location A, 2. Sending sensing data in vehicle 1, and 3. Sending sensing data in vehicle 2. + +Figure I.1 – Scenarios of data duplication in vehicles + +The type of duplication is largely classified by the types of sensing data (e.g., current sensing data, pre-transmitted sensing data and sensing data with adjacent vehicles). In each duplication, pre-processing is implemented and the procedure of duplication pre-processing can be changed as necessary. + +#### I.1.1 Data duplication within current sensing data + +When any duplication within current sensing data exists, pre-processing can minimize transmission of duplicated sensing data by transmitting a duplicated data with duplicated times or averaged data (e.g., in case of a lot of unchangeable stationary sensing data). + +#### **I.1.2 Data duplication with pre-transmitted sensing data** + +When there is full duplication between current and pre-transmitted sensing data, it is possible to minimize transmission data volumes by transmitting an indication of full duplication, not current sensing data. When there is also partial duplication between current and pre-transmitted sensing data, it is possible to minimize transmission data volumes by transmitting an indication of partial duplication and partial change, not entire current sensing data. + +#### **I.1.3 Data duplication with adjacent vehicles** + +Sensing data are classified into valid data in a single designated entity (called VD type data) and into valid data in all entities (called VA type data). The type of each sensing datum can be pre-defined. In the case of data transmission in VA type data, it is possible to minimize transmission data volume by substituting sensing data from adjacent vehicles. + +NOTE – When sensing data belong to VA type data and are sent for the broadcasting request of the transportation safety service platform (server), the subject vehicle can check for the possibility of substitution from an adjacent vehicle's pre-transmitted sensing data. If an adjacent vehicle is already transmitting sensing data to the transport safety service platform and the transportation safety service platform decides not to collect sensing data from the subject vehicle, it can reduce data transmission by checking the necessity of data transmission. In this case, the transportation safety service platform can notify that data transmission is not needed in response to the pre-broadcasting data transmission request. + +The subject vehicle can receive sensing data from adjacent vehicles (e.g., platooning vehicles) using vehicle to vehicle (V2V) communication. If sensing data in an adjacent vehicle are similar to sensing data of the subject vehicle in a predefined scope, the subject vehicle can notify that the adjacent vehicle's already transmitted data can be replaceable. In addition, if there is partial duplication between the subject vehicle and the adjacent vehicle, it is possible to minimize transmission by transmitting the changed part with an indication of partial duplication. + +### **I.2 Sensing data pre-processing in adjacent vehicle** + +Transportation safety services may be suspended due to a failure of sensor operation. In this case, if an alternative sensor provides sensing data to replace a failed sensor, transportation safety services can be resumed. + +NOTE 1 – For example, with V2V communication technology, vehicles can communicate with each other to share vehicle information (e.g., location, sensing data, etc.). If vehicles move in locations of near-identical environments (e.g., platooning vehicles), the characteristics of collected sensing data are expected to be identical. + +Scenarios of substituting sensing data using adjacent vehicles are shown in Figure I.2. Vehicles move in locations of near-identical environments. These adjacent vehicles communicate and share each vehicle's information to provide transportation safety services (e.g., forward vehicle collision warning service) using V2V communication capabilities. + +NOTE 2 – In Figure I.2, there are left and right vision sensors that capture left and right front image of the vehicle. When right vision sensor R1 in vehicle 1 does not work, a front image of left vision sensor L2 in vehicle 2 can be used instead of a front image of right vision sensor R1. In particular, when vehicles are platooning, a possibility of substitution of sensing data might become higher because platooning vehicles have similar driving conditions. + +![Diagram illustrating scenarios of substituting sensing data using adjacent vehicles. It shows four vehicles (Vehicle 1, 2, 3, 4) on a three-lane road. Vehicle 1 and Vehicle 4 are in the middle lane, enclosed in a dashed box labeled 'platooning'. Vehicle 2 is in the top lane, and Vehicle 3 is in the bottom lane. Each vehicle has sensors labeled L and R (e.g., L1, R1 for Vehicle 1). Colored cones represent sensor fields of view: blue for R2, orange for R1, green for R3, and yellow for L1, L2, L3, and L4. A large box encloses all vehicles and is labeled 'adjacent vehicles'.](cbdfdade780e677eb1c1aef3081ce9ef_img.jpg) + +adjacent vehicles + +Diagram illustrating scenarios of substituting sensing data using adjacent vehicles. It shows four vehicles (Vehicle 1, 2, 3, 4) on a three-lane road. Vehicle 1 and Vehicle 4 are in the middle lane, enclosed in a dashed box labeled 'platooning'. Vehicle 2 is in the top lane, and Vehicle 3 is in the bottom lane. Each vehicle has sensors labeled L and R (e.g., L1, R1 for Vehicle 1). Colored cones represent sensor fields of view: blue for R2, orange for R1, green for R3, and yellow for L1, L2, L3, and L4. A large box encloses all vehicles and is labeled 'adjacent vehicles'. + +**Figure I.2 – Scenarios of substituting sensing data using adjacent vehicle** + +A substitution procedure from the administration centre to obtain sensing data from adjacent vehicles is shown in Figure I.3. Vehicle 1 and 2 communicate and share status information including location (e.g., lane level location, relative position, etc.). When there is a request for data transmission from the administration centre, vehicle 1 transmits sensing data of left and right vision sensor (L1, R1). In case right vision sensor (R1) does not work, vehicle 1 reports a failure status of right vision sensor (R1) and adjacent vehicle's information (vehicle 2) based on pre-existing V2V communication history. Then the administration centre checks a possibility of sensor substitution of adjacent vehicles and requests data transmission on left vision sensor (L2) in vehicle 2. + +![Sequence diagram showing the substitution procedure for sensing data. The participants are Vehicle 1, Vehicle 2, and the Administration centre. The process starts with a 'Message exchange (V2V communication)' between Vehicle 1 and Vehicle 2. Then, the 'Administration centre' sends a 'Request data transmission of sensor L1, R1' to Vehicle 1. Vehicle 1 performs 'Sensor monitoring (sensor R1 failure)'. Vehicle 1 then sends a 'Sensor status report with R1 failure and information of vehicle 2' to the 'Administration centre'. The 'Administration centre' performs a 'Check a possibility of sensor substitution'. The 'Administration centre' then sends a 'Request data transmission of sensor L2' to Vehicle 2. Finally, Vehicle 2 sends 'Transmit sensing data of L2' to the 'Administration centre'.](90ddb84c323b956e2d50a54d3f870566_img.jpg) + +``` + +sequenceDiagram + participant V1 as Vehicle 1 + participant V2 as Vehicle 2 + participant AC as Administration centre + + V1 <-> V2 : Message exchange (V2V communication) + AC ->> V1 : Request data transmission of sensor L1, R1 + Note over V1 : Sensor monitoring (sensor R1 failure) + V1 ->> AC : Sensor status report with R1 failure and information of vehicle 2 + Note over AC : Check a possibility of sensor substitution + AC ->> V2 : Request data transmission of sensor L2 + V2 ->> AC : Transmit sensing data of L2 + +``` + +Y.4457(18)\_FI.3 + +Sequence diagram showing the substitution procedure for sensing data. The participants are Vehicle 1, Vehicle 2, and the Administration centre. The process starts with a 'Message exchange (V2V communication)' between Vehicle 1 and Vehicle 2. Then, the 'Administration centre' sends a 'Request data transmission of sensor L1, R1' to Vehicle 1. Vehicle 1 performs 'Sensor monitoring (sensor R1 failure)'. Vehicle 1 then sends a 'Sensor status report with R1 failure and information of vehicle 2' to the 'Administration centre'. The 'Administration centre' performs a 'Check a possibility of sensor substitution'. The 'Administration centre' then sends a 'Request data transmission of sensor L2' to Vehicle 2. Finally, Vehicle 2 sends 'Transmit sensing data of L2' to the 'Administration centre'. + +**Figure I.3 – Substitution procedure from the administration centre for sensing data using adjacent vehicles** + +A substitution procedure from the subject vehicle (vehicle 1) requesting for sensing data from adjacent vehicles is shown in Figure I.4. In case right vision sensor (R1) does not work, vehicle 1 checks for a possibility of sensor substitution of the adjacent vehicle (vehicle 2) based on pre-existing V2V communication history and requests data transmission on left vision sensor (L2) in vehicle 2. Then vehicle 1 reports a failure status of right vision sensor (R1) and sensor substitution information including the adjacent vehicle's information with sensing data of left vision sensor (L2). + +![Sequence diagram showing the sensor substitution procedure between Vehicle 1, Vehicle 2, and the Administration centre.](043e64d41a3368d138ace3816fd26469_img.jpg) + +``` + +sequenceDiagram + participant V1 as Vehicle 1 + participant V2 as Vehicle 2 + participant AC as Administration centre + + V1->>V2: Message exchange (V2V communication) + V2->>AC: Request data transmission of sensor L1, R1 + V1->>V2: + V1->>V1: Sensor monitoring (sensor R1 failure) + V1->>V1: Check a possibility of sensor substitution + V1->>V2: Request data transmission of sensor L2 + V2->>V1: Transmit sensing data of L2 + V1->>AC: Sensor status report with R1 failure and information of vehicle 2 including sensing data of L2 + +``` + +The diagram illustrates the sensor substitution procedure. It involves three entities: Vehicle 1, Vehicle 2, and the Administration centre. The process begins with a 'Message exchange (V2V communication)' between Vehicle 1 and Vehicle 2. Subsequently, Vehicle 2 sends a 'Request data transmission of sensor L1, R1' to the Administration centre. On the Vehicle 1 side, a 'Sensor monitoring (sensor R1 failure)' event occurs, followed by a 'Check a possibility of sensor substitution' process. Vehicle 1 then sends a 'Request data transmission of sensor L2' to Vehicle 2. Vehicle 2 responds by 'Transmit sensing data of L2' to Vehicle 1. Finally, Vehicle 1 sends a 'Sensor status report with R1 failure and information of vehicle 2 including sensing data of L2' to the Administration centre. + +Y.4457(18)\_FI.4 + +Sequence diagram showing the sensor substitution procedure between Vehicle 1, Vehicle 2, and the Administration centre. + +**Figure I.4 – Substitution procedure from the subject vehicle for sensing data using adjacent vehicles** + +# Appendix II + +## Characteristics of transportation application services + +(This appendix does not form an integral part of this Recommendation.) + +The characteristics of various application services for road, railway, maritime and air transportation including smart logistics are shown in this appendix. + +**Table II.1 – Service characteristics for road transportation safety management** + +| Type of service | Required monitoring parameter | Service creation procedure | +|-------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Traffic accident monitoring service |
  • Road surface flatness and pot-holes.
  • Temperature and humidity, freezing status, wind speed on road.
  • The vibration of bridge and tunnel.
  • Image of vehicles and infrastructure.
|
  1. Monitoring the traffic flow of vehicles: CCTV image or UAS image.
  2. Monitoring the road status: environmental sensor or vehicle built-in sensor using test vehicle or commercial vehicles.
  3. Monitoring the accident and detection of accident: create virtual IoT sensor using image and sensing data, and determine the threshold value to detect accident.
  4. Disaster simulation: disaster type (fires, traffic crash), the number of death and affected area.
  5. Countermeasure: establish an emergency communication network including WSN, connecting with relief centre and hospital.
| +| Traffic jam monitoring service |
  • Traffic flow.
  • Road surface flatness and pot-holes.
|
  1. Monitoring the traffic flow of vehicles: CCTV image or UAS image.
  2. Monitoring the road status: environmental sensor or vehicle built-in sensor using test vehicle or commercial vehicles.
  3. Estimation of traffic jam using simulator.
  4. Countermeasure: creation of detour message and announcement for neighbourhood vehicles and related organizations.
| +| Collapse detection service |
  • Road surface flatness and pot-holes, sinkhole.
  • Rock slide.
  • Temperature, and humidity, freezing status, wind speed in road.
  • The vibration of bridge and tunnel.
|
  1. Monitoring the road status: environmental sensor or vehicle built-in sensor using test vehicle or commercial vehicles.
  2. Estimation of collapse using simulator: create prediction model.
  3. Detection of collapse.
  4. Countermeasure: create alarm message and announcement.
| + +**Table II.2 – Service characteristics for railway transportation safety management** + +| Type of service | Required monitoring parameter | Service creation procedure | +|-------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Train derailment monitoring service |
  • • Rail flatness measured by vibration data.
  • • Railway abnormal status.
  • • Train health status such as temperature and vibration of wheel.
  • • The vibration of bridge and tunnel.
  • • Weather status of railway.
|
  1. 1) Monitoring the train health status: engine components, bogie axle.
  2. 2) Monitoring the railway status: environmental weather, vibration of bridge and tunnel.
  3. 3) Monitoring the accident and detection: create virtual IoT sensor using various sensing data, and determine the threshold value to detect accident.
  4. 4) Disaster simulation: prediction model for the expected life of vehicles and infrastructure, the number of death and affected area.
  5. 5) Countermeasure: establish an emergency communication network including WSN, issue an alarm signal for disaster relief activity, broadcasting alarm signal to nearby trains.
| + +**Table II.3 – Service characteristics for maritime transportation safety management** + +| Type of service | Required monitoring parameter | Service creation procedure | +|-----------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Marine sinking management service |
  • • The level of ballast water.
  • • Overload state.
  • • Freight binding state.
  • • Weather condition.
  • • Ship repair record.
|
  1. 1) Monitoring the marine health status: engine components, ballast water, overload status, freight binding status, imbalance, capsized state, repair record.
  2. 2) Monitoring the environmental conditions: wave height, fog, wind speed, etc.
  3. 3) Monitoring the accident and detection of accident: create virtual IoT sensor using various sensing data and determine the threshold value to detect accident, create safety index.
  4. 4) Disaster simulation: the number of death and expected time of sinking, affected area in case of oil tanker.
  5. 5) Countermeasure: establish an emergency communication network, issue alarm signal for disaster relief activity, broadcasting alarm signal to nearby ships, issue alarm signal for public transportation system.
| + +**Table II.4 – Service characteristics for UAS safety service** + +| Type of service | Required monitoring parameter | Service creation procedure | +|------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Unlawful UAS flight |
  • • UAS image.
  • • UAS sound.
  • • The radio signal strength for UAS control.
  • • Battery charge state.
|
  1. 1) Monitoring the UAS flying position: analysis of image and sound of UAS, radio signal strength of UAS.
  2. 2) Monitoring the status of UAS: battery charge state.
  3. 3) Monitoring the accident and health status: monitor the unlawful flying in a prohibited area, monitor the battery charge state of UAS.
  4. 4) Countermeasure: announcement of unlawful flying to operator or owner and related organization.
| + +**Table II.5 – Service characteristics for smart logistics service** + +| Type of service | Required monitoring parameter | Service creation procedure | +|-------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Smart logistics service |
  • • Vibration of goods and vehicles.
  • • Temperature and humidity in vehicle.
  • • Delivery delay and timeliness.
  • • Vehicle exchange status during delivery route.
|
  1. 1) Monitoring the health state of vehicle: vibration, overload status, temperature and humidity surrounding goods.
  2. 2) Monitoring the flow of logistics: delivery delay, timeliness, vehicle exchange rate.
  3. 3) Evaluating the quality of service: the trust index of goods, vehicles and logistics companies.
  4. 4) Countermeasure: announcement of trust index, and goods status to owner and public, creation of alarm signal to owner and logistics companies.
| + +## Bibliography + +- [b-ITU-T FG-DR&NRR] ITU-T Focus Group on Disaster Relief Systems, Network Resilience and Recovery, *Terms and definitions for disaster relief systems, network resilience and recovery*. +[https://www.itu.int/en/ITU-T/.../fg-drr-tech-rep-2014-4-Terms\\_and\\_definitions.pdf](https://www.itu.int/en/ITU-T/.../fg-drr-tech-rep-2014-4-Terms_and_definitions.pdf) +- [b-IETF RFC 4838] IETF RFC 4838 (2007), *Delay-Tolerant Networking Architecture*. +- [b-IETF RFC 5050] IETF RFC 5050 (2007), *Bundle Protocol Specification*. +- [b-ISO 13185-2] ISO 13185-2:2015, *Intelligent transport systems – Vehicle interface for provisioning and support of ITS services – Part 2: Unified gateway protocol (UGP) requirements and specification for vehicle ITS station gateway (V-ITSSG)*. +- [b-ISO 15638-7] ISO 15638-7:2013, *Intelligent transport systems – Framework for collaborative Telematics Applications for Regulated commercial freight Vehicles (TARV) – Part 7: Other applications*. +- [b-ISO 15638-12] ISO 15638-12:2014, *Intelligent transport systems – Framework for cooperative telematics applications for regulated commercial freight vehicles (TARV) – Part 12: Vehicle-mass-monitoring*. +- [b-ISO 15638-17] ISO 15638-17:2014, *Intelligent transport systems – Framework for cooperative telematics applications for regulated commercial freight vehicles (TARV) – Part 17: Consignment and location monitoring*. +- [b-LPI] LPI, world bank, website: + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | 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cities + +Recommendation ITU-T Y.4461 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.4461 + +# Framework of open data in smart cities + +## Summary + +Recommendation ITU-T Y.4461 defines a framework of open data in smart cities. It clarifies the concept of open data in smart cities, analyses the benefits of open data in smart cities, identifies the key phases, key roles and activities of open data in smart cities and describes the framework and general requirements of open data in smart cities. The use cases are also provided in an informative appendix. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4461 | 2020-01-13 | 20 | 11.1002/1000/14164 | + +## Keywords + +Framework, open data, smart city. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|---------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Concept of open data in smart cities..... | 2 | +| 7 | Benefits of open data in smart cities..... | 3 | +| 8 | Key phases of open data in smart cities..... | 3 | +| | 8.1 Open data preparing phase ..... | 4 | +| | 8.2 Open data publishing phase..... | 6 | +| | 8.3 Open data acquiring phase..... | 7 | +| 9 | Key roles and activities in open data in smart cities..... | 7 | +| | 9.1 Key roles in open data in smart cities..... | 7 | +| | 9.2 Key activities in open data in smart cities ..... | 8 | +| 10 | Framework of open data in smart cities..... | 9 | +| | 10.1 Data source layer ..... | 10 | +| | 10.2 Open data integration and storage layer ..... | 10 | +| | 10.3 Open data portal layer ..... | 11 | +| | 10.4 Open data application layer ..... | 11 | +| 11 | General requirements of open data in smart cities..... | 11 | +| | 11.1 Common requirements of open data in smart cities ..... | 11 | +| | 11.2 Security and privacy of open data in smart cities ..... | 13 | +| | Appendix I – Use cases of open data in smart cities..... | 14 | +| | I.1 Creating business innovations in weather-related industry by means of
open data..... | 14 | +| | I.2 Creating new business opportunities for small business by means of open
data ..... | 14 | +| | I.3 Empowering citizens by means of open data ..... | 14 | +| | I.4 Handling natural and humanitarian disasters by means of open data ..... | 15 | +| | I.5 Handling public service requests from citizens by means of open data ..... | 15 | +| | Bibliography..... | 17 | + + + +# Recommendation ITU-T Y.4461 + +# Framework of open data in smart cities + +# 1 Scope + +This Recommendation defines a framework of open data in smart cities, in order to promote the sharing of data between different entities in a smart city, fully exploit potentialities of data in smart cities, and ultimately build better and smarter cities. The scope of this Recommendation includes: + +- The concept of open data in smart cities; +- The benefits of open data in smart cities; +- The key phases of open data in smart cities; +- The key roles and activities in open data in smart cities; +- The framework of open data in smart cities; +- The general requirements of open data in smart cities. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4900] Recommendation ITU-T Y.4900/L.1600 (2016), *Overview of key performance indicators in smart sustainable cities*. + +[ISO 5127] ISO 5127:2017, *Information and documentation – Foundation and vocabulary*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 open data** [ISO 5127]: Data available/visible to others and that can be freely used, re-used, re-published and redistributed by anyone. + +**3.1.2 city** [ITU-T Y.4900]: An urban geographical area with one (or several) local government and planning authorities. + +**3.1.3 smart sustainable city** [ITU-T Y.4900]: A smart sustainable city is an innovative city that uses information and communication technologies (ICTs) and other means to improve quality of life, efficiency of urban operation and services and competitiveness, while ensuring that it meets the needs of present and future generations with respect to economic, social, environmental, as well as cultural aspects. + +NOTE – City competitiveness refers to policies, institutions, strategies and processes that determine the city's sustainable productivity. + +## 3.2 Terms defined in this Recommendation + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|------------------------------------------| +| CSV | Comma-separated values | +| ICT | Information and Communication Technology | +| IoT | Internet of Things | +| JSON | JavaScript Object Notation | +| KML | Keyhole Markup Language | +| KMZ | Keyhole Markup language Zipped | +| NGO | Non-Governmental Organization | +| PDF | Portable Document Format | +| QoS | Quality of Service | +| XML | Extensible Markup Language | + +# 5 Conventions + +In this Recommendation: + +The keywords "**is required to**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "**is recommended**" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "**can optionally**" and "**may**" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Concept of open data in smart cities + +Open data in smart cities refers to organizations or individuals providing machine-readable data created or collected by them to the public, so that data can be available/visible to others and that can be freely used, re-used, re-published and redistributed by anyone [ISO 5127]. Open data in smart cities can be used to promote the sharing of data between different entities in smart city (also known as smart sustainable city [ITU-T Y.4900]), fully exploit potentialities of data in smart cities, and ultimately build better and smarter cities. + +The organizations mentioned above includes governments, enterprises, non-governmental organizations (NGOs), etc. + +Machine-readable data means open data in smart cities is digitalized and can be retrieved, understood and processed by information systems such as computer, smart phone, etc. The data should be retrieved digitally instead of through paper media. The data should be conveniently visited through internet instead of only accessed in some limited locations such as libraries or government offices. Machine-readable data is often structured with the formats such as extensible markup language (XML), comma-separated values (CSV)/text, keyhole markup language (KML)/keyhole markup language zipped (KMZ), JavaScript object notation (JSON), etc. Data format such as portable document format (PDF) is not an ideal format for open data, because it is not easy for machines to understand and process it. + +The types of open data in smart cities include both structural data, such as text and document, and non-structural data, such as image, audio and video. Streaming data can also be used as open data. + +The sources of open data in smart cities include, but are not limited to, data from information and communication technology (ICT) systems, data from Internet of things (IoT) applications, social media data and data from other sources that opened to the public. + +The topics of open data in smart cities include but are not limited to environment, agriculture, transportation, education, energy, health, local government, science and research, geospatial, etc. + +# **7 Benefits of open data in smart cities** + +Smart cities share the end goal of achieving an economically sustainable urban environment without sacrificing on the quality of life of their citizenry. Open data plays a critical role in smart cities, and facilitates the advancement of smart cities in many aspects. + +Open data in smart cities contributes to sustainability of cities by providing more data insights. City governments and companies will be able to provide services with the integration of municipal data, social media data, sensor data and data from other sources that opened to the public. For example, open data contributes to the environmental sustainability of cities by providing a full view of air pollutants in different areas, including vehicle exhaust and industrial waste gas. In addition, the relationship and effects of different pollutants can be analysed and identified. + +Open data in smart cities spurs innovative business models, products and services for smart cities. Open data in smart cities is a valuable and potentially profitable resource that can fuel innovation and invention. Cities can make their public data available for businesses or community developers to re-use it in providing services and sophisticated solutions. A related use case can be found in clause I.1. + +Open data in smart cities promotes economic growth by creating new business opportunities, thus bring new businesses revenue streams and jobs. Open data in smart cities helps companies to define new products and services, and improve the efficiency and effectiveness of their organizations. A related use case can be found in clause I.2. + +Open data in smart cities improves the public participant in governance by enabling the access to public information that closes to citizen's daily life. Thus, citizens can be more involved in the city's decision machining process, governance transparency, participation and accountability for city policy and service delivery. A related use case can be found in clause I.3. + +Open data in smart cities empowers technical solutions to improve the adaptability and resilience of cities, by enabling faster response to unpredictable city events. For example, open data can promote the response to natural and humanitarian disasters, such as earthquake, flood and epidemic diseases. Open data can also improve public emergency response by providing data-driven assessment of the problems. A related use case can be found in clause I.4. + +Open data in smart cities provides smart cities to identify citizens' specific needs based on collected data from multiple sources. Thus, cities will be able to have citizen-specific and citizen-centric city development plans, make precise and reasonable decisions in terms of city's infrastructure expansion, making policies or determining the investment levels for technology or solutions, etc. A related use case can be found in clause I.5. + +# **8 Key phases of open data in smart cities** + +The key phases of open data in smart cities mainly include original data generating, open data preparing, open data publishing, open data acquiring and open data utilizing phases. Figure 1 shows the main actions and output of each phase. The original data generating phase offers original data, the type of which includes, but is not limited to, document, image, audio, video and streaming. The open data preparing phase aims to make data ready for publishing. The purpose of the open data publishing + +phase is to make data discoverable and available to the public. The open data acquiring phase allows consumers to find out and get the data they require. The open data utilizing phase refers to analysing and developing acquired open data to create value-add services for smart cities, such as analysis reports and applications, so that the potentialities of data in smart cities can be fully exploited. + +The details of the original data generating phase and the open data utilizing phase are outside the scope of this Recommendation. + +![Figure 1: Key phases of open data in smart cities. A flow diagram showing five main phases: Original data generating, Open data preparing, Open data publishing, Open data acquiring, and Open data utilizing. It maps actions to outputs like datasets, catalogues, reports, and apps.](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +Figure 1 illustrates the key phases of open data in smart cities, organized into five main stages represented by blue and grey arrows at the top: **Original data generating**, **Open data preparing**, **Open data publishing**, **Open data acquiring**, and **Open data utilizing**. The diagram is divided horizontally into **Action** and **Output** sections. + +- Original data generating:** Leads to the **Original dataset** output. +- Open data preparing:** Includes actions **Open data modelling**, **Open data generating**, **Open data loading**, and **Endpoint generating**. These produce **Dataset metadata**, **Dataset**, and **Dataset endpoint**. +- Open data publishing:** Includes **Dataset publishing**, **Mapping and linking**, and **Classification**. These result in a **Catalogue** and an **Open dataset** (comprising Dataset endpoint, Dataset metadata, and Dataset). +- Open data acquiring:** Includes **Browsing**, **Downloading**, and **Searching**, which interact with the **Open dataset** and **Catalogue**. +- Open data utilizing:** Includes **Analyzing** and **Developing**, which result in **Report** and **APP** outputs. + +Y.4461(20)\_F01 + +Figure 1: Key phases of open data in smart cities. A flow diagram showing five main phases: Original data generating, Open data preparing, Open data publishing, Open data acquiring, and Open data utilizing. It maps actions to outputs like datasets, catalogues, reports, and apps. + +Figure 1 – Key phases of open data in smart cities + +## 8.1 Open data preparing phase + +The open data preparing phase includes the four steps shown in Figure 2. These are open data modelling, open data generating, open data loading and endpoint generating steps. + +![Figure 2: Open data preparing phase. A detailed diagram of the four steps in the preparing phase, showing the transformation of an original dataset into an open dataset with an endpoint.](053f1077d592e6622cd21dc4bb4cb366_img.jpg) + +Figure 2 details the four steps of the open data preparing phase: + +- Open data modelling**: 1) To create models for dataset and its metadata +- Open data generating**: 2) To generate dataset and its metadata ready for publishing +- Open data loading**: 3) To load the modelled dataset into data repository +- Endpoind generating**: 4) To generate endpoint for dataset which can be accessed through Internet + +The central diagram shows the **Original dataset** being processed through **Mapping by tools or manually** based on a **Dataset and metadata model**. This results in a **Dataset** and **Dataset metadata**. The final output is an **Open dataset** containing an **Endpoint**, **Dataset**, and **Dataset metadata**. + +Y.4461(20)\_F02 + +Figure 2: Open data preparing phase. A detailed diagram of the four steps in the preparing phase, showing the transformation of an original dataset into an open dataset with an endpoint. + +Figure 2 – Open data preparing phase + +### 8.1.1 Open data modelling + +Open data modelling aims to create models for dataset and its metadata. It consists of dataset modelling and metadata modelling. Dataset refers to the data that can be downloaded and reused after publishing. Metadata is data that describes other data, which facilitates the understanding, usage, and management of data, both by human and computers [b-ITU-T FG-SSC Anon.]. + +Dataset modelling defines the structure of the dataset ready for publishing, which makes the dataset machine-readable, thus promoting the reuse of open data. It unifies the data both from the syntax perspective and the semantic perspective. Dataset model includes the information such as field name, order, type, description, etc. It can also be semantics supported and use a semantics description such as ontologies (e.g., [b-ITU-T Y.4500.12]). + +Different kinds of dataset models may be provided to support datasets from different domains (e.g., agriculture, education, tourism, etc.), which defines datasets by specific terms. Dataset models of the same domain may be unified or may be different if there are different open data providers. + +Dataset modelling may not define the model for non-structural data such as image, audio and streaming, but a metadata model is needed for all types of dataset ready for publishing, as it facilitates the understanding of open data for both humans and machines. + +Metadata modelling defines descriptive information of the dataset ready for publishing. The content of the metadata model includes, but is not limited to, basic information (e.g., name, theme, keyword, description, etc), spatial-temporal information (e.g., creation date, publication date, temporal coverage, geographic coverage, etc), provenance information (e.g. publishing organization, contact person, etc.), administrative information (e.g., version, validity period, etc.) and structural information of the dataset model (e.g., field name, order, type, description, etc). + +Metadata helps consumers to find the target open data more conveniently and efficiently when browsing and searching the data. It also improves the efficiency for machines to understand and process open data. Metadata of non-structural data is particularly useful for machines since it may be difficult for machines to understand the content without additional information. + +### 8.1.2 Open data generating + +Open data generating aims to generate dataset and its metadata ready for publication according to the dataset and metadata model. It consists of dataset generating and metadata generating. + +In this step, the original dataset is mapped to modelled dataset and metadata in accordance with the dataset and metadata model. The mapping can be realized either by tools or manually. + +NOTE 1 – One single dataset can be generated as different formats, e.g., csv, rdf and xml for documents, and avi, mkv and rmvb for video. + +NOTE 2 – Anonymization processing should be supported during open data generating if needed. + +### 8.1.3 Open data loading + +Open data loading refers to loading the modelled dataset into a data repository so that consumers are able to access the open data through the Internet. + +### 8.1.4 Endpoint generating + +Endpoint generating aims to make the dataset available to the public. It offers the access point for consumers to get the data they acquired, e.g., the download URL for the dataset, the access URL for streaming data, and an application programmable interface (API) which facilitates machines to process and reuse open data. + +NOTE – Multiple endpoints may be offered for single dataset, e.g., to represent different formats. + +## 8.2 Open data publishing phase + +Open data publishing phase includes the three steps shown in Figure 3. These are dataset publishing, mapping and linking, and classification. + +![Figure 3 – Open data publishing phase diagram showing three steps: Dataset publishing, Mapping and linking, and Classification.](042733dc5e8e7f5f30b60adba3266cde_img.jpg) + +The diagram illustrates the Open data publishing phase, enclosed in a dashed-line box. It is divided into three horizontal sections, each representing a step: + +- Dataset publishing:** The first section, titled "Dataset publishing", contains the instruction "1) To publish dataset and its information to the public". To the right, a diagram shows an "Open dataset" structure with three components: "Endpoint" (top), "Dataset" (middle), and "Dataset metadata" (bottom, enclosed in an oval). +- Mapping and linking:** The second section, titled "Mapping and linking", contains the instruction "2) To map between different vocabularies of datasets, and/or to build relations between different datasets". Below the text, a diagram shows two database icons connected by a double-headed arrow labeled "Mapping and linking". +- Classification:** The third section, titled "Classification", contains the instruction "3) To make dataset discoverable through catalogue or search engine". Below the text, a diagram shows a "Catalogue" (a horizontal bar divided into segments) and a "Search engine" (a magnifying glass icon). Dashed lines connect the segments of the catalogue to a row of eight database icons below, and the search engine is positioned to the right of the catalogue. + +Y.4461(20)\_F03 + +Figure 3 – Open data publishing phase diagram showing three steps: Dataset publishing, Mapping and linking, and Classification. + +Figure 3 – Open data publishing phase + +### 8.2.1 Dataset publishing + +Dataset publishing consists of publishing the dataset and its information to the public. The information includes metadata (e.g., basic information, spatial-temporal information, provenance information, administrative information, structural information, etc.) and endpoint information. Dataset is available to the public through endpoint. + +### 8.2.2 Mapping and linking + +Mapping aims to unify the semantics of datasets from different sources. Datasets from different open data providers may use different data models. In this scenario, it is needed to keep semantic conformity of the key information of datasets by approaches such as mapping vocabularies between different datasets, so that it can promote the interoperability of open data and help consumers to find the data they require more efficiently. + +Linking aims to build relations between different datasets, so that consumers can be provided with a more comprehensive view of the whole open datasets. New logic and relation could be created between different datasets by approaches such as interlinking based on keywords, interlinking based on vocabularies, etc. + +### 8.2.3 Classification + +The purpose of classification is to make dataset discoverable through catalogue or search engine. + +Catalogue shows consumers the index of open data. It classifies collections of open datasets by various criteria such as theme (e.g., economy, environment, education, etc), scenario (e.g., training and employment, marriage and childbearing, retirement, etc.) and source (e.g., government department, enterprise, NGO, etc.). It shows the information of the dataset, including the dataset metadata and the endpoint to access the dataset. + +Classification enables the function of filtering so that consumers can acquire the open data by filtering properties such as publisher, topic, publication date and format. + +Search engine helps consumers to find target open data by keywords. The search result can be more accurate by means of linking and mapping. + +## 8.3 Open data acquiring phase + +Open data acquiring phase includes the three main steps shown in Figure 4. These are browsing, searching and downloading. + +![Figure 4: Open data acquiring phase diagram. The diagram is enclosed in a dashed-line arrow pointing right. On the left, inside the arrow, are two boxes: 'Browsing' and 'Searching', separated by 'Or'. Below them is the text '1) To discover open dataset by browsing or searching'. Further down is a box labeled 'Downloading' with the text '2) To download or access the dataset through endpoint' below it. On the right, outside the arrow, is a diagram of an 'Open dataset'. It consists of a rectangle containing 'Endpoint' (in a circle), 'Dataset', and 'Dataset metadata' (in an oval). Below this rectangle is another oval labeled 'Dataset'. The identifier 'Y.4461(20)_F04' is at the bottom right of the diagram.](410562339ce067fdc6fa41940c118658_img.jpg) + +Figure 4: Open data acquiring phase diagram. The diagram is enclosed in a dashed-line arrow pointing right. On the left, inside the arrow, are two boxes: 'Browsing' and 'Searching', separated by 'Or'. Below them is the text '1) To discover open dataset by browsing or searching'. Further down is a box labeled 'Downloading' with the text '2) To download or access the dataset through endpoint' below it. On the right, outside the arrow, is a diagram of an 'Open dataset'. It consists of a rectangle containing 'Endpoint' (in a circle), 'Dataset', and 'Dataset metadata' (in an oval). Below this rectangle is another oval labeled 'Dataset'. The identifier 'Y.4461(20)\_F04' is at the bottom right of the diagram. + +**Figure 4 – Open data acquiring phase** + +The functions of browsing and searching helps consumers to discover the dataset they require. After finding the information of the dataset, consumers are able to get the descriptive information from the dataset metadata and get access to the dataset through its endpoint. Consumers can either download the dataset or acquire the access link to the dataset such as streaming data. + +# 9 Key roles and activities in open data in smart cities + +## 9.1 Key roles in open data in smart cities + +Based on the key phases of open data in smart cities, three key roles, i.e., the key roles that are relevant from the operation perspective, are identified for the open data in the smart cities ecosystem. The three key roles are open data provider, open data publisher and open data consumer. + +Open data provider is responsible for preparing the dataset, providing the prepared information of dataset (i.e., the information of metadata and endpoint) and the prepared dataset, if needed, to open data publisher. + +Open data publisher is responsible for publishing datasets, making them discoverable and available to the public. + +Open data consumer is able to find out and get the required open data by browsing, searching and downloading. Open data consumer includes individual open data consumer and open data developer. Individual open data consumer is able to use the data to improve the quality of lives. Open data developer can reuse open data to provide value-added services, such as smart city applications, so that the potentialities of data in smart cities can be fully exploited. + +## 9.2 Key activities in open data in smart cities + +The key activities of each role for open data in smart cities are shown in Figure 5 according to different open data modes. + +![Figure 5: Key activities of open data in smart cities. The diagram illustrates two modes of operation for open data in smart cities, involving three roles: Open data provider, Open data publisher, and Open data consumer.](a33da0f14e456f92539ce3e9b7d81f9a_img.jpg) + +The diagram illustrates two modes of operation for open data in smart cities, involving three roles: Open data provider, Open data publisher, and Open data consumer. + +**Mode 1:** + +- Open data provider:** Open data modelling, Open data generating, Open data loading. +- Open data publisher:** Endpoint generating (or) Endpoint generating, Dataset publishing, Mapping and linking, Classification. + +**Mode 2:** + +- Open data provider:** Open data generating, Open data loading, Endpoint generating (or) Endpoint generating, Dataset publishing, Mapping and linking, Classification. +- Open data publisher:** Open data modelling. + +**Open data consumer:** Browsing, Searching, Downloading. + +The diagram shows that in Mode 1, the Open data provider is responsible for modelling, generating, and loading data, while the Open data publisher handles endpoint generation, publishing, mapping, and classification. In Mode 2, the Open data publisher handles modelling, while the Open data provider handles generating, loading, endpoint generation, publishing, mapping, and classification. Both modes lead to the Open data consumer performing browsing, searching, and downloading activities. + +Figure 5: Key activities of open data in smart cities. The diagram illustrates two modes of operation for open data in smart cities, involving three roles: Open data provider, Open data publisher, and Open data consumer. + +**Figure 5 – Key activities of open data in smart cities** + +There are mainly two modes for operating open data in smart cities, depending on which role is in charge of open data modelling. + +In mode 1, open data modelling is operated on the open data provider's side. In this mode, the dataset model may be different depending on the open data provider, and the open data publisher needs to unify the semantics of datasets by means of mapping and linking. Besides open data modelling, the open data provider in this mode is responsible for open data generating, open data loading and endpoint generating, if applicable. The open data publisher in this mode is responsible for dataset publishing, mapping and linking, classification and endpoint generating, if applicable. + +In mode 2, open data modelling is operated on the open data publisher's side. In this mode, the open data provider generates the dataset according to the unified dataset model offered by the open data publisher, which facilitates the interoperability of open data from different sources. The open data provider in this mode is responsible for open data generating, open data loading and endpoint generating, if applicable. Besides open data modelling, the open data publisher in this mode is responsible for dataset publishing, mapping and linking, classification and endpoint generating, if applicable. + +Endpoint generating can be operated either on the open data provider's side or the open data publisher's side according to the location of the dataset repository, i.e., if the dataset is located on the open data provider's side, it is the open data provider's responsibility to generate endpoint(s), and vice versa. + +The key activities of the open data consumer include browsing, searching and downloading in both modes. The open data consumer is able to get the required open data either from the open data provider or the open data publisher according to the location of the dataset repository. + +In deployment, a hybrid mode could exist, which means that data modelling could be conducted on both sides, the open data provider and the open data publisher. + +# 10 Framework of open data in smart cities + +To promote the development of open data in smart cities, the related infrastructure needs to be built. Figure 6 shows a framework of open data in smart cities, which includes both public open data infrastructure for smart city, and independent open data infrastructure such as city government open data infrastructure, enterprise/organization open data infrastructure, etc. + +The public open data infrastructure supports open data from all sources, and offers functions such as open data preparing and open data publishing to the public, so that open data providers who do not have the related infrastructure can also publish the data to the public. The independent open data infrastructure provides open data from specific sources such as government and enterprise. Open data in smart cities from different infrastructures can be shared from each other to promote the interoperability. + +The framework of open data in smart cities consists of data source layer, open data integration and storage layer, open data portal layer and open data application layer. + +![Figure 6: Framework of open data in smart cities. The diagram shows four layers: Open data application layer, Open data portal layer, Open data integration and storage layer, and Data source layer. The application layer includes Application and Report. The portal layer includes Value-added service, Search engine, Data access API, Data catalogue endpoints, City government open data portal, and Enterprise/organization open data portal. The integration and storage layer includes Open data publishing, Open data preparing, Open data storage, Quality management, Security management, Open data management, City government open data integration and storage layer, and Enterprise/organization open data integration and storage layer. The source layer includes Data access API, Original dataset, Prepared dataset, Streaming data, City government data source layer, and Enterprise/organization data source layer. Arrows indicate data flow between layers.](bffdddb47fced140f8d17fdc2a29f592_img.jpg) + +The diagram illustrates the framework of open data in smart cities, organized into four main layers: + +- Open data application layer:** Contains 'Application' and 'Report' components. +- Open data portal layer:** Contains 'Value-added service', 'Search engine', 'Data access API', 'Data catalogue endpoints', 'City government open data portal', and 'Enterprise/organization open data portal'. A double-headed arrow labeled 'Data access by API and/or directly by users' connects this layer to the application layer. +- Open data integration and storage layer:** Contains 'Open data publishing', 'Open data preparing', 'Open data storage', 'Quality management', 'Security management', 'Open data management', 'City government open data integration and storage layer', and 'Enterprise/organization open data integration and storage layer'. An upward arrow connects this layer to the portal layer. +- Data source layer:** Contains 'Data access API', 'Original dataset', 'Prepared dataset', 'Streaming data', 'City government data source layer', and 'Enterprise/organization data source layer'. An upward arrow connects this layer to the integration and storage layer. + +Y.4461(20)\_F06 + +Figure 6: Framework of open data in smart cities. The diagram shows four layers: Open data application layer, Open data portal layer, Open data integration and storage layer, and Data source layer. The application layer includes Application and Report. The portal layer includes Value-added service, Search engine, Data access API, Data catalogue endpoints, City government open data portal, and Enterprise/organization open data portal. The integration and storage layer includes Open data publishing, Open data preparing, Open data storage, Quality management, Security management, Open data management, City government open data integration and storage layer, and Enterprise/organization open data integration and storage layer. The source layer includes Data access API, Original dataset, Prepared dataset, Streaming data, City government data source layer, and Enterprise/organization data source layer. Arrows indicate data flow between layers. + +**Figure 6 – Framework of open data in smart cities** + +## **10.1 Data source layer** + +The data source layer includes original dataset, prepared dataset and streaming data, if applicable. + +Original dataset refers to the data that needs to be prepared as an open dataset before publishing. It needs to be uploaded to the open data integration and storage layer for the preparation, which includes open data modelling, open data generating, open data loading and endpoint generating as described in clause 8.1. + +Prepared dataset refers to the data that is ready for publishing, which means the data has been generated according to the open data model. The prepared dataset can be stored either on the local side or at the open data integration and storage layer according to the specific scenarios. The endpoint is generated according to the location of the storage. + +The uploading of the data source, including the original dataset and prepared dataset, can be periodical and/or event triggered. It is supported to push the data source to the open data integration and storage layer, and/or pull the data as requested. + +The original dataset and prepared dataset can be uploaded through methods such as data access API and manually. + +Streaming data can also be used as open data, which makes it possible for users to acquire the real time or near real time streaming data publicly. The streaming data provider supports to generate the endpoint and sending the endpoint information to the open data integration and storage layer (including public open data infrastructure for smart city and/or independent open data infrastructure). It is also supported to upload the streaming data to the open data integration and storage layer through data access API upon receiving the request. + +## **10.2 Open data integration and storage layer** + +The open data integration and storage layer includes open data preparing, open data publishing, open data storage and open data management. + +The open data integration and storage layer is responsible for open data preparing for the uploaded original dataset, which includes open data modelling, open data generating, open data loading and endpoint generating as described in clause 8.1. It is supported to transfer the original dataset to the open dataset in real time. + +For streaming data, it is responsible for the endpoint storage, caching and distributing of the streaming data to users when receiving the request, if supported. It is also supported to provide a media player to users, which helps them to play the streaming data. + +The functions of open data publishing include dataset publishing, mapping and linking, and classification as described in clause 8.2. This function applies to all kinds of open data source, after they are prepared for publishing. + +Open data storage includes temporary storage/cache and permanent storage. It is supported to store the data on the open data infrastructure side (including public open data infrastructure for smart city and/or independent open data infrastructure) temporarily or permanently according to specific requirements. + +Open data management includes quality management and security management. Quality management is responsible for ensuring the quality of the open data both before and after publishing. The functions of quality management include checking the integrity of open data, updating the data timely as requested, ensuring the traceability of open data, etc. It is also responsible for the control of the quality of service (QoS) of streaming data, if applicable. + +The functions of security management include authorization of the data provider, protecting the confidentiality of sensitive information by means of technology such as anonymization and verification of the open data. + +NOTE – If the value-added service from the third party is available on the open data portal, the related functions need to be supported on the open data integration and storage layer such as service provider management, service management and service publishing. + +## **10.3 Open data portal layer** + +The open data portal layer makes open data and its related service discoverable and available to the public. It offers functions such as data catalogue, search engine and value-added services, if applicable. Users can browse, search and download the open data and/or value-added services as they require. Users can acquire the open data and/or value-added services either through data access API or by themselves. + +Users can download the open dataset through its endpoint. The dataset endpoints offered by the open data portal (including the public city open data portal and independent open data portal) point to the dataset either from the local open data infrastructure or other open data infrastructure, which ensures the interoperability of open data. If the dataset endpoint points to other open data infrastructure, it can link to either the specific dataset as required or the portal of its related open data infrastructure. + +Value-added services include both the value-added services such as statistics and visualization information of open data, and the services from third parties such as applications based on open data, analysis reports, etc. + +## **10.4 Open data application layer** + +Open data can be accessed either through a data access API or directly by users. After acquiring the open data, users can analyse and develop the data to create open data services for smart cities such as analysis reports and applications. Open data services can be uploaded to the open data portal and available to the public, thus enhancing the value and promoting the utilization of open data. + +# **11 General requirements of open data in smart cities** + +The following are the requirements of open data in smart cities. + +## **11.1 Common requirements of open data in smart cities** + +- 1) It is recommended to access open data in smart cities without mandatory registration, which enables users to use open data without being required to identify themselves. + +NOTE 1 – A registration mechanism can also be supported to provide functions such as recording the information of the visited data, which helps to understand users' interests and preferences. + +- 2) It is required to access open data in smart cities without restriction of time and location. The data is required to be conveniently accessed through Internet instead of only accessed in some limited locations such as libraries or government offices. The data is also required to be available any time. +- 3) It is recommended to support that open data in smart cities be reused, republished and redistributed by users. +- 4) It is recommended to support providing open data in smart cities and its related information through a web portal, so that it will be convenient for people to access. +- 5) It is recommended to support providing open data in smart cities and its related information through API(s), so that it will be convenient for information systems to process it. +- 6) It is recommended to support access of historical data and real-time data. +- 7) It is recommended to support browsing of open data in smart cities by theme and/or metadata types. +- 8) It is required to support search functions of open data in smart cities by key words. It is recommended to support search functions based on natural language description. + +- 9) It is recommended to support data visualization functions to help users have a better understanding of the data. +- 10) It is recommended to provide visualization tools to users, which helps developers to create new applications and enables users to analyse the data and find the insights and tendency of the data with their specific requirements. +- 11) It is recommended to support applications for open data in smart cities on the web portal, which enables users to browse, search and use the applications they need. +- 12) It is recommended to support a feedback mechanism for users of open data in smart cities. The content of feedback may include the requirement for new content of open data, the improvement of existing data, etc. +- 13) It is recommended to support linking different kinds of data of open data in smart cities, so that the related data can easily be found. + +NOTE 2 – Open data could be linked by methods such as using identifiers, labels, etc. + +- 14) Open data in smart cities is required to be machine-readable, so that it can be retrieved, understood and processed by information systems. +- 15) It is recommended to provide open data in smart cities in different types of data, including structured data (e.g., CSV, XML, etc) and media data (e.g., images, audio, video, etc). +- 16) It is recommended to support a catalogue functions that enables open data in smart cities to be classified and better displayed. +- 17) It is recommended to support that catalogue information be accessed through an API and/or a web portal. +- 18) It is recommended to support statistics and analysis functions related to the visiting behaviour of open data in smart cities, such as the hot topics of open data in smart cities. +- 19) It is recommended to support developers to upload the applications for open data in smart cities or the links of applications for open data in smart cities to the web portal. +- 20) It is required to assure the accuracy of open data in smart cities, such as identification and exclusion of the abnormal data after data cleaning, or retaining the abnormal data with an explanation. +- 21) It is required to publish and update open data in smart cities to keep the data up to date. +- 22) It is recommended to provide open data in smart cities as comprehensive as possible. Explanation is needed if related data is missing. +- 23) It is recommended to provide original data as much as possible, which enables users to process the data under their own considerations. +- 24) It is recommended to support modified data with description of what changes have been made. +- 25) It is required to indicate the information of open data in smart cities, such as the name of the provider and the time of publication, which enables the traceability of the data. +- 26) It is recommended to provide metadata of open data in smart cities including datasets and streaming data. The description of metadata is recommended to be available in human- and machine-readable formats. +- 27) It is recommended to support the interoperability of open data in smart cities from different infrastructures. + +## **11.2 Security and privacy of open data in smart cities** + +- 1) It is required to verify the identity and authority of data providers before publishing their provided or uploaded open data in smart cities. +- 2) It is required to verify the data as open data in smart cities before publishing. +- 3) It is required to protect data confidentiality of sensitive information when publishing open data in smart cities. + +# **Appendix I** + +## **Use cases of open data in smart cities** + +(This appendix does not form an integral part of this Recommendation.) + +### **I.1 Creating business innovations in weather-related industry by means of open data** + +Open data can be used to create economic benefits and business innovations. Open weather-related data, for example, could be cited as a typical use case which both brings huge profits to related private sectors and improves weather-related industry, such as the agriculture industry, by providing more accurate climate forecasts and more timely warnings of adverse weather. + +With the help of opening weather-related data, innovative business can be created, such as providing customizable weather insurance services. By means of analysing huge amounts of weather-related open data, it is able to predict weather patterns more precisely, for instance, showing how much rain falls on a given farmer's field in a day. Service providers can offer services such as weather monitoring, agronomic modelling, and high-resolution weather simulations, which helps farmers improve profitability by making better informed operating and financing decisions. + +Open data in smart cities helps to create a win-win proposition for both the service provider and the businesses it insured. Since the weather patterns can be predicted more accurately, farmers can make better preparation when facing climate change and increase their crop yields. Meanwhile, cities can make their public data available for businesses or community developers to re-use it in providing services and sophisticated solutions. + +### **I.2 Creating new business opportunities for small business by means of open data** + +Open data in smart cities promotes economic growth by creating new business opportunities. For instance, open data in smart cities can be used to drive small business growth by helping small businesses explore business conditions in the neighbourhood and help them make business decisions like where to open a new business or what type of shop makes sense in a particular area. + +New insights to small businesses can be provided from a diversity of sources of open data, which could be not only from government, but also from enterprise. The content of the open data includes, but not limited to, business-filing data, sales tax data, demographic data and traffic data. + +The conditions in the neighbourhood can be displayed by catalogues, such as citywide map layers, population and demographics, and business conditions. Map layers display data for the entire neighbourhood tabulation area. Population and demographic data is based on the closest census tract. Business conditions data include all businesses in the neighbourhood tabulation area. The open data of population and demographic could include total population, average household size, median household income, population distribution by age, the percentage of households that have children, etc. The open data of business conditions could include taxable sales revenue, land use, etc. + +Besides, this use case shows the possibility of open data from just releasing data to the public to providing a solution to a targeted, user-centred requirement. Although much of the open data has already been available to the public, it was often in fragmentary form and lack of sophisticated analytics and visualization. Therefore, it is difficult for users to transfer these data into real value and help them make decisions. The impact of open data can be amplified when providing analytics tools and results to the public with specific requirements. + +### **I.3 Empowering citizens by means of open data** + +Open data in smart cities can empower citizens by letting them make better decisions and thus improve their qualities of lives. + +For instance, in some cities, health care is delivered through a mixed public-private framework, with private insurers and hospitals working alongside a public health care infrastructure, and citizens have the option to change their health service providers in an open enrolment period. + +An open data portal can be provided to the users, which offers both the searchable open dataset and visualized infographics based on open data, allowing them to select their location and view the satisfaction score of local health care providers from the aspect of formalities, availability of medicines, rights information, complaints, etc. The detail information of health care providers can also be get from the portal, such as structure information, care goals, prices, rights and user satisfaction, etc. The open data can help citizens make better decisions when choosing their health care providers, help health providers improve the quality and responsiveness of service, and help the public health system improve the efficiency, transparency and accountability. + +Besides, the open data portal can also be used to give citizens the ability to report on hospital incidents and provides them with essential information for filing formal complaints, which improves the awareness and engagement of citizens. + +### **I.4 Handling natural and humanitarian disasters by means of open data** + +Open data plays a very important role in handling natural and humanitarian disasters, such as earthquake, flood and epidemic diseases. Open data can be used to improve public emergency response by providing data-driven assessment of the problems. + +For instance, in order to confront epidemic disease such as Ebola crisis, open data and visualized data based on open data can be shown to illustrate the situation and related information of Ebola. Users can get the information such as cases number, deaths number of different areas, data for Ebola recovery, funding coverage of the Ebola virus outbreak emergency, financial tracking of private sector contributions, Ebola community care centre, etc. + +By means of open data, it can give both policymakers and citizens a better understanding of conditions on the crises, and thus contribution to planning recovery efforts. + +### **I.5 Handling public service requests from citizens by means of open data** + +Open data can be used to improve the handling of public service requests from citizens such as broken streetlights, graffiti removal, pothole in street, etc. + +With the help of open data, it enables governments to handle these public service issues more cost-effectively, efficiently and collaboratively. Today, an email or phone-call report of public issues will typically be received by a public servant and then dispatched manually to relative department to consider and action. Now, with the improvement of ICT infrastructure, this report could be sent directly from a citizen and routed automatically into the electronic to-do list for the relative local government team. Moreover, the difference from a traditional report is that this information is available for anyone to see and it allows anyone to contribute more information. By enabling collaboration on these issues, it is easier to collect and organize more information about important problems. + +Public services can offer citizens with more open channels and diversified ways to provide their messages as open data. For instance, with the help of open APIs, it enables citizens to send requests, messages and problem reports to local governments through mobile devices or computers. Citizens can not only send text messages, but also upload a photo about the problem at a given location. + +Besides, it can also provide issue-tracking function. This enables citizens informed of the whole procedure and improves the participation, because it improves the transparency and let citizens know that their voices are being heard. By specifying the required service request id, service code, or other conditions like start date and end date, the relative requests and their status can be indicated. + +This use case shows an example that individuals can not only acquire open data from smart cities, but also provide data to smart cities. It encourages citizens to better engage with their city and get connected to their community, and it also improves transparency and accountability for those responsible for civic issues. + +# Bibliography + +- [b-ITU-T Y.4500.12] Recommendation ITU-T Y.4500.12 (2018), *oneM2M base ontology*. +- [b-ITU-T FG-SSC Anon.] ITU-T Focus Group on Smart Sustainable Cities (FG-SSC) (2015), *Technical Report on anonymization infrastructure and open data for smart sustainable cities*. + + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| 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| Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | +|---------------| +| Y.3000–Y.3499 | +| Y.3500–Y.3999 | + +## CLOUD COMPUTING + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.4466 + +###### Framework of smart greenhouse service + +## Summary + +A smart greenhouse service enables precision farming with the help of Internet of things (IoT) devices (such as sensors and actuators) installed in a smart greenhouse. A smart greenhouse service collects information about both the environment and crop-growth status and then analyses the information to produce an optimal growth model for each crop. With the optimal growth model, a smart greenhouse service can maximize agricultural productivity and improve crop quality. In addition, it can enhance user convenience. + +To describe a smart greenhouse service framework, Recommendation ITU-T Y.4466 specifies requirements, a reference model, a functional architecture and interfaces for a smart greenhouse service. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4466 | 2020-01-13 | 20 | 11.1002/1000/14169 | + +## Keywords + +IoT devices, smart greenhouse, smart greenhouse service. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +### INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|---------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview..... | 3 | +| 7 | Requirements of smart greenhouse services..... | 5 | +| | 7.1 Requirements of smart greenhouse ..... | 5 | +| | 7.2 Requirements of SG service provider..... | 5 | +| | 7.3 Requirements of SG service user ..... | 6 | +| 8 | SG service reference model ..... | 6 | +| 9 | SG service functional architecture..... | 9 | +| | 9.1 SG sensing function..... | 10 | +| | 9.2 SG actuating function ..... | 10 | +| | 9.3 SG control function ..... | 11 | +| | 9.4 SG operation function..... | 11 | +| | 9.5 SG integration function ..... | 12 | +| | 9.6 SG management function ..... | 12 | +| 10 | Interfaces for smart greenhouse service ..... | 13 | +| 11 | Security considerations ..... | 14 | +| | Appendix I – Use cases of smart greenhouse ..... | 15 | +| | Appendix II – Example of optimal growth models..... | 17 | +| | II.1 Example 1: The optimal growth model for tomatoes..... | 17 | +| | II.2 Example 2: The optimal growth model for watermelon ..... | 17 | +| | II.3 Example 3: the optimal growth model for paprika..... | 17 | +| | II.4 Example 4: the optimal growth model for strawberry..... | 18 | +| | Bibliography..... | 19 | + + + +# Recommendation ITU-T Y.4466 + +###### Framework of smart greenhouse service + +# 1 Scope + +This Recommendation describes a framework of a smart greenhouse service for precision farming. + +The scope covered by this Recommendation includes: + +- overview; +- requirements of each service entity; +- reference model and functional architecture; +- interfaces between service functions. + +Use cases of a smart greenhouse service and examples of optimal growth models are also provided in Appendix I and Appendix II respectively. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 device** [ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.2 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.3 application** [b-ITU-T Y.2091]: A structured set of capabilities, which provide value-added functionality supported by one or more services, which may be supported by an API interface. + +**3.1.4 sensor** [b-ITU-T Y.4105]: An electronic device that senses a physical condition or chemical compound and delivers an electronic signal proportional to the observed characteristic. + +**3.1.5 actuator** [b-ITU-T Y.4109]: A device performing physical actions caused by an input signal + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following terms: + +**3.2.1 greenhouse:** A facility that can control a crop-growth environment (i.e., light, temperature, humidity, etc.). + +**3.2.2 optimal growth model:** A recipe to set an environment to maximise crop productivity as well as quality according to the life cycle. + +**3.2.3 smart farm:** A group of smart greenhouses under management of an administrator. + +**3.2.4 smart greenhouse:** A facility that can control the environment of a greenhouse with minimum human intervention using Internet of things (IoT) technologies. + +**3.2.5 smart greenhouse service:** A service that enables precision farming based on a smart greenhouse. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|------------------------------| +| IoT | Internet of Things | +| SF | Smart Farm | +| SG | Smart Greenhouse | +| SGA | Smart Greenhouse Actuating | +| SGC | Smart Greenhouse Control | +| SGI | Smart Greenhouse Integration | +| SGM | Smart Greenhouse Management | +| SGO | Smart Greenhouse Operation | +| SGS | Smart Greenhouse Sensing | + +# **5 Conventions** + +The following conventions are used in this Recommendation: + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. +- The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. +- The keywords "can optionally" indicate an optional requirement that is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. +- The keyword "function" is defined as a collection of functionalities. It is represented by the following symbol in this Recommendation: + +Function + +- The keyword "functional entity" (FE) is defined as a group of functionalities that has not been further subdivided at the level of detail described in this Recommendation. It is represented by the following symbol in this Recommendation: + +Functional +Entity (FE) + +NOTE – In the future, other groups or other Recommendations may possibly further subdivide these FEs. + +Frame borders of "function" and "FE", and relational lines among "function" and "FE" are drawn with solid lines or dashed lines. The solid lines mean required functionalities or relations. On the other hand, the dashed lines mean optional functionalities or relations. + +# 6 Overview + +In order to improve crop production and quality and to control the production period, it is necessary to have an isolated space which can control environment conditions (i.e., humidity, temperature, and light intensity). To provide this isolated space, the greenhouse came into existence; a greenhouse is a structure with walls and roof made chiefly of transparent materials in which a crop cultivation environment can be controlled. + +NOTE – A greenhouse can be used to overcome the problems accompanied by the growing season and land space. + +However, traditional greenhouses exhibit the following shortcomings: + +- Users are necessary to control the crop-growth environment manually for better harvesting. +- Users have to monitor the crop-growth environment continuously and then adjust the environment to meet specific conditions. +- User's lack of experience may necessitate undergoing a lot of trial and error in cultivating crops. + +To overcome these shortcomings, various Internet of things (IoT) technologies are applied. Based on a number of collected sensing data, the crop-growth environment can be intelligently adjusted to meet optimal conditions for cultivating crops. To differentiate a greenhouse with IoT technologies from a typical greenhouse, a new term, smart greenhouse, has been introduced. A smart greenhouse is a greenhouse using IoT technologies for stable and efficient crop production. A smart greenhouse monitors both the environment status and the crop-growth status and controls the crop-growth environment intelligently and automatically with the help of IoT technologies. A smart greenhouse enables users to cultivate crops anytime and anywhere, it minimizes user's interventions, labour costs, energy consumption and fertilizers consumed. + +Figure 1 shows a conceptual diagram of a smart greenhouse. A smart greenhouse has the following features: + +- A crop-growth condition is configured according to a specific optimal growth model. +- A controller monitors both environment and crop-growth status using various sensors. +- A controller controls the crop-growth environment using various actuators. + +![Figure 1: Conceptual diagram of a smart greenhouse. The diagram shows a house-shaped structure labeled 'Smart greenhouse' at the top. Inside, there are three main components: 'Sensors' (Temp, CO2, Humid, Bright, Wind, Rain, PH, EC, Moist.), 'Controller' (Environment controller, Nutrient controller), and 'Actuators' (Fan, Heater, Window, Light, Switch, Valve, Irrigator, Mist, Fertilizer). Arrows indicate bidirectional communication between the sensors and the controller, and between the controller and the actuators.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Y.4466(20)\_F01 + +Figure 1: Conceptual diagram of a smart greenhouse. The diagram shows a house-shaped structure labeled 'Smart greenhouse' at the top. Inside, there are three main components: 'Sensors' (Temp, CO2, Humid, Bright, Wind, Rain, PH, EC, Moist.), 'Controller' (Environment controller, Nutrient controller), and 'Actuators' (Fan, Heater, Window, Light, Switch, Valve, Irrigator, Mist, Fertilizer). Arrows indicate bidirectional communication between the sensors and the controller, and between the controller and the actuators. + +**Figure 1 – Conceptual diagram of smart greenhouse** + +Figure 2 shows a conceptual diagram of a smart greenhouse service, in which three stakeholders are involved in the service; a smart greenhouse can perform precision farming, a smart greenhouse service user can be provided with a management strategy, and a service provider can create various services. + +![Figure 2: Conceptual diagram of a smart greenhouse service. The diagram shows three main stakeholders: 'Smart greenhouse' (containing the internal components from Figure 1), 'Smart greenhouse service user' (represented by icons for Researchers and Farmers), and 'Smart greenhouse service provider' (represented by a row of service boxes: Environment management service, Crop-growth monitoring service, Environment/growth information analysis service, Optimal growth model service, and Marketing strategy service). Arrows indicate bidirectional communication between the smart greenhouse and the service provider, and between the service provider and the service users.](e6df2733626a85205c1db682e6259c46_img.jpg) + +Y.4466(20)\_F02 + +Figure 2: Conceptual diagram of a smart greenhouse service. The diagram shows three main stakeholders: 'Smart greenhouse' (containing the internal components from Figure 1), 'Smart greenhouse service user' (represented by icons for Researchers and Farmers), and 'Smart greenhouse service provider' (represented by a row of service boxes: Environment management service, Crop-growth monitoring service, Environment/growth information analysis service, Optimal growth model service, and Marketing strategy service). Arrows indicate bidirectional communication between the smart greenhouse and the service provider, and between the service provider and the service users. + +**Figure 2 – Conceptual diagram of smart greenhouse service** + +A smart greenhouse service has the following features: + +- analysis of the relationship between environment and crop-growth information measured by sensors; +- generation and provision of an optimal growth model for each crop; +- sharing of optimal growth models; +- improvement of productivity and quality through optimal growth models; +- reduction of trial and error by sharing users' experiences; +- generation of a management strategy to reduce resource consumption; +- generation of a marketing strategy based on the production information. + +The ultimate goal of a smart greenhouse service is not only to maximize crop productivity and quality but also to enhance user convenience. + +# **7 Requirements of smart greenhouse services** + +### **7.1 Requirements of smart greenhouse** + +A smart greenhouse (SG) includes one or more sensors and actuators to configure optimal growth conditions to maximize crop productivity and quality. The following are the requirements of SG: + +- SG is required to be equipped with one or more sensors and actuators; +- SG is required to have a capability of monitoring environment conditions of both inside and outside of SG; +- SG is required to have a capability of monitoring crop-growth conditions; +- SG is required to notify information including both environment and crop-growth status to SG service users in a real-time or a non-real-time manner; +- SG is required to report information including both environment and crop-growth status to an SG service provider in a real-time or a non-real-time manner; +- SG is recommended to have a capability of specifying crop-growth and environment conditions to be monitored or controlled; +- SG is required to have a capability of adjusting a specific environment condition; +- SG is required to have a capability of handling multiple sensors and actuators simultaneously to adjust environment conditions; +- SG is required to operate a specific actuator according to SG service user's instructions; +- SG is recommended to operate a specific actuator according to SG service provider's instructions; +- SG is required to report the execution result of a control command to the SG service user or the SG service provider who issued the control command; +- SG is recommended to provide the information of crop cultivation to the SG service provider; +- SG is recommended to have a capability of providing information regarding crop cultivation activities to the SG service user, in case SG is operated automatically or by the SG service provider's instructions; +- SG is required to have a capability of logging crop cultivation activities; +- SG is required to have a capability of maintaining historical data on environment status; +- SG is recommended to have a capability of maintaining historical data on a specific crop-growth status; +- In order to ensure SG to be tolerant, SG is recommended to inform the SG service user and/or the SG service provider of the device status installed in the SG. + +### **7.2 Requirements of SG service provider** + +A SG service provider is an entity providing a SG service to its service users. The following are the requirements of the SG service provider: + +- SG service provider is required to collect the information of both environment and crop-growth status for a specific SG in a real-time or a non-real-time manner, in order to produce optimal growth models to maximize crop productivity and quality; + +- SG service provider is recommended to collect the SG's crop cultivation information in a real-time or a non-real-time manner, in order to produce optimal growth models to maximize crop productivity and quality; +- SG service provider is recommended to collect the information of resources consumed by the SG service user, in order to produce a management strategy to maximize the SG service user's profitability; + +NOTE 1 – Examples of information about resources consumed include electricity consumption, water consumption, and fertilizer usage. + +- SG service provider is recommended to collect the information of the SG service user's production, in order to produce a management strategy with which to maximize the SG service user's profitability; +- SG service provider is required to have a capability of producing a series of optimal growth models based on the information gathered from SGs as well as SG service users; +- SG service provider is required to provide optimal growth models to the SG service user in a push or an on-demand manner; +- SG service provider can optionally provide market information to the SG service user, in order to maximize the SG service user's profitability; + +NOTE 2 – Market information is the information for forecasting crop prices that can be used by SG service users. + +- SG service provider is recommended to have a capability of interoperating with an external data center, in order to store, analyse and utilize the data. + +### **7.3 Requirements of SG service user** + +A SG service user is an entity consuming the SG service provided by a SG service provider. The followings are the requirements of the SG service user: + +- SG service user is recommended to provide the information of resource consumption to the SG service provider, in order to maximize crop productivity and quality, and to minimize the resource consumption; +- SG service user is recommended to provide the production information to the SG service provider, in order to maximize the SG service user's profitability by controlling the amount of agricultural goods and the harvest timing; + +NOTE – An example of production information includes the sales amount of the agricultural goods. + +- SG service user is required to approve and apply one of the optimal growth models provided by the SG service provider, in order to make automatic operation possible; +- SG service user is required to have a capability of operating the SG manually, in case the communication with the SG service provider is not possible. + +# **8 SG service reference model** + +Figure 3 shows a SG service reference model in accordance with the IoT reference model [ITU-T Y.4000]. The IoT reference model consists of application layer, service support and application support layer, network layer and device layer, and capabilities of management and security. Among those layers and capabilities of the IoT reference model, the SG service reference model defines six more functions specific to a SG service. In this regard, the following functions are defined as components of the SG service reference model: + +- SG sensing function; +- SG actuating function; +- SG control function; + +- SG operation function; +- SG integration function; +- SG management function. + +Each function of the SG service reference model shown in Figure 3 is defined to meet the concept and requirements of the SG service described in clauses 6 and 7 respectively. + +![Figure 3: SG service reference model in accordance with the IoT reference model [ITU-T Y.4000]. The diagram shows a layered architecture with four main layers: Application layer, Service support and application support layer, Network layer, and Device layer. The Application layer contains IoT applications and an SG application. The Service support and application support layer contains generic support capabilities and specific support capabilities (SG integration function, SG operation function, SG control function). The Network layer contains networking capabilities and transport capabilities. The Device layer contains device capabilities (SG sensing function, SG actuating function) and gateway capabilities. On the left, management capabilities are shown, including specific management capabilities (SG management function) and generic management capabilities. On the right, security capabilities are shown, including specific security capabilities and generic security capabilities. The diagram is labeled Y.4466(20)_F03.](eefe19c5e14dc4d6c316b7f7fbb7d7d7_img.jpg) + +The diagram illustrates the SG service reference model, structured into four main layers: Application layer, Service support and application support layer, Network layer, and Device layer. Each layer contains specific functions and capabilities. The Application layer includes IoT applications and an SG application. The Service support and application support layer is divided into generic support capabilities and specific support capabilities, which include the SG integration function, SG operation function, and SG control function. The Network layer consists of networking capabilities and transport capabilities. The Device layer includes device capabilities (SG sensing function and SG actuating function) and gateway capabilities. On the left side, management capabilities are categorized into specific management capabilities (SG management function) and generic management capabilities. On the right side, security capabilities are categorized into specific security capabilities and generic security capabilities. The diagram is labeled Y.4466(20)\_F03. + +Figure 3: SG service reference model in accordance with the IoT reference model [ITU-T Y.4000]. The diagram shows a layered architecture with four main layers: Application layer, Service support and application support layer, Network layer, and Device layer. The Application layer contains IoT applications and an SG application. The Service support and application support layer contains generic support capabilities and specific support capabilities (SG integration function, SG operation function, SG control function). The Network layer contains networking capabilities and transport capabilities. The Device layer contains device capabilities (SG sensing function, SG actuating function) and gateway capabilities. On the left, management capabilities are shown, including specific management capabilities (SG management function) and generic management capabilities. On the right, security capabilities are shown, including specific security capabilities and generic security capabilities. The diagram is labeled Y.4466(20)\_F03. + +**Figure 3 – SG service reference model in accordance with the IoT reference model [ITU-T Y.4000]** + +The following describes the role of each function: + +- **The SG sensing function** collects information of environment and crop-growth status of a SG from sensors installed in a SG and delivers it to the SG control function. The SG sensing function also delivers information about each sensor (such as type, location, description and unit of sensing value, etc.) to the SG management function; + +NOTE 1 – A SG can have multiple SG sensing functions for various sensors. + +- **The SG actuating function** operates actuators installed in a SG according to the control commands received from the SG control function. The SG actuating function delivers information about each actuator (such as type, location description and operation status, etc.) to the SG management function; + +NOTE 2 – A SG can have multiple SG actuating functions for various actuators. + +- **The SG control function** generates actuation control commands to operate actuators according to the final growth model information received from the SG operation function, and/or according to the operation status information of an actuator. The control commands reflect the capability of each actuator installed in a SG and a user's request for each actuator. The SG control function delivers the control commands to the SG actuating function. The SG control function also delivers the information of environment and crop- + +growth status, which received from the SG sensing function and the SG actuating function, to the SG operation function; + +NOTE 3 – A SG can have one control function. However, if SG sensing functions or SG actuating functions are grouped according to a specific purpose, one SG can have multiple SG control functions. + +NOTE 4 – An example of the SG control function's user includes a farmer or a SG administrator. + +- **The SG operation function** generates final environment control conditions for a specific crop in a SG, which reflects the user's farming experience. The SG operation function also delivers the information of both environment and crop-growth status, which is received from the SG control function, to the SG integration function; + +NOTE 5 – A smart farm (SF) has the SG operation function, and the SG operation function can manage multiple SGs. A farmer generally cultivates more than one type of crop in a SF, and crops may require various growth environment conditions. The crops in need of a similar environment conditions can be cultivated in a single SG, but the crops in need of different environment conditions cannot be cultivated in a single SG. Therefore, the environment condition of a SG determines a specific kind of crop that can be cultivated. Therefore, it is necessary to store the information about environment and crop-growth conditions of various crops cultivated. In addition, it is important for the SG operation function to modify the final optimal growth model to meet user's requests. + +- **The SG integration function** accumulates the information of both environment and crop-growth status from the SG operation function; the scope of the information to be accumulated is not per SG but per SF. After accumulating the information of a SF, it produces an optimal growth model with the help of an experts group or an expert system, and then stores it. The produced optimal growth model is also delivered back to the SG operation function to reflect any user's additional requests; + +NOTE 6 – This Recommendation uses the term 'experts group' to represent a group of experts who have extensive skill or knowledge in an agricultural field. This Recommendation also uses the term 'expert system' to represent a computer program that can offer intelligent advice or make intelligent decisions in an agricultural field. + +NOTE 7 – The SG integration function can generate an optimal growth model for each SF. Usually crops are being cultivated in many SFs in various environments, it is necessary to know the environment effects on crop-growth. This could be done by analysing the information of both environment and crop-growth status for a specific crop cultivated in various SFs. Therefore, it is necessary to collect information of both environment and crop-growth status for various crops cultivated in many SFs. + +- **The SG management function** manages the information of both environment and crop-growth status in SGs of a SF; a SF consists of one or more SGs. A SG collects the information of sensors and actuators installed in SGs from the SG sensing function and the SG actuating function, respectively. The SG management function also interacts with the SG control function, the SG operation function, and the SG integration function to deliver the information respectively. + +NOTE 8 – The SG management function maintains the information of multiple SGs. + +In the SG service, there are two types of flows. One is the flow of transferring information of both environment and crop-growth status of each SG. The other is the flow of transferring control commands to each SG. Figure 4 shows a high-level flow of information and control commands between functions in terms of the SG service reference model. + +![Figure 4: A high-level information and control flow of SG service. The diagram shows a hierarchical architecture. At the top is the 'SG application' box, which has a bidirectional information flow (white arrow up, black arrow down) with the 'SG integration function' box below it. The 'SG integration function' box also has a bidirectional information flow with the 'SG operation function' box. The 'SG operation function' box is part of a 'Smart farm' (SF) container, indicated by a blue dashed border. Inside this container, there are multiple 'Smart greenhouses' (SG) represented by red dashed borders. The first SG, 'SG #1', contains an 'SG control function' box, which in turn contains an 'SG sensing function' box (with an upward information flow) and an 'SG actuating function' box (with a downward control flow). The 'SG operation function' box has bidirectional information flows with each of the SG boxes. To the left of the entire structure is a vertical bar labeled 'SG management function'. To the right, another 'Smart farm' container 'SF #M' is shown, containing an 'SG operation function' box with bidirectional information flows to the 'SG integration function' and the 'SG management function'. A legend at the bottom defines the symbols: a solid blue box for 'Required function', a white arrow for 'Information flow', a black arrow for 'Control flow', a red dashed box for 'SG (Smart greenhouse)', and a blue dashed box for 'SF (Smart farm)'. The identifier 'Y.4466(20)_F04' is located in the bottom right corner of the diagram area.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +Figure 4: A high-level information and control flow of SG service. The diagram shows a hierarchical architecture. At the top is the 'SG application' box, which has a bidirectional information flow (white arrow up, black arrow down) with the 'SG integration function' box below it. The 'SG integration function' box also has a bidirectional information flow with the 'SG operation function' box. The 'SG operation function' box is part of a 'Smart farm' (SF) container, indicated by a blue dashed border. Inside this container, there are multiple 'Smart greenhouses' (SG) represented by red dashed borders. The first SG, 'SG #1', contains an 'SG control function' box, which in turn contains an 'SG sensing function' box (with an upward information flow) and an 'SG actuating function' box (with a downward control flow). The 'SG operation function' box has bidirectional information flows with each of the SG boxes. To the left of the entire structure is a vertical bar labeled 'SG management function'. To the right, another 'Smart farm' container 'SF #M' is shown, containing an 'SG operation function' box with bidirectional information flows to the 'SG integration function' and the 'SG management function'. A legend at the bottom defines the symbols: a solid blue box for 'Required function', a white arrow for 'Information flow', a black arrow for 'Control flow', a red dashed box for 'SG (Smart greenhouse)', and a blue dashed box for 'SF (Smart farm)'. The identifier 'Y.4466(20)\_F04' is located in the bottom right corner of the diagram area. + +**Figure 4 – A high-level information and control flow of SG service** + +The following are examples of SG services: + +- **Production and consumption of SG environment and crop-growth information:** The information of both environment and crop-growth status of a SG, which is generated by the SG sensing function, is collected by the SG control function. This collected SG information is delivered to the SG operation function. The information is then transferred to the SG integration function. Finally, the SG integration function provides the information to the users such as an experts group or an expert system; +- **Creation of crop-growth conditions and execution of control commands:** The information, which is provided by the previous information flow, can be used by an experts group and an expert system to derive optimal growth conditions for each crop. The SG integration function retrieves optimal crop-growth conditions from an experts group and/or an expert system, and maintains them; and then it provides the optimal crop-growth conditions to the SG operation function. The SG operation function enables user's additional modification on the optimal growth conditions which are provided by the SG integration function; and then it delivers the modified optimal growth conditions to the SG control function. Finally, the SG control function issues a series of control commands to the appropriate SG actuating function to make the actuator execute proper operations. + +# 9 SG service functional architecture + +Figure 6 shows the functional architecture of the SG service. + +![Functional architecture of the SG service diagram showing SG management, SG application, and SG sensing/actuating functions.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +The diagram illustrates the functional architecture of the SG service, organized into three main vertical sections: SG management function, SG application, and SG sensing function. + +- SG management function:** Contains two functional elements (FEs): + - SGM-RegInfoProc FE + - SGM-ActOpStatusInfoProc FE +- SG application:** A central block divided into four horizontal layers: + - SG integration function:** Contains SGI-EnvInfoProc FE, SGI-GrowthInfoProc FE, and SGI-OptGrowthModelProc FE. + - SG operation function:** Contains SGO-EnvInfoProc FE, SGO-GrowthInfoProc FE, and SGO-FinGrowthModelGen FE. + - SG control function:** Contains SGC-EnvInfoProc FE, SGC-GrowthInfoProc FE, and SGC-ActContCmdGen FE. + - SG sensing function:** Contains SGS-EnvInfoProc FE and SGS-GrowthInfoProc FE. + - SG actuating function:** Contains SGA-ActContCmdProc FE. +- Data Flow:** + - Vertical connections within the SG application layer: SGI-EnvInfoProc FE connects to SGO-EnvInfoProc FE, which connects to SGC-EnvInfoProc FE, which connects to SGS-EnvInfoProc FE. Similarly, SGI-GrowthInfoProc FE connects to SGO-GrowthInfoProc FE, which connects to SGC-GrowthInfoProc FE, which connects to SGS-GrowthInfoProc FE. SGI-OptGrowthModelProc FE connects to SGO-FinGrowthModelGen FE, which connects to SGC-ActContCmdGen FE, which connects to SGA-ActContCmdProc FE. + - Horizontal connections from the SG management function: SGM-RegInfoProc FE connects to SGI-EnvInfoProc FE and SGI-GrowthInfoProc FE. SGM-ActOpStatusInfoProc FE connects to SGI-EnvInfoProc FE, SGI-GrowthInfoProc FE, and SGI-OptGrowthModelProc FE. + +Y.4466(20)\_F05 + +Functional architecture of the SG service diagram showing SG management, SG application, and SG sensing/actuating functions. + +**Figure 5 – Functional architecture of the SG service** + +### 9.1 SG sensing function + +The SG sensing function, which consists of the SGS-EnvInfoProcFE and the SGS-GrowthInfoProcFE, collects environment information about SG and the crops growing information. And then this function provides the information to the SG control function. Details of each FE are: + +- The SGS-EnvInfoProcFE (SG Sensing-Environment Information Processing FE) collects the environment information of a SG from various types of environment sensors (IoT devices), and then this FE provides the information to the SGC-EnvInfoProcFE; + +NOTE 1 – The environment information has various forms of sensing values depending on the type of sensors, such as temperature, humidity or CO2 concentration, etc. + +- The SGS-GrowthInfoProcFE (SG Sensing-Growth Information Processing FE) collects the crop-growth information in a SG from various types of growth sensors (IoT devices) and then this FE provides the collected information to the SGC-GrowthInfoProcFE. + +NOTE 2 – The crop-growth information has various forms of sensing values depending on the type of sensors, such as growth length, stem diameter, leaf length, etc. + +### 9.2 SG actuating function + +The SG actuating function, which consists of the SGA-ActContCmdProcFE, receives the control commands from the SG control function and then delivers them to the appropriate actuators. Details of the FE are: + +- The SGA-ActContCmdProcFE (SG Actuating-Actuator Control Command Processing FE) receives a series of control commands as well as specific attributes of an actuator from the SGC-ActContCmdGenFE, and pass them to the corresponding actuator (the related IoT device). + +NOTE 1 – The control commands of each actuator may differ by the type of actuators. Examples of control commands of an actuator include 'open/close', 'on/off' and 'operate/stop', etc. + +NOTE 2 – Examples of actuator's attributes are 'operation time', 'operation duration', 'open position' and 'operation speed', etc. + +### 9.3 SG control function + +The SG control function collects the information of both environment and crop-growth status of a SG, and provides them to the SG operation function. In addition, the SG control function receives the environment conditions for the crops cultivated in the SG from the SG operation function, and issues a series of control commands to the actuator. Details of each FE in the SG control function are: + +- The SGC-EnvInfoProcFE (SG Control-Environment Information Processing FE) collects the environment information of a SG through the SGS-EnvInforProcFE in the SG sensing function, and then this FE provides the information to the SGC-ActContCmdGenFE to adjust the actuator's operation; + +NOTE 1 – The environment information can be provided in terms of 'at a specific time', 'periodically', 'on-demand' or 'when an event occurs' etc. + +- The SGC-GrowthInfoProcFE (SG Control-Growth Information Processing FE) collects the crop-growth information in a SG through the SGS-GrowthInfoProcFE, and then it provides this information to the SGO-GrowthInfoProcFE and the SGC-ActContCmdGenFE. + +NOTE 2 – The crop-growth information can be provided in terms of 'at a specific time', 'periodically', 'on-demand' or 'when an event occurs', etc. + +- The SGC-ActContCmdGenFE (SG Control-Actuator Control Command Generation FE) collects the final growth model from the SGO-FinGrowthModelGenFE. This FE collects the information of both environment and crop-growth status from the SGC-EnvInforProcFE and the SGC-GrowthInfoProcFE respectively, and this FE collects the information regarding operation status of each actuator from the SGC-ActOpStatusInfoProcFE in the SG management function. According to the SG's environment conditions, the SGC-ActContCmdGenFE generates the appropriate control commands for the SGA-ActContCmdProcFE. + +NOTE 3 – The control commands are generated according to the various items of information on profile, status, and capability of the actuator. All of these information items can be obtained from the SGM-ActOpStatusInfoProcFE in the SG management function. + +NOTE 4 – The group of actuators are selected by the control commands in regard to the target period and target value to meet the optimal growth model. + +NOTE 5 – If the current control command cannot create the environment conditions to meet the optimal growth model, the group of actuators must be reselected. + +NOTE 6 – The control commands according to the final optimal growth model can be derived by the SG control function or the SG operation function. + +### 9.4 SG operation function + +The SG operation function, which consists of the SGO-EnvInfoProcFE, the SGO-GrowthInfoProcFE and the SGO-FinGrowthModelGenFE, collects the information of both environment and crop-growth status from the SG control function, and then provides the information to the SG integration function to produce the optimal growth models. Details of each FE in the SG operation function are: + +- The SGO-EnvInfoProcFE (SG Operation-Environment Information Processing FE) collects the environment information of the SGs through the SGC-EnvInfoProcFE in the SG control function, and then provides the environment information to the SGI-EnvInfoProcFE in the SG integration function; + +NOTE 1 – An example of the environment information collected by the SGO-EnvInfoProcFE includes the weather condition of each SG. + +- The SGO-GrowthInfoProcFE (SG Operation-Growth Information Processing FE) collects the crop-growth information of each SG through the SGC-GrowthInfoProcFE, and then delivers the crop-growth information to the SGI-GrowthInfoProcFE in the SG integration function and the SGO-FinGrowthModelGenFE in the SG operation function; + +NOTE 2 – An example of the information collected by the SGO-GrowthInfoProcFE includes crops-growth information in each SG. + +NOTE 3 – The SGO-FinGrowthModelGenFE uses the crop-growth information to produce the final optimal crop-growth model for a specific crop. + +- The SGO-FinGrowthModelGenFE (SG Operation-Final Growth Model Generation FE) collects the general optimal growth models from the SGI-OptGrowthModelProcFE in the SG integration function, and then produces the final optimal growth model for the SGS-ActContCmdGenFE in the SG control function. In addition, this FE allows SG service user's interventions while producing the final optimal growth model, in which SG service user's additional modifications on the produced final optimal growth model is allowed to produce the SG service user's customized final optimal growth model. + +### 9.5 SG integration function + +The SG integration function, which consists of the SGI-EnvInfoProcFE, the SGI-GrowthInfoProcFE and the SGI-OptGrowthModelProcFE, accumulates the information of both environment and crop-growth status, and then provides the information to an experts group and an expert system. Details of each FE are: + +- The SGI-EnvInfoProcFE (SG Integration-Environment Information Processing FE) collects the environment information of the SGs in a SF from the SGO-EnvinfoProcFE, and provides the information to the SG application on demand; + +NOTE 1 – Examples of the SG application include an experts group and an expert system. + +- The SGI-GrowthInfoProcFE (SG Integration-Growth Information Processing FE) collects the crop-growth information for a SF from the SGO-GrowthInfoProcFE, and provides the information to the SG application on demand; +- The SGI-OptGrowthModelProcFE (SG Integration-Optimal Growth Model Processing FE) collects general optimal growth models for a SF from the SG application, and then provides the optimal growth models to the SGO-FinGrowthModelGenFE on demand. + +NOTE 2 – The general optimal growth model describes well-known optimal crop-growth conditions in terms of crop life cycle. + +### 9.6 SG management function + +The SG management function, which consists of the SGM-RegInfoProcFE and the SGM-ActOpStatusInfoProcFE, manages and maintains the information of both environment and crop-growth status of SGs in a SF. Details of each FE are: + +- The SGM-RegInfoProcFE (SG Management-Registration Information Processing FE) describes the information of IoT devices (e.g., sensors, actuators, etc.). This FE collects and manages the information from the SG sensing function and the SG actuating function; + +NOTE 1 – The examples of information related to a sensor include type, description, location, sensing target and unit of sensing value. + +NOTE 2 – The examples of information related to an actuator include type, description, location, actuating target, and operation speed. + +- The SGM-ActOpStatusInfoProcFE (SG Management-Actuator Operation Status Information Processing FE) collects the information of actuators' operation status from the SGA-ActContCmdProcFE. This FE also provides the collected information to the SGO-FinGrowthModelGenFE to update the crop-growth conditions of the final growth model, + +and then it provides this collected information to the SGC-ActContCmdGenFE to generate a control command for a corresponding actuator. + +# 10 Interfaces for smart greenhouse service + +This clause describes the reference points between related functions, as illustrated in Figure 6. Arrows in Figure 6 indicate logical data flows between functions. + +![Figure 6: Reference points among related functions. The diagram shows the SG service provider and SG service user components and their interfaces.](8fa679f79a1bb1f527cba9f29e784e89_img.jpg) + +The diagram illustrates the reference points among related functions for a smart greenhouse service. It is divided into two main sections: the **SG service provider** (enclosed in a red dashed box) and the **SG service user** (represented by a person icon in a red dashed box). The SG service provider is further divided into two sub-sections: the **SG management function** (a vertical bar on the left) and the **SG application** (a box at the top). The SG application contains the **SG integration function** and the **SG operation function**. The SG management function contains the **SG control function**, the **SG sensing function**, and the **SG actuating function**. The SG service user is represented by a person icon. The interfaces are labeled as follows: R9 (between SG management function and SG integration function), R8 (between SG management function and SG operation function), R1 (between SG integration function and SG operation function), R2 (between SG operation function and SG control function), R7 (between SG management function and SG control function), R3 (between SG control function and SG sensing function), R4 (between SG control function and SG actuating function), R5 (between SG management function and SG sensing function), R6 (between SG management function and SG actuating function), R10 (between SG application and SG service user), R11 (between SG operation function and SG service user), R12 (between SG control function and SG service user), R13 (between SG sensing function and SG service user), R14 (between SG actuating function and SG service user), R15 (between SG sensing function and Sensor module(s)), and R16 (between SG actuating function and Actuator module(s)). The interfaces are categorized as mandatory (solid lines) or optional (dashed lines). A legend at the bottom explains the symbols: a red dashed box for 'Scope of this Recommendation', 'Rx' for 'Reference point name', a solid line for 'Mandatory interface', and a dashed line for 'Optional interface'. + +Figure 6: Reference points among related functions. The diagram shows the SG service provider and SG service user components and their interfaces. + +**Figure 6 – Reference points among related functions** + +This Recommendation defines the following interfaces: + +- The interface R1 is used between the SG integration function and the SG operation function to deliver the information of environment and crop-growth status as well as to deliver the general optimal growth model of SGs; +- The interface R2 is used between the SG operation function and the SG control function to deliver the information of environment and crop-growth status as well as to deliver the final optimal growth model of SGs; +- The interface R3 is used between the SG control function and the SG sensing function to deliver the information of environment and crop-growth status of SGs; +- The interface R4 is used between the SG control function and the SG actuating function to deliver the control commands to execute the actuator module and/or to deliver the actuator module's status information; +- The interface R5 is used between the SG management function and the SG sensing function to register IoT sensor modules with the information including type, manufacturer's description, location and characteristics; +- The interface R6 is used between the SG management function and the SG actuating function to register IoT actuator modules with the information including type, manufacturer's description, location, characteristics; + +- The interface R7 is used between the SG management function and the SG control function to deliver the information regarding IoT sensor modules and IoT actuator modules installed in a SG; +- The interface R8 is used between the SG management function and the SG operation function to deliver the information regarding IoT sensor modules and IoT actuator modules installed in a SF; +- The interface R9 is used between the SG management function and the SG integration function to deliver the information regarding IoT sensor modules and IoT actuator modules installed in one or more SFs; +- The interface R10 is used between the SG service user and the SG integration function to deliver the information regarding the SGs' environment and crop-growth status; +- The interface R11 is used between the SG service user and the SG operation function to deliver the information regarding the SGs' environment and crop-growth status; +- The interface R12 is used between the SG service user and the SG control function to deliver the information regarding the SGs' environment and crop-growth status; +- The interface R13 is used between the SG service user and the SG sensing function to deliver the sensing data; +- Interface R14 is used between the SG service user and the SG actuating function to deliver the status information of actuator; +- The interface R15 is used between the SG sensing function and the sensor module(s) to read sensing values; +- The interface R16 is used between the SG actuating function and the actuator module(s) to execute the actuator modules. + +NOTE – The interfaces R10, R11, R12, R13, R14, R15 and R16 are out of scope of this Recommendation. + +# **11 Security considerations** + +This framework does not specify any specific requirements on security matters. Any well-defined existing security capabilities can be applied for this framework. + +# Appendix I + +### Use cases of smart greenhouse + +(This appendix does not form an integral part of this Recommendation.) + +The smart greenhouse use case shown in Figure I.1 gives an example of how a smart greenhouse can aggregate environment conditions and how to control a smart greenhouse. + +**The SG management function** manages the information of both environment and crop-growth status in SGs of a SF; a SF consists of one or more SGs. SG collects the information about sensors and actuators installed in SGs from the SG sensing function and the SG actuating function respectively. This function also interacts with the SG control function, the SG operation function, and the SG integration function to deliver the information. + +**The SG integration function** maintains a database which consists of optimal per-crop-growth conditions; the optimal growth conditions can be retrieved from the SG's cumulative environment information by an agricultural growth model, but the description on the agricultural growth model is out of the scope of this Recommendation. This function then provides the optimal growth conditions to the SG operation function. + +**The SG operation function** can be handled by each user who has multiple separated smart SGs. Once this function receives optimal growth conditions, it generates an optimal growth model per SG, and then this function applies the model to the SG control function. During the crop cultivation, this function receives the environment information from the SG control function in real-time and passes the information to the SG integration function. + +**The SG control function** selects an actuator to operate according to the optimal growth model and environment condition. Also, it passes the environment condition to the SG operation function. + +**The SG sensing function** senses the environment condition of a greenhouse (inside as well as outside) and then it passes the sensed environment condition to the SG control function. + +**The SG actuating function** executes actuators to adjust a greenhouse environment. + +![Figure I.1 – Smart greenhouse use case. The diagram illustrates the architecture of a smart greenhouse system. On the left, a database provides 'Environment control information' to a 'Third party optimal growth model'. This model outputs 'Per-crop optimal environment condition' to the 'SG management function'. The 'SG management function' sends 'Sensed environment values' to the 'SG operation function', which in turn sends 'Sensed environment values' to the 'SG control function'. The 'SG control function' sends 'Sensed environment values' to the 'SG actuating function'. The 'SG actuating function' controls various components: 'Light', 'Fan', 'Camera', 'Curtain', 'Side window', and 'Top window'. The 'SG actuating function' also sends 'Sensed environment values' to a 'Sensor for temperature, humidity, pH, etc.'. The 'SG actuating function' is connected to a 'Heater', which is connected to a 'Heat pump', which is connected to a 'Fertilizer' tank. The 'SG actuating function' is also connected to a 'Heater'.](e69b9188aa2c14ec6b21c83f711fef65_img.jpg) + +Environment control information + +Third party optimal growth model + +Per-crop optimal environment condition + +SG management function + +SG operation function + +SG control function + +SG actuating function + +SG actuating function + +Light + +Fan + +Camera + +Curtain + +Side window + +Top window + +Sensor for temperature, humidity, pH, etc. + +Heater + +Heat pump + +Fertilizer + +Y.4466(20)\_FI.1 + +Figure I.1 – Smart greenhouse use case. The diagram illustrates the architecture of a smart greenhouse system. On the left, a database provides 'Environment control information' to a 'Third party optimal growth model'. This model outputs 'Per-crop optimal environment condition' to the 'SG management function'. The 'SG management function' sends 'Sensed environment values' to the 'SG operation function', which in turn sends 'Sensed environment values' to the 'SG control function'. The 'SG control function' sends 'Sensed environment values' to the 'SG actuating function'. The 'SG actuating function' controls various components: 'Light', 'Fan', 'Camera', 'Curtain', 'Side window', and 'Top window'. The 'SG actuating function' also sends 'Sensed environment values' to a 'Sensor for temperature, humidity, pH, etc.'. The 'SG actuating function' is connected to a 'Heater', which is connected to a 'Heat pump', which is connected to a 'Fertilizer' tank. The 'SG actuating function' is also connected to a 'Heater'. + +**Figure I.1 – Smart greenhouse use case** + +# Appendix II + +### Example of optimal growth models + +(This appendix does not form an integral part of this Recommendation.) + +The following are examples of optimal growth models for tomato, watermelon, paprika and strawberry. + +NOTE – An optimal growth model can be derived from several environment conditions. Examples of environment conditions include temperature, CO2 (carbon dioxide), nutrient solution (EC; Electrical conductivity), light intensity, potential of hydrogen (pH) and humidity. + +### II.1 Example 1: The optimal growth model for tomatoes + +This is an example of the optimal growth model to describe how to adjust environment conditions during the life cycle of cultivating tomatoes. + +**Table II.1 – Optimal growth model for tomatoes** + +| Growth stage | Temperature (day/night) | CO 2 | Nutrient solution (EC) | Potential of hydrogen | Humidity (day/night) | +|-----------------|-------------------------|-----------------|------------------------|-----------------------|----------------------| +| Germination | 25/25 °C | 700 ppm | 0.0-0.1 ds/m | pH 6.0-6.5 | 85/75% | +| Raising seeding | 24/18 °C | | 2.0-3.01 ds/m | | | +| Early growth | 25/15 °C | | 2.5-4.01 ds/m | | | +| Initial harvest | 25/13 °C | | 2.0-3.51 ds/m | | | +| Harvest | 25/15 °C | | 1.8-2.5 ds/m | | | + +### II.2 Example 2: The optimal growth model for watermelon + +This is an example of the optimal growth model to describe how to adjust environment conditions during the life cycle of cultivating watermelons. + +**Table II.2 – Optimal growth model for watermelon** + +| Growth stage | Temperature (day/night) | Light intensity | Potential of hydrogen | Humidity (day/night) | +|-----------------|-------------------------|-------------------|-----------------------|----------------------| +| Germination | 25/30 °C | 43,200~54,000 Lux | pH 5.0-6.8 | 90% | +| Raising seeding | 25~28 °C
/18~20 °C | | | | +| Grating | 28/30 °C | | | | +| Planting | 23~28 °C
/13~18 °C | | | | + +### II.3 Example 3: the optimal growth model for paprika + +This is an example of the optimal growth model to describe how to adjust environment conditions during the life cycle of cultivating paprika. + +**Table II.3 – Optimal growth model for paprika** + +| Growth stage | Temperature
(day/night) | CO 2 | Nutrient
solution
(EC) | Potential of
hydrogen | Humidity
(day/night) | +|----------------------|----------------------------|-----------------|------------------------------|--------------------------|-------------------------| +| Rooting | 21 °C | 500~700 ppm | | pH 5.5-5.7 | 70/80% | +| Vegetative
growth | 22/20 °C | 700 ppm | 3.5 dS/m, | | | +| Fruiting | 16/18 °C | 700 ppm | 3.0~2.5 dS/m | | | + +### **II.4 Example 4: the optimal growth model for strawberry** + +This is an example of the optimal growth model to describe how to adjust environment conditions during the life cycle of cultivating strawberries. + +**Table II.4 – Optimal growth model for strawberry** + +| Growth stage | Temperature
(day/night) | CO 2 | Light intensity | Potential of
hydrogen | Humidity
(day/night) | +|---------------------------|----------------------------|-----------------|----------------------|--------------------------|-------------------------| +| Vegetative
growth | 17/23 °C | 800~900 ppm | 43,200~54,000
Lux | pH 6.0-6.5 | 70/80% | +| Floral
differentiation | 10/15 °C | | | | | +| Harvest | 25/30 °C | | | | | + +# Bibliography + +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-ITU-T Y.4105] Recommendation ITU-T Y.4105/Y.2221 (2010), *Requirements for support of ubiquitous sensor network (USN) applications and services in the NGN environment*. +- [b-ITU-T Y.4109] Recommendation ITU-T Y.4109/Y.2061 (2012), *Requirements for the support of machine-oriented communication applications in the next generation network environment*. +- [b-ITU-T Y.4450] Recommendation ITU-T Y.4450/Y.2238 (2012), *Overview of Smart Farming based on networks*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4467-202001-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4467-202001-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..b56228b155d0807a5111626bab6cfbac48690497 --- /dev/null +++ b/marked/Y/T-REC-Y.4467-202001-I_PDF-E/raw.md @@ -0,0 +1,751 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4467 + +(01/2020) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Frameworks, architectures and protocols + +# --- **Minimum set of data structure for automotive emergency response system** + +Recommendation ITU-T Y.4467 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3499 | +| Y.3500–Y.3999 | | + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4467 + +# Minimum set of data structure for automotive emergency response system + +## Summary + +An automotive emergency response system (AERS) for aftermarket devices defined in Recommendation ITU-T Y.4119 is designed to bring rapid assistance to driver and/or passengers involved in accidents. + +For the normal operation purpose of the AERS, an accident related data (so-called minimum set of data (MSD)) needs to be sent from an automotive emergency detection device (AEDD) to an automotive emergency response centre (AERC). + +An MSD includes mandatory and optional information. The mandatory information of an MSD is a set of information that shall be included in an MSD when an AEDD performs normal operation. The optional information of an MSD is a set of information on an accident that can be additionally included to give more information to AERC. + +Recommendation ITU-T Y.4467 specifies an MSD structure and encoding rule for an AERS. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|------------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4467 | 2020-01-13 | 20 | 11.1002/1000/14170 | + +## Keywords + +Automotive, AERS, emergency, MSD. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview of MSD for AERS..... | 2 | +| 7 Minimum set of data..... | 3 | +| 7.1 MSD version..... | 4 | +| 7.2 Mandatory information..... | 5 | +| 7.3 Optional information of MSD ..... | 9 | +| 8 Encoding rule for MSD ..... | 10 | +| 9 Security considerations..... | 10 | +| Appendix I – MSD encoding example using IETF RFC 7049 ..... | 11 | +| Appendix II – Vehicle type example ..... | 14 | +| Appendix III – Vehicle location calculation example ..... | 15 | + + + +# Recommendation ITU-T Y.4467 + +## Minimum set of data structure for automotive emergency response system + +# 1 Scope + +The objective of this Recommendation is to specify the minimum set of data (MSD) structure for an automotive emergency response system (AERS). + +In particular, the scope of this Recommendation includes: + +- Overview of MSD for AERS +- Mandatory information of MSD +- Optional information of MSD +- Encoding rule for MSD + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T E.164] Recommendation ITU-T E.164 (2010), *The international public telecommunication numbering plan*. +- [ITU-T X.680] Recommendation ITU-T X.680 (2015) | ISO/IEC 8824-1:2015, *Information technology – Abstract Syntax Notation One (ASN.1): Specification of basic notation*. +- [ITU-T Y.4119] Recommendation ITU-T Y.4119 (2018), *Requirements and capability framework for IoT-based automotive emergency response system*. +- [IETF RFC 7049] IETF RFC 7049 (2013), *Concise binary object representation (CBOR)*. +- [ISO 3779] ISO 3779:2009, *Road vehicles – Vehicle identification number (VIN) - Content and structure*. +- [ISO 6709] ISO 6709:2008, *Standard representation of geographic point location by coordinates*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 automotive emergency detection device (AEDD)** [ITU-T Y.4119]: a unit (or a set of units) expected to perform at least the following functions: + +- receiving sensing data, from internal sensors and/or vehicle sensors, for determining whether or not the accident occurred needs emergency recovery or receiving manual triggering signals, +- determining whether or not the accident occurred needs emergency recovery, + +- receiving information about, or determining, the vehicle location, +- sending minimum set of data (MSD) which is related to the accident, and +- providing bidirectional voice communication. + +**3.1.2 automotive emergency response centre (AERC)** [ITU-T Y.4119]: a centre managed by a public authority or a private organization, responsible for: + +- answering each automotive emergency response request, +- confirming whether or not the accident occurred, and +- notifying the emergency authority (EA) if EA dispatch is necessary. + +NOTE – Considering the features of aftermarket devices, AERC is equipped with false alarms filtering functions. + +**3.1.3 minimum set of data (MSD)** [ITU-T Y.4119]: data related to the accident sent from automotive emergency detection device (AEDD) to automotive emergency response centre (AERC). + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|---------------------------------------| +| AEDD | Automotive Emergency Detection Device | +| AERC | Automotive Emergency Response Centre | +| AERS | Automotive Emergency Response System | +| CBOR | Concise Binary Object Representation | +| EA | Emergency Authority | +| GMT | Greenwich Mean Time | +| GNSS | Global Navigation Satellite System | +| MSD | Minimum Set of Data | +| OID | Object Identifier | +| UTC | Coordinated Universal Time | +| VIN | Vehicle Identification Number | + +## **5 Conventions** + +None. + +# **6 Overview of MSD for AERS** + +An automotive emergency response system (AERS) for aftermarket devices defined in [ITU-T Y.4119] is designed to bring rapid assistance to driver and/or passengers involved in accidents. + +For the normal operation purpose of the AERS, an accident related data (so-called minimum set of data, (MSD)) needs to be sent from an automotive emergency detection device (AEDD) to an automotive emergency response centre (AERC) as shown in Figure 1. + +An MSD includes mandatory and optional information. The mandatory information of an MSD is a set of information that shall be included in an MSD when an AEDD performs normal operation. The + +optional information of an MSD is a set of information on an accident that can be additionally included to give more information to AERC. + +![Diagram of MSD transmission architecture showing a vehicle connected to GNSS, AEDD, AERC, and EA systems.](acfc53eca625d62b38aa2563efa95c3e_img.jpg) + +The diagram illustrates the architecture for Minimum Set of Data (MSD) transmission. A vehicle is shown with two sensor blocks: 'Vehicle sensors' and 'Internal sensors'. The 'Internal sensors' block is part of the 'AEDD' (Accident Event Data Detector) system. A dashed line labeled 'GNSS' (Global Navigation Satellite System) points to the 'Internal sensors' block. A solid red arrow labeled 'MSD' points from the 'Internal sensors' block to the 'AERC' (Accident Event Recorder) block. A dashed line connects the 'Internal sensors' block to the 'AERC' block. A dashed line labeled 'Voice' connects the 'AERC' block to a 'Legacy system' block. A solid line labeled 'Data' connects the 'AERC' block to the 'EA' (Event Analyzer) block. A legend at the bottom indicates that dashed lines represent 'Voice' and solid lines represent 'Data'. The reference 'Y.4467(20)\_F01' is located at the bottom right of the diagram. + +Diagram of MSD transmission architecture showing a vehicle connected to GNSS, AEDD, AERC, and EA systems. + +**Figure 1 – MSD transmission [ITU-T Y.4119]** + +# 7 Minimum set of data + +Figure 2 shows the MSD structure. + +![Figure 2 – Structure of MSD. This diagram illustrates the hierarchical structure of the Message Structure Definition (MSD). At the top level is the 'msdVersion' field. Below it, the structure is divided into two main sections: 'mandatoryInformation' and 'optionalInformation'. The 'mandatoryInformation' section is enclosed in a yellow dashed box and contains a list of fields: 'messageIdentifier', 'timestamp', 'controlType', 'vehicleType', 'vehicleIdentificationNumber', 'vehicleLocation', 'timestampOfRecentVehicleLocatio...', 'recentVehicleLocationN1', 'timestampOfRecentVehicleLocatio...', 'recentVehicleLocationN2', 'timestampOfVehicleDirection', 'vehicleDirection', 'callbackNumber', 'numberOfPassengers', and 'vehiclePropulsionStorageType'. The 'optionalInformation' section is also enclosed in a yellow dashed box and contains two fields: 'objectIdentifier' and 'data'. The diagram uses standard ASN.1 notation, including boxes for fields, dashed lines for optional elements, and a central box for the 'mandatoryInformation' group.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 2 – Structure of MSD. This diagram illustrates the hierarchical structure of the Message Structure Definition (MSD). At the top level is the 'msdVersion' field. Below it, the structure is divided into two main sections: 'mandatoryInformation' and 'optionalInformation'. The 'mandatoryInformation' section is enclosed in a yellow dashed box and contains a list of fields: 'messageIdentifier', 'timestamp', 'controlType', 'vehicleType', 'vehicleIdentificationNumber', 'vehicleLocation', 'timestampOfRecentVehicleLocatio...', 'recentVehicleLocationN1', 'timestampOfRecentVehicleLocatio...', 'recentVehicleLocationN2', 'timestampOfVehicleDirection', 'vehicleDirection', 'callbackNumber', 'numberOfPassengers', and 'vehiclePropulsionStorageType'. The 'optionalInformation' section is also enclosed in a yellow dashed box and contains two fields: 'objectIdentifier' and 'data'. The diagram uses standard ASN.1 notation, including boxes for fields, dashed lines for optional elements, and a central box for the 'mandatoryInformation' group. + +Figure 2 – Structure of MSD + +## 7.1 MSD version + +All MSD defines the version according to the data structure so that the AERC can interpret the MSD. The MSD version is mandatory. + +*msdVersion* represents the version value of the MSD and has a value increasing sequentially from 1 to 255 (see Table 1) according to the data structure type. + +Table 1 – *msdVersion* + +| | | +|-------------|------------| +| Type | INTEGER | +| Constraints | (1 .. 255) | +| Length | 1 byte | + +### 7.2 Mandatory information + +The mandatory information listed in Table 2 is a set of information that shall be included in an MSD when the AEDD performs normal operations. + +**Table 2 – Mandatory information** + +| Name | Description | Data size | +|-------------------------------------------|----------------------------------------------|-----------| +| messageIdentifier | Message sequence of MSD | 1 byte | +| timestamp | The time stamp of accident detection | 4 bytes | +| controlType | Type of control | 4 bits | +| vehicleType | Type of vehicle | 5 bits | +| vehicleIdentificationNumber | Vehicle identification number (VIN) | 17 bytes | +| vehicleLocation | Location of vehicle | 8 bytes | +| timestampOfRecentVehicleLocationN1 | The time stamp of recent vehicle location N1 | 4 bytes | +| recentVehicleLocationN1 | Recent vehicle location N1 | 8 bytes | +| timestampOfRecentVehicleLocationN2 | The time stamp of recent vehicle location N2 | 4 bytes | +| recentVehicleLocationN2 | Recent vehicle location N2 | 8 bytes | +| timestampOfVehicleDirection | The time stamp of vehicle direction | 4 bytes | +| vehicleDirection | Direction of vehicle | 4 bits | +| callbackNumber | Callback number | 15 bytes | +| numberOfPassengers | The number of passengers | 1 byte | +| vehiclePropulsionStorageType | Fuel type of vehicle | 7 bits | + +#### 7.2.1 messageIdentifier + +*messageIdentifier* indicates the sequence number of transmitted MSD when an accident is detected. + +**Table 3 – messageIdentifier** + +| | | +|-------------|------------| +| Type | INTEGER | +| Constraints | (1 .. 255) | +| Length | 1 byte | + +The initial value of *messageIdentifier* is "1" (see Table 3) and it is monotonically increased whenever a new MSD is sent. The value resets to "1" whenever it reaches "255". + +#### 7.2.2 timestamp + +*timestamp* records the time of a detected accident. + +**Table 4 – timestamp** + +| | | +|-------------|-------------------| +| Type | INTEGER | +| Constraints | (0 .. 4294967295) | +| Length | 4 bytes | + +*timestamp* is recorded as a number in seconds that has elapsed since January 1, 1970 (midnight UTC/GMT). Local time can be converted by calculation based on UTC/GMT. + +The default value is "0" (see Table 4) if time information is not obtained. + +NOTE – *timestamp* will overflow on 07-Feb-2106 06:28:15 UTC. + +#### 7.2.3 controlType + +*controlType* is a set of control types for MSD which consists of *automaticActivation*, *testCall*, *positionTrusted*, and *cancelRequest* information (see Table 5). + +**Table 5 – controlType** + +| | | +|----------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Type | SEQUENCE [ITU-T X.680] | +| Length | 4 bits | +| Children | controlType ::= SEQUENCE {
automaticActivation BOOLEAN DEFAULT FALSE,
testCall BOOLEAN DEFAULT FALSE,
positionTrusted BOOLEAN DEFAULT FALSE,
cancelRequest BOOLEAN DEFAULT FALSE
} | + +*automaticActivation* is "true" if an MSD is created automatically generated or "false" if it is manually generated via the SOS button. + +*testCall* is set to "true" if an MSD sent is for service testing purposes. + +*positionTrusted* is "true" if GNSS is used to obtain location information. + +*cancelRequest* is "true" if the MSD is used to cancel previously sent accident report MSD. + +#### 7.2.4 vehicleType + +*vehicleType* (see Table 6) indicates the type of vehicle. + +**Table 6 – vehicleType** + +| | | +|--------|--------------------------| +| Type | ENUMERATED [ITU-T X.680] | +| Length | 5 bits | + +*vehicleType* should be determined according to the vehicle class defined in the national or regional regulations. The default value is "0000" if a vehicle type is not identified. + +#### 7.2.5 vehicleIdentificationNumber + +*vehicleIdentificationNumber* represents the unique identification string of the vehicle (see Table 7) as defined in [ISO 3779]. + +**Table 7 – vehicleIdentificationNumber** + +| | | +|----------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Type | SEQUENCE [ITU-T X.680] | +| Length | 17 bytes | +| Children | VIN::= SEQUENCE {
isowmi PrintableString (SIZE(3)) (FROM("0".."9","A".."Z")),
isovds PrintableString (SIZE(6)) (FROM("0".."9","A".."Z")),
isovisModelYear PrintableString (SIZE(1)) (FROM("0".."9","A".."Z")),
isovisSeqPlant PrintableString (SIZE(7)) (FROM("0".."9","A".."Z"))
} | + +If the *vehicleIdentificationNumber* value is not obtained or is invalid, the default value is "000000000000000000." + +#### 7.2.6 vehicleLocation + +*vehicleLocation* represents the vehicle location information (see Table 8) at the time of the accident detection as defined in [ISO 6709]. The *vehicleLocation* value consists of *positionLatitude* and *positionLongitude*, with the latitude and longitude values of the vehicle respectively. + +**Table 8 – vehicleLocation** + +| | | +|-------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Type | SEQUENCE [ITU-T X.680] | +| Constraints | Latitude: -90(-324000000) ~ +90(+324000000)
Longitude: -180(-648000000) ~ +180(+648000000) | +| Length | 8 bytes | +| Children | vehicleLocation ::= SEQUENCE {
positionLatitude INTEGER(-2147483648..2147483647),
positionLongitude INTEGER(-2147483648..2147483647)
} | + +*vehicleLocation* shall be written in degrees, minutes, and seconds to the second decimal place of the last second. + +The default values of *positionLatitude* and *positionLongitude* are "2147483647" if vehicle position information is not obtained at the time of an accident. + +#### 7.2.7 timestampOfRecentVehicleLocationN1, timestampOfRecentVehicleLocationN2, recentVehicleLocationN1, recentVehicleLocationN2 + +Two past location values (*recentVehicleLocationN1*, *recentVehicleLocationN2*) and the corresponding timestamp values (*timestampOfRecentVehicleLocationN1*, *timestampOfRecentVehicleLocationN2*) (see Tables 9-12) should be sent. Each valid location value should maintain a time interval of at least 5 seconds. The default values of locations and timestamps are the same as that of *timestamp* and *vehicleLocation* if an AEDD fails to provide valid ones. + +**Table 9 – timestampOfRecentVehicleLocationN1** + +| | | +|-------------|-------------------| +| Type | INTEGER | +| Constraints | (0 .. 4294967295) | +| Length | 4 bytes | + +**Table 10 – timestampOfRecentVehicleLocationN2** + +| | | +|-------------|-------------------| +| Type | INTEGER | +| Constraints | (0 .. 4294967295) | +| Length | 4 bytes | + +**Table 11 – recentVehicleLocationN1** + +| | | +|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Type | SEQUENCE [ITU-T X.680] | +| Constraints | Latitude: -90(-324000000) ~ +90(+324000000)
Longitude: -180(-648000000) ~ +180(+648000000) | +| Length | 8 bytes | +| Children | recentVehicleLocationN1 ::= SEQUENCE {
positionLatitude INTEGER(-2147483648..2147483647),
positionLongitude INTEGER(-2147483648..2147483647)
} | + +**Table 12 – recentVehicleLocationN2** + +| | | +|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Type | SEQUENCE [ITU-T X.680] | +| Constraints | Latitude: -90(-324000000) ~ +90(+324000000)
Longitude: -180(-648000000) ~ +180(+648000000) | +| Length | 8 bytes | +| Children | recentVehicleLocationN2 ::= SEQUENCE {
positionLatitude INTEGER(-2147483648..2147483647),
positionLongitude INTEGER(-2147483648..2147483647)
} | + +#### 7.2.8 timestampOfVehicleDirection + +*timestampOfVehicleDirection* (see Table 13) is the corresponding timestamp at the time of valid *vehicleDirection* acquisition. The data format follows a timestamp. + +**Table 13 –timestampOfVehicleDirection** + +| | | +|-------------|-------------------| +| Type | INTEGER | +| Constraints | (0 .. 4294967295) | +| Length | 4 bytes | + +#### 7.2.9 vehicleDirection + +*vehicleDirection* is the vehicle's moving direction value obtained (see Table 14) at the time of an accident or the last value obtained before an accident detection. + +**Table 14 – vehicleDirection** + +| | | +|-------------|-----------| +| Type | INTEGER | +| Constraints | (0 .. 15) | +| Length | 4 bits | + +Values of *vehicleDirection* are azimuth range based integers as defined in Table 15 based on the true north. + +**Table 15 – Vehicle azimuth range and vehicleDirection value** + +| Central angle | Azimuth range | vehicleDirection value | +|---------------|---------------|-------------------------------| +| 0 | 338 ~ 22 | 1 | +| 45 | 23 ~ 67 | 2 | +| 90 | 68 ~ 112 | 3 | +| 135 | 113 ~ 157 | 4 | +| 180 | 158 ~ 202 | 5 | +| 225 | 203 ~ 247 | 6 | +| 270 | 248 ~ 292 | 7 | +| 315 | 293 ~ 337 | 8 | + +#### **7.2.10 callbackNumber** + +*callbackNumber* (see Table 16) is expressed as a 15-digit number that is comprised of a country code, national destination code, and subscriber number as defined in [ITU-T E.164]. Fewer than 15 digits are recorded starting from the first digit, and the last digit is filled with NULL. + +**Table 16 – callbackNumber** + +| | | +|----------|---------------------------------------------------------------------------------| +| Type | SEQUENCE [ITU-T X.680] | +| Length | 15 bytes | +| Children | passengerPhoneNumber PrintableString (SIZE(15)) (FROM("0".."9")), | + +If the call back number is not available, it should be written as 15 NULLs. + +#### **7.2.11 numberOfPassengers** + +*numberOfPassengers* indicates the number of passengers including both driver and passengers (see Table 17). + +**Table 17 – numberOfPassengers** + +| | | +|-------------|------------| +| Type | INTEGER | +| Constraints | (1 .. 255) | +| Length | 1 byte | + +The default value is "00000000" If the information is not acquired. + +#### **7.2.12 vehiclePropulsionStorageType** + +*vehiclePropulsionStorageType* is the fuel type of the vehicle and the hybrid fuel vehicle may contain a plurality of fuel information (see Table 18). + +**Table 18 – vehiclePropulsionStorageType** + +| | | +|----------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Type | SEQUENCE [ITU-T X.680] | +| Length | 7 bits | +| Children | 
 vehiclePropulsionStorageType ::= SEQUENCE {     gasoline          BOOLEAN DEFAULT FALSE     diesel            BOOLEAN DEFAULT FALSE     compressedNaturalGas  BOOLEAN DEFAULT FALSE     liquidPropaneGas   BOOLEAN DEFAULT FALSE     electricBattery    BOOLEAN DEFAULT FALSE     hydrogen           BOOLEAN DEFAULT FALSE     other              BOOLEAN DEFAULT FALSE }
| + +The default value is "0000000" if the information is not acquired. + +## 7.3 Optional information of MSD + +Optional information (see Table 19) is additional data that an AEDD can send to an AERC for additional functions such as information to determine the severity of an accident. The optional information is expressed as a pair of object identifier and data. + +**Table 19 – Optional information** + +| | | +|-------------|------------------------| +| Type | SEQUENCE [ITU-T X.680] | +| Constraints | – | +| Length | – | + +### 7.3.1 objectIdentifier + +*objectIdentifier* is an object identifier (OID) assigned to identify data and records a relative object identifier. The assignment of object identifiers, in this regard, is outside the scope of this Recommendation. + +#### 7.3.2 data + +*data* is the additional data that an AEDD sends to an AERC, and its type and format are outside the scope of this Recommendation. + +# 8 Encoding rule for MSD + +The encoding rule of MSD shall comply with concise binary object representation (CBOR) defined in [IETF RFC 7049]. + +# 9 Security considerations + +There is no security consideration other than that described in clause 8 of [IETF RFC 7049]. + +## Appendix I + +### MSD encoding example using IETF RFC 7049 + +(This appendix does not form an integral part of this Recommendation.) + +Table I.1 is an example value of the MSD to show the encoding example. + +**Table I.1 – Mandatory information for example** + +| Mandatory information | Type | Example value | +|-------------------------------------------|------------|----------------------------------------------------| +| msdVersion | INTEGER | 1 | +| messageIdentifier | INTEGER | 1 | +| timestamp | INTEGER | 09-Apr-2019 09:25:33 UTC | +| controlType | SEQUENCE | Automatic activation
Position trusted | +| vehicleType | ENUMERATED | Midsized vehicle | +| vehicleIdentificationNumber | SEQUENCE | WM9VDS DSPYA123456 | +| vehicleLocation | SEQUENCE | Latitude: 36°23'02.1"N
Longitude: 127°22'02.3"E | +| timestampOfRecentVehicleLocationN1 | INTEGER | 09-Apr-2019 09:25:28 UTC | +| recentVehicleLocation N1 | SEQUENCE | Latitude: 36°23'02.5"N
Longitude: 127°21'56.1"E | +| timestampOfRecentVehicleLocationN2 | INTEGER | 09-Apr-2019 09:25:23 UTC | +| recentVehicleLocationN2 | SEQUENCE | Latitude: 36°23'03.7"N
Longitude: 127°21'49.1"E | +| timestampOfVehicleDirection | INTEGER | 09-Apr-2019 09:25:32 UTC | +| vehicleDirection | INTEGER | 175° | +| callbackNumber | SEQUENCE | +82 10 1234 1234 | +| numberOfPassengers | INTEGER | 2 | +| vehiclePropulsionStorageType | SEQUENCE | Gasoline | + +The example values in Table I.1 can be expressed in human readable diagnostic notation as follows: + +[ 1, //*msdVersion* + +[ 1, //*messageIdentifier* + +1554801933, //*timestamp* + +true, //*controlType.automaticActivation* + +false, //*controlType.testCall* + +true, //*controlType.positionTrusted* + +false, //*controlType.cancelRequest* + +2, //*vehicleType* + +"WM9VDS DSPYA123456", //*vehicleIdentificationNumber* + +[130982100, 458522300], //*vehicleLocation* + +``` + +1554801928, //timestampOfRecentVehicleLocationN1 +[130982500, 458516100], //recentVehicleLocationN1 +1554801923, //timestampOfRecentVehicleLocationN2 +[130983700, 458509100], //recentVehicleLocationN2 +1554801932, //timestampOfvehicleDirection +5, //vehicleDirection +"821012341234 ", //callbackNumber +2, //numberOfPassengers +true, //vehiclePropulsionStorageType.gasoline +false, //vehiclePropulsionStorageType.diesel +false, //vehiclePropulsionStorageType.compressedNaturalGas +false, //vehiclePropulsionStorageType.liquidPropaneGas +false, //vehiclePropulsionStorageType.electricBattery +false, //vehiclePropulsionStorageType.hydrogen +false //vehiclePropulsionStorageType.other +] + +``` + +] + +The result of encoding the above diagnostic notation using [IETF RFC 7049] is as follows and the total data size is 106 Bytes: + +``` + +82 # array(2) + 01 # unsigned(1) + 98 18 # array(24) + 01 # unsigned(1) + 1A 5CAC650D # unsigned(1554801933) + F5 # primitive(21) + F4 # primitive(20) + F5 # primitive(21) + F4 # primitive(20) + 02 # unsigned(2) + 71 # text(17) + 574D395644534453505941313233343536 # "WM9VDS DSPYA123456" +82 # array(2) + 1A 07CEA0D4 # unsigned(130982100) + 1A 1B547EBC # unsigned(458522300) + 1A 5CAC6508 # unsigned(1554801928) +82 # array(2) + 1A 07CEA264 # unsigned(130982500) + +``` + +``` + +1A 1B546684 # unsigned(458516100) +1A 5CAC6503 # unsigned(1554801923) +82 # array(2) + 1A 07CEA714 # unsigned(130983700) + 1A 1B544B2C # unsigned(458509100) +1A 5CAC650C # unsigned(1554801932) +05 # unsigned(5) +6F # text(15) + 383231303132333431323334202020 # "821012341234 " +02 # unsigned(2) +F5 # primitive(21) +F4 # primitive(20) +F4 # primitive(20) +F4 # primitive(20) +F4 # primitive(20) +F4 # primitive(20) +F4 # primitive(20) + +``` + +## Appendix II + +### Vehicle type example + +(This appendix does not form an integral part of this Recommendation.) + +Table II.1 shows examples of vehicle types. + +**Table II.1 – Vehicle type value example** + +| Division | Sub-division | vehicleType value | | +|-------------------|--------------|-------------------|---------| +| | | Binary | Decimal | +| Passenger vehicle | Compact | 00001 | 1 | +| | Midsized | 00010 | 2 | +| | Full-sized | 00011 | 3 | +| Bus | Compact | 00100 | 4 | +| | Midsized | 00101 | 5 | +| | Full-sized | 00110 | 6 | +| Truck | Compact | 00111 | 7 | +| | Midsized | 01000 | 8 | +| | Full-sized | 01001 | 9 | +| Motorcycle | Compact | 01010 | 10 | +| | Midsized | 01011 | 11 | +| | Full-sized | 01100 | 12 | + +## Appendix III + +### Vehicle location calculation example + +(This appendix does not form an integral part of this Recommendation.) + +Vehicle location is classified by latitude and longitude. Latitude is calculated as -324000000 when the south latitude (S) is -90 degrees and +324000000 when north latitude (N) is +90 degrees. The longitude is calculated as -64800000 when the west longitude (W) is -180 degrees and +64800000 when the east longitude (E) is +180 degrees. + +For example, if the latitude is measured as 36 degrees 23 minutes 2.1 seconds and the longitude 127 degrees 22 minutes 2.3 seconds, then: + +Latitude: $36^{\circ} 23' 2.1'' = (36 \times 60 \times 60 + 23 \times 60 + 2.1) \times 1,000 = 130982100$ + +Longitude: $127^{\circ} 22' 2.3'' = (127 \times 60 \times 60 + 22 \times 60 + 2.3) \times 1,000 = 458522300$ + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4469-202008-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4469-202008-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..b9b856e928009a818269fbbf2395a6157b89d9f3 --- /dev/null +++ b/marked/Y/T-REC-Y.4469-202008-I_PDF-E/raw.md @@ -0,0 +1,697 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4469 + +(08/2020) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Frameworks, architectures and protocols + +# --- **Reference architecture of spare computational capability exposure of IoT devices for smart home** + +Recommendation ITU-T Y.4469 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3599 | +| BIG DATA | Y.3600–Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4469 + +# Reference architecture of spare computational capability exposure of IoT devices for smart home + +## Summary + +Recommendation ITU-T Y.4469 introduces spare computational capability exposure (SCCE) of Internet of things (IoT) devices for smart home and provides the characteristics and reference architecture of SCCE. In addition, it provides common procedures and several use cases to illustrate the concepts and the reference architecture of SCCE. + +SCCE is a functional entity in the smart home that facilitates IoT applications to make full use of spare computational capabilities of IoT devices in smart home scenarios. SCCE collects the spare computational capabilities exposed by IoT devices and provides them to IoT applications. Using SCCE, the spare computational capabilities of IoT devices can be used by IoT applications instead of the cloud to reduce the requirements of cloud computing and network resources. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4469 | 2020-08-29 | 20 | 11.1002/1000/14372 | + +## Keywords + +Smart home, spare computational capability exposure. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|-----------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of SCCE of IoT devices for smart home..... | 3 | +| 7 | Characteristics of SCCE of IoT devices for smart home..... | 4 | +| | 7.1 Supporting heterogeneous home devices ..... | 4 | +| | 7.2 Management for exposed computational capabilities of home devices ..... | 4 | +| | 7.3 Scheduling computational tasks ..... | 4 | +| | 7.4 Management for computational modules ..... | 5 | +| | 7.5 Connection status discovery ..... | 5 | +| | 7.6 Access control mechanism ..... | 5 | +| 8 | Reference architecture of SCCE of IoT devices for smart home ..... | 5 | +| | 8.1 General architecture..... | 5 | +| | 8.2 Functional components..... | 7 | +| | 8.3 Reference points ..... | 8 | +| 9 | Common procedures of SCCE of IoT devices for smart home ..... | 9 | +| | 9.1 Registering and updating computational capabilities..... | 9 | +| | 9.2 Subscribing computational capabilities..... | 10 | +| | 9.3 Accessing computational capabilities..... | 11 | +| 10 | Security considerations..... | 13 | +| | Appendix I – Use cases of SCCE in smart home..... | 14 | +| | I.1 Use case: SCCE promoting smart elderly care in smart home..... | 14 | +| | I.2 Use case: SCCE promoting smart voice control in smart home ..... | 15 | +| | I.3 Use case: SCCE promoting smart video monitoring in smart home..... | 16 | +| | Bibliography..... | 18 | + + + +# Recommendation ITU-T Y.4469 + +# Reference architecture of spare computational capability exposure of IoT devices for smart home + +# 1 Scope + +This Recommendation specifies characteristics and reference architecture of spare computational capability exposure (SCCE) of Internet of things (IoT) devices for smart home. + +The scope of this Recommendation includes: + +- overview of spare computational capability exposure of IoT devices; +- characteristics of spare computational capability exposure of IoT devices; +- reference architecture of spare computational capability exposure of IoT devices; +- common procedures of spare computational capability exposure of IoT devices. + +In addition, relevant use cases of smart home are provided in Appendix I. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application** [b-ITU-T Y.2091]: A structured set of capabilities, which provide value-added functionality supported by one or more services, which may be supported by an API interface. + +**3.1.2 capability** [b-ITU-R M.1224-1]: The ability of an item to meet a service demand of given quantitative characteristics under given internal conditions. + +**3.1.3 device** [ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.4 home device** [b-ITU-T X.1111]: A home device is an entity (or a home appliance), such as PDA, PC, and TV/VCR, which controls or is controlled by another home device, or provides a service to home users. There are three types of home devices from the security point of view: type A, type B and type C. Type A home device, such as remote controller, PC or PDA, has a controlling capability of the type B home device or type C home device through the presentation page and rich + +display. Type B home device is a bridge that connects type C home devices with no communication interface to the home network; basically it communicates with the other devices in the home network on one end and uses some proprietary language on the other end (some examples include proprietary lighting control, etc.). Type C home device, such as security cameras, A/V devices, etc., only provides some sort of service to the rest of the home devices. Type A or type C home device is called a security console, if it has a security ownership of type B home device or type C home device. Any device in the home network can be classified into type A, type C or type A/type C according to the functionalities of a device. + +**3.1.5 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|----------------------------------------------------------| +| AI | Artificial Intelligence | +| CCP-FC | Computational Capability Publishing Functional Component | +| ES-FC | Exposure Support Functional Component | +| IoT | Internet of Things | +| PIR | Passive Infrared | +| RH-FC | Request Handling Functional Component | +| SCC | Spare Computational Capability | +| SCCE | Spare Computational Capability Exposure | +| SSAS | Service Support and Application Support | +| TS-FC | Task Scheduling Functional Component | +| TSP-FC | Task Support Functional Component | + +# **5 Conventions** + +The following conventions are used in this Recommendation: + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. +- The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Overview of SCCE of IoT devices for smart home + +With the progress of IoT and artificial intelligence (AI) technologies, IoT applications for smart home have been growing more intelligent to provide increasing convenience. Computational modules are pieces of software that perform data processing for these applications (e.g., smart voice control). Running these modules typically requires sufficiently massive computational capabilities such that their resources are usually provided by cloud computing. That is, the computational modules run in the cloud to process the raw data produced by home devices. At the same time, there are some home devices that have excess computational capacity beyond what may be required for their own use, and can provide their spare computational capabilities. These home devices with spare computational capabilities may be used to run the computational modules locally instead of the cloud. + +The spare computational capability exposure (SCCE) is a functional entity (see Figure 6-1) in smart home that facilitates enabling IoT applications to make full use of the spare computational capabilities of IoT devices within smart home scenarios. A spare computational capability (SCC) provider (e.g., $P_1$ to $P_k$ in Figure 6-1) is a functional entity in a home device that can expose the dynamic spare computational capability of the home device to SCCE. Each SCC provider registers, unregisters and updates its own computational capability on the SCCE. The SCCE integrates these exposed computational capabilities according to access policies and publishes their information. SCC subscriber (e.g., $S_1$ to $S_n$ in Figure 6-1) is a functional entity, usually in a resource-constrained home device, that can subscribe, unsubscribe and access the exposed computational capabilities on SCCE. When a home device encounters a situation where it has insufficient computational capability to process its own raw data, this home device can use its SCC subscriber to establish a connection with the SCCE, subscribe its needed computational capabilities and then send the identifiers of computational modules and the raw data to the SCCE. If the SCCE does not already have the computational modules, usually at the first time, it will get these modules from the computational module repository which stores and manages computational modules. The SCCE then distributes the computational modules and the raw data to SCC providers for processing after scheduling, gets back the processed data and returns the processed data to the SCC subscriber. After the unsubscription or disconnection of an SCC subscriber, the SCCE may withdraw the subscribed computational capabilities and delete the corresponding computational modules. As a result, through SCCE, IoT applications on home devices can take advantage of the spare computational capabilities exposed by SCC providers in smart home. + +![Figure 6-1 - Overview of SCCE. The diagram illustrates the architecture of the SCCE (Smart Home Computational Capability Exchange) system. It is divided into two main sections: 'Cloud' and 'Home network'. In the 'Cloud', there is a 'Computational module repository'. In the 'Home network', there is a central 'SCCE' (Smart Home Computational Capability Exchange) entity. The 'SCCE' interacts with two groups of home devices: 'Home devices with SCC providers' (labeled P1, P2, ..., Pk) and 'Home devices with SCC subscribers' (labeled S1, S2, ..., Sn). The 'SCCE' receives 'Get computational modules' from the 'Computational module repository'. It sends 'Subscribe/unsubscribe access' and 'Response' to the 'Home devices with SCC subscribers'. It also receives 'Register/unregister update' and 'Response' from the 'Home devices with SCC providers'. The 'SCCE' sends 'Distribute' and 'Processed data' to the 'Home devices with SCC providers'. The diagram is labeled 'Y.4469(20)_F6-1' at the bottom right.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 6-1 - Overview of SCCE. The diagram illustrates the architecture of the SCCE (Smart Home Computational Capability Exchange) system. It is divided into two main sections: 'Cloud' and 'Home network'. In the 'Cloud', there is a 'Computational module repository'. In the 'Home network', there is a central 'SCCE' (Smart Home Computational Capability Exchange) entity. The 'SCCE' interacts with two groups of home devices: 'Home devices with SCC providers' (labeled P1, P2, ..., Pk) and 'Home devices with SCC subscribers' (labeled S1, S2, ..., Sn). The 'SCCE' receives 'Get computational modules' from the 'Computational module repository'. It sends 'Subscribe/unsubscribe access' and 'Response' to the 'Home devices with SCC subscribers'. It also receives 'Register/unregister update' and 'Response' from the 'Home devices with SCC providers'. The 'SCCE' sends 'Distribute' and 'Processed data' to the 'Home devices with SCC providers'. The diagram is labeled 'Y.4469(20)\_F6-1' at the bottom right. + +**Figure 6-1 - Overview of SCCE** + +In practice, SCCE can be deployed on the home gateway, while the computational module repository is usually located in the cloud. The home devices with SCC providers that expose their spare computational capabilities to SCCE may be devices such as a set-top-box, smart phone, smart TV, etc. + +From the perspective of IoT application providers, through SCCE, the spare computational capabilities of home devices can be used by IoT applications, as opposed to cloud-based computational capabilities, which reduces both the requirements for cloud computing and for network resources. + +# **7 Characteristics of SCCE of IoT devices for smart home** + +## **7.1 Supporting heterogeneous home devices** + +SCCE supports a wide variety of home devices, allowing them to expose their computational capabilities or access the exposed computational capabilities. Heterogeneous home devices can be connected with SCCE to register part or all of their spare computational capabilities on the SCCE which may then be used by other resource-constrained home devices. + +## **7.2 Management for exposed computational capabilities of home devices** + +SCCE exposes reference points for home devices, with which the home devices can expose part or all of their spare computational capabilities to the SCCE. In addition, SCCE supports access policies for these devices, integrates these exposed computational capabilities, publishes the information and manages the status of all the exposed computational capabilities of home devices. + +On the other side, SCCE exposes reference points to SCC subscribers to support SCC subscribers to subscribe, unsubscribe and access the computational capabilities exposed by home devices. + +## **7.3 Scheduling computational tasks** + +SCCE creates a computational task corresponding to an access to the exposed computational capabilities from SCC subscribers. SCCE manages the status of all the computational tasks and + +schedules these tasks, and makes these tasks run on SCC providers using their exposed spare computational capabilities. SCCE can also transfer a task from one SCC provider to another if the SCC provider cannot provide sufficient spare computational capability to continue running the task (e.g., the home device is powered off). + +## **7.4 Management for computational modules** + +SCCE receives the identifiers of computational modules and the raw data from a SCC subscriber when the SCC subscriber requests access to computational capabilities. SCCE gets the computational modules from a computational module repository according to the identifiers if SCCE does not have them, usually at the first time. SCCE manages these modules and distributes them to SCC providers according to the computational tasks scheduling. These modules may be deleted by SCCE after the SCC subscriber unsubscribes its subscribed computational capabilities. + +## **7.5 Connection status discovery** + +SCCE can discover automatically the connection and disconnection of home devices that choose to expose their computational capabilities to SCCE. On the other side, when a SCC subscriber is connected into the home network, it can establish the connection with SCCE to process the subscriptions. Also, the SCCE can discover the disconnection of a SCC subscriber and withdraw the computational capabilities allocated to the SCC subscriber. + +## **7.6 Access control mechanism** + +SCCE provides access control mechanisms to ensure that only the authenticated SCC providers and SCC subscribers are allowed to establish connections with the SCCE and only the authenticated IoT applications are allowed to use the exposed computational capabilities. + +# **8 Reference architecture of SCCE of IoT devices for smart home** + +## **8.1 General architecture** + +SCCE is a functional entity at the service support and application support (SSAS) layer of the IoT reference model defined in [ITU-T Y.4000], and facilitates IoT applications in home devices to use the spare computational capabilities of other home devices for data processing required by the IoT applications. Figure 8-1 shows the reference architecture of SCCE. + +![Figure 8-1 - Reference architecture of SCCE. The diagram shows a hierarchical structure. At the top is a dashed box labeled 'Computational module repository'. Below it is a solid box labeled 'SCCE'. Inside the SCCE box are two main functional components: 'Computational capabilities publishing (CCP-FC)' on the left and 'Task support (TSP-FC)' on the right. Under CCP-FC are 'Exposure support (ES-FC)' and 'Task scheduling (TS-FC)'. Under TSP-FC is 'Request handling (RH-FC)'. Four reference points are indicated: SCCE-4 connects the repository to SCCE; SCCE-2 connects ES-FC to an 'SCC provider' box; SCCE-3 connects TS-FC to the same 'SCC provider' box; and SCCE-1 connects RH-FC to an 'SCC subscriber' box. The 'SCC provider' box contains a dashed box for 'Local computational capability'. The 'SCC subscriber' box contains a dashed box for 'Local IoT applications'. A small text 'Y.4469(20)_F8-1' is at the bottom right of the diagram.](d4af765160d04ecef538e5066006dc77_img.jpg) + +Figure 8-1 - Reference architecture of SCCE. The diagram shows a hierarchical structure. At the top is a dashed box labeled 'Computational module repository'. Below it is a solid box labeled 'SCCE'. Inside the SCCE box are two main functional components: 'Computational capabilities publishing (CCP-FC)' on the left and 'Task support (TSP-FC)' on the right. Under CCP-FC are 'Exposure support (ES-FC)' and 'Task scheduling (TS-FC)'. Under TSP-FC is 'Request handling (RH-FC)'. Four reference points are indicated: SCCE-4 connects the repository to SCCE; SCCE-2 connects ES-FC to an 'SCC provider' box; SCCE-3 connects TS-FC to the same 'SCC provider' box; and SCCE-1 connects RH-FC to an 'SCC subscriber' box. The 'SCC provider' box contains a dashed box for 'Local computational capability'. The 'SCC subscriber' box contains a dashed box for 'Local IoT applications'. A small text 'Y.4469(20)\_F8-1' is at the bottom right of the diagram. + +**Figure 8-1 - Reference architecture of SCCE** + +SCCE includes five functional components, namely the exposure support functional component (ES-FC), the computational capability publishing functional component (CCP-FC), the request handling functional component (RH-FC), the task support functional component (TSP-FC) and the task scheduling functional component (TS-FC). + +The SCCE exposes a group of reference points to interact with SCC providers and SCC subscribers in home devices and computational module repository, including: + +- SCCE-1: for SCC subscribers to subscribe, unsubscribe and access the computational capabilities registered on SCCE; +- SCCE-2: for SCC providers to register, unregister and update their spare computational capabilities on SCCE; +- SCCE-3: for SCC providers to perform their exposed computational capabilities under the control of SCCE; +- SCCE-4: for SCCE to get computational modules from computational module repository. + +NOTE – The functional components of SCCE interact with each other by internal interfaces. This Recommendation does not specify the internal interfaces. + +The computational module repository stores and manages computational modules. SCCE gets these computational modules and makes them run on the home devices with spare computational capabilities to perform the data processing. + +An SCC provider is a functional entity in a home device with spare computational capability and it registers, unregisters and updates the computational capability on SCCE. In addition, an SCC provider receives the computational modules and the raw data from SCCE, runs the modules to process the raw data and returns the processed data to the SCCE. + +An SCC subscriber is a functional entity in a home device and the IoT applications in the home device use it to subscribe, unsubscribe and access the exposed computational capabilities on SCCE. In addition, when an IoT application in the home device needs to access other computational + +capabilities to process its raw data, this SCC subscriber will provide the identifiers of computational modules and the raw data to the SCCE for data processing and receive back the processed data. + +## **8.2 Functional components** + +### **8.2.1 Exposure support functional component** + +The ES-FC exposes reference point SCCE-2 and provides access control mechanisms for SCC providers to expose their spare computational capabilities to SCCE. Through the ES-FC, SCC providers can establish connections with SCCE, and register, unregister and update the computational capabilities on the SCCE. + +The ES-FC provides the following functionalities: + +- discovering and managing the connection status of SCC providers; +- processing the registering and unregistering requests of the spare computational capabilities from SCC providers; +- monitoring the status of the exposed computational capabilities of SCC providers; +- sending the status of the dynamic exposed computational capabilities to CCP-FC (defined in clause 8.2.2); +- providing access policies and authentication for SCC providers. + +### **8.2.2 Computational capability publishing functional component** + +The CCP-FC publishes the exposed computational capabilities on SCCE to support the scheduling in TS-FC (defined in clause 8.2.5). The CCP-FC gets the status of the dynamic exposed computational capabilities of SCC providers from ES-FC, stores the status and publishes them for other functional components. + +The CCP-FC provides the following functionalities: + +- recording and tracking the status of the dynamic exposed computational capabilities of SCC providers; +- predicting the future status of spare computational capabilities of SCC providers according to the analysis of previous status; +- publishing the status of exposed computational capabilities of SCC providers for other functional components of SCCE. + +### **8.2.3 Request handling functional component** + +The RH-FC exposes reference point SCCE-1 and provides access control mechanisms for SCC subscribers to subscribe, unsubscribe and access the computational capabilities registered on SCCE. Through the RH-FC, SCC subscribers can establish connections with SCCE, subscribe the available computational capabilities, send its raw data to the SCCE for processing and receive the processed data. + +The RH-FC provides the following functionalities: + +- discovering and managing the connection status of SCC subscribers; +- interacting with TSP-FC (defined in clause 8.2.4) to process the subscription and unsubscription requests from SCC subscribers; +- receiving the identifiers of the computational modules and the raw data from SCC subscribers, and sending them to TSP-FC; +- notifying SCC subscribers of the status of their subscribed computational capabilities, if needed; + +- providing access policies and authentication for SCC subscribers. + +### **8.2.4 Task support functional component** + +The TSP-FC creates a computational task when it gets a computational access from SCC subscribers through RH-FC. The TSP-FC exposes reference point SCCE-4 to get computational modules from the computational module repository according to the identifiers of the modules provided by SCC subscribers. + +The TSP-FC provides the following functionalities: + +- creating computational tasks corresponding to the computational accesses from SCC subscribers; +- getting computational modules from computational module repository, if SCCE does not have the modules, usually at the first time; +- storing the computational modules and the raw data corresponding to every computational task and providing them to TS-FC; +- maintaining the status of computational tasks, including created, ready, pending, running, finished and cancelled. + +### **8.2.5 Task scheduling functional component** + +The TS-FC schedules computational tasks based on the status of exposed computational capabilities from CCP-FC and computational tasks from TSP-FC, distributes the computational modules and the raw data to SCC providers and controls the running of the computational modules on SCC providers through the reference point SCCE-3 exposed by TS-FC. + +The TS-FC provides the following functionalities: + +- scheduling computational tasks and assigning the computational tasks to the selected SCC providers; +- sending the computational modules and the raw data of computational tasks to SCC providers; +- controlling the running of the computational modules on SCC providers; +- transferring a computational task from one SCC provider to another, due to the status changes of the spare computational capabilities of SCC providers. + +## **8.3 Reference points** + +### **8.3.1 Reference point SCCE-1** + +The reference point SCCE-1 is exposed by the RH-FC to support the SCC subscribers to subscribe, unsubscribe and access the computational capabilities registered on SCCE. + +The following interactions can be performed via the reference point SCCE-1: + +- SCC subscribers establish and quit connections with SCCE; +- SCCE discovers the connection status of SCC subscribers; +- SCC subscribers subscribe, unsubscribe and access the registered computational capabilities on SCCE; +- SCCE notifies SCC subscribers of the dynamic status of the subscribed computational capabilities. + +### **8.3.2 Reference point SCCE-2** + +The reference point SCCE-2 is exposed by the ES-FC to support SCC providers to expose their spare computational capabilities to SCCE. + +The following interactions can be performed via the reference point SCCE-2: + +- SCC providers establish and quit connections with SCCE; +- SCCE discovers the connection status of SCC providers; +- SCC providers register, unregister and update their exposed computational capabilities on SCCE. + +### **8.3.3 Reference point SCCE-3** + +The reference point SCCE-3 is exposed by the TS-FC to support SCCE to control the running of the computational modules of the computational tasks on SCC providers. + +The following interactions can be performed via the reference point SCCE-3: + +- SCCE sends the computational modules and the raw data of computational tasks to SCC providers; +- SCC providers return the processed data to the SCCE after processing the raw data; +- SCCE controls the running of the computational modules on SCC providers, including start, pause and stop; +- SCC providers notify SCCE of the status of the computational modules. + +### **8.3.4 Reference point SCCE-4** + +The reference point SCCE-4 is exposed by TSP-FC to support SCCE to get computational modules from computational module repository. + +# **9 Common procedures of SCCE of IoT devices for smart home** + +## **9.1 Registering and updating computational capabilities** + +This procedure shows how a SCC provider registers and updates the spare computational capability of the device to SCCE (see Figure 9-1). + +The main steps are outlined as follows: + +- 1) the SCC provider registers the spare computational capability to SCCE through the reference point SCCE-2; +- 2) the ES-FC performs access control for the registration from the SCC provider; +- 3) the ES-FC returns the registration result to the SCC provider through the reference point SCCE-2; +- 4) after the successful registration, the SCC provider updates the status of the spare computational capability to SCCE when the status is changed. + +![Sequence diagram showing the flow for registering and updating computational capabilities between SCCE and SCC provider.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +``` + +sequenceDiagram + participant SCCE as SCCE + participant ES_FC as ES-FC + participant SCC_provider as SCC provider + Note over SCCE, ES_FC: SCCE + SCC_provider->>ES_FC: 1. Register computational capability + loop Access control + ES_FC->>ES_FC: 2. Access control + end + ES_FC->>SCC_provider: 3. Response + SCC_provider->>ES_FC: 4. Update status + +``` + +The diagram illustrates the flow for registering and updating computational capabilities. It involves two main entities: SCCE (Service Capability Exposure Function) which contains an ES-FC (Exposure Function), and an SCC provider. The process follows four steps: 1. Register computational capability (from SCC provider to ES-FC), 2. Access control (a self-loop on ES-FC), 3. Response (from ES-FC to SCC provider), and 4. Update status (from SCC provider to ES-FC). The diagram includes dashed vertical lifelines and activation bars. A label 'Y.4469(20)\_F9-1' is present at the bottom right. + +Sequence diagram showing the flow for registering and updating computational capabilities between SCCE and SCC provider. + +**Figure 9-1 – Flow for registering and updating computational capabilities** + +## 9.2 Subscribing computational capabilities + +This procedure shows how a SCC subscriber subscribes the exposed computational capabilities which have been published by SCCE (see Figure 9-2). + +The main steps are outlined as follows: + +- 1) the SCC subscriber subscribes the computational capabilities published by SCCE through the reference point SCCE-1; +- 2) the RH-FC performs access control for the subscription from the SCC subscriber; +- 3) the RH-FC sends the information of the required computational capabilities to the TSP-FC; +- 4) the TSP-FC checks the available computational capabilities for the subscription through TS-FC; +- 5) the TS-FC sends request to get the status of exposed computational capabilities from CCP-FC; +- 6) the CCP-FC sends back the status of exposed computational capabilities; +- 7) the TS-FC decides whether the subscription is accepted according to the status and sends the result to TSP-FC. If the available exposed computational capabilities can fulfil the subscription, the subscription will be accepted, or else it will be rejected; +- 8) the TSP-FC sends the response to the RH-FC; +- 9) the RH-FC returns the subscription result to the SCC subscriber through the reference point SCCE-1; +- 10) the CCP-FC updates the status of the exposed computational capabilities to TS-FC, and then the TS-FC updates the status of the subscribed computational capabilities to the SCC subscriber when the status is changed. + +![Sequence diagram showing the flow for subscribing computational capabilities. The diagram involves five entities: CCP-FC, TS-FC, TSP-FC, RH-FC, and SCC subscriber. The SCCE reference point is indicated by a dashed box around CCP-FC, TS-FC, TSP-FC, and RH-FC. The sequence of steps is: 1. SCC subscriber sends 'Subscribe computational capabilities' to RH-FC. 2. RH-FC performs 'Access control' (self-loop). 3. RH-FC sends 'Send subscription information' to TSP-FC. 4. TSP-FC sends 'Check available computational capabilities' to TS-FC. 5. TS-FC sends 'Get the status of exposed computational capabilities' to CCP-FC. 6. CCP-FC sends 'Response' to TS-FC. 7. TS-FC sends 'Response' to TSP-FC. 8. TSP-FC sends 'Response' to RH-FC. 9. RH-FC sends 'Response' to SCC subscriber. 10. CCP-FC, TS-FC, TSP-FC, and RH-FC all send 'Update status' to the SCC subscriber.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +``` + +sequenceDiagram + participant CCP-FC + participant TS-FC + participant TSP-FC + participant RH-FC + participant SCC_subscriber as SCC subscriber + + Note over CCP-FC, TS-FC, TSP-FC, RH-FC: SCCE + + SCC_subscriber->>RH-FC: 1. Subscribe computational capabilities + RH-FC->>RH-FC: 2. Access control + RH-FC->>TSP-FC: 3. Send subscription information + TSP-FC->>TS-FC: 4. Check available computational capabilities + TS-FC->>CCP-FC: 5. Get the status of exposed computational capabilities + CCP-FC->>TS-FC: 6. Response + TS-FC->>TSP-FC: 7. Response + TSP-FC->>RH-FC: 8. Response + RH-FC->>SCC_subscriber: 9. Response + CCP-FC->>SCC_subscriber: 10. Update status + TS-FC->>SCC_subscriber: 10. Update status + TSP-FC->>SCC_subscriber: 10. Update status + RH-FC->>SCC_subscriber: 10. Update status + +``` + +Y.4469(20)\_F9-2 + +Sequence diagram showing the flow for subscribing computational capabilities. The diagram involves five entities: CCP-FC, TS-FC, TSP-FC, RH-FC, and SCC subscriber. The SCCE reference point is indicated by a dashed box around CCP-FC, TS-FC, TSP-FC, and RH-FC. The sequence of steps is: 1. SCC subscriber sends 'Subscribe computational capabilities' to RH-FC. 2. RH-FC performs 'Access control' (self-loop). 3. RH-FC sends 'Send subscription information' to TSP-FC. 4. TSP-FC sends 'Check available computational capabilities' to TS-FC. 5. TS-FC sends 'Get the status of exposed computational capabilities' to CCP-FC. 6. CCP-FC sends 'Response' to TS-FC. 7. TS-FC sends 'Response' to TSP-FC. 8. TSP-FC sends 'Response' to RH-FC. 9. RH-FC sends 'Response' to SCC subscriber. 10. CCP-FC, TS-FC, TSP-FC, and RH-FC all send 'Update status' to the SCC subscriber. + +**Figure 9-2 – Flow for subscribing computational capabilities** + +## 9.3 Accessing computational capabilities + +This procedure shows how a SCC subscriber accesses the exposed computational capabilities which have been subscribed by the SCC subscriber (see Figure 9-3). + +The main steps are outlined as follows: + +- 1) The SCC subscriber sends an access request to its subscribed computational capabilities to the RH-FC through the reference point SCCE-1. The access information includes the identifiers of computational modules and the raw data which needs to be processed by the computational modules; +- 2) The RH-FC performs access control for the access request from the SCC subscriber; +- 3) the RH-FC sends the access information to the TSP-FC; +- 4) The TSP-FC creates a computational task corresponding to the access if the access request is accepted. It is assumed that the TSP-FC already has the computational modules, if not the TSP-FC needs to get the computational modules from the computational module repository according to the identifiers of these modules included in the access information, usually at the first time; + +- 5) The TS-FC gets the computational task information from the TSP-FC. The information includes computational modules, raw data, and the status of the computational task; +- 6) The TS-FC schedules all the computational tasks and assigns the computational task of this access to the selected SCC providers; +- 7) The TS-FC sends the computational modules and the raw data to the selected SCC providers through the reference point SCCE-3. If a SCC provider already has a module, then the module will not be transmitted; +- 8) The SCC providers run these computational modules to process the raw data. One SCC provider may run one or more computational modules, depending on the exposed computational capability of the home device with this SCC provider; +- 9) The SCC providers send back processed data to the TS-FC after finishing the data processing through the reference point SCCE-3; +- 10) The TS-FC sends the processed data to the TSP-FC; +- 11) The TSP-FC updates the status of the computational task and sends the processed data to the RH-FC; +- 12) The RH-FC returns access response to the SCC subscriber through the reference point SCCE-1. The access response includes the access result and the processed data. + +![Sequence diagram showing the flow for accessing computational capabilities between SCC provider, SCCE (TS-FC, TSP-FC, RH-FC), and SCC subscriber.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +``` + +sequenceDiagram + participant SCC_provider as SCC provider + participant TS_FC as TS-FC + participant TSP_FC as TSP-FC + participant RH_FC as RH-FC + participant SCC_subscriber as SCC subscriber + + rect rgb(255, 255, 255) + Note over TS_FC, RH_FC: SCCE + end + + SCC_subscriber->>RH_FC: 1. Access request (Identifiers of computational modules, raw data) + RH_FC->>RH_FC: 2. Access control + RH_FC->>TSP_FC: 3. Send access information + TSP_FC->>TSP_FC: 4. Create a computational task + TSP_FC->>TS_FC: 5. Computational task information + TS_FC->>TS_FC: 6. Schedule computational tasks + TS_FC->>SCC_provider: 7. Computational modules, raw data + SCC_provider->>SCC_provider: 8. Run computational modules + SCC_provider->>TS_FC: 9. Processed data + TS_FC->>TSP_FC: 10. Processed data + TSP_FC->>RH_FC: 11. Processed data + RH_FC->>SCC_subscriber: 12. Access response + +``` + +The diagram illustrates the flow for accessing computational capabilities. It involves four main entities: SCC provider, SCCE (comprising TS-FC, TSP-FC, and RH-FC), and SCC subscriber. The process begins with an access request from the SCC subscriber to the RH-FC. This is followed by access control at the RH-FC, sending access information to the TSP-FC, and creating a computational task. The task information is then passed to the TS-FC, which schedules the tasks. The TS-FC then sends computational modules and raw data to the SCC provider, where the modules are run. The processed data is then passed back through the TS-FC and TSP-FC to the RH-FC, which finally sends an access response to the SCC subscriber. + +Y.4469(20)\_F9-3 + +Sequence diagram showing the flow for accessing computational capabilities between SCC provider, SCCE (TS-FC, TSP-FC, RH-FC), and SCC subscriber. + +**Figure 9-3 – Flow for accessing computational capabilities** + +# 10 Security considerations + +SCCE is required to provide security mechanisms to authenticate and authorize SCC providers to expose their computational capabilities to SCCE, and for SCC subscribers to subscribe and access these computational capabilities. In addition, secure transmission is required when data are transported between SCCE and other functional entities. + +# **Appendix I** + +## **Use cases of SCCE in smart home** + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides use cases to illustrate the implementation of the SCCE. + +## **I.1 Use case: SCCE promoting smart elderly care in smart home** + +Figure I.1 shows a use case where SCCE is applied for a smart elderly care application. Passive infrared (PIR) motion sensor can detect human motion based on the change of infrared radiation. The smart elderly care application uses a PIR motion sensor array deployed in a home environment to analyse user behaviours in order to detect anomalous events. This requires computational capabilities to process the PIR sensor data. As a PIR motion sensor array may have insufficient computational capability to support its full data processing needs, it will send its sensor data to the cloud for processing. Instead, SCCE can also provide these capabilities in another way. + +In this case, SCCE works in the home gateway, and SCC providers work in common home devices such as set-top-box, smart phone and smart television. These devices may have spare computational capabilities and expose these capabilities to the SCCE. As a home device with SCC subscriber, the PIR motion sensor array subscribes and accesses the exposed computational capabilities. After the successful subscription, the sensor array will send sensor data and the identifier of a computational module to SCCE when accessing the exposed computational capabilities. The SCCE gets the computational module from the computational module repository in cloud according to the identifier, and distributes the module and the sensor data to one of the SCC providers (e.g., smart television) which is selected by TS-FC of SCCE. Then the SCCE gets back the processed data and returns these data to the PIR motion sensor array. + +![Figure I.1: Use case: SCCE promoting smart elderly care in smart home. The diagram illustrates a system architecture for smart elderly care. At the top, a 'Computational module repository' (cloud computing) is connected to a 'Home network' via a 'Cloud' connection. The 'Home network' contains an 'SCCE Home gateway' and 'Home devices with SCC subscribers' (including a PIR sensor). The 'SCCE Home gateway' interacts with the 'Home devices with SCC subscribers' through 'Subscribe/unsubscribe access' and 'Response' messages. The 'SCCE Home gateway' also interacts with 'Home devices with SCC providers' (including a set-top box, smartphone, monitor, and other devices) through 'Register/unregister/update', 'Response', 'Distribute', and 'Processed data' messages. The 'SCCE Home gateway' is also connected to the 'Cloud' via a 'Get a computational module for smart elderly care' message.](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +Y.4469(20)\_F1.1 + +Figure I.1: Use case: SCCE promoting smart elderly care in smart home. The diagram illustrates a system architecture for smart elderly care. At the top, a 'Computational module repository' (cloud computing) is connected to a 'Home network' via a 'Cloud' connection. The 'Home network' contains an 'SCCE Home gateway' and 'Home devices with SCC subscribers' (including a PIR sensor). The 'SCCE Home gateway' interacts with the 'Home devices with SCC subscribers' through 'Subscribe/unsubscribe access' and 'Response' messages. The 'SCCE Home gateway' also interacts with 'Home devices with SCC providers' (including a set-top box, smartphone, monitor, and other devices) through 'Register/unregister/update', 'Response', 'Distribute', and 'Processed data' messages. The 'SCCE Home gateway' is also connected to the 'Cloud' via a 'Get a computational module for smart elderly care' message. + +**Figure I.1 – Use case: SCCE promoting smart elderly care in smart home** + +As a result, through the SCCE, the spare computational capabilities of home devices can be used to process the data produced by the PIR motion sensor array. One benefit of this is enabling the smart elderly care application to continue working during a time of network disconnection between the cloud and the home network. Additionally, another benefit is possibly the reduced requirement (and dependency) for cloud servers where that is important. + +## **I.2 Use case: SCCE promoting smart voice control in smart home** + +Figure I.2 shows a use case where SCCE is applied for a smart voice control application. The smart voice control application enables users to control smart home devices by voice. Users can simply speak to a smart speaker in a natural way to control these devices such as air conditioner, water heaters, etc. Usually, processing voice data to understand user commands requires massive computational capabilities. Due to the constrained resources of the smart speaker, it will send the voice data to the cloud for processing. However, SCCE can also provide computational capabilities. + +In this case, SCCE works in the set-top-box, and this set-top-box can provide spare computational capabilities as an SCC provider and expose its computational capabilities to the SCCE working in itself. The smart speaker is able to play sound and collect voice, but usually it may have insufficient computational capabilities to support processing all of its voice data. The smart speaker, as a home device with SCC subscriber, can subscribe and access the computational capabilities published by the SCCE. The smart speaker requires two computational modules to process its voice data, so it sends the identifiers of the two modules and the voice data to SCCE and the SCCE gets the modules from the computational module repository in cloud according to the identifiers. Because the set-top-box is the only home device with SCC provider in this case, the computational modules and the voice data can only be distributed to the set-top-box. The subscription and access will fail if the set-top-box does not have sufficient computational capabilities, and the smart speaker may get the + +needed computational capabilities from the cloud. Then the SCCE gets back the commands (output of the voice data processing) and returns the commands to the smart speaker. + +![Figure I.2: Use case: SCCE promoting smart voice control in smart home. The diagram illustrates the interaction between the Cloud, Home network, and Home devices. The Cloud contains a 'Computational module repository' and 'Cloud computing' resources. The Home network contains the 'SCCE Set-top-box'. Home devices include 'Home devices with SCC subscribers' (Smart speaker) and 'Home devices with SCC providers'. Arrows show data flow: 'Get computational modules for smart voice control' from Cloud to SCCE; 'Subscribe/unsubscribe access' and 'Response' between SCCE and Smart speaker; 'Register/unregister/update' and 'Response' between SCCE and SCC providers; and 'Distribute' and 'Processed data' between SCCE and SCC providers.](08a978a124d3ed6cf1a3d0cfd89418d0_img.jpg) + +``` + +graph TD + subgraph Cloud + CMR[Computational module repository] + CC[Cloud computing] + end + subgraph HomeNetwork [Home network] + SCCE[SCCE Set-top-box] + end + subgraph HomeDevices [Home devices] + HDS[Home devices with SCC subscribers] + HDP[Home devices with SCC providers] + end + SCCE <-->|Subscribe/unsubscribe access| HDS + HDS -->|Response| SCCE + SCCE <-->|Register/unregister/update| HDP + HDP -->|Response| SCCE + Cloud -->|Get computational modules for smart voice control| SCCE + SCCE -->|Distribute| HDP + HDP -->|Processed data| SCCE + +``` + +Y.4469(20)\_FI.2 + +Figure I.2: Use case: SCCE promoting smart voice control in smart home. The diagram illustrates the interaction between the Cloud, Home network, and Home devices. The Cloud contains a 'Computational module repository' and 'Cloud computing' resources. The Home network contains the 'SCCE Set-top-box'. Home devices include 'Home devices with SCC subscribers' (Smart speaker) and 'Home devices with SCC providers'. Arrows show data flow: 'Get computational modules for smart voice control' from Cloud to SCCE; 'Subscribe/unsubscribe access' and 'Response' between SCCE and Smart speaker; 'Register/unregister/update' and 'Response' between SCCE and SCC providers; and 'Distribute' and 'Processed data' between SCCE and SCC providers. + +**Figure I.2 – Use case: SCCE promoting smart voice control in smart home** + +As a result, through the SCCE, the smart voice control application can use the spare computational capability of the set-top-box to process voice data to understand commands. This allows the smart voice control application to continue working during times of network disconnection between the cloud and home network. + +## I.3 Use case: SCCE promoting smart video monitoring in smart home + +Figure I.3 shows a use case where SCCE is applied for a smart video monitoring application. The smart video monitoring application can detect anomalous events (e.g., humans falling over) automatically and send anomalous event detection warnings. In contrast in traditional video monitoring applications, users are required to (manually/visually) review all the video to search for anomalous events. Usually, processing video data to detect anomalous events requires massive computational capabilities. Due to the constrained resources of the camera, it will send the video data to the cloud for processing. Instead, SCCE can also provide computational capabilities. + +In this case, SCCE works in the home gateway, and SCC providers work in two smart phones which can expose their computational capabilities to the SCCE. The camera in the smart video monitoring application can only capture video and send out the video data over the network. The camera lacks sufficient computational capability to make further analysis on the video data and thus it may subscribe and access the exposed computational capabilities of the smart phones through the SCCE. After subscription, the camera will send video data and the identifier of a computational module to SCCE when accessing the exposed computational capabilities. The SCCE gets the computational module from the computational module repository in the cloud according to the identifier and distributes the module and the video data to one of the smart phones for data + +processing to detect anomalous events. When anomalous events are detected, SCCE gets these back and returns them to the camera. + +![Diagram illustrating the use case of SCCE promoting smart video monitoring in a smart home. The diagram shows the interaction between the Cloud, Home network, SCCE Home gateway, Home devices with SCC subscribers (Camera), and Home devices with SCC providers (Smartphones).](365b54f616aff249b4e6c0edafdcb9b3_img.jpg) + +The diagram illustrates the use case of SCCE promoting smart video monitoring in a smart home. It is divided into three main sections: Cloud, Home network, and Home devices with SCC providers. + +- Cloud:** Contains a cloud computing icon and a dashed box labeled "Computational module repository". +- Home network:** Contains a dashed box labeled "SCCE Home gateway" with a router icon. +- Home devices with SCC subscribers:** Contains a dashed box labeled "Home devices with SCC subscribers" with a "Camera" icon. +- Home devices with SCC providers:** Contains a dashed box labeled "Home devices with SCC providers" with two smartphone icons. + +Interactions and data flow: + +- An arrow labeled "Get a computational module for smart video monitoring" points from the "Computational module repository" to the "SCCE Home gateway". +- A double-headed arrow labeled "Subscribe/unsubscribe access" and "Response" connects the "SCCE Home gateway" and the "Camera". +- A double-headed arrow labeled "Register/unregister update" and "Response" connects the "SCCE Home gateway" and the "Home devices with SCC providers". +- A double-headed arrow labeled "Distribute" and "Processed data" connects the "SCCE Home gateway" and the "Home devices with SCC providers". + +Y.4469(20)\_FI.3 + +Diagram illustrating the use case of SCCE promoting smart video monitoring in a smart home. The diagram shows the interaction between the Cloud, Home network, SCCE Home gateway, Home devices with SCC subscribers (Camera), and Home devices with SCC providers (Smartphones). + +**Figure I.3 – Use case: SCCE promoting smart video monitoring in smart home** + +As a result, through the SCCE, the smart video monitoring application can use the computational capabilities of smart phones to perform video abnormal event detection. The benefit is in reducing the requirements of cloud computing and network resources. + +# Bibliography + +- [b-ITU-T X.1111] Recommendation ITU-T X.1111 (2007), *Framework of security technologies for home network*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-ITU-R M.1224-1] Recommendation ITU-R M.1224-1 (2012), *Vocabulary of terms for international mobile telecommunications (IMT)*. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services 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INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3500–Y.3599 | +|-----------------|---------------| + +### BIG DATA + +| | | +|-----------------------------------|---------------| +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3600–Y.3799 | +|-----------------------------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.4473 + +# SensorThings API – Sensing + +## Summary + +Recommendation ITU-T Y.4473 specifies the SensorThings application programming interface (API) which provides an open standard-based and geospatial-enabled framework to interconnect Internet of things (IoT) devices, data and applications over the Web. + +The SensorThings API is an open standard, and that means it is non-proprietary, platform-independent. It builds on a rich set of proven-working and widely-adopted open standards, such as the web protocols and the Open Geospatial Consortium (OGC) sensor web enablement (SWE) standards, including the ISO/OGC observation and measurement data model. The SensorThings API is extensible and can be applied to not only simple but also complex use cases. + +This Recommendation provides a standard way to manage and retrieve observations and metadata from heterogeneous IoT sensor systems. The SensorThings API uses representational state transfer (REST) principles, an efficient JavaScript object notation (JSON) encoding, message queuing telemetry transport (MQTT) protocol, flexible OASIS open data protocol (OData) and uniform resource locator (URL) conventions. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4473 | 2020-08-29 | 20 | 11.1002/1000/14375 | + +## Keywords + +Internet of things, sensor web, smart cities, smart communities. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|----|----------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 3 | +| 5 | Conventions ..... | 3 | +| 6 | The SensorThings API entities ..... | 3 | +| | 6.1 Common control information..... | 3 | +| | 6.2 The sensing entities ..... | 4 | +| 7 | SensorThings service interface..... | 18 | +| | 7.1 Common control information..... | 18 | +| | 7.2 Resource path ..... | 19 | +| | 7.3 Requesting data ..... | 23 | +| 8 | SensorThings sensing create-update-delete..... | 31 | +| | 8.1 Overview ..... | 31 | +| | 8.2 Create an entity..... | 31 | +| | 8.3 Update an entity..... | 33 | +| | 8.4 Delete an entity..... | 34 | +| 9 | Batch requests..... | 35 | +| | 9.1 Introduction ..... | 35 | +| | 9.2 Batch-processing request..... | 35 | +| | 9.3 Batch-processing response ..... | 38 | +| | 9.4 Asynchronous batch requests ..... | 39 | +| 10 | SensorThings MultiDatastream extension..... | 40 | +| 11 | SensorThings Data Array Extension ..... | 45 | +| | 11.1 Retrieve a Datastream's Observation entities in dataArray ..... | 45 | +| | 11.2 Create Observation entities with dataArray ..... | 48 | +| 12 | SensorThings Sensing MQTT Extension ..... | 50 | +| | 12.1 Create a SensorThings Observation with MQTT Publish..... | 50 | +| | 12.2 Receive updates with MQTT Subscribe..... | 50 | +| | Bibliography..... | 53 | + + + +# Recommendation ITU-T Y.4473 + +# SensorThings API – Sensing + +# 1 Scope + +This Recommendation specifies a SensorThings application programming interface (API) which provides an open standard-based and geospatial-enabled framework to interconnect Internet of things devices, data, and applications over the Web. + +The scope of this Recommendation includes: + +- SensorThings API entities and relevant properties, including thing, location, datastream, sensor, observations, etc.; +- SensorThings service interface for requesting data; +- SensorThings sensing operations, including reading, creating, updating and deleting; +- SensorThings batch processing requests and relevant responses, and extensions for multidatastream, data array and Message Queuing Telemetry Transport (MQTT). + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|---------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.4000] | Recommendation ITU-T Y.4000/Y.2060 (2012), Overview of Internet of things . | +| [IETF RFC 2046] | IETF RFC 2046, Multipurpose Internet Mail Extensions (MIME) Part Two: Media Types .
https://www.ietf.org/rfc/rfc2046.txt | +| [IETF RFC 2616] | IETF RFC 2616, Hypertext Transfer Protocol -- HTTP/1.1 .
https://www.ietf.org/rfc/rfc2616.txt | +| [IETF RFC 5789] | IETF RFC 5789, PATCH Method for HTTP ,
https://www.ietf.org/rfc/rfc5789.txt | +| [IETF RFC 6902] | IETF RFC 6902, JavaScript Object Notation (JSON) Patch .
https://www.ietf.org/rfc/rfc6902.txt | +| [IETF RFC 7946] | IETF RFC 7946, The GeoJSON Format .
https://www.ietf.org/rfc/rfc7946.txt | +| [ISO 8601] | ISO 8601:2004, Data elements and interchange formats – Information interchange – Representation of dates and times . | +| [OASIS OData ABNF] | OASIS OData Version 4.0 (2017), ABNF Construction Rules .
http://docs.oasis-open.org/odata/odata/v4.01/cs01/abnf/odata-abnf-construction-rules.txt | +| [OASIS OData JSON] | OASIS OData Version 4.0 (2016), JSON Format Version 4.0 Plus Errata 03 .
http://docs.oasis-open.org/odata/odata-json-format/v4.0/odata-json-format-v4.0.html | +| [OASIS OData Part1] | OASIS OData Version 4.0 (2016), Part 1: Protocol Plus Errata 03 .
http://docs.oasis-open.org/odata/odata/v4.0/odata-v4.0-part1-protocol.html | + +- [OASIS OData Part2] OASIS OData Version 4.0 (2016), *Part 2: URL Conventions Plus Errata 03*. + +- [OGC/ISO 19156] OGC/ISO 19156 (2011), *Abstract Specification Topic 20: Geographic information – Observations and Measurements*. +[http://portal.opengeospatial.org/files/?artifact\\_id=41579](http://portal.opengeospatial.org/files/?artifact_id=41579) + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 collection** [b-IETF RFC 5023]: Sets of resources, which can be retrieved in whole or in part. + +**3.1.2 entity** [OASIS OData Part1]: Instances of entity types. + +**3.1.3 entity sets** [OASIS OData Part1]: Named collections of entities (e.g., Sensors is an entity set containing Sensor entities). An entity's key uniquely identifies the entity within an entity set. Entity sets provide entry points into an OGC SensorThings API service. + +**3.1.4 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.5 measurement** [OGC/ISO 19156]: A set of operations having the object of determining the value of a quantity. + +**3.1.6 observation** [OGC/ISO 19156]: Act of measuring or otherwise determining the value of a property. + +**3.1.7 observation result** [OGC/ISO 19156]: Estimate of the value of a property determined through a known observation procedure. + +**3.1.8 resource** [IETF RFC 2616]: A network-accessible data object or service identified by an URI. + +**3.1.9 sensor** [b-OGC 12-000]: An entity capable of observing a phenomenon and returning an observed value. Type of observation procedure that provides the estimated value of an observed property at its output. + +**3.1.10 thing** [ITU-T Y.4000]: With regard to the Internet of things, this is an object of the physical world (physical things) or the information world (virtual things), which is capable of being identified and integrated into communication networks. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 representational state transfer (REST)**: An abstraction of the architectural elements within a distributed hypermedia system that focuses on the roles of components, the constraints upon their interaction with other components, and their interpretation of significant data elements. + +NOTE 1 – REST encompasses the fundamental constraints upon components, connectors, and data that define the basis of the web architecture, and thus the essence of its behaviour as a network-based application. + +NOTE 2 – An API that conforms to the REST architectural principles/constraints is called a RESTful API. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|----------|-------------------------------------| +| API | Application Programming Interface | +| CRUD | Create, Read, Update, and Delete | +| GML | Geography Markup Language | +| HTML | Hypertext Markup Language | +| HTTP | Hypertext Transfer Protocol | +| IoT | Internet of Things | +| JSON | JavaScript Object Notation | +| MQTT | Message Queuing Telemetry Transport | +| OData | Open Data Protocol | +| O&M | Observations and Measurements | +| REST | Representational State Transfer | +| SensorML | Sensor Model Language | +| SOS | Sensor Observation Service | +| SWE | Sensor Web Enablement | +| UCUM | Unified Code for Units of Measure | +| UML | Unified Modelling Language | +| URI | Uniform Resource Identifier | +| URL | Uniform Resource Locator | +| WiFi | Wireless-Fidelity | +| WKT | Well-Known Text | +| XML | extensible Markup Language | + +# **5 Conventions** + +In this Recommendation: + +The word "SHALL" is used to express mandatory requirements for conformance to the Recommendation. The word "MAY" is used to refer to behaviour that is allowed, but not necessarily required. The word "SHOULD" is used to refer to behaviour that is encouraged to be followed, but is not a mandatory requirement for conformance to this Recommendation. + +# **6 The SensorThings API entities** + +## **6.1 Common control information** + +In SensorThings control information is represented as annotations whose names start with `iot` followed by a dot ( `iot.` ). Annotations are name/value pairs that have a dot ( `.` ) as part of the name. + +When annotating a name/value pair for which the value is represented as a JSON object, each annotation is placed within the object and represented as a single name/value pair. In SensorThings + +the name always starts with the "at" sign (@), followed by the namespace *iot*, followed by a dot (.), followed by the name of the term (e.g., "@*iot.id* + +When annotating a name/value pair for which the value is represented as a JSON array or primitive value, each annotation that applies to this name/value pair is placed next to the annotated name/value pair and represented as a single name/value pair. The name is the same as the name of the name/value pair being annotated, followed by the "at" sign (@), followed by the namespace *iot*, followed by a dot (.), followed by the name of the term. (e.g., "Locations@*iot.navigationLink*":"http://example.org/v.1.0/Things(1)/Locations") + +Table 1 presents common control information. + +**Table 1 – Common control information** + +| Annotation | Definition | Data type | Multiplicity and use | +|-----------------------|----------------------------------------------------------------------------------------------------------------------------------------|-----------|-------------------------| +| id | id is the system-generated identifier of an entity. id is unique among the entities of the same entity type in a SensorThings service. | Any | One (mandatory) | +| selfLink | selfLink is the absolute URL of an entity that is unique among all other entities. | URL | One (mandatory) | +| navigationLink | navigationLink is the relative or absolute URL that retrieves content of related entities. | URL | One-to-many (mandatory) | + +## 6.2 The sensing entities + +The SensorThings API Sensing part's entities are depicted in Figure 1. The sensing entities include Things, Location, HistoricalLocation, Datastream, Sensor, ObservedProperty, Observations, and FeatureOfInterest. + +![UML class diagram showing Sensing entities: Sensor, ObservedProperty, Datastream, Observation, Thing, HistoricalLocation, Location, FeatureOfInterest, and ValueCode. The diagram includes attributes for each entity and their relationships with multiplicities and roles.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +``` + +classDiagram + class Sensor { + +name: CharacterString + +description: CharacterString + +encodingType: ValueCode + +metadata: Any + } + class ObservedProperty { + +name: CharacterString + +definition: URI + +description: CharacterString + } + class Datastream { + +name: CharacterString + +description: CharacterString + +observationType: ValueCode + +unitOfMeasurement: JSON_Object + + ObservedArea: GM_Envelope[0..1] + +phenomenonTime: TM_Period[0..1] + +resultTime: TM_Period[0..1] + } + class Observation { + +phenomenonTime: TM_Object + +resultTime: TM_Instant + +result: Any + +resultQuality: DQ_Element[0..*] + +validTime: TM_Period[0..1] + +parameters: NamedValue[0..*] + } + class Thing { + +name: CharacterString + +description: CharacterString + +properties: JSON_Object[0..1] + } + class HistoricalLocation { + +time: TM_Instant + } + class Location { + +name: CharacterString + +description: CharacterString + +encodingType: ValueCode + +location: Any + } + class FeatureOfInterest { + +name: CharacterString + +description: CharacterString + +encodingType: ValueCode + +feature: Any + } + class ValueCode { + <> + } + + Sensor "1" -- "0..*" Datastream : +datastreams + Sensor "1" -- "0..*" Datastream : +sensor + ObservedProperty "1" -- "0..*" Datastream : +observedProperty + Datastream "1" -- "0..*" Observation : +datastream + Observation "0..*" -- "1" Datastream : +observations + Observation "0..*" -- "1" FeatureOfInterest : +featureOfInterest + Thing "1" -- "0..*" Datastream : +datastreams + Thing "1" -- "0..*" HistoricalLocation : +things + Thing "0..*" -- "0..*" Thing : +things + Thing "0..*" -- "0..*" Location : +locations + Location "1..*" -- "0..*" HistoricalLocation : +location + HistoricalLocation "0..*" -- "0..*" Location : +historicalLocations + ValueCode <> + +``` + +Y.4473(20)\_F01 + +UML class diagram showing Sensing entities: Sensor, ObservedProperty, Datastream, Observation, Thing, HistoricalLocation, Location, FeatureOfInterest, and ValueCode. The diagram includes attributes for each entity and their relationships with multiplicities and roles. + +**Figure 1 – Sensing entities** + +In this clause, the properties in each entity type and the direct relationship to the other entity types are described. In addition, for each entity type, an example of the associated JSON encoding is presented. + +### 6.2.1 Thing + +The SensorThings API follows the ITU-T definition, i.e., with regard to the Internet of things, a thing is an object of the physical world (physical things) or the information world (virtual things) that is capable of being identified and integrated into communication networks [ITU-T Y.4000]. + +Table 2 shows properties of a Thing entity and Table 3 shows the direct relation between a Thing entity and other entity types. + +**Table 2 – Properties of a Thing entity** + +| Name | Definition | Data type | Multiplicity and use | +|--------------------|----------------------------------------------------------------------------|-----------------|----------------------| +| name | A property provides a label for Thing entity, commonly a descriptive name. | CharacterString | One (mandatory) | +| description | This is a short description of the corresponding Thing entity. | CharacterString | One (mandatory) | +| properties | A JSON Object containing user-annotated properties as key-value pairs. | JSON Object | Zero-to-one | + +**Table 3 – Direct relation between a Thing entity and other entity types** + +| Entity type | Relation | Description | +|---------------------------|--------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Location | Many optional to many optional | The Location entity locates the Thing. Multiple Things MAY be located at the same Location. A Thing MAY not have a Location. A Thing SHOULD have only one Location.
However, in some complex use cases, a Thing MAY have more than one Location representations. In such case, the Thing MAY have more than one Locations. These Locations SHALL have different encodingTypes and the encodingTypes SHOULD be in different spaces (e.g., one encodingType in Geometrical space and one encodingType in Topological space). | +| HistoricalLocation | One mandatory to many optional | A Thing has zero-to-many HistoricalLocations. A HistoricalLocation has one-and-only-one Thing. | +| Datastream | One mandatory to many optional | A Thing MAY have zero-to-many Datastreams. | + +**Example 1 – An example of a Thing entity:** + +``` +{ + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/Things(1)", + "Locations@iot.navigationLink": "Things(1)/Locations", + "Datastreams@iot.navigationLink": "Things(1)/Datastreams", + "HistoricalLocations@iot.navigationLink": "Things(1)/HistoricalLocations", + "name": "Oven", + "description": "This thing is an oven.", + "properties": { + "owner": "Noah Liang", + "color": "Black" + } +} +``` + +### 6.2.2 Location + +The Location entity locates the Thing or the Things it is associated with. A Thing's Location entity is defined as the last known location of the Thing. + +A Thing's Location may be identical to the Thing's Observations' FeatureOfInterest. In the context of the IoT, the principle location of interest is usually associated with the location of the Thing, especially for in-situ sensing applications. For example, the location of interest of a WiFi-connected thermostat should be the building or the room in which the smart thermostat is located. The FeatureOfInterest of the Observations made by the thermostat (e.g., room temperature readings) should also be the building or the room. In this case, the content of the smart thermostat's location should be the same as the content of the temperature readings' feature of interest. + +However, the ultimate location of interest of a Thing is not always the location of the Thing (e.g., in the case of remote sensing). In those use cases, the content of a Thing's Location is different from the content of the FeatureOfInterest of the Thing's Observations. Section 7.1.4 of [OGC/ISO 19156] provides a detailed explanation of observation location. + +Table 4 lists properties of a Location entity, Table 5 lists the direct relations between a Location entity and other entity types and Table 6 lists of some code values used for identifying types for the encodingType of the Location and FeatureOfInterest entity. + +**Table 4 – Properties of a Location entity** + +| Name | Definition | Data type | Multiplicity and use | +|---------------------|--------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------|-----------------------------| +| name | A property provides a label for Location entity, commonly a descriptive name. | CharacterString | One (mandatory) | +| description | The description about the Location. | CharacterString | One (mandatory) | +| encodingType | The encoding type of the Location property. Its value is one of the ValueCode enumeration. | ValueCode | One (mandatory) | +| location | The location type is defined by encodingType. | Any ( i.e. , the type is depending on the value of the encodingType) | One (mandatory) | + +**Table 5 – Direct relations between a Location entity and other entity types** + +| Entity type | Relation | Description | +|---------------------------|---------------------------------|----------------------------------------------------------------------------------------------------------------| +| Thing | Many optional to many optional | Multiple Things MAY locate at the same Location. A Thing MAY not have a Location. | +| HistoricalLocation | Many mandatory to many optional | A Location can have zero-to-many HistoricalLocations. One HistoricalLocation SHALL have one or many Locations. | + +**Example 2** – An example of a Location entity: + +``` +{ + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/Locations(1)", + "Things@iot.navigationLink": "Locations(1)/Things", + "HistoricalLocations@iot.navigationLink": "Locations(1)/HistoricalLocations", + "encodingType": "application/vnd.geo+json", + "name": "CCIT", + "description": "Calgary\n Center for Innovative Technologies", + "location": { + "type": "Feature", + "geometry": { + "type": "Point", + "coordinates": [ + -114.06, + 51.05 + ] + } + } +} +``` + +**Table 6 – Code values used for identifying types for the encodingType of the Location and FeatureOfInterest entity** + +| Location encodingType | ValueCode Value | +|-----------------------|--------------------------| +| GeoJSON 1 | application/vnd.geo+json | + +A thing can be geo-referenced in different spaces. For example, for some applications it is more suitable to use a topological space model (e.g., IndoorGML) to describe an indoor things' location rather than using a geometric space model (e.g., GeoJSON). Currently GeoJSON is the only Location encodingType of the SensorThings API. In the future it is expected to extend SensorThings API's + +--- + +1 GeoJSON: Geospatial data interchange format based on JavaScript Object Notation, defined in [IETF RF 7946]. + +capabilities by adding additional encodingType to the code values listed in the above table. For example, one potential new Location encodingType can be a JSON encoding for IndoorGML. + +### 6.2.3 HistoricalLocation + +A Thing's HistoricalLocation entity set provides the times of the current (i.e., last known) and previous locations of the Thing. + +The HistoricalLocation can also be created, updated and deleted. One use case is to migrate historical observation data from an existing observation data management system to a SensorThings API system. + +Table 7 lists properties of a HistoricalLocation entity and Table 8 lists direct relations between an HistoricalLocation entity and other entity types. + +Table 7 – Properties of a HistoricalLocation entity + +| Name | Definition | Data type | Multiplicity and use | +|------|---------------------------------------------------|-----------------------------------|----------------------| +| time | The time when the Thing is known at the Location. | TM_Instant (ISO-8601 Time String) | One (mandatory) | + +Table 8 – Direct relations between an HistoricalLocation entity and other entity types + +| Entity type | Relation | Description | +|-------------|---------------------------------|----------------------------------------------------------------------------------------------------------------| +| Location | Many optional to many mandatory | A Location can have zero-to-many HistoricalLocations. One HistoricalLocation SHALL have one or many Locations. | +| Thing | Many optional to one mandatory | A HistoricalLocation has one-and-only-one Thing. One Thing MAY have zero-to-many HistoricalLocations. | + +Example 3 – An example of a HistoricalLocations entity set (e.g., Things(1)/HistoricalLocations): + +``` +{ + "value": [ + { + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/HistoricalLocations(1)", + "Locations@iot.navigationLink": "HistoricalLocations(1)/Locations", + "Thing@iot.navigationLink": "HistoricalLocations(1)/Thing", + "time": "2015-01-25T12:00:00-07:00" + }, + { + "@iot.id": 2, + "@iot.selfLink": "http://example.org/v1.0/HistoricalLocations(2)", + "Locations@iot.navigationLink": "HistoricalLocations(2)/Locations", + "Thing@iot.navigationLink": "HistoricalLocations(2)/Thing", + "time": "2015-01-25T13:00:00-07:00" + } + ], + "@iot.nextLink": "http://example.org/v1.0/Things(1)/HistoricalLocations?$skip=2&$top=2" +} +``` + +### 6.2.4 Datastream + +A Datastream groups a collection of Observations measuring the same ObservedProperty and produced by the same Sensor. + +Table 9 lists properties of a Datastream entity and Table 10 lists direct relations between a Datastream entity and other entity types. + +**Table 9 – Properties of a Datastream entity** + +| Name | Definition | Data type | Multiplicity and use | +|--------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| name | A property provides a label for Datastream entity, commonly a descriptive name. | CharacterString | One (mandatory) | +| description | The description of the Datastream entity. | CharacterString | One (mandatory) | +| unitOfMeasurement | A JSON Object containing three key-value pairs. The name property presents the full name of the unitOfMeasurement; the symbol property shows the textual form of the unit symbol; and the definition contains the URI defining the unitOfMeasurement.
The values of these properties SHOULD follow the Unified Code for Unit of Measure (UCUM). | JSON Object | One (mandatory)
NOTE – When a Datastream does not have a unit of measurement (e.g., an OM_TruthObservation type), the corresponding unitOfMeasurement properties SHALL have null values. | +| observationType | The type of Observation (with unique result type), which is used by the service to encode observations. | ValueCode
see Table 14. | One (mandatory) | +| observedArea | The spatial bounding box of the spatial extent of all FeaturesOfInterest that belong to the Observations associated with this Datastream. | GM_Envelope
(GeoJSON Polygon) | Zero-to-one (optional) | +| phenomenonTime | The temporal interval of the phenomenon times of all observations belonging to this Datastream. | TM_Period
(ISO 8601 Time Interval) | Zero-to-one (optional) | + +**Table 9 – Properties of a Datastream entity** + +| Name | Definition | Data type | Multiplicity and use | +|-------------------|---------------------------------------------------------------------------------------------|---------------------------------------|------------------------| +| resultTime | The temporal interval of the result times of all observations belonging to this Datastream. | TM_Period
(ISO 8601 Time Interval) | Zero-to-one (optional) | + +**Table 10 – Direct relation between a Datastream entity and other entity types** + +| Entity type | Relation | Description | +|-------------------------|--------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Thing | Many optional to one mandatory | A Thing has zero-to-many Datastreams. A Datastream entity SHALL only link to a Thing as a collection of Observations. | +| Sensor | Many optional to one mandatory | The Observations in a Datastream are performed by one-and-only-one Sensor. One Sensor MAY produce zero-to-many Observations in different Datastreams. | +| ObservedProperty | Many optional to one mandatory | The Observations of a Datastream SHALL observe the same ObservedProperty. The Observations of different Datastreams MAY observe the same ObservedProperty. | +| Observation | One mandatory to many optional | A Datastream has zero-to-many Observations. One Observation SHALL occur in one-and-only-one Datastream. | + +**Example 4 – A Datastream entity example:** + +``` + +{ + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/Datastreams(1)", + "Thing@iot.navigationLink": "HistoricalLocations(1)/Thing", + "Sensor@iot.navigationLink": "Datastreams(1)/Sensor", + "ObservedProperty@iot.navigationLink": "Datastreams(1)/ObservedProperty", + "Observations@iot.navigationLink": "Datastreams(1)/Observations", + "name": "oven temperature", + "description": "This is a datastream measuring the air temperature in an oven.", + "unitOfMeasurement": { + "name": "degree Celsius", + "symbol": "°C", + "definition": "http://unitsofmeasure.org/ucum.html#para-30" + }, + "observationType": "http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_Measurement", + "observedArea": { + "type": "Polygon", + "coordinates": + [[[100,0],[101,0],[101,1],[100,1],[100,0]]] + }, + "phenomenonTime": "2014-03-01T13:00:00Z/2015-05-11T15:30:00Z", + "resultTime": "2014-03-01T13:00:00Z/2015-05-11T15:30:00Z" +} + +``` + +The observationType defines the result types for specialized observations [OGC/ISO 19156]. Table 11 shows some of the valueCodes that maps the Unified modelling language (UML) classes in O&M v2.0 [OGC/ISO 19156] to observationType names and observation result types. + +**Table 11 – List of some code values used for identifying types defined in the O&M conceptual model [OGC/ISO 19156]** + +| O&M 2.0 | Code value (observationType names) | Content of result | +|------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------| +| OM_CategoryObservation | http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_CategoryObservation | URI | +| OM_CountObservation | http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_CountObservation | integer | +| OM_Measurement | http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_Measurement | double | +| OM_Observation | http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_Observation | Any | +| OM_TruthObservation | http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_TruthObservation | boolean | + +### 6.2.5 Sensor + +A Sensor is an instrument that observes a property or phenomenon with the goal of producing an estimate of the value of the property2. + +Table 12 lists properties of a Sensor entity, Table 13 lists direct relations between a Sensor entity and other entity types and Table 14 lists some code values used for identifying types for the encodingType of the Sensor entity. + +**Table 12 – Properties of a Sensor entity** + +| Name | Definition | Data type | Multiplicity and use | +|--------------------|-----------------------------------------------------------------------------|-----------------|----------------------| +| name | A property provides a label for Sensor entity, commonly a descriptive name. | CharacterString | One (mandatory) | +| description | The description of the Sensor entity. | CharacterString | One (mandatory) | + +--- + +2 In some cases, the Sensor in this data model can also be seen as the Procedure (method, algorithm, or instrument) defined in [OGC/ISO 19156]. + +**Table 12 – Properties of a Sensor entity** + +| Name | Definition | Data type | Multiplicity and use | +|---------------------|------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|----------------------| +| encodingType | The encoding type of the metadata property. Its value is one of the ValueCode enumeration (Table 14. for the available ValueCode). | ValueCode | One (mandatory) | +| metadata | The detailed description of the Sensor or system. The metadata type is defined by encodingType. | Any (depending on the value of the encodingType) | One (mandatory) | + +**Table 13 – Direct relations between a Sensor entity and other entity types** + +| Entity type | Relation | Description | +|-------------------|--------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------| +| Datastream | One mandatory to many optional | The Observations of a Datastream are measured with the same Sensor. One Sensor MAY produce zero-to-many Observations in different Datastreams. | + +**Table 14 – List of some code values used for identifying types for the encodingType of the Sensor entity** + +| Sensor encodingType | ValueCode Value | +|---------------------|-----------------------------------------------------------------------------------------------------| +| PDF | application/pdf | +| SensorML | http://www.opengis.net/doc/IS/SensorML/2.0 | + +The Sensor encodingType allows clients to know how to interpret metadata's value. Currently SensorThings API defines two common Sensor metadata encodingTypes. Most sensor manufacturers provide their sensor datasheets in a PDF format. As a result, PDF is a Sensor encodingType supported by SensorThings API. The second Sensor encodingType is SensorML. + +**Example 5** – An example of a Sensor entity: + +``` +{ + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/Sensors(1)", + "Datastreams@iot.navigationLink": "Sensors(1)/Datastreams", + "name": "TMP36", + "description": "TMP36\n – Analog Temperature sensor", + "encodingType": "application/pdf", + "metadata": "http://example.org/TMP35_36_37.pdf" +} +``` + +### 6.2.6 ObservedProperty + +An ObservedProperty specifies the phenomenon of an Observation. Table 15 lists properties of an ObservedProperty entity and Table 16 lists direct relations between an ObservedProperty entity and other entity types. + +**Table 15 – Properties of an ObservedProperty entity** + +| Name | Definition | Data type | Multiplicity and use | +|--------------------|--------------------------------------------------------------------------------------------------------------------------------------|-----------------|----------------------| +| name | A property provides a label for ObservedProperty entity, commonly a descriptive name. | CharacterString | One (mandatory) | +| definition | The URI of the ObservedProperty. Dereferencing this URI SHOULD result in a representation of the definition of the ObservedProperty. | URI | One (mandatory) | +| description | A description about the ObservedProperty. | CharacterString | One (mandatory) | + +**Table 16 – Direct relations between an ObservedProperty entity and other entity types** + +| Entity type | Relation | Description | +|-------------------|--------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------| +| Datastream | One mandatory to many optional | The Observations of a Datastream observe the same ObservedProperty. The Observations of different Datastreams MAY observe the same ObservedProperty. | + +**Example 6** – An example ObservedProperty entity: + +``` +{ + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/ObservedProperties(1)", + "Datastreams@iot.navigationLink": "ObservedProperties(1)/Datastreams", + "description": "The dewpoint temperature is the temperature to which the air must be\n cooled, at constant pressure, for dew to form. As the grass and other objects\n near the ground cool to the dewpoint, some of the water vapor in the\n atmosphere condenses into liquid water on the objects.", + "name": "DewPoint Temperature", + "definition": "http://dbpedia.org/page/Dew_point" +} +``` + +### 6.2.7 Observations + +An Observation is the act of measuring or otherwise determining the value of a property [OGC/ISO 19156]. Table 17 lists properties of an Observation entity and Table 18 lists direct relations between an Observation entity and other entity types. + +**Table 17 – Properties of an Observation entity** + +| Name | Definition | Data type | Multiplicity and use | +|-----------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------| +| phenomenonTime | The time instant or period of when the Observation happens.
NOTE – Many resource-constrained sensing devices do not have a clock. As a result, a client may omit phenomenonTime when POST new Observations, even though phenomenonTime is a mandatory property. When a SensorThings service receives a POST Observations without phenomenonTime, the service SHALL assign the current server time to the value of the phenomenonTime. | TM_Object (ISO 8601 Time string or Time Interval string (e.g., 2010-12-23T10:20:00.00-07:00 or 2010-12-23T10:20:00.00-07:00/2010-12-23T12:20:00.00-07:00)) | One (mandatory) | +| result | The estimated value of an ObservedProperty from the Observation. | Any (depends on the observationType defined in the associated Datastream) | One (mandatory) | +| resultTime | The time of the Observation's result was generated.
NOTE – Many resource-constrained sensing devices do not have a clock. As a result, a client may omit resultTime when POST new Observations, even though resultTime is a mandatory property. When a SensorThings service receives a POST Observations without resultTime, the service SHALL assign a null value to the resultTime. | TM_Instant (ISO 8601 Time string) | One (mandatory) | +| resultQuality | Describes the quality of the result. | DQ_Element | Zero-to-many | +| validTime | The time period during which the result may be used. | TM_Period (ISO 8601 Time Interval string) | Zero-to-one | +| parameters | Key-value pairs showing the environmental conditions during measurement. | NamedValues in a JSON Array | Zero-to-one | + +**Table 18 – Direct relations between an Observation entity and other entity types** + +| Entity type | Relation | Description | +|--------------------------|--------------------------------|--------------------------------------------------------------------------------------------------------------------------------------| +| Datastream | Many optional to one mandatory | A Datastream can have zero-to-many Observations. One Observation SHALL occur in one-and-only-one Datastream. | +| FeatureOfInterest | Many optional to one mandatory | An Observation observes on one-and-only-one FeatureOfInterest. One FeatureOfInterest could be observed by zero-to-many Observations. | + +**Example 7** – An Observation entity example. The following example shows an Observation whose Datastream has an ObservationType of OM\_Measurement. A result's data type is defined by the observationType. + +``` +{ + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/Observations(1)", + "FeatureOfInterest@iot.navigationLink": "Observations(1)/FeatureOfInterest", + "Datastream@iot.navigationLink": "Observations(1)/Datastream", + "phenomenonTime": "2014-12-31T11:59:59.00+08:00", + "resultTime": "2014-12-31T11:59:59.00+08:00", + "result": 70.4 +} +``` + +### 6.2.8 FeatureOfInterest + +An Observation results in a value being assigned to a phenomenon. The phenomenon is a property of a feature, the latter being the FeatureOfInterest of the Observation [OGC/ISO 19156]. In the context of the Internet of things, many Observations' FeatureOfInterest can be the Location of the Thing. For example, the FeatureOfInterest of a WiFi-connected thermostat can be the Location of the thermostat (i.e., the living room where the thermostat is located). In the case of remote sensing, the FeatureOfInterest can be the geographical area or volume that is being sensed. Table 19 lists properties of a FeatureOfInterest entity and Table 20 lists direct relations between a FeatureOfInterest entity and other entity types. + +**Table 19 – Properties of a FeatureOfInterest entity** + +| Name | Definition | Data type | Multiplicity and use | +|--------------------|----------------------------------------------------------------------------------------|-----------------|----------------------| +| name | A property provides a label for FeatureOfInterest entity, commonly a descriptive name. | CharacterString | One (mandatory) | +| description | The description about the FeatureOfInterest. | CharacterString | One (mandatory) | + +| Name | Definition | Data type | Multiplicity and use | +|---------------------|----------------------------------------------------------------------------------------------------------------------------|-----------|----------------------| +| encodingType | The encoding type of the feature property.
Its value is one of the ValueCode enumeration (for the available ValueCode). | ValueCode | One (mandatory) | +| feature | The detailed description of the feature. The data type is defined by encodingType. | Any | One (mandatory) | + +**Table 20 – Direct relation between a FeatureOfInterest entity and other entity types** + +| Entity type | Relation | Description | +|--------------------|--------------------------------|--------------------------------------------------------------------------------------------------------------------------------------| +| Observation | One mandatory to many optional | An Observation observes on one-and-only-one FeatureOfInterest. One FeatureOfInterest could be observed by zero-to-many Observations. | + +#### **Example 8 – An example of a FeatureOfInterest entity** + +``` +{ + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/FeaturesOfInterest(1)", + "Observations@iot.navigationLink": "FeaturesOfInterest(1)/Observations", + "name": "Weather Station YYC.", + "description": "This is a weather station located at the Calgary Airport.", + "encodingType": "application/vnd.geo+json", + "feature": { + "type": "Feature", + "geometry": { + "type": "Point", + "coordinates": [ + -114.06, + 51.05 + ] + } + } +} +``` + +# 7 SensorThings service interface + +A SensorThings API service exposes service document resources that describe its data model. The service document lists the entity sets that can be create, read, update and delete (CRUD). SensorThings API clients can use the service document to navigate the available entities in a hypermedia-driven fashion. + +## 7.1 Common control information + +The SensorThings API service groups the same types of entities into entity sets. Each entity has a unique identifier and one-to-many properties. Also, in the case of an entity holding a relationship with entities in other entity sets, this type of relationship is expressed with navigation properties (i.e., `navigationLink` and `associationLink`). + +Therefore, in order to perform CRUD actions on the resources, the first step is to address to the target resource(s) through URI. There are three major URI components used here, namely (1) the service root URI, (2) the resource path, and (3) the query options. In addition, the service root URI consists of two parts: (1) the location of the SensorThings service and (2) the version number. The version number follows the format indicated below: + +"v"majorversionnumber + "." + minorversionnumber + +#### Example 9 – Complete URI example + +`http://example.org/v1.0/Observations?$orderby=ID&$top=10` + +| | | | +|------------------|---------------|---------------| +| | | | +| | | | +| service root URI | resource path | query options | + +By attaching the resource path after the service root URI, clients can address to different types of resources such as an entity set, an entity, a property, or a navigation property. Finally, clients can apply query options after the resource path to further process the addressed resources, such as sorting by properties or filtering with criteria. + +## 7.2 Resource path + +The resource path comes right after the service root URI and can be used to address to different resources. Clauses 7.2.1 to 7.2.8 list the usages of the resource path. + +### 7.2.1 Usage 1: No resource path + +#### **URI Pattern: SERVICE\_ROOT\_URI** + +Response: A JSON object with a property named **value**. The value of the property **SHALL** be a JSON array containing one element for each entity set of the SensorThings Service. + +Each element **SHALL** be a JSON object with at least two name/value pairs, one with name **name** containing the name of the entity set (e.g., Things, Locations, Datastreams, Observations, ObservedProperties and Sensors) and one with name **url** containing the URL of the entity set, which may be an absolute or a relative URL [OASIS OData JSON]. + +##### Example 10 – A SensorThings request with no resource path + +Example request: + +`http://example.org/v1.0/` + +Example response: + +``` +{ + "value": [ + { + "name": "Things", + "url": "http://example.org/v1.0/Things" + }, + { +``` + +``` + + "name": "Locations", + "url": " http://example.org/v1.0/Locations" + }, + { + "name": "Datastreams", + "url": " http://example.org/v1.0/Datastreams" + }, + { + "name": "Sensors", + "url": " http://example.org/v1.0/Sensors" + }, + { + "name": "Observations", + "url": " http://example.org/v1.0/Observations" + }, + { + "name": "ObservedProperties", + "url": "\n http://example.org/v1.0/ObservedProperties" + }, + { + "name": "FeaturesOfInterest", + "url": "\n http://example.org/v1.0/FeaturesOfInterest" + } +] +} + +``` + +### 7.2.2 Usage 2: Address to a collection of entities + +To address to an entity set, users can simply put the entity set name after the service root URI. The service returns a JSON object with a property of value. The value of the property SHALL be a list of the entities in the specified entity set. + +**URI Pattern:** SERVICE\_ROOT\_URI/ENTITY\_SET\_NAME + +**Response:** A list of all entities (with all the properties) in the specified entity set when there is no service-driven pagination imposed. The response is represented as a JSON object containing a name/value pair named value. The value of the value name/value pair is a JSON array where each element is representation of an entity or a representation of an entity reference. An empty collection is represented as an empty JSON array. + +The count annotation represents the number of entities in the collection. If present, it comes before the value name/value pair. + +When there is service-driven pagination imposed, the nextLink annotation is included in a response that represents a partial result [OASIS OData JSON]. + +**Example 11** – An example to address an entity set + +Example request: + +http://example.org/v1.0/ObservedProperties + +Example response: + +``` +{ + "@iot.count": 84, + "value": [ + { + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/ObservedProperties(1)", + "Datastreams@iot.navigationLink": "ObservedProperties(1)/Datastreams", + "description": "The dew point is the temperature at which the water vapor in air at constant barometric pressure condenses into liquid water at the same rate at which it evaporates.", + "name": "DewPoint Temperature", + "definition": "http://dbpedia.org/page/Dew_point" + }, + { + "@iot.id": 2, + "@iot.selfLink": "http://example.org/v1.0/ObservedProperties(2)", + "Datastreams@iot.navigationLink": "ObservedProperties(2)/Datastreams", + "description": "Relative humidity is the ratio of the partial pressure of water vapor in an air-water mixture to the saturated vapor pressure of water at a prescribed temperature.", + "name": "Relative Humidity", + "definition": "http://dbpedia.org/page/Relative_humidity" + } + ], + "@iot.nextLink": "http://example.org/v1.0/ObservedProperties?$top=5&$skip=5" +} +``` + +### 7.2.3 Usage 3: Address to an entity in a collection + +Users can address a specific entity in an entity set by place the unique identifier of the entity between brace symbol "(" and put after the entity set name. The service then returns the entity with all its properties. + +**URI Pattern:** SERVICE\_ROOT\_URI/ENTITY\_SET\_NAME(ID\_OF\_THE\_ENTITY) + +**Response:** A JSON object of the entity (with all its properties) that holds the specified id in the entity set. + +**Example 12** – An example request that addresses to an entity in a collection + +Example request: + +http://example.org/v1.0/Things(1) + +#### 7.2.4 Usage 4: Address to a property of an entity + +Users can address to a property of an entity by specifying the property name after the URI addressing to the entity. The service then returns the value of the specified property. If the property has a complex type value, properties of that value can be addressed by further property name composition. + +If the property is single-valued and has the null value, the service SHALL respond with 204 No Content. If the property is not available, for example due to permissions, the service SHALL respond with 404 Not Found [OASIS OData Part1]. + +**URI Pattern:** + +SERVICE\_ROOT\_URI/RESOURCE\_PATH\_TO\_AN\_ENTITY/PROPERTY\_NAME + +**Response:** The specified property of an entity that holds the id in the entity set. + +**Example 13** – An example to address to a property of an entity + +Example request: + +``` +http://example.org/v1.0/Observations(1)/resultTime +``` + +Example response: + +``` +{ + "resultTime": + "2010-12-23T10:20:00-07:00" +} +``` + +#### 7.2.5 Usage 5: Address to the value of an entity's property + +To address the raw value of a primitive property, clients append a path segment containing the string \$value to the property URL. + +The default format for TM\_Object types is text/plain using the ISO 8601 format, such as 2014-03-01T13:00:00Z/2015-05-11T15:30:00Z for TM\_Period and 2014-03-01T13:00:00Z for TM\_Instant. + +##### URI Pattern: + +SERVICE\_ROOT\_URI/ENTITY\_SET\_NAME(ID\_OF\_THE\_ENTITY)/PROPERTY\_NAME/\$value + +**Response:** The raw value of the specified property of an entity that holds the id in the entity set. + +**Example 14** – An example of addressing to the value of an entity's property + +Example: + +``` +http://example.org/v1.0/Observations(1)/resultTime/$value +``` + +Example response: + +``` +2015-01-12T23:00:13-07:00 +``` + +### 7.2.6 Usage 6: Address to a navigation property (navigationLink) + +As the entities in different entity sets may hold some relationships, users can request the linked entities by addressing to a navigation property of an entity. The service then returns one or many entities that hold a certain relationship with the specified entity. + +##### URI Pattern: + +SERVICE\_ROOT\_URI/ENTITY\_SET\_NAME(ID\_OF\_THE\_ENTITY)/LINK\_NAME + +**Response:** A JSON object of one entity or a JSON array of many entities that holds a certain relationship with the specified entity. + +**Example 15** – An example request addressing to a navigational property + +Example: + +``` +http://example.org/v1.0/Datastreams(1)/Observations +``` + +Returns all the Observations in the Datastream that holds the id 1. + +### 7.2.7 Usage 7: Address to an associationLink + +As the entities in different entity sets may hold some relationships, users can request the linked entities' selfLinks by addressing to an association link of an entity. An associationLink can be used to retrieve a reference to an entity or an entity set related to the current entity. Only the selfLinks of related entities are returned when resolving associationLinks. + +#### URI Pattern: + +SERVICE\_ROOT\_URI/ENTITY\_SET\_NAME(KEY\_OF\_THE\_ENTITY)/LINK\_NAME/\$ref + +**Response:** A JSON object with a value property. The value of the value property is a JSON array containing one element for each associationLink. Each element is a JSON object with a name/value pair. The name is url and the value is the selfLinks of the related entities. + +**Example 16** – An example of addressing to an association link + +Example request: + +``` +http://example.org/v1.0/Datastreams(1)/Observations/$ref +``` + +Returns all the selfLinks of the Observations of Datastream(1). + +Example response: + +``` +{ + "value": [ + { + "@iot.selfLinks": + "http://example.org/v1.0/Observations(1)" + }, + { + "@iot.selfLinks": + "http://example.org/v1.0/Observations(2)" + } + ] +} +``` + +### 7.2.8 Usage 8: Nested resource path + +As users can use navigation properties to link from one entity set to another, users can further extend the resource path with unique identifiers, properties, or links (i.e., Usage 3, 4 and 6). + +**Example 17** – Examples of nested resource path + +Example request 1: + +``` +http://example.org/v1.0/Datastreams(1)/Observations(1) +``` + +Returns a specific Observation entity in the Datastream. + +Example request 2: + +``` +http://example.org/v1.0/Datastreams(1)/Observations(1)/resultTime +``` + +Returns the resultTime property of the specified Observation in the Datastream. + +Example Request 3: + +``` +http://example.org/v1.0/Datastreams(1)/Observations(1)/FeatureOfInterest +``` + +Returns the FeatureOfInterest entity of the specified Observation in the Datastream. + +## 7.3 Requesting data + +Clients issue HTTP GET requests to SensorThings API services for data. The resource path of the URL specifies the target of the request. Additional query operators can be specified through query options that are presented in the following way. The query operators are prefixed with a dollar (\$) character and specified as key-value pairs after the question symbol (?) in the request URI. Many of the SensorThings API's query options are adapted from OData's query options. OData developers should be able to pick up SensorThings API query options very quickly. + +### 7.3.1 Evaluating system query options + +The SensorThings API adapts many of OData's system query options and their usage. These query options allow refining the request. + +The result of the service request is as if the system query options were evaluated in the following order. + +Prior to applying any server-driven pagination: + +- \$filter +- \$count +- \$orderby +- \$skip +- \$top + +After applying any server-driven pagination: + +- \$expand +- \$select + +### 7.3.2 Specifying properties to return + +The \$select and \$expand system query options enable the client to specify the set of properties to be included in a response. + +#### 7.3.2.1 \$expand + +**Example 18** – Examples of \$expand query option + +Example request 1: + +``` +http://example.org/v1.0/Things?$expand=Datastreams +``` + +Returns the entity set of Things as well as each of the Datastreams associated with each Thing entity. + +Example request 1 response: + +``` +{ + "values": [ + { + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/Things(1)", + "Locations@iot.navigationLink": "Things(1)/Locations", + "Datastreams@iot.count": 1, + "Datastreams": [ + { + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/Datastreams(1)", + "name": "oven temperature", + "description": "This is a datastream measuring the air temperature in an oven.", + "unitOfMeasurement": { + "name": "degree Celsius", + "symbol": "°C", + "definition": "http://unitsofmeasure.org/ucum.html#para-30" + }, + "observationType": "http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_Measurement", + "observedArea": { + "type": "Polygon", + "coordinates": [[[100,0],[101,0],[101,1],[100,1],[100,0]]] + }, + "phenomenonTime": "2014-03-01T13:00:00Z/2015-05-11T15:30:00Z", + "resultTime": "2014-03-01T13:00:00Z/2015-05-11T15:30:00Z" + } + ], + "HistoricalLocations@iot.navigationLink": "Things(1)/HistoricalLocations", + "description": "This thing is a convection oven.", + "name": "Oven", + "properties": { + "owner": "John Doe", + "color": "Silver" + } + } + ] +} +``` + +Example request 2: + +``` +http://example.org/v1.0/Things?$expand=Datastreams/ObservedProperty +``` + +Returns the collection of Things, the Datastreams associated with each Thing, and the ObservedProperty associated with each Datastream. + +Example request 3: + +``` +http://example.org/v1.0/Datastreams(1)?$expand=Observations,ObservedProperty +``` + +Returns the Datastream whose id is 1 as well as the Observations and ObservedProperty associated with this Datastream. + +Query options can be applied to the expanded navigation property by appending a semicolon-separated list of query options, enclosed in parentheses, to the navigation property name. Allowed system query options are \$filter, \$select, \$orderby, \$skip, \$top, \$count, and \$expand [OASIS OData Part2]. + +Example request 4: + +``` +http://example.org/v1.0/Datastreams(1)?$expand=Observations($filter=result eq 1) +``` + +Returns the Datastream whose id is 1 as well as its Observations with a result equal to 1. + +#### 7.3.2.2 \$select + +**Example 19** – Examples of \$select query option + +Example request 1: + +``` +http://example.org/v1.0/Observations?$select=result,resultTime +``` + +Returns only the result and resultTime properties for each Observation entity. + +Example request 2: + +``` +http://example.org/v1.0/Datastreams(1)?$select=id,Observations&$expand=Observations/FeatureOfInterest +``` + +Returns the id property of the Datastream entity, and all the properties of the entity identified by the Observations and FeatureOfInterest navigation properties. + +Example request 3: + +``` +http://example.org/v1.0/Datastreams(1)?$expand=Observations($select=result) +``` + +Returns the Datastream whose id is 1 as well as the result property of the entity identified by the Observations navigation property. + +### 7.3.3 Query entity sets + +#### 7.3.3.1 \$orderby + +**Example 20** – Examples of \$orderby query option + +Example request 1: + +``` +http://example.org/v1.0/Observations?$orderby=result +``` + +Returns all Observations ordered by the result property in ascending order. + +Example request 2: + +``` +http://example.org/v1.0/Observations?$expand=Datastream&$orderby=Datastreams/id desc, phenomenonTime +``` + +Returns all Observations ordered by the id property of the linked Datastream entry in descending order, then by the phenomenonTime property of Observations in ascending order. + +#### 7.3.3.2 \$top + +**Example 21** – Examples of \$top query option + +Example request 1: + +``` +http://example.org/v1.0/Things?$top=5 +``` + +Returns only the first five entities in the Things collection. + +Example request 2: + +``` +http://example.org/v1.0/Observations?$top=5&$orderby=phenomenonTime%20desc +``` + +Returns the first five Observation entries after sorted by the phenomenonTime property in descending order. + +##### 7.3.3.3 \$skip + +**Example 22** – Examples of \$skip query option + +Example request 1: + +``` +http://example.org/v1.0/Things?$skip=5 +``` + +Returns Thing entities starting with the sixth Thing entity in the Things collection. + +Example request 2: + +``` +http://example.org/v1.0/Observations?$skip=2&$top=2&$orderby=resultTime +``` + +Returns the third and fourth Observation entities from the collection of all Observation entities when the collection is sorted by the resultTime property in ascending order. + +##### 7.3.3.4 \$count + +**Example 23** – Examples of \$count query option + +Example request 1: + +``` +http://example.org/v1.0/Things?$count=true +``` + +Return, along with the results, the total number of Things in the collection. + +Example response: + +``` +{ + "@iot.count":2, + "value": [ + {...}, + {...} + ] +} +``` + +##### 7.3.3.5 \$filter + +**Example 24** – Examples of \$filter query option + +Example request 1: + +``` +http://example.org/v1.0/Observations?$filter=result lt 10.00 +``` + +Returns all Observations whose result is less than 10.00. + +In addition, clients can choose to use the properties of linked entities in the \$filter predicate. The following are examples of the possible uses of the \$filter in the data model of the SensorThings service. + +Example request 2: + +``` +http://example.org/v1.0/Observations?$filter=Datastream/id eq '1' +``` + +Returns all Observations whose Datastream's id is 1. + +Example request 3: + +``` +http://example.org/v1.0/Things?$filter=geo.distance(Locations/location, geography'POINT(-122, 43)') gt 1 +``` + +Returns Things that the distance between their last known locations and POINT(-122, 43) is greater than 1. + +Example request 4: + +``` +http://example.org/v1.0/Things?$expand= +Datastreams/Observations/FeatureOfInterest&$filter=Datastreams/Observations/FeatureOfInterest/id eq 'FOI_1' and +Datastreams/Observations/resultTime ge 2010-06-01T00:00:00Z and Datastreams/Observations/resultTime le 2010-07-01T00:00:00Z +``` + +Returns Things that have any observations of a feature of interest with a unique identifier equals to 'FOI\_1' in June 2010. + +##### 7.3.3.5.1 Built-in filter operators + +The SensorThings API supports a set of built-in filter operators, as described in Table 21. These built-in filter operator usages and definitions follow the [OASIS OData Part1] and [OASIS OData ABNF]. + +**Table 21 – Built-in filter operators** + +| Operator | Description | Example | +|-----------------------------|-----------------------|-------------------------------------------------------------------------| +| Comparison operators | | | +| eq | Equal | /ObservedProperties?\$filter=unitOfMeasurement/name eq 'degree Celsius' | +| ne | Not equal | /ObservedProperties?\$filter=unitOfMeasurement/name ne 'degree Celsius' | +| gt | Greater than | /Observations?\$filter=result gt 20.0 | +| ge | Greater than or equal | /Observations?\$filter=result ge 20.0 | +| lt | Less than | /Observations?\$filter=result lt 100 | +| le | Less than or equal | /Observations?\$filter=result le 100 | +| Logical operators | | | +| and | Logical and | /Observations?\$filter=result le 3.5 and FeatureOfInterest/id eq '1' | +| or | Logical or | /Observations?\$filter=result gt 20 or result le 3.5 | +| not | Logical negation | /Things?\$filter=not startswith(description,'test') | +| Arithmetic operators | | | +| add | Addition | /Observations?\$filter=result add 5 gt 10 | +| sub | Subtraction | /Observations?\$filter=result sub 5 gt 10 | +| mul | Multiplication | /Observations?\$filter=result mul 2 gt 2000 | +| div | Division | /Observations?\$filter=result div 2 gt 4 | + +**Table 21 – Built-in filter operators** + +| Operator | Description | Example | +|---------------------------|---------------------|---------------------------------------------| +| mod | Modulo | /Observations?\$filter=result mod 2 eq 0 | +| Grouping operators | | | +| ( ) | Precedence grouping | /Observations?\$filter=(result sub 5) gt 10 | + +##### 7.3.3.5.2 Built-in query functions + +The SensorThings API supports spatial relationship functions, the SensorThings API defines nine additional geospatial functions based on the spatial relationship between two geometry objects. The spatial relationship functions are defined in the OGC simple feature access specification [OASIS oData Part1]. The names of these nine functions start with a prefix "st" following the OGC simple feature access specification [OASIS oData Part1]. In addition, the well-known text (WKT) format is the default input geometry for these nine functions. Table 22 lists built-in query functions which include spatial relationship functions and other related functions. + +**Table 22 – Built-in query functions** + +| Function | Example | +|----------------------------------------|---------------------------------------------| +| String functions | | +| bool substringof(string p0, string p1) | substringof('Sensor Things',description) | +| bool endswith(string p0, string p1) | endswith(description,'Things') | +| bool startswith(string p0, string p1) | startswith(description,'Sensor') | +| int length(string p0) | length(description) eq 13 | +| int indexof(string p0, string p1) | indexof(description,'Sensor') eq 1 | +| string substring(string p0, int p1) | substring(description,1) eq 'sensor Things' | +| string tolower(string p0) | tolower(description) eq 'sensor things' | +| string toupper(string p0) | toupper(description) eq 'SENSOR THINGS' | + +**Table 22 – Built-in query functions** + +| Function | Example | +|-------------------------------------|--------------------------------------------------------------------------------------------| +| string trim(string p0) | trim(description) eq 'Sensor Things' | +| string concat(string p0, string p1) | concat(concat(unitOfMeasurement/symbol,', '), unitOfMeasurement/name) eq 'degree, Celsius' | +| Date functions | | +| int year | year(resultTime) eq 2015 | +| int month | month(resultTime) eq 12 | +| int day | day(resultTime) eq 8 | +| int hour | hour(resultTime) eq 1 | +| int minute | minute(resultTime) eq 0 | +| int second | second(resultTime) eq 0 | +| int fractionalseconds | second(resultTime) eq 0 | +| int date | date(resultTime) ne date(validTime) | +| time | time(resultTime) le validTime | +| int totaloffsetminutes | totaloffsetminutes(resultTime) eq 60 | +| now | resultTime ge now() | +| mindatetime | resultTime eq mindatetime() | +| maxdatetime | resultTime eq maxdatetime() | +| Math functions | | +| round | round(result) eq 32 | +| floor | floor(result) eq 32 | + +**Table 22 – Built-in query functions** + +| Function | Example | +|-------------------------------------------|-----------------------------------------------------------------------------------------| +| ceiling | ceiling(result) eq 33 | +| Geospatial functions | | +| double geo.distance(Point p0, Point p1) | geo.distance(location, geography'POINT (30 10) ') | +| double geo.length(LineString p0) | geo.length(geography'LINESTRING (30 10, 10 30, 40 40) ') | +| bool geo.intersects(Point p0, Polygon p1) | geo.intersects(location, geography'POLYGON ((30 10, 10 20, 20 40, 40 40, 30 10))') | +| Spatial relationship functions | | +| bool st_equals | st_equals(location, geography'POINT (30 10)') | +| bool st_disjoint | st_disjoint(location, geography'POLYGON ((30 10, 10 20, 20 40, 40 40, 30 10))') | +| bool st_touches | st_touches(location, geography'LINESTRING (30 10, 10 30, 40 40)') | +| bool st_within | st_within(location, geography'POLYGON ((30 10, 10 20, 20 40, 40 40, 30 10))') | +| bool st_overlaps | st_overlaps(location, geography'POLYGON ((30 10, 10 20, 20 40, 40 40, 30 10))') | +| bool st_crosses | st_crosses(location, geography'LINESTRING (30 10, 10 30, 40 40)') | +| bool st_intersects | st_intersects(location, geography'LINESTRING (30 10, 10 30, 40 40)') | +| bool st_contains | st_contains(location, geography'POINT (30 10)') | +| bool st_relate | st_relate(location, geography'POLYGON ((30 10, 10 20, 20 40, 40 40, 30 10))', 'T*****') | + +##### 7.3.3.6 Server-driven paging + +##### Example 25: + +http://example.org/v1.0/Things + +Returns a subset of the Thing entities of requested collection of Things. The nextLink contains a link allowing retrieving the next partial set of items. + +Example response: + +``` +{ + "value": [ + {...}, + {...} + ], + "@iot.nextLink": + "http://examples.org/v1.0/Things?$top=100&$skip=100" +} +``` + +# 8 SensorThings sensing create-update-delete + +## 8.1 Overview + +As many IoT devices are resource-constrained, the SensorThings API adopts the efficient REST web service style. That means the create, update and delete actions can be performed on the SensorThings entity types. Clauses 8.2 to 8.4 respectively explain the Create, Update and Delete protocol. + +## 8.2 Create an entity + +Table 23 lists integrity constraints when creating an entity. + +**Table 23 – Integrity constraints when creating an entity** + +| Scenario | Integrity constraints | +|------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Create a Thing entity | – | +| Create a Location entity | – | +| Create a Datastream entity | SHALL link to a Thing entity. | +| | SHALL link to a Sensor entity | +| | SHALL link to an ObservedProperty entity. | +| Create a Sensor entity | – | +| Create an ObservedProperty entity | – | +| Create an Observation entity | SHALL link to a Datastream entity. | +| | SHALL link to a FeatureOfInterest entity. If no link specified, the service SHALL create a FeatureOfInterest entity from the content of the Location entities. | +| Create a FeatureOfInterest entity | – | + +### 8.2.1 Request + +``` +HTTP Method: POST +URI Pattern:SERVICE_ROOT_URI/COLLECTION_NAME +Header: Content-Type: application/json +Message Body: A single valid entity representation for the specified collection. +``` + +#### Example 26: + +``` +POST /v1.0/Things HTTP/1.1 + +Host: example.org/ +Content-Type: application/json +{ + "name": + "thermostat", + "description":"This is a smart thermostat with WiFi communication capabilities." +} +``` + +#### 8.2.1.1 Link to existing entities when creating an entity + +**Example 27** – Create an Observation entity, which links to an existing Sensor entity (whose id is 1), an existing FeatureOfInterest entity (whose id is 2). + +``` +POST /v1.0/Observations HTTP/1.1 +Host: example.org +Content-Type: application/json +{ + "Datastream": + { + "@iot.id":1 + }, + "phenomenonTime": "2013-04-18T16:15:00-07:00", + "result": 124, + "FeatureOfInterest": + { + "@iot.id": 2 + } +} +``` + +#### 8.2.1.2 Create related entities when creating an entity + +**Example 28** – Create a Thing while creating two related Sensors and one related Observation (which links to an existing FeatureOfInterest entity and an existing ObservedProperty entity). + +``` +POST /v1.0/Things HTTP/1.1 +Host: example.org +Content-Type: application/json + +{ + "description": + "This an oven with a temperature datastream.", + "name": "oven", + "Locations": [ + { + "name": "CCIT", + "description": + "Calgary Centre for Innovative Technologies", + "encodingType": "application/vnd.geo+json", + "location": { + "type": + "Feature", + "geometry": { + "type": + "Point", + "coordinates": [10,10] + } + } + } + ] +} +``` + +``` + + } + } +}, +"Datastreams": [ + { + "name": "oven temperature", + "description": + "This is a datastream for an oven's internal temperature.", + "unitOfMeasurement": { + "name": "degree Celsius", + "symbol": "°C", + "definition": "http://unitsofmeasure.org/ucum.html#para-30" + }, + "observationType": "http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_Measurement", + "observedArea": + { + "type": + "Polygon", + "coordinates": [[[100,0], [101,0], [101,1], [100,1], [100,0]]] + }, + "phenomenonTime": "2009-01-11T16:22:25.00Z/2011-08-21T08:32:10.00Z", + "Observations": + [ + { + "phenomenonTime": "2012-06-26T03:42:02-0600", + "result": 70.4, + "FeatureOfInterest": { + "name": "CCIT #361", + "description": "This CCIT #361, Noah's dad's office", + "encodingType": "application/vnd.geo+json", + "feature": { + "type": + "Feature", + "geometry": { + "type": "Polygon", + "coordinates": [ + [[100,50], [10,9], [23,4], + [100,50]], [[30,20], [10,4], [4,22], [30,20]] + ] + } + } + } + ] + ], + "ObservedProperty": { + "name": "DewPoint Temperature", + "definition": "http://sweet.jpl.nasa.gov/ontology/property.owl#DewPointTemperature", + "description": + "The dewpoint temperature is the temperature to which the air must be cooled, at constant pressure, for dew to form. As the grass and other objects near the ground cool to the dewpoint, some of the water vapor in the atmosphere condenses into liquid water on the objects." + }, + "Sensor": { + "name": "DS18B20", + "description": "DS18B20 is an air temperature sensor...", + "encodingType": "application/pdf", + "metadata": "http://datasheets.maxim-ic.com/en/ds/DS18B20.pdf" + } + } +] +} + +``` + +### 8.2.2 Response + +Upon successfully creating an entity, the service response SHALL contain a Location header that contains the URL of the created entity. Upon successful completion the service SHALL respond with 201 Created. Regarding all the HTTP status code, refer to the HTTP Status Codes (section 10 of [IETF RFC 2616]). + +## 8.3 Update an entity + +### 8.3.1 Request + +In SensorThings PATCH is the preferred means of updating an entity. PATCH provides more resiliency between clients and services by directly modifying only those values specified by the client. + +The semantics of PATCH, as defined in [IETF RFC 5789], are to merge the content in the request payload with the entity's current state, applying the update only to those components specified in the request body. The properties provided in the payload corresponding to updatable properties SHALL replace the value of the corresponding property in the entity. Missing properties of the containing entity or complex property SHALL NOT be directly altered. + +Services MAY additionally support PUT, but should be aware of the potential for data-loss in round-tripping properties that the client may not know about in advance, such as open or added properties, or properties not specified in metadata. Services that support PUT SHALL replace all values of structural properties with those specified in the request body. Omitting a non-nullable property with no service-generated or default value from a PUT request results in a 400 Bad Request error. + +Key and other non-updatable properties that are not tied to key properties of the principal entity, can be omitted from the request. If the request contains a value for one of these properties, the service SHALL ignore that value when applying the update. + +The service ignores entity id in the payload when applying the update. + +The entity SHALL NOT contain related entities as inline content. It MAY contain binding information for navigation properties. For single-valued navigation properties this replaces the relationship. For collection-valued navigation properties this adds to the relationship. + +On success, the response SHALL be a valid success response. + +Services MAY additionally support JSON PATCH format [IETF RFC 6902] to express a sequence of operations to apply to a SensorThings entity. [OASIS OData Part1] + +**HTTP Method:** PATCH or PUT + +**URI Pattern:** An URI addressing to a single entity. + +**Header:** Content-Type: application/json + +**Message Body:** A single entity representation including a subset of properties for the specified collection. + +#### Example 29 – Update the Thing whose id is 1. + +``` +PATCH /v1.0/Things(1) HTTP1.1 +Host: example.org +Content-Type: application/json +{ + "description": "This thing is an oven." +} +``` + +### 8.3.2 Response + +On success, the response SHALL be a valid success response. In addition, when the client sends an update request to a valid URL where an entity does not exist, the service SHALL fail the request. + +Upon successful completion, the service must respond with 200 OK or 204 No Content. Regarding all the HTTP status code, please refer to the HTTP Status Code section. + +## 8.4 Delete an entity + +### 8.4.1 Request + +A successful DELETE request to an entity's edit URL deletes the entity. The request body SHOULD be empty. + +Services SHALL implicitly remove relations to and from an entity when deleting it; clients need not delete the relations explicitly. + +Services MAY implicitly delete or modify related entities if required by integrity constraints. Table 24 lists SensorThings API's integrity constraints when deleting an entity. + +**HTTP Method:** DELETE + +**URI Pattern:** An URI addressing to a single entity. + +#### Example 30 – Delete the Thing with unique identifier equals to 1 + +| | +|------------------------------------------| +| DELETE http://example.org/v1.0/Things(1) | +|------------------------------------------| + +**Table 24 – Integrity constraints when deleting an entity** + +| Scenario | Integrity constraints | +|---------------------------------------------------|-----------------------------------------------------------------------------| +| Delete a Thing entity | Delete all the Datastream entities linked to the Thing entity. | +| Delete a Location entity | Delete all the HistoricalLocation entities linked to the Location entity | +| Delete a Datastream entity | Delete all the Observation entities linked to the Datastream entity. | +| Delete a Sensor entity | Delete all the Datastream entities linked to the Sensor entity. | +| Delete an ObservedProperty entity | Delete all the Datastream entities linked to the ObservedProperty entity. | +| Delete an Observation entity | – | +| Delete a FeatureOfInterest entity | Delete all the Observation entities linked to the FeatureOfInterest entity. | +| Delete a HistoricalLocation entity entity. | – | + +# 9 Batch requests + +## 9.1 Introduction + +The SensorThings service interface provides interfaces for users to perform CRUD actions on resources through different HTTP methods. However, as many IoT devices are resource-constrained, handling a large number of communications may not be practical. This clause describes how a SensorThings service can support executing multiple operations sent in a single HTTP request through the use of batch processing. This section covers both how batch operations are represented and processed. SensorThings batch request extension is adapted from [OGC OData Part1] and all + +subsections. The only difference is that the OData-Version header SHOULD be omitted in SensorThings. Readers are encouraged to read the OData specification section 11.7 before reading the examples below. + +## 9.2 Batch-processing request + +A batch request is represented as a Multipart MIME v1.0 message [IETF RFC 2046], a standard format allowing the representation of multiple parts, each of which may have a different content type, within a single request. + +The example below shows a GUID as a boundary and example.org/v1.0/ for the URI of the service. + +Batch requests are submitted as a single HTTP POST request to the batch endpoint of a service, located at the URL \$batch relative to the service root (e.g., example.org/v1.0/\$batch). + +NOTE – In the example, request bodies are excluded in favour of English descriptions inside '<>' brackets to simplify the example. + +#### Example 31-1 – A Batch Request header example + +``` +POST /v1.0/$batch HTTP/1.1 +Host: example.org +Content-Type: +multipart/mixed;boundary=batch_36522ad7-fc75-4b56-8c71-56071383e77b + +``` + +NOTE – The batch request boundary must be quoted if it contains any of the following special characters: + +``` +() <> @ +, ; : / " [ ] ? = +``` + +### 9.2.1 Batch Request body example + +The following example shows a Batch Request that contains the following operations in the order listed + +- A query request +- Change Set that contains the following requests: + - Insert entity (with Content-ID = 1) + - Update request (with Content-ID = 2) +- A second query request + +NOTE – For brevity, in the example, request bodies are excluded in favour of English descriptions inside <> brackets. + +Note also that the two empty lines after the Host header of the GET request are necessary: the first is part of the GET request header; the second is the empty body of the GET request, followed by a CRLF ('\r\n') according to [IETF RFC 2046]. + +#### Example 31-2 – A Batch Request body example + +``` +POST /v1.0/$batch HTTP/1.1 +Host: host +Content-Type: multipart/mixed;boundary=batch_36522ad7-fc75-4b56-8c71-56071383e77b +Content-Length: ### + +--batch_36522ad7-fc75-4b56-8c71-56071383e77b +Content-Type: application/http + +Content-Transfer-Encoding:binary + +GET /v1.0/Things(1) +Host: host + +--batch_36522ad7-fc75-4b56-8c71-56071383e77b +Content-Type: +multipart/mixed;boundary=changeset_77162fcd-b8da-41ac-a9f8-9357efbbd +``` + +``` +--changeset_77162fcd-b8da-41ac-a9f8-9357efbbd +``` + +``` +Content-Type: application/http +``` + +``` +Content-Transfer-Encoding: +binary +``` + +``` +Content-ID: 1 +``` + +``` +POST /v1.0/Things HTTP/1.1 +``` + +``` +Host: host +``` + +``` +Content-Type: application/json +``` + +``` +Content-Length: ### +``` + +``` + +``` + +``` +--changeset_77162fcd-b8da-41ac-a9f8-9357efbbd +``` + +``` +Content-Type: application/http +``` + +``` +Content-Transfer-Encoding:binary +``` + +``` +Content-ID: 2 +``` + +``` +PATCH /v1.0/Things(1) HTTP/1.1 +``` + +``` +Host: host +``` + +``` +Content-Type: application/json +``` + +``` +If-Match: xxxxx +``` + +``` +Content-Length: ### +``` + +``` + +``` + +``` +--changeset_77162fcd-b8da-41ac-a9f8-9357efbbd-- +``` + +``` +--batch_36522ad7-fc75-4b56-8c71-56071383e77b +``` + +``` +Content-Type: application/http +``` + +``` +Content-Transfer-Encoding: +binary +``` + +``` +GET /v1.0/Things(3) HTTP/1.1 +``` + +``` +Host: host +``` + +``` +--batch_36522ad7-fc75-4b56-8c71-56071383e77b-- +``` + +### 9.2.2 Referencing new entities in a change set example + +**Example 31-3:** A Batch Request that contains the following operations in the order listed: + +A change set that contains the following requests: + +- 1) Insert a new Datastream entity (with Content-ID = 1) +- 2) Insert a second new entity, a Sensor entity in this example (reference request with Content-ID = 1) + +``` + +POST +/v1.0/$batch HTTP/1.1 +Host: host +Content-Type: +multipart/mixed;boundary=batch_36522ad7-fc75-4b56-8c71-56071383e77b + +--batch_36522ad7-fc75-4b56-8c71-56071383e77b +Content-Type: +multipart/mixed;boundary=changeset_77162fcd-b8da-41ac-a9f8-9357efbbd + +--changeset_77162fcd-b8da-41ac-a9f8-9357efbbd +Content-Type: + +``` + +``` + +application/http +Content-Transfer-Encoding: +binary +Content-ID: +1 + +POST +/v1.0/Datastreams HTTP/1.1 +Host: +host +Content-Type: +application/json +Content-Length: +### + + +--changeset_77162fcd-b8da-41ac-a9f8-9357efbbd +Content-Type: +application/http +Content-Transfer-Encoding: +binary +Content-ID: +2 + +POST +/v1.0/Sensor HTTP/1.1 +Host: +host +Content-Type: +application/json +Content-Length: +### + + +--changeset_77162fcd-b8da-41ac-a9f8-9357efbbd-- +--batch_36522ad7-fc75-4b56-8c71-56071383e77b-- + +``` + +## 9.3 Batch-processing response + +**Example 31-4** – Referencing the batch request example 31-2 above, assume all the requests except the final query request succeed. In this case the response would be: + +``` + +HTTP/1.1 +200 Ok +Content-Length: +#### +Content-Type: +multipart/mixed;boundary=b_243234_25424_ef_892u748 + +--b_243234_25424_ef_892u748 +Content-Type: application/http +Content-Transfer-Encoding: +binary + +HTTP/1.1 +200 Ok +Content-Type: +application/json +Content-Length: +### + + +--b_243234_25424_ef_892u748 +Content-Type: +multipart/mixed;boundary=cs_12u7hdkin252452345eknd_383673037 + +--cs_12u7hdkin252452345eknd_383673037 + +``` + +``` + +Content-Type: +application/http +Content-Transfer-Encoding: +binary +Content-ID: +1 + +HTTP/1.1 +201 Created +Content-Type: +application/json +Location: http://host/v1.0/Things(99) +Content-Length: +### + + + +--cs_12u7hdkin252452345eknd_383673037 +Content-Type: +application/http +Content-Transfer-Encoding: +binary +Content-ID: +2 + +HTTP/1.1 +204 No Content +Host: +host + +--cs_12u7hdkin252452345eknd_383673037-- +--b_243234_25424_ef_892u748 +Content-Type: application/http +Content-Transfer-Encoding: +binary + +HTTP/1.1 +404 Not Found +Content-Type: +application/json +Content-Length: +### + + +--b_243234_25424_ef_892u748-- + +``` + +## 9.4 Asynchronous batch requests + +**Example 31-5** – Referencing the example 31-2 above again, assume that when interrogating the monitor URL for the first time only the first request in the batch finished processing and all the remaining requests except the final query request succeed. In this case the response would be: + +``` + +HTTP/1.1 +200 Ok +Content-Length: +#### +Content-Type: +multipart/mixed;boundary=b_243234_25424_ef_892u748 + +--b_243234_25424_ef_892u748 +Content-Type: application/http +Content-Transfer-Encoding: +binary + +HTTP/1.1 + +``` + +``` +200 Ok +Content-Type: +application/json +Content-Length: +### + + +--b_243234_25424_ef_892u748 +Content-Type: application/http +Content-Transfer-Encoding: +binary + +HTTP/1.1 +202 Accepted +Location: http://service-root/async-monitor +Retry-After: +### + +--b_243234_25424_ef_892u748-- +``` + +Client makes a second request using the returned monitor URL: + +``` +HTTP/1.1 +200 Ok +Content-Length: +#### +Content-Type: +multipart/mixed;boundary=b_243234_25424_ef_892u748 + +--b_243234_25424_ef_892u748 +Content-Type: +multipart/mixed;boundary=cs_12u7hdkin252452345eknd_383673037 + +--cs_12u7hdkin252452345eknd_383673037 +Content-Type: +application/http +Content-Transfer-Encoding: +binary +Content-ID: +1 + +HTTP/1.1 +201 Created +Content-Type: +application/json +Location: http://host/v1.0/Things(99) +Content-Length: +### + + +--cs_12u7hdkin252452345eknd_383673037 +Content-Type: +application/http +Content-Transfer-Encoding: +binary +Content-ID: +2 + +HTTP/1.1 +204 No Content +Host: +host + +--cs_12u7hdkin252452345eknd_383673037-- +--b_243234_25424_ef_892u748 +Content-Type: application/http +Content-Transfer-Encoding: +binary +``` + +``` +HTTP/1.1 +404 Not Found +Content-Type: application/json +Content-Length: +### + + +--b_243234_25424_ef_892u748— +``` + +### 10 SensorThings MultiDatastream extension + +Observation results may have many data types, including primitive types like category or measure, but also more complex types such as time, location and geometry [OGC/ISO 19156]. SensorThings' MultiDatastream entity is an extension to handle complex observations when the result is an array. + +A MultiDatastream groups a collection of Observations and the Observations in a MultiDatastream have a complex result type. + +The MultiDatastream extension entities are depicted in Figure 2 while Table 25 lists properties of a MultiDatastream entity. + +![Figure 2 – MultiDatastream extension entities](a14ef8a0fbd175ce9b6d24cca8328ecd_img.jpg) + +A UML class diagram showing the following entities and relationships: + +- Sensor**: attributes include name, description, encodingType, metadata. Connected to MultiDatastream (1 to 0..\*). +- ObservedProperty**: attributes include name, definition, description. Connected to MultiDatastream (1..\* to 0..\*). +- MultiDatastream**: attributes include name, description, observationType, unitOfMeasurement, ObservedArea, phenomenonTime, resultTime, multiObservationDataTypes. Connected to Observation (1 to 0..\*). +- Observation**: attributes include phenomenonTime, resultTime, result, resultQuality, validTime, parameters. Connected to FeatureOfInterest (0..\* to 1). +- Thing**: attributes include name, description, properties. Connected to MultiDatastream (1 to 0..\*), Location (0..\* to 0..\*), and HistoricalLocation (1 to 0..\*). +- Location**: attributes include name, description, encodingType, location. Connected to HistoricalLocation (1..\* to 0..\*). +- HistoricalLocation**: attribute is time. +- FeatureOfInterest**: attributes include name, description, encodingType, feature. +- ValueCode**: a CodeList. + +**Figure 2 – MultiDatastream extension entities** + +Figure 2 – MultiDatastream extension entities + +40 Rec. ITU-T Y.4473 (08/2020) + +**Table 25 – Properties of a MultiDatastream entity** + +| Name | Definition | Data type | Multiplicity and use | +|----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| name | A property provides a label for Datastream entity, commonly a descriptive name. | CharacterString | One (mandatory) | +| description | The description of the Datastream entity. | CharacterString | One (mandatory) | +| unitOfMeasurements | A JSON array of JSON objects that containing three key-value pairs. The name property presents the full name of the unitOfMeasurement; the symbol property shows the textual form of the unit symbol; and the definition contains the URI defining the unitOfMeasurement. (see Req 42 for the constraints between unitOfMeasurement, multiObservationDataType and result) | A JSON array | One (mandatory)
NOTE – It is possible an observation does not have a unit of measurement. For example, a count observation does not have a unit of measurement. | +| observationType | The type of Observation (with unique result type), which is used by the service to encode observations. | ValueCode and its value SHALL be OM_ComplexObservation. | One (mandatory) | +| multiObservationDataTypes | This property defines the observationType of each element of the result of a complex Observation. | A JSON array of ValueCode. See Table 14 for the available ValueCodes. | One (mandatory) | +| observedArea | The spatial bounding box of the spatial extent of all FeatureOfInterests that belong to the Observations associated with this MultiDatastream. | GM_Envelope (GeoJSON Polygon) | Zero-to-one | + +**Table 25 – Properties of a MultiDatastream entity** + +| Name | Definition | Data type | Multiplicity and use | +|-----------------------|------------------------------------------------------------------------------------------------------|------------------------------------|-----------------------------| +| phenomenonTime | The temporal interval of the phenomenon times of all observations belonging to this MultiDatastream. | TM_Period (ISO 8601 Time Interval) | Zero-to-one | +| resultTime | The temporal interval of the result times of all observations belonging to this MultiDatastream. | TM_Period (ISO 8601 Time Interval) | Zero-to-one | + +Table 26 lists direct relations between a MultiDatastream entity and other entity types and Table 27 list direct relations between a MultiDatastream's Observation entity and other entity types. + +**Table 26 – Direct relation between a MultiDatastream entity and other entity types** + +| Entity type | Relation | Description | +|-------------------------|---------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Thing | Many optional to one mandatory | A Thing has zero-to-many MultiDatastream. A MultiDatastream entity SHALL only link to a Thing as a collection of Observations. | +| Sensor | Many optional to one mandatory | The Observations in a MultiDatastream are performed by one-and-only-one Sensor. One Sensor MAY produce zero-to-many Observations in different MultiDatastreams. | +| ObservedProperty | Many optional to many mandatory | The Observations of a MultiDatastream SHALL observe the same ObservedProperties entity set. | +| Observation | One mandatory to many optional | A MultiDatastream has zero-to-many Observations. One Observation SHALL occur in one-and-only-one MultiDatastream. | + +**Table 27 – Direct relation between an MultiDatastream's Observation entity and other entity types** + +| Entity type | Relation | Description | +|--------------------------|--------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| +| MultiDatastream | Many optional to one mandatory | A MultiDatastream can have zero-to-many Observations. One Observation SHALL occur in one-and-only-one MultiDatastream. | +| FeatureOfInterest | Many optional to one mandatory | An Observation observes on one-and-only-one FeatureOfInterest. One FeatureOfInterest could be observed by one-to-many Observations. | + +#### **Example 32 – MultiDatastream entity example 1** + +``` + +{ + "@iot.id":1, + "@iot.selfLink":"http://example.org/v1.0/MultiDatastreams(1)", + "Thing@iot.navigationLink":"MultiDatastreams(1)/Thing", + "Sensor@iot.navigationLink":"MultiDatastreams(1)/Sensor", + "ObservedProperty@iot.navigationLink":"MultiDatastreams(1)/ObservedProperties", + "Observations@iot.navigationLink":"MultiDatastreams/Observations", + "name": "temperature, RH, visibility", + "description": "This is a MultiDatastream from a simple weather station measuring air temperature, relative humidity and visibility", + "observationType": +"http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_ComplexObservation", + "multiObservationDataTypes": [ + "http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_Measurement", + "http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_Measurement", + "http://www.opengis.net/def/observationType/OGC-OM/2.0/OM_CategoryObservation" + ], + "unitOfMeasurements": [ + { + "name": "degree Celsius", + "symbol": "°C", + "definition": " http://unitsofmeasure.org/ucum.html#para-30" + }, + { + "name": "percent", + "symbol": "%", + "definition": " http://unitsofmeasure.org/ucum.html#para-29" + }, + { + "name": "null", + "symbol": "null", + "definition": "null" + } + ], + "observedArea": { + "type": "Polygon", + "coordinates": [ + [ + [100,0],[101,0],[101,1],[100,1],[100,0] + ] + ] + }, + "phenomenonTime":"2014-03-01T13:00:00Z/2015-05-11T15:30:00Z", + "resultTime":"2014-03-01T13:00:00Z/2015-05-11T15:30:00Z" +} + +``` + +**Example 33 – An example ObservedProperties collection of the above MultiDatastream:** Note that the order of the elements in the value array match the order of the related Observations/result array as well as the order of the related unitOfMeasurements array. + +``` + +{ + "value": [ + { + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/ObservedProperties(1)", + "Datastreams@iot.navigationLink": + "ObservedProperties(1)/Datastreams", + "MultiDatastreams@iot.navigationLink": + "ObservedProperties(1)/ MultiDatastreams", + "description": + "The dew point is the temperature at which the water vapor in a sample + of air at constant barometric pressure condenses into liquid water at the + same rate at which it evaporates. At temperatures below the dew point, water + will leave the air.", + "name": "Dew point temperature" + }, + { + "@iot.id": 2, + "@iot.selfLink": "http://example.org/v1.0/ObservedProperties(2)", + "Datastreams@iot.navigationLink": "ObservedProperties(2)/Datastreams", + "MultiDatastreams@iot.navigationLink": "ObservedProperties(2)/ MultiDatastreams", + "description": + "Relative humidity (abbreviated RH) is the ratio of the partial pressure + of water vapor to the equilibrium vapor pressure of water at the same + temperature.", + "name": "Relative Humidity" + }, + { + "@iot.id": 3, + "@iot.selfLink": "http://example.org/v1.0/ObservedProperties(3)", + "Datastreams@iot.navigationLink": "ObservedProperties(3)/Datastreams", + "MultiDatastreams@iot.navigationLink": "ObservedProperties(3)/MultiDatastreams", + "description": + "Visibility is a measure of the distance at which an object or light can + be clearly discerned.", + "name": "Visibility (Weather)" + } + ] +} + +``` + +#### Example 34 – An example Observation of the above MultiDatastream + +Note that the order of the elements in the result array match + +- 1) the order of the related ObservedProperties (i.e., Observation(id)/MultiDatastreams(id)/ObservedProperties), +- 2) the order of the related unitOfMeasurements array (i.e., Observation(id)/MultiDatastream(id)/unitOfMeasurements) and +- 3) the order of the related multiObservationDataTypes (i.e., Observation(id)/MultiDatastream(id)/multiObservationDataTypes). + +``` + +{ + "@iot.id": 1, + "@iot.selfLink": "http://example.org/v1.0/Observations(1)", + "FeatureOfInterest@iot.navigationLink": + "Observations(1)/FeatureOfInterest", + "MultiDatastream@iot.navigationLink": + "Observations(1)/MultiDatastream", + "phenomenonTime": "2014-12-31T11:59:59.00+08:00", + "resultTime": "2014-12-31T11:59:59.00+08:00", + "result": [ + 25, + 65, + "clear" + ] +} + +``` + +# 11 SensorThings Data Array Extension + +Similar to the SWE DataArray in the OGC SOS, SensorThings API also provides the support of dataArray (in addition to formatting every observation entity as a JSON object) to aggregate multiple Observation entities and reduce the request (e.g., POST) and response (e.g., GET) size. SensorThings mainly use dataArray in two scenarios: (1) get Observation entities in dataArray, and (2) create Observation entities with dataArray. + +## 11.1 Retrieve a Datastream's Observation entities in dataArray + +In SensorThings services, users are able to request for multiple Observation entities and format the entities in the dataArray format. When a SensorThings service returns a dataArray response, the service groups Observation entities by Datastream or MultiDatastream, which means the Observation entities that link to the same Datastream or the same MultiDatastream are aggregated in one dataArray. + +### 11.1.1 Request + +In order to request for dataArray, users must include the query option "\$resultFormat=dataArray" when requesting Observation entities. For example, +[http://example.org/v1.0/Observations?\\$resultFormat=dataArray](http://example.org/v1.0/Observations?$resultFormat=dataArray) . + +### 11.1.2 Response + +The response Observations in dataArray format contains the properties listed in Table 28. + +**Table 28 – Properties of getting Observation entities in dataArray** + +| Name | Definition | Data type | Multiplicity and use | +|--------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------|----------------------| +| Datastream or MultiDatastream | The navigationLink of the Datastream or the MultiDatastream entity used to group Observation entities in the dataArray. | navigationLink | One (mandatory) | +| components | An ordered array of Observation property names whose matched values are included in the dataArray. | An ordered array of Observation property names | One (mandatory) | +| dataArray | A JSON Array containing Observation entities. Each Observation entity is represented by the ordered property values, which match with the ordered property names in components. | JSON Array | One (mandatory) | + +#### Example 35 – An example of getting Observation entities from a Datastream in dataArray result format + +``` +GET /v1.0/Datastreams(1)/Observations?$resultFormat=dataArray +``` + +``` +HTTP/1.1 200 OK +Host: www.example.org +Content-Type: application/json +``` + +``` +{ + "value": [ + { + "Datastream@iot.navigationLink": "Datastreams(1)", + "components": [ + "id", + "phenomenonTime", + "resultTime", + "result" + ], + "dataArray@iot.count": 3, + "dataArray": [ + [ + 1, + "2005-08-05T12:21:13Z", + "2005-08-05T12:21:13Z", + 20 + ], + [ + 2, + "2005-08-05T12:22:08Z", + "2005-08-05T12:21:13Z", + 30 + ], + [ + 3, + "2005-08-05T12:22:54Z", + "2005-08-05T12:21:13Z", + 0 + ] + ] + } + ] +} +``` + +#### Example 36 – An example of getting Observation entities from a MultiDatastream in dataArray result format + +``` +GET /v1.0/MultiDatastreams(1)/Observations?$resultFormat=dataArray +``` + +``` +HTTP/1.1 200 OK +Host: www.example.org +Content-Type: application/json +``` + +``` +{ + "value": [ + { + "MultiDatastream@iot.navigationLink": + "MultiDatastreams(1)", + "components": [ + "id", + "phenomenonTime", + "resultTime", + "result" + ], + "dataArray@iot.count": 3, + "dataArray": [ + [ + 1, +``` + +``` + + "2010-12-23T11:20:00-0700", + "2010-12-23T11:20:00-0700", + [ + 10.2, + 65, + "clear" + ], + [ + 2, + "2010-12-23T11:22:08-0700", + "2010-12-23T11:20:00-0700", + [ + 11.3, + 63, + "clear" + ] + ], + [ + 3, + "2010-12-23T11:22:54-0700", + "2010-12-23T11:20:00-0700", + [ + 9.8, + 67, + "clear" + ] + ] + ] +} +] +} + +``` + +## 11.2 Create Observation entities with dataArray + +Besides creating Observation entities one by one with multiple HTTP POST requests, there is a need to create multiple Observation entities with a lighter message body in a single HTTP request. In this case, a sensing system can buffer multiple Observations and send them to a SensorThings service in one HTTP request. Herein an Action operation CreateObservations is used. + +### 11.2.1 Request + +Users can invoke the CreateObservations action by sending a HTTP POST request to the SERVICE\_ROOT\_URL/CreateObservations. + +For example, . + +The message body aggregates Observations by Datastreams, which means all the Observations linked to one Datastream SHALL be aggregated in one JSON object. The parameters of each JSON object are shown in the following table. + +As an Observation links to one FeatureOfInterest, to establish the link between an Observation and a FeatureOfInterest, users should include the FeatureOfInterest ids in the dataArray. If no FeatureOfInterest id presented, the FeatureOfInterest will be created based on the Location entities of the linked Thing entity by default. + +Table 29 lists properties of creating Observation entities with dataArray. + +**Table 29 – Properties of creating Observation entities with dataArray** + +| Name | Definition | Data type | Multiplicity and use | +|-------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------|----------------------| +| Datastream | The unique identifier of the Datastream linking to the group of Observation entities in the dataArray. | The unique identifier of a Datastream | One (mandatory) | +| components | An ordered array of Observation property names whose matched values are included in the dataArray. At least the phenomenonTime and result properties SHALL be included. To establish the link between an Observation and a FeatureOfInterest, the component name is "FeatureOfInterest/id" and the FeatureOfInterest ids should be included in the dataArray array. If no FeatureOfInterest id is presented, the FeatureOfInterest will be created based on the Location entities of the linked Thing entity by default. | An ordered array of Observation property names | One (mandatory) | +| dataArray | A JSON Array containing Observations. Each Observation is represented by the ordered property values. The ordered property values match with the ordered property names in components. | JSON Array | One (mandatory) | + +**Example 37 – Example of a request for creating Observation entities in dataArray** + +``` +POST /v1.0/CreateObservations HTTP/1.1 +Host: example.org/ +Content-Type: application/json +``` + +``` +[ + { + "Datastream": { + "@iot.id": 1 + }, + "components": [ + "phenomenonTime", + "result", + "FeatureOfInterest/id" + ], + "dataArray@iot.count": 2, + "dataArray": [ + [ + "2010-12-23T10:20:00-0700", + 20, + 1 + ], + [ + "2010-12-23T10:21:00-0700", + 30, + 1 + ] + ] + }, + { + "Datastream": { + "@iot.id": 2 + }, + "components": [ +``` + +``` + +"phenomenonTime", +"result", +"FeatureOfInterest/id" +], +"dataArray@iot.count":2, +"dataArray": [ + [ + "2010-12-23T10:20:00-0700", + 65, + 1 + ], + [ + "2010-12-23T10:21:00-0700", + 60, + 1 + ] +] +} +] + +``` + +### 11.2.2 Response + +Upon successful completion the service SHALL respond with 201 Created. The response message body SHALL contain the URLs of the created Observation entities, where the order of URLs must match with the order of Observations in the dataArray from the request. In the case of the service having exceptions when creating individual observation entities, instead of responding with URLs, the service must specify "error" in the corresponding array element. + +#### Example 38 – An example of a response of creating Observation entities with dataArray + +``` + +POST /v1.0/CreateObservations HTTP/1.1 +201 Created +Host: example.org +Content-Type: application/json +[ + "http://examples.org/v1.0/Observations(1)", + "error", + "http://examples.org/v1.0/Observations(2)" +] + +``` + +# 12 SensorThings Sensing MQTT Extension + +In addition to support HTTP protocol, a SensorThings service MAY support MQTT protocol to enhance the SensorThings service publish and subscribe capabilities. This clause describes the SensorThings MQTT extension. + +## 12.1 Create a SensorThings Observation with MQTT Publish + +SensorThings MQTT extension provides the capability of creating Observation entity using MQTT protocol. To create an Observation entity in MQTT, the client sends a MQTT Publish request to the SensorThings service and the MQTT topic is the Observations resource path. The MQTT application message contains a single valid Observation entity representation. + +Figure 3 shows the sequence diagram for creating Observation using MQTT publish as well as MQTT sending notifications for Observation creation. + +![Sequence diagram for creating observations using MQTT publish and receiving notifications. The diagram shows a Client, SensorThings service, and two Sensors. The Client subscribes to Datastreams(id)/Observations via MQTT. The Sensors publish observations via MQTT to the SensorThings service. The SensorThings service then pushes the observations back to the Client via MQTT. Additionally, the Sensors can publish observations via HTTP POST to the SensorThings service, which also pushes them to the Client via MQTT. A self-call 'Create(Entity)' is shown on the SensorThings service.](a2251e3bbfcd726b68cc50b091e53b02_img.jpg) + +``` + +sequenceDiagram + participant Client + participant SensorThings + participant Sensor1 as Sensor + participant Sensor2 as Sensor + + Client->>SensorThings: MQTT subscribe to Datastreams(id)/Observations + Sensor1->>SensorThings: MQTT Publish Observation + Sensor2->>SensorThings: MQTT Publish Observation + SensorThings->>Client: Observation pushed via MQTT + SensorThings->>Client: Observation pushed via MQTT + SensorThings-->>SensorThings: Create(Entity) + Sensor1->>SensorThings: HTTP POST Observation + Sensor2->>SensorThings: HTTP POST Observation + SensorThings->>Client: Observation pushed via MQTT + +``` + +Y.4473(20)\_F03 + +Sequence diagram for creating observations using MQTT publish and receiving notifications. The diagram shows a Client, SensorThings service, and two Sensors. The Client subscribes to Datastreams(id)/Observations via MQTT. The Sensors publish observations via MQTT to the SensorThings service. The SensorThings service then pushes the observations back to the Client via MQTT. Additionally, the Sensors can publish observations via HTTP POST to the SensorThings service, which also pushes them to the Client via MQTT. A self-call 'Create(Entity)' is shown on the SensorThings service. + +**Figure 3 – Creating Observations using MQTT publish, and receive notifications for Observations with MQTT** + +If the MQTT topic for the Observation is a navigationLink from Datastream or FeatureOfInterest, the new Observation entity is automatically linked to that Datastream or FeatureOfInterest respectively. + +Similar to creating Observations with HTTP POST, creating Observations with MQTT Publish follow the integrity constraints for creating Observations listed in Table 23. + +## 12.2 Receive updates with MQTT Subscribe + +To receive notifications from a SensorThings service when some entities updated, a client can send a MQTT Subscribe request to the SensorThings service. SensorThings API defined the following four MQTT subscription use cases. Figure 4 shows the sequence diagram of receiving updates using MQTT Subscribe. + +![Sequence diagram for receiving updates using MQTT subscribe. The Client subscribes to Entity Collection/NavigationLink via MQTT. The Sensors publish entities via HTTP POST to the SensorThings service. The SensorThings service then pushes the entity updates back to the Client via MQTT.](408c4798ea60469e0728a7cbbd598668_img.jpg) + +``` + +sequenceDiagram + participant Client + participant SensorThings + participant Sensor1 as Sensor + participant Sensor2 as Sensor + + Client->>SensorThings: MQTT subscribe to Entity Collection/NavigationLink + Sensor1->>SensorThings: HTTP POST Entity + Sensor2->>SensorThings: HTTP POST Entity + SensorThings->>Client: Entity pushed via MQTT + SensorThings->>Client: Entity pushed via MQTT + +``` + +Y.4473(20)\_F04 + +Sequence diagram for receiving updates using MQTT subscribe. The Client subscribes to Entity Collection/NavigationLink via MQTT. The Sensors publish entities via HTTP POST to the SensorThings service. The SensorThings service then pushes the entity updates back to the Client via MQTT. + +**Figure 4 – Sequence diagram for receiving updates using MQTT subscribe** + +### 12.2.1 Receive updates of a SensorThings entity set with MQTT Subscribe + +MQTT Control Packet: Subscribe + +**Topic Pattern:** RESOURCE\_PATH/COLLECTION\_NAME + +**Example Topic:** Datastreams(1)/Observations + +**Response:** When a new entity is added to the entity set (e.g., a new Observation created) or an existing entity of the entity set is updated, the service returns a complete JSON representation of the newly created or updated entity. + +### 12.2.2 Receive updates of a SensorThings entity with MQTT Subscribe + +MQTT Control Packet: Subscribe + +**Topic Pattern:** RESOURCE\_PATH\_TO\_AN\_ENTITY + +**Example Topic:** Datastreams(1) + +**Response:** When a property of the subscribed entity is updated, the service returns a complete JSON representation of the updated entity. + +### 12.2.3 Receive updates of a SensorThings entity's property with MQTT Subscribe + +MQTT Control Packet: Subscribe + +**Topic Pattern:** RESOURCE\_PATH\_TO\_AN\_ENTITY/PROPERTY\_NAME + +**Example Topic:** Datastreams(1)/observedArea + +**Response:** When the value of the subscribed property is changed, the service returns a JSON object. The returned JSON object follows as defined in Section 7.2.4 – Usage 4: address to a property of an entity. + +**Example 39** – An example response of receiving updates of an entity's property with MQTT Subscribe. – The example shows a sample response of the following MQTT topic subscription – Datastreams(1)/description + +``` +{ + "description": "This is an updated description of a thing" +} +``` + +### 12.2.4 Receive updates of the selected properties of the newly created entities or updated entities of a SensorThings entity set with MQTT Subscribe + +MQTT Control Packet: Subscribe + +**Topic Pattern:** + +RESOURCE\_PATH/COLLECTION\_NAME?\$select=PROPERTY\_1,PROPERTY\_2, etc. + +**Response:** When a new entity is added to an entity set or an existing entity is updated (e.g., a new Observation created or an existing Observation is updated), the service returns a JSON representation of the selected properties of the newly created or updated entity. + +NOTE – In the case of an entity's property is updated, it is possible that the selected properties are not the updated property, so that the returned JSON does not reflect the update. + +**Example 40** – An example response of receiving updates of the selected property of an entity set with MQTT Subscribe. The example shows a sample response of the following MQTT topic subscription – Datastreams(1)/Observations?\$select=phenomenonTime,result + +``` +{ + "result": 45, + "phenomenonTime": "2015-02-05T17:00:00Z" +} +``` + +# Bibliography + +- [b-IETF RFC 5023] IETF RFC 5023 (2007), *The Atom Publishing Protocol*. + +- [b-OGC 12-000] OGC 12-000 (2020), *SensorML: Model and XML Encoding Standard*. + +- [b-UCUM] UCUM (2017), *Unified Code for Units of Measure, Version 2.1* + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4474-202008-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4474-202008-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..6bd690665cef15185c623b1c5fa8fc25b9156304 --- /dev/null +++ b/marked/Y/T-REC-Y.4474-202008-I_PDF-E/raw.md @@ -0,0 +1,1242 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4474 + +(08/2020) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Frameworks, architectures and protocols + +# --- **Functional architecture for Internet of things services based on visible light communication** + +Recommendation ITU-T Y.4474 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3499 | +|-----------------|---------------| + +| | | +|----------|---------------| +| BIG DATA | Y.3500–Y.3599 | +|----------|---------------| + +| | | +|-----------------------------------|---------------| +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3600–Y.3799 | +|-----------------------------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.4474 + +# Functional architecture for Internet of things services based on visible light communication + +## Summary + +Recommendation ITU-T Y.4474 specifies the functional architecture for Internet of things (IoT) services based on visible light communication (VLC), which includes functional requirements, functional architecture, messages and information flows. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|------------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4474 | 2020-08-29 | 20 | 11.1002/1000/14376 | + +## Keywords + +Functional architecture, IoT services, visible light communication, VLC. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|------------------------------------------------------------|------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview ..... | 3 | +| 7 Functional requirements ..... | 4 | +| 7.1 Light control ..... | 4 | +| 7.2 Data transfer ..... | 4 | +| 7.3 Network management..... | 4 | +| 7.4 Mobility management..... | 4 | +| 7.5 IoT service support..... | 4 | +| 7.6 Device management ..... | 5 | +| 8 Functional architecture ..... | 5 | +| 8.1 Architectural overview ..... | 5 | +| 8.2 Light control function..... | 6 | +| 8.3 Data transfer functions ..... | 6 | +| 8.4 Network management functions..... | 7 | +| 8.5 Mobility management functions..... | 8 | +| 8.6 IoT service support functions ..... | 8 | +| 8.7 Device management functions ..... | 9 | +| 8.8 Reference points ..... | 10 | +| 9 Messages and information flows ..... | 12 | +| 9.1 Device initialization..... | 12 | +| 9.2 Device monitoring (in the active mode)..... | 14 | +| 9.3 Device monitoring (in the passive mode)..... | 16 | +| 9.4 Service data transport ..... | 18 | +| 9.5 Light control ..... | 20 | +| 9.6 Device roaming ..... | 21 | +| Appendix I – Protocol stacks for the three data types..... | 25 | +| I.1 Light control data ..... | 25 | +| I.2 Device control data..... | 25 | +| I.3 IoT service data)..... | 26 | +| Bibliography..... | 28 | + + + +# Recommendation ITU-T Y.4474 + +# Functional architecture for Internet of things services based on visible light communication + +# 1 Scope + +This Recommendation specifies the functional architecture for Internet of things (IoT) services based on visible light communication (VLC), which includes the following: + +- functional requirements; +- functional architecture; +- messages and information flows based on the functional architecture. + +The protocol stacks that can be considered in implementation are given in an appendix for three data types: light control data (LCD), device control data (DCD); and IoT service data (ISD). + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of Recommendation. + +[ITU-T Y.4465] Recommendation ITU-T Y.4465 (2020), *Framework of Internet of things services based on visible light communications*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 channel** [b-ITU-T G.9960]: A transmission path between nodes. One channel is considered to be one transmission path. Logically, a channel is an instance of a communication medium used for the purpose of passing data between two or more nodes. + +**3.1.2 data** [b-ITU-T G.9960]: Bits or bytes transported over the medium or via a reference point that individually convey information. Data includes both user (application) data and any other auxiliary information (overhead, including control, management, etc.). Data does not include bits or bytes that, by themselves, do not convey any information, such as the preamble. + +**3.1.3 device** [b-ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.4 identifier** [b-ITU-T Y.2091]: An identifier is a series of digits, characters and symbols or any other form of data used to identify subscriber(s), user(s), network element(s), function(s), network entity(ies) providing services/applications, or other entities (e.g., physical or logical objects). Identifiers can be used for registration or authorization. They can be either public to all networks, shared between a limited number of networks or private to a specific network (private IDs are normally not disclosed to third parties). + +**3.1.5 Internet of things (IoT)** [b-ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|-----------------------------| +| DCD | Device Control Data | +| ID | Identifier | +| IoT | Internet of Things | +| IP | Internet Protocol | +| IR | Infrared | +| IS | IoT Server | +| ISD | IoT Service Data | +| LCD | Light Control Data | +| LD | Laser Diode | +| LED | Light-Emitting Diode | +| MAC | Medium Access Control | +| PD | Photodiode | +| PHY | Physical layer | +| RF | Radio Frequency | +| UT | User Terminal | +| UV | Ultraviolet | +| VA | VLC Agent | +| VL | VLC Light | +| VLC | Visible Light Communication | + +# **5 Conventions** + +In this Recommendation, the following conventions are used: + +The keyword "**is required to**" indicates a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keyword "**is recommended**" indicates a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "R1", "R2", "R3", "R4", "R5" and "R6" are used to indicate the reference points between two network elements in the functional architecture. + +# 6 Overview + +Visible light communication (VLC) [b-IEEE 802.15.7] is a wireless communication technology that uses visible light, as well as ultraviolet (UV) and infrared (IR) radiation, as a communication medium. Data is modulated and transmitted by a light-emitting diode (LED) or laser diode (LD). The modulated data is received by photodiode (PD) or image sensor. A device adapts to become either transmitting or receiving equipment. VLC can be used simultaneously with communication technologies based on radio frequency (RF). + +[ITU-T Y.4465] specifies a framework that introduces the concept, high-level requirements and reference model for IoT services based on VLC. It also presents the network configuration that is depicted in Figure 1. + +![Figure 1: Network configuration of IoT services based on VLC. The diagram shows two rooms, Room A (Uni-directional VLC) and Room B (Bi-directional VLC), connected to an IoT server (IS) via a wired network. Room A contains a VLC light (VL) and a User terminal (UT). The VL is connected to a VLC agent (VA) via a wired/wireless network. The VA is connected to the IS via a wired network. The UT is connected to the VA via a wireless network (Uplink). Room B contains a VL and a UT. The VL is connected to the VA via a wired/wireless network. The VA is connected to the IS via a wired network. The UT is connected to the VL via a wireless network (Uplink). The IS is connected to the Internet.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +The diagram illustrates the network configuration of IoT services based on VLC. It shows two rooms, Room A (Uni-directional VLC) and Room B (Bi-directional VLC), connected to an IoT server (IS) via a wired network. Room A contains a VLC light (VL) and a User terminal (UT). The VL is connected to a VLC agent (VA) via a wired/wireless network. The VA is connected to the IS via a wired network. The UT is connected to the VA via a wireless network (Uplink). Room B contains a VL and a UT. The VL is connected to the VA via a wired/wireless network. The VA is connected to the IS via a wired network. The UT is connected to the VL via a wireless network (Uplink). The IS is connected to the Internet. + +Figure 1: Network configuration of IoT services based on VLC. The diagram shows two rooms, Room A (Uni-directional VLC) and Room B (Bi-directional VLC), connected to an IoT server (IS) via a wired network. Room A contains a VLC light (VL) and a User terminal (UT). The VL is connected to a VLC agent (VA) via a wired/wireless network. The VA is connected to the IS via a wired network. The UT is connected to the VA via a wireless network (Uplink). Room B contains a VL and a UT. The VL is connected to the VA via a wired/wireless network. The VA is connected to the IS via a wired network. The UT is connected to the VL via a wireless network (Uplink). The IS is connected to the Internet. + +**Figure 1 – Network configuration of IoT services based on VLC** +(Figure 1 of [ITU-T Y.4465]) + +The framework for IoT service based on VLC comprises two parts: a) device management of IoT server (IS), VLC agent (VA), VLC light (VL) and user terminal (UT); b) supporting capabilities for IoT applications that run on UT. + +This Recommendation firstly specifies the functional requirements for IoT services based on VLC in order to identify a set of functionalities for light control, data transfer, network management, mobility management, IoT service support and device management. + +Based on the reference model of [ITU-T Y.4465], this Recommendation describes the functional architecture, which includes the specific functionalities based on the functional requirements and the reference points among network nodes in a VLC-based IoT service network. + +Finally, the information flows are described with the associated messages for the following functionalities: device initialization, device monitoring in the active mode, device monitoring in the passive mode, service data transport, light control and device roaming. + +# **7 Functional requirements** + +### **7.1 Light control** + +To manage the LED lights associated with VL in a VLC-based IoT service network, the following requirements need to be satisfied: + +- it is **required** for IS to control the physical status of LED lights in the network; +- it is **required** for VL to configure the physical status of the associated LED lights. + +### **7.2 Data transfer** + +To transfer ISD, DCD and LCD to a VLC-based IoT service network, the following requirements need to be satisfied: + +- it is **required** for VA to forward ISD, DCD and LCD to its upstream and downstream devices; +- it is **required** for VL to forward ISD and DCD to its upstream and downstream devices; +- it is **required** for VA and VL to reference membership information when they forward data; +- it is **required** to perform the synchronous data transfer when UT uses bidirectional VLC; +- it is **required** to perform the asynchronous data transfer when UT uses unidirectional VLC. + +NOTE – Examples of devices include IS, VA, VL and UT. + +### **7.3 Network management** + +To manage the VLC channel and RF-based uplink channel in a VLC-based IoT service network, the following requirements need to be satisfied: + +- it is **required** for VL to configure the parameters associated with the VLC channel; +- it is **required** for VL to include VLC channel information when VL advertises itself to downstream devices in the network; +- it is **required** for VA to manage the RF-based uplink channel for UT; +- it is **required** for VA and VL to include uplink channel information when they advertise themselves to downstream devices in the network. + +NOTE 1 – The verb "to advertise" means to send messages to the network by using broadcasting or beaconing methods. + +NOTE 2 – Examples of devices include IS, VA, VL and UT. + +### **7.4 Mobility management** + +To manage the mobility of UT in a VLC-based IoT service network, the following requirements need to be satisfied: + +- it is **required** for UT to manage light proximity information by receiving the device advertisement messages from its surrounding VLs periodically; +- it is **required** for UT to detect its movement event using light proximity information. + +### **7.5 IoT service support** + +To support IoT services, the following requirements need to be satisfied: + +- it is **required** for IoT services to be provisioned with a unique service identifier (ID); +- it is **required** for IS to periodically advertise information about IoT services to the network; +- it is **required** for UT to subscribe to relevant IoT services by using a service ID; + +- it is **recommended** to include the service information when IS, VA and VL advertise themselves to the network; +- it is **recommended** for UT to include information related to its service subscription when the UT registers itself on an upstream device. + +### 7.6 Device management + +To manage devices (ISs, VAs, VLs and UTs) in a VLC-based IoT service network, the following requirements need to be satisfied: + +- It is **required** for IS, VA, VL and UT to be discovered in the network; +- It is **required** for IS, VA, VL and UT to advertise themselves on the network periodically; +- It is **required** for VA, VL and UT to be registered on IS; +- It is **required** for IS, VA and VL to manage membership information. + +# 8 Functional architecture + +### 8.1 Architectural overview + +From the functional requirements specified in clause 7 and the reference model in [ITU-T Y.4465], Figure 2 shows the functional architecture for IoT services based on VLC. + +![Figure 2: Functional architecture for IoT services based on VLC. The diagram shows a layered architecture with four main layers: IoT-VLC application, IoT-VLC service support layer, IoT-VLC networking layer, and IoT-VLC device layer. On the left is the IoT-VLC management layer, and on the right is the IoT-VLC security layer.](8e14350b4b669119a3bdfca7869110ca_img.jpg) + +The diagram illustrates the functional architecture for IoT services based on VLC, organized into several layers and functional blocks: + +- IoT-VLC application layer:** The top layer of the architecture. +- IoT-VLC service support layer:** Contains IoT service support functions, which include: + - Service advertisement function + - Service subscription function +- IoT-VLC networking layer:** Contains network management functions, data transfer functions, and mobility management functions. + - Network management functions:** + - VLC channel management function + - Uplink channel management function + - Data transfer functions:** + - Data forwarding function + - Synchronous data transfer function + - Data aggregation function + - Asynchronous data transfer function + - Mobility management functions:** + - Light proximity management function +- IoT-VLC device layer:** Contains light control functions, specifically the light control function. +- IoT-VLC management layer (Left):** Contains device management functions: + - Device advertisement function + - Device registration function + - Membership management function + - Device discovery function +- IoT-VLC security layer (Right):** Contains generic security functions. + +Figure 2: Functional architecture for IoT services based on VLC. The diagram shows a layered architecture with four main layers: IoT-VLC application, IoT-VLC service support layer, IoT-VLC networking layer, and IoT-VLC device layer. On the left is the IoT-VLC management layer, and on the right is the IoT-VLC security layer. + +Y.4474(20)\_F02 + +**Figure 2 – Functional architecture for IoT services based on VLC** + +NOTE 1 – This Recommendation specifies the utilization of VLC technology to provide IoT services. Modification or enhancement of the VLC technology lies outside the scope of this Recommendation. + +NOTE 2 – Examples of devices include IS, VA, VL and UT. + +NOTE 3 – The IoT-VLC security layer may adopt generic security functionalities, which lie outside the scope of this Recommendation. + +### **8.2 Light control function** + +This function manages the physical status of LED lights in the network. + +A device having an LED light configures its physical status. + +The managed physical status follows: + +- the colour temperature of the LED; +- the brightness of the LED. + +### **8.3 Data transfer functions** + +#### **8.3.1 Data forwarding function** + +This function performs the data forwarding between the upstream device and the downstream device in a VLC-based IoT service network. When a device receives data, it decides to forward it by referencing membership information. + +#### **8.3.2 Data aggregation function** + +This function aggregates data to reduce the amount of traffic generated in the network. + +This function uses the following information: + +- device type of aggregator; +- device ID of aggregator; +- data type; +- aggregated data. + +#### **8.3.3 Synchronous data transfer function** + +This function transfers synchronous data for the device via the bidirectional network interface. When a device is equipped with a bidirectional network interface, it establishes a unified communication session between two endpoints (devices). + +This function uses the following information: + +- transport layer technology; +- endpoint information (port number and logical address). + +#### **8.3.4 Asynchronous data transfer function** + +This function transfers asynchronous data for the device via unidirectional network interfaces. + +When a device is equipped with unidirectional network interfaces and needs to communicate with another device, it establishes a unidirectional communication session for each network interface between two endpoints (devices). + +This function uses the following information: + +- data direction (upstream or downstream); +- transport layer technology; +- endpoint information (port number and logical address). + +### **8.4 Network management functions** + +#### **8.4.1 VLC channel management function** + +This function manages the VLC channel. + +For data communication using VLC, a VLC channel-providing device creates the VLC channel and advertises the VLC channel information to the network. A VLC channel-consuming device receives the VLC channel information from the network and connects to the channel. Both devices need to use the same VLC parameters. All VLC parameters are included in the VLC channel information. + +When the VLC channel-providing device advertises itself to the network, it includes the VLC channel information. + +#### **8.4.2 Uplink channel management function** + +This function manages the RF-based uplink channel for a device equipping a unidirectional network interface. A channel-providing device creates the uplink channel and advertises the channel information to the network. A channel-consuming device receives the uplink channel information from the network and connects to the channel. + +When the channel-providing device advertises itself to the network, it can also include the uplink channel information. + +### **8.5 Mobility management functions** + +#### **8.5.1 Light proximity management function** + +This function manages light proximity information for mobile devices. A mobile device periodically updates the light proximity information by listening to advertisements of its surrounding devices. + +A mobile device judges its movement by utilizing light proximity information. + +For each surrounding device, the light proximity information includes the following items: + +- device type; +- device ID; +- VLC channel quality. + +NOTE – The period of the timer for listening to a device advertisement depends on the implementation. + +### **8.6 IoT service support functions** + +#### **8.6.1 Service advertisement function** + +This function advertises the service on the network. + +The service-providing device has a service list and periodically advertises it to the network using any beaconing or broadcasting methods. + +For each IoT service, the service-providing device generates a unique service ID and creates data endpoints for transmitting service data. Then, the device adds the service to the list. + +The data endpoints support both the synchronous data transfer and the asynchronous data transfer. + +Each element in the service list has the following information: + +- service id; +- data direction (upstream and downstream); +- transport layer technologies for each data direction; +- endpoint information (logical address and port number) for each data direction. + +When a service-providing device advertises itself to the network, it can also include the service list. + +NOTE 1 – A generation method for a service ID lies outside the scope of this Recommendation. + +NOTE 2 – The period of the timer for advertising a service list depends on the implementation. + +#### **8.6.2 Service subscription function** + +This function prepares data communication for IoT services in the network. + +A service-consuming device listens to the information about IoT services from the network and updates its service list. When the device needs an IoT service, it selects it from its service list and creates data endpoints for transmitting service data. The device then connects to the data endpoints of the IoT service provider and subscribes to the service by sending subscription information to the provider. + +The consuming device chooses either synchronous or asynchronous data transfer. + +This function uses the following information: + +- device type of the service consumer; +- device ID of the service consumer; +- service ID; +- data direction (upstream or downstream) for data transmission; +- selected transport layer technology for data direction; +- endpoint information (logical address and port number) for the data direction. + +When the consuming device registers with an upstream device, it can also include the information related to the service subscription. + +### **8.7 Device management functions** + +#### **8.7.1 Device discovery function** + +This function discovers devices in the network. + +A device discovers another device by listening to its device advertisement from the network. + +When a device needs to discover another device, it uses any broadcasting or beaconing methods in the network. + +This function queries the network when a device finds no: + +- device within the discovery timer; +- specific device, despite discovering a device. + +Device discovery uses the device type to discover when a device queries the network. + +NOTE – The period of the timer for listening to a device advertisement depends on the implementation. + +#### **8.7.2 Device advertisement function** + +This function makes a device discoverable on the network. + +This function is performed when: + +- a device receives a device discovery request from the network and the requested device type matches with it; +- the device registration succeeds; +- the advertisement timer expires. + +A device periodically advertises itself to the network by utilizing any broadcasting or beaconing methods. + +The device advertisement includes the following information: + +- device type; +- device ID; +- the uplink channel information; +- the VLC channel information. + +The device advertisement can also include information related to the IoT service advertisement. + +NOTE – The period of the timer for device advertisement depends on the implementation. + +#### **8.7.3 Device registration function** + +This function registers the device with upstream devices. + +When a device turns on, it finds an upstream device and initiates device registration with it. The upstream device then processes the registration and reports the registration result to the next upstream device until the result reaches the last upstream device in the network. + +In processing the device registration, the upstream device can aggregate multiple registration results into one aggregated message. + +The device registration includes the following information: + +- device type; +- device ID. + +The device registration can also include information related to the IoT service subscription. + +NOTE – A generation method for a device ID lies outside the scope of this Recommendation. + +#### **8.7.4 Membership management function** + +This function manages the relationship among upstream and downstream devices, and utilizes the relationship to check the availability of downstream devices and packet forwarding. + +The relationship is managed when: + +- a downstream device registers with an upstream device; +- an upstream device finds a downstream device within the communication coverage; +- a downstream device is not in the communication coverage of the uplink device. + +In the first case, the upstream device creates the membership information for the downstream device. + +In the second case, the upstream device updates the membership information. + +In the third case, the upstream device removes the membership information. + +The membership information includes the following items: + +- device type; +- device ID; +- logical address; +- physical address; +- registration time; +- last updated time. + +### **8.8 Reference points** + +From the network configuration of [ITU-T Y.4465], Figure 3 shows the reference points among network elements for IoT services based on VLC. + +![Figure 3: Reference points among network elements for IoT services based on VLC. The diagram shows a network topology with an Internet cloud on the right, connected to an IS (IoT Service) block via reference point R1. The IS is connected to a VA (VLC Access) block via R2. The VA is connected to a VL (VLC Leaf) block via R3. The VL is connected to two UT (User Terminal) blocks: one Uni-directional VLC via R4 and one Bi-directional VLC via R6. An additional reference point R5 connects the top of the Uni-directional VLC UT block to the top of the VA block. Arrows indicate 'Upstream' flow from left to right and 'Downstream' flow from right to left.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +Figure 3: Reference points among network elements for IoT services based on VLC. The diagram shows a network topology with an Internet cloud on the right, connected to an IS (IoT Service) block via reference point R1. The IS is connected to a VA (VLC Access) block via R2. The VA is connected to a VL (VLC Leaf) block via R3. The VL is connected to two UT (User Terminal) blocks: one Uni-directional VLC via R4 and one Bi-directional VLC via R6. An additional reference point R5 connects the top of the Uni-directional VLC UT block to the top of the VA block. Arrows indicate 'Upstream' flow from left to right and 'Downstream' flow from right to left. + +Y.4474(20)\_F03 + +**Figure 3 – Reference points among network elements for IoT services based on VLC** + +Each reference point is defined between two network elements, as follows: + +- **R1:** Bidirectional reference point between IS and Internet; +- **R2:** Bidirectional reference point between IS and VA; +- **R3:** Bidirectional reference point between VA and VL; +- **R4:** Unidirectional reference point from VL to UT using unidirectional VLC; +- **R5:** Unidirectional reference point from UT to VA using the RF-based uplink channel of VA; +- **R6:** Bidirectional reference point between VL and UT with bidirectional VLC. + +NOTE – Specification of reference point **R1** lies outside the scope of this Recommendation. + +#### 8.8.1 IS + +IS manages all devices in the network and provides the IoT services based on VLC. + +IS performs the following functions: + +- synchronous data transfer; +- asynchronous data transfer; +- service advertisement; +- device discovery; +- device advertisement; +- membership management. + +#### 8.8.2 VA + +VA manages its downstream VL and UT. + +VA performs the following functions: + +- data forwarding; +- data aggregation; +- uplink channel management; +- device discovery; +- device advertisement; +- device registration; +- membership management. + +#### 8.8.3 VL + +VL is installed over its associated LED lights and transmits data using VLC. + +VL performs the following functions: + +- light control; +- data forwarding; +- data aggregation; +- vlc channel management; +- device discovery; +- device advertisement; +- device registration; +- membership management. + +#### 8.8.4 UT + +UT represents a user device to utilize IoT services based on VLC. + +UT performs the following functions: + +- synchronous data transfer; +- asynchronous data transfer; +- light proximity management; +- service subscription; +- device discovery; +- device advertisement; +- device registration. + +# 9 Messages and information flows + +This clause presents the messages and information flows for IoT services based on VLC, which include device initialization, device monitoring, service data transport, light control and device roaming. + +### 9.1 Device initialization + +To provide IoT services based on VLC, all devices in the network need to be initialized. + +Table 1 lists the messages and their information for the device initialization. + +**Table 1 – Messages used for the device initialization** + +| Message name | Data type | Reference point | From | To | Information | +|------------------|-----------|-----------------|------|----|------------------------------------------------------------------------------------------------------------------------------------------| +| IS advertisement | DCD | R2 | IS | VA |
  • – Device type (IS);
  • – Device ID of IS.
| +| VA registration | DCD | R2 | VA | IS |
  • – Device type (VA);
  • – Device ID of VA.
| +| VA advertisement | DCD | R3 | VA | VL |
  • – Device type (VA);
  • – Device ID of VA;
  • – Uplink channel information.
| +| VL registration | DCD | R3 | VL | VA |
  • – Device type (VL);
  • – Device ID of VL.
| + +**Table 1 – Messages used for the device initialization** + +| Message name | Data type | Reference point | From | To | Information | +|------------------------|-----------|-----------------|------|----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| VL registration report | DCD | R2 | VA | IS |
  • – Device type (VA);
  • – Device ID of VA;
  • – Registered device type (VL);
  • – Registered device ID.
| +| VL advertisement | DCD | R4, R6 | VL | UT |
  • – Device type (VL);
  • – Device ID of VL;
  • – Uplink channel information;
  • – VLC channel information.
| +| UT registration | DCD | R6 | UT | VL |
  • – Device type (UT);
  • – Device ID of UT.
| +| UT registration | DCD | R3 | VL | VA |
  • – Device type (VL);
  • – Device ID of VL;
  • – Device type (UT);
  • – Device ID of UT.
| +| UT registration | DCD | R5 | UT | VA |
  • – Device type (UT);
  • – Device ID of UT.
| +| UT registration report | DCD | R2 | VA | IS |
  • – Device type (VA);
  • – Device ID of VA;
  • – Registered device type (UT);
  • – Registered device ID.
| + +Figure 4 shows the information flows for the device initialization in bidirectional VLC. + +![Sequence diagram showing information flows for device initialization in bidirectional VLC between IS, VA, VL, and UT (Bi-directional VLC).](4356776ca004ecba5d599667a155d7d4_img.jpg) + +``` + +sequenceDiagram + participant IS + participant VA + participant VL + participant UT as UT (Bi-directional VLC) + + IS->>VA: 1. IS advertisement + VA-->>IS: 2. VA registration + VA->>VL: 3. VA advertisement + VL-->>VA: 4. VL registration + VA->>IS: 5. VL registration report + VL->>UT: 6. VL advertisement (Using VLC) + UT-->>VL: 7a. UT registration (Using VLC) + VL-->>VA: 7a. UT registration + VA->>IS: 8. UT registration report + +``` + +The diagram illustrates the sequence of messages for device initialization in a bidirectional VLC system. It involves four entities: IS (Infrastructure Station), VA (Vehicle Access point), VL (Vehicle Location), and UT (User Terminal, Bi-directional VLC). The process begins with an IS advertisement from IS to VA, followed by VA registration from VA to IS. Then, VA sends a VA advertisement to VL, which responds with VL registration. VA then sends a VL registration report to IS. Next, VL sends a VL advertisement (Using VLC) to UT, which responds with UT registration (Using VLC). Finally, VL sends the UT registration to VA, which then sends an UT registration report to IS. + +Sequence diagram showing information flows for device initialization in bidirectional VLC between IS, VA, VL, and UT (Bi-directional VLC). + +Y.4474(20)\_F04 + +**Figure 4 – Information flows for the device initialization in bidirectional VLC** + +Figure 5 shows the information flows for the device initialization in unidirectional VLC. + +![Sequence diagram showing information flows for device initialization in unidirectional VLC. The diagram involves four entities: IS, VA, VL, and UT (Uni-directional VLC). The sequence of operations is: 1. IS advertisement (IS to VA), 2. VA registration (VA to IS), 3. VA advertisement (VA to VL), 4. VL registration (VL to VA), 5. VL registration report (VA to IS), 6. VL advertisement (Using VLC) (VL to UT), 7b. UT registration (Using RF-based uplink channel) (UT to VA), and 8. UT registration report (VA to IS).](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +``` + +sequenceDiagram + participant IS + participant VA + participant VL + participant UT as UT (Uni-directional VLC) + + IS->>VA: 1. IS advertisement + VA->>IS: 2. VA registration + VA->>VL: 3. VA advertisement + VL->>VA: 4. VL registration + VA->>IS: 5. VL registration report + VL->>UT: 6. VL advertisement (Using VLC) + UT->>VA: 7b. UT registration (Using RF-based uplink channel) + VA->>IS: 8. UT registration report + +``` + +Y.4474(20)\_F05 + +Sequence diagram showing information flows for device initialization in unidirectional VLC. The diagram involves four entities: IS, VA, VL, and UT (Uni-directional VLC). The sequence of operations is: 1. IS advertisement (IS to VA), 2. VA registration (VA to IS), 3. VA advertisement (VA to VL), 4. VL registration (VL to VA), 5. VL registration report (VA to IS), 6. VL advertisement (Using VLC) (VL to UT), 7b. UT registration (Using RF-based uplink channel) (UT to VA), and 8. UT registration report (VA to IS). + +**Figure 5 – Information flows for the device initialization in unidirectional VLC** + +The following describes the details of each operation in Figures 4 and 5: + +- 1) by sending an IS advertisement message to the network, IS makes itself discoverable in the network; +- 2) when VA discovers an upstream device (IS), the VA updates its membership information and sends the VA registration message to IS – after IS receives the VA registration message, the IS updates its membership information; +- 3) after registering with IS, VA configures the RF-based uplink channel for the UT with unidirectional VLC and sends the VA advertisement message to the network – the uplink channel information is included in the VA advertisement message; +- 4) when VL discovers an upstream device (VA), the VL updates its membership information and sends a VL registration message to VA – the VL keeps the uplink channel information from the VA advertisement message; +- 5) when VA receives the VL registration message, the VA updates its membership information and sends a registration report to IS; +- 6) after registering with VA, VL configures the VLC channel and sends a VL advertisement message to the network using VLC – the message includes the uplink channel information and VLC channel information; +- 7) when UT discovers the VL, the UT updates its membership information and sends the UT registration message to the upstream device – in the phase of sending UT registration message, the UT performs as follows: + - a) the UT with bidirectional VLC sends a UT registration message to its upstream device (VL) using VLC – the VL then updates its membership information and sends a UT registration message to its upstream device (VA), + - b) the UT with unidirectional VLC sends a UT registration message to its upstream device (VA) using the RF-based uplink channel of VA; +- 8) when VA receives the UT registration message, the VA updates its membership information and sends the UT registration report message to IS – the IS then updates its membership information from the report message, and VA can aggregate the UT registration messages sent from multiple VLs and UTs. + +### 9.2 Device monitoring (in the active mode) + +In the active mode, IS initiates the device monitoring process to check the availability of registered devices (VAs, VLs and UTs). + +Table 2 lists the messages and their information for device monitoring in the active mode. + +**Table 2 – Messages used for device monitoring (in the active mode)** + +| Message name | Data type | Reference point | From | To | Information | +|----------------------------------|-----------|-----------------|------|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Monitoring request | DCD | R2 | IS | VA |
  • – Device type to monitor (VA, VL and UT);
  • – Device ID of IS.
| +| Monitoring request | DCD | R3 | VA | VL |
  • – Device type to monitor (VL and UT);
  • – Device ID of VA.
| +| Monitoring request | DCD | R4, R6 | VL | UT |
  • – Device type to monitor (UT);
  • – Device ID of VL.
| +| Monitoring response | DCD | R6 | UT | VL |
  • – Device type (UT);
  • – Device ID of UT.
| +| Monitoring response | DCD | R3 | VL | VA |
  • – Device type (VL);
  • – Device ID of VL;
  • – Monitored device type (UT);
  • – Monitored device ID.
| +| Monitoring response | DCD | R5 | UT | VA |
  • – Device type (UT);
  • – Device ID of UT.
| +| Monitoring response (Aggregated) | DCD | R2 | VA | IS |
  • – Device type of aggregator (VA);
  • – Device ID of aggregator (VA);
Aggregated data:
  • – Monitored device type (VL or UT);
  • – Monitored device ID.
| + +Figure 6 shows the information flows for the active mode of device monitoring in the bidirectional VLC. + +![Sequence diagram for device monitoring in a bidirectional VLC. The diagram shows four entities: IS, VA, VL, and UT (Bi-directional VLC). The process starts with IS sending an IS advertisement to VA, followed by VA registration from VA to IS. Then, VA sends a VA advertisement to VL, followed by VL registration from VL to VA. Next, VA sends a VL registration report to IS, followed by UT registration from UT to VA. Then, VA sends a UT registration report (Aggregated) to IS. The monitoring process begins with IS sending a monitoring request (1) to VA, which then sends a monitoring request (2) to VL. VL sends a monitoring request (3) using VLC to UT. UT sends a monitoring response (4a) using VLC back to VL, which then sends a monitoring response (4a) back to VA. Finally, VA sends a monitoring response (5) aggregated back to IS. A shaded region (A) covers the registration steps. The diagram is labeled Y.4474(20)_F06.](5b8a756d9a71c35f17db8bcb90b438a3_img.jpg) + +Sequence diagram for device monitoring in a bidirectional VLC. The diagram shows four entities: IS, VA, VL, and UT (Bi-directional VLC). The process starts with IS sending an IS advertisement to VA, followed by VA registration from VA to IS. Then, VA sends a VA advertisement to VL, followed by VL registration from VL to VA. Next, VA sends a VL registration report to IS, followed by UT registration from UT to VA. Then, VA sends a UT registration report (Aggregated) to IS. The monitoring process begins with IS sending a monitoring request (1) to VA, which then sends a monitoring request (2) to VL. VL sends a monitoring request (3) using VLC to UT. UT sends a monitoring response (4a) using VLC back to VL, which then sends a monitoring response (4a) back to VA. Finally, VA sends a monitoring response (5) aggregated back to IS. A shaded region (A) covers the registration steps. The diagram is labeled Y.4474(20)\_F06. + +**Figure 6 – Information flows for device monitoring (active mode) in the bidirectional VLC** + +Figure 7 shows the information flows for the active mode of device monitoring in unidirectional VLC. + +![Sequence diagram for device monitoring in a unidirectional VLC. The diagram shows four entities: IS, VA, VL, and UT (Uni-directional VLC). The process starts with IS sending an IS advertisement to VA, followed by VA registration from VA to IS. Then, VA sends a VA advertisement to VL, followed by VL registration from VL to VA. Next, VA sends a VL registration report to IS, followed by UT registration from UT to VA. Then, VA sends a UT registration report (Aggregated) to IS. The monitoring process begins with IS sending a monitoring request (1) to VA, which then sends a monitoring request (2) to VL. VL sends a monitoring request (3) using VLC to UT. UT sends a monitoring response (4b) using an RF-based uplink channel back to VL, which then sends a monitoring response (4b) back to VA. Finally, VA sends a monitoring response (5) aggregated back to IS. A shaded region (A) covers the registration steps. The diagram is labeled Y.4474(20)_F07.](79e1709a7317ead45379cbb8ff3ba802_img.jpg) + +Sequence diagram for device monitoring in a unidirectional VLC. The diagram shows four entities: IS, VA, VL, and UT (Uni-directional VLC). The process starts with IS sending an IS advertisement to VA, followed by VA registration from VA to IS. Then, VA sends a VA advertisement to VL, followed by VL registration from VL to VA. Next, VA sends a VL registration report to IS, followed by UT registration from UT to VA. Then, VA sends a UT registration report (Aggregated) to IS. The monitoring process begins with IS sending a monitoring request (1) to VA, which then sends a monitoring request (2) to VL. VL sends a monitoring request (3) using VLC to UT. UT sends a monitoring response (4b) using an RF-based uplink channel back to VL, which then sends a monitoring response (4b) back to VA. Finally, VA sends a monitoring response (5) aggregated back to IS. A shaded region (A) covers the registration steps. The diagram is labeled Y.4474(20)\_F07. + +**Figure 7 – Information flows for device monitoring (active mode) in unidirectional VLC** + +The following describes the details of each operation in Figures 6 and 7: + +- 1) IS initiates the monitoring process by sending a device-monitoring request to the registered VA; +- 2) when VA receives the monitoring request, the VA analyses the monitoring request message, extracts the target devices and sends a monitoring request message to the corresponding devices; + +- 3) when VL receives the monitoring request message, the VL analyses the message, extracts the target devices, and sends the monitoring request message to the corresponding devices using VLC; +- 4) when UT receives the monitoring request message, the UT performs as follows: + - a) the UT with bidirectional VLC sends a monitoring response message to its upstream device (VL) using VLC – the upstream device then updates its membership information and sends the monitoring response message to its upstream device (VA), + - b) the UT with unidirectional VLC sends a monitoring response message to its upstream device (VA) using the RF-based uplink channel of VA; +- 5) when VA receives the monitoring response message, the VA waits for monitoring response messages from multiple VLs and UTs, updates its membership information, aggregates the response messages and sends the aggregated response message to its upstream device (IS) – the IS then updates its membership information from the monitoring response message. + +NOTE 1 – Flows in the shaded areas labelled (A) in Figures 6 and 7 relate to the device initialization. Detailed information flows are available in clause 9.1. + +NOTE 2 – In step 5), the waiting period of the timer depends on the implementation. + +### 9.3 Device monitoring (in the passive mode) + +In the passive mode, registered devices report their availability to upstream devices periodically. + +Table 3 lists the messages and their information for device monitoring in the passive mode. + +**Table 3 – Messages used for device monitoring (in the passive mode)** + +| Message name | Data type | Reference point | From | To | Information | +|-------------------|-----------|-----------------|------|----|------------------------------------------------------------------------------------------------------------| +| Live report | DCD | R6 | UT | VL | – Device type (UT);
– Device ID of UT. | +| Live report | DCD | R3 | VL | VA | – Device type (VL);
– Device ID of VL;
– Monitored device type (UT);
– Monitored device ID. | +| Live report | DCD | R5 | UT | VA | – Device type (UT);
– Device ID of UT. | +| Monitoring report | DCD | R2 | VA | IS | – Device type (VA);
– Device ID of VA;
– Monitored device type (VL or UT);
– Monitored device ID. | + +Figure 8 shows the information flows for the passive mode of device monitoring in bidirectional VLC. + +![Sequence diagram for device monitoring in bidirectional VLC. The diagram shows four entities: IS, VA, VL, and UT (Bi-directional VLC). The sequence of messages is: 1. IS sends 'IS advertisement' to VA. 2. VA sends 'VA registration' to IS. 3. VA sends 'VA advertisement' to VL. 4. VL sends 'VL registration' to VA. 5. VA sends 'VL registration report' to IS. 6. VL sends 'VL advertisement' to UT. 7. UT sends 'UT registration' to VL. 8. VL sends 'UT registration' to VA. 9. VA sends 'UT registration report (Aggregated)' to IS. 10. UT sends '1a. Live report (Using VLC)' to VL. 11. VL sends '1a. Live report' to VA. 12. VA sends '2. Monitoring report' to IS. A shaded region labeled (A) covers the first nine messages. The identifier Y.4474(20)_F08 is at the bottom right.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +Sequence diagram for device monitoring in bidirectional VLC. The diagram shows four entities: IS, VA, VL, and UT (Bi-directional VLC). The sequence of messages is: 1. IS sends 'IS advertisement' to VA. 2. VA sends 'VA registration' to IS. 3. VA sends 'VA advertisement' to VL. 4. VL sends 'VL registration' to VA. 5. VA sends 'VL registration report' to IS. 6. VL sends 'VL advertisement' to UT. 7. UT sends 'UT registration' to VL. 8. VL sends 'UT registration' to VA. 9. VA sends 'UT registration report (Aggregated)' to IS. 10. UT sends '1a. Live report (Using VLC)' to VL. 11. VL sends '1a. Live report' to VA. 12. VA sends '2. Monitoring report' to IS. A shaded region labeled (A) covers the first nine messages. The identifier Y.4474(20)\_F08 is at the bottom right. + +**Figure 8 – Information flows for device monitoring (passive mode) in bidirectional VLC** + +Figure 9 shows the information flows for the passive mode of device monitoring in unidirectional VLC. + +![Sequence diagram for device monitoring in unidirectional VLC. The diagram shows four entities: IS, VA, VL, and UT (Uni-directional VLC). The sequence of messages is: 1. IS sends 'IS advertisement' to VA. 2. VA sends 'VA registration' to IS. 3. VA sends 'VA advertisement' to VL. 4. VL sends 'VL registration' to VA. 5. VA sends 'VL registration report' to IS. 6. VL sends 'VL advertisement' to UT. 7. UT sends 'UT registration' to VL. 8. VL sends 'UT registration' to VA. 9. VA sends 'UT registration report (Aggregated)' to IS. 10. UT sends '1b. Live report (Using RF-based uplink channel)' to VA. 11. VA sends '2. Monitoring report' to IS. A shaded region labeled (A) covers the first nine messages. The identifier Y.4474(20)_F09 is at the bottom right.](eb03559a4d92ea9ebd63ea9be663c50a_img.jpg) + +Sequence diagram for device monitoring in unidirectional VLC. The diagram shows four entities: IS, VA, VL, and UT (Uni-directional VLC). The sequence of messages is: 1. IS sends 'IS advertisement' to VA. 2. VA sends 'VA registration' to IS. 3. VA sends 'VA advertisement' to VL. 4. VL sends 'VL registration' to VA. 5. VA sends 'VL registration report' to IS. 6. VL sends 'VL advertisement' to UT. 7. UT sends 'UT registration' to VL. 8. VL sends 'UT registration' to VA. 9. VA sends 'UT registration report (Aggregated)' to IS. 10. UT sends '1b. Live report (Using RF-based uplink channel)' to VA. 11. VA sends '2. Monitoring report' to IS. A shaded region labeled (A) covers the first nine messages. The identifier Y.4474(20)\_F09 is at the bottom right. + +**Figure 9 – Information flows for device monitoring (passive mode) in unidirectional VLC** + +The following describes the details of each operation in Figures 8 and 9: + +- 1) the UT performs as follows: + - a) the UT with bidirectional VLC sends a live report message to its upstream device (VL) using VLC – the VL then updates its membership information and sends the live report message to its upstream device (VA), + - b) the UT with unidirectional VLC sends a live report message to its upstream device (VA) using the RF-based uplink channel of VA; +- 2) when VA receives the live report message, the VA updates its membership information and sends the monitoring report message to IS – the IS then updates its membership information + +from the report message and VA can aggregate the live report messages sent from multiple VLs and UTs. + +NOTE – Flows in the shaded areas labelled (A) in Figures 8 and 9 relate to the device initialization. Detailed information flows are available in clause 9.1. + +### 9.4 Service data transport + +In order to use an IoT service, both the IoT service-providing device (IS) and IoT service-consuming device (UT) need to know their endpoint information. + +Table 4 lists the messages and their information for service data transport. + +**Table 4 – Messages used for service data transport** + +| Message name | Data type | Reference point | From | To | Information | +|----------------------------|-----------|-----------------------|------|----|-----------------------------------------------------------------------------------------------------------------------------------| +| Service advertisement | ISD | R2, R3, R4, R6 | IS | UT | Service list that has the following:
– Service ID;
– Supported transport layer technologies;
– Service endpoint at IS. | +| Service subscription | ISD | R2, R3, R6 | UT | IS | – Service ID;
– Device type (UT);
– Device ID of UT;
– Selected transport layer technology;
– Service endpoint at UT. | +| Service subscription | ISD | R2, R5 | UT | IS | – Service ID;
– Device type (UT);
– Device ID of UT;
– Selected transport layer technology;
– Service endpoint at UT. | +| Service data (beacon data) | ISD | R2, R3, R4, R6 | IS | UT | Service ID | +| Service data request | ISD | R2, R3, R6 | UT | IS | Service ID | +| Service data request | ISD | R2, R5 | UT | IS | Service ID | +| Service data response | ISD | R2, R3, R4, R6 | IS | UT | Service ID | + +Figure 10 shows the information flows for service data transport in bidirectional VLC. + +![Sequence diagram showing information flows for service data transport in bidirectional VLC between IS, VA, VL, and UT (Bi-directional VLC).](7133ccf78043568ca62ecbcd43628a4a_img.jpg) + +The diagram illustrates the information flows for service data transport in bidirectional VLC. It involves four entities: IS (Information Source), VA (Virtual Agent), VL (Virtual Location), and UT (User Terminal, Bi-directional VLC). The process is divided into two main phases: registration and service data transport. + +**Registration Phase (A):** + +- IS sends IS advertisement to VA. +- VA sends VA registration to IS. +- VA sends VA advertisement to VL. +- VL sends VL registration to VA. +- VL sends VL advertisement to UT. +- UT sends UT registration to VL. +- UT sends UT registration report (Aggregated) to VA. +- VA sends VA registration report to IS. + +**Service Data Transport Phase:** + +- 1. Service advertisement: IS sends to VA, VA sends to VL, VL sends to UT (Using VLC). +- 2a. Service subscription: UT sends to VL, VL sends to VA, VA sends to IS. +- 3. Service data (Beacon data): IS sends to VA, VA sends to VL, VL sends to UT (Beacon data, using VLC). +- 4. Service data request: UT sends to VL, VL sends to VA, VA sends to IS. +- 5. Service data response: IS sends to VA, VA sends to VL, VL sends to UT (Using VLC). + +Y.4474(20)\_F10 + +Sequence diagram showing information flows for service data transport in bidirectional VLC between IS, VA, VL, and UT (Bi-directional VLC). + +**Figure 10 – Information flows for service data transport in bidirectional VLC** + +Figure 11 shows the information flows for service data transport in unidirectional VLC. + +![Sequence diagram showing information flows for service data transport in unidirectional VLC. The diagram involves four entities: IS (Information System), VA (Virtual Agent), VL (Virtual Location), and UT (Uni-directional VLC). The diagram is divided into two main sections. The first section, labeled (A) and shaded, represents device initialization. It includes: IS sending 'IS advertisement' to VA; VA sending 'VA registration' to IS; VA sending 'VA advertisement' to VL; VL sending 'VL registration' to VA; VL sending 'VL advertisement' to UT; UT sending 'UT registration' to VL; and UT sending 'UT registration report (Aggregated)' to VA. The second section represents service data transport and includes: 1. Service advertisement (IS to VA, VA to VL, VL to UT using VLC); 2b. Service subscription (UT to VA using RF-based uplink channel, VA to IS); 3. Service data (Beacon data) (IS to VA, VA to VL, VL to UT using VLC); 4. Service data request (UT to VA using RF-based uplink channel, VA to IS); and 5. Service data response (IS to VA, VA to VL, VL to UT using VLC).](cbdfdade780e677eb1c1aef3081ce9ef_img.jpg) + +``` + +sequenceDiagram + participant IS + participant VA + participant VL + participant UT as UT (Uni-directional VLC) + + Note over IS,VA,VL,UT: (A) Device Initialization + IS->>VA: IS advertisement + VA->>IS: VA registration + VA->>VL: VA advertisement + VL->>VA: VL registration + VL->>UT: VL advertisement + UT->>VL: UT registration + UT->>VA: UT registration report (Aggregated) + + Note over IS,VA,VL,UT: Service Data Transport + IS->>VA: 1. Service advertisement + VA->>VL: 1. Service advertisement + VL->>UT: 1. Service advertisement (Using VLC) + UT->>VA: 2b. Service subscription (Using RF-based uplink channel) + VA->>IS: 2b. Service subscription + IS->>VA: 3. Service data (Beacon data) + VA->>VL: 3. Service data (Beacon data) + VL->>UT: 3. Service data (Beacon data, using VLC) + UT->>VA: 4. Service data request (Using RF-based uplink channel) + VA->>IS: 4. Service data request + IS->>VA: 5. Service data response + VA->>VL: 5. Service data response + VL->>UT: 5. Service data response (Using VLC) + +``` + +Y.4474(20)\_F11 + +Sequence diagram showing information flows for service data transport in unidirectional VLC. The diagram involves four entities: IS (Information System), VA (Virtual Agent), VL (Virtual Location), and UT (Uni-directional VLC). The diagram is divided into two main sections. The first section, labeled (A) and shaded, represents device initialization. It includes: IS sending 'IS advertisement' to VA; VA sending 'VA registration' to IS; VA sending 'VA advertisement' to VL; VL sending 'VL registration' to VA; VL sending 'VL advertisement' to UT; UT sending 'UT registration' to VL; and UT sending 'UT registration report (Aggregated)' to VA. The second section represents service data transport and includes: 1. Service advertisement (IS to VA, VA to VL, VL to UT using VLC); 2b. Service subscription (UT to VA using RF-based uplink channel, VA to IS); 3. Service data (Beacon data) (IS to VA, VA to VL, VL to UT using VLC); 4. Service data request (UT to VA using RF-based uplink channel, VA to IS); and 5. Service data response (IS to VA, VA to VL, VL to UT using VLC). + +**Figure 11 – Information flows for service data transport in unidirectional VLC** + +The following describes the details of each operation in Figures 10 and 11: + +- 1) IS sends a service advertisement message to UT via VA and VL that contains information about IoT services; +- 2) when UT needs an IoT service, the UT makes the service endpoint, subscribes to the IoT service, and connects to the service endpoint at IS – while subscribing to the IoT service and connecting to the service endpoint, the UT performs as follows: + - a) the UT with bidirectional VLC sends a service subscription message to IS via VL (using VLC) and VA – the UT then connects to the service endpoint at the IS, + - b) the UT with unidirectional VLC sends a service subscription message to IS via VA (using the RF-based uplink channel of VA) – the UT then connects to the service endpoint at the IS; +- 3) when an IoT service has beacon data, IS sends the service data (beacon) to UT via the service endpoint between IS and UT; +- 4) when UT needs service data, it sends the service data request message to the IS via the service endpoint between IS and UT; +- 5) IS sends the requested service data to the UT via the service endpoint between IS and UT. + +NOTE – Flows in the shaded areas labelled (A) in Figures 10 and 11 relate to the device initialization. Detailed information flows are available in clause 9.1. + +### 9.5 Light control + +Table 5 lists the messages and their information used for the light control. + +**Table 5 – Messages used for the light control** + +| Message name | Data type | Reference point | From | To | Information | +|------------------------|-----------|-----------------|------|----|---------------------------------------------------------------------------------------| +| Light control | LCD | R2 | IS | VA | Device list to control that has the following:
– Device type (VL);
– Device ID. | +| Light control request | LCD | R3 | VA | VL | – Device type to control (VL);
– Device ID to control. | +| Light control response | LCD | R3 | VL | VA | – Device type (VL);
– Device ID of VL. | +| Light control report | LCD | R2 | VA | IS | – Device type (VL);
– Device ID of VL. | + +Figure 12 shows the information flows for light control. + +![Sequence diagram showing information flows for light control between IS, VA, and VL. The diagram is divided into two parts: (A) device initialization and the main light control process. In part (A), IS sends 'IS advertisement' to VA, VA sends 'VA registration' to IS, VA sends 'VA advertisement' to VL, and VL sends 'VL registration' to VA. Then, VA sends a 'VL registration report (Aggregated)' to IS. In the main process, IS sends '1. Light control' to VA, VA sends '2. Light control request' to VL, VL sends '3. Light control response' to VA, and VA sends '4. Light control report' to IS.](2ae3eae1bd80a90f192f568ae246a9a6_img.jpg) + +``` + +sequenceDiagram + participant IS + participant VA + participant VL + + Note over IS,VA,VL: (A) Device Initialization + IS->>VA: IS advertisement + VA->>IS: VA registration + VA->>VL: VA advertisement + VL->>VA: VL registration + VA->>IS: VL registration report (Aggregated) + + Note over IS,VA,VL: Main Light Control Process + IS->>VA: 1. Light control + VA->>VL: 2. Light control request + VL->>VA: 3. Light control response + VA->>IS: 4. Light control report + +``` + +Y.4474(20)\_F12 + +Sequence diagram showing information flows for light control between IS, VA, and VL. The diagram is divided into two parts: (A) device initialization and the main light control process. In part (A), IS sends 'IS advertisement' to VA, VA sends 'VA registration' to IS, VA sends 'VA advertisement' to VL, and VL sends 'VL registration' to VA. Then, VA sends a 'VL registration report (Aggregated)' to IS. In the main process, IS sends '1. Light control' to VA, VA sends '2. Light control request' to VL, VL sends '3. Light control response' to VA, and VA sends '4. Light control report' to IS. + +**Figure 12 – Information flows for light control** + +The following describes the details of each operation: + +- 1) IS initiates the light control process by sending a light control message to the corresponding VA, which has VL to control; +- 2) when VA receives the light control message, the VA analyses the message, extracts the target device, and sends the light control request message to the corresponding VL; +- 3) VL configures the associated LED light and sends the light control response to the VA; +- 4) when VA receives the light control response message, it reports the result of light control to the IS. + +NOTE – Flows in the shaded areas labelled (A) in Figures 11 and 12 relate to the device initialization. Detailed information flows are available in clause 9.1. + +### 9.6 Device roaming + +When a mobile UT changes its location, it needs to register with the IS in order to use the network at the new location. + +To support fast registration when a mobile UT changes its location, it initiates device roaming. + +Table 6 lists the messages and their information used for the device roaming. + +**Table 6 – Messages used for device roaming** + +| Message name | Data type | Reference point | From | To | Information | +|-------------------|-----------|-----------------|------|----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| VL advertisement | DCD | R4, R6 | VL1 | UT |
  • – Device type (VL);
  • – Device ID of VL1.
| +| VL advertisement | DCD | R4, R6 | VL2 | UT |
  • – Device type (VL);
  • – Device ID of VL2.
| +| UT roaming report | DCD | R6 | UT | VL |
  • – Device type (UT);
  • – Device ID of UT;
  • – Past device type (VL);
  • – Past device ID (VL1);
  • – Current device type (VL);
  • – Current device ID (VL2).
| +| UT roaming report | DCD | R3 | VL | VA |
  • – Device type (UT);
  • – Device ID of UT;
  • – Past device type (VL);
  • – Past device ID (VL1);
  • – Current device type (VL);
  • – Current device ID (VL2).
| +| UT roaming report | DCD | R5 | UT | VA |
  • – Device type (UT);
  • – Device ID of UT;
  • – Past device type (VL);
  • – Past device ID (VL1);
  • – Current device type (VL);
  • – Current device ID (VL2).
| +| Roaming report | DCD | R2 | VA | IS |
  • – Device type (VA);
  • – Device ID of VA;
  • – Roamed device type (UT);
  • – Roamed device ID.
| + +Figure 13 shows the information flows for device roaming in bidirectional VLC. + +![Sequence diagram (A) showing information flows for device roaming in bidirectional VLC. The diagram involves five entities: IS, VA, VL1, VL2, and UT (Bi-directional VLC). The sequence of operations is: 1. IS sends IS advertisement to VA. 2. VA sends VA registration to IS. 3. VA sends VA advertisement to VL1 and VL2. 4. VL1 and VL2 send VL registration to VA. 5. VA sends VL registration report to IS. 6. VA sends UT registration to VL1 and VL2. 7. VL1 and VL2 send UT registration to VA. 8. VA sends UT registration report (Aggregated) to IS. 9. VL1 sends 1. VL advertisement (Using VLC) to UT. 10. VL2 sends 2. VL advertisement (Using VLC) to UT. 11. UT sends 3a. UT roaming report (Using VLC) to VL2. 12. VL2 sends 3a. UT roaming report (Using VLC) to VL1. 13. VL1 sends 3a. UT roaming report to VA. 14. VA sends 4. Roaming report to IS.](69b7bd65e85cdef6fdd7fb0a8194257c_img.jpg) + +Y.4474(20)\_F13 + +Sequence diagram (A) showing information flows for device roaming in bidirectional VLC. The diagram involves five entities: IS, VA, VL1, VL2, and UT (Bi-directional VLC). The sequence of operations is: 1. IS sends IS advertisement to VA. 2. VA sends VA registration to IS. 3. VA sends VA advertisement to VL1 and VL2. 4. VL1 and VL2 send VL registration to VA. 5. VA sends VL registration report to IS. 6. VA sends UT registration to VL1 and VL2. 7. VL1 and VL2 send UT registration to VA. 8. VA sends UT registration report (Aggregated) to IS. 9. VL1 sends 1. VL advertisement (Using VLC) to UT. 10. VL2 sends 2. VL advertisement (Using VLC) to UT. 11. UT sends 3a. UT roaming report (Using VLC) to VL2. 12. VL2 sends 3a. UT roaming report (Using VLC) to VL1. 13. VL1 sends 3a. UT roaming report to VA. 14. VA sends 4. Roaming report to IS. + +**Figure 13 – Information flows for device roaming in bidirectional VLC** + +Figure 14 shows the information flows for device roaming in unidirectional VLC. + +![Sequence diagram (A) showing information flows for device roaming in unidirectional VLC. The diagram involves five entities: IS, VA, VL1, VL2, and UT (Uni-directional VLC). The sequence of operations is: 1. IS sends IS advertisement to VA. 2. VA sends VA registration to IS. 3. VA sends VA advertisement to VL1 and VL2. 4. VL1 and VL2 send VL registration to VA. 5. VA sends VL registration report to IS. 6. VA sends UT registration to VL1 and VL2. 7. VL1 and VL2 send UT registration to VA. 8. VA sends UT registration report (Aggregated) to IS. 9. VL1 sends 1. VL advertisement (Using VLC) to UT. 10. VL2 sends 2. VL advertisement (Using VLC) to UT. 11. UT sends 3b. UT roaming report (Using RF-based uplink channel) to VA. 12. VA sends 4. Roaming report to IS.](28d75f39a24203712ee907b32cf0bbe5_img.jpg) + +Y.4474(20)\_F14 + +Sequence diagram (A) showing information flows for device roaming in unidirectional VLC. The diagram involves five entities: IS, VA, VL1, VL2, and UT (Uni-directional VLC). The sequence of operations is: 1. IS sends IS advertisement to VA. 2. VA sends VA registration to IS. 3. VA sends VA advertisement to VL1 and VL2. 4. VL1 and VL2 send VL registration to VA. 5. VA sends VL registration report to IS. 6. VA sends UT registration to VL1 and VL2. 7. VL1 and VL2 send UT registration to VA. 8. VA sends UT registration report (Aggregated) to IS. 9. VL1 sends 1. VL advertisement (Using VLC) to UT. 10. VL2 sends 2. VL advertisement (Using VLC) to UT. 11. UT sends 3b. UT roaming report (Using RF-based uplink channel) to VA. 12. VA sends 4. Roaming report to IS. + +**Figure 14 – Information flows for device roaming in unidirectional VLC** + +The following describes the details of each operation in Figures 13 and 14: + +- 1) UT receives a VL advertisement message periodically and updates its light proximity information; +- 2) when UT moves to another place, it receives the VL advertisement messages within its proximity, updates its light proximity information, and detects the roaming event by referencing the light proximity information; + +- 3) when UT detects the roaming event, it updates its membership information and sends the UT roaming report message to its upstream device – while sending UT roaming report message, the UT performs as follows: + - a) the UT with bidirectional VLC sends the UT roaming report to its upstream device (VL) using VLC – the VL then updates its membership information and sends the UT roaming report message to its upstream device (VA); + - b) the UT with unidirectional VLC sends the UT roaming report to its upstream device (VA) using the RF-based uplink channel of VA; +- 4) when VA receives the UT roaming report message, the VA updates its membership information and sends the roaming report message to IS – the IS then updates its membership information from the report message. + +NOTE – Flows in the shaded areas labelled (A) in Figures 13 and 14 relate to the device initialization. Detailed information flows are available in clause 9.1. + +# Appendix I + +## Protocol stacks for the three data types + +(This appendix does not form an integral part of this Recommendation) + +[ITU-T Y.4465] specifies three data types: + +- 1) LCD; +- 2) DCD; +- 3) ISD. + +Clauses I.1 to I.3 provide the protocol stacks for understanding of the bidirectional and unidirectional VLC network environment. + +### I.1 Light control data + +Figure I.1 shows the protocol stack for LCD. + +![Figure I.1: Protocol stack for LCD. The diagram shows a network topology with five nodes: VL, R3, VA, R2, and IS. Each node has a protocol stack. VL, R3, and IS have stacks with layers Application, Transport, IP, L2, and L1. VA is a relay node with a stack divided into two halves, each with layers IP, L2, and L1. R2 has a stack with layers Application, Transport, IP, L2, and L1. The stacks are connected by horizontal lines representing network links. Vertical dashed lines separate the nodes. The label 'Y.4474(20)_F1.1' is at the bottom right.](dc1f232cfd39be5c20b21374ad4c04c0_img.jpg) + +Y.4474(20)\_F1.1 + +Figure I.1: Protocol stack for LCD. The diagram shows a network topology with five nodes: VL, R3, VA, R2, and IS. Each node has a protocol stack. VL, R3, and IS have stacks with layers Application, Transport, IP, L2, and L1. VA is a relay node with a stack divided into two halves, each with layers IP, L2, and L1. R2 has a stack with layers Application, Transport, IP, L2, and L1. The stacks are connected by horizontal lines representing network links. Vertical dashed lines separate the nodes. The label 'Y.4474(20)\_F1.1' is at the bottom right. + +**Figure I.1 – Protocol stack for LCD** + +IP: Internet protocol + +### I.2 Device control data + +#### I.2.1 DCD in bidirectional VLC + +Figure I.2 shows the protocol stack for DCD in the bidirectional VLC environment. + +![Figure I.2: Protocol stack for DCD in the bidirectional VLC. The diagram shows a network topology with five nodes: UT (Bi-directional VLC), VL, R3, VA, and IS. Each node has a protocol stack. UT, VL, VA, and IS have stacks with layers Application, Transport, IP, VLC MAC, and VLC PHY. R3 is a relay node with a stack divided into two halves, each with layers IP, VLC MAC, and VLC PHY. The stacks are connected by horizontal lines representing network links. Vertical dashed lines separate the nodes. The label 'Y.4474(20)_F1.2' is at the bottom right.](b81d1613e285a9353171cdc5ef97a1f0_img.jpg) + +Y.4474(20)\_F1.2 + +Figure I.2: Protocol stack for DCD in the bidirectional VLC. The diagram shows a network topology with five nodes: UT (Bi-directional VLC), VL, R3, VA, and IS. Each node has a protocol stack. UT, VL, VA, and IS have stacks with layers Application, Transport, IP, VLC MAC, and VLC PHY. R3 is a relay node with a stack divided into two halves, each with layers IP, VLC MAC, and VLC PHY. The stacks are connected by horizontal lines representing network links. Vertical dashed lines separate the nodes. The label 'Y.4474(20)\_F1.2' is at the bottom right. + +**Figure I.2 – Protocol stack for DCD in the bidirectional VLC** + +MAC: medium access control; PHY: Physical layer + +#### I.2.2 DCD in unidirectional VLC + +Figure I.3 shows the protocol stack for DCD in the unidirectional VLC environment. + +![Figure I.3: Protocol stack for DCD in the unidirectional VLC. The diagram shows two protocol stacks: Downlink (top) and Uplink (bottom). The Downlink stack starts with UT (Application, Transport, IP, VLC MAC, VLC PHY) and goes through relays R4, VL (Relay with IP, VLC MAC, L2, VLC PHY, L1), R3, VA (Relay with IP, L2, L1, L1), R2, and ends at IS (Application, Transport, IP, L2, L1). The Uplink stack starts with UT (Application, Transport, IP, L2, L1) and goes through relays R5, VA (Relay with IP, L2, L1, L1), R2, and ends at IS (Application, Transport, IP, L2, L1). A dashed line separates the Downlink and Uplink sections.](692541e65db4dc852988ce77ebb60ce5_img.jpg) + +Figure I.3 illustrates the protocol stack for DCD in the unidirectional VLC. The diagram is divided into two sections: Downlink (top) and Uplink (bottom), separated by a dashed line. The Downlink section shows the flow from the User Terminal (UT) through relays R4, VL, R3, VA, and R2 to the Internet Server (IS). The Uplink section shows the flow from the UT through relays R5, VA, R2, and IS. The protocol layers are: Application, Transport, IP, VLC MAC (in Downlink), L2, and L1. The relays (VL, VA) are shown as trapezoidal blocks with internal layers: IP, VLC MAC, L2, VLC PHY, and L1. The IS is shown as a stack of Application, Transport, IP, L2, and L1 layers. + +Y.4474(20)\_F1.3 + +Figure I.3: Protocol stack for DCD in the unidirectional VLC. The diagram shows two protocol stacks: Downlink (top) and Uplink (bottom). The Downlink stack starts with UT (Application, Transport, IP, VLC MAC, VLC PHY) and goes through relays R4, VL (Relay with IP, VLC MAC, L2, VLC PHY, L1), R3, VA (Relay with IP, L2, L1, L1), R2, and ends at IS (Application, Transport, IP, L2, L1). The Uplink stack starts with UT (Application, Transport, IP, L2, L1) and goes through relays R5, VA (Relay with IP, L2, L1, L1), R2, and ends at IS (Application, Transport, IP, L2, L1). A dashed line separates the Downlink and Uplink sections. + +**Figure I.3 – Protocol stack for DCD in the unidirectional VLC** + +### I.3 IoT service data) + +#### I.3.1 ISD in the bidirectional VLC + +Figure I.4 shows the protocol stack for ISD in the bidirectional VLC environment. + +![Figure I.4: Protocol stack for ISD in the bidirectional VLC. The diagram shows a single protocol stack for the Bidirectional VLC. It starts with UT (Application, Transport, IP, VLC MAC, VLC PHY) and goes through relays R6, VL (Relay with IP, VLC MAC, L2, VLC PHY, L1), R3, VA (Relay with IP, L2, L1, L1), R2, and ends at IS (Application, Transport, IP, L2, L1).](933ecd14c858bf3fc919222d8e357bc8_img.jpg) + +Figure I.4 illustrates the protocol stack for ISD in the bidirectional VLC. The diagram shows the flow from the User Terminal (UT) through relays R6, VL, R3, VA, and R2 to the Internet Server (IS). The protocol layers are: Application, Transport, IP, VLC MAC, VLC PHY, L2, and L1. The relays (VL, VA) are shown as trapezoidal blocks with internal layers: IP, VLC MAC, L2, VLC PHY, and L1. The IS is shown as a stack of Application, Transport, IP, L2, and L1 layers. + +Y.4474(20)\_F1.4 + +Figure I.4: Protocol stack for ISD in the bidirectional VLC. The diagram shows a single protocol stack for the Bidirectional VLC. It starts with UT (Application, Transport, IP, VLC MAC, VLC PHY) and goes through relays R6, VL (Relay with IP, VLC MAC, L2, VLC PHY, L1), R3, VA (Relay with IP, L2, L1, L1), R2, and ends at IS (Application, Transport, IP, L2, L1). + +**Figure I.4 – Protocol stack for ISD in the bidirectional VLC** + +#### I.3.2 ISD in the unidirectional VLC + +Figure I.5 shows the protocol stack for ISD in the unidirectional VLC environment. + +![Diagram showing the protocol stacks for Downlink and Uplink in a unidirectional VLC system. Downlink involves UT, VL, VA, and IS nodes with reference points R4, R3, R2. Uplink involves UT, VA, and IS nodes with reference points R5, R2. Layers include Application, Transport, IP, VLC MAC/L2, and VLC PHY/L1.](08dce7ad4c512fdf0c0cde60415fade6_img.jpg) + +Downlink + +| | | | | | | | | | +|--------------------------------------------|----|------------------|----|----|------------------|----|----|-------------| +| Application | | | | | | | | Application | +| Transport | | | | | | | | Transport | +| IP | | Relay
IP IP | | | Relay
IP IP | | | IP | +| VLC MAC | | VLC MAC | L2 | | L2 | L2 | | L2 | +| VLC PHY | | VLC PHY | L1 | | L1 | L1 | | L1 | +| UT
(Uni-directional VLC) | R4 | VL | | R3 | VA | | R2 | IS | + +--- + +Uplink + +| | | | | | | | +|--------------------------------------------|----|------------------|----|----|----|--------------------------------| +| Application | | | | | | Application | +| Transport | | | | | | Transport | +| IP | | Relay
IP IP | | | IP | | +| L2 | | L2 | L2 | | L2 | | +| L1 | | L1 | L1 | | L1 | | +| UT
(Uni-directional VLC) | R5 | VA | | R2 | IS | Y.4474(20)_FI.5 | + +Diagram showing the protocol stacks for Downlink and Uplink in a unidirectional VLC system. Downlink involves UT, VL, VA, and IS nodes with reference points R4, R3, R2. Uplink involves UT, VA, and IS nodes with reference points R5, R2. Layers include Application, Transport, IP, VLC MAC/L2, and VLC PHY/L1. + +**Figure I.5 – Protocol stack for ISD in the unidirectional VLC** + +# Bibliography + +- [b-ITU-T G.9960] Recommendation ITU-T G.9960 (2018), *Unified high-speed wireline-based home networking transceivers – System architecture and physical layer specification*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [b-IEEE 802.15.7] IEEE Standard 802.15.7-2018, *IEEE Standard for Local and metropolitan area networks – Part 15.7: Short-range optical wireless communications*. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4475-202008-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4475-202008-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..521be9b58076a8b942856ebf0ae1d4b5aa1a06fc --- /dev/null +++ b/marked/Y/T-REC-Y.4475-202008-I_PDF-E/raw.md @@ -0,0 +1,982 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4475 + +(08/2020) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Frameworks, architectures and protocols + +# --- **Lightweight intelligent software framework for Internet of things devices** + +Recommendation ITU-T Y.4475 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +### CLOUD COMPUTING + +### BIG DATA + +### QUANTUM KEY DISTRIBUTION NETWORKS + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.4475 + +# Lightweight intelligent software framework for Internet of things devices + +## Summary + +Recommendation ITU-T Y.4475 addresses the concept of the lightweight intelligent software framework (LISF) that supports Internet of things (IoT) applications requiring intelligent processing, and enables such processing to work on resource-limited IoT devices. Recommendation ITU-T Y.4475 identifies general requirements and provides a functional architecture for the LISF based on the IoT reference model established in Recommendation ITU-T Y.4000. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4475 | 2020-08-29 | 20 | 11.1002/1000/14377 | + +## Keywords + +IoT device, intelligence software framework, lightweight. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2020 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------------------------|------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Introduction ..... | 3 | +| 7 LISF features and requirements..... | 5 | +| 7.1 LISF features ..... | 5 | +| 7.2 LISF requirements ..... | 7 | +| 8 Functional architecture of the LISF ..... | 9 | +| 8.1 Online partial learning function..... | 10 | +| 8.2 Approximate inference function..... | 13 | +| 8.3 Performance-monitoring function ..... | 14 | +| 8.4 Accelerated processing function..... | 16 | +| Appendix I – Use case – Personal customization service with drone devices..... | 19 | +| Appendix II – Use case – Personal vision aids service..... | 22 | +| Bibliography..... | 25 | + + + +# Recommendation ITU-T Y.4475 + +# Lightweight intelligent software framework for Internet of things devices + +# 1 Scope + +This Recommendation specifies general requirements and functionalities of the lightweight intelligent software framework (LISF) working on resource-limited Internet of things (IoT) devices. + +In particular, for the LISF, the scope of this Recommendation covers: + +- the concept of the intelligent software framework (ISF) and necessity for a lightweight version; +- features and general requirements; +- functional architecture. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4453] Recommendation ITU-T Y.4453 (2016), *Adaptive software framework for Internet of things devices*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application** [b-ITU-T Y.2091]: A structured set of capabilities, which provide value-added functionality supported by one or more services, which may be supported by an API interface. + +**3.1.2 Internet of things** [b-ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broad perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.3 capability** [b-ITU-R M.1224-1]: The ability of an item to meet a service demand of given quantitative characteristics under given internal conditions. + +**3.1.4 service** [b-ITU-T Y.2091]: A set of functions and facilities offered to a user by a provider. + +**3.1.5 functional entity** [b-ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms + +**3.2.1 lightweight intelligent software framework (LISF):** Middleware used to enable intelligent capabilities for each Internet of things (IoT) application by using online partial learning and inferencing processing with the system resources of IoT devices. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|----------------------------------------------------| +| API | Application Programming Interface | +| CNN | Convolutional Neural Network | +| CPU | Central Processing Unit | +| CUDA | Compute Unified Device Architecture | +| FE | Functional Entity | +| FPS | Frames Per Second | +| GEMM | General Matrix Multiply | +| GPGPU | General Purpose Computing Graphics-Processing Unit | +| GPU | Graphics-Processing Unit | +| HW | Hardware | +| ICT | Information and Communication Technology | +| ID | Identifier | +| IoT | Internet of Things | +| ISF | Intelligent Software Framework | +| KPI | Key Performance Indicator | +| LISF | Lightweight Intelligent Software Framework | +| LMDB | Lightning Memory-Mapped Database | +| OpenCL | Open Computing Language | +| RAM | Random Access Memory | +| SW | Software | + +# 5 Conventions + +The following conventions are used in this Recommendation: + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. +- The keywords "is prohibited from" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. +- The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +- The keywords "is not recommended" indicate a requirement which is not recommended but which is not specifically prohibited. Thus, conformance with this Recommendation can still be claimed even if this requirement is present. +- The keywords "can optionally" indicate an optional requirement which is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with this Recommendation. +- The keyword "functions" is defined as a collection of functionalities. +- The keyword "functional block" is defined as a group of functionalities that have not been further subdivided at the level of detail described in this Recommendation. + +# 6 Introduction + +With the development of IoT technologies, intelligent technologies are rapidly developing and launching in various information and communication technology (ICT) service domains. In order to support intelligent capability on resource-limited IoT devices, an IoT software (SW) framework plays an important role. A relevant IoT SW framework is also published as [ITU-T Y.4453] to support adaptive application capability for IoT devices. + +Generally, an ISF primarily performs in server-side cloud computing and requires high-performance computing environments with rich resources. A framework conceptually consists of pre-processing entity, learning entity, and inferencing entity for intelligence processing. Additionally, training data and real-data are needed. An ISF demands high-quality training data through a pre-processing entity, generates a learning model by using a learning entity and predicts inferencing for new real-data by an inferencing entity. + +- The pre-processing entity filters data or transforms data into a different format. +- The learning entity searches for regularity and patterns in data. +- The inferencing entity classifies and estimates new real data. + +Many kinds of current IoT devices have been embedded by a general-purpose computing graphics-processing unit (GPGPU) and multicore central processing unit (CPU) with limited processing capability. Nevertheless, with these IoT devices, new requirements for intelligent IoT services are demanded to provide near-real-time IoT data processing, privacy handling, and low latency. In order to provide intelligence capability in embedded systems with limited system resources, there are several issues when considering their hardware (HW) and SW. + +- HW: Take into account clock speed, number of cores and efficient power management, regrading CPU and GPGPU in order to support one specified task or set of tasks. +- SW: Take into account acceleration technology using CPU- and GPGPU-based parallelism and lightweight technology through optimization. + +Generally, embedded systems are dedicated to one specific task or set of tasks so that it is not easy for them to work complex programs with heavy workloads such as intelligent services, called CPU-intensive programs. When these heavy programs work on embedded systems, different types of overhead (e.g., high CPU or GPGPU utilization, CPU or GPGPU thermal and memory leak) can shut down or crash the entire system. Nevertheless, embedded systems tend to execute complex programs with heavy workloads in order to provide intelligent services, such as face recognition, vacuum cleaning and autonomous car or drone driving. Therefore, the LISF needs to consider a method for supporting intelligence on resource-limited IoT devices. With the LISF, IoT devices can run intelligent IoT applications handling in a resource-constrained environment and can support intelligent capability in a standardized way. The combination of IoT devices with the LISF enables intelligent services for users. + +An intelligent job such as machine learning and deep learning require a lot of computation. Therefore, it is essential to support the best utilization of CPU and GPGPU capacities. The approach can be provided with accelerating technology based on SW such as Open Computing Language (OpenCL) and Compute Unified Device Architecture (CUDA). Also, a variety of intelligent applications working on embedded systems requires a high-performance computing environment, so that embedded systems need application of accelerating technology. Therefore, the LISF provides a method for operating an embedded system by accelerating processing capability. This method initializes, configures and processes in parallel. First, initializing and configuring entities perform mathematical operations using a parallel managing function entity. The parallel managing function entity allocates a device memory, copies data from a host to a device, sets a kernel and again copies results of an operation. Therefore, the instances of the kernel are executed in parallel; each of them processes a single work item and all are executed together as multiple work items as a part of a work group. Second, processing in parallel involves mathematical operations performed by an acceleration-managing function entity using the configured entities. In this situation, most entities have a trade-off between accuracy (e.g., object recognition rate) and real time (e.g., frames per second (FPS)). For example, if accuracy for object recognition rate is high, detection or inferencing time for objects can be slow. As an embedded system has overheads due to a lot of computation, applications and services may not work properly. + +Figure 1 is a schematic diagram showing machine or deep learning from the system resources perspective. Figure 1 illustrates high-level features of LISF compared to ISF. ISF is designed to work on systems with rich resources (e.g., server computer, cloud computer), and has basically three entities, such as pre-processing, full learning and inferencing, and two data sources, such as a learning model and training data. An ISF focuses on providing faster intelligent services with high resource capability systems. So, an ISF can support full learning with big data for training. On the other hand, a LISF is designed to work on systems with limited resources, so that each entity and data must be optimized for these systems. Therefore, an LISF has three optimized functional entities (FEs), such as accelerated pre-processing, online partial learning and approximate inferencing, and two sources of input data, such as an optimal learning model and one-shot data for processing in resource-limited devices. These FEs constitute the core engine of an LISF. + +An accelerated pre-processing entity accelerates data refinement, integration, reduction and transformation by making the best use of a GPGPU in order to maintain data consistency for learning. An online partial learning entity updates a part of the learning model without the assistance of a high-performance computer through real-time learning using one-shot training data, not batch learning. An initial learning model can be generated by a high-performance computer and the model is sent to embedded devices. An approximate inferencing entity predicts correspondence to new data when considering inference speed and accuracy. Additionally, an LISF is composed of two input data sources. + +![Figure 1: Overview diagram of ISF and LISF in the aspect of system resources. The diagram compares two architectures: ISF (Intelligent Service Framework) for systems with rich resources and LISF (IoT Intelligent Service Framework) for systems with poor resources. A central arrow labeled 'Restricted resources' points from the rich system to the poor system. The ISF side includes an 'Intelligent services' oval, an 'ISF' dashed box containing 'Inferencing entity', 'Fully learning entity', 'Pre-processing entity', 'Learning model', and 'Training data', and a 'System with rich resources' base. The LISF side includes an 'IoT intelligent services' oval, a 'LISF' dashed box containing 'Approximate inferencing entity', 'On-line partial learning entity', 'Accelerated pre-processing entity', 'Learning model', and 'One-shot data', and a 'System with poor resources' base.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Figure 1: Overview diagram of ISF and LISF in the aspect of system resources. The diagram compares two architectures: ISF (Intelligent Service Framework) for systems with rich resources and LISF (IoT Intelligent Service Framework) for systems with poor resources. A central arrow labeled 'Restricted resources' points from the rich system to the poor system. The ISF side includes an 'Intelligent services' oval, an 'ISF' dashed box containing 'Inferencing entity', 'Fully learning entity', 'Pre-processing entity', 'Learning model', and 'Training data', and a 'System with rich resources' base. The LISF side includes an 'IoT intelligent services' oval, a 'LISF' dashed box containing 'Approximate inferencing entity', 'On-line partial learning entity', 'Accelerated pre-processing entity', 'Learning model', and 'One-shot data', and a 'System with poor resources' base. + +**Figure 1 – Overview diagram of ISF and LISF in the aspect of system resources** + +# 7 LISF features and requirements + +This clause describes LISF features and requirements. LISF features are explained by using a client and server mechanism. + +## 7.1 LISF features + +Performance, power and memory on embedded systems are aspects of an LISF when running. LISF-based artificial intelligence services support their real-time execution. However, the following three conditions should be avoided for providing the execution: + +- slowing of service response time; +- stopping suddenly during execution; +- service termination due to abnormal execution. + +These three conditions arise due to lack of resources in embedded systems. In order to resolve the issue, the LISF needs to support the following features: + +- efficient use of embedded system resources, in which there are lightweight and accelerated techniques for CPU, GPGPU and memory; +- support for online partial learning due to resource-limited embedded systems – full learning generally works on server systems; +- generation of a personalized learning model that adapts to a system environment through online partial learning; +- collaboration with a client-server model, where the client is a poor-resource and the server a rich-resource system. + +Figure 2 shows a client and server mechanism for the LISF. The server system and IoT device each have an intelligence framework. The system comprises of the device, platform, context, command queue and kernel. The device comprises actual processors for performing mathematical operations. The platform uses at least one CPU and one graphics-processing unit (GPU). The context comprises an entity for managing the resources in a device set. The command queue comprises an entity for executing a kernel and performing memory mapping or unmapping and synchronization. The kernel comprises a code running on the device. The artificial intelligence framework in the server system pre-processes and learns fully. Full learning can utilize a pruning method in order to generate an optimized learning model. The pruning method steadily changes superfluous weight values to zero + +during learning training data. Pre-processing and full learning require a lot of computation, since they create an initial learning model using training data, so that the server system has a high-performance computing environment. The initial learning model transmits to the artificial intelligence framework of the IoT device. + +![Figure 2 – Client and server mechanism of the LISF. The diagram shows two main components: an IoT device (e.g., smart phone) and a Server system. The IoT device processes real-world data through accelerated pre-processing, uses an optimized learning model for approximate inferencing, and performs on-line partial learning to produce results. The Server system processes training data through pre-processing and fully learning (e.g., pruning) to create an optimized learning model, which is then distributed to the IoT device.](007b053fe94a8348f75128a584503fd0_img.jpg) + +``` + +graph TD + subgraph IoT_device [IoT device (e.g., smart phone)] + RWD[Real-world data +Data (e.g., images)] --> APP[Accelerated pre-processing] + APP --> OLM1[(Optimized learning model)] + OLM1 <--> AI[Approximate inferencing] + AI --> OLP[On-line partial learning] + OLP --> R[Results] + end + + subgraph Server_system [Server system] + TD[Training data +Data (e.g., images)] --> PP[Pre-processing] + PP --> FL[Fully learning (e.g., pruning)] + FL --> OLM2[(Optimized learning model)] + end + + OLM2 --> OLM1 + +``` + +Y.4475(20)\_F02 + +Figure 2 – Client and server mechanism of the LISF. The diagram shows two main components: an IoT device (e.g., smart phone) and a Server system. The IoT device processes real-world data through accelerated pre-processing, uses an optimized learning model for approximate inferencing, and performs on-line partial learning to produce results. The Server system processes training data through pre-processing and fully learning (e.g., pruning) to create an optimized learning model, which is then distributed to the IoT device. + +**Figure 2 – Client and server mechanism of the LISF** + +The LISF consists of accelerated pre-processing, approximate inferencing, and online partial learning. Since the IoT device is a kind of embedded system, the LISF should be able to use system resources, such as CPU and GPGPU, as well as memory efficiently. Accelerated pre-processing, approximate inferencing and online partial learning should utilize accelerated techniques based on a GPGPU because embedded CPUs have complex computation process limitations. If real-world data input to an IoT device, the LISF uses the initial learning model to infer. + +### 7.1.1 Accelerated pre-processing + +Accelerated pre-processing takes real-world raw input data and converts it into a different form to generate optimized data for inferencing. Real-world input data may be somewhat inappropriate to use immediately for inference and learning. Since the LISF requires additional learning, called partial learning, for input data, it includes a function that generates a consistent learning database, such as the lightning memory-mapped database (LMDB) and LevelDB (key value-based storage library) in a pre-processing category. In order to support acceleration for methods of data conversion and database generation in LISF, LISF has three recipes: kernel-based data processing, internal memory management and data tiling. + +There are many data conversion methods; LISF pre-processing supports four of them: normalization, transformation, reduction and discretization. + +### 7.1.2 Online partial learning + +Online partial learning processes one data source and updates the processed results in a learning model, which requires low computing power. In contrast, full learning initially uses a learning model transmitted from a server computer, which requires large amounts of training data for processing, called batch learning. The online partial learning mechanism is suitable for use in embedded systems such as IoT devices. + +There are two types of online partial learning as follows. + +- Fine-tuning based partial learning: When inferencing input data use a learning model, if an inference result for input data has low probability, fine-tuning based partial learning is used. Fine-tuning based partial learning upgrades an existing learning model through re-training regarding input data. It is possible to infer input data using an updated learning model. +- Scalable-tuning based partial learning: When inferencing input data use a learning model, if there is no inference result for input data, scalable-tuning based partial learning is used. Scalable-tuning based partial learning not only upgrades an existing learning model, but also adds a new class into the classification list (e.g., label.txt). + +### 7.1.3 Approximate inferencing + +Approximate inferencing predicts with pre-processed data. The predicted results can be used in a classification or estimation service, for example. For prediction, an approximate computing method is applied. Processing finds anr approximate rather than an exact answer. Approximate computing can achieve quicker response results than accurate ones. + +### 7.1.4 Optimized learning model + +The optimized learning model consists of a model architecture and model weighting. The model architecture determines a model configuration of stack layers from the perspective of machine learning or deep learning model. Model weights are initialized to arbitrary values, and are updated as learning proceeds with training data. Saving the learning model stores the model architecture and model weights. Three methods are used to generate an optimized learning model: sparse coding mechanism; learning-model compression mechanism; and data type lightweight mechanism. + +### 7.1.5 Full learning + +Full learning is a process of constructing a neural network from neural network nodes and then calculating a weighting of data input to each neural network node through a learning algorithm. Full learning can be achieved through various neural network-processing engines with learning algorithms. The neural network models can modify information directly described by the user or change the structure through editing tools to produce an optimized learning model. + +## 7.2 LISF requirements + +This clause describes the requirements for a LISF in accordance with the conceptual diagram in Figure 3. The LISF exists between the intelligent IoT application and the resource. The LISF supports online partial learning, approximate inference, performance and acceleration processing. + +![A conceptual diagram of a LISF (Low Latency Inference Service Framework) showing three layers: Applications, LISF, and Resources. The Applications layer contains three 'Intelligent IoT application' boxes. The LISF layer contains three boxes: 'On-line partial learning capability', 'Approximate inference capability', and 'Performance monitoring capability', with a fourth box below them labeled 'Accelerated processing capability'. The Resources layer contains three circles labeled 'CPU/GPU', 'Memory', and 'Network'.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +Y.4475(20)\_F03 + +A conceptual diagram of a LISF (Low Latency Inference Service Framework) showing three layers: Applications, LISF, and Resources. The Applications layer contains three 'Intelligent IoT application' boxes. The LISF layer contains three boxes: 'On-line partial learning capability', 'Approximate inference capability', and 'Performance monitoring capability', with a fourth box below them labeled 'Accelerated processing capability'. The Resources layer contains three circles labeled 'CPU/GPU', 'Memory', and 'Network'. + +**Figure 3 – A conceptual diagram of a LISF** + +### 7.2.1 Applications + +Intelligent IoT applications utilize the capabilities exposed by the LISF and run on embedded devices. Intelligent IoT applications work with low latency and efficient energy power on embedded devices. + +For development of intelligent IoT applications, based on the exposed capabilities of the LISF: + +- it is required to perform intelligent computing (e.g., such as machine learning and deep learning) on a standalone IoT device; +- it is required to support an efficient, scalable intelligent computing mechanism in a resource-limited environment; +- it is recommended to support enhanced capabilities for handling low latency and accelerators; +- it is recommended to monitor the information about the resource usage status. + +### 7.2.2 LISF + +The LISF has capabilities for learning, inference, performance monitoring and accelerating processing. The LISF provides artificial intelligence optimized for embedded systems and handles processing in resource-constrained embedded systems that maximize low-power performance for real-time operation. + +The LISF performs and exposes the capabilities as follows. + +- Online partial learning capability performs online partial learning for intelligent IoT applications. +- Approximate inference capability performs real-time inferencing for intelligent IoT applications. +- Performance-monitoring capability performs monitoring for resource utilization. +- Accelerating processing capability supports accelerating technology for intelligent IoT applications. + +For online partial learning capability: + +- it is required to provide a mechanism for partial learning processing in a resource-limited environment; +- it is recommended to provide a lightweight learning model for an on-device environment; + +- it is recommended to support high-density compression model and processing performance for quick learning; +- it is recommended to use parallel computing handling framework for accelerating the matrix operations of machine learning. + +For approximate inference capability: + +- it is recommended to support real-time processing for reasoning; +- it is recommended to support optimized graph network flow for inferencing; +- it is recommended to provide operation without network connection and simple configuration for artificial intelligence application. + +For performance-monitoring capability: + +- it is recommended to monitor performance for profiling function and data parsing analysis; +- it is recommended to provide information for GPGPU acceleration performance data collection; +- it is recommended to provide status information for resource execution. + +For accelerating processing capability: + +- it is recommended to provide GPU-based adaptively accelerating operations for embedded system performance on a number of IoT devices; +- it is recommended to provide operation in a binary format for parallel and acceleration processing; +- it is recommended to consider performance of IoT device processing to maximize parallelism regarding matrices with weights and bias values; +- it is recommended to share a memory between a server and IoT device to minimize the cost of the mathematical matrix multiply operation; +- it is recommended to provide an accelerator analysis unit with relevant IoT device information. + +### **7.2.3 Resources** + +The resources utilize appropriate system-related capabilities, such as CPU/GPU, memory or network. + +For the resource layer: + +- it is required to collect and manage CPU/GPU to handle real-time processing of intelligent IoT application and LISF; +- it is recommended to support low-latency response and bandwidth efficiency for the network; +- it is recommended to provide a storage policy to handle private data. + +# **8 Functional architecture of the LISF** + +The LISF provides intelligence to IoT applications that operate on resource-constrained IoT embedded devices. + +The LISF is composed of four functions for: + +- 1) online partial learning; +- 2) approximate inference; +- 3) performance monitoring; +- 4) accelerated processing. + +The LISF starts operations through a service request to the intelligent IoT application, and executes the online partial learning function or the approximate inference function. It works in conjunction with accelerated processing capabilities to generate optimized learning models and reasoning output. The LISF provides the intelligent functionality for intelligent IoT applications consisting of generic application logic and intelligent processing logic. + +The accelerated processing functions have the ability to configure computational resources and memory based on the processing requirements of the initial optimized learning model. This feature also enables fast and optimized work with online partial learning and approximate reasoning. + +## 8.1 Online partial learning function + +The online partial learning function, shown in Figure 4, is the foundation of the LISF. This function should run to update the initial learning model if some test dataset or reasoning capabilities of a new set of learning data are available. The function collects a training dataset from an intelligent IoT application and then performs machine learning to update the existing learning model. The training dataset consists of training data with labels in supervised modelling mode and delivers an online partial learning input. The format of training data with labels is required to comply with the specifications of the initial learning model. The online partial learning function supports its capabilities for intelligent IoT applications to allow them to train their learning models on it. + +The online partial learning function consists of three FEs for learning set-up; model training; and training control. + +![Figure 4: Online partial learning function in the LISF. The diagram shows a three-layer architecture. The top layer, 'Applications', contains three 'Intelligent IoT application' boxes. The middle layer, 'Light-weight intelligent software framework', contains the 'On-line partial learning function' (which includes 'Learning setup FE', 'Model training FE', and 'Training control FE'), 'Approximate inference function', 'Performance monitoring function', and 'Accelerated processing function'. The bottom layer, 'Resources', contains 'CPU/GPU', 'Memory', and 'Network'.](a83ba9e3e2c1e21dd69953a7b09e45b4_img.jpg) + +The diagram illustrates the architecture of the LISF, organized into three horizontal layers: + +- Applications:** This top layer contains three separate boxes, each labeled "Intelligent IoT application". +- Light-weight intelligent software framework:** This middle layer is a large container. Inside, on the left, is a yellow-shaded box labeled "On-line partial learning function". This box contains three sub-components: "Learning setup FE", "Model training FE", and "Training control FE". To the right of this yellow box are two more boxes: "Approximate inference function" and "Performance monitoring function". At the bottom of this layer is a wide box labeled "Accelerated processing function". +- Resources:** The bottom layer contains three circular icons representing hardware resources: "CPU/GPU", "Memory", and "Network". + +Figure 4: Online partial learning function in the LISF. The diagram shows a three-layer architecture. The top layer, 'Applications', contains three 'Intelligent IoT application' boxes. The middle layer, 'Light-weight intelligent software framework', contains the 'On-line partial learning function' (which includes 'Learning setup FE', 'Model training FE', and 'Training control FE'), 'Approximate inference function', 'Performance monitoring function', and 'Accelerated processing function'. The bottom layer, 'Resources', contains 'CPU/GPU', 'Memory', and 'Network'. + +Y.4475(20)\_F04 + +**Figure 4 – Online partial learning function in the LISF** + +### 8.1.1 Learning set-up FE + +The learning set-up FE prepares initial model parameters using a trained and training dataset. It downloads training models from the server system through the network and imports a training dataset from the intelligent IoT application to update the initial learning model. The learning set-up FE operates the initial learning model for further modelling optimization. Model optimization can be + +achieved by compression methods, such as parameter pruning and sharing, low-rank factorization, transferred and compact convolutional filters and knowledge distillation. + +The learning set-up FE usually chooses a default model based on a specific learning model at the request of an intelligent service type or intelligent IoT application. The training dataset supports training data for the online partial learning function and the raw data or record format of the database containing the labels. The information listed in Table 8-1 is necessary for the learning set-up FE. + +**Table 8-1 –Information for the learning set-up FE** + +| Set-up information | Description | Remarks | +|----------------------------------------|-----------------------------------------------------------------------|-----------------------------------------------| +| Identifier (ID) of intelligent service | ID for distinguishing intelligent service | Face recognition, character recognition, etc. | +| ID of learning model | The learning model to be used in training | Internal ID to distinguish learning model | +| Number of instances | The number of data instances in the training dataset | 1 024, 2 048, or 4 096, etc. | +| Width | Width of each data contained in the training dataset | 64 | +| Height | Height of each data contained in the training dataset | 64 | +| Number of channels | Number of channel of each data contained in the training dataset | 3 | +| Learning rate | Learning rate that controls the updating of gradient in backward pass | 0.1, 0.01, etc. | + +### 8.1.2 Model training FE + +The model training FE performs two major steps of the process for the learning model, namely the forward and backward passes. During a forward pass, training data is delivered through the neural network of the learning model; during a backward pass it returns through the neural network. The two passes are repeated until the cost of the loss and the loss in the iteration is less than or equal to a given threshold, to update the parameters (e.g., node weights and biases). + +The model training FE has the same essential information as the learning set-up FE. The model training FE must generate the following information from all iterations: + +- iteration number: the current iteration count in training; +- current cost: the cost calculated at current iteration n training. + +The model training FE uses the generated information as input to the training control FE. + +During the training process, the model training FE can request CPU/GPU and memory resources with accelerated processing function for rapid training. The following information is essential for the accelerated processing function: + +- layer information: the types and quantities of constituent layers in the learning model. + +### 8.1.3 Training control FE + +The training control FE should be stopped if the cost is below a given level or the number of iterations exceeds a given threshold to prevent useless or unlimited training. The training control FE stops after monitoring the current cost of the learning model and the number of iterations of the model training FE. The following information is essential for training control: + +- iteration threshold: the maximum number of iterations allowed for model training. + +### 8.1.4 Operational procedure + +The operation of the online partial learning function consists of three steps, as shown in Figure 5. + +Step 1 is the model set-up phase for partial learning, which is executed in the learning set-up FE. An intelligent IoT application requests PartialLearnSetup() from the online partial learning function for initializing system resources, loading a model and converting the training data formatting with model, data and key performance indicator (KPI) information. Furthermore, the KPI received from the intelligent IoT application includes the minimum accuracy, maximum cost and maximum iteration, which are then used to set KPIs for the training control FE. After completing the work, PartialLearnSetupResult() notifies the set-up completion results to the intelligent IoT application. + +Step 2 is the process for partial learning in the model training FE. The model training FE repeats the training iteration with the training model and dataset. The training control FE compares the initial target KPI with the measured KPI for each training iteration, and decides whether to perform additional training iterations based on the comparison result. If no additional training is required, the model training FE updates the training model. In addition, it notifies the result to the intelligent IoT application with the function PartialLearnResult(). + +Step 3 is executed in the learning set-up FE by PartialLearnComplete(), which is sent from the model training FE after completion of partial learning and training model update. Finally, this step releases system resources used for partial learning. + +![Sequence diagram illustrating the Online partial learning procedure in the LISF. The diagram shows interactions between the Application (Intelligent IoT application) and the LISF (On-line partial learning function), which includes Learning setup FE, Model training FE, and Training control FE. The process starts with PartialLearnSetup(model, data, KPI) from the Application to the Learning setup FE. The Learning setup FE performs System resource Init and Train model loading / Train data formatting, then sends PartialLearnSetupResult() back to the Application. The Application then sends PartialLearn() to the Model training FE. The Model training FE performs a Partial training iteration and sends IterationResult(acc, cost, iter) to the Training control FE. The Training control FE checks the KPI and reports resource usage statistics, then sends TrainControl() back to the Model training FE. A decision diamond 'Continue?' follows; if 'Yes', it loops back to the Partial training iteration; if 'No', it performs a Model update. The Model training FE then sends PartialLearnResult() back to the Application and PartialLearnComplete() to the Learning setup FE. Finally, the Learning setup FE performs System resource clean up.](9cd90f495b95ad2116ff780248c26d95_img.jpg) + +``` + +sequenceDiagram + participant Application as Application +Intelligent IoT application + participant LISF as LISF: On-line partial learning function + participant LearningSetupFE as Learning setup FE + participant ModelTrainingFE as Model training FE + participant TrainingControlFE as Training control FE + + Application->>LearningSetupFE: PartialLearnSetup(model, data, KPI) + LearningSetupFE->>LearningSetupFE: System resource Init +Train model loading +Train data formatting + LearningSetupFE-->>Application: PartialLearnSetupResult() + Application->>ModelTrainingFE: PartialLearn() + ModelTrainingFE->>ModelTrainingFE: Partial training iteration + ModelTrainingFE->>TrainingControlFE: IterationResult(acc, cost, iter) + TrainingControlFE->>TrainingControlFE: Check KPI +Report resources Usage statistics + TrainingControlFE-->>ModelTrainingFE: TrainControl() + ModelTrainingFE-->>ModelTrainingFE: Continue? + ModelTrainingFE-->>ModelTrainingFE: Yes + ModelTrainingFE-->>ModelTrainingFE: No + ModelTrainingFE->>ModelTrainingFE: Model update + ModelTrainingFE-->>Application: PartialLearnResult() + ModelTrainingFE->>LearningSetupFE: PartialLearnComplete() + LearningSetupFE->>LearningSetupFE: System resource clean up + +``` + +Y.4475(20)\_F05 + +Sequence diagram illustrating the Online partial learning procedure in the LISF. The diagram shows interactions between the Application (Intelligent IoT application) and the LISF (On-line partial learning function), which includes Learning setup FE, Model training FE, and Training control FE. The process starts with PartialLearnSetup(model, data, KPI) from the Application to the Learning setup FE. The Learning setup FE performs System resource Init and Train model loading / Train data formatting, then sends PartialLearnSetupResult() back to the Application. The Application then sends PartialLearn() to the Model training FE. The Model training FE performs a Partial training iteration and sends IterationResult(acc, cost, iter) to the Training control FE. The Training control FE checks the KPI and reports resource usage statistics, then sends TrainControl() back to the Model training FE. A decision diamond 'Continue?' follows; if 'Yes', it loops back to the Partial training iteration; if 'No', it performs a Model update. The Model training FE then sends PartialLearnResult() back to the Application and PartialLearnComplete() to the Learning setup FE. Finally, the Learning setup FE performs System resource clean up. + +Figure 5 – Online partial learning procedure in the LISF + +## 8.2 Approximate inference function + +The approximate inference function, shown in Figure 6, manages and performs inference processes for intelligent IoT applications. + +The approximate inference function consists of two FEs for: inference set-up and inference driving. + +![Figure 6: Approximate inference function in the LISF. The diagram shows a layered architecture. At the top, 'Applications' include three 'Intelligent IoT application' boxes. Below this is the 'Light-weight intelligent software framework', which contains an 'On-line partial learning function' box on the left, a central yellow box labeled 'Approximate inference function' containing 'Inference setup FE' and 'Inference driving FE' boxes, and a 'Performance monitoring function' box on the right. Below the framework is an 'Accelerated processing function' box. At the bottom, 'Resources' include three circular icons for 'CPU/GPU', 'Memory', and 'Network'. The identifier 'Y.4475(20)_F06' is at the bottom right.](8fa679f79a1bb1f527cba9f29e784e89_img.jpg) + +The diagram illustrates the architecture of the approximate inference function within the LISF. It is organized into three main horizontal layers: + +- Applications:** The top layer contains three separate boxes, each labeled "Intelligent IoT application". +- Light-weight intelligent software framework:** The middle layer is a large container. Inside, it features: + - An "On-line partial learning function" box on the left. + - A central yellow-shaded box labeled "Approximate inference function". Inside this yellow box are two smaller boxes: "Inference setup FE" and "Inference driving FE". + - A "Performance monitoring function" box on the right. + - Below these three boxes is a wide box labeled "Accelerated processing function". +- Resources:** The bottom layer contains three circular icons representing hardware resources: "CPU/GPU", "Memory", and "Network". + +Y.4475(20)\_F06 + +Figure 6: Approximate inference function in the LISF. The diagram shows a layered architecture. At the top, 'Applications' include three 'Intelligent IoT application' boxes. Below this is the 'Light-weight intelligent software framework', which contains an 'On-line partial learning function' box on the left, a central yellow box labeled 'Approximate inference function' containing 'Inference setup FE' and 'Inference driving FE' boxes, and a 'Performance monitoring function' box on the right. Below the framework is an 'Accelerated processing function' box. At the bottom, 'Resources' include three circular icons for 'CPU/GPU', 'Memory', and 'Network'. The identifier 'Y.4475(20)\_F06' is at the bottom right. + +**Figure 6 – Approximate inference function in the LISF** + +NOTE – The word approximate is used in this Recommendation to emphasize the inevitable loss of accuracy of the learning model due to the resource limitations of the IoT device, although the inference itself implies some approximation. + +### 8.2.1 Inference set-up FE + +The inference set-up FE prepares its learning model with a given test dataset. This FE installs the learning model from the server system via interprocess communication or network protocols, collects the test dataset from the intelligent IoT application, and verifies compliance with the learning model used in inference. The following information is necessary for inference set-up: + +- ID for distinguishing intelligent service; +- ID of the learning model to be used in inference; +- the number of data instances in the test dataset; +- the width of each data item contained in the test dataset; +- the height of each data item contained in the test dataset; +- the number of channels of each data item contained in the test dataset. + +### 8.2.2 Inference driving FE + +The inference driving FE starts the inference process with information prepared by the inference set-up FE. This FE can request CPU/GPU and memory resources through the accelerated processing function for fast reasoning during inference. The following information should be assembled for use by the accelerated processing function: + +- the ID of the learning model to be used in inference; +- learning model architectural information that describes how layers are interconnected; +- types and quantities of constituent layers in the learning model. + +### 8.2.3 Operational procedure + +The operation of the online approximate inference function consists of three steps as shown in Figure 7. + +Step 1 is the model set-up phase performed in the inference set-up FE. It includes initializing the system resources necessary for the inference model and modelling process according to the model information by the intelligent IoT application. + +Step 2 is the process to infer in the inference driving FE. The inference data requested from the intelligent IoT application is converted into a suitable format by the inference set-up FE, which requests inference from the inference driving FE. The inference driving FE sends the result to the inference set-up FE. The inference result also passes to the intelligent IoT application through the inference set-up FE to clean up the inference data. Step 2 repeats until completion for all inference data. + +Step 3 is the process to release the resources used in the inference model. The inference set-up FE releases system resources to clean up the model. + +![Sequence diagram illustrating the approximate inference procedure in the LISF. The diagram shows the interaction between the Application (Intelligent IoT application) and the LISF (On-line approximate inference function, consisting of Inference setup FE and Inference driving FE). The process includes model setup, an inference loop, and resource cleanup.](2eb23c2210154279f8013a1594fbcc5a_img.jpg) + +``` + +sequenceDiagram + participant Application as Application +Intelligent IoT application + participant LISF as LISF: On-line approximate inference function +Inference setup FE + participant Inference driving FE as Inference driving FE + + Application->>LISF: InferenceSetup(model) + LISF->>LISF: System resources Init + LISF->>LISF: Inference model loading + Note over Application, LISF: Inference loop + Application->>LISF: Inference(data) + LISF->>LISF: Inference data formatting + LISF->>Inference driving FE: Inference() + Inference driving FE-->>LISF: InferenceResultl(result) + LISF-->>Application: InferenceResultl(result) + Note over LISF: Report resources Usage statistics + Application->>LISF: InferenceTerminate(model) + LISF->>LISF: System resources clean up + +``` + +The diagram illustrates the approximate inference procedure in the LISF. It shows the interaction between the Application (Intelligent IoT application) and the LISF (On-line approximate inference function, consisting of Inference setup FE and Inference driving FE). The process includes model setup, an inference loop, and resource cleanup. + +**Sequence of operations:** + +- Model Setup:** The Application sends `InferenceSetup(model)` to the Inference setup FE. The Inference setup FE performs `System resources Init` and `Inference model loading`. +- Inference Loop:** + - The Application sends `Inference(data)` to the Inference setup FE. + - The Inference setup FE performs `Inference data formatting`. + - The Inference setup FE sends `Inference()` to the Inference driving FE. + - The Inference driving FE returns `InferenceResultl(result)` to the Inference setup FE. + - The Inference setup FE returns `InferenceResultl(result)` to the Application. + - The Inference setup FE performs `Report resources Usage statistics`. +- Resource Cleanup:** The Application sends `InferenceTerminate(model)` to the Inference setup FE. The Inference setup FE performs `System resources clean up`. + +Sequence diagram illustrating the approximate inference procedure in the LISF. The diagram shows the interaction between the Application (Intelligent IoT application) and the LISF (On-line approximate inference function, consisting of Inference setup FE and Inference driving FE). The process includes model setup, an inference loop, and resource cleanup. + +Figure 7 – Approximate inference procedure in the LISF + +## 8.3 Performance-monitoring function + +The performance-monitoring function, shown in Figure 8, gathers performance statistics about the CPU/GPU, memory and other system resource usage in the resource layer when the online partial learning function or approximate inference function operates. This function handles the accelerated processing function with collected statistics to investigate the possibility of accelerating the online + +partial learning or approximate inference. The performance-monitoring function consist of two FEs for: learning monitoring and inference monitoring. + +![Figure 8 – Performance-monitoring function in the LISF. The diagram shows a layered architecture. At the top, 'Applications' layer contains three 'Intelligent IoT application' boxes. Below this is the 'Light-weight intelligent software framework' layer, which is divided into three main sections: 'On-line partial learning function', 'Approximate inference function', and a highlighted 'Performance monitoring function' box. The 'Performance monitoring function' box contains two sub-boxes: 'Learning monitoring FE' and 'Inference monitoring FE'. Below these is an 'Accelerated processing function' box. At the bottom is the 'Resources' layer, containing three circular icons labeled 'CPU/GPU', 'Memory', and 'Network'.](812e188283162af0b54fb3e30ffee51b_img.jpg) + +The diagram illustrates the performance-monitoring function within the LISF architecture. It is organized into three main horizontal layers: Applications, Light-weight intelligent software framework, and Resources. The Applications layer consists of three Intelligent IoT application boxes. The Light-weight intelligent software framework layer is a large container divided into three main functional areas: On-line partial learning function, Approximate inference function, and a highlighted Performance monitoring function. The Performance monitoring function area contains two sub-components: Learning monitoring FE and Inference monitoring FE. Below these functional areas is an Accelerated processing function box. The Resources layer at the bottom contains three circular icons representing system resources: CPU/GPU, Memory, and Network. + +Figure 8 – Performance-monitoring function in the LISF. The diagram shows a layered architecture. At the top, 'Applications' layer contains three 'Intelligent IoT application' boxes. Below this is the 'Light-weight intelligent software framework' layer, which is divided into three main sections: 'On-line partial learning function', 'Approximate inference function', and a highlighted 'Performance monitoring function' box. The 'Performance monitoring function' box contains two sub-boxes: 'Learning monitoring FE' and 'Inference monitoring FE'. Below these is an 'Accelerated processing function' box. At the bottom is the 'Resources' layer, containing three circular icons labeled 'CPU/GPU', 'Memory', and 'Network'. + +Y.4475(20)\_F08 + +**Figure 8 – Performance-monitoring function in the LISF** + +### 8.3.1 Learning-monitoring FE + +The learning-monitoring FE keeps track of system resources, such as CPU/GPU usage and frequency, or the amount of random-access memory (RAM) available while the online partial learning function is running. When accelerated processing functions also use standard parallel computing application programming interfaces (APIs), the learning-monitoring FE collects context, queue and kernel usage information in real time, as well as information about the API trace and resource statistics. + +### 8.3.2 Inference-monitoring FE + +The inference-monitoring FE keeps tracks of system resources such as CPU/GPU usage and frequency, or the amount of RAM available, while the approximate inference function is running. The inference-monitoring FE also collects information about API traces and resource statistics in real time, as well as context, queue, and kernel usage when accelerated processing functions use the APIs specified in the standard parallel computing framework for accelerating performance. + +### 8.3.3 Operational procedure + +The operation of the performance-monitoring procedure is shown in Figure 9. The performance-monitoring function provides two sources of reporting resource usage statistics data on: the learning model; and the inference model. + +The learning-monitoring FE collects performance metrics measured and reported by the training control FE in the online partial learning function in relation to the learning model during partial learning. + +The inference-monitoring FE collects performance indicators measured and reported by the inference driving FE in the online approximate inference function. + +The performance statistics data can be used for the parallelization-managing FE in the accelerated processing function, which optimizes the memory allocation, device allocation, and kernel configuration required for learning or inference models. + +![Figure 9: Performance-monitoring procedure in the LISF. The diagram shows three main functional blocks: 'LISF: On-line partial learning function' containing 'Training control FE', 'LISF: Performance monitoring function' containing 'Learning monitoring FE' and 'Inference monitoring FE', and 'LISF: On-line approximate inference function' containing 'Inference driving FE'. Below these, two dashed boxes represent 'Report resource usage statistics'. The first dashed box shows 'Report(resource_usage)' from 'Training control FE' to 'Accumulate learning model performance data'. The second dashed box shows 'Report(resource_usage)' from 'Inference driving FE' to 'Accumulate inference model performance data'. Vertical lines connect the top blocks to the bottom blocks. A reference code 'Y.4475(20)_F09' is at the bottom right.](08a978a124d3ed6cf1a3d0cfd89418d0_img.jpg) + +Figure 9: Performance-monitoring procedure in the LISF. The diagram shows three main functional blocks: 'LISF: On-line partial learning function' containing 'Training control FE', 'LISF: Performance monitoring function' containing 'Learning monitoring FE' and 'Inference monitoring FE', and 'LISF: On-line approximate inference function' containing 'Inference driving FE'. Below these, two dashed boxes represent 'Report resource usage statistics'. The first dashed box shows 'Report(resource\_usage)' from 'Training control FE' to 'Accumulate learning model performance data'. The second dashed box shows 'Report(resource\_usage)' from 'Inference driving FE' to 'Accumulate inference model performance data'. Vertical lines connect the top blocks to the bottom blocks. A reference code 'Y.4475(20)\_F09' is at the bottom right. + +**Figure 9 – Performance-monitoring procedure in the LISF** + +## 8.4 Accelerated processing function + +The accelerated processing function, shown in Figure 10, provides optimized utilization of resources for a given learning model. Each layer of the learning model requires a variety of mathematical operations for learning and inference. The accelerated processing function is optimized for underlying HW resources and provides parallel mathematical operations, as well as examining the statistics provided by performance-monitoring function to identify bottlenecks. According to the results, the configuration of HW resource usage is updated to accelerate the online partial learning function and approximate inference function. The accelerated processing function is necessary for accelerating mathematical operations used in the constituent layers of the learning model. Mathematical operations are general linear algebra operations such as vector addition, scalar multiplication, linear combinations and matrix multiplication. + +The accelerated processing function consist of two FEs for: parallelization management and acceleration management. + +![Figure 10: Accelerating processing function in the LISF. The diagram shows a layered architecture. At the top is the 'Applications' layer with three 'Intelligent IoT application' boxes. Below this is the 'Light-weight intelligent software framework' layer, which contains three main functional blocks: 'On-line partial learning function', 'Approximate inference function', and 'Performance monitoring function'. These three blocks are connected to the 'Applications' layer via bidirectional arrows. Below these is a yellow-shaded 'Accelerated processing function' block, which contains two sub-blocks: 'Parallelization managing FE' and 'Accelerating managing FE', connected by bidirectional arrows. The 'Accelerated processing function' block is connected to the 'Light-weight intelligent software framework' layer via bidirectional arrows. At the bottom is the 'Resources' layer, which contains three circular icons: 'CPU/GPU', 'Memory', and 'Network'. The 'Accelerated processing function' block is connected to the 'Resources' layer via bidirectional arrows. The diagram is labeled 'Y.4475(20)_F10' in the bottom right corner.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +Figure 10: Accelerating processing function in the LISF. The diagram shows a layered architecture. At the top is the 'Applications' layer with three 'Intelligent IoT application' boxes. Below this is the 'Light-weight intelligent software framework' layer, which contains three main functional blocks: 'On-line partial learning function', 'Approximate inference function', and 'Performance monitoring function'. These three blocks are connected to the 'Applications' layer via bidirectional arrows. Below these is a yellow-shaded 'Accelerated processing function' block, which contains two sub-blocks: 'Parallelization managing FE' and 'Accelerating managing FE', connected by bidirectional arrows. The 'Accelerated processing function' block is connected to the 'Light-weight intelligent software framework' layer via bidirectional arrows. At the bottom is the 'Resources' layer, which contains three circular icons: 'CPU/GPU', 'Memory', and 'Network'. The 'Accelerated processing function' block is connected to the 'Resources' layer via bidirectional arrows. The diagram is labeled 'Y.4475(20)\_F10' in the bottom right corner. + +**Figure 10 – Accelerating processing function in the LISF** + +### 8.4.1 Parallelization-managing FE + +The parallelization-managing FE initializes and configures the following entities within the resource to run mathematical operations in parallel to speed up layer execution. Moreover, the parallelization-managing FE manages a parallel-processing queue for performing parallel processing depending on a number of devices in the embedded system, such as those with OpenCL. Furthermore, the parallelization-managing FE divides a matrix with weights and bias values taking the parallel processing performance of the device into consideration to maximize parallelism in multiple device environments. The parallel processing capability of the device is determined by the number of kernel instances that are executed at a time, a maximum work group size of the device or a maximum work item size: + +- platform: specific targeted heterogeneous platform consisting of CPUs, GPUs, and other processors or HW accelerators; +- device: processors performing the calculation; +- context: an entity that manages the resources on a device set; +- command queue: an entity that executes the kernel and performs memory mapping or unmapping and synchronization; +- kernel: codes running on a device. + +The parallelization-managing FE allocates device memory, copies data from the host to the device, sets up the kernel and copies the result again. It is necessary to design for parallel applications. The basic assumption is that many instances of the kernel run in parallel, each processing a single work item. Multiple work items run together as part of a work group. An instance of each kernel in the work group communicates with an additional instance. + +### 8.4.2 Acceleration-managing FE + +The acceleration-managing FE manages the framework for the kernel, which supports the set of mathematical operations. The set of mathematical operations includes those in neural networks, such as a convolutional neural network (CNN). The acceleration-managing FE supports mathematical routines that provide standard building blocks for performing basic vector and matrix operations. The acceleration-managing FE controls resources so that a device, such as an OpenCL device, performs a general matrix multiply (GEMM) operation on the divided matrix and input data depending on the divided matrix. In addition, the acceleration-managing FE groups the matrix into vectors to maximize a workload for each kernel, and determines on a size of a work group to allow each device to perform parallel processing. Furthermore, the acceleration-managing FE shares a memory between a host and devices to minimize the cost of the GEMM operation, each device performs mathematical routines without copying data between the host and the device by accessing the host's vector and a matrix using a memory address for operations: + +- with scalar and vector or vector and vector; +- with matrix and vector; and +- between matrices. + +### 8.4.3 Operational procedure + +The operation of the accelerating processing procedure is shown in Figure 11. The accelerated processing function consists of a parallelization-managing FE and an accelerating managing FE. + +The parallelization-managing FE performs tasks such as memory allocation, kernel configuration, and memory copy from host to device for partial learning model initialization and inference initialization requests. In the case of initial inference and partial learning, performance data allocates default memory and the kernel configuration. If there is performance data from the learning-monitoring FE or inference-monitoring FE, memory is allocated and the kernel configured using this information. + +The accelerating managing FE provides the mathematical operations necessary for deep learning. It provides acceleration functions for mathematical operations between scalar, vector, and matrix quantities required for forward or backward pass in the learning or inference models. + +![Sequence diagram showing the accelerating processing procedure in the LISF. The diagram involves four main components: Application, LISP: On-line partial learning function, LISP: On-line approximate inference function, and LISP: Accelerated processing function. The Application sends PartialLearnSetup(model, data, KPI) to the Learning setup FE. The Learning setup FE sends System resource Init (SystemResourceInit(model, data, KPI)) to the Accelerated processing function. The Accelerated processing function performs Allocate device memory, Copy data to device, and Setup kernels. The Application sends InferenceSetup(model) to the Inference setup FE. The Inference setup FE sends System resource Init (SystemResourceInit(model)) to the Accelerated processing function. The Accelerated processing function performs Allocate device memory, Copy data to device, and Setup kernels.](5132b3a97ac70fe4765c1e07e66b72b3_img.jpg) + +``` +sequenceDiagram + participant Application as Application + + participant LISP_L as LISP: On-line partial learning function + + participant LISP_I as LISP: On-line approximate inference function + + participant LISP_A as LISP: Accelerated processing function + + LISP_L-->>LISP_A: System resource Init + + LISP_L-->>LISP_A: SystemResourceInit(model, data, KPI) + + LISP_A->>LISP_A: Allocate device memory + + LISP_A->>LISP_A: Copy data to device + + LISP_A->>LISP_A: Setup kernels + + Application->>LISP_I: InferenceSetup(model) + + LISP_I-->>LISP_A: System resource Init + + LISP_I-->>LISP_A: SystemResourceInit(model) + + LISP_A->>LISP_A: Allocate device memory + + LISP_A->>LISP_A: Copy data to device + + LISP_A->>LISP_A: Setup kernels +``` + +Sequence diagram showing the accelerating processing procedure in the LISF. The diagram involves four main components: Application, LISP: On-line partial learning function, LISP: On-line approximate inference function, and LISP: Accelerated processing function. The Application sends PartialLearnSetup(model, data, KPI) to the Learning setup FE. The Learning setup FE sends System resource Init (SystemResourceInit(model, data, KPI)) to the Accelerated processing function. The Accelerated processing function performs Allocate device memory, Copy data to device, and Setup kernels. The Application sends InferenceSetup(model) to the Inference setup FE. The Inference setup FE sends System resource Init (SystemResourceInit(model)) to the Accelerated processing function. The Accelerated processing function performs Allocate device memory, Copy data to device, and Setup kernels. + +Y.4475(20)\_F11 + +Figure 11 – Accelerating processing procedure in the LISP + + + +embedded IoT device fulfils the user's request. The third is a learning phase that creates a new learning model. + +The detailed procedure of the service is as follows. + +- 1) Users request delivery service from a control centre with a batch learning server. When requesting the service, the following information is sent: user location; user identification; service type; etc. (sequence 1). +- 2) On receipt of the request, the control centre searches the nearest drone station to the user and sends delivery service to the one selected, e.g., drone station #3 (sequence 2). +- 3) The drone station, which manages embedded IoT devices, selects a drone that can be serviced and forwards information associated with delivery service to the selected drone (sequence 3). +- 4) The drone flies to the user to start the service. During the flight, the drone collects environmental image data using an embedded CAM device. When arriving at the destination from where the user has requested the service, the drone first identifies the user by using face detection and then provides the service corresponding to the user request. After finishing the service, the drone flies back to the drone station (sequence 4). +- 5) Drone stations send all data collected by drones to the control centre, which performs batch learning and generates a new inference engine for all drones (sequences 5 and 6). + +The drone conducts intelligence processing, e.g., online partial learning, during the flight or at the drone station, so that the drone is updated with the new inference engine. Embedded IoT device such as drones can be applied to heterogeneous service domains or various data environments. + +![Sequence diagram illustrating the LISF service procedure across four entities: Users, Control centre, Drone station, and Drone. The process is divided into three phases: 1st phase (initialization and service start), 2nd phase (service delivery and data collection), and 3rd phase (data upload, batch learning, and model update).](aaf3e6e44cdeabd6d1df869c5f392ea1_img.jpg) + +``` + +sequenceDiagram + participant Users + participant CC as Control centre +(Batched learning server) + participant DS as Drone station +(Device manager) + participant D as Drone +(Embedded IoT device) + + Note over D: Initial inference engine + Users->>CC: 1 Request "Delivery service" +(Location, identification, service) + Note over CC: Search the nearest drone station + CC->>DS: 2 Send "Delivery service" to drone station #3 +(Location, identification, service) + Note over DS: Select a drone + DS->>D: 3 Forwarding "Delivery service" +(Location, identification, service) + Note over D: Start the service + D->>Users: Drone fly to user and collecting "environmental image data" + Note over Users: Get the service +(e.g., package delivery service, +photographing service, etc.) + D->>DS: 4 Drone flying back to drone station + Note over D: "Online partial learning" + D->>DS: Sending "environmental image data" + DS->>CC: 5 Forwarding "environmental image data" + Note over CC: Perform batch learning + CC->>DS: 6 Send updated inference engine + DS->>D: Send updated inference engine + Note over D: Updated new inference engine + + Note right of D: 1st phase + Note right of D: 2nd phase + Note right of D: 3rd phase + +``` + +Y.4475(20)\_FI.2 + +Sequence diagram illustrating the LISF service procedure across four entities: Users, Control centre, Drone station, and Drone. The process is divided into three phases: 1st phase (initialization and service start), 2nd phase (service delivery and data collection), and 3rd phase (data upload, batch learning, and model update). + +**Figure I.2 – A procedural example of LISF service** + +# Appendix II + +## Use case – Personal vision aids service + +(This appendix does not form an integral part of this Recommendation) + +This appendix gives an example of service for personal vision aids with an LISF on embedded IoT devices. The vision aids service is helpful for visually impaired people and can support personalized service in each individual's environment. + +Figure II.1 shows an example of personal vision aids service with the LISF. The service has four entities: users; wearable device; LISF gateway; and service centre. + +- Users use a personal and customized vision aids service. +- The wearable device detects the objects and transfers the image data to the LISF gateway. In addition, the wearable device can send object information to the user through sounds. +- The LISF gateway performs online partial learning on the IoT device with newly acquired data from the individual's environment. In addition, it transmits the acquired data to a service centre to perform batch learning. The data transferred are used as training data for regenerating the learning model. + - The LISF gateway infers objects using pre-trained learning models and image data from wearable device (e.g., smart glasses or phone). + - The LISF gateway transfers inference results to the wearable device. +- The service centre initially performs full (batch) learning with rich system resources and transfers a pre-trained learning model to the LISF gateway. + +![Figure II.1: Service scenario for personal vision aids. The diagram illustrates a system architecture over a map background. Two users, User 1 and User 2, are shown with their respective wearable devices and LISF gateways. User 1's gateway is connected to a 'pre-trained learning model' and 'data' flow. User 2's gateway is connected to 'On-line partial learning' and 'data' flow. The LISF gateways are connected to a 'Service Center' which contains server racks. The Service Center performs 'Fully learning' (labeled 1) and transfers a 'pre-trained learning model' (labeled 2) to the gateways. The gateways also perform 'On-line partial learning' (labeled 3) and transfer 'data' (labeled 4) back to the Service Center. A legend on the right shows icons for Human, Building, and Car. A callout box shows a 'Building' (Dusit Thani) and a 'Venue' (Dusit Thani).](705ee99c3c44fd2a1ea6a3348ce8878f_img.jpg) + +Figure II.1: Service scenario for personal vision aids. The diagram illustrates a system architecture over a map background. Two users, User 1 and User 2, are shown with their respective wearable devices and LISF gateways. User 1's gateway is connected to a 'pre-trained learning model' and 'data' flow. User 2's gateway is connected to 'On-line partial learning' and 'data' flow. The LISF gateways are connected to a 'Service Center' which contains server racks. The Service Center performs 'Fully learning' (labeled 1) and transfers a 'pre-trained learning model' (labeled 2) to the gateways. The gateways also perform 'On-line partial learning' (labeled 3) and transfer 'data' (labeled 4) back to the Service Center. A legend on the right shows icons for Human, Building, and Car. A callout box shows a 'Building' (Dusit Thani) and a 'Venue' (Dusit Thani). + +Figure II.1 – Service scenario for personal vision aids + +This procedure consists of three phases. The first is a configuration phase in which users request the service from the service centre. The second is an execution phase in which embedded IoT devices detect and infer the objects when users move. The third is a learning phase in which an embedded IoT device performs online partial learning and sets up a personalized learning model. + +The detailed procedure of the service is as follows. + +### 1: Configuration phase (Sequence 1-4) + +- 1) Users request vision aids service from a service centre via embedded IoT devices such as a wearable device and LISF gateway. When the service centre receives the service request, it transfers the pre-trained learning model (sequences 1, 2, and 3). +- 2) On receipt of the learning model, the LISF gateway sets up an initial inference and learning engine and reports a status service set-up to users via the wearable device using sound (sequence 4). + +### 2: Inferencing phase (Sequence 5-8) + +- 3) When users move, the wearable device detects the object and generates the image data for it. When data generation is completed, the wearable device transfers the generated data to the LISF gateway (sequences 5 and 6). +- 4) The LISF gateway infers the detected object using an inference engine. When finished, the LISF gateway provides the user with an inference result based on the pre-trained model (sequences 7 and 8). + +### 3: Online partial and re-learning phase (Sequence 9) + +- 5) Based on the data collected up to this point, the LISF gateway performs online partial learning and sets up a personalized learning model. The LISF gateway transfers the collected data to the service centre. The service centre performs batch learning and generates an updated learning model (sequence 9). + +The LISF provides a lightweight learner, e.g., for online partial learning and predictor, optimized in embedded HW in a resource-limited environment. + +![Sequence diagram showing the LISF procedure for a personal vision aids service across four entities: Users, Wearable device, LISF gateway (Embedded IoT device), and Service centre (Batched learning server). The process is divided into three phases: 1st phase (Setup), 2nd phase (Detection and Inference), and 3rd phase (Learning).](11edb7fcedf09ac6a817f8d7b8c61eec_img.jpg) + +``` + +sequenceDiagram + participant U as Users + participant W as Wearable device + participant G as LISF gateway +(Embedded IoT device) + participant S as Service centre +(Batched learning server) + + Note over S: Perform batch learning + U->>W: 1 Request "Service"(voice) + W->>G: 2 Send "Service request" + S->>G: 3 Transfer "Pre-trained learning model" + Note over G: Setup initial +inference and +learning engine + G->>U: 4 Report "Service setup" + Note over S: 1st phase + + Note over U: Start the service + U->>W: 5 Watching "Some objects" + Note over W: Detect objects + W->>G: 6 Transfer "Image data" + Note over G: Infer objects + G->>W: 7 Transfer "Inference results" + W->>U: 8 Send "Object information"(sound) + Note over U: Get the +information +of objects + Note over S: 2nd phase + + Note over G: Perform +on-line partial +learning + Note over G: Setup +personalized +learning model + G->>S: 9 Transfer "Collected data" + Note over S: Perform +batch +learning + Note over S: 3rd phase + +``` + +Y.4475(20)\_FII.2 + +Sequence diagram showing the LISF procedure for a personal vision aids service across four entities: Users, Wearable device, LISF gateway (Embedded IoT device), and Service centre (Batched learning server). The process is divided into three phases: 1st phase (Setup), 2nd phase (Detection and Inference), and 3rd phase (Learning). + +**Figure II.2 – A LISF procedure example of a personal vision aids service** + +# Bibliography + +- [b-ITU-T Y.2012] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [b-ITU-R M.1224-1] Recommendation ITU-R M.1224-1 (2012), *Vocabulary of terms for international mobile telecommunications (IMT)*. + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4476-202102-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg b/marked/Y/T-REC-Y.4476-202102-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg new file mode 100644 index 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NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Frameworks, architectures and protocols + +# --- **Requirements and functional architecture for smart construction site services** + +Recommendation ITU-T Y.4478 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +### CLOUD COMPUTING + +### BIG DATA + +### QUANTUM KEY DISTRIBUTION NETWORKS + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.4478 + +# Requirements and functional architecture for smart construction site services + +## Summary + +Recommendation ITU-T Y.4478 introduces requirements and functional architecture for smart construction site (SCS) services with a concept, its goals and key components. SCS services offered by a system integrator can deploy and operate various techniques for construction units to effectively improve the remote management level of the construction site and accelerate the speed of handling hidden dangers. + +Recommendation ITU-T Y.4478 analyses common characteristics and specifies requirements of SCS services and describes a functional architecture of smart construction site service platform (SCS-SP) and smart construction site devices (SCS-Ds). + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4478 | 2021-11-29 | 20 | 11.1002/1000/14817 | + +## Keywords + +Smart construction site. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------|------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Introduction ..... | 2 | +| 6.1 Concept and goals of SCS services ..... | 2 | +| 6.2 Common characteristics of SCS services ..... | 3 | +| 6.3 Overview of SCS services ..... | 3 | +| 7 Requirements for SCS services ..... | 4 | +| 7.1 Requirements for SCS-Ds ..... | 4 | +| 7.2 Requirements for an SCS-SP..... | 5 | +| 8 Functional architectures of SCS services ..... | 6 | +| 8.1 Functional architecture overview ..... | 6 | +| 8.2 SCS-Access control ..... | 7 | +| 8.3 SCS-Video surveillance..... | 7 | +| 8.4 SCS-Status monitoring ..... | 7 | +| 8.5 SCS-Image recognition ..... | 7 | +| 8.6 SCS-Resource management ..... | 8 | +| 8.7 SCS-Analysis and prediction..... | 8 | +| 8.8 SCS-Labour management..... | 8 | +| 8.9 SCS-Material management..... | 8 | +| 8.10 SCS-Environment management ..... | 8 | +| 8.11 SCS-Emergency management ..... | 9 | +| 8.12 SCS-Methods management ..... | 9 | +| Appendix I – Use cases of smart construction site ..... | 10 | +| I.1 Detection of steel bars ..... | 10 | +| I.2 Monitoring of builder's lift ..... | 10 | +| I.3 Monitoring of material-upload platform ..... | 11 | +| I.4 Boundary protection ..... | 12 | +| I.5 Safety monitoring by video surveillance ..... | 12 | +| I.6 Remote ranging of construction objects ..... | 13 | +| Bibliography..... | 15 | + + + +## Recommendation ITU-T Y.4478 + +# Requirements and functional architecture for smart construction site services + +# 1 Scope + +This Recommendation specifies requirements for smart construction site (SCS) services after analysing their common characteristics and further describes a functional architecture consisting of a smart construction site service platform (SCS-SP) and smart construction site devices (SCS-Ds). + +The scope of this Recommendation includes: + +- concept, goals and key components of SCS services; +- requirements for SCS services; +- functional architecture of SCS-SP and SCS-Ds. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application** [b-ITU-T Y.2091]: A structured set of capabilities, which provide value-added functionality supported by one or more services, which may be supported by an API interface. + +**3.1.2 device** [ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.3 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broad perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.4 thing** [ITU-T Y.4000]: With regard to the Internet of things, this is an object of the physical world (physical things) or of the information world (virtual things), which is capable of being identified and integrated into communication networks. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|------------------------------------------| +| 3D | three Dimensional | +| 3G | third Generation | +| 4G | fourth Generation | +| 5G | fifth Generation | +| app | application | +| GPRS | General Packet Radio Service | +| GPS | Global Positioning System | +| NFC | Near Field Communication | +| PTZ | Pan/Tilt/Zoom | +| RFID | Radio Frequency Identification | +| SCS | Smart Construction Site | +| SCS-D | Smart Construction Site Device | +| SCS-SP | Smart Construction Site Service Platform | +| Wi-Fi | Wireless Fidelity | + +# **5 Conventions** + +The following conventions are used in this Recommendation. + +- The phrase "is required to" indicates a requirement that must be strictly followed and from which no deviation is permitted, if conformity to this Recommendation is to be claimed. +- The phrase "is recommended" indicates a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformity. + +# **6 Introduction** + +## **6.1 Concept and goals of SCS services** + +In general, SCS [b-Bucchiarone] refers to the informatization process of a construction site. By using SCS-Ds, information related to the construction process generated by these devices is then transmitted to an SCS-SP, if necessary. This is done to improve construction process management, safety monitoring and intelligent production, which are the potential services provided by the SCS-SP. + +SCS services are introduced to support users by achieving the following goals: + +- to help realize the visualized and intelligent management of the construction project, by carrying out construction process trend predictions and emergency plans; +- to improve the level of information-based management of the construction project; +- to realize green construction and ecological construction; +- to potentially improve the modes of interaction, working and management of any parties involved in the construction project; + +- to eliminate potential waste of resources, and continuously improve the quality, scheduling and cost of the project, with minimal resource input; +- to maximize the benefit of the project, so as to meet the needs of customers and to ensure a maximized value. + +To meet the goals listed in the preceding paragraph, management services for labour, materials, environment emergencies, etc., are recommended for inclusion in the SCS-SP, as they would effectively improve the remote management level of the construction site and accelerate the speed of handling hidden dangers. + +## 6.2 Common characteristics of SCS services + +Since SCS services involve the informatization process of a construction site by obtaining corresponding data from the underlying SCS-Ds and efficiently transmitting it to the upper SCS-SP, provision of unified applications for SCS service users then becomes a problem that requires special attention. + +In this process, SCS services may have the following characteristics. + +### SCS-Ds + +- Data interoperability: The SCS service involves data collection from different types of device. To better unify the informatization process, data interoperability among these devices needs to be considered. +- Real-time data processing: The SCS service involves data monitoring and analysis of the operational behaviour of the equipment on an SCS. Usually, it predicts potential security risks and real-time problems of service data need to be taken into consideration. + +### SCS-SP + +- Localization of service processing: The SCS service may perform unified data resource management based on information collected by the device layer, and conducts alarm and emergency management-related processes through behaviour prediction functions that may be performed by the SCS-SP. In this circumstance, the mechanisms of making a rapid response to specific events need to be considered. +- System openness: As part of a smart city, the SCS service also usually interacts with other systems. The SCS-SP needs to fully consider the openness of the system, including the potential information interaction mechanism and external interface guarantee. + +## 6.3 Overview of SCS services + +The key components of SCS are reflected in Figure 1, which are SCS-Ds, Communication networks, SCS-SP, and SCS application (app), respectively. + +- SCS-Ds are smart connected (with functionalities for access control, status monitoring, video surveillance and image recognition, etc.) used on the construction site, which generate construction project-related information and transmit the information to the SCS-SP. +- Communication networks, which are mainly based on the IoT infrastructure, communicate information for transmission. Such communication networks lie outside the scope of this Recommendation. +- An SCS-SP collects construction site information from the SCS-Ds, and then performs an efficient and real-time full-process supervision and management service around the site in the big picture by providing services with functionalities for management of labour, machinery, materials, environment, process or method and emergencies, etc. +- The SCS app is a set of applications (e.g., through web, on desktops, on mobile phones) for SCS service users. The SCS app lies outside the scope of this Recommendation. + +![Figure 1: Overview of smart construction site services. The diagram shows a three-tier architecture. The top tier, 'SCS App', includes 'Web' (laptop icon), 'Desktop' (computer monitor icon), and 'Mobile' (smartphone icon). The middle tier, 'SCS-SP', includes 'Labour management' (worker in hard hat), 'Material management' (piles of construction materials), and 'Environment management' (multiple camera feeds). The bottom tier, 'SCS-D', is divided into four categories: 'Access control devices' (Card, Helmet), 'Status monitoring devices' (Accelerometer, Pressure sensor), 'Video surveillance devices' (Infrared camera, Camera), and 'Image recognition devices' (Scanner, Pad). All tiers are connected to a central 'Communication networks' cloud, which is also linked to a radio tower icon. The reference 'Y.4478(21)' is at the bottom right.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 1: Overview of smart construction site services. The diagram shows a three-tier architecture. The top tier, 'SCS App', includes 'Web' (laptop icon), 'Desktop' (computer monitor icon), and 'Mobile' (smartphone icon). The middle tier, 'SCS-SP', includes 'Labour management' (worker in hard hat), 'Material management' (piles of construction materials), and 'Environment management' (multiple camera feeds). The bottom tier, 'SCS-D', is divided into four categories: 'Access control devices' (Card, Helmet), 'Status monitoring devices' (Accelerometer, Pressure sensor), 'Video surveillance devices' (Infrared camera, Camera), and 'Image recognition devices' (Scanner, Pad). All tiers are connected to a central 'Communication networks' cloud, which is also linked to a radio tower icon. The reference 'Y.4478(21)' is at the bottom right. + +**Figure 1 – Overview of smart construction site services** + +# **7 Requirements for SCS services** + +## **7.1 Requirements for SCS-Ds** + +### **7.1.1 Requirements for access control devices** + +To help realize the visualized and intelligent labour management of the construction project, access control devices shall be used with the following requirements. + +- It is recommended to have the ability to be located within the construction site, and support a positioning mechanism based on three dimensional (3D) space. +- It is recommended to support the management of work type and working time, to help SCS service users to schedule work. +- It is recommended to support the notification of and alarm delivery to staff on-site when an emergency event takes place, by methods such as sending an alarm text or voice message. + +### **7.1.2 Requirements for status-monitoring devices** + +To improve the level of information-based management of the construction project by avoiding potential malfunctions of the equipment on an SCS or the operation of personnel violation, status-monitoring devices shall be used with the following requirements. + +- It is recommended to collect operation and behaviour information from the equipment on an SCS, and to store and retrieve the relevant information throughout the life cycle of the project. +- It is recommended to support high time-sensitive periodic information acquisition and ensure real-time requirement for an abnormal behaviour alarm. + +### **7.1.3 Requirements for video surveillance devices** + +To help realize the visualized and intelligent management of the construction project, video surveillance devices shall be used with the following requirements. + +- It is recommended to guarantee two-way storage of video data in local and cloud environments. +- It is recommended to monitor the safety behaviour of personnel and the equipment on an SCS based on specific time periods (such as non-working time periods) to ensure the safety monitoring of equipment throughout the life cycle. + +### **7.1.4 Requirements for image recognition devices** + +To eliminate potential waste of resources, and continuously improve the quality, schedule and cost of the project, with the smallest input of resources, image recognition devices shall be used with the following requirements. + +- It is recommended to carry out all-round information recording of construction materials on the construction site. +- It is recommended to give priority to support local-based construction material image recognition, and at the same time to identify the above information to the cloud system. + +## **7.2 Requirements for an SCS-SP** + +When an SCS-SP collects construction site information from SCS-Ds, it is then required to perform an efficient and real-time full-process supervision and management service around the site, and may also provide services with the functionalities specified in clauses 7.2.1 to 7.2.5. + +### **7.2.1 Requirements for labour management** + +To help realize the visualized and intelligent labour management of the construction project, labour management shall include the following requirements. + +- It is recommended to combine the data from devices for access control, status monitoring and video surveillance, to form a unified labour management application. + +### **7.2.2 Requirements for material management** + +To eliminate potential waste of resources, and continuously improve the quality, schedule, and cost of the project with minimal resource input, material management shall include the following requirements. + +- It is recommended to give priority to the ability to quickly identify the identification capabilities of local site materials. +- It is recommended to have the capability to quickly obtain material information, which can be identified by interacting with a third party system if the corresponding material is not locally identifiable. + +### **7.2.3 Requirements for environment management** + +To realize green construction and ecological construction, environment management shall include the following requirements. + +- It is recommended to have the ability to interact with third party systems (such as smart city systems), i.e., to be able to meet the environment and other relevant city information, while also providing the necessary site information (such as water and electricity utilization, operating time, pollution) for such third party systems. + +### **7.2.4 Requirements for emergency management** + +To prevent potential hazards and make a quick and effective emergency response, further optimizing the work process on the construction site, emergency management shall include the following requirements. + +- It is recommended to support the collection and analysis of equipment and sensor information on the SCS. +- It is recommended to support the prediction of potential hazards and provision of relevant emergency response measures. +- It is recommended to support an effective emergency response that can be carried out as soon as an emergency event is detected, such as equipment failure or operation error. + +### **7.2.5 Requirements for methods management** + +To ensure the quality of the construction programme, it is crucial to ensure that appropriate methods be applied during the whole construction process. IoT resources are likely to be used to support methods management, in order to improve the process monitoring of the whole programme in the big picture. + +- It is recommended to use IoT sensors to monitor the construction processes, such as concrete temperature control, high formwork monitoring, distribution box monitoring and foundation pit monitoring, to ensure each step is carried out as designed without mistake. +- It is recommended to display or record construction progress and status with multimedia information collected by IoT devices, such as on-site photographs and videos, to support construction supervision and quality inspection if required. + +# **8 Functional architectures of SCS services** + +## **8.1 Functional architecture overview** + +The overall functional architecture of the SCS services follows IoT reference models [ITU-T Y.4000]. See Figure 2. + +### **Device layer** + +SCS-Ds are smart connected and are used on the construction site with various functionalities, including access control, video surveillance, status-monitoring and image recognition. + +### **Network layer** + +Based on the IoT infrastructure, the network layer implements data transmission and control commands, including wireless fidelity (Wi-Fi), optical fibre, and third, fourth or fifth generation (3G, 4G or 5G). The network layer lies outside the scope of this Recommendation. + +### **Service support and application support layer** + +An SCS-SP aggregates device data and provide services such as management of labour, machinery, materials and environment to SCS service stakeholders through a unified approach. + +### **Application layer** + +The SCS app realizes centralized display of supervision information of an SCS by presenting it as a web or mobile application, for example. The application layer lies outside the scope of this Recommendation. + +The functional architecture of SCS services focuses on the contents of SCS-Ds in the device layer and SCS-SP in the service support and application support layer. More specifically, the functions relevant to SCS-Ds and SCS-SP are described in more detail in clauses 8.2 to 8.12. + +![Functional architecture of smart construction site service diagram showing four layers: Application layer (SCS App), Service support and application support layer (SCS-SP with various management modules), Network layer (Communication networks), and Device layer (SCS-D with various control and monitoring modules).](af7916c89a458fdab6c3f443217388ae_img.jpg) + +| | | | | | | +|------------------------------------------------------|------------------------|----------------------------|-----------------------------|------------------------|-------------------------| +| Application layer | SCS App | | | | | +| Service support and application support layer | SCS-SP | SCS-Resource management | SCS-Analysis and prediction | SCS-Labour management | SCS-Material management | +| | | SCS-Environment management | SCS-Emergency management | SCS-Methods management | | +| Network layer | Communication networks | | | | | +| Device layer | SCS-D | SCS-Access control | SCS-Status monitoring | SCS-Video surveillance | SCS-Image recognition | + +Y.4478(21) + +Functional architecture of smart construction site service diagram showing four layers: Application layer (SCS App), Service support and application support layer (SCS-SP with various management modules), Network layer (Communication networks), and Device layer (SCS-D with various control and monitoring modules). + +**Figure 2 – Functional architecture of smart construction site service** + +## 8.2 SCS-Access control + +SCS-Access control functionality is the capability to implement labour information in one-to-one binding by utilizing access control cards, smart helmets and other devices. More specifically, SCS-Access control operates through face recognition, biometrics and other technical means, to ensure that access control devices can quickly and accurately record the access by SCS service users to the project implementation process, to optimize the process of site management. + +## 8.3 SCS-Video surveillance + +To ensure construction safety, project quality and labour safety, visual supervision of the project needs to be considered, so that video surveillance functionality is necessarily required to help SCS service users to understand the construction progress, to remotely monitor both the production operation process on site and the safety of on-site materials, and to form an intelligent process management mechanism. + +The SCS-Video surveillance functionality is the capability to implement on-site real-time image or video collection and storage; this process can be further enhanced by the analysis and prediction functionality, which can send the results of the intelligent analysis to the SCS-SP for further operations. + +## 8.4 SCS-Status monitoring + +The SCS-Status-monitoring functionality mainly focuses on providing remote supervision and management for stakeholders, such as construction safety supervision and management departments, and construction enterprises. More specifically, remote SCS-Status-monitoring operates in real-time to monitor the equipment on an SCS (such as a crane) while realizing on-site safety monitoring, operation records, and sound and light alarms, thereby creating a (tower crane) safety monitoring mechanism. It also ensures the timely supervision of the use process and behaviour of the equipment on an SCS, reducing risk factors and safety hazards during the operation of equipment, thereby effectively preventing and reducing the occurrence of accidents. + +## 8.5 SCS-Image recognition + +The SCS-Image recognition functionality is the capability to help SCS service users quickly to check the materials on the site. With the help of cameras and intelligent recognition algorithms, SCS service users can quickly carry out tasks such as inventory counts, stocktaking and remote ranging. At the same time, through interaction of information with the SCS-SP, the status of materials and progress of the entire construction site can be ascertained. + +## **8.6 SCS-Resource management** + +SCS-Resource management operates on information about an SCS such as that relating to projects, SCS service users and the construction site. + +The project information includes the basic situation of the project (location, area, etc.). The SCS service user information should include the category of the project involved (such as construction unit, survey unit, design unit, construction unit, project supervision unit, machinery equipment supplier, etc.). The site information includes, but is not limited to, the construction conditions on the site as well as equipment conditions and resource usage. + +The SCS-Resource management function needs to realize the collection and coordination of the information collected by the equipment on the SCS at the SCS-SP level, including the overall condition of the construction site, the progress and the comprehensive control of various resources (labour, equipment, materials, etc.). + +## **8.7 SCS-Analysis and prediction** + +By retrieving and analysing various types of information on the SCS from the resource management function, SCS-Analysis and prediction automatically generates and stores basic construction site statistical reports and graphics (such as daily reports, monthly reports, quarterly reports and annual reports). + +Through the execution of various predictive management algorithms for labour, materials and environment, the project process can be predicted, and an alarm can be triggered when predicted results are abnormal. + +## **8.8 SCS-Labour management** + +SCS-Labour management is divided into labour attendance management and labour positioning management. + +Labour attendance management operates on information such as that relating to time setting, records, photos, statistics, arrival and departure times, and duration of stay. + +Labour positioning management relates to the position information of construction labour, including the absolute position information of personnel (such as the use of a global positioning system (GPS)); or on this basis to support relative position information, such as 3D coordinate information within the construction site (such as the use of beacon-based indoor or outdoor positioning technology). + +## **8.9 SCS-Material management** + +SCS-Material management uses means, e.g., near-field communication (NFC), radio frequency identification (RFID), face recognition and electronic lock, to establish an information system for building material quality control with intelligent security, extensive interconnection, deep integration and perfect mechanism, taking the closed-loop supervision of the whole process of building materials as the core. It builds a comprehensive service platform that covers the whole life cycle of sampling, witnessing, receiving, testing, report generation, review and approval, printing, and test report verification of testing materials. + +## **8.10 SCS-Environment management** + +SCS-Environment management relates to processes regarding environment information (e.g., particle concentration), aggregation, exchange, and processing, to help SCS service users to realize remote and automatic monitoring of the environment status of an SCS. + +## **8.11 SCS-Emergency management** + +SCS-Emergency management serves to further optimize actual work processes on a construction site. By analysing and predicting information from related sensors and cameras as well as other devices on the SCS, effective emergency response measures are taken against potential hazards through the SCS service and alarms are triggered, so that the relevant emergency response can be carried out. + +## **8.12 SCS-Methods management** + +SCS-Methods management aims to improve process monitoring of a construction programme, so as to ensure its overall quality in the big picture. With the information collected from various types of IoT sensors and behaviour information through the whole construction process, it ensures that the construction follows the right methods as designed. In addition, it also enables remote and online construction supervision and quality inspection if required. + +# Appendix I + +## Use cases of smart construction site + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides some use cases to illustrate the concept of the SCS. + +### I.1 Detection of steel bars + +See Figure I.1. + +![A large pile of steel reinforcement bars (rebar) with red caps, illustrating the detection of steel bars.](a8e5c2ac336eb43cda4e333ea9c73237_img.jpg) + +A photograph showing a large pile of steel reinforcement bars (rebar) with red caps, illustrating the detection of steel bars. + +A large pile of steel reinforcement bars (rebar) with red caps, illustrating the detection of steel bars. + +Figure I.1 – Detection of steel bars + +On a construction site, material checkers need to perform on-site manual counting of steel bars. After confirming the quantity, the bars can complete their site entry and unloading. This process is inefficient, and it usually takes several hours to make an entry into the inventory. In response to these problems, intelligent identification, which can quickly identify and record the number of steel bars, shorten the inventory entry time for assets and greatly improve work efficiency, can be adopted in smart site scenarios. + +By using an algorithm specifically for the target detection with high density, further optimization is carried out based on a series of problems such as shooting angle, light, steel bar length, radius, and whether there is occlusion, to rapidly provide feedback of the number of steel bars. + +### I.2 Monitoring of builder's lift + +See Figure I.2. + +![Diagram of a builder's lift with monitoring components: Control unit, Display device, Weight sensor, and Height sensor.](58da624c295897edee8ec9cfbb65abf2_img.jpg) + +A diagram of a red builder's lift with four monitoring components indicated by arrows and circular callouts: a Control unit on the side, a Display device on the front, a Weight sensor on the top platform, and a Height sensor on the side. The text 'Y.4478(21)' is visible at the bottom right of the diagram. + +Diagram of a builder's lift with monitoring components: Control unit, Display device, Weight sensor, and Height sensor. + +Figure I.2 – Builder's lift monitoring + +The monitoring and control of the builder's lift aims to ensure safe operation, meaning that only identified drivers can operate the lift after verifying their biometric identity. Sensors for load weight, height and speed are added to the lift for data acquisition. + +The lift operation parameters are automatically uploaded to the SCS-SP, including lift load, floor height, periodic information, sampling value and other related parameters. Real-time display of lift operating conditions, such as load weight, height, speed, floor and system operating status, are also needed by managers. + +Sound and light alarms are automatically triggered if the lift is overloaded, i.e. when the threshold overload condition is exceeded, or when it is close to the upper and lower limits. The threshold overload triggers automatic control of dangerous behaviours and limits upward and downward movement of the builder's lift. If its front or rear door is left open, lift operation can be automatically prevented. + +### **I.3 Monitoring of material-upload platform** + +See Figure I.3. + +![A 3D perspective diagram of a material-upload platform. It shows three grey rectangular platforms stacked vertically. The bottom platform is connected to a red and white striped safety cage. A yellow horizontal bar is positioned across the middle of the platforms. Thin black lines represent cables or sensors connecting the platforms to a control unit on the right side of the cage. The control unit has a blue screen and several buttons.](53cb558495f8cc93c4202314ef492966_img.jpg) + +A 3D perspective diagram of a material-upload platform. It shows three grey rectangular platforms stacked vertically. The bottom platform is connected to a red and white striped safety cage. A yellow horizontal bar is positioned across the middle of the platforms. Thin black lines represent cables or sensors connecting the platforms to a control unit on the right side of the cage. The control unit has a blue screen and several buttons. + +**Figure I.3 – Monitoring of material-upload platform** + +The monitoring of a platform for discharging or uploading material aims to eliminate accidents due to inappropriate stacking and material overloading. The platform is equipped with weight sensors that connect to display, sound and light alarm devices. When an operator exceeds the rated weight during a loading process, alarm devices automatically emit timely sound and light alarms to alert the site operator. This triggers an immediate correction, such as a continuous alarm, automatic violation information record, real-time monitoring data transmission to a cloud platform and mobile app through a general packet radio service (GPRS). + +The monitoring data not only alerts on-site operators to an initial understanding and avoidance of risks, but also allows SCS services users to remotely view the status of on-site operations through mobile phones or computers. The storage and export of historical data such as alarm records are also supported. This provides the basis for SCS service users to analyse the overall situation of the equipment used for assessment and safety education. + +### **I.4 Boundary protection** + +See Figure I.4. + +![A boundary protection device installed on a construction site.](97fe9069356cc2a84e8e70673e405958_img.jpg) + +A photograph showing a boundary protection device, which is a small, rectangular, grey and black unit with a black antenna on top. It is mounted on a wooden post. In the background, there is a construction site with a yellow safety fence and a building under construction. + +A boundary protection device installed on a construction site. + +**Figure I.4 – Boundary protection device** + +A boundary protection is usually set with the aim of forming a virtual protection shell for a construction site. These dangerous situations include labourers falling from higher floors, near the foundation pit or an open hole due to distraction or careless behaviour, unauthorized persons or vehicles entering or people passing by. However, boundary protection devices or networks are often interfered with due to the taking of shortcuts or inadvertently destroyed without notice. This leads to non-effective boundary protection. + +Installing sensors on border protection devices or networks is a good approach to solving this problem. If a protection device or the net is damaged, or if there is an unauthorized entrance into the construction site, on-site sound and light alarms are triggered, and nearby cameras connected in parallel to take snapshots. Alarm information is simultaneously sent to the manager to initiate follow-up conditions. The alarm record and specific locations can be viewed in real time through the SCS-SP. + +### **I.5 Safety monitoring by video surveillance** + +See Figure I.5. + +![Safety monitoring by video surveillance at a construction site.](af841c24c27b4dca9d1e533629f107be_img.jpg) + +A composite image showing two aspects of video surveillance. The left part shows a close-up of a yellow construction crane with a small inset circle highlighting a camera lens mounted on the crane's structure. The right part shows a person wearing a blue hard hat and a camouflage jacket sitting inside a control room or cab, looking at a computer monitor that displays a live video feed of a construction site. + +Safety monitoring by video surveillance at a construction site. + +**Figure I.5 – Safety monitoring by video surveillance** + +Safe production is crucial throughout the construction process. Accidents not only can cause huge losses to lives and property, but also have a negative impact on society. Strengthening quality and safety supervision, and the prevention of accidents have become urgent and key issues in the construction industry. Currently, safety supervision of construction sites still faces many challenges, such as the low efficiency and high cost of manual monitoring, high work intensity and risk for on-site supervision staff. Using advanced surveillance technologies can help realize visualized and intelligent management of a construction project, thereby improving safety monitoring efficiency and decreasing safety risks. + +On construction sites, surveillance cameras can be installed in various places such as lifts and tower cranes to eliminate blind zones to get a whole picture of the site, which helps to conduct real-time and multi-angle surveillance of the process. Video surveillance supports the monitoring of safety behaviour of personnel and on-site equipment, as well as the status of construction materials. It helps to master real-time control of construction progress on-site and remotely monitor the operation process of the whole site. It can also support the analysis of collected images and videos for safety purposes and provide alarm capabilities if some safety risks are detected. + +### I.6 Remote ranging of construction objects + +On sites, one essential task is to measure construction objects, such as materials, devices and related buildings. The traditional manual ways of measurement (e.g., using a steel tape measure) are time consuming and labour intensive. Laser rangefinder measurements have other disadvantages, such as high risk when measuring construction object at high elevations and the need to send professional staff to the site, which involves staff scheduling difficulties. With the help of IoT technologies, remote ranging can be adopted in smart site scenarios, which can make measurement safer and more efficient. + +As shown in Figure I.6, a remote ranging system may include a remote ranging device and remote end sub-system, which includes a control platform and ranging client. + +![Diagram of a remote ranging system architecture. A Client (computer icon) connects to a Communication networks cloud. The cloud connects to a Control platform (server icon). The Control platform connects to a Remote ranging device (dashed box containing a camera and sensor icon). The Remote ranging device points to a Measured object (blue vertical bar).](898fb89a50d9ec1dfb4e425c816976a7_img.jpg) + +``` + +graph LR + Client[Client] --- CN((Communication networks)) + CN --- CP[Control platform] + CP --- RRD[Remote ranging device] + RRD --- MO[Measured object] + +``` + +Y.4478(21) + +Diagram of a remote ranging system architecture. A Client (computer icon) connects to a Communication networks cloud. The cloud connects to a Control platform (server icon). The Control platform connects to a Remote ranging device (dashed box containing a camera and sensor icon). The Remote ranging device points to a Measured object (blue vertical bar). + +**Figure I.6 – Remote ranging of construction objects** + +The remote ranging device includes an optical zoom camera, laser ranging sensor, angle sensor, pan/tilt/zoom (PTZ), control and processing module. The optical zoom camera is responsible for collecting the images of measured objects. The laser ranging sensor is responsible for ranging the distance between the measuring point and target points at both ends of the measured object. The angle sensor is responsible for obtaining the angle value of the connecting line between the measuring point and the target point at both ends of the measured object. The PTZ is responsible for adjusting the optical zoom camera according to the received positioning instruction to collect images of the measured object, and controlling the laser ranging sensor according to the instruction to measure the distance from the measuring point to the target points at both ends of the measured object. + +The functionalities of control and processing module include receiving the measured object positioning instruction from the remote end sub-system and sending it to the PTZ, receiving the images of the measured object from the optical zoom camera and sending them to the remote end sub-system, receiving the distance value from the laser ranging sensor and angle value from the angle sensor as previously described, either calculating the distance value of the target object according to these data and sending it to the remote end sub-system, or directly sending the original data to the remote end sub-system and allowing it calculate the distance value. + +The remote end sub-system is responsible for displaying the images and data from the remote ranging device, controlling the images of the measured object collected by the camera of the remote ranging device, and controlling the laser ranging sensor of the remote ranging device to locate the target points at the two ends of the measured object through a target point positioning instruction. The control platform aims to control signal transfer, data transfer and video transfer between the remote ranging device and the ranging client. The ranging client aims to show the images and data from the remote ranging device, and obtain the calculated distance value between the two ends of the measured object. + +# Bibliography + +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-Bucchiarone] Bucchiarone, A., et al. (2019). Smart construction: Remote and adaptable management of construction sites through IoT. *IEEE Internet of Things Magazine*, **2**(3), pp. 38-45, doi: 10.1109/IOTM.0001.1900044. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information 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a/marked/Y/T-REC-Y.4480-202111-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4480-202111-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..dcd08545bb31e21fece92d56cca5c766b3b8a800 --- /dev/null +++ b/marked/Y/T-REC-Y.4480-202111-I_PDF-E/raw.md @@ -0,0 +1,2277 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4480 + +(11/2021) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Frameworks, architectures and protocols + +# --- **Low power protocol for wide area wireless networks** + +Recommendation ITU-T Y.4480 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +### CLOUD COMPUTING + +### BIG DATA + +### QUANTUM KEY DISTRIBUTION NETWORKS + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +# Recommendation ITU-T Y.4480 + +# Low power protocol for wide area wireless networks + +## Summary + +Recommendation Y.4480 describes a low power protocol for wide area wireless networks, which is optimized for battery-powered end-devices that may either be mobile or mounted at a fixed location. + +NOTE – This protocol is technically equivalent to (and compatible with) the LoRaWAN® Link layer specification protocol [b-LoRaWAN TS001-1.0.4]. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4480 | 2021-11-29 | 20 | 11.1002/1000/14818 | + +## Keywords + +LoRaWAN, long range, low power protocol, wide area wireless networks. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2021 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|--------------------------------------------------------------------------------------------------------------------|------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 1 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Introduction..... | 2 | +| 6.1 Classes of end-devices..... | 4 | +| Class A All end-devices..... | 5 | +| 7 Physical packet formats ..... | 5 | +| 7.1 Uplink packets..... | 5 | +| 7.2 Downlink packets ..... | 5 | +| 7.3 Receive windows..... | 5 | +| 8 MAC frame formats..... | 6 | +| 8.1 PHY payload (PHYPayload)..... | 7 | +| 8.2 MAC header (MHDR field)..... | 7 | +| 8.3 MAC payload of data frames (MACPayload)..... | 8 | +| 8.4 Message integrity code (MIC)..... | 14 | +| 9 MAC commands..... | 15 | +| 9.1 Link check commands ( LinkCheckReq, LinkCheckAns )..... | 17 | +| 9.2 Link ADR commands ( LinkADRReq, LinkADRAns ) ..... | 18 | +| 9.3 End-device transmit duty cycle ( DutyCycleReq, DutyCycleAns )..... | 20 | +| 9.4 Receive windows parameters ( RXParamSetupReq, RXParamSetupAns ) ..... | 21 | +| 9.5 End-device status ( DevStatusReq, DevStatusAns )..... | 22 | +| 9.6 Creation / modification of a channel ( NewChannelReq, NewChannelAns, DIChannelReq, DIChannelAns ) ..... | 22 | +| 9.7 Setting delay between TX and RX ( RXTimingSetupReq, RXTimingSetupAns )..... | 24 | +| 9.8 End-device transmit parameters ( TXParamSetupReq, TXParamSetupAns ) .. | 25 | +| 9.9 End-device time commands ( DeviceTimeReq, DeviceTimeAns ) ..... | 26 | +| 10 End-device activation ..... | 27 | +| 10.1 Data stored in the end-device after activation ..... | 27 | +| 10.2 Over-the-air activation..... | 28 | +| 10.3 Activation by personalization..... | 32 | +| 11 Retransmissions backoff..... | 32 | +| Class B Beacon ..... | 34 | + +| | Page | +|------|----------------------------------------------------------------------| +| 12 | Introduction to Class B ..... 34 | +| 12.1 | Principle of synchronous network-initiated Class B downlinks..... 34 | +| 13 | Class B frame formats ..... 36 | +| 13.1 | Uplink frames ..... 36 | +| 13.2 | Downlink frames ..... 36 | +| 13.3 | Downlink ping frames ..... 36 | +| 14 | Class B beacon acquisition and tracking ..... 38 | +| 14.1 | Minimal beaconless operation time..... 38 | +| 14.2 | Extension of beaconless operation upon receipt ..... 38 | +| 14.3 | Minimizing timing drift..... 39 | +| 15 | Class B downlink slot timing..... 39 | +| 15.1 | Definitions ..... 39 | +| 15.2 | Slot randomization..... 40 | +| 16 | Class B MAC commands..... 41 | +| 16.1 | PingSlotInfoReq ..... 41 | +| 16.2 | BeaconFreqReq ..... 42 | +| 16.3 | PingSlotChannelReq..... 43 | +| 16.4 | BeaconTimingReq and BeaconTimingAns ..... 44 | +| 17 | Class B beaconing..... 44 | +| 17.1 | Beacon frame format ..... 44 | +| 17.2 | Beacon GwSpecific field format ..... 45 | +| 17.3 | Beaconing precise timing ..... 46 | +| 17.4 | Network downlink route update requirements ..... 47 | +| 18 | Class B unicast and multicast downlink channel frequencies ..... 47 | +| 18.1 | Single-channel beacon transmission..... 47 | +| 18.2 | Frequency-hopping beacon transmission ..... 47 | +| | Class C Continuous listening end-devices ..... 49 | +| 19 | Introduction to Class C ..... 49 | +| 19.1 | Class C multicast downlinks ..... 51 | +| | Appendix I Examples..... 52 | +| I.1 | Uplink timing diagram for unconfirmed data frames ..... 52 | +| I.2 | Uplink timing diagram for confirmed data frames ..... 53 | +| I.3 | Downlink diagram for confirmed data frames..... 54 | +| I.4 | Downlink timing for frame-pending frames ..... 55 | +| | Bibliography..... 57 | + +# Recommendation ITU-T Y.4480 + +# Low power protocol for wide area wireless networks + +## 1 Scope + +This Recommendation specifies a low power, wide area networking protocol designed to wirelessly connect battery operated 'things' to the internet in regional, national or global networks, and targets key internet of things requirements such as bidirectional communication, end-to-end security, mobility and localization services. + +NOTE – This Recommendation is technically equivalent to [b-LoRaWAN TS001-1.0.4]. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[IEEE 802.15.4] IEEE Std 802.15.4 (2011), *IEEE Standard for Local and metropolitan area networks – Part 15.4: Low-Rate Wireless Personal Area Networks (LR-WPANs)*. + +[IETF RFC 4493] IETF RFC 4493 (2006), *The AES-CMAC Algorithm*. + +[NIST FIPS 197] NIST FIPS 197 (2001), *Advanced Encryption Standard (AES)*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 nNetwork** [b-ITU-T G.993.5]: A collection of interconnected elements that provide connection services to users. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 application server:** Network element that exchanges encrypted application payloads with an end-device. + +**3.2.2 class:** Mode of operation of an end-device. + +**3.2.3 join procedure:** Activation procedure of an end-device over a network. + +**3.2.4 join server:** Network element that provides session keys to an application server and to a network server. + +**3.2.5 network server:** Network element that controls the operation of end-devices and gateways. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|--------------------------------------------| +| ABP | Activation By Personalization | +| ADR | Adaptive Data Rate | +| AES | Advanced Encryption Standard | +| CCM | Counter with Cipher block chaining Message | +| CMAC | Cipher-based Message Authentication Code | +| CRC | Cyclic Redundancy Check | +| DR | Data Rate | +| ECB | Electronic Code Book | +| EIRP | Effective Isotropic Radiated Power | +| EUI | Extended Unique Identifier | +| FUOTA | Firmware Updates Over The Air | +| IP | Internet Protocol | +| MAC | Medium Access Control | +| MIC | Message Integrity Code | +| OTAA | Over-The-Air Activation | +| RF | Radio Frequency | +| RFU | Reserved for Future Usage | +| RX | Reception | +| SNR | Signal-to-Noise Ratio | +| TX | Transmission | + +## 5 Conventions + +In the body of this Recommendation, the words "SHALL", "SHALL NOT", "SHOULD" or "IS RECOMMENDED", "MAY" and "OPTIONAL" sometimes appear in all capitals, in which case they are to be interpreted, respectively, as "is required to", "is prohibited from", "is recommended", "can optionally" and "optional". The appearance of such phrases or keywords in an appendix or a material explicitly marked as informative is to be interpreted as having no normative intent. + +Medium access control (MAC) commands are written in bold italics like ***LinkCheckReq***. Bits and bit fields are written with this font: FRMPayload. Constants are written all in capitals like RECEIVE\_DELAY1, and variables are written in italics like *N*. + +The octet order for all multi-octet fields SHALL be little endian. + +Extended unique identifiers (EUI) are 8-octet fields and SHALL be transmitted as little endian. + +By default, reserved for future usage (RFU) bits SHALL be set to 0 by the transmitter of the frame and SHALL be silently ignored by the receiver. + +# 6 Introduction + +Networks as defined in this Recommendation are typically laid out in a star-of-stars topology in which gateways (also known as concentrators, routers, access points or base stations) relay transmissions + +between end-devices and a central network server at the backend (see Figure 1). Gateways are connected to a network server via standard internet protocol (IP) connections, whereas end-devices use single-hop radio frequency (RF) communication to one or many gateways. All communication is generally bidirectional, although uplink communication from an end-device to a network server is expected to be the predominant traffic. + +![Figure 1 – Network architecture diagram showing the connection between end-devices, gateways, and backend servers.](acfc53eca625d62b38aa2563efa95c3e_img.jpg) + +The diagram illustrates the network architecture. On the left, an 'End-device' is shown with two 'Gateway' units. Bidirectional dashed arrows labeled 'Radio' connect the end-device to each gateway. A dashed line labeled 'Secured IP link' connects the two gateways. In the center, a 'Network server' is represented by a stack of three server icons. A solid arrow labeled 'Authentication and integrity, MAC commands encryption' points from the end-device to the network server. A solid arrow labeled 'End-to-end encryption' points from the network server to an 'Application server' on the right, which is also a stack of three server icons. A dashed arrow labeled 'Secured IP link' connects the network server to the application server. Below the network server is a 'Join server', also a stack of three server icons. The identifier 'Y.4480(21)' is located in the bottom right corner of the diagram area. + +Figure 1 – Network architecture diagram showing the connection between end-devices, gateways, and backend servers. + +**Figure 1 – Network architecture** + +Communication between end-devices and gateways is distributed over different frequency channels and data rates. Selecting the data rate (DR) is a trade-off between communication range and transmission (TX) duration. To maximize both the battery life of end-devices and the overall network capacity, the network infrastructure may manage the data rate and radio frequency (RF) transmit power for each end-device individually by means of an adaptive data rate (ADR) scheme. + +An end-device may transmit on any channel available at any time using any available data rate, as long as the following rules are observed: + +- the end-device changes channels in a pseudo-random fashion for every transmission; the resulting frequency diversity makes the system more robust to interference; +- the end-device pseudo-randomly changes its transmit periodicity to prevent systematic synchronization of populations of end-device transmissions; +- the end-device complies with all local regulations governing its behaviour in the band and sub-bands in which it is currently operating including, but not limited to, duty-cycle and dwell-time (transmit-duration) limitations. + +All end-devices shall implement at least Class A functionality as described in this Recommendation. In addition, they may implement Class B and/or Class C also described in this Recommendation. + +End-devices implementing Class B are referred to as Class B-capable. When operating in Class B, end-devices are referred to as Class B-enabled. Transition from Class B-disabled to Class B-enabled is called switching to Class B. + +End-devices implementing Class C are referred to as Class C-capable. When operating in Class C, end-devices are referred to as Class C-enabled. Transition from Class C-disabled to Class C-enabled is called switching to Class C. + +In all cases, end-devices remain compatible with Class A. + +## 6.1 Classes of end-devices + +A network distinguishes between a basic protocol (called Class A) and optional features (Class B, Class C...) as shown in Figure 2. + +![Figure 2: Classes of end-devices. A layered block diagram showing the architecture of LoRaWAN end-devices. The layers from top to bottom are: Application (green), LoRaWAN (L2) (light blue), Regional parameters (light green), and Physical layer (white). The LoRaWAN (L2) layer contains three boxes: Class A (All devices), Class B (Ping slots), and Class C (Continuous). The Regional parameters layer contains boxes for EU868, US915, CN470, KR920, IN865, and an ellipsis. The Physical layer is at the bottom. A reference Y.4480(21) is noted at the bottom right.](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +| | | | | | | +|--------------------------|-------|-------------------------|-------|-------------------------|-----| +| Application | | | | | | +| LoRaWAN (L2) | | | | | | +| Class A
(All devices) | | Class B
(Ping slots) | | Class C
(Continuous) | | +| Regional parameters | | | | | | +| EU868 | US915 | CN470 | KR920 | IN865 | ... | +| Physical layer | | | | | | + +Y.4480(21) + +Figure 2: Classes of end-devices. A layered block diagram showing the architecture of LoRaWAN end-devices. The layers from top to bottom are: Application (green), LoRaWAN (L2) (light blue), Regional parameters (light green), and Physical layer (white). The LoRaWAN (L2) layer contains three boxes: Class A (All devices), Class B (Ping slots), and Class C (Continuous). The Regional parameters layer contains boxes for EU868, US915, CN470, KR920, IN865, and an ellipsis. The Physical layer is at the bottom. A reference Y.4480(21) is noted at the bottom right. + +**Figure 2 – Classes of end-devices** + +- **Bidirectional end-devices (Class A):** Class A end-devices allow bidirectional communications, whereby each end-device's uplink transmission is followed by two short downlink receive windows. The transmission slot scheduled by the end-device is based on its own communication needs, with a small variation based on a random time basis. Class A operation is the lowest power end-device system for applications that require only downlink communication from the server, shortly after the end-device has sent an uplink transmission. Downlink communications from the server at any other time will have to wait until the next uplink is initiated by the end-device. +- **Bidirectional end-devices with scheduled receive slots (Class B):** Class B-capable end-devices allow more receive slots. In addition to Class A receive windows, Class B-enabled end-devices open extra receive windows at scheduled times. In order for the end-device to open its receive windows at a scheduled time, it receives a time-synchronized beacon from the gateway. This allows the network server to know when the end-device is listening. +- **Bidirectional end-devices with maximal receive slots (Class C):** Class C-capable end-devices allow nearly continuously open receive windows, which are closed only when transmitting. Class C-enabled end-devices use more power to operate than Class A or Class B-enabled, but they feature the lowest latency for communication between servers and end-devices. + +### Class A + +### All end-devices + +All end-devices SHALL implement all Class A features not explicitly marked optional. + +NOTE – Physical packet format, MAC frame format and other parts of this Recommendation that are common to both end-devices of Class A and higher Classes (i.e., end-devices implementing more than Class A) are described only in the Class A specification in order to avoid redundancy. + +## 7 Physical packet formats + +The protocol defined in this Recommendation may use any long range physical layer suitable to star the network topology. If an unlicensed spectrum is used, local regulations apply. The protocol has parameters which depend on local regulations and a set of such parameters is referred to as a regional channel plan or region. This Recommendation can handle fixed channel plans where the list of usable channels is fixed, and dynamic channel plans where, dynamically created channels may be added to the default channels. An example of possible channel plans and physical layer mappings, defined for several regulatory regions, may be found in [b-LoRaWAN RP002]. + +This Recommendation distinguishes between uplink and downlink frames. + +### 7.1 Uplink packets + +Uplink packets are sent by end-devices to a network server relayed by one or many gateways. + +## 7.2 Downlink packets + +Downlink packets are sent by a network server to only one end-device and are transmitted by a network server through one or more gateways. + +NOTE – This Recommendation does not describe the transmission of multicast frames from a network server to many end-devices. + +### 7.3 Receive windows + +Following each uplink transmission, the end-device SHALL open one or two receive windows (RX1 and RX2); if no packet destined for the end-device is received in RX1, it SHALL open RX2. The receive windows start times are defined using the end of the transmission as a reference (see Figure 3). + +![Figure 3: End-device receive-slot timing diagram. The diagram shows a timeline starting with a 'Transmit' block. Below it, a double-headed arrow indicates the 'Transmit time on air'. Following the transmission, there is a gap labeled 'RECEIVE_DELAY1' leading to the start of the first receive window 'RX1'. After 'RX1', there is another gap labeled 'RECEIVE_DELAY2' leading to the start of the second receive window 'RX2'. Vertical dashed lines mark the end of the transmission, the start of RX1, and the start of RX2. The reference 'Y.4480(21)' is located at the bottom right of the timeline.](536951b2bbd94325ae266d8d1363df8f_img.jpg) + +Figure 3: End-device receive-slot timing diagram. The diagram shows a timeline starting with a 'Transmit' block. Below it, a double-headed arrow indicates the 'Transmit time on air'. Following the transmission, there is a gap labeled 'RECEIVE\_DELAY1' leading to the start of the first receive window 'RX1'. After 'RX1', there is another gap labeled 'RECEIVE\_DELAY2' leading to the start of the second receive window 'RX2'. Vertical dashed lines mark the end of the transmission, the start of RX1, and the start of RX2. The reference 'Y.4480(21)' is located at the bottom right of the timeline. + +Figure 3 – End-device receive-slot timing + +#### 7.3.1 Receiver activity during receive windows + +If a preamble is detected during one of the receive windows, the radio receiver SHOULD stay active until the downlink frame is demodulated. If a frame was detected and subsequently demodulated during the first receive window, and the frame was intended for this end-device after the address and message integrity code (MIC) checks, the end-device SHALL NOT open the second receive window. + +#### 7.3.2 First receive-window channel, data rate, and start + +The first receive window RX1 uses a frequency that is a function of the uplink frequency and a data rate that is a function of the uplink data rate. RX1 SHALL be open no longer than RECEIVE\_DELAY1 seconds after the end of the uplink modulation. The relationship between uplink and RX1 physical layer data rates vary and examples of region-specific definitions may be found in the regional parameters [b-LoRaWAN RP002]. + +NOTE – RECEIVE\_DELAY1 is described in clause 10. + +#### 7.3.3 Second receive window channel, data rate, and start + +The second receive window RX2, if opened (see clause 7.3.1), uses a fixed configurable frequency and data rate, and SHALL be open no longer than RECEIVE\_DELAY2 seconds after the end of the uplink modulation. The frequency and data rate can be modified by MAC commands (see clause 9). The default frequency and data rate depend on the physical layer and the regulatory region. + +NOTE – RECEIVE\_DELAY2 is described in clause 10. + +#### 7.3.4 Receive window duration + +The duration of a receive window SHALL be at least the time required by the end-device's radio transceiver to detect a downlink preamble starting at RECEIVE\_DELAY1 or RECEIVE\_DELAY2 after the end of the uplink modulation. + +NOTE – The end-device receive window duration has to accommodate the maximum potential imprecision of the end-device's clock. The delay between the end of the uplink and the start of the receive windows can be changed from 1 s to 15 s for RX1 (and thereby from 2 s to 16 s for RX2) using the over-the-air activation (OTAA) Join-Accept frame or the *RXTimingSetupReq* MAC command. Therefore, this delay must be accommodated when computing the maximum clock imprecision. + +EXAMPLE – A 30 ppm XTAL frequency error translates to $\pm 30 \mu\text{s}$ after 1 s and $\pm 450 \mu\text{s}$ after 15 s. + +#### 7.3.5 Network transmitting to an end-device + +If a network server intends to transmit a downlink to an end-device, it SHALL initiate the transmission of the downlink frame precisely at the beginning of one of the two receive windows. Such a downlink is referred to as a Class A downlink. The end-device SHALL open a Class A RX1 receive window. If no frame intended for this end-device was received during the RX1 receive window, the end-device SHALL open an RX2 receive window at the specified timing, even if this interrupts the reception of a transmission using Class B or Class C downlink timing and receive parameters. + +#### 7.3.6 Important notice regarding receive windows + +An end-device SHALL NOT transmit another uplink packet before it has either received a downlink packet in the first or second receive window related to the previous transmission or if the second receive window related to the previous transmission has expired. + +#### 7.3.7 Receiving or transmitting other protocols + +The end-device MAY listen for or transmit other protocols or perform arbitrary processing between transmission and reception windows, as long as the end-device remains compatible with local regulations and compliant with this Recommendation. + +## 8 MAC frame formats + +All uplink and downlink packets carry a PHY payload (PHYPayload) starting with a single-octet MAC header (MHDR), followed by a MAC payload (MACPayload), and ending with a 4-octet MIC, as shown in Table 1. + +**Table 1 – Frame format elements** + +![](4e4be0bd8b235167902f2c03e41da651_img.jpg) + +| | | | | | +|-------------------------------|---------|-------------------------------------|------------|-------| +| PHYPayload: | MHDR | MACPayload | MIC | | +| | or | | | | +| | MHDR | Join-Request
(see clause 10.2.4) | MIC | | +| | or | | | | +| | MHDR | Join-Accept
(see clause 10.2.4) | MIC | | +| PHYPayload structure | | | | | +| MACPayload: | FHDR | FPort | FRMPayload | | +| MACPayload structure | | | | | +| FHDR: | DevAddr | FCtrl | FCnt | FOpts | +| Frame header structure | | | | | + +### 8.1 PHY payload (PHYPayload) + +The maximum length $M$ of the MACPayload field depends on the physical layer and regulatory region (see Table 2). A region and data-rate specific example may be found in [b-LoRaWAN RP002]. Neither the end-device nor the network SHALL send a frame containing a MACPayload greater than the specified maximum length $M$ over the data rate used to transmit the frame. Any frame received by an end-device or a network server containing a MACPayload greater than the specified maximum length $M$ over the data rate used to receive the frame SHALL be silently discarded. + +**Table 2 – PHYPayload format** + +| | | | | +|----------------------|------|------------|-----| +| Size (octets) | 1 | 7.. $M$ | 4 | +| PHYPayload | MHDR | MACPayload | MIC | + +### 8.2 MAC header (MHDR field) + +The MAC header specifies the frame type (`FType`) and the major version (`Major`) of the frame format of this Recommendation according to which the frame has been encoded (see Table 3). + +**Table 3 – MHDR format** + +| | | | | +|-------------|-------|-------|-------| +| Bits | [7:5] | [4:2] | [1:0] | +| MHDR | FType | RFU | Major | + +#### 8.2.1 Frame types (FType bit field) + +This Recommendation distinguishes among six different MAC frame types (see Table 4): Join-Request, Join-Accept, unconfirmed data uplink/downlink, and confirmed data uplink/downlink. + +**Table 4 – MAC frame types** + +| FType | Description | +|--------------|---------------------------| +| 000 | Join-Request | +| 001 | Join-Accept | +| 010 | unconfirmed data uplink | +| 011 | unconfirmed data downlink | +| 100 | confirmed data uplink | +| 101 | confirmed data downlink | +| 110 | RFU | +| 111 | Proprietary | + +##### 8.2.1.1 Join-Request and Join-Accept frames + +Join-Request and Join-Accept frames are used by the over-the-air activation procedure described in clause 10.2. + +##### 8.2.1.2 Data frames + +Data frames transfer MAC commands and application data, which can be combined into a single frame. A confirmed data frame SHALL be acknowledged by the receiver, whereas an unconfirmed data frame SHALL NOT be acknowledged. Proprietary frames MAY be used to implement non-standard formats that are not interoperable with standard frames but SHALL be used only among end-devices that have a common understanding of the proprietary extensions. + +NOTE – A detailed timing diagram of the acknowledge mechanism is shown in Appendix I. + +Frame integrity is ensured in different ways for different frame types and is described per frame type below. + +#### 8.2.2 Major data frame version (Major bit field) + +The major version specifies the format of the frames (see Table 5) exchanged in the join procedure (see clause 10.2.4) and the first four octets of the MACPayload as described in clause 8. For each major version, end-devices MAY implement different minor versions of the frame format. The minor version used by an end-device SHALL be made known to the network server beforehand using out-of-band communication (e.g., as part of the end-device personalization information). + +**Table 5 – Major list** + +| Major | Description | +|--------------|--------------------| +| 00 | LoRaWAN R1 | +| 01...11 | RFU | + +### 8.3 MAC payload of data frames (MACPayload) + +The MAC payload of data frames contains a frame header (FHDR) followed by an OPTIONAL port field (FPort) and an OPTIONAL frame payload field (FRMPayload). + +A frame with a valid FHDR, no FOpts (FOptsLen=0), no FPort and no FRMPayload is a valid frame. + +#### 8.3.1 Frame header (FHDR) + +An FHDR contains the short end-device address (DevAddr), a frame control octet (FCtrl), a 2-octet frame counter (FCnt) and up to 15 octets of frame options (FOpts) to transport MAC commands (see Table 6). + +**Table 6 – FHDR format** + +| Size (octets) | 4 | 1 | 2 | 0..15 | +|---------------|---------|-------|------|-------| +| FHDR | DevAddr | FCtrl | FCnt | FOpts | + +For downlink frames, the FCtrl content of the frame header is given in Table 7. + +**Table 7 – FCtrl downlink frames format** + +| Bits | 7 | 6 | 5 | 4 | [3..0] | +|-------|-----|-----|-----|----------|----------| +| FCtrl | ADR | RFU | ACK | FPending | FOptsLen | + +For uplink frames, the FCtrl content of the frame header is given in Table 8. + +**Table 8 – FCtrl uplink frame format** + +| Bits | 7 | 6 | 5 | 4 | [3..0] | +|-------|-----|-----------|-----|--------|----------| +| FCtrl | ADR | ADRACKReq | ACK | ClassB | FOptsLen | + +##### 8.3.1.1 Adaptive data-rate control in frame header (ADR, ADRACKReq in FCtrl) + +This Recommendation allows end-devices to use any of the possible data rates and transmission (TX) power individually. This feature is used by network servers to adapt and optimize the number of retransmissions, the data rate, and the TX power of end-devices. This is referred to as the adaptive data rate (ADR) and, when it is enabled, end-devices will be optimized to use the fastest data rate and minimum TX power possible. + +ADR control may not be possible when radio channel attenuation changes rapidly and/or continuously. When the network is unable to control the data rate of an end-device, the end-device's application layer SHOULD control it. It IS RECOMMENDED that a variety of different data rates be used in this case. The application layer SHOULD always try to minimize the aggregated airtime, given the network conditions. + +If the uplink ADR bit is set, the network may control the number of retransmissions, the data rate, and the TX power of the end-device through the appropriate MAC commands. If the ADR bit is unset, the network server SHALL accept that the end-device MAY not comply with any attempt to control the number of retransmissions, the data rate, or the TX power of the end-device regardless of the received signal quality. The network MAY still send commands to inform the end-device of the recommended configuration using the *LinkADRReq* command. An end-device SHOULD accept the channel mask controls present in *LinkADRReq*, even when the ADR bit is not set. The end-device SHALL respond to all *LinkADRReq* commands with a *LinkADRAns* indicating which command elements were accepted and which were rejected. This behaviour differs from when the uplink ADR bit is set, in which case the end-device accepts or rejects the entire command. + +NOTE 1 – A network server may not infer any actual end-device state in the case where the uplink ADR bit is not set, regardless of the state of the individual Status bits of *LinkADRAns*. These are provided for offline debugging. + +When the downlink ADR bit is set, it informs the end-device that the network server is able to send ADR commands. The end-device MAY set/unset the uplink ADR bit independently. + +When the downlink ADR bit is unset, it signals the end-device that, owing to rapid changes of the radio channel, the network temporarily cannot estimate the best data rate. In that case, the end-device has the choice to: + +- unset the ADR uplink bit and control its uplink data rate, TX power and channel plan following its own strategy. This SHOULD be the typical strategy for a mobile end-device; or + +- ignore it (keep the uplink ADR bit set) and apply the normal ADR backoff algorithm in the absence of downlinks. This SHOULD be the typical strategy for a stationary end-device. + +The ADR bit MAY be set and unset on demand by the end-device or a network server. However, whenever possible, the ADR scheme SHOULD be enabled to increase the battery life of the end-device and maximize the network capacity. + +NOTE 2 – Even mobile end-devices are immobile most of the time. Depending on its state of mobility, an end-device can request that the network optimize its data rate using ADR. + +Default TX power is the maximum transmit power allowed for an end-device, considering its capabilities and any applicable regional regulatory constraints. End-devices SHALL use this power level until the network attempts to change it using the *LinkADRReq* MAC command, or if the end-device has unset the ADR bit. + +The default data rate is the minimum data rate allowed for an end-device, considering its capabilities and any applicable regional regulatory constraints. An end-device using activation by personalization (ABP, see clause 10), with the ADR bit set, SHALL use this data rate until the network requests a higher data rate through the *LinkADRReq* MAC command. End-devices which use OTAA follow a join procedure (see clause 10) which determines the initial uplink data rate. + +If an end-device wishes to check for connectivity loss or if an end-device whose data rate is optimized by the network uses a data rate higher than its default data rate or a TX power lower than its default, the end-device SHALL periodically validate whether the network is still receiving the uplink frames. Each time the uplink frame counter is incremented (for each new uplink frame, because repeated transmissions do not increment the frame counter), the end-device SHALL increment an ADRACKCnt counter. After ADR\_ACK\_LIMIT uplinks ( $ADRACKCnt \geq ADR\_ACK\_LIMIT$ ) without receiving a Class A downlink response, the end-device SHALL set the ADR acknowledgment request bit (ADRACKReq) on uplink transmissions. The network shall respond with a Class A downlink frame within the next ADR\_ACK\_DELAY frames. A Class A downlink frame received following an uplink frame SHALL reset the ADRACKCnt counter. Upon receipt of any Class A downlink, the end-device SHALL clear the ADRACKReq bit. The downlink ACK bit does not need to be set because any Class A downlink frame received by the end-device indicates that the network has received uplinks from this end-device. If no Class A downlink frame is received within the next ADR\_ACK\_DELAY uplinks (i.e., after a total of ADR\_ACK\_LIMIT + ADR\_ACK\_DELAY transmitted frames), the end-device SHALL try to regain connectivity by first setting the TX power to the default power, then switching to the next lower data rate that provides a longer radio range. The end-device SHALL further lower its data rate step by step every time ADR\_ACK\_DELAY uplink frames are transmitted. Once the end-device has reached the default data rate, and transmitted for ADR\_ACK\_DELAY uplinks with ADRACKReq=1 without receiving a downlink, it SHALL re-enable all default uplink frequency channels and reset NbTrans to its default value of 1. Furthermore, if at any point during the backoff the resulting configuration results in an invalid combination of TX power, data rate or channel mask, the end-device SHALL immediately re-enable all default channels and use the maximum TX power permissible for and available to this end-device. + +NOTE 3 – Other configurations of the end-device by the network are not modified during ADR backoff. Specifically, configurations that affect downlink connectivity (controlled by *RXParamsSetupReq*, *DLChannelReq*, *RXTimingSetupReq*, and *TXParamSetupReq*) are not modified during ADR backoff. + +For fixed channel plan regions, end-devices SHALL enable all channels. For dynamic channel plan regions, end-devices SHALL enable the region's default channels and make no change to the configuration of the dynamically configured channels. + +NOTE 4 – Not requiring an immediate response to an ADR acknowledgment request provides flexibility to the network to schedule its downlinks in an optimal manner. + +Table 9 provides an example of a data rate backoff sequence, assuming ADR\_ACK\_LIMIT is set to 64 and ADR\_ACK\_DELAY is equal to 32. + +**Table 9 – Example of a data rate backoff sequence** + +| ADRACKCnt | ADRACKReq | Data rate | TX power | NbTrans | Channel mask | +|------------|-----------|---------------|------------|-----------|---------------------------------------------------------------------------------------------------------| +| 0 to 63 | 0 | DR1 | Max –9 dBm | 3 | Normal operations channel mask | +| 64 to 95 | 1 | No change | No change | No change | No change | +| 96 to 127 | 1 | No change | Default | No change | No change | +| 128 to 159 | 1 | DR0 (Default) | Default | No change | No change | +| ≥ 160 | 1 | DR0 (Default) | Default | 1 | For dynamic channel plans: re-enable default channels.
For fixed channel plans: All channels enabled | + +##### 8.3.1.2 Frame acknowledge bit and acknowledgment procedure (ACK in FCtrl1) + +When receiving a confirmed data frame, the receiver responds with a data frame that has the acknowledgment bit (ACK) set. If the network receives such a confirmed frame, it SHOULD send an acknowledgment. If the network sends an acknowledgement, it SHALL send it using one of the Class A receive windows opened by the end-device after the send operation. If an end-device receives such a confirmed frame in one of its Class A receive windows, it SHALL transmit an acknowledgment with its next uplink. If an end-device receives such a confirmed frame outside of its Class A receive windows, i.e., in a Class B ping slot (see clause 13) or in RXC (see clause 19), it SHOULD send an acknowledgement. + +Acknowledgments SHALL only be sent in response to the latest frame received and SHALL NOT be transmitted more than NbTrans times. The network SHALL only send an acknowledgment in the Class A receive windows (RX1/RX2) of the confirmed uplink that requested it. + +NOTE – To allow an end-device to be as simple as possible and have as few states as possible, it may transmit an explicit (possibly empty) acknowledgment data frame immediately after receiving a data frame requiring a confirmation. Alternatively, an end-device may defer the transmission of an acknowledgment to piggyback it with its next data frame. + +##### 8.3.1.3 Retransmission procedure + +##### Downlink frames + +A downlink confirmed or unconfirmed frame SHALL NOT be retransmitted using the same frame counter value. In the case of a confirmed downlink, if the acknowledgement is not received, the application server is notified and may decide to transmit a new confirmed frame. + +##### Uplink frames + +Uplink confirmed and unconfirmed frames are transmitted NbTrans times (see clause 9.2) unless a valid Class A downlink is received following one of the transmissions. The NbTrans parameter can be used by a network server to control the redundancy of end-device uplinks to achieve a given quality of service. An end-device SHALL perform frequency hopping as usual between repeated transmissions. It SHALL wait after each repetition until the receive windows have expired. The delay + +between retransmissions is at the discretion of the end-device and MAY be different for each end-device. When an end-device has requested an ACK from the network but has not yet received it, it SHALL wait RETRANSMIT\_TIMEOUT seconds after the RECEIVE\_DELAY2 seconds have elapsed, after the end of the previous uplink transmission before sending a new uplink (repetition or new frame). The RETRANSMIT\_TIMEOUT delay is not required between unconfirmed uplinks, or after the ACK has been successfully demodulated by the end-device. An example of the RETRANSMIT\_TIMEOUT value may be found in [b-LoRaWAN RP002]. The retransmission backoff mechanism, defined in clause 11, may also extend the interval between retransmissions, if applicable. + +End-devices SHALL stop any further retransmission of an uplink confirmed frame if a corresponding downlink acknowledgment frame is received. + +End-devices SHALL also stop any further retransmission of an uplink unconfirmed frame whenever a valid downlink frame is received in a Class A receive window. + +If the network receives more than NbTrans transmissions of the same uplink frame having the ADR bit set, this may indicate a replay attack or a malfunctioning end-device, and therefore the network SHALL silently discard the extra frames. + +NOTE – A network server that detects a replay attack may take additional measures, such as reducing the NbTrans parameter to 1 or discarding uplink frames received over a channel that was already used by an earlier transmission of the same frame, or by some other unspecified mechanism. + +##### **8.3.1.4 Frame pending bit (FPending in FCtrl, downlink only)** + +The frame pending bit (FPending) is used only in downlink communication. For Class A end-devices, FPending indicates that the network server has more data pending to be sent and therefore the end-device MAY send an uplink frame as soon as possible. For Class B end-devices, FPending indicates the priority in which conflicting ping slots of the end-device SHALL listen to in case of a collision (see clause 13.2). + +An example use of the FPending bit is described in clause I.4. + +##### **8.3.1.5 Frame counter (FCnt)** + +There are two frame counters for each end-device. FCntUp is incremented by an end-device when a data frame is transmitted to a network server (uplink). FCntDown is incremented by a network server when a data frame is transmitted to an end-device (downlink). The network server tracks the uplink frame counter and generates the downlink counter for each end-device. + +Whenever an OTAA end-device successfully processes a Join-Accept frame, the frame counters on the end-device (FCntUp) and the network side (FCntDown) are reset to 0. + +For ABP end-devices, the frame counters are initialized to 0 by the manufacturer. ABP end-devices SHALL NOT reset the frame counters during the end-device's lifetime. If the end-device is susceptible to losing power during its lifetime (battery replacement, for example), the frame counters SHALL persist during such an event. + +Subsequently, FCntUp is incremented with each uplink and FCntDown is incremented with each downlink. At the receiver side, the corresponding counter is kept in sync with the received value, provided the received value has been incremented compared to the current counter value, and the frame MIC field matches the MIC value computed locally using the appropriate network session key. FCntUp SHALL NOT be incremented in the case of multiple transmissions of a confirmed or unconfirmed frame (see NbTrans parameter). Network servers SHALL drop the application payload of the retransmitted frames and only forward a single instance to the appropriate application server. + +A first uplink with FCntUp=0 sent by an ABP or an OTAA end-device after a successful join procedure SHALL be accepted by a network server, provided the MIC field is valid. Analogously, a + +first downlink with `FCntDown=0` sent by a network server to an ABP or an OTAA end-device after a successful join procedure SHALL be accepted by the end-device, provided the MIC field is valid. + +Frame counters are 32 bits wide. The `FCnt` field SHALL correspond to the least-significant 16 bits of the 32-bit frame counter (i.e., `FCntUp` for data frames sent uplink and `FCntDown` for data frames sent downlink). + +The end-device SHALL NOT reuse the same `FCntUp` value with the same application or network session keys, except for retransmission. + +The end-device SHALL NOT process any retransmission of the same downlink frame. Subsequent retransmissions SHALL be ignored without being processed. + +NOTE 1 – This means that an end-device will only acknowledge receipt of a downlink confirmed frame `NbTrans` times. Similarly, an end-device will only generate `NbTrans` uplinks following receipt of a frame with the `FPending` bit set before incrementing its `FCntUp`. + +NOTE 2 – As the `FCnt` field carries only the least-significant 16 bits of the 32-bit frame counter, the server must infer the 16 most-significant bits of the frame counter by observing the traffic. + +##### 8.3.1.6 Frame options (`FOptsLen` in `FCtrl`, `FOpts`) + +The frame-options length field (`FOptsLen`) in `FCtrl` denotes the actual length of the frame options field (`FOpts`) included in the frame. + +`FOpts` transports MAC commands of a maximum length of 15 octets that are piggybacked onto data frames; see clause 9 for a list of valid MAC commands. + +If `FOptsLen=0`, the `FOpts` field SHALL be absent. If `FOptsLen≠0`, i.e., if MAC commands are present in the `FOpts` field, the `FPort` value 0 SHALL NOT be used (`FPort` SHALL either not be present or not equal to 0). + +MAC commands SHALL NOT be present in the payload field and the frame options field simultaneously. Should this occur, the end-device SHALL silently discard the frame. + +##### 8.3.1.7 Class B enabled bit (`ClassB` in `FCtrl`, uplink only) + +The `ClassB` bit set to 1, in an uplink, signals to the network server that the end-device has enabled class B and is now ready to receive scheduled downlink pings. Please refer to the Class B section of this Recommendation for the Class B specification. + +#### 8.3.2 Port field (`FPort`) + +If the frame payload field is not empty, the port field SHALL be present (see Table 10). + +If present, an `FPort` value of 0 indicates that the `FRMPayload` contains only MAC commands (see clause 9 for a list of valid MAC commands). + +`FPort` values 1..223 (0x01..0xDF) are application-specific. + +`FPort` value 224 is dedicated to the MAC layer test protocol. + +NOTE – The purpose of the `FPort` value 224 is to run MAC compliance test scenarios over-the-air on final versions of end-devices, without having to rely on specific test versions of end-devices for practical aspects. The test protocol running at the application layer is defined in [b-LoRaWAN TS009]. + +`FPort` values 225..255 (0xE0..0xFF) are reserved for future use. + +**Table 10 – MACPayload format** + +| Size (octets) | 7..22 | 0..1 | 0..N | +|---------------|-------|-------|------------| +| MACPayload | FHDR | FPort | FRMPayload | + +In Table 10, $N$ is the number of octets of the application payload and SHALL be equal to or less than $N \leq M - 1 - (\text{length of FHDR in octets})$ , where $M$ is the maximum MACPayload length. The valid ranges of both $N$ and $M$ depend on the physical layer and the regional channel plan. + +#### 8.3.3 MAC frame payload encryption (FRMPayload) + +If a data frame carries a payload (FRMPayload), it SHALL be encrypted before the message integrity code (MIC) is calculated. + +The encryption scheme is based on the generic algorithm described in [IEEE 802.15.4] Annex B, using advanced encryption standard (AES) encryption with a key length of 128 bits. AES encryption is defined in [NIST FIPS 197]. + +Key $K$ depends on the FPort of the data frame (see Table 11). + +**Table 11 – FPort list** + +| FPort | $K$ | +|--------|---------| +| 0 | NwkSKey | +| 1..255 | AppSKey | + +The encrypted fields are $pld = \text{FRMPayload}$ . + +For each data frame, the algorithm defines a sequence of blocks $A_i$ as specified in Table 12, for $i = 1..k$ where: + +- $k = \text{ceil}(\text{len}(pld) / 16)$ , +- "ceil" designates rounding to the immediately greater integer value, and +- "len" is the number of bytes. + +**Table 12 – $A_i$ format** + +| Size (octets) | 1 | 4 | 1 | 4 | 4 | 1 | 1 | +|---------------|------|-----------------|-----|---------|-----------------------|------|-----| +| $A_i$ | 0x01 | $4 \times 0x00$ | Dir | DevAddr | FCntUp or
FCntDown | 0x00 | $i$ | + +The direction field (Dir) is 0 for uplink frames and 1 for downlink frames. + +The blocks $A_i$ SHALL be encrypted to obtain a sequence $S$ of blocks $S_i$ as follows: + +$$S_i = \text{aes128\_encrypt}(K, A_i) \text{ for } i = 1..k$$ + +$$S = S_1 | S_2 | .. | S_k$$ + +Encryption and decryption of the payload SHALL be calculated as follows: + +$$\text{FRMPayloadPad} = (pld | \text{pad}_{16}) \text{ xor } S$$ + +$$\text{FRMPayload} = \text{FRMPayloadPad}[0..\text{len}(pld) - 1]$$ + +### 8.4 Message integrity code (MIC) + +The MIC is calculated over all the fields in the frame. + +$$msg = \text{MHDR} | \text{FHDR} | \text{FPort} | \text{FRMPayload}$$ + +where $\text{len}(msg)$ denotes the length of the frame in octets. + +The MIC SHALL be calculated as follows, where CMAC is the cipher-based message authentication code (see [IETF RFC 4493]): + +$$\text{CMAC} = \text{aes128\_cmac}(\text{NwkSKey}, B_0 | msg)$$ + +$$\text{MIC} = \text{CMAC}[0..3]$$ + +where block $B_0$ is defined in Table 13. + +**Table 13 – $B_0$ format** + +| Size (octets) | 1 | 4 | 1 | 4 | 4 | 1 | 1 | +|---------------|------|----------|-----|---------|-----------------------|------|----------| +| $B_0$ | 0x49 | 4 × 0x00 | Dir | DevAddr | FCntUp
or FCntDown | 0x00 | len(msg) | + +The direction field (Dir) is 0 for uplink frames and 1 for downlink frames. + +## 9 MAC commands + +For network administration, a set of MAC commands may be exchanged exclusively between a network server and the MAC layer of an end-device. MAC layer commands are never visible to the application server, nor to the application running on the end-device. + +A single data frame MAY contain any sequence of MAC commands, either piggybacked in the FOpts field or, when sent as a separate data frame, in the FRMPayload field with the FPort field set to 0. Piggybacked MAC commands SHALL always be sent without encryption and SHALL NOT exceed 15 octets. MAC commands sent as FRMPayload SHALL always be encrypted and SHALL NOT exceed the maximum FRMPayload length. + +NOTE 1 – MAC commands whose content shall be encrypted must be sent in the FRMPayload of a separate data frame. + +A MAC command consists of a command identifier (CID) of 1 octet followed by a possibly empty command-specific sequence of octets. + +**Table 14 – MAC commands** + +| CID | Command | Transmitted by | | Brief description | +|--------------|--------------------------------------|----------------|----------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------| +| | | End-device | Network server | | +| 0x02 | LinkCheckReq | x | | Used by an end-device to validate its connectivity to a network. | +| 0x02 | LinkCheckAns | | x | Answers LinkCheckReq .
Contains the received signal power estimation, which indicates the quality of reception (link margin) to the end-device. | +| 0x03 | LinkADRReq | | x | Requests the end-device to change data rate, TX power, redundancy, or channel mask. | +| 0x03 | LinkADRAns | x | | Acknowledges LinkADRReq . | +| 0x04 | DutyCycleReq | | x | Sets the maximum aggregated transmit duty cycle of an end-device. | +| 0x04 | DutyCycleAns | x | | Acknowledges DutyCycleReq . | +| 0x05 | RXParamSetupReq | | x | Sets the reception slot parameters.
NOTE – This command has a different acknowledgment mechanism as described in the command definition. | +| 0x05 | RXParamSetupAns | x | | Acknowledges RXParamSetupReq . | +| 0x06 | DevStatusReq | | x | Requests the status of the end-device. | +| 0x06 | DevStatusAns | x | | Returns the status of the end-device, namely its battery level and its radio status. | +| 0x07 | NewChannelReq | | x | Creates or modifies the definition of a radio channel. | +| 0x07 | NewChannelAns | x | | Acknowledges NewChannelReq . | +| 0x08 | RXTimingSetupReq 7 | | x | Sets the timing of the reception slots. | +| 0x08 | RXTimingSetupAns | x | | Acknowledges RXTimingSetupReq . | +| 0x09 | TXParamSetupReq 7 | | x | Used by a network server to set the maximum allowed dwell time and $\text{MaxEIRP}$ of end-device, based on local regulations. | +| 0x09 | TXParamSetupAns | x | | Acknowledges TXParamSetupReq . | +| 0x0A | DlChannelReq 7 | | x | Modifies the definition of a downlink RX1 radio channel by shifting the downlink frequency from the uplink frequencies (i.e., creating an asymmetric channel). | +| 0x0A | DlChannelAns | x | | Acknowledges DlChannelReq . | +| 0x0B to 0x0C | RFU | | | | +| 0x0D | DeviceTimeReq | x | | Used by an end-device to request the current GPS time. | +| 0x0D | DeviceTimeAns | | x | Answers DeviceTimeReq . | +| 0x0E to 0x0F | RFU | | | | +| 0x10 to 0x1F | Class B commands (see clause 16). | | | | +| 0x20 to 0x2F | Reserved for Class C commands. | | | | +| 0x30 to 0x7F | RFU | | | | +| 0x80 to 0xFF | Proprietary | x | x | Reserved for proprietary network command extensions. | + +MAC commands which require an answer from the network expire after the Class A receive windows have elapsed. + +MAC commands are answered/acknowledged by the receiving end in the same order they were transmitted. The answer to each MAC command is sequentially added to a buffer. All MAC commands received in a single frame SHALL be answered in a single frame, which means that the buffer containing the answers SHALL be sent in a single frame. + +If the transmitter has a combination of application payload and MAC answers, or new MAC commands to send and they cannot fit in the same frame, the priority for including information in the frame is shown in Table 15. Within a single frame, a transmitter SHALL send all the higher-priority information before sending any lower-priority information. + +**Table 15 – Transmit data insertion prioritization** + +| Priority level | Information type | +|----------------|---------------------| +| Highest | MAC answers | +| | New MAC commands | +| Lowest | Application payload | + +NOTE 2 – MAC answers are defined as MAC commands sent by the transmitter in response to the received MAC commands. New MAC commands are defined as MAC commands sent by the transmitter but not in response to a received MAC command. + +If the MAC command buffer is too large to fit in the frame, the transmitter SHALL truncate the buffer at the end of the last MAC command that is able to fit within the frame. In all the cases, the full list of MAC commands SHALL be executed by the receiver, even if the buffer containing the MAC answers must be truncated. + +NOTE 3 – When receiving a truncated MAC answer, a network server may retransmit the MAC commands that could not be answered. The network server may elect to send a list of MAC commands, which cannot be answered in a single frame, in order to transition the end-device rapidly to an optimal configuration. + +NOTE 4 – In general, the transmitter will reply once to a MAC command. If the answer is lost, the original sender must resend the command. The original sender decides that the command must be resent when it receives a new frame that does not contain the answer. Only the *RXParamSetupReq*, *RXTimingSetupReq*, *TXParamSetupReq* and *DIChannelReq* commands impact the downlink parameters and therefore have a different acknowledgment mechanism as described in their corresponding clauses. + +NOTE 5 – When a MAC command is initiated by an end-device, the network server may only send the acknowledgment/answer in the RX1/RX2 windows immediately following the request. If the answer is not received in that slot, the end-device is free to implement any retry mechanism it requires. + +NOTE 6 (backwards compatibility) – The length of a MAC command is variable and is determined during decoding. Therefore, unknown MAC commands cannot be skipped, and the first unknown MAC command terminates the processing of the MAC command sequence. It is therefore advisable to define out-of-band the lowest common specification version of the network server and the end-device. Without such knowledge, the order of the MAC commands shall be according to the version of the protocol specification (i.e., a version that predates this Recommendation) that introduced a MAC command for the first time. This way, all the MAC commands up to the implemented version of this protocol can be processed even in the presence of the MAC commands specified in newer versions of this protocol. + +## 9.1 Link check commands (*LinkCheckReq*, *LinkCheckAns*) + +End-devices and network servers SHALL implement these commands. + +An end-device MAY use the *LinkCheckReq* command to validate its connectivity with the network. The command has no payload. + +When a *LinkCheckReq* is received by the network server via one or multiple gateways, the network server SHALL respond with a *LinkCheckAns* command. + +**Table 16 – *LinkCheckAns* payload format** + +| Size (octets) | 1 | 1 | +|-----------------------------|--------|-------| +| LinkCheckAns payload | Margin | GwCnt | + +The demodulation margin (*Margin*) is an 8-bit unsigned integer in the range of 0 to 254, which indicates the link margin in dB of the most recently transmitted *LinkCheckReq* command. A value of 0 means that the frame was received at the demodulation floor (0 dB or no margin) whereas a value of 20, for example, means that the frame reached the best gateway 20 dB above the demodulation floor. The value 255 is reserved. + +The gateway count (*GwCnt*) is the number of gateways that received the most recent *LinkCheckReq* command. + +### 9.2 Link ADR commands (*LinkADRReq*, *LinkADRAns*) + +End-devices and network servers SHALL implement these commands. + +A network server MAY use the *LinkADRReq* command to request that an end-device performs a rate adaptation (see Tables 17 and 18). + +**Table 17 – *LinkADRReq* payload format** + +| Size (octets) | 1 | 2 | 1 | +|---------------------------|------------------|--------|------------| +| LinkADRReq payload | DataRate_TXPower | ChMask | Redundancy | + +**Table 18 – DataRate\_TXPower field format** + +| Bits | [7:4] | [3:0] | +|------------------|----------|---------| +| DataRate_TXPower | DataRate | TXPower | + +The requested data rate (DataRate) and the TX output power (TXPower) encoding are physical layer and regulatory region dependent. A region-specific example of encoding may be found in [b-LoRaWAN RP002]. The TX output power indicated in the command is to be considered the maximum TX power at which the end-device may operate. An end-device SHALL acknowledge the successful receipt of a command that specifies a higher TX power than it is capable of using. In that case, the end-device SHALL operate at its maximum possible power. An end-device will negatively acknowledge a command that specifies a lower TX power than the end-device is capable of using. In that case, the end-device SHALL operate at its previously configured TX power. The value 0xF (decimal 15) of either DataRate or TXPower means that the end-device SHALL ignore that field and keep the current parameter values. An end-device SHALL support a minimum power control range, such that it can operate from its maximum TX power down to the max (2 dBm, maximum TX power – 14 dB). It IS RECOMMENDED that an end-device supports a minimum TX power of +2 dBm. + +NOTE – In case of good RF conditions, the network should slowly lower an end-device's TX power and/or raise the end-device's data rate to avoid making drastic changes that may strand the end-device. + +The channel mask (ChMask) SHALL encode the channels usable for uplink access as follows with bit 0 corresponding to the least significant bit (see Table 19). + +**Table 19 – Channel mask format** + +| Bits | Usable channels | +|------|-----------------| +| 0 | Channel 1 | +| 1 | Channel 2 | +| .. | .. | +| 15 | Channel 16 | + +If a bit in the ChMask field is set to 1, the corresponding channel SHOULD be used for uplink transmissions if this channel allows the data rate currently used by the end-device. A bit set to 0 means that the corresponding channel SHALL NOT be used. + +**Table 20 – Redundancy field format** + +| Bits | 7 | [6:4] | [3:0] | +|------------|-----|------------|---------| +| Redundancy | RFU | ChMaskCntl | NbTrans | + +The requested data rate (DataRate) and the TX output power (TXPower) encoding are physical layer and regulatory region dependent. A region-specific example of encoding may be found in [b-LoRaWAN RP002]. The TX output power indicated in the command is to be considered the maximum TX power at which the end-device may operate. An end-device SHALL acknowledge the + +successful receipt of a command that specifies a higher TX power than it is capable of using. In that case, the end-device SHALL operate at its maximum possible power. An end-device will negatively acknowledge a command that specifies a lower TX power than the end-device is capable of using. In that case, the end-device SHALL operate at its previously configured TX power. The value 0xF (decimal 15) of either `DataRate` or `TXPower` means that the end-device SHALL ignore that field and keep the current parameter values. An end-device SHALL support a minimum power control range, such that it can operate from its maximum TX power down to the max (2 dBm, maximum TX power – 14 dB). It IS RECOMMENDED that an end-device supports a minimum TX power of +2 dBm. + +In the `Redundancy` bits (see Table 20), the `NbTrans` field is the number of transmissions for each uplink frame. This applies to both confirmed and unconfirmed uplink frames. The default value is 1, which corresponds to a single transmission of each frame. The valid range is [1:15]. If an `NbTrans` value of 0 is received, the end-device SHALL use the default value. This field MAY be used by a network server to control the redundancy of the uplink transmissions (retransmissions) to obtain a given quality of service. The end-device performs frequency hopping for retransmissions as usual, and it waits as usual after each retransmission until RX2 has expired. Whenever a downlink frame is received during either RX1 or RX2, the end-device SHALL stop any further retransmission of that same uplink frame. + +The channel mask control (`ChMaskCntl`) field controls the interpretation of the previously defined `ChMask` bit mask. It controls the block of 16 channels to which the `ChMask` applies. It can also be used to turn all channels on or off globally using a specific modulation. The meaning of `ChMaskCntl` depends on the physical layer and regulatory region. A region-specific example may be found in [b-LoRaWAN RP002]. + +A network server MAY include multiple ***LinkADRReq*** commands within a single downlink frame. For configuring the end-device channel mask, the end-device SHALL process all contiguous ***LinkADRReq*** commands in the order present in the downlink frame as a single atomic block command. The end-device SHALL accept or reject all the channel mask controls in the contiguous block and SHALL provide consistent channel mask ACK status indications for each command in the contiguous block in each ***LinkADRAns*** command, reflecting the acceptance or rejection of this atomic channel mask setting. The end-device SHALL only process the `DataRate`, `TXPower` and `NbTrans` from the last ***LinkADRReq*** command in the contiguous block, as these settings govern the end-device global state for these values. The end-device SHALL provide consistent ACK status in each ***LinkADRAns*** command reflecting the acceptance or rejection of these final settings. + +Valid channel frequencies depend on the physical layer and regulatory region of operation. + +An end-device SHALL answer a ***LinkADRReq*** with a ***LinkADRAns*** command (see Tables 21 and 22). + +**Table 21 – *LinkADRAns* payload format** + +| | | +|---------------------------|--------| +| Size (octets) | 1 | +| LinkADRAns payload | Status | + +**Table 22 – Status field format** + +| | | | | | +|--------|-------|----------|-------------|----------------| +| Bits | [7:3] | 2 | 1 | 0 | +| Status | RFU | PowerACK | DataRateACK | ChannelMaskACK | + +The ***LinkADRAns*** Status bits have the meaning specified in Table 23. + +**Table 23 – *LinkADRA*ns Status bits signification** + +| | Bit=0 | Bit=1 | +|-----------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------| +| ChannelMaskACK | The channel mask enables a yet undefined channel, or the channel mask required all the channels to be disabled or the channel mask is incompatible with the resulting data rate or TX power. The command was discarded, and the end-device state was not changed. | The channel mask sent was successfully interpreted. All currently defined channel states were set according to the mask. | +| DataRateACK | The data rate requested is unknown to the end-device or is not possible, given the channel mask provided (not supported by any of the enabled channels). The command was discarded, and the end-device state was not changed. | The data rate was successfully set. | +| PowerACK | The end-device is unable to operate at or is below the requested power level. The command was discarded, and the end-device state was not changed. | The power level was successfully set. | + +If any of the three bits equals 0, the command did not succeed, and the end-device SHALL keep its previous state. + +## 9.3 End-device transmit duty cycle (*DutyCycleReq*, *DutyCycleAns*) + +End-devices and network servers SHALL implement these commands. + +The *DutyCycleReq* command can be used by the network to limit the maximum aggregated transmit duty cycle of an end-device (see Tables 24 and 25). The aggregated transmit duty cycle corresponds to the transmit duty cycle over all sub-bands. + +**Table 24 – *DutyCycleReq* payload format** + +| | | +|-----------------------------|-------------| +| Size (octets) | 1 | +| DutyCycleReq payload | DutyCyclePL | + +**Table 25 – DutyCyclePL field format** + +| | | | +|-------------|-----|--------------| +| Bits | 7:4 | 3:0 | +| DutyCyclePL | RFU | MaxDutyCycle | + +The maximum end-device transmit duty cycle allowed is: + +$$\text{Aggregated duty cycle} = 1/2^{\text{MaxDutyCycle}}$$ + +The valid range for MaxDutyCycle is [0:15]. A value of 0 corresponds to 100 % duty cycle, therefore "no duty cycle limitation" except the one set by the regional regulation. + +NOTE 1 – When applying a *DutyCycleReq* command, the end-device will use whichever is the lowest i.e., either the region limitation for the specific sub-band, or the value from the restriction defined by *DutyCycleReq* which is aggregated over all sub-bands. + +When MaxDutyCycle is different than 0, an end-device SHALL respect a silence period $T_{off}$ before transmitting a frame on any channel. This silence ensures that the duty cycle limit is met even over short observation windows. With *TimeOnAir* defined as the duration of the transmitted frame, the silence is computed as: + +$$T_{off} = \text{TimeOnAir} * (2^{\text{MaxDutyCycle}} - 1)$$ + +NOTE 2 – The *DutyCycleReq* command is used by the network server for traffic shaping, to limit the transmissions from a given end-device. It is calculated by the above formula, which may be different than the duty cycle measurement methods defined by the regulations which have such a limitation. + +An end-device SHALL answer a *DutyCycleReq* with a *DutyCycleAns* command. The *DutyCycleAns* MAC reply contains no payload. + +## **9.4 Receive windows parameters (*RXParamSetupReq*, *RXParamSetupAns*)** + +End-devices and network servers SHALL implement these commands. + +The *RXParamSetupReq* command allows a change to the frequency and the data rate set for RX2 following each uplink (see Table 26). The command also allows an offset to be programmed between the uplink and the RX1 slot downlink data rates (see Table 27). + +**Table 26 – *RXParamSetupReq* payload format** + +| Size (octets) | 1 | 3 | +|--------------------------------|------------|-----------| +| RXParamSetupReq payload | DLSettings | Frequency | + +**Table 27 – DLSettings field format** + +| Bits | 7 | 6:4 | 3:0 | +|------------|-----|-------------|-------------| +| DLSettings | RFU | RX1DROffset | RX2DataRate | + +The RX1 data-rate offset (RX1DROffset) field sets the offset between the uplink data rate and the downlink data rate used to communicate with the end-device on RX1. The default offset is 0. The offset takes into account the maximum power density constraints for gateways in some regions and balances the uplink and downlink radio link margins. + +The reception (RX) data rate (RX2DataRate) field defines the data rate of a downlink using the second receive window following the same convention as the *LinkADRReq* command. For example, 0 means DR0/125 kHz. The frequency (Frequency) field corresponds to the frequency of the channel used for the second receive window, whereby the frequency is coded following the convention defined in the *NewChannelReq* command. + +The *RXParamSetupAns* command SHALL be used by the end-device to acknowledge the receipt of an *RXParamSetupReq* command. The *RXParamSetupAns* command SHALL be added in the FOpts field (if FPort is either missing or > 0) or in the FRMPayload field (if FPort = 0) of all uplinks until a Class A downlink is received by the end-device. This guarantees that, even in the case of an uplink frame loss, the network is always aware of the downlink parameters used by the end-device. + +Following the transmission of an *RXParamSetupReq* command that modifies RX2 (Frequency or RX2DataRate fields), the network server SHALL NOT transmit a Class C downlink before it has received a valid uplink frame containing *RXParamSetupAns*. + +NOTE – An end-device that expects to receive Class C downlink frames will send an uplink frame as soon as possible after receiving a valid *RXParamSetupReq* that modifies RX2 (Frequency or RX2DataRate fields). + +The payload contains a single Status octet (see Tables 28 and 29). + +**Table 28 – *RXParamSetupAns* payload format** + +| Size (octets) | 1 | +|--------------------------------|--------| +| RXParamSetupAns payload | Status | + +**Table 29 – Status field format** + +| Bits | 7:3 | 2 | 1 | 0 | +|--------|-----|----------------|----------------|------------| +| Status | RFU | RX1DROffsetACK | RX2DataRateACK | ChannelACK | + +The status (Status) bits have the meaning specified in Table 30. + +**Table 30 – RX2SetupAns status bits signification** + +| | Bit=0 | Bit=1 | +|-----------------------|-----------------------------------------------------------------------------------|-------------------------------------------| +| ChannelACK | The frequency requested is not usable by the end-device. | RX2 slot channel was successfully set | +| RX2DataRateACK | The data rate requested is unknown to the end-device. | RX2 slot data rate was successfully set | +| RX1DROffsetACK | The uplink/downlink data rate offset for RX1 slot is not within the allowed range | RX1 data-rate offset was successfully set | + +If any of the three bits is equal to 0, the command did not succeed, and the end-device SHALL keep its previous state. + +### 9.5 End-device status (*DevStatusReq*, *DevStatusAns*) + +End-devices and network servers SHALL implement these commands. + +A network server can use the *DevStatusReq* command to request status information from an end-device. The command has no payload. If a *DevStatusReq* is received by an end-device, it SHALL respond with a *DevStatusAns* command (see Table 31). + +**Table 31 – DevStatusAns payload format** + +| Size (octets) | 1 | 1 | +|-----------------------------|---------|-------------| +| DevStatusAns payload | Battery | RadioStatus | + +The reported battery level (Battery) is encoded as specified in Table 32. + +**Table 32 – Battery-level decoding** + +| Battery | Description | +|---------|---------------------------------------------------------------| +| 0 | The end-device is connected to an external power source. | +| 1..254 | Battery level, where 1 is the minimum and 254 is the maximum. | +| 255 | The end-device was not able to measure the battery level. | + +The RadioStatus field contains the signal-to-noise ratio (SNR) information encoded in the six lowest bits in dB rounded to the nearest integer value for the last successfully received *DevStatusReq* command. It is a signed integer with a minimum value of –32 and a maximum value of 31. + +**Table 33 – Status field format** + +| Bits | 7:6 | 5:0 | +|-------------|-----|-----| +| RadioStatus | RFU | SNR | + +### 9.6 Creation / modification of a channel (*NewChannelReq*, *NewChannelAns*, *DIChannelReq*, *DIChannelAns*) + +End-devices and network servers SHALL implement these commands, unless an end-device is operating in a region where a fixed channel plan is defined, in which case these commands SHALL NOT be implemented. + +A network server can use the *NewChannelReq* command either to create a new bidirectional channel or to modify the parameters of an existing one. The command sets the centre frequency of the new channel and the range of uplink data rates that are usable on this channel (see Table 34). + +**Table 34 – NewChannelReq payload format** + +| Size (octets) | 1 | 3 | 1 | +|------------------------------|---------|-----------|---------| +| NewChannelReq payload | ChIndex | Frequency | DRRange | + +The channel index (**ChIndex**) is the index of the channel being created or modified. Depending on the regulatory region of operation, frequency band, and physical layer, default channels SHALL be defined as default channels SHALL be common to all end-devices within a regulatory region and SHALL NOT be modified by the *NewChannelReq* command. If the number of default channels is *N*, the default channels go from 0 to *N*−1, and the acceptable range for **ChIndex** is *N* to 15. An end-device SHALL be able to handle at least 16 different channel definitions. + +The **Frequency** field is a 24-bit unsigned integer. The actual channel frequency (in Hz) is $100 \times \text{Frequency}$ , whereby values representing frequencies below 100 MHz are reserved for future use. This allows the frequency of a channel to be set anywhere from 100 MHz to 1.67 GHz in increments of 100 Hz. A **Frequency** value of 0 disables the channel. The end-device SHALL check that the frequency is allowed by its radio hardware and SHALL NOT set the channel frequency bit in the **Status** field of the answer if the end-device cannot use this frequency (see below). + +The data-rate range (**DRRange**) field specifies the uplink data-rate range allowed for this channel. The field is split in two 4-bit indexes as shown in Table 35. + +**Table 35 – DRRange field format** + +| | | | +|----------------|-------|-------| +| Bits | 7:4 | 3:0 | +| DRRange | MaxDR | MinDR | + +The minimum data rate (**MinDR**) subfield designates the lowest uplink data rate allowed on this channel. The maximum data rate (**MaxDR**) designates the highest uplink data rate. An example of mapping of the data rate index to physical layer may be found in [b-LoRaWAN RP002]. + +The newly defined or modified channel is enabled and can be used immediately for communication. The RX1 downlink frequency is set equal to the uplink frequency. + +The end-device SHALL acknowledge the receipt of a *NewChannelReq* by returning a *NewChannelAns* command. The payload of this frame contains the information of Table 36. + +**Table 36 – NewChannelAns payload format** + +| | | +|------------------------------|--------| +| Size (octets) | 1 | +| NewChannelAns payload | Status | + +The status (**Status**) bits have the meaning given in Tables 37 and 38. + +**Table 37 – Status field format** + +| | | | | +|---------------|-----|--------------------|----------------------| +| Bits | 7:2 | 1 | 0 | +| Status | RFU | Data-rate range ok | Channel frequency ok | + +**Table 38 – NewChannelAns Status bits signification** + +| | | | +|-----------------------------|---------------------------------------------------------------------------------------|---------------------------------------------------------------------------| +| | Bit=0 | Bit=1 | +| Data-rate range ok | The designated data-rate range exceeds the ones currently defined for this end-device | The data-rate range is compatible with the capabilities of the end-device | +| Channel frequency ok | The end-device cannot use this frequency | The end-device is able to use this frequency. | + +If either of those bits equals 0, the command did not succeed, and the end-device SHALL keep its previous state. + +The *DIChannelReq* command allows the network to associate a different downlink frequency with the RX1 slot. This command is applicable to dynamic channel plans. In regions where that command is not defined, the end-device SHALL silently drop it. + +The command sets the center frequency for the downlink RX1 slot as specified in Table 39. + +**Table 39 – *DIChannelReq* payload format** + +| Size (octets) | 1 | 3 | +|-----------------------------|---------|-----------| +| DIChannelReq payload | ChIndex | Frequency | + +The channel index (ChIndex) is the index of the channel whose downlink frequency is modified. + +The frequency (Frequency) field is a 24-bit unsigned integer. The actual downlink frequency (in Hz) is $100 \times \text{Frequency}$ , where values representing frequencies below 100 MHz are reserved for future use. The end-device SHALL check that the frequency is allowed by its radio hardware and return an error otherwise. + +NOTE – To revert the RX1 frequency to the default value, a network server can send another *DIChannelReq* with the same value as uplink frequency. + +If the *DIChannelReq* command is defined in the region where the end-device is operating, the end-device SHALL acknowledge the receipt of a *DIChannelReq* by returning a *DIChannelAns* command. The *DIChannelAns* command SHALL be added to the FOpts field (if FPort is either missing or >0) or to the FRMPayload field (if FPort=0) of all uplinks until a Class A downlink is received by the end-device. This guarantees that, even in the case of an uplink frame loss, the network is always aware of the downlink frequencies used by the end-device. + +The payload of this frame contains the information specified in Table 40. + +**Table 40 – *DIChannelAns* payload format** + +| Size (octets) | 1 | +|-----------------------------|--------| +| DIChannelAns payload | Status | + +The status (Status) bits have the meaning given in Tables 41 and 42. + +**Table 41 – Status field format** + +| Bits | 7:2 | 1 | 0 | +|--------|-----|-------------------------|----------------------| +| Status | RFU | Uplink frequency exists | Channel frequency ok | + +**Table 42 – *DIChannelAns* Status bits signification** + +| | Bit=0 | Bit=1 | +|-------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------| +| Channel frequency ok | The end-device cannot use this frequency | The end-device is able to use this frequency. | +| Uplink frequency exists | The uplink frequency is not defined for this channel. The downlink frequency can only be set for a channel that already has a valid uplink frequency | The uplink frequency of the channel is valid | + +If either of those bits equals 0, the command did not succeed, and the end-device SHALL keep its previous state. + +## 9.7 Setting delay between TX and RX (*RXTimingSetupReq*, *RXTimingSetupAns*) + +End-devices and network servers SHALL implement these commands. + +A network server can use the *RXTimingSetupReq* command to configure the delay between the end of the TX uplink transmission and the opening of RX1 (see Table 43). RX2 SHALL always open 1 second after RX1. + +Table 43 – *RXTimingSetupReq* payload format + +| | | +|---------------------------------|------------------| +| Size (octets) | 1 | +| RXTimingSetupReq payload | RxTimingSettings | + +The RxTimingSettings field specifies the delay. The field is split in two 4-bit indexes as shown in Table 44. + +Table 44 – *RxTimingSettings* field format + +| | | | +|------------------|-----|-----| +| Bits | 7:4 | 3:0 | +| RxTimingSettings | RFU | Del | + +The delay is expressed in seconds. Del 0 is mapped to 1 s. + +Table 45 – Del mapping + +| Del | Delay [s] | +|-----|-----------| +| 0 | 1 | +| 1 | 1 | +| 2 | 2 | +| 3 | 3 | +| ... | ... | +| 15 | 15 | + +An end-device SHALL answer *RXTimingSetupReq* with *RXTimingSetupAns*, which has no payload. + +The *RXTimingSetupAns* command SHALL be added to the FOptS field (if FPort is either missing or greater than 0) or to the FRMPayload field (if FPort=0) of all uplinks until a Class A downlink is received by the end-device. This guarantees that, even in the case of an uplink frame loss, the network is always aware of the downlink parameters used by the end-device. + +## 9.8 End-device transmit parameters (*TXParamSetupReq*, *TXParamSetupAns*) + +A network server MAY use the *TXParamSetupReq* command (see Table 46) to notify the end-device of the maximum allowed dwell time, i.e., the maximum continuous transmit time of a packet over the air, as well as the maximum allowed end-device effective isotropic radiated power (EIRP). + +Table 46 – *TxParamSetup* payload format + +| | | +|-----------------------------|----------------| +| Size (octets) | 1 | +| TXParamSetup payload | EIRP_DwellTime | + +The structure of the EIRP\_DwellTime field is described in Table 47. + +Table 47 – MaxDwellTime field format + +| | | | | | +|--------------|-----|-------------------|-----------------|---------| +| Bits | 7:6 | 5 | 4 | 3:0 | +| MaxDwellTime | RFU | DownlinkDwellTime | UplinkDwellTime | MaxEIRP | + +Bits [0...3] of *TXParamSetupReq* command are used to encode the *MaxEIRP* value, as per the following table. The EIRP values in Table 48 are chosen in a way that covers a wide range of maximum EIRP limits imposed by the different regional regulations. + +**Table 48 – Maximum EIRP encoding** + +| Coded value | 0 | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | +|---------------|---|----|----|----|----|----|----|----|----|----|----|----|----|----|----|----| +| MaxEIRP (dBm) | 8 | 10 | 12 | 13 | 14 | 16 | 18 | 20 | 21 | 24 | 26 | 27 | 29 | 30 | 33 | 36 | + +The maximum EIRP corresponds to an upper bound on the end-device's radio TX power. The end-device is not required to transmit at that power but SHALL NOT radiate more than the specified EIRP. + +Bits 4 and 5 define the maximum uplink and downlink dwell times, respectively, which are encoded as per Table 49. + +**Table 49 – Maximum dwell time encoding** + +| Coded value | Dwell time | +|-------------|------------| +| 0 | No limit | +| 1 | 400 ms | + +If this MAC command is implemented (region-specific), the end-device SHALL acknowledge the *TXParamSetupReq* command by sending a *TXParamSetupAns* command. This *TXParamSetupAns* command contains no payload. + +NOTE – When applying a *TxParamSetupReq* command, the end-device must use whichever is the lowest of either the region limitation for EIRP or the value encoded in *MaxEIRP*. It must also use whichever is the lowest of either region limitation of dwell time or value encoded in *UplinkDwellTime*. + +The *TXParamSetupAns* command SHALL be added in the *FOpts* field (if *FPort* is either missing or >0) or in the *FRMPayload* field (if *FPort*=0) of all uplinks until a Class A downlink is received by the end-device. This guarantees that, even in the case of an uplink frame loss, the network is always aware of the downlink parameters used by the end-device. + +When this MAC command is used in a region where it is not required, the end-device SHALL NOT process it and SHALL NOT transmit an acknowledgment. + +## 9.9 End-device time commands (*DeviceTimeReq*, *DeviceTimeAns*) + +End-devices and network servers SHALL implement these commands. + +An end-device MAY use the *DeviceTimeReq* command to request the current network time from the network server. This allows the end-device to synchronize its internal clock to the network's clock. This is specifically useful to speed up the acquisition of the Class B beacon. The request has no payload. + +A network server MAY use the *DeviceTimeAns* command to provide the GPS time to the end-device. The time provided is the GPS time at the end of the uplink transmission. The command has a 5-octet payload defined as specified in Table 50. + +**Table 50 – *DeviceTimeAns* payload format** + +| Size (octets) | 4 | 1 | +|------------------------------|-----------------------------------------------|---------------------------------------------------------------------------| +| DeviceTimeAns payload | 32-bit unsigned integer: seconds since epoch* | 8-bit unsigned integer: fractional-second in $\frac{1}{256}$ s increments | + +(\*) The GPS epoch (i.e., 6 January 1980 00:00:00 UTC) is used as origin. The seconds field is the number of seconds elapsed since the origin. This field increases monotonically by 1 every second. To convert this field to UTC time, the leap seconds SHALL be taken into account. + +EXAMPLE – 12 February 2016 at 14:24:31 UTC corresponds to 1139322288s since GPS epoch. As of June 2017, the GPS time is 17 s ahead of UTC time. + +The time provided by the network SHALL have a worst-case accuracy of $\pm 100$ ms. The *DeviceTimeAns* command SHALL be sent as a Class A downlink (i.e., over RX1/RX2 of the Class A mode). + +# 10 End-device activation + +To participate in a network as defined in this Recommendation, each end-device SHALL be personalized and activated. + +Activation of an end-device can be achieved in two ways, either via OTAA when an end-device is deployed or reset, or via ABP in which the two steps of the end-device personalization and activation are performed in one step. + +An end-device SHALL implement either OTAA or ABP, and MAY implement both OTAA and ABP. + +## 10.1 Data stored in the end-device after activation + +After activation, the following information is stored in the end-device: a device address (*DevAddr*), a network session key (*NwkSKey*), and an application session key (*AppSKey*). + +#### 10.1.1 End-device address (*DevAddr*) + +The *DevAddr* consists of 32 bits and identifies the end-device within the current network. The *DevAddr* is allocated by the network server of the end-device. Its format SHALL be as specified in Table 51. + +**Table 51 – *DevAddr* fields** + +| Bits | [31...32- N ] | [31- N ..0] | +|----------------|----------------------|--------------------| +| DevAddr | AddrPrefix | NwkAddr | + +The variable *N* is an integer within the [7:25] range. + +The protocol specified in this Recommendation supports various network address types with different network address space sizes. The variable-size *AddrPrefix* field SHALL be derived from the network server's unique identifier *NetID* (24-bit number). The *AddrPrefix* field enables the discovery of the network server that had assigned the *DevAddr*. Eight types of *NetID* are defined, which correspond to different values of *N*, and of *AddrPrefix* bitfield format (see Table 52). + +**Table 52 – Mapping of *N* and AddrPrefix per NetID type** + +| NetID type | Value of N | AddrPrefix format | +|------------|-------------------|-------------------------------------| +| 0 | 7 | 7'b0xx_xxxx | +| 1 | 8 | 8'b10xx_xxxx | +| 2 | 12 | 12'b110x_xxxx_xxxx | +| 3 | 15 | 15'b111_0xxx_xxxx_xxxx | +| 4 | 17 | 17'b1_1110_xxxx_xxxx_xxxx | +| 5 | 19 | 19'b111_110x_xxxx_xxxx_xxxx | +| 6 | 22 | 22'b11_1111_0xxx_xxxx_xxxx_xxxx | +| 7 | 25 | 25'b1_1111_110x_xxxx_xxxx_xxxx_xxxx | + +The least significant (32-*N*) bits are the network addresses (NwkAddr) of the end-device. They SHALL be arbitrarily assigned by the network server. + +The AddrPrefix values of Table 53 may be used by private / experimental networks. + +**Table 53 – AddrPrefix values recommended for use by private / experimental networks** + +| | +|-------------------------------------------------------------| +| Private/experimental network reserved AddrPrefix | +| N = 7 | +| AddrPrefix = 7'b0000000 or AddrPrefix = 7'b0000001 | +| NwkAddr = 25-bit range freely allocated by a network server | + +An example of derivation of the AddrPrefix field from NetID, definition of the different NetID address classes and addresses allocation guidelines may be found in [b-LoRaWAN TS002]. + +### 10.1.2 Network session key (NwkSKey) + +NwkSKey is a network session key specific to the end-device. It is used by both the network server and the end-device to calculate and verify the MIC of all data frames to ensure data integrity. It is further used to encrypt and decrypt the payload field of MAC-only data frames, where FPort=0. + +NwkSKey SHOULD be stored such that extraction and re-use by malicious actors is prevented. + +#### 10.1.3 Application session key (AppSKey) + +AppSKey is an application session key specific to the end-device. It is used by both the application server and the end-device to encrypt and decrypt the payload field of application-specific data frames. Application payloads SHALL be encrypted end-to-end between the end-device and the application server, but they are integrity-protected only over-the-air and not end-to-end. This means that a network server may be able to alter the encrypted content of the data frames in transit (yet without being able to read the plain content). Network servers are considered to be trusted, but it IS RECOMMENDED that applications wishing to implement end-to-end confidentiality and integrity protection use additional end-to-end security solutions, which are beyond the scope of this specification. + +AppSKey SHOULD be stored such that extraction and re-use by malicious actors is prevented. + +## 10.2 Over-the-air activation + +For over-the-air activation, end-devices SHALL follow a join procedure prior to participating in data exchanges with a network server. An end-device SHALL initiate a new join procedure every time it loses the session context information. + +An end-device SHALL be personalized with the following information before it starts the join procedure: a globally unique end-device identifier (**DevEUI**), the join server identifier (**JoinEUI**, see clause 10.2.2) and an AES-128 key (**AppKey**). + +NOTE – For over-the-air-activation, end-devices are not personalized with any kind of network key. Instead, whenever an end-device joins a network, a network session key specific to that end-device is derived to encrypt and verify transmissions at the network level. This facilitates roaming of end-devices between networks of different providers. Furthermore, using both a network session key and an application session key allows federated network servers in which application data cannot be read by the network provider. + +#### **10.2.1 End-device identifier (**DevEUI**)** + +**DevEUI** is a global end-device ID in the IEEE EUI-64 address space that uniquely identifies the end-device across roaming networks. + +All end-devices SHALL have an assigned **DevEUI**, regardless of which activation procedure is used (i.e., ABP or OTAA). + +For OTAA end-devices, **DevEUI** SHALL be stored in the end-device before the join procedure is executed. For ABP end-devices, **DevEUI** SHOULD be stored in the end-device itself. + +NOTE – It is a recommended practice that **DevEUI** should also be available on an end-device label for the purpose of an end-device administration. + +#### **10.2.2 Join-Server identifier (**JoinEUI**)** + +**JoinEUI** is a global application ID in the IEEE EUI-64 address space that uniquely identifies the Join-Server that is able to assist in the processing of the Join Procedure and the derivation of session keys. + +For OTAA end-devices, **JoinEUI** SHALL be stored in the end-device before the Join Procedure is executed. **JoinEUI** is not required for ABP-only end-devices. + +#### **10.2.3 Application key (**AppKey**)** + +The **AppKey** is an AES-128 root key specific to the end-device. + +NOTE – As all end-devices end up with unrelated application keys specific to each end-device, extracting the **AppKey** from an end-device compromises only that one end-device. + +Whenever an end-device joins a network via over-the-air activation, the **AppKey** is used to derive the session keys **NwkSKey** and **AppSKey** specific to that end-device to encrypt and verify network communication and application data. + +An **AppKey** SHALL be stored on an end-device intending to use the OTAA procedure. + +An **Appkey** is not required for ABP-only end-devices. + +### **10.2.4 Join procedure** + +From an end-device's point of view, the join procedure consists of two MAC frames exchanged with the server, namely a Join-Request and a Join-Accept. + +#### **10.2.5 Join-Request frame** + +The join procedure is always initiated by the end-device sending a Join-Request frame (see Table 54). + +**Table 54 – Join-Request payload format** + +| Size (octets) | 8 | 8 | 2 | +|-----------------------------|---------|--------|----------| +| Join-Request payload | JoinEUI | DevEUI | DevNonce | + +The Join-Request frame contains the JoinEUI and DevEUI of the end-device followed by a nonce of 2 octets (DevNonce). + +DevNonce is a counter starting at 0 when the end-device is initially powered up and incremented with every Join-Request. A DevNonce value SHALL never be reused for a given JoinEUI value. If the end-device can be power-cycled, then DevNonce SHALL be persistent (e.g., stored in a non-volatile memory). Resetting DevNonce without changing JoinEUI will cause the join server to discard the Join-Requests of the end-device. For each end-device, the Join Server keeps track of the last DevNonce value used by the end-device and ignores the join-requests if DevNonce is not incremented. + +The MIC value (see clause 8 for MAC frame description) for a Join-Request frame SHALL be calculated as follows (see [IETF RFC 4493]): + +$$\begin{aligned} \text{CMAC} &= \text{aes128\_cmac}(\text{AppKey}, \text{MHDR} \mid \text{JoinEUI} \mid \text{DevEUI} \mid \text{DevNonce}) \\ \text{MIC} &= \text{CMAC}[0..3] \end{aligned}$$ + +The Join-Request frame is not encrypted. + +The Join-Request frame MAY be transmitted using any data rate and following a random frequency-hopping sequence across the specified join channels. Join-Request transmission physical layer parameters may be different than data traffic. If the Join-Request transmission physical layer parameters are not specifically defined, the end-devices SHALL transmit the join-requests across all the available channels at the lowest data rate for the region. Additionally, end-devices SHOULD transmit the join-requests across all the available channels at all the required data rates for that region. The intervals between transmissions of the join-requests SHALL respect the conditions described in clause 11. For each transmission of a join-request, the end-device SHALL increment the DevNonce value. + +#### 10.2.6 Join-Accept frame + +The network SHALL respond to a Join-Request frame with a Join-Accept frame if the end-device is permitted to join the network. The Join-Accept frame is sent like a normal downlink but uses delays JOIN\_ACCEPT\_DELAY1 or JOIN\_ACCEPT\_DELAY2 (instead of RECEIVE\_DELAY1 and RECEIVE\_DELAY2, respectively). The channel frequency and data rate used for these two receive windows are identical to the ones used for the RX1 and RX2 receive windows described in clause 7.3 and SHALL use a different timing than RX1 and RX2. + +A Join-Accept response SHALL NOT be given to the end-device if the Join-Request is not accepted. + +The Join-Accept frame contains a Join-Server nonce (JoinNonce) of 3 octets, a network identifier (NetID), an end-device address (DevAddr), downlink configuration settings (DLSettings), a delay between TX and RX (RXDelay) and an OPTIONAL list of network parameters (CFList) for the network the end-device is joining. The OPTIONAL CFList is region-specific and is defined relative to the channel plan. An example of region specific use of CFList may be found in [b-LoRaWAN RP002]. + +**Table 55 – Join-Accept payload format** + +| Size (octets) | 3 | 3 | 4 | 1 | 1 | (16)
optional | +|---------------------|-----------|-------|---------|------------|---------|------------------| +| Join-accept payload | JoinNonce | NetID | DevAddr | DLSettings | RXDelay | CFList | + +JoinNonce is a non-repeating value provided by the join server and used by the end-device to derive the two session keys NwkSKey and AppSKey, which SHALL be calculated as follows: + +$$\begin{aligned} \text{NwkSKey} &= \text{aes128\_encrypt}(\text{AppKey}, 0 \times 01 \mid \text{JoinNonce} \mid \text{NetID} \mid \text{DevNonce} \mid \text{pad}_{16}) \\ \text{AppSKey} &= \text{aes128\_encrypt}(\text{AppKey}, 0 \times 02 \mid \text{JoinNonce} \mid \text{NetID} \mid \text{DevNonce} \mid \text{pad}_{16}) \end{aligned}$$ + +where the $\text{pad}_{16}$ function appends all-zero octets so that the length of the data is a multiple of 16. + +The MIC value for a Join-Accept frame SHALL be calculated as follows (see [IETF RFC 4493]): + +$$\begin{aligned} \text{CMAC} &= \text{aes128\_cmac}(\text{AppKey}, \text{MHDR} \mid \text{JoinNonce} \mid \text{NetID} \mid \text{DevAddr} \mid \text{DLSettings} \mid \\ &\quad \text{RXDelay} \mid \text{CFList}) \\ \text{MIC} &= \text{CMAC}[0..3] \end{aligned}$$ + +The Join-Accept frame itself SHALL be encrypted with the AppKey as follows: + +$$\text{aes128\_decrypt}(\text{AppKey}, \text{JoinNonce} \mid \text{NetID} \mid \text{DevAddr} \mid \text{DLSettings} \mid \text{RXDelay} \mid \text{CFList} \mid \text{MIC})$$ + +NOTE 1 – [b-LoRaWAN TR001] proposes additional behaviour for the JoinNonce value in the join server to prevent synchronization issues related to the version 1.0.x of the join procedure. Some of the remedies include additional behaviour both at the end-device and the join server, which are expected to be configured synchronously. + +NOTE 2 – An AES decrypt operation in electronic code book (ECB) mode encrypts the Join-Accept frame so that the end-device can use an AES encrypt operation to decrypt the frame. This way, an end-device has to implement only an AES encrypt but not an AES decrypt. + +NOTE 3 – Establishing these two session keys allows for a federated network infrastructure in which the network operators are not able to eavesdrop on the application data. The application provider commits to the network operator that it will take the charges for any traffic incurred by the end-device and retains full control over the AppSKey used for protecting its application data. + +The DLSettings field SHALL contain the downlink configuration as specified in Table 56. + +**Table 56 – DLSettings field format** + +| Bits | 7 | 6:4 | 3:0 | +|------------|-----|-------------|-------------| +| DLSettings | RFU | RX1DROffset | RX2DataRate | + +The RX1DROffset field sets the offset between the uplink data rate and the downlink data rate used to communicate with the end-device on the first receive window (RX1). The default offset is 0. The offset accommodates the maximum power density constraints for gateways in some regions and balances the uplink and downlink radio link margins. + +The RX2DataRate field sets the downlink data rate that serves to communicate with the end-device on the second receive window (RX2). + +The RXDelay field sets the downlink RX1 delay and follows the same convention as the Del field in the **RXTimingSetupReq** command. + +Default RX data rates, default RX receive delays and the actual relationship between the uplink and downlink data rate are region-specific. An example of such parameters may be found in [b-LoRaWAN RP002]. + +The CFList parameters, when present, SHALL be used in combination with implicit parameters to emulate the receipt of existing MAC commands, such as **NewChannelReq** or **LinkADRReq**. The end-device behaviour when processing CFList SHALL be identical to what would result from processing those MAC commands if they were received in a single downlink frame, after the processing of the non-optional join-accept parameters, with the exception that CFList processing does not generate a MAC answer. The standard behaviour for processing MAC commands is defined in a subsequent clause in this Recommendation. + +If the Join-Accept frame is received following the transmission of a Join-Request, the end-device SHALL revert to its default channel and RF parameters definitions. All the MAC layer parameters (except *RXDelay*, *RX2DataRate*, and *RX1DROffset* that are transported by the Join-Accept frame) SHALL be reset to their default values. If the *CFlist* is present, it is then applied. + +It IS RECOMMENDED that the first uplink that follows the reception of the Join-Accept frame uses the data rate of the successful join-request, or a lower data rate. The end-device SHALL then apply the adaptive date-rate control as defined in clause 8.3.1.1. + +#### 10.2.7 Join procedure completion for Class C + +The end-device that expects to receive Class C downlink frames SHALL send a confirmed uplink frame or a frame that requires an acknowledgment as soon as possible after receiving a valid Join-Accept frame. The end-device SHALL continue to send such frames until it receives the first downlink from the network (while respecting duty cycles, if applicable, and retransmission timers). + +The network server SHALL NOT transmit a downlink before it has received a first uplink frame. + +## 10.3 Activation by personalization + +Activation by personalization ties an end-device directly to a specific network, thus bypassing the join procedure. + +Activating an end-device by personalization means that the *DevAddr* and the two session keys *NwkSKey* and *AppSKey* are stored directly in the end-device instead of being derived from *DevEUI*, *JoinEUI* and the *AppKey*. The end-device is equipped with the required information for participating, as soon as it is started, in a specific network as defined in this Recommendation. + +Each end-device SHALL have a unique set of *NwkSKey* and *AppSKey* values. Compromising the keys of one end-device SHALL NOT compromise the security of the communications of other end-devices. The process to build those keys SHALL be such that the keys cannot be derived in any way from publicly available information such as the end-device address or *DevEUI*. + +Upon first boot and following a reset, personalized end-devices SHALL have all the available channels for that region enabled and SHOULD use all the required data rates for that region. Configurations of the end-device by the network that controls the downlink connectivity (controlled by *RXParamsSetupReq*, *DLChannelReq*, *RXTimingSetupReq* and *TXParamSetupReq*) SHALL be persisted by the end-device, even after a reset. + +Frame counter values SHALL be used only once in all invocations of a same key with the counter with cipher block chaining message (CCM) mode of operation [IEEE 802.15.4]. Therefore, re-initialization of an ABP end-device frame counters is forbidden. ABP end-devices SHALL store the frame counters persistently (e.g., in non-volatile memory). + +NOTE – ABP end-devices use the same session keys throughout their lifetime (i.e., no rekeying is possible). Therefore, it is recommended that OTAA end-devices be used for higher security applications. + +# 11 Retransmissions backoff + +Uplink frames that: + +- require an acknowledgment or answer from the network or an application server and are retransmitted by the end-device if the acknowledgment or answer is not received, and +- can be triggered by an external event causing synchronization across a large (>100) number of end-devices (power outage, radio jamming, network outage, earthquake, etc.) + +can trigger a catastrophic, self-persisting, radio network overload situation. + +NOTE – A typical example of such an uplink frame is a join-request if the implementation of a group of end-devices decides to reset the MAC layer in the case of a network outage. The entire group of end-devices will start broadcasting the join-request uplinks and will stop only upon receiving a join-accept from the network. + +For those frame retransmissions, the interval between the end of the RX2 slot and the next uplink retransmission SHALL be random and follow a different sequence for every end-device (for example using a pseudo-random generator seeded with the end-device's address). The transmission duty-cycle of such a frame SHALL respect local regulations and the following limits, whichever is more constraining (see Table 57). + +**Table 57 – Transmit duty-cycle limitations** + +| | | | | +|----------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------|-----------------------------------|------------------| +| Aggregated during the first hour following power-up or reset | $T_0 < t < T_{0+1}$ | Transmit time
< 36 s per hour | 1% duty cycle | +| Aggregated during the next 10 hours | $T_{0+1} < t < T_{0+11}$ | Transmit time
< 36 s per 10 h | 0.1% duty cycle | +| After the first 11 hours, aggregated over 24 h, where $N$ refers to days starting at 0 | $T_{0+11} + N \times (24 \text{ hours/day}) < t$
$< T_0 + 35 + N \times (24 \text{ hours/day}),$
$N \geq 0$ | Transmit time
< 8.7 s per 24 h | 0.01% duty cycle | + +# **Class B** + +# **Beacon** + +## **12 Introduction to Class B** + +This section describes the Class B layer, which is optimized for battery-powered end-devices that may be either mobile or mounted at a fixed location. + +End-devices **SHOULD** implement Class B operation when there is a requirement to open receive windows at fixed time intervals for the purpose of enabling network-initiated downlink frames. Class B-capable end-devices **SHALL NOT** enable Class B and Class C operation concurrently. + +Class B option adds a synchronized reception window on the end-device. + +One of the limitations of Class A is the method of sending data from the end-device: it does not allow for a known reaction time when the customer application or the server wants to address the end-device. The purpose of Class B is to have an end-device available for reception at a predictable time, in addition to the reception windows that follows the random uplink transmission from the end-device of Class A. Class B is achieved by having the gateway send a beacon on a regular basis to synchronize all the end-devices in the network so that the end-device can open a short additional reception window (called a ping slot) at a predictable time during a periodic time slot. + +NOTE – The decision to switch from Class A to Class B comes from the application layer of the end-device. If this switch from Class A to Class B has to be controlled from the network side, the customer application shall use one of the end-device's Class A uplinks to send back a downlink to the application layer, and it needs the application layer on the end-device to recognize this request (this process is not managed by this Recommendation). + +## **12.1 Principle of synchronous network-initiated Class B downlinks** + +For a network to support end-devices of Class B, the network **SHALL** broadcast a beacon that provides a timing reference to end-devices. Based on this timing reference, the Class B-enabled end-devices **SHALL** periodically open receive windows, hereafter called ping slots, which can be used by the network to initiate a downlink communication. A network-initiated downlink using one of these ping slots is called a ping. The gateway chosen to initiate this downlink communication is selected by the network server. For this reason, if an end-device moves and detects a change in the identity advertised in the received beacon, it **SHALL** send an uplink to the network server so that the server can update the downlink routing path database. + +When enabling Class B mode, an end-device **SHALL** use the defined values for the following parameters: + +- default ping-slot periodicity, +- default ping-slot data rate, +- default ping-slot channel. + +These parameters **SHALL** have default values and **MAY** be updated via Class B MAC commands (see clause 16). A region specific example of default values may be found in [b-LoRaWAN RP002]. + +All end-devices start and join the network as Class A end-devices with Class B disabled. The end-device application can then decide to enable Class B. Class B-capable end-devices still implement all the functionalities of Class A end-devices. In particular, Class B-enabled end-devices **SHALL** respect the Class A RX1 and RX2 receive window definition following every uplink (see clause 7.3). + +Class B is enabled by the following process: + +- The end-device application requests the protocol layer to enable Class B mode. The protocol layer in the end-device searches for a beacon. To accelerate beacon discovery, the protocol layer MAY use the *DeviceTimeReq* MAC command. +- Once the end-device has found a beacon, it MAY enable Class B mode. +- Once Class B is enabled, the MAC layer SHALL set to 1 the `ClassB` bit of the `FCtrl` field of every uplink frame transmitted to remain Class B-enabled. This bit signals to the server that the end-device has enabled Class B. +- The MAC layer SHOULD autonomously schedule a reception slot for each beacon and each ping slot. The end-device SHALL take into account the maximum possible clock drift in the scheduling of the beacon reception slot and ping slots. When a downlink is successfully demodulated during a ping slot, it SHALL be processed similarly to a downlink as described in the Class A specification. +- A mobile end-device SHOULD periodically inform the network server of its location to update the downlink route. This is done by transmitting a normal (possibly empty) unconfirmed or confirmed uplink. The end-device protocol layer SHALL appropriately set the `ClassB` bit to 1 in the frame's `FCtrl` field. This can be done more efficiently if the end-device detects that it is moving by analyzing the beacon content. In that case, to avoid systematic uplink collisions, the end-device SHALL apply a random delay (as defined in clause 17.4) between having received the beacon and transmitting the uplink. +- During any Class A downlink, the network server MAY change the end-device's ping-slot downlink frequency or data rate by sending a *PingSlotChannelReq* MAC command and receiving the corresponding *PingSlotChannelAns*. +- The end-device MAY change the periodicity of its ping slots at any time. To do so, it SHALL temporarily disable Class B operation (unset `ClassB` bit in its uplink frames) and send a *PingSlotInfoReq* to the network server. Once this command is acknowledged, the end-device MAY re-enable Class B operation with the new ping-slot periodicity. +- If no beacon has been received for a given period (as defined in clause 16.2), synchronization with the network is lost. The end-device protocol layer SHALL stop setting the `ClassB` bit in all uplinks, which informs the network server that the end-device has disabled Class B mode. + +Figure 4 illustrates the concept of beacon reception slots and ping slots. In this example, given a beacon period of 128 s, the end-device also opens a ping-slot reception window every 32 s. Most of the time, this ping slot is not used by the network server and therefore the end-device reception window is closed as soon as the radio transceiver has assessed that no preamble is present on the radio channel. If a preamble is detected, the radio transceiver will stay on until the downlink frame is demodulated. The MAC layer will then process the frame, check that its address field matches the end-device address and that the MIC is valid before forwarding it to the application layer. The end-device response shown in this example is optional, depending on the downlink, and, if present, this is a Class A uplink. + +![Figure 4: Example of beacon reception slot and ping slots. The diagram shows a timeline for a Gateway (grey bar) and an End-device (light blue bar). The timeline is divided into BEACON_PERIOD and PING_PERIOD intervals. In the BEACON_PERIOD, the Gateway transmits a 'Network beacon transmission' (green rectangle) and the End-device has 'End-device RX windows' (yellow vertical lines). In the PING_PERIOD, the Gateway transmits a 'Ping' (purple rectangle) and the End-device sends an 'End-device response' (purple rectangle). A second 'Network beacon transmission' occurs after the ping. The diagram is labeled Y.4480(21) in the bottom right corner.](0b7849dae424b0dd33e6386d2384643a_img.jpg) + +Figure 4: Example of beacon reception slot and ping slots. The diagram shows a timeline for a Gateway (grey bar) and an End-device (light blue bar). The timeline is divided into BEACON\_PERIOD and PING\_PERIOD intervals. In the BEACON\_PERIOD, the Gateway transmits a 'Network beacon transmission' (green rectangle) and the End-device has 'End-device RX windows' (yellow vertical lines). In the PING\_PERIOD, the Gateway transmits a 'Ping' (purple rectangle) and the End-device sends an 'End-device response' (purple rectangle). A second 'Network beacon transmission' occurs after the ping. The diagram is labeled Y.4480(21) in the bottom right corner. + +**Figure 4 – Example of beacon reception slot and ping slots** + +## 13 Class B frame formats + +### 13.1 Uplink frames + +The uplink frames in Class B mode are the same as the Class A uplinks. The `ClassB` bit SHALL be set to 1 in an uplink to signal the network server that the end-device is Class B-enabled and is ready to receive scheduled downlink pings. + +### 13.2 Downlink frames + +The `FPending` bit for Class B downlink frames signals that, in the event of a ping-slot collision between multiple Class B ping slots, the ping-slot sequence whose `FPending` bit was set first will take priority. If the `FPending` bit has been set for multiple Class B ping-slot sequences, they will take priority over ping-slot sequences for which `FPending` has not been set. Further prioritization can be determined based on whether the downlink ping slot is used for multicast or unicast frames. + +**Table 58 – `FPending` Class B prioritization** + +| Priority | Type of Class B downlink | +|----------|---------------------------------------------------------| +| Highest | Multicast with FPending previously set | +| | Unicast with FPending previously set | +| | Multicast with FPending not previously set | +| Lowest | Unicast with FPending not previously set | + +If there are multiple colliding ping-slot sequences at the same priority level as shown in Table 58, the highest unicast or multicast `DevAddr` SHALL take priority. + +### 13.3 Downlink ping frames + +A downlink ping frame uses the same format as a Class A downlink frame but might follow a different channel frequency or data rate plan. + +Frames can be unicast or multicast. Unicast frames are sent to a single end-device, whereas multicast frames are sent to multiple end-devices. All end-devices of a multicast group SHALL share the same multicast address and associated encryption keys. A Class B-capable end-device SHALL support at least one multicast group and an end-device SHALL NOT transmit using a multicast address. + +More precisely, inside a given end-device, a multicast group is defined by the following parameters called the multicast group context: + +- 1) A 4-octet network address of the multicast group, common to all end-devices of the group; +- 2) The multicast group sessions keys (different for every multicast group, but all end-devices of a given multicast group have the same session keys); +- 3) The multicast group downlink frame counter. + +The Class B specification does not specify means to set up such a multicast group remotely or to distribute the required multicast key material securely. This can be performed either during the end-device personalization or through the application layer. + +EXAMPLE – [b-LoRaWAN TS005] describes a possible application layer mechanism for over-the-air multicast key distribution. + +#### 13.3.1 Unicast downlink ping frame format + +The MAC payload of a unicast downlink ping uses the format defined in the Class A specification. The same frame counter is incremented, whether the downlink uses a Class B ping slot or a Class A downlink slot. A downlink ping is processed by the end-device in the same way as a Class A downlink, except for MAC commands and confirmed frames. + +A downlink ping SHALL NOT transport any MAC command. If an end-device receives a downlink ping containing a MAC command, either in the `FOPts` field (if `FPort` is either missing or $>0$ ) or in the `FRMPayload` field (if `FPort`=0), it SHALL silently discard the entire frame. + +In case a confirmed downlink ping frame is received, the end-device SHALL NOT answer later than a time period equal to: + +$$\text{CLASS\_B\_RESP\_TIMEOUT} * \text{NbTrans} + \text{RECEIVE\_DELAY2} * (\text{NbTrans} - 1)$$ + +when the end-device sets its uplink ADR bit, and `CLASS_B_RESP_TIMEOUT` when the end-device unsets its uplink ADR bit. The default value of `CLASS_B_RESP_TIMEOUT` is 8 s. It can be modified to fit regional regulatory and physical layer constraints; it SHALL not be smaller than `RETRANSMIT_TIMEOUT` plus the maximum time on air of the uplink frame. + +NOTE 1 – The purpose of this timeout is for the network server to know how long to wait for a response from the end-device, before it transmits another confirmed downlink. This ensures that the network server can process responses without any ambiguity: There may be only a single confirmed downlink ping pending an acknowledgement. + +The uplink frame sent in response MAY be sent up to `NbTrans` times, but no retransmission SHALL occur after the timeout period. It IS RECOMMENDED that the end-device transmits each copy of the uplink frame at a random time within `CLASS_B_RESP_TIMEOUT`. + +As this adds a timing requirement compared to responding to Class A downlinks, the end-device may not send an uplink frame within the timeout, for instance if it has a duty cycle limitation. When such an uplink frame is not sent, the end-device SHALL act as if the uplink frame with the ACK bit set was sent. + +After sending a confirmed downlink frame sent over ping slot, the network server SHALL NOT send any other confirmed downlink to the end-device until this timeout expires or an uplink frame is received from that end-device. + +After sending a Class A confirmed downlink, a network server SHALL NOT send any other confirmed downlink to the end-device until an uplink frame is received from that end-device. + +NOTE 2 – Unconfirmed downlink frames sent over ping slots may be sent without a minimum delay between them. + +#### 13.3.2 Multicast downlink ping frame format + +Multicast frames share most of the unicast frame format with a few exceptions: + +- They SHALL NOT carry MAC commands in the `FOpts` field nor in the payload on port 0 because a multicast downlink does not have the same authentication robustness as a unicast frame. The end-device SHALL discard any multicast frame carrying MAC commands; +- The ACK bit SHALL be 0 and the `FType` field SHALL have the value `Unconfirmed Data Down` (see Table 4). The end-device SHALL discard the multicast frame otherwise. + +## 14 Class B beacon acquisition and tracking + +Before enabling Class B operation, the end-device SHOULD first synchronize with the network beacons to align its internal timing reference with the network. + +Once Class B is enabled, the end-device SHOULD periodically search and receive a network beacon to cancel any drift of its internal clock time base, relative to the network timing. + +A Class B-enabled end-device may be temporarily unable to receive beacons (out of range from the network gateways, presence of interference, etc.). In this event, the end-device SHOULD gradually widen its beacon and ping-slot reception windows to accommodate a possible drift of its internal clock. + +NOTE – For example, an end-device whose internal clock is defined with a precision of $\pm 10$ ppm may drift by $\pm 1.3$ ms every beacon period. + +### 14.1 Minimal beaconless operation time + +In the event of beacon loss, an end-device SHALL be capable of maintaining Class B operation for 2 hours (120 minutes) after it received the last beacon. This temporary Class B operation without beacon is called beaconless operation. It relies on the end-device's own clock to keep time. + +During beaconless operation (see Figure 5), Class B unicast, multicast and beacon reception slots SHALL be progressively expanded to accommodate the end-device's possible clock drift. + +![Diagram illustrating beaconless temporary operation. A horizontal timeline shows an end-device's state. It starts with a 'Beacon reception window' (green bar) and 'End-device receives the beacon'. This is followed by a period where the 'End-device temporarily stop receiving beacon'. During this time, the 'Reception window enlarges to accommodate clock drift' (yellow bars expand). Finally, the 'End-device receives a beacon and resets the reception window length' (green bar returns to original width).](c79b9212cfc136d4191e637cd9437ffb_img.jpg) + +The diagram illustrates the process of beaconless temporary operation. It shows a horizontal timeline representing time. A light blue bar labeled 'End-device' spans the width of the diagram. Above the timeline, a green bar represents the 'Beacon reception window'. Below the timeline, a yellow bar represents the 'Reception window enlarges to accommodate clock drift'. The timeline is divided into segments by vertical lines. The first segment shows the 'End-device receives the beacon'. The second segment shows the 'End-device temporarily stop receiving beacon'. The third segment shows the 'Reception window enlarges to accommodate clock drift'. The fourth segment shows the 'End-device receives a beacon and resets the reception window length'. The diagram is labeled 'Y.4480(21)' in the bottom right corner. + +Diagram illustrating beaconless temporary operation. A horizontal timeline shows an end-device's state. It starts with a 'Beacon reception window' (green bar) and 'End-device receives the beacon'. This is followed by a period where the 'End-device temporarily stop receiving beacon'. During this time, the 'Reception window enlarges to accommodate clock drift' (yellow bars expand). Finally, the 'End-device receives a beacon and resets the reception window length' (green bar returns to original width). + +**Figure 5 – Beaconless temporary operation** + +### 14.2 Extension of beaconless operation upon receipt + +During the 120-minute time interval described above, the receipt of any beacon directed to the end-device SHOULD extend Class B beaconless operation by another 120 minutes allowing the end-device to correct any timing drift and reset the duration of the receive slots. + +NOTE – An end-device can also use Class B ping-slot downlinks to resynchronize its internal clock. + +### 14.3 Minimizing timing drift + +The end-devices MAY use the beacon's precise periodicity (when available) to calibrate their internal clock and therefore reduce the initial clock frequency imprecision. As the timing oscillators exhibit a predictable temperature frequency shift, the use of a temperature sensor could enable further minimization of the timing drift. + +## 15 Class B downlink slot timing + +## 15.1 Definitions + +To operate successfully in Class B, end-devices SHALL open reception slots at precise instants relative to the infrastructure beacon. This clause defines the required timing. + +The interval between the start of two successive beacons is called the beacon period (see Figure 6). The beacon frame transmission is aligned with the beginning of the BEACON\_RESERVED interval (see Table 59). Each beacon is preceded by a BEACON\_GUARD time interval, where no ping slot can be placed. The length of the BEACON\_GUARD time interval corresponds to the time on air of the longest allowed frame. This is to ensure that a Class B downlink initiated during a ping slot just before the BEACON\_GUARD time interval will always have time to finish without colliding with the beacon transmission. The usable time interval for a ping slot therefore spans from the end of the BEACON\_RESERVED time interval to the beginning of the next BEACON\_GUARD time interval. + +![Figure 6: Beacon timing diagram. The diagram shows a timeline of beacon transmissions. A 'Gateway beacons' label points to a shaded yellow area representing the beacon frame. This is preceded by a 'Guard time' interval (BEACON_GUARD) and followed by a 'Usable time interval for class B slots' (BEACON_RESERVED). The 'Beacon start' is marked at the beginning of the beacon frame. The 'BEACON_WINDOW' is the interval from the end of the BEACON_RESERVED interval to the start of the next BEACON_GUARD interval. The 'BEACON_PERIOD' is the total interval between the start of two successive beacons. The diagram is labeled Y.4480(21) in the bottom right corner.](1e8c50ad4fca7f315a407347dd5091cc_img.jpg) + +Figure 6: Beacon timing diagram. The diagram shows a timeline of beacon transmissions. A 'Gateway beacons' label points to a shaded yellow area representing the beacon frame. This is preceded by a 'Guard time' interval (BEACON\_GUARD) and followed by a 'Usable time interval for class B slots' (BEACON\_RESERVED). The 'Beacon start' is marked at the beginning of the beacon frame. The 'BEACON\_WINDOW' is the interval from the end of the BEACON\_RESERVED interval to the start of the next BEACON\_GUARD interval. The 'BEACON\_PERIOD' is the total interval between the start of two successive beacons. The diagram is labeled Y.4480(21) in the bottom right corner. + +**Figure 6 – Beacon timing** + +**Table 59 – Beacon timing** + +| | | +|-----------------|-----------| +| BEACON_PERIOD | 128 s | +| BEACON_RESERVED | 2.120 s | +| BEACON_GUARD | 3.000 s | +| BEACON_WINDOW | 122.880 s | + +The beacon frame time on air is much shorter than the BEACON\_RESERVED time interval so as to allow the network management broadcast frames to be appended in the future. + +The BEACON\_WINDOW time interval is divided into $212 = 4\,096$ ping slots of 30 ms each, numbered from 0 to 4 095. + +An end-device using the slot number $N$ SHALL turn its receiver on $T_{on}$ s after the start of the beacon, where: + +$$T_{on} = \text{BEACON\_RESERVED} + N \times 30 \text{ ms.}$$ + +$N$ is called the slot index. + +The latest ping slot starts at $\text{BEACON\_RESERVED} + 4\,095 \times 30 \text{ ms} = 124\,970 \text{ s}$ after the beacon starts or 3 030 ms before the beginning of the next beacon. + +### 15.2 Slot randomization + +To avoid systematic collisions or overhearing problems, the slot index is randomized and changed at every beacon period. + +The parameters of Table 60 are used (Periodicity is defined in clause 16.1). + +Table 60 – Class B slot randomization algorithm parameters + +| | | +|------------|---------------------------------------------------------------------------------------------------------------------------| +| DevAddr | Device 32-bit network unicast or multicast address | +| PingNb | Number of ping slots per beacon period. This is a power of 2 integer:
$\text{PingNb} = 2^{7-\text{Periodicity}}$ | +| PingPeriod | Period of the end-device receiver wake-up expressed in number of slots:
$\text{PingPeriod} = 2^{5+\text{Periodicity}}$ | +| PingOffset | Randomized offset computed at each BEACON_PERIOD start. Values can range from 0 to $(\text{PingPeriod} - 1)$ | +| BeaconTime | The time carried in the field BCNPayload | +| SlotLen | Length of a unit ping slot = 30 ms | + +At each beacon period, the end-device and the server SHALL compute a new pseudo-random offset to align the reception slots. An AES encryption with a fixed key of 16 all-zero octets SHALL be used to randomize: + +Key = $16 \times 0x00$ +Rand = aes128\_encrypt(Key, BeaconTime | DevAddr | pad16) +PingOffset = $(\text{Rand}[0] + \text{Rand}[1] \times 256) \text{ modulo PingPeriod}$ + +The slots used for this beacon period SHALL be: + +$\text{PingOffset} + N \times \text{PingPeriod}$ with $N = [0:\text{PingNb}-1]$ + +The end-device therefore opens receive slots starting at the times given in Table 61. + +Table 61 – Receive-slot starting times + +| | | +|------------|----------------------------------------------------------------------------------------------------| +| First slot | $\text{BEACON\_RESERVED} + \text{PingOffset} \times \text{SlotLen}$ | +| Slot 2 | $\text{BEACON\_RESERVED} + (\text{PingOffset} + \text{PingPeriod}) \times \text{SlotLen}$ | +| Slot 3 | $\text{BEACON\_RESERVED} + (\text{PingOffset} + 2 \times \text{PingPeriod}) \times \text{SlotLen}$ | +| ... | ... | + +If the end-device simultaneously serves a unicast and one or more multicast slots, this computation SHALL be performed multiple times at the beginning of a new beacon period: once for the unicast address (end-device network address) and once for each multicast group address. + +If a Class A RX1 or RX2 receive slot collides with a Class B multicast or unicast slot, the end-device SHALL listen to the Class A RX slot that has priority. + +NOTE – As defined in the Class A section, the end-device does not open the RX2 receive window if a valid unicast downlink addressed to the end-device is received in the RX1 receive window. + +The randomization scheme prevents a systematic collision between unicast and multicast slots. If a collision occurs during a beacon period, one is unlikely to occur again during the next beacon period. + +## 16 Class B MAC commands + +All commands described in the Class A specification SHALL be implemented in Class B-capable end-devices. End-devices implementing the Class B specification SHALL further implement the MAC commands listed in Table 62 (see also Table 14). + +**Table 62 – Class B MAC command table** + +| CID | Command | Transmitted by | | Brief description | +|------|---------------------------|----------------|----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| | | End-device | Network server | | +| 0x10 | PingSlotInfoReq | x | | Used by the end-device to communicate the unicast ping-slot periodicity to the network server | +| 0x10 | PingSlotInfoAns | | x | Used by the network to acknowledge a PingInfoSlotReq command | +| 0x11 | PingSlotChannelReq | | x | Used by the network server to set the unicast ping channel frequency and data rate of an end-device
Note – This command has a different acknowledgment mechanism as described in the command definition. | +| 0x11 | PingSlotChannelAns | x | | Used by the end-device to acknowledge a PingSlotChannelReq command | +| 0x12 | BeaconTimingReq | x | | Deprecated | +| 0x12 | BeaconTimingAns | | x | Deprecated | +| 0x13 | BeaconFreqReq | | x | Command used by the network server to modify the frequency at which the end-device expects to receive a beacon broadcast | +| 0x13 | BeaconFreqAns | x | | Used by the end-device to acknowledge a BeaconFreqReq command | + +MAC commands which require an answer from the network expire after the "Class A receive windows" have elapsed. + +### 16.1 PingSlotInfoReq + +An end-device MAY use the *PingSlotInfoReq* command to inform the server of its unicast ping-slot periodicity (see Tables 63 and 64). This command SHALL be used only to inform the server of the periodicity of a unicast ping slot. A multicast slot is entirely defined by the application and SHALL NOT use this command. + +**Table 63 – *PingSlotInfoReq* payload format** + +| | | +|--------------------------------|---------------| +| Size (octets) | 1 | +| PingSlotInfoReq payload | PingSlotParam | + +**Table 64 – *PingSlotParam* field format** + +| | | | +|---------------|-----|-------------| +| Bits | 7:3 | [2:0] | +| PingSlotParam | RFU | Periodicity | + +The *Periodicity* subfield is an unsigned 3-bit integer encoding the ping-slot period currently used by the end-device using the following equations: + +$$\begin{aligned} \text{pingNb} &= 2^{7-\text{Periodicity}} \\ \text{pingPeriod} &= 2^{5+\text{Periodicity}} \text{ slots} \end{aligned}$$ + +The actual ping-slot periodicity will be $0.96 \times 2^{\text{Periodicity}}$ seconds. + +- *Periodicity* = 0 means that the end-device opens a ping slot approximately every 1 second during the *BEACON\_WINDOW* interval. +- *Periodicity* = 7 means that the end-device opens a ping slot approximately every 128 seconds, which is the maximum ping-slot period supported by the Class B specification. + +To change its ping-slot periodicity, an end-device SHALL first revert to Class A. Next it SHALL send the new periodicity through a *PingSlotInfoReq* command. Then it SHALL receive an acknowledgement from the server through a *PingSlotInfoAns*. Only then MAY the end-device switch back to Class B with the new periodicity. + +This command MAY be concatenated with any other MAC command in the *FOpts* field of *FHDR*, as described in the Class A specification frame format. + +Upon receiving this *PingSlotInfoReq* command, the network server SHALL answer with a *PingSlotInfoAns* frame. The MAC payload of this frame is empty. + +### 16.2 BeaconFreqReq + +This command is sent by the server to the end-device to modify the frequency on which this end-device expects the beacon (see Table 65). + +**Table 65 – BeaconFreqReq payload format** + +| | | +|-----------------------|-----------| +| Octets | 3 | +| BeaconFreqReq payload | Frequency | + +The *Frequency* coding is identical to the *NewChannelReq* MAC command defined for Class A. + +A valid non-zero *Frequency* SHALL force the end-device to listen to the beacon on a fixed frequency channel, even if the default behaviour specifies a frequency hopping beacon (i.e., US ISM band). + +A value of 0 instructs the end-device that it SHALL use the default beacon frequency plan. Where applicable, the end-device SHALL resume a frequency hopping beacon search. + +Upon receiving this command, the end-device SHALL answer with a *BeaconFreqAns* frame. The MAC payload of this frame contains the information given in Table 66. + +**Table 66 – BeaconFreqAns payload format** + +| | | +|-----------------------|--------| +| Size (octets) | 1 | +| BeaconFreqAns payload | Status | + +The bits of the *Status* octet have the meaning given in Tables 67 and 68. + +**Table 67 – Status field format** + +| | | | +|--------|-----|---------------------| +| Bits | 7:1 | 0 | +| Status | RFU | Beacon frequency ok | + +**Table 68 – Meaning of beacon frequency bits** + +| | Bit=0 | Bit=1 | +|---------------------|---------------------------------------------------------------------------------|---------------------------------------| +| Beacon frequency ok | The end-device cannot use this frequency, the previous beacon frequency is kept | The beacon frequency has been changed | + +### 16.3 PingSlotChannelReq + +The server MAY send this command to the end-device to modify the frequency and/or the data rate at which the end-device expects the downlink pings. + +Once the network server has sent the *PingSlotChannelReq* command, it SHALL NOT attempt to use a Class B ping slot until it receives the *PingSlotChannelAns*. + +Note 1 – In order to take advantage of the network-initiated downlink capabilities provided by Class B, the network needs relatively recent information of how to best contact the end-device. This information is provided to the network through any and all the uplinks received from the end-device. For this reason, it is important for Class B enabled end-devices to send regular uplinks which implicitly inform the network of the best way to contact it as well as providing the network a chance to send new MAC commands which may be required for proper end-device operation. + +**Table 69 – *PingSlotChannelReq* payload format** + +| Octets | 3 | 1 | +|-----------------------------------|-----------|----| +| PingSlotChannelReq payload | Frequency | DR | + +The `Frequency` coding is identical to the *NewChannelReq* MAC command defined for Class A. A value of 0 instructs the end-device that it SHALL use the default frequency plan. + +The data rate (DR) octet contains the fields specified in Table 70. + +**Table 70 – DR field format** + +| Bits | 7:4 | 3:0 | +|------|-----|----------| +| DR | RFU | DataRate | + +The `DataRate` subfield is the index of the data rate used for the ping-slot downlinks. The relationship between the index and the physical data rate SHALL be defined for each physical layer and regulatory region of operation. A region-specific example may be found in [b-LoRaWAN RP002]. + +Upon receiving this command, the end-device SHALL answer with a frame containing the *PingSlotChannelAns* command. The *PingSlotChannelAns* command SHALL be added in the `FOpts` field (if `FPort` is either missing or >0) or in the `FRMPayload` field (if `FPort`=0) of all uplinks until a Class A downlink is received by the end-device. + +NOTE 2 – To limit the unavailability of ping slots, the end-device will answer as soon as possible to this MAC command. + +**Table 71 – *PingSlotChannelAns* payload format** + +| Size (octets) | 1 | +|-----------------------------------|--------| +| PingSlotChannelAns payload | Status | + +The `Status` bits have the meaning specified in Tables 72 and 73. + +**Table 72 – Status field format** + +| | | | | +|---------------|-----|--------------|----------------------| +| Bits | 7:2 | 1 | 0 | +| Status | RFU | Data rate ok | Channel frequency ok | + +**Table 73 – Status field bits signification** + +| | | | +|-----------------------------|---------------------------------------------------------------------------------------------|----------------------------------------------------------------------| +| | Bit=0 | Bit=1 | +| Data rate ok | The designated data rate is not defined for this end-device, the previous data rate is kept | The data rate is compatible with the possibilities of the end-device | +| Channel frequency ok | The end-device cannot receive on this frequency | This frequency can be used by the end-device | + +If either bit equals 0, the command did not succeed, and the ping-slot parameters SHALL NOT be modified. + +### 16.4 *BeaconTimingReq* and *BeaconTimingAns* + +These MAC commands have been deprecated since [b-LoRaWAN TS001-1.0.3]. End-devices SHALL use *DeviceTimeReq* and *DeviceTimeAns* commands as substitutes. + +## 17 Class B beaconing + +In addition to relaying frames between end-devices and network servers, gateways MAY participate in providing a time-synchronization mechanism by sending beacons at regular fixed intervals. The beacon content, modulation parameters and frequencies SHALL be defined for each physical layer and regulatory region. An example may be found in [b-LoRaWAN RP002]. + +### 17.1 Beacon frame format + +The beacon payload `BCNPayload` consists of a network common part and an OPTIONAL gateway-specific part (see Table 74). + +**Table 74 – Beacon frame content** + +| | | | | | | | | +|---------------|----------|-------|------|-----|------------|----------|-----| +| Size (octets) | N | 1 | 4 | 2 | 7 | M | 2 | +| BCNPayload | RFU | Param | Time | CRC | GwSpecific | RFU | CRC | + +The length *N* and *M* of the RFU fields of `BCNPayload` depend on the modulation parameters and SHALL be defined for each physical layer and regulatory region. + +The `Param` bits have meaning specified in Table 75, where `Prec` encodes the timing precision of the beacon. + +**Table 75 – Param bits** + +| | | | +|--------------|-----|------| +| Bits | 7:2 | 1:0 | +| Param | RFU | Prec | + +The precision is interpreted as a base-ten exponent of the beacon's transmit time precision $10^{(-6+Prec)}$ seconds, where the default value of `Prec` is 0. The `Prec` field can take any value within the range [0:3]. The RFU portion of `Param` SHALL be set to 0 and the end-device SHALL silently + +ignore this field. Networks that use a beacon precision value other than 0 for `Prec` SHOULD send the beacon using a non-default value of `BeaconFrequency`. + +The common part MAY contain an `RFU` field equal to 0. It also contains a `Param` including a timestamp precision `Prec` and a timestamp `Time` expressed in seconds elapsed since January 6, 1980 00:00:00 UTC (start of the GPS epoch) modulo $2^{32}$ . The integrity of the beacon's network common part is protected by a 16-bit cyclic redundancy check (CRC). The value of CRC-16 SHALL be computed on the `RFU + Param + Time` fields as defined in [IEEE 802.15.4]. This cyclic redundancy check (CRC) SHALL use the polynomial $P(x) = x^{16} + x^{12} + x^5 + x^0$ . The CRC SHALL be calculated on the octets in the order they are sent over the air. + +### 17.2 Beacon `GwSpecific` field format + +The content of the `GwSpecific` field is specified in Table 76. + +**Table 76 – Beacon `GwSpecific` field format** + +| Size (octets) | 1 | 6 | +|-------------------|----------|------| +| GwSpecific | InfoDesc | Info | + +The information descriptor `InfoDesc` describes how the information field `Info` SHALL be interpreted (see Table 77). + +**Table 77 – Beacon `InfoDesc` index mapping** + +| InfoDesc | Meaning | +|----------|-------------------------------------------------| +| 0 | GPS coordinate of the gateway first antenna | +| 1 | GPS coordinate of the gateway second antenna | +| 2 | GPS coordinate of the gateway third antenna | +| 3 | NetID + GatewayID | +| 4:127 | RFU | +| 128:255 | Reserved for custom network-specific broadcasts | + +For a single omnidirectional antenna gateway, the value of `InfoDesc` is 0 when broadcasting GPS coordinates. For a site featuring sector antennas, for example, the first antenna broadcasts the beacon with `InfoDesc`=0, the second antenna with `InfoDesc`=1, and so on. + +#### 17.2.1 Gateway GPS coordinate: `InfoDesc`=0, 1 or 2 + +For `InfoDesc`=0, 1 or 2, the content of the `Info` field encodes the GPS coordinates of the antenna broadcasting the beacon (see Table 78). + +**Table 78 – Beacon `Info` field format, `InfoDesc`=0,1,2** + +| Size (octets) | 3 | 3 | +|---------------|-----|-----| +| Info | Lat | Lng | + +The latitude and longitude fields (`Lat` and `Lng`, respectively) encode the geographical location of the gateway as follows: + +- The north–south latitude SHALL be encoded using a two's complement 24-bit word, where $-2^{23}$ corresponds to 90° south (the South Pole) and $2^{23}$ corresponds to 90° north (the North Pole); +- The east–west longitude SHALL be encoded using a two's complement 24-bit word, where $-2^{23}$ corresponds to 180° west and $2^{23}$ corresponds to 180° east. + +NOTE – It is not possible to describe 90° north because $2^{23}-1$ is the largest number that can be represented in two's complement notation. This position error of approximately 1.2 meter at the North Pole is considered small. + +#### 17.2.2 NetID + GatewayID + +For InfoDesc=3, the content of the Info field encodes the network's NetID plus a freely allocated gateway or a cell identifier. The format of the Info field is specified in Table 79. + +**Table 79 – Beacon Info field format, InfoDesc=3** + +| | | | +|---------------|-------|-----------| +| Size (octets) | 3 | 3 | +| Info | NetID | GatewayID | + +## 17.3 Beaconsing precise timing + +A beacon SHALL be sent every 128 s starting on 6 January 1980, 00:00:00 UTC (start of the GPS epoch) plus $T_{\text{BeaconDelay}}$ . Therefore, a beacon is sent at $B_T = k \times 128 + T_{\text{BeaconDelay}} \pm T_{\text{Accuracy}}$ seconds after the GPS epoch, where $k$ is the smallest integer for which $k \times 128 > T$ and $T$ = number of seconds since 6 January 1980, 00:00:00 UTC (start of the GPS time). + +NOTE – $T$ is GPS time and unlike unix time, it increases strictly monotonically and is not influenced by leap seconds. + +$T_{\text{BeaconDelay}}$ is 1.5 ms. It allows a slight transmit delay (1.5 ms) of the gateways required by their radio system to switch from receive to transmit mode. + +The variable $T_{\text{Accuracy}}$ denotes the timing precision guaranteed by the gateway. $T_{\text{Accuracy}}$ SHALL be provided by the gateway manufacturer with the set of operational conditions required to guarantee it. $T_{\text{Accuracy}}$ SHALL be less than or equal to the timing precision indicated by the Prec field of the beacon $T_{\text{Accuracy}} \leq 10^{-6+\text{Prec}}$ seconds. + +All gateways participating in the broadcast of the Class B beacon shall be synchronized. Depending on the timing precision that can be guaranteed by the gateway, two possible modes of the Class B beacon transmission are possible: + +- $T_{\text{Accuracy}} \leq 1 \mu\text{s}$ : gateways tightly synchronized to GPS time: If the gateway transmissions can be synchronized to the GPS clock with an accuracy of better than 1 $\mu\text{s}$ , the gateway MAY transmit the beacon every 128 s. The Prec field of the beacon is set to 0, indicating a timing accuracy of better than 1 $\mu\text{s}$ for the listening end-devices. +- $T_{\text{Accuracy}} > 1 \mu\text{s}$ : gateways loosely synchronized to GPS time: If gateway transmissions can be synchronized to the GPS clock with an accuracy of better than 1 ms, but an accuracy of 1 $\mu\text{s}$ cannot be guaranteed, the transmission of a Class B beacon SHALL be randomized. For each beacon, the gateway SHALL draw a random number $P$ with a uniform distribution between 0 and 1. The gateway transmits the beacon if $P < P_{\text{Beacon}}$ . If $P \geq P_{\text{Beacon}}$ , the gateway remains silent and does not transmit the beacon. The parameter $P_{\text{Beacon}}$ exists on the gateway and MAY be remotely set by the network server. The value of $P_{\text{Beacon}}$ SHALL be $\leq 0.5$ (50%). Different gateways may use different values of the $P_{\text{Beacon}}$ parameter. + +The parameter $P$ may be a pseudo-random number but, in this case, each gateway in the network SHALL use a different seed, resulting in a unique series of $P$ values. + +If the Class B beacons of two or more loosely synchronized gateways reach the antenna of an end-device with equivalent power, the end-device may not be able to demodulate the beacon. The timing difference between the colliding beacons may be too great to be compensated correctly by the end-device's demodulator. To avoid systematic beacon collision at the antenna of a stationary end-device, randomization must take place. Each loosely synchronized gateway randomly transmits the beacon no more than half of the time. Therefore, although beacon collisions do happen at the end-device's + +antenna, they are not systematic, and the end-device can still demodulate the Class B beacon with sufficient probability to operate in Class B mode. The $P_{\text{Beacon}}$ parameter should be optimized by the network infrastructure based on the average number of gateways that local end-devices can receive. The denser the gateway population becomes, the higher the probability of beacon collision, so lower the parameter should be. The optimal parameter value depends on too many network-driven factors and is beyond the scope of this specification. + +All end-device ping slots SHALL use the start of the receipt of the preamble of the Class B beacon as a timing reference. Therefore, the network server SHALL take $T_{\text{BeaconDelay}}$ into account when scheduling the Class B downlinks. + +### 17.4 Network downlink route update requirements + +When the network attempts to communicate with an end-device using a Class B downlink slot, it SHOULD transmit the downlink from the gateway closest to the end-device when the most recent uplink was received. Therefore, the network server SHOULD keep track of the approximate position of every Class B end-device. + +Whenever a Class B end-device moves and changes cells, it SHALL communicate with the network server in order to update its downlink route. This update is performed simply by sending a confirmed or unconfirmed uplink, possibly without an applicative payload. + +The end-device can communicate in accordance with two basic strategies: + +- Systematic periodic uplink: This is the simplest method as it does not require demodulation of the gateway-specific field of the beacon. It is applicable only to slowly moving or stationary end-devices. No requirements are imposed on such periodic uplinks. +- Uplink on cell change: The end-device can demodulate the optional gateway-specific field of the beacon. It detects that the ID of the gateway broadcasting the beacon it demodulates has changed and sends an uplink. In that case, the end-device SHALL respect a pseudo-random delay within the range of [0 s : 120 s] between the beacon demodulation and the uplink transmission to ensure that the uplinks of multiple Class B end-devices entering or leaving a cell during the same beacon period will not systematically occur at the same time immediately after the beacon broadcast. + +Failure to report a cell change can result in a Class B downlink being temporarily not operational. + +## 18 Class B unicast and multicast downlink channel frequencies + +The Class B downlink channel selection mechanism depends on the way the Class B beacon is broadcast at the physical layer. + +### 18.1 Single-channel beacon transmission + +In certain regions, a beacon is transmitted on a single channel. In that case, all unicast and multicast Class B downlinks SHALL use a single frequency channel defined by the *PingSlotChannelReq* MAC command. The default frequency SHALL be defined specific to the regulatory region and physical layer. + +### 18.2 Frequency-hopping beacon transmission + +This specification supports and offers two options for Class B beacon transmission. In any region, a beacon SHALL either be transmitted following a frequency-hopping pattern or use a fixed frequency. + +In regions with a hopping beacon, by default Class B ping slots SHALL use a channel that is a function of the time field of the previous beacon (see clause 17.1) and the value of $\text{DevAddr}$ . + +$$\text{Class B ping – slot channel} = \left[ \text{DevAddr} + \text{floor} \left( \frac{\text{BeaconTime}}{\text{BeaconPeriod}} \right) \right] \text{ modulo NbChannel}$$ + +where: + +- `BeaconTime` is the 32-bit `Time` field of the current beacon period; +- `BeaconPeriod` is the length of the beacon period (defined as 128 s in the specification); +- `floor` designates rounding to the immediately lower integer value; +- `DevAddr` is the 32-bit network address of the end-device or multicast group; +- `NbChannel` is the number of channels over which the beacon is frequency hopping. + +Class B downlinks therefore hop across the `NbChannel` channels (identical to the beacon transmit channels) in the ISM band, and all Class B end-devices are equally spread amongst the `NbChannel` downlink channels. + +If the ***PingSlotChannelReq*** command with a valid non-zero `Frequency` argument sets the Class B downlink frequency, then all the subsequent ping slots SHOULD be opened on this single frequency independent of the previous beacon frequency. + +If the ***PingSlotChannelReq*** command with a zero `Frequency` argument is sent, the end-device SHOULD resume the default frequency plan, that is, Class B ping slots hopping across the `NbChannel` channels. + +The underlying idea is to allow network operators to configure end-devices to use a single proprietary dedicated frequency band for Class B downlinks if available, and to maintain as much frequency diversity as possible when the ISM band is used. + +## Class C + +## Continuous listening end-devices + +## 19 Introduction to Class C + +Class C mode is used for applications that have sufficient power available such that they do not need to minimize the time the radio receiver is active as they do in Class A or Class B applications. + +Class C-capable end-devices SHALL NOT enable Class B and Class C concurrently. Class A downlink, however, are always available after an end-device uplink. + +A Class C-enabled end-device listens as often as possible using a combination of channel / DR parameters referred to as RXC (see Figure 7). The end-device SHALL listen on RXC when it is not (a) transmitting or (b) receiving on RX1 or (c) receiving on RX2, according to the Class A definition. To do so, it SHALL open a short window on RXC parameters between the end of the uplink transmission and the beginning of the RX1 reception window. It SHALL open another RXC window between the end of the RX1 window and the beginning of the RX2 window, and it SHALL switch to RXC reception parameters as soon as the RX2 reception window is closed. This final RXC reception window SHALL remain open until the end-device begins to send another packet. + +If the end-device is in the process of demodulating a downlink using the RXC parameters when the RX1 or RX2 window should be opened, it SHALL stop the demodulation and switch to the RX1 or RX2 receive window. This applies even when the RXC and RX2 parameters are identical. The purpose of this rule is to achieve a clear separation between the downlinks received during RX1 and RX2 windows (called Class A downlinks) and the downlinks received during a Class C window (called Class C downlinks). The same frame counter is incremented, whether the downlink uses RX1 / RX2 or RXC. + +NOTE 1 – In order to take advantage of the network-initiated downlink capabilities provided by Class C, the network needs relatively recent information of how to best contact the end-device. This information is provided to the network through any and all the uplinks received from the end-device. For this reason, it is important for Class C enabled end-devices to send regular uplinks which implicitly inform the network of the best way to contact it as well as providing the network a chance to send new MAC commands which may be required for proper end-device operation. + +A Class C downlink SHALL NOT transport any MAC command. If an end-device receives a Class C downlink containing a MAC command, either in the `FOpts` field (if `FPort` is either missing or $>0$ ) or in the `FRMPayload` field (if `FPort`=0), it SHALL silently discard the entire frame. + +In case a Class C confirmed downlink is received, the end-device SHALL NOT answer later than a time period equal to: + +- $\text{CLASS\_C\_RESP\_TIMEOUT} * \text{NbTrans} + \text{RECEIVE\_DELAY2} * (\text{NbTrans} - 1)$ +when the end-device sets its uplink ADR bit, +- $\text{CLASS\_C\_RESP\_TIMEOUT}$ +when the end-device unsets its uplink ADR bit. + +The default value of `CLASS_C_RESP_TIMEOUT` is 8 s. It can be modified but SHALL not be smaller than the `RETRANSMIT_TIMEOUT` plus the maximum time on air of the uplink frame. + +NOTE 2 – The purpose of this timeout is for the network server to know how long to wait for a response from the end-device, before it transmits another Class C confirmed downlink. This ensures that the network server can process responses without any ambiguity: there may be only a single confirmed Class C downlink pending an acknowledgement. + +The uplink frame sent in response MAY be sent up to $NbTrans$ times, but no retransmission SHALL occur after the timeout period. It IS RECOMMENDED that the end-device transmits each copy of the uplink frame at a random time within $CLASS\_C\_RESP\_TIMEOUT$ . + +As this adds a timing requirement compared to responding to Class A downlinks, the end-device may not send an uplink frame within the timeout, for instance if it has a duty cycle limitation. When such an uplink frame is not sent, the end-device SHALL act as if the uplink frame with the *ACK* bit set was sent. + +After sending a Class C confirmed downlink, a network server SHALL NOT send any other confirmed downlink to the end-device until this timeout expires or an uplink frame is received from that end-device. + +After sending a Class A confirmed downlink, a network server SHALL NOT send any other confirmed downlink to the end-device until an uplink frame is received from that end-device. + +NOTE 3 – Class C downlink frames of type *Unconfirmed Data* may be sent without a minimum delay between them. + +![Figure 7 – Class C end-device reception slot timing](cc6f9dbfc36aa5821d9749ca84861f93_img.jpg) + +The diagram illustrates the timing for Class C end-device reception slots. It starts with a 'Transmit' block. Below it, a horizontal double-headed arrow indicates 'Transmit time on air'. Following the transmission, there is a 'RECEIVE\_DELAY1' period, after which a 'RX1' window opens. Simultaneously, a continuous 'RXC' window is shown starting immediately after transmission and filling the gaps between RX1 and RX2. A 'RECEIVE\_DELAY2' period starts from the end of transmission and leads to the 'RX2' window. After RX2, the 'RXC' window continues. A dashed arrow labeled 'Extends to next uplink' indicates the continuation of the RXC window. The diagram is labeled 'Y.4480(21)'. + +Figure 7 – Class C end-device reception slot timing + +**Figure 7 – Class C end-device reception slot timing** + +NOTE 4 – As defined in clause 7, the end-device does not open RX2 if a downlink is received in RX1. In that case, the end-device opens a continuous RXC receive window at the end of the demodulation of the RX1 downlink that extends until the next uplink. + +The Class C mechanism may be used to receive unicast or multicast downlink frames: + +- Unicast Class C downlinks are typically used for a command and control signal sent to a specific end-device with very low latency (e.g., single streetlight); +- Multicast Class C downlinks are used to broadcast the same downlink frame(s) to a group of end-devices. Typical applications include firmware updates over the air (FUOTA) and simultaneously controlling a group of end-devices such as streetlights. + +The RXC window parameters differ, depending on whether the Class C functionality is used to receive unicast or multicast downlinks: + +- Unicast: The RXC parameters are identical to the RX2 parameters, and they use the same channel and data rate. Modifying the RX2 parameters using the appropriate MAC commands also modifies the RXC parameters. +- Multicast: The RXC parameters are provided by the application layer. All end-devices in the multicast group SHALL share the same RXC parameters. If the multicast RXC parameters are different from the end-device's RX2 parameters, then the end-device is not able to listen simultaneously to multicast and unicast downlink. In that case, the decision whether the end-device should use unicast or multicast RXC parameters is application-specific. If the multicast RXC parameters provided by the application layer match the current RX2 parameters of the end-device, then the end-device receives both unicast and multicast traffic during the RXC windows. + +## 19.1 Class C multicast downlinks + +Analogously to Class B, Class C end-devices can receive multicast downlink frames. The multicast address and associated network session key SHALL come from the network server, and the application session key SHALL come from the application server. + +More precisely, inside a given end-device, a multicast group is defined by the following parameters called the multicast group context: + +- 1) A 4-octet network address of the multicast group, common to all end-devices of the group; +- 2) A multicast group-specific session key, different for every multicast group; all end-devices of a given multicast group have the same session keys; +- 3) A multicast group-specific downlink frame counter. + +EXAMPLE – [b-LoRaWAN TS005] provides an application layer mechanism to set up a multicast group over the air. + +The following limitations apply for Class C multicast downlink frames: + +- They SHALL NOT carry MAC commands in the `FOpts` field nor in the payload on port 0 because a multicast downlink does not have the same authentication robustness as a unicast frame. The end-device SHALL discard any multicast frame carrying MAC commands. +- The `ACK` bits SHALL be 0 and the `FType` field SHALL carry the value for `Unconfirmed Data Down`. The end-device SHALL discard the multicast frame otherwise. +- Given that a Class C end-device keeps its receiver active most of the time, the `FPending` bit does not trigger a specific behaviour of the end-device and SHALL NOT be used. + +# Appendix I + +## Examples + +(This appendix does not form an integral part of this Recommendation.) + +The following examples are illustrations of the protocol specification for informational purposes only. + +## I.1 Uplink timing diagram for unconfirmed data frames + +Figure I.1 illustrates the steps executed by an end-device transmitting a single unconfirmed data frame. + +![Uplink timing diagram for unconfirmed data frames, NbTrans=1](237b76118be454462fc9b4e96adaa6c7_img.jpg) + +The diagram shows a sequence of events between a 'Network server' (top row) and an 'End-device' (bottom row) over time (left to right). + 1. The End-device sends an 'Unconfirmed data uplink' with counter {Cu}. + 2. After the transmission, a period labeled 'RECEIVE\_DELAY1' occurs. + 3. A first receive window 'RX1' opens. + 4. Exactly '+1 second' after the start of RX1, a second receive window 'RX2' opens. + 5. During RX2, the Network server sends a 'Data downlink in RX2' with counter {Cd} to the End-device. + 6. An 'ok' status is indicated above the uplink transmission. + The diagram is labeled Y.4480(21) at the bottom right. + +Uplink timing diagram for unconfirmed data frames, NbTrans=1 + +**Figure I.1 – Uplink timing diagram for unconfirmed data frames, NbTrans=1** + +The end-device first transmits an unconfirmed data frame at an arbitrary instant and on an arbitrary channel. The uplink frame counter $C_u$ is simply derived by adding 1 to the previous uplink frame counter. The network server receives the frame and may generate a downlink frame containing an application payload and/or MAC commands exactly $RECEIVE\_DELAY1$ or $RECEIVE\_DELAY2$ seconds later, using either the first or the second Class A receive windows, respectively. This downlink frame uses a data rate and channel specified by the regional channel plan. The downlink frame counter $C_d$ is also derived by adding 1 to the downlink frame counter previously used to transmit to that specific end-device. + +The uplink frame counter obeys the constraints imposed by $NbTrans$ : The end-device is compelled to transmit the uplink $NbTrans$ times or until a downlink is received in the Class A receive windows. In this example, as $NbTrans=1$ , the next uplink will be sent with $FCntUp = C_u + 1$ . This transmission complies with all the specified behaviours defined in this Recommendation, including channel selection, timing randomization and duty-cycle limitations. + +Figure I.2 illustrates another example where an end-device transmits a single payload with unconfirmed uplink data frames using $NbTrans = 3$ . + +![Figure I.2 – Uplink timing diagram for unconfirmed data frames, NbTrans>2](1dea2e515f706e8044ae79339efaa36c_img.jpg) + +The diagram shows a timeline for an end-device and a network server. + 1. The end-device sends an 'Unconfirmed data uplink' with counter {Cu}. + 2. After RECEIVE\_DELAY1, an RX1 window opens, followed 1 second later by an RX2 window. No downlink is received. + 3. After an 'arbitrary delay', the end-device sends a second 'Unconfirmed data uplink (2nd TX)' with the same counter {Cu}. + 4. After RECEIVE\_DELAY1, an RX1 window opens. The network server sends an 'Unconfirmed data downlink in RX1' with counter {Cd}. + 5. Upon receiving this downlink, the end-device marks it as 'ok' and the 'Retransmission cancelled' state is reached after an 'arbitrary delay'. + +**Figure I.2 – Uplink timing diagram for unconfirmed data frames, *NbTrans*>2** + +Figure I.2 – Uplink timing diagram for unconfirmed data frames, NbTrans>2 + +The end-device transmits up to *NbTrans* times the same unconfirmed uplink. The uplink frame counter *Cu* is kept constant for the retransmissions. In this example, the first transmission is received correctly by the network server. No downlink transmission occurs in the corresponding Class A windows, as no response is required: The network server might not have data or MAC commands to transmit to the end-device, or a downlink transmission to another end-device might be active. In the absence of downlink, end-device waits an arbitrary delay after the end of second Class A window, before transmitting the uplink again with same *Cu*, using a different channel. A data downlink frame is then received, on the first Class A window following this second transmission. As a consequence of this downlink reception, the third transmission does not occur. + +This transmission complies with all the specified behaviours defined in this Recommendation, including channel selection, timing randomization and duty-cycle limitations. + +### I.2 Uplink timing diagram for confirmed data frames + +The diagram of Figure I.3 illustrates the steps executed by an end-device transmitting two confirmed data frames (*Data0* and *Data1*) with *NbTrans*=1. + +![Figure I.3 – Uplink timing diagram for confirmed data frames](f217ea7a6e9347a9ca4d6173ed57c33e_img.jpg) + +*+ ACK means ACK bit set* + +The diagram shows a timeline for confirmed data frames: + 1. End-device sends 'Confirmed data uplink (Data0)' with counter {Cu}. + 2. After RECEIVE\_DELAY1, RX1 opens. Network server sends 'Unconfirmed data downlink in RX1 + ACK' with counter {Cd}. + 3. The end-device fails to receive this (marked with a red X and 'ko'). + 4. After RETRANSMIT\_TIMEOUT, the end-device retransmits 'Confirmed data uplink (Data0)' with counter {Cu+1}. + 5. After RECEIVE\_DELAY1, RX1 opens. Network server sends 'Unconfirmed data downlink in RX1 + ACK' with counter {Cd+1}. This is received ('ok'). + 6. After an 'arbitrary delay', the end-device sends 'Confirmed data uplink (Data1)' with counter {Cu+2}. + 7. After RECEIVE\_DELAY1, RX1 opens. Network server sends 'Unconfirmed data downlink in RX1 + ACK' with counter {Cd+2}. This is received ('ok'). + +**Figure I.3 – Uplink timing diagram for confirmed data frames** + +Figure I.3 – Uplink timing diagram for confirmed data frames + +The end-device first transmits a confirmed data frame containing the *Data0* payload at an arbitrary instant and on an arbitrary channel. The uplink frame counter *Cu* is simply derived by adding 1 to the previous uplink frame counter. The network server receives the frame and generates a downlink frame with the *ACK* bit set, which is transmitted exactly RECEIVE\_DELAY1 or RECEIVE\_DELAY2 + +Rec. ITU-T Y.4480 (11/2021) 53 + +seconds later, using the first or second receive window of the end-device, respectively. This downlink frame uses a data rate and channel specified by the regional channel plan. The downlink frame counter $Cd$ is also derived by adding 1 to the downlink frame counter previously used to transmit to that specific end-device. If there is no downlink payload pending, the network server may send a frame without a payload. In this example, the frame carrying the ACK bit is not received by the end-device. The second receive window is here opened, because frame reception failure happens before this window starts. + +If an end-device does not receive a frame with the ACK bit set in one of the two receive windows immediately following the uplink transmission, it may resend the payload after waiting at least $RETRANSMIT\_TIMEOUT$ seconds after RX2. The uplink frame counter obeys the constraints imposed by $NbTrans$ : The end-device is compelled to transmit the uplink $NbTrans$ times or until a downlink is received in the Class A receive windows. In this example, as $NbTrans=1$ , the repeated payload will be sent with $FCntUp = Cu+1$ . After this repeated payload, the end-device receives the ACK downlink during its RX1, with $FCntDn = Cd+1$ . The end-device is then free to transmit a new frame on a new channel and is not required to open RX2. + +The downlink frames in this example carry an application payload. A downlink frame can carry any combination of ACK, MAC control commands and payload. + +## I.3 Downlink diagram for confirmed data frames + +Figure I.4 illustrates the basic sequence of a confirmed downlink data frame. + +![Figure I.4: Downlink timing diagram for confirmed data frames. The diagram shows the interaction between a Network server and an End-device. The Network server (top) sends a 'Confirmed data downlink in RX1' with frame counter {Cd}. The End-device (bottom) initially sends an 'Unconfirmed data uplink' with frame counter {Cu}. After a 'RECEIVE_DELAY1' period, the End-device receives the downlink. It then sends an 'Unconfirmed data uplink + ACK' with frame counter {Cu+1} after an 'arbitrary delay'. Following another 'RECEIVE_DELAY1' period, the Network server receives the ACK and sends an 'ok' response. The diagram also shows a second receive window 'RX2' starting '+1 second' after the first RX1 window. A note at the top left states '+ ACK means ACK bit set'. The reference 'Y.4480(21)' is at the bottom right.](848073118eebfdbfdb9a60e3923fe0b3_img.jpg) + +Figure I.4: Downlink timing diagram for confirmed data frames. The diagram shows the interaction between a Network server and an End-device. The Network server (top) sends a 'Confirmed data downlink in RX1' with frame counter {Cd}. The End-device (bottom) initially sends an 'Unconfirmed data uplink' with frame counter {Cu}. After a 'RECEIVE\_DELAY1' period, the End-device receives the downlink. It then sends an 'Unconfirmed data uplink + ACK' with frame counter {Cu+1} after an 'arbitrary delay'. Following another 'RECEIVE\_DELAY1' period, the Network server receives the ACK and sends an 'ok' response. The diagram also shows a second receive window 'RX2' starting '+1 second' after the first RX1 window. A note at the top left states '+ ACK means ACK bit set'. The reference 'Y.4480(21)' is at the bottom right. + +**Figure I.4 – Downlink timing diagram for confirmed data frames** + +The frame exchange may be initiated by the end-device transmitting a confirmed or unconfirmed data frame, or autonomously by the network server using the end-device's Class B ping-slot or Class C RXC window (if the end-device is currently Class B-enabled or Class C-enabled). Upon receiving the downlink data frame requiring an acknowledgement, the end-device transmits an uplink data frame with the ACK bit set at the time of its choosing. This frame might also contain piggybacked application payload data and/or MAC commands. This uplink is treated like any other uplink, and as such, this transmission complies with all the specified behaviours defined in this Recommendation, including channel selection, timing randomization and duty-cycle limitations. + +NOTE 1 – To allow end-devices to be as simple as possible and keep as few states as possible, the end-device may transmit an explicit (possibly empty) acknowledgement data frame immediately after receiving a data frame requiring an acknowledgment. Alternatively, the end-device may defer the transmission of an acknowledgement to piggyback it with its next data frame. + +NOTE 2 – As there is no specified timing of the acknowledgement sent by the end-device, out-of-band coordination between the network server and the Class B or Class C-capable end-device is recommended to prevent excessive retransmissions of confirmed downlinks on Class B ping-slots or Class C RXC windows. + +## I.4 Downlink timing for frame-pending frames + +Figure I.5 illustrates the use of the `FPending` bit on a downlink. The `FPending` bit can only be set on a downlink frame. When present in a downlink received in a Class A receive window, the `FPending` bit informs the end-device that the network has one or more downlink frames pending for the end-device. When present in a downlink received in a Class B ping-slot, `FPending` is used to prioritize conflicting ping slots (see clause 13.2 for details). `FPending` has no meaning in a downlink received in a Class C RXC window. + +If a Class A end-device receives a frame where `FPending` is set, it is recommended that the end-device transmit an uplink data frame as soon as reasonably possible, which would allow the end-device to receive more information from the network. However, the precise timing of the uplink transmission is not specified and is application-dependent. + +NOTE – The `FPending` bit is independent of the frame-acknowledgment mechanism. + +![Figure I.5: Downlink timing diagram for frame-pending frames: example 1. The diagram shows a sequence of events between a Network server and an End-device. 1. End-device sends 'Unconfirmed data uplink {Cu}' to the Network server. 2. Network server receives it at RX1 and sends 'Unconfirmed data downlink (Data0) + FP {Cd}' back to the End-device. 3. End-device receives it and sends 'Empty unconfirmed data uplink {Cu+1}' to the Network server. 4. Network server receives it at RX1 and sends 'Confirmed data downlink (Data1) {Cd+1}' back to the End-device. 5. End-device receives it and sends 'Unconfirmed data uplink + ACK {Cu+2}' to the Network server. 6. Network server receives it at RX1 and RX2. Time intervals are marked: 'RECEIVE_DELAY1' between RX1 events, and 'arbitrary delay' between uplink and downlink frames. A '+1 second' interval is shown after the final RX2 event. Reference Y.4480(21) is at the bottom right.](68a5a1a1a761c652b4b4c56da7cf9914_img.jpg) + ++FP means `FPending` bit set ++ACK means `ACK` bit set + +Figure I.5: Downlink timing diagram for frame-pending frames: example 1. The diagram shows a sequence of events between a Network server and an End-device. 1. End-device sends 'Unconfirmed data uplink {Cu}' to the Network server. 2. Network server receives it at RX1 and sends 'Unconfirmed data downlink (Data0) + FP {Cd}' back to the End-device. 3. End-device receives it and sends 'Empty unconfirmed data uplink {Cu+1}' to the Network server. 4. Network server receives it at RX1 and sends 'Confirmed data downlink (Data1) {Cd+1}' back to the End-device. 5. End-device receives it and sends 'Unconfirmed data uplink + ACK {Cu+2}' to the Network server. 6. Network server receives it at RX1 and RX2. Time intervals are marked: 'RECEIVE\_DELAY1' between RX1 events, and 'arbitrary delay' between uplink and downlink frames. A '+1 second' interval is shown after the final RX2 event. Reference Y.4480(21) is at the bottom right. + +Figure I.5 – Downlink timing diagram for frame-pending frames: example 1 + +In this example, the network server has two data frames to transmit to the end-device. The frame exchange is initiated by the end-device via a normal unconfirmed uplink data frame. The network server uses the first receive window to transmit the `Data0` downlink data frame with the bit `FPending` set, as an unconfirmed downlink data frame. The end-device, in response to the `FPending` indication, quickly transmits an empty unconfirmed data frame. Exactly `RECEIVE_DELAY1` seconds later, the network server transmits the second downlink data frame `Data1`, using a confirmed downlink data frame but with the `FPending` bit cleared. The end-device transmits an uplink data frame with the `ACK` bit set to acknowledge the confirmed downlink data frame `Data1`. + +![Downlink timing diagram for frame-pending frames: example 2. The diagram shows a sequence of events between a Network server and an End-device. The Network server sends three unconfirmed downlink frames: {Cd} (Data0 + FP), {Cd+1} (Data1 + FP), and {Cd+2} (Data2 + FP). The End-device sends three empty unconfirmed uplink frames: {Cu+1}, {Cu+2}, and {Cu+3}. The first uplink frame {Cu+1} is received by the network server (ok), but the subsequent ones are not (ko). The network server then receives the uplink frames {Cu+2} and {Cu+3} (ok). The diagram includes labels for RX1, RX2, and RX3, and indicates delays such as RECEIVE_DELAY1 and arbitrary delay.](7e14467740b2570a44379b347a697921_img.jpg) + +*FP means FPending bit set* + +Y.4480(21) + +Downlink timing diagram for frame-pending frames: example 2. The diagram shows a sequence of events between a Network server and an End-device. The Network server sends three unconfirmed downlink frames: {Cd} (Data0 + FP), {Cd+1} (Data1 + FP), and {Cd+2} (Data2 + FP). The End-device sends three empty unconfirmed uplink frames: {Cu+1}, {Cu+2}, and {Cu+3}. The first uplink frame {Cu+1} is received by the network server (ok), but the subsequent ones are not (ko). The network server then receives the uplink frames {Cu+2} and {Cu+3} (ok). The diagram includes labels for RX1, RX2, and RX3, and indicates delays such as RECEIVE\_DELAY1 and arbitrary delay. + +**Figure I.6 – Downlink timing diagram for frame-pending frames: example 2** + +In this example, the downlink data frames are both unconfirmed frames with the `FPending` bit set, and as such, the end-device does not need to transmit an acknowledgement. After receiving the `Data0` unconfirmed downlink data frame with the `FPending` bit set, the end-device sends an empty data frame at a time of its own choosing. As this uplink is not received by the network, the network server is then still waiting for a spontaneous uplink from the end-device to execute the transfer. The end-device may, at its discretion, offer the network server more transmission opportunities by sending a new empty data frame. + +The `FPending` bit, the `ACK` bit, and payload data may all be present in the same downlink. The frame exchange in Figure I.7 is a perfectly valid example with `NbTrans=1`. + +![Downlink timing diagram for frame-pending frames: example 3. The diagram shows a sequence of events between a Network server and an End-device. The Network server sends three confirmed downlink frames: {Cd} (Data0 + FP + ACK), {Cd+1} (Data1), and {Cd+2} (Data2). The End-device sends three uplink frames: {Cu+1} (Unconfirmed data uplink + ACK), {Cu+2} (Empty unconfirmed data uplink), and {Cu+3} (Data uplink + ACK). The first uplink frame {Cu+1} is received by the network server (ok), but the subsequent ones are not (ko). The network server then receives the uplink frames {Cu+2} and {Cu+3} (ok). The diagram includes labels for RX1, RX2, and RX3, and indicates delays such as RECEIVE_DELAY1 and arbitrary delay.](212c50c4e3d043c989037a01e13c1a98_img.jpg) + +*+FP means FPending bit set* +*+ACK means ACK bit set* + +Y.4480(21) + +Downlink timing diagram for frame-pending frames: example 3. The diagram shows a sequence of events between a Network server and an End-device. The Network server sends three confirmed downlink frames: {Cd} (Data0 + FP + ACK), {Cd+1} (Data1), and {Cd+2} (Data2). The End-device sends three uplink frames: {Cu+1} (Unconfirmed data uplink + ACK), {Cu+2} (Empty unconfirmed data uplink), and {Cu+3} (Data uplink + ACK). The first uplink frame {Cu+1} is received by the network server (ok), but the subsequent ones are not (ko). The network server then receives the uplink frames {Cu+2} and {Cu+3} (ok). The diagram includes labels for RX1, RX2, and RX3, and indicates delays such as RECEIVE\_DELAY1 and arbitrary delay. + +**Figure I.7 – Downlink timing diagram for frame-pending frames: example 3** + +The end-device sends a confirmed uplink data frame. The network server may then answer with a confirmed downlink data frame containing the `Data0` application payload, `ACK` bit set and `FPending` bit set. After an arbitrary delay, the end-device then replies with an uplink with the `ACK` bit set. The end-device misses the next downlink containing `Data1`, this data was expected by the end-device because of the previous frame `FPending` indication. After an arbitrary delay, it offers the network server another opportunity to send the pending data using an empty frame. This time, `Data1` is received by the end-device and acknowledged. + +# Bibliography + +- [b-ITU-T G.993.5] Recommendation ITU-T G.993.5 Corrigendum 1 (2020), *Self-FEXT cancellation (vectoring) for use with VDSL2 transceivers Corrigendum 1*. +- [b-LoRaWAN RP002] LoRa Alliance Technical Committee, RP002-1.0.0 (November 2019), *LoRaWAN® Regional Parameters*. +< [https://lora-alliance.org/wp-content/uploads/2019/11/rp\\_2-1.0.0\\_final\\_release.pdf](https://lora-alliance.org/wp-content/uploads/2019/11/rp_2-1.0.0_final_release.pdf) > +- [b-LoRaWAN TR001] LoRa Alliance Technical Committee, TR001 (August 2018), *Technical Recommendations for Preventing State Synchronization Issues around LoRaWAN™ 1.0.x Join Procedure*. +< > +- [b-LoRaWAN TS001-1.0.3] LoRa Alliance Technical Committee, TS001-1.0.3 (July 2018), *LoRaWAN™ Specification version 1.0.3*. +< > +- [b-LoRaWAN TS001-1.0.4] LoRa Alliance Technical Committee, TS001-1.0.4 (October 2020), *LoRaWAN® Link Layer Specification version 1.0.4*. +< [https://lora-alliance.org/resource\\_hub/lorawan-104-specification-package/](https://lora-alliance.org/resource_hub/lorawan-104-specification-package/) > +- [b-LoRaWAN TS002] LoRa Alliance Technical Committee, TS002-1.0 (October 2017), *LoRaWAN™ Backend Interfaces 1.0 Specification*. +< > +- [b-LoRaWAN TS005] LoRa Alliance Technical Committee, TS005-1.0.0 (September 2018), *LoRaWAN® Remote Multicast Setup Specification version 1.0.0*. +< [https://lora-alliance.org/wp-content/uploads/2020/11/remote\\_multicast\\_setup\\_v1.0.0.pdf](https://lora-alliance.org/wp-content/uploads/2020/11/remote_multicast_setup_v1.0.0.pdf) > +- [b-LoRaWAN TS009] LoRa Alliance Certification Committee, TS009-1.0.0 (October 2020), *LoRaWAN® Certification Protocol Specification*. +< [https://lora-alliance.org/resource\\_hub/lorawan-104-specification-package/](https://lora-alliance.org/resource_hub/lorawan-104-specification-package/) > + + + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4500.2-201805-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4500.2-201805-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..2361fdc2ea72462fe88ad503cad34f2b396b4efc --- /dev/null +++ b/marked/Y/T-REC-Y.4500.2-201805-I_PDF-E/raw.md @@ -0,0 +1,813 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4500.2 + +(05/2018) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Frameworks, architectures and protocols + +# --- **oneM2M – Requirements** + +Recommendation ITU-T Y.4500.2 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +### CLOUD COMPUTING + +Y.3500–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.4500.2 + +# oneM2M – Requirements + +## Summary + +Recommendation ITU-T Y.4500.2 provides an informative functional role model and normative technical requirements for oneM2M. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4500.2 | 2018-05-06 | 20 | 11.1002/1000/13499 | + +## Keywords + +Charging, communication, LWM2M interworking, oneM2M, operational, overall system, requirement, security, semantics. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2018 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 1 | +| 4 Abbreviations and acronyms ..... | 1 | +| 5 Conventions ..... | 2 | +| 6 Introduction to the M2M ecosystem..... | 3 | +| 6.1 Functional roles description ..... | 3 | +| 7 Functional requirements (normative) ..... | 4 | +| 7.1 Overall system requirements ..... | 4 | +| 7.2 Management requirements ..... | 11 | +| 7.3 Semantics requirements..... | 12 | +| 7.4 Security requirements..... | 14 | +| 7.5 Charging requirements ..... | 18 | +| 7.6 Operational requirements ..... | 19 | +| 7.7 Communication management requirements ..... | 20 | +| 7.8 LWM2M interworking requirements ..... | 21 | +| 8 Non-functional requirements (informative)..... | 22 | +| Annex A – oneM2M Specification update and maintenance control procedure ..... | 23 | +| Bibliography..... | 24 | + + + +## Recommendation ITU-T Y.4500.2 + +# oneM2M – Requirements + +## 1 Scope + +The present Recommendation contains an informative functional role model and normative technical requirements for oneM2M. + +The Recommendation contains oneM2M Release 2 specification – oneM2M Requirements V2.7.1 and is equivalent to standards of oneM2M partners including ARIB, ATIS [b-ATIS.oneM2M.TS0002V2.7.1], CCSA, ETSI [b-ETSI TS 118 102], TIA, TSDSI, TTA [b-TTA.oneM2M.TS0002V2.7.1] and TTC [b-TTC.oneM2M.TS0002V2.7.1]. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|-------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.4500.11] | Recommendation ITU-T Y.4500.11 (2018), oneM2M – Common terminology . | +| [ETSI TS 122 368] | ETSI TS 122 368, Digital cellular telecommunications system (Phase 2+); Universal Mobile Telecommunications System (UMTS); LTE; Service requirements for Machine-Type Communications (MTC); Stage 1 (3GPP TS 22.368) . | + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application entity (AE)** [ITU-T Y.4500.11]: Represents an instantiation of application logic for end-to-end M2M solutions. + +**3.1.2 common services entity (CSE)** [ITU-T Y.4500.11]: Represents an instantiation of a set of common service functions of the M2M environments. Such service functions are exposed to other entities through reference points. + +### 3.2 Terms defined in this Recommendation + +None. + +## 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +- | | | +|------|------------------------------------------------| +| AE | Application Entity | +| API | Application Programming Interface | +| CMDH | Communication Management and Delivery Handling | + +| | | +|-------|-----------------------------------------------------| +| CPU | Central Processing Unit | +| DM | Device Management | +| GBA | Generic Bootstrapping Architecture | +| GSMA | Global System for Mobile communications Association | +| GW | Gateway | +| HGI | Home Gateway Initiative | +| HSM | Hardware Security Module | +| IP | Internet Protocol | +| LWM2M | Lightweight M2M | +| M2M | Machine to Machine | +| MTC | Machine Type Communications | +| OMA | Open Mobile Alliance | +| OSR | Overall System Requirements | +| OWL | Web Ontology Language | +| QoS | Quality of Service | +| RDF | Resource Description Framework | +| SMS | Short Message Service | +| UICC | Universal Integrated Circuit Card | +| USIM | UMTS Subscriber Identity Module | +| USSD | Unstructured Supplementary Service Data | +| WAN | Wide Area Network | +| WLAN | Wireless Local Area Network | + +## 5 Conventions + +The keywords "shall", "shall not", "should", "should not", "may", "need not" in the present Recommendation are to be interpreted as described: + +Shall/Shall not: + +### Requirements + +- 1) effect on this Recommendation: The Recommendation needs to describe the required feature (i.e., specify a technical solution for the Requirement); +- 2) effect on products: every implementation (M2M solution that complies to this Standard) must support it; +- 3) effect on deployments: every deployment (M2M service based on this Standard) must use the Standardized feature where applicable – otherwise e.g., interoperability problems with other services could arise. + +Should/Should not: + +### Recommendation + +- 1) effect on this Recommendation: The Recommendation needs to describe a solution that allows the presence and the absence of the feature; + +- 2) effect on products: an implementation may or may not support it, however support is recommended; +- 3) effect on deployments: a deployment may or may not use it, however usage is recommended. + +May/Need not: + +## Permission/Option + +- 1) effect on this Recommendation: The Recommendation needs to describe a solution that allows the presence and the absence of the required feature; +- 2) effect on products: an implementation may or may not support it; +- 3) effect on deployments: a deployment may or may not use it. + +## 6 Introduction to the M2M ecosystem + +### 6.1 Functional roles description + +Figure 1 shows functional roles in the machine to machine (M2M) ecosystem. + +![Diagram of the M2M ecosystem functional roles. An end user uses an M2M solution. The solution is composed of M2M applications, M2M common services, and underlying networks. These are provided by application service providers, M2M service providers, and network operators respectively. Arrows indicate that each provider operates their respective layer.](0b87abe67b21a93777287649c33e755d_img.jpg) + +The diagram illustrates the functional roles in the M2M ecosystem. At the top, an **(end) user** (represented by a person icon) is shown using an **an M2M solution** (represented by a large oval). The M2M solution is composed of three layers: **M2M applications**, **M2M common services**, and **Connectivity services** (which includes the **Underlying network**). These layers are provided by **Application service providers**, **M2M service providers**, and **Network operators** respectively. Arrows labeled **Operates** point from each provider to their corresponding layer within the M2M solution. The diagram is labeled Y.4500.2(18)\_F01. + +Diagram of the M2M ecosystem functional roles. An end user uses an M2M solution. The solution is composed of M2M applications, M2M common services, and underlying networks. These are provided by application service providers, M2M service providers, and network operators respectively. Arrows indicate that each provider operates their respective layer. + +**Figure 1 – Functional roles in the M2M ecosystem** + +- 1) The *user* (individual or company – aka: end-user) fulfils all of the following criteria: + - Uses an M2M solution. +- 2) The *application service provider* fulfils all of the following criteria: + - Provides an M2M application service. + - Operates M2M applications. +- 3) The *M2M service provider* fulfils all of the following criteria: + - Provides M2M services to application service providers. + - Operates M2M common services. + +- 4) The *network operator* fulfils all of the following criteria: +- Provides *connectivity* and related services for *M2M service providers*. + - Operates an *underlying network*. Such an underlying network could e.g., be a telecom network. + +Any of the above functional roles may coincide with any of the other roles. These functional roles do not imply business roles or architectural assumptions. + +## 7 Functional requirements (normative) + +### 7.1 Overall system requirements + +**Table 1 – Overall system requirements** + +| Requirement ID | Description | +|----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| OSR-001 | The oneM2M system shall allow communication between M2M applications by using multiple communication means based on Internet protocol (IP) access. | +| OSR-002a | The oneM2M system shall support communication means that can accommodate devices with constrained computing such as a small central processing unit (CPU), memory, battery, or communication capabilities such as 2G wireless modem or certain wireless local area network (WLAN) nodes. | +| OSR-002b | The oneM2M system shall support communication means that can accommodate devices with rich computing capabilities (e.g., large CPU, memory) or communication (e.g., 3/4G wireless modem, wireline). | +| OSR-003 | The oneM2M system shall support the ability to maintain application-to-application communication in coordination with an application session for those M2M applications that require it. | +| OSR-004 | The oneM2M system shall support session-less application communications for those M2M applications that require it. | +| OSR-005 | The oneM2M system shall be able to expose the services offered by telecommunications networks to M2M applications such as short message service (SMS), unstructured supplementary service data (USSD), localization, subscription configuration, authentication (e.g., generic bootstrapping architecture), etc., subject to restrictions based on the network operator's policy. | +| OSR-006 |

The oneM2M system shall be able to reuse the services offered by underlying networks to M2M applications and/or M2M services by means of open access models such as Open Mobile Alliance (OMA), Global System for Mobile communications Association (GSMA) OneAPI framework). Examples of available services are:

  • • IP multimedia communications.
  • • Messaging.
  • • Location.
  • • Charging and billing services.
  • • Device information and profiles.
  • • Configuration and management of devices.
  • • Triggering, monitoring of devices.
  • • Small data transmission.
  • • Group management.

(see Note 1).

| +| OSR-007 | The oneM2M system shall provide a mechanism for M2M applications to interact with the applications and data/information managed by a different M2M service provider, subject to permissions as appropriate. | + +**Table 1 – Overall system requirements** + +| Requirement ID | Description | +|-----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| OSR-008 | The oneM2M system shall provide the capability for M2M applications to communicate with an M2M device (i.e., application in the device) without the need for the M2M applications to be aware of the network technology and the specific communication protocol of the M2M device. | +| OSR-009 | The oneM2M system shall support the ability for single or multiple M2M applications to interact with a single or multiple M2M devices/gateways (application in the device/gateway) (see Note 2). | +| OSR-010 | The oneM2M system shall support mechanisms for confirmed delivery of a message to its addressee to those M2M applications requesting reliable delivery to detect failure of message within a given time interval. | +| OSR-011a | The oneM2M system shall be able to request different communication paths, from the underlying network based on underlying network operator and/or M2M service provider policies, routing mechanisms for transmission failures. | +| OSR-011b | The oneM2M system shall be able to request different communication paths from the underlying network based on request from M2M applications. | +| OSR-012 | The oneM2M system shall support communications between M2M applications and M2M devices supporting M2M services by means of continuous or non-continuous connectivity. | +| OSR-013 | The oneM2M system shall be aware of the delay tolerance acceptable by the M2M application and shall schedule the communication accordingly or request the underlying network to do it, based on policies criteria. | +| OSR-014 | The oneM2M system shall be able to communicate with M2M devices, behind an M2M gateway that supports heterogeneous M2M area networks. | +| OSR-015 | The oneM2M system shall be able to assist underlying networks that support different communication patterns including infrequent communications, small data transfer, transfer of large file and streamed communication. | +| OSR-016 | The oneM2M system shall provide the capability to notify M2M applications of the availability of, and changes to, available M2M application/management information on the M2M device/gateway, including changes to the M2M area network. | +| OSR-017 |

The oneM2M system shall be able to offer access to different sets of M2M services to M2M application providers. The minimum set of services are:

  • • connectivity management;
  • • device management (service level management);
  • • application data management.

In order to enable different deployment scenarios, these services shall be made available by the oneM2M system, individually, as a subset or as a complete set of services.

| +| OSR-018 | The oneM2M system shall be able to offer M2M services to M2M devices roaming across cellular underlying networks, subject to restriction based on network operator's policy (see Note 3). | +| OSR-019 |

The oneM2M system shall support the capabilities for data repository (i.e., to collect/store) and for data transfer from one or more M2M devices or M2M gateways, for delivery to one or more M2M gateways, M2M services infrastructure, or M2M application infrastructure, in ways requested by the M2M application infrastructure as listed below:

  • • action initiated either by an M2M device, M2M gateway, M2M services infrastructure, or M2M application infrastructure;
  • • when triggered by schedule or event;
| + +**Table 1 – Overall system requirements** + +| Requirement ID | Description | +|----------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| |
  • • for specified data.
| +| OSR-020 | The oneM2M system shall be able to support policies and their management regarding the aspects of storage and retrieval of data/information. | +| OSR-021 | The oneM2M system shall be able to provide mechanisms to enable sharing of data among multiple M2M applications. | +| OSR-022 | When some of the components of a M2M solution are not available (e.g., WAN connection lost), the oneM2M system shall be able to support the normal operation of components of the M2M solution that are available. | +| OSR-023 | The oneM2M system shall be able to identify the M2M services to be used by M2M service subscriptions (see Note 4). | +| OSR-024 | The oneM2M system shall be able to identify the M2M devices used by M2M service subscriptions. | +| OSR-025 | The oneM2M system shall be able to identify the M2M applications used by M2M service subscriptions. | +| OSR-026 | If provided by the underlying network, the oneM2M system shall be able to associate the M2M device used by M2M service subscriptions with the device identifiers offered by the underlying network and the device. | +| OSR-027 | The oneM2M system shall provide a generic mechanism to support transparent exchange of information between the M2M application and the underlying network, subject to restriction based on M2M service provider's policy and/or network operator's policy (see Note 5). | +| OSR-028 | The oneM2M system shall enable an M2M application to define trigger conditions in the oneM2M system such that the oneM2M system autonomously sends a series of commands to actuators on behalf of the M2M application when these conditions are met. | +| OSR-029 | The oneM2M system shall be able to support sending common command(s) to each actuator or sensor via a group. | +| OSR-030 | The oneM2M system shall be able to support the management (i.e., addition, removal, retrieval and update) of the membership of a group. | +| OSR-031 | The oneM2M system shall be able to support a group as a member of another group. | +| OSR-032 | The oneM2M system shall be able to support event categories (e.g., normal, urgency) associated with data for M2M applications when collecting, storing and reporting that data (see Note 6). | +| OSR-033 | Based on the dynamic device/gateway context of the M2M gateway and/or device and the defined event categories, the oneM2M system shall provide the capability to dynamically adjust the scheduling of reporting and notification of the M2M device/gateway (see Note 17). | +| OSR-034 | The oneM2M system shall support seamless replacement of M2M devices as well as M2M gateways (e.g., redirecting traffic, connection, recovery, etc.). | +| OSR-035 | The oneM2M system shall support the exchange of non-M2M application related relevant information (e.g., device/gateway classes) between M2M device/gateway and M2M service infrastructure for the purpose of efficient communication facilitation. This includes the capability for an M2M device to report its device class to M2M service infrastructure and for the M2M service infrastructure to inform M2M device of the M2M service infrastructure capabilities. | +| OSR-036 | The oneM2M system should provide mechanisms to accept requests from M2M application service providers for compute/analytics services. | + +**Table 1 – Overall system requirements** + +| Requirement ID | Description | +|-----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| OSR-037 | The oneM2M system shall enable an M2M application to request to send data, in a manner independent of the underlying network, to the M2M applications of a group of M2M devices and M2M gateways in geographic areas that are specified by the M2M application. | +| OSR-038 | The oneM2M system shall support the inclusion of M2M application's QoS preference in service requests to underlying networks. | +| OSR-039 | The oneM2M system shall be able to authorize service requests with QoS preference at service level, but shall pass M2M application's QoS preference in service requests to underlying network for authorization and granting or negotiation of the service QoS requests. | +| OSR-040 | The oneM2M system shall be able to leverage multiple communication mechanisms (such as USSD or SMS) when available in the underlying networks. | +| OSR-041 | The oneM2M system shall provide a mechanism, which supports the addition of new M2M services to the oneM2M system as independent portable modules by means of the oneM2M interfaces. | +| OSR-042 | The oneM2M system shall be able to support different QoS-levels specifying parameters, such as guaranteed bitrate, delay, delay variation, loss ratio and error rate, etc. | +| OSR-043 | The oneM2M system shall be able to verify that members of a group support a common set of functions. | +| OSR-044 | The oneM2M system shall support communication with M2M devices which are reachable based on defined time schedules (e.g., periodic) as well as M2M devices which are reachable in an unpredictable and spontaneous manner. | +| OSR-045a | The oneM2M system shall be able to receive and utilize information provided by the underlying network about when an M2M device can be reached. | +| OSR-045b | The oneM2M system shall be able to utilize reachability schedules generated by either the M2M device or the infrastructure domain. | +| OSR-046 | The oneM2M system shall be able to support a capability for the M2M application to request/disallow acknowledgement for its communication. | +| OSR-047 | The oneM2M system shall be able to support mechanism for the M2M devices and/or gateways to report their geographical location information to M2M applications (see Note 7). | +| OSR-048 | The oneM2M system shall provide an M2M service that allows M2M devices and/or gateways to share their own or other M2M devices' geographical location information (see Note 7). | +| OSR-049 | The oneM2M system shall be able to provide the capability for an M2M application to selectively share data (e.g., access control) among applications. | +| OSR-050 | If communication over one communication channel provided by the underlying network can only be triggered by one side (infrastructure domain or field domain), and alternative channel(s) is (are) available in the other direction, the oneM2M system shall be able to use the alternative channel(s) to trigger bidirectional communication on the first channel. | +| OSR-051 | Depending on availability of suitable interfaces provided by the underlying network the oneM2M system shall be able to request the underlying network to broadcast/multicast data to a group of M2M devices in a specified area. | +| OSR-052 | The oneM2M system shall be able to select an appropriate underlying network to broadcast or multicast data depending on the network's broadcast/multicast support and | + +**Table 1 – Overall system requirements** + +| Requirement ID | Description | +|-----------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| | the connectivity supported by the targeted group of M2M devices/gateways. | +| OSR-053 | The oneM2M system shall provide a means that enables backward compatibility of interfaces among different releases (see Note 8). | +| OSR-054 | The oneM2M system shall be able to support an M2M application, M2M device, or M2M gateway to obtain access to resources of another M2M application, M2M device, or M2M gateway. | +| OSR-055 | The oneM2M system shall be able to provide the capability of M2M applications to exchange data with one or more authorized M2M applications which are not known in advance. | +| OSR-056 | The oneM2M system shall enable discovery of usable M2M applications on an M2M gateway or at an M2M device. | +| OSR-057 | The oneM2M system shall enable discovery of M2M gateways and M2M devices available to an M2M application for data exchange. | +| OSR-058 | The oneM2M system shall be able to provide time stamps as needed by common service functions. | +| OSR-059 | The oneM2M system shall be able to support role-based access control based on M2M service subscriptions. | +| OSR-060 | The oneM2M system should support time synchronization with an external clock source. | +| OSR-061 | M2M devices and M2M gateways may support time synchronization within the oneM2M system. | +| OSR-062 | The oneM2M system shall enable means of testing the connectivity towards a set of M2M applications. | +| OSR-063 | The oneM2M system shall be able to manage the scheduling of M2M service layer connectivity and messaging between the infrastructure domain and M2M devices/gateways. | +| OSR-064 | The oneM2M system shall be able to aggregate messages depending on message delay tolerance and/or category. | +| OSR-065 | The oneM2M system shall provide mechanisms that enable a M2M service provider to distribute processing functions to his M2M devices/gateways in the field domain | +| OSR-066 | The oneM2M system shall be able to support the placement and operation of M2M applications in selected M2M nodes per criteria requested by M2M application service providers, subject to access rights. | +| OSR-067 | The oneM2M system shall be able to take operational and management action as requested by M2M applications. | +| OSR-068 | When available from an underlying network, the oneM2M system shall be able to provide the capability to retrieve and report the information regarding whether an M2M device is authorized to access underlying network services. | +| OSR-069 | When available from the underlying network, the oneM2M system shall be able to maintain the M2M service operational status of a M2M device and update it when the underlying network connectivity service status changes. | +| OSR-070 | The oneM2M system shall be able to provide the capability to notify an authorized M2M application when the M2M service administrative state or M2M service operational status of an M2M device changes, if that M2M application has subscribed for such notifications. | + +**Table 1 – Overall system requirements** + +| Requirement ID | Description | +|-----------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| OSR-071 | The oneM2M system shall be able to enable an authorized M2M application to set the M2M service administrative state of a M2M device. | +| OSR-072 | The oneM2M system shall be able to initiate a set of well-defined actions (e.g., trigger upon a threshold, compare a value, etc.) to one or more M2M application(s) on behalf of another M2M application. | +| OSR-073 | The oneM2M system shall support distributed transactions to multiple devices or applications where the transaction includes the characteristics of atomicity, consistency, isolation and durability. | +| OSR-074 | The oneM2M system shall support the completion of distributed transactions to multiple devices or applications while maintaining the order of the operations and performing the transaction within a given time frame. | +| OSR-075 | The oneM2M system shall be able to collect, store time series data. | +| OSR-076 | The oneM2M system shall be able to detect and report the missing data in time series. | +| OSR-077 | The oneM2M system shall be capable of collecting asynchronous responses pertaining to the broadcasted messages. | +| OSR-078 | The oneM2M system shall support gateway-based capabilities for event management, e.g., capability for arbitration of the resulting processing. | +| OSR-079 | The oneM2M system shall provide the capability to notify a device hosting a group of applications when alternative registration points for that group of applications are available (e.g., via different underlying networks) based on the service requirements of each of the applications hosted. | +| OSR-080 | The oneM2M system shall provide the capability to register applications in group or independently, based on their service requirements. | +| OSR-081 | The oneM2M system shall be able to collect data that is broadcast (e.g., in industrial bus systems) according to data collection policies. | +| OSR-082 | The oneM2M system shall allow the update, modification, or deletion of data collection policies within an M2M application. | +| OSR-083 | The oneM2M system shall be able to filter information from oneM2M devices for a given set of parameters. | +| OSR-084 | The oneM2M system shall be able to handle an event notification from an authorized M2M application which triggers actions to be performed on the M2M device (example: Turn on or off the monitoring). | +| OSR-085 | The oneM2M system shall support resource caching of registered M2M devices. Resource caching is a mechanism through which the oneM2M system retains resources of a registered M2M device in temporarily inactive state by moving the resources to a temporary storage e.g., cache bin. | +| OSR-086 | The oneM2M system shall enable M2M gateways to discover M2M infrastructure nodes and M2M devices available for data exchange. | +| OSR-087 | The oneM2M system shall enable M2M infrastructure nodes and M2M device to discover M2M gateways available for data exchange. | +| OSR-088 | The oneM2M system shall be able to support the capabilities for data repository (i.e., to collect/store) and for data transfer among authorized M2M devices and M2M gateways via M2M area networks without involvement of the infrastructure domain. | +| OSR-089 | The oneM2M system shall enable the cancellation of continuous data collection and/or the deletion of collected data when pre-defined conditions are met. | + +**Table 1 – Overall system requirements** + +| Requirement ID | Description | +|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| OSR-090 | The oneM2M system shall be able to forward the M2M application data to M2M application without storing the data. | +| OSR-091 | The oneM2M system shall be able to notify interested oneM2M entities when it detects forwarded M2M application data was not delivered within expected time duration. | +| OSR-092 | The oneM2M system shall provide the capability for monitoring and describing data streams with associated attributes e.g., data freshness, accuracy, sampling rate, data integrity. | +| OSR-093 | The oneM2M system shall support transaction management to multiple devices or applications providing policy based mechanism that should be invoked (e.g., keep status, re-schedule, rollback) depending on the outcome of the desired operation. | +| OSR-094 | The oneM2M system shall provide Information Model(s) to support interoperability among different devices/applications. | +| OSR-095 | The oneM2M system should provide mappings between different information models from non-oneM2M system(s). | +| OSR-096 | The oneM2M system should be able to interwork with non-oneM2M system(s). | +| OSR-097 | The oneM2M system shall be able to share data collection policies among multiple M2M devices/gateways within an M2M application service, or among different M2M application services. | +| OSR-098 | The oneM2M system shall be able to support machine socialization functionalities (such as existence discovery, correlated task discovery, message interface discovery and process optimization for multiple machines with same tasks). | +|

NOTE 1 – The set of features or application programming interfaces (APIs) to be supported depends on the M2M common services and access to available APIs.

NOTE 2 – The relation M2M network application to M2M device/gateway may be 1:1, 1:n, n:1 and/or n:m.

NOTE 3 – No roaming on M2M service level is assumed by this requirement.

NOTE 4 – M2M service subscriptions are not application subscriptions (e.g., Home energy management).

NOTE 5 – Transparent exchange of information implies information that is mainly interpreted by the M2M application and the underlying network provider.

NOTE 6 – Based on the event categories and via interworking with underlying networks, the oneM2M system can support differentiated services (by providing quality-of-service) requested by M2M applications.

NOTE 7 – Geographical location information can be more than simply longitude, latitude and geo-fence event.

NOTE 8 – "means" above does not imply only technical mechanisms, e.g., there is no protocol version negotiation.

NOTE 9 – In Rel-1 only GBA and localization are available.

NOTE 10 – Rel-1 covers: Location, charging and billing services, configuration and management of devices, device information and profiles, triggering.

NOTE 11 – This requirement applies to M2M devices but not to devices interworked via M2M area networks.

NOTE 12 – Based on device triggering.

NOTE 13 – No support for streamed communication.

NOTE 14 – Limitations to trigger (via Tsp interface) devices in a roamed-to network.

NOTE 15 – Detail syntax to describe dynamic context is not specified.

NOTE 16 – It is possible to deliver CoAP over SMS, but currently SMS message delivery interfaces are not explicitly defined.

| | + +**Table 1 – Overall system requirements** + +| Requirement ID | Description | +|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------| +| NOTE 17 – For example, if the battery of a gateway remains at only 10% or below, the gateway notifies the M2M service platform of the status. The M2M application in the infrastructure node will adjust the scheduling of reporting and notification based on the event categories associated with each message. Consequently, the M2M gateway operates longer. | | +| NOTE 18 – Void. | | +| NOTE 19 – Only the M2M service administrative state can be notified. M2M service operational status is not implemented. | | +| NOTE 20 – This can be implemented based on preconfigured access rights. | | +| NOTE 21 – In Rel-1 this is supported by means of the Mca interfaces, mapping the new service module to an AE. | | +| NOTE 22 – In Rel-2 data are stored in the common services entity (CSE) but never get retrieved by other entities except by subscribe/notify mechanism. | | + +### 7.2 Management requirements + +**Table 2 – Management requirements** + +| Requirement ID | Description | +|----------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| MGR-001 | The oneM2M system shall be able to support management and configuration of M2M gateways/devices including resource constrained M2M devices. | +| MGR-002 | The oneM2M system shall provide the capability to discover the M2M area networks including information about devices on those networks and the parameters (e.g., topology, protocol) of those networks. | +| MGR-003 | The oneM2M system shall be able to provide the capability to maintain and describe the management information model of devices and parameters (e.g., topology, protocol) of M2M area networks. | +| MGR-004 | The oneM2M system shall support common means to manage devices enabled by different management technologies (e.g., OMA DM, BBF TR069). | +| MGR-005 | The oneM2M system shall provide the capability to manage multiple devices in a grouped manner. | +| MGR-006 | The oneM2M system shall provide the capability for provisioning and configuration of devices in M2M area networks. | +| MGR-007 | The oneM2M system shall provide the capability for monitoring and diagnostics of M2M gateways/devices in M2M area networks. | +| MGR-008 | The oneM2M system shall provide the capability for software management of devices in M2M area networks. | +| MGR-009 | The oneM2M system shall provide the capability for rebooting and/or resetting of M2M gateways/devices and other devices in M2M area networks. | +| MGR-010 | The oneM2M system shall provide the capability for authorizing devices to access M2M area networks. | +| MGR-011 | The oneM2M system shall provide the capability for modifying the topology of devices in M2M area networks, subject to restriction based on M2M area network policies. | +| MGR-012 | Upon detection of a new device the M2M gateway shall be able to be provisioned by the M2M service infrastructure with an appropriate configuration which is required to handle the detected device. | +| MGR-013 | Void. | + +**Table 2 – Management requirements** + +| Requirement ID | Description | +|-------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| MGR-014 | The oneM2M system shall be able to retrieve events and information logged by M2M gateways/devices and other devices in M2M area networks. | +| MGR-015 | The oneM2M system shall be able to support firmware management (e.g., update) of M2M gateways/devices and other devices in M2M area networks. | +| MGR-016 | The oneM2M system shall be able to retrieve information related to the static and dynamic device/gateway context for M2M gateways/devices as well as device context for other devices in M2M area networks. | +| MGR-017 | The oneM2M system shall be capable of correlating access management elements provided by the technology specific device management protocols to access management elements used by the oneM2M system. | +| MGR-018 | The M2M service infrastructure shall be able to accept standardized configuration settings from an external configuration server to allow the M2M devices to register. | +| MGR-019 | The M2M device shall be able to accept standardized configuration settings from an external configuration server in order to register to the oneM2M system. | +| NOTE – In Rel-1 no detection mechanism exists, but once an M2M device is known at the gateway it can be configured via the GW through DM. | | + +### 7.3 Semantics requirements + +#### 7.3.1 Ontology related requirements + +**Table 3 – Ontology requirements** + +| Requirement ID | Description | +|-----------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| ONT-001 | The M2M system shall support a standardized format for the rules/policies used to define service logic. | +| ONT-002 | The M2M system shall support modelling semantic descriptions of things (including relationships among them) by using ontologies. | +| ONT-003 | The M2M system shall support a common modeling language for ontologies (e.g., OWL). | +| ONT-004 | The M2M system should be able to provide translation capabilities from different modeling languages for ontologies to the language adopted by oneM2M if the expressiveness of the imported ontology allows. | +| ONT-005 | The M2M System shall provide the capability to retrieve semantic descriptions and ontologies stored outside of the M2M System. | +| ONT-006 | The M2M system shall provide support for linking ontologies defined in the context of the M2M system with ontologies defined outside this context. | +| ONT-007 | The M2M system shall be able to support extending ontologies in the M2M system. | +| ONT-008 | The M2M system shall be able to use ontologies that contain concepts representing aspects (e.g., a room) that are not represented by resources of the M2M system. | +| ONT-009 | The M2M system shall be able to re-use common ontologies (e.g., location, time ontologies, etc.) which are commonly used in M2M applications. | +| ONT-010 | The M2M system shall be able to support simultaneous usage of multiple ontologies for the same M2M resource. | +| ONT-011 | The M2M system shall provide the capability for making ontology available in the M2M system, e.g., through announcement. | + +**Table 3 – Ontology requirements** + +| Requirement ID | Description | +|----------------|----------------------------------------------------------------------------------------------------------------------------------------------| +| ONT-012 | The M2M system shall be able to support mechanisms to import external ontologies into the M2M system. | +| ONT-013 | The M2M system shall be able to support update of ontologies. | +| ONT-014 | The M2M system shall enable functions for data conversion based on ontologies. | +| ONT-015 | The M2M system shall be able to model devices based on ontologies which may be available outside the M2M system (e.g., HGI device template). | +| ONT-016 | The M2M system shall support storage, management and discovery of ontologies. | +| ONT-017 | The oneM2M system shall support a semantic relation ("Is Paired To") between two M2M devices. | + +#### 7.3.2 Semantics annotation requirements + +**Table 4 – Semantics annotation requirements** + +| Requirement ID | Description | +|----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------| +| ANN-001 | The oneM2M system shall provide capabilities to manage semantic information about the oneM2M resources, e.g., create, retrieve, update, delete, associate/link. | +| ANN-002 | The oneM2M system shall support a common language for semantic description, e.g., resource description framework (RDF). | +| ANN-003 | The oneM2M system shall support semantic annotation of oneM2M resources for example application related data contained in containers. | +| ANN-004 | The oneM2M system shall support semantic annotation based on related ontologies. | +| ANN-005 | The oneM2M system shall provide the capability for making semantic descriptions available in the M2M system, e.g., announcement. | +| ANN-006 | The oneM2M system shall enable applications to retrieve an ontology representation related to semantic information used in the M2M system. | +| ANN-007 | The oneM2M system shall provide capabilities to manage data quality descriptions of resource. | + +#### 7.3.3 Semantics query requirements + +**Table 5 – Semantics query requirements** + +| Requirement ID | Description | +|----------------|--------------------------------------------------------------------------------------------------------| +| QRY-001 | The oneM2M system shall provide capabilities to discover M2M resources based on semantic descriptions. | + +#### 7.3.4 Semantics mashup requirements + +**Table 6 – Semantics mashup requirements** + +| Requirement ID | Description | +|----------------|----------------------------------------------------------------------------------------------| +| MSH-001 | The oneM2M system shall provide the capability to host processing functions for mash-up. | +| MSH-002 | The oneM2M system shall enable M2M applications to provide processing functions for mash-up. | + +**Table 6 – Semantics mashup requirements** + +| Requirement ID | Description | +|-----------------------|---------------------------------------------------------------------------------------------------------------| +| MSH-003 | The oneM2M system itself may provide pre-provisioned or dynamically created processing functions for mash-up. | +| MSH-004 | The oneM2M system shall be able to create and execute mash-ups based on processing functions. | +| MSH-005 | The oneM2M system shall be able to expose mash-ups as resources e.g., virtual devices. | + +#### 7.3.5 Semantics reasoning requirements + +**Table 7 – Semantics reasoning requirements** + +| Requirement ID | Description | +|-----------------------|--------------------------------------------------------------------------------------------------------------------------| +| RES-001 | The oneM2M system shall be able to update ontologies as a result of the ontology reasoning. | +| RES-002 | The oneM2M system shall be able to support semantic reasoning e.g., ontology reasoning or semantic rule-based reasoning. | +| RES-003 | The oneM2M system shall be able to support adding and updating semantic information based on semantic reasoning. | + +#### 7.3.6 Data analytics requirements + +**Table 8 – Data analytics requirements** + +| Requirement ID | Description | +|-----------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| ANA-001 | The oneM2M system shall be able to support capabilities (e.g., processing function) for performing M2M data analytics based on semantic descriptions from M2M applications and /or from the M2M system. | +| ANA-002 | The oneM2M system shall provide the capability of interpreting and applying service logic (e.g., rules/policies of triggering operations upon other resources or attributes according to the change of the monitored resource) described with semantic annotation and ontology. | +| ANA-003 | The oneM2M system shall support a standardized format for the rules/policies used to define service logic. | + +### 7.4 Security requirements + +**Table 9 – Security requirements** + +| Requirement ID | Description | +|-----------------------|-----------------------------------------------------------------------------------------------------------------------| +| SER-001 | The oneM2M system shall incorporate protection against threats to its availability such as denial of service attacks. | +| SER-002 | The oneM2M system shall be able to ensure the confidentiality of data. | +| SER-003 | The oneM2M system shall be able to ensure the integrity of data. | + +**Table 9 – Security requirements** + +| Requirement ID | Description | +|-----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| SER-004 | In case where the M2M devices support UMTS subscriber identity module (USIM)/ universal integrated circuit card (UICC) and the underlying networks support network layer security, the oneM2M system shall be able to leverage device's USIM/UICC credentials and network's security capability e.g., 3GPP GBA for establishing the M2M services and M2M applications level security through interfaces to underlying network. | +| SER-005 | In case where the M2M devices support USIM/UICC and the underlying networks support network layer security, and when the oneM2M system is aware of underlying network's bootstrapping capability e.g., 3GPP GBA, the oneM2M system shall be able to expose this capability to M2M services and M2M applications through API. | +| SER-006 | In case where the M2M devices support USIM/UICC and the underlying networks support network layer security, the oneM2M system shall be able to leverage device's USIM/UICC credentials when available to bootstrap M2M security association. | +| SER-007 | When some of the components of an M2M solution are not available (e.g., WAN connection lost), the oneM2M system shall be able to support the confidentiality and the integrity of data between authorized components of the M2M solution that are available. | +| SER-008 | The oneM2M system shall support countermeasures against unauthorized access to M2M services and M2M application services. | +| SER-009 | The oneM2M system shall be able to support mutual authentication for interaction with underlying networks, M2M services and M2M application services. | +| SER-010 | The oneM2M system shall be able to support mechanisms for protection against misuse, cloning, substitution or theft of security credentials. | +| SER-011 | The oneM2M system shall protect the use of the identity of an M2M stakeholder within the oneM2M system against discovery and misuse by other stakeholders. | +| SER-012 | The oneM2M system shall be able to support countermeasures against impersonation attacks and replay attacks. | +| SER-013 | The oneM2M system shall be able to provide the mechanism for integrity-checking on boot, periodically on run-time, and on software upgrades for software/hardware/firmware component(s) on M2M device(s). | +| SER-014 | The oneM2M system shall be able to provide configuration data to an authenticated and authorized M2M application in the M2M gateway/device. | +| SER-015 | The oneM2M system shall be able to support mechanisms to provide M2M service subscriber identity to authorized and authenticated M2M applications when the oneM2M system has the M2M service subscriber's consent. | +| SER-016 | The oneM2M system shall be able to support non repudiation within the M2M service layer and in its authorized interactions with the network and application layers. | +| SER-017 | The oneM2M system shall be able to mitigate threats.
NOTE – Example of threats are identified in oneM2M TR-0008 [b-oneM2M TR-0008]. | +| SER-018 | The oneM2M system shall enable an M2M stakeholder to use a resource or service and be accountable for that use without exposing its identity to other stakeholders. | +| SER-019 | The oneM2M system shall be able to use service-level credentials present inside the M2M device for establishing the M2M services and M2M applications level security. | +| SER-020 | The oneM2M system shall enable legitimate M2M service providers to provision their own credentials into the M2M devices/gateways. | +| SER-021 | The oneM2M system shall be able to remotely and securely provision M2M security credentials in M2M devices and/or M2M gateways. | +| SER-022 | The oneM2M system shall enable M2M application service providers to authorize | + +**Table 9 – Security requirements** + +| Requirement ID | Description | +|----------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| | interactions involving their M2M applications on supporting entities (e.g., devices/gateways/service infrastructure). | +| SER-023 | Where a hardware security module (HSM) is supported, the oneM2M system shall be able to rely on the HSM to provide local security. | +| SER-024 | The oneM2M system shall enable M2M applications to use different and segregated security environments. | +| SER-025 | The oneM2M system shall be able to prevent unauthorized M2M stakeholders from identifying and/or observing the actions of other M2M stakeholders in the oneM2M system, e.g., access to resources and services (see Note 1). | +| SER-026 | The oneM2M system shall be able to provide mechanism for the protection of confidentiality of the geographical location information (see Note 2). | +| SER-027 | The M2M system shall support grouping of M2M applications that have the same access control rights towards one specific resources, together so that access control validation can be performed by validating if the M2M application is a member of certain group. | +| SER-028 | The oneM2M system shall enable security protocol end-points to protect portions of individual application-generated data so that intermediate entities (whether trusted or untrusted) forwarding the data are unable to access the protected portions of the data in clear text. | +| SER-029 | The oneM2M system shall enable security protocol end-points to protect portions of individual application-generated data so that security protocol end-points can detect modification, including modification by intermediate service layer entities (whether trusted or untrusted) forwarding the data. | +| SER-030 | The oneM2M system shall enable security protocol end-points to protect portions of individual oneM2M messages so that intermediate entities (whether trusted or untrusted) forwarding the messages are unable to access the protected portions of the messages in clear text. | +| SER-031 | The oneM2M system shall enable security protocol end-points to protect portions of individual oneM2M messages so that security protocol end-points can detect modification, including modification by intermediate service layer entities (whether trusted or untrusted) forwarding the messages. | +| SER-032 | The oneM2M system shall enable security protocol end-points to establish security sessions which are used for protecting portions of one or more oneM2M messages so that intermediate entities (whether trusted or untrusted) forwarding the messages are unable to access the protected portions of the messages in clear text. | +| SER-033 | The oneM2M system shall enable security protocol end-points to establish security sessions which are used for protecting portions of one or more oneM2M messages so that security protocol end-points can detect modification, including modification by intermediate service layer entities (whether trusted or untrusted) forwarding the messages. | +| SER-034 | The oneM2M system shall enable security protocol end-points to protect portions of messages or data so that intermediate entities (whether trusted or untrusted) forwarding the messages or data are unable to access the protected portions of messages or data in clear text. | +| SER-035 | The oneM2M system shall enable security protocol end-points to protect portions of messages or data so that security protocol end-points can detect modification, including modification by intermediate service layer entities (whether trusted or untrusted) forwarding the messages or data. | + +**Table 9 – Security requirements** + +| Requirement ID | Description | +|-----------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| SER-036 | The oneM2M system shall enable security protocol end-points to authenticate each other without relying on intermediate service layer entities (whether trusted or untrusted). | +| SER-037 | The oneM2M system shall be able to support distributed authorization functions for making access control decisions, providing access control policies and providing authorization attributes (e.g., roles). | +| SER-038 | The oneM2M system shall be able to expose an interoperable interface to provide access control policies by means of specified access control policy language. | +| SER-039 | The oneM2M system shall enable individuals to establish policies for controlling access to their personal identifiable information even when it may have been collected without their knowledge. | +| SER-040 | When the M2M devices are grouped and the M2M gateway is authorized as delegate of the group for accessing the M2M server, the M2M gateway shall be able to, on behalf of the M2M devices in the group, perform mutual authentication with the M2M server. | +| SER-041 | When the M2M devices are grouped and the M2M gateway belongs to a third party, oneM2M System shall be able to protect security and privacy of communication between individual M2M device and M2M server from other M2M devices and the third party M2M gateway. | +| SER-042 | A secured API shall enable application and service layer entities to make use of sensitive functions and data residing within the Secure Environment, independently of the technical implementation of the Secure Environment. | +| SER-043 | The oneM2M system shall enable authorizing a oneM2M entity to temporarily delegate its access rights (or a subset thereof) to another authorized oneM2M entity, wherein the dynamically delegated access rights shall not enable the "delegated-to" oneM2M entity to delegate the same rights in turn to a third oneM2M entity. | +| SER-044 | For M2M application service data, that are processed by an M2M application B in a M2M entity (e.g., M2M gateway) on its path from an originator A to the recipient M2M application C, the oneM2M system shall provide means that enable the recipient to verify both:
  • • integrity of the data received by the M2M application B from the originator A; and, at the same time:
  • • that the M2M application B that has processed the data has not been compromised.
| +| SER-045 | The oneM2M system shall support classification of application data by M2M applications into various security levels that are specified by oneM2M and support the mapping of these levels to applicable security capabilities. | +| SER-046 | The oneM2M system shall enable to protect portions of individual application generated data that is at-rest (e.g., hosted data) for integrity protection and data creator authentication. | +| SER-047 | The oneM2M system shall enable to protect portions of individual application data at-rest (e.g., hosted data) for confidentiality protection. | +| SER-048 | The oneM2M system shall ensure that the end-to-end data credentials are protected for confidentiality, integrity and against tampering. | +| SER-049 | The oneM2M system shall ensure that the end-to-end data credentials are protected from exposure to intermediate entities. | +| SER-050 | The oneM2M system shall enable pre-defined conditions to be protected from unauthorized modification. | +| SER-051 | The oneM2M system shall enable the deletion of M2M data produced/stored by the M2M devices/gateways based on request from an authorized entity. | + +**Table 9 – Security requirements** + +| Requirement ID | Description | +|--------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| SER-052 | The oneM2M system shall store and process privacy preferences in an interoperable manner. | +| SER-053 | The oneM2M system shall support privacy profiles at various levels to care for conditions of legal requirements, manufacturers, and data subjects. | +| SER-054 | The oneM2M system shall be able to prioritize privacy profiles where there is a conflict between profiles (legal profile takes priority over data subject profile, for example). | +| SER-055 | The oneM2M system shall be able to support configuration of security related settings of its infrastructure side components by a privileged user through standardized API. | +| SER-056 | The oneM2M system shall allow overriding of security settings by a privileged user through standardized API. | +| SER-057 | The oneM2M system shall support a mechanism enabling addition/deletion of information enabling authentication of oneM2M entities through standardized API. | +| SER-058 | The oneM2M system shall enable delegation of security functions (e.g., message authentication/integrity protection) of an entity to a trust-worthy entity. | +| SER-059 | The oneM2M system shall protect the authenticity, integrity and confidentiality of the representation of the delegated access rights. | +| SER-060 | The oneM2M system shall be able to revoke the representation of the delegated access rights. | +| SER-061 | The oneM2M system shall be able to verify the App-ID to support the detection of impersonation or to support revocation. | +| SER-062 | The oneM2M system shall be able to reuse the privacy policy of the underlying network. | +| SER-063 | The oneM2M system shall be able to share its privacy policy with the underlying network. | +| NOTE 1 – The above requirement does not cover items outside of the oneM2M system, e.g., underlying networks. | | +| NOTE 2 – Geographical location information can be more than simply longitude and latitude. | | +| NOTE 3 – Partly supported for impersonation attacks not supported for replay attacks. | | +| NOTE 4 – The oneM2M system has no means to verify a subscriber's consent. This requirement is only fulfillable at application level. | | +| NOTE 5 – Regarding remote provisioning, Release 1 supports remote provisioning of symmetric key credentials only. | | + +### 7.5 Charging requirements + +**Table 10 – Charging requirements** + +| Requirement ID | Description | +|-----------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| CHG-001 |

The oneM2M system shall support collection of charging specific information related to the individual services facilitated by the oneM2M system (e.g., data management, device management and/or connectivity management).

Collection of charging specific information shall be possible concurrent with the resource usage. The format of the recorded information shall be fully specified including mandatory and optional elements.

| + +| Requirement ID | Description | +|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| CHG-002 | The oneM2M system shall support mechanisms to facilitate correlation of charging information (e.g., of a User) collected for M2M services, M2M application services and services provided by underlying network operators. | +| CHG-003 | The oneM2M system shall provide means to coordinate charging data records for data usages with differentiated QoS from the underlying network. | +| CHG-004 | The oneM2M System shall be able to utilize existing charging mechanisms of Underlying Networks. | +| CHG-005 | The oneM2M system shall support transfer of the charging information records to the billing domain of the M2M service provider, for the purpose of:
  • • subscriber billing;
  • • inter-provider billing;
  • • provider-to-subscriber accounting including additional functions like statistics.
| +| CHG-006 | The oneM2M system should support generation of charging events for the purpose of requesting resource usage authorization from the real time credit control system where the subscriber account is located. The information contained in the charging events and the relevant chargeable events shall be fully specified including mandatory and optional elements (see Note 1). | +|

NOTE 1 – A chargeable event is any activity, a provider may want to charge for that utilizes the resources and related M2M services offered by such provider. A charging event is the set of charging information needed by the credit control system for resource authorization.

NOTE 2 – Information collected can be sent to the underlying networks which may use it for charging.

NOTE 3 – The oneM2M service layer can pass info to underlying networks but cannot use Underlying Network mechanism. Charging can be done by underlying network. This is covered by CHG-002.

NOTE 4 – Only supported in the Infrastructure Node.

| | + +### 7.6 Operational requirements + +**Table 11 – Operational requirements** + +| Requirement ID | Description | +|----------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| OPR-001 | The oneM2M system shall provide the capability for monitoring and diagnostics of M2M applications. | +| OPR-002 | The oneM2M system shall provide the capability for software management of M2M applications. | +| OPR-003 | The oneM2M system shall be able to configure the execution state of an M2M application (start, stop, restart). | +| OPR-004 | When suitable interfaces are provided by the underlying network, the oneM2M system shall have the ability to schedule traffic via the underlying network based on instructions received from the underlying network. | +| OPR-005 | The oneM2M system shall be able to exchange information with M2M applications related to usage and traffic characteristics of M2M devices or M2M gateways by the M2M application. This should include support for the 3GPP feature called: "Time controlled" [ETSI TS 122 368]. (see NOTE). | +| OPR-006 | Depending on availability of suitable interfaces provided by the underlying network the oneM2M system shall be able to provide information related to usage and traffic characteristics of M2M devices or M2M gateways to the underlying network. | +| OPR-007 | The oneM2M system shall be able to support receipt of the status information of the underlying network if supported by the underlying network. | +| OPR-008 | The oneM2M system shall be able to provide the M2M applications with status information received from the underlying network. | + +**Table 11 – Operational requirements** + +| Requirement ID | Description | +|-------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| OPR-009 | The format for registered App-IDs shall be able to support use by people and systems to readily determine whether the App-ID is registered and the registration authority which issued the App-ID, App developer and App name. | +| OPR-010 | The oneM2M system registration authorities shall be able to collect and maintain supporting required information when assigning an App-ID. | +| NOTE – "Time controlled" is equivalent to the MTC features specified in clause 7.2 of 3GPP TS 22.368 [ETSI TS 122 368]. | | + +### 7.7 Communication management requirements + +**Table 12 – Communication management requirements** + +| Requirement ID | Description | +|----------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| CMR-001 | The oneM2M system shall provide to M2M applications a communication service which provides buffering of messages to/from M2M gateway/device/ infrastructure domain. | +| CMR-002 | The oneM2M system shall be able to support forwarding buffered messages depending on communication policies and based on service preference associated with the buffered messages. | +| CMR-003 | The oneM2M system shall enable an M2M application to send a communication request with the following service preference:
  • • QoS parameters, including delay tolerance, for initiating the delivery of data;
  • • categorizing communication requests into different levels of priority or QoS classes.
| +| CMR-004 | The oneM2M system shall be able to support concurrent processing of messages within M2M gateways and/or M2M devices from different sources with awareness for the service preference associated with the messages while observing the provisioned communication policies. | +| CMR-005 | The oneM2M system shall be able to maintain context associated with M2M sessions (e.g., security context or network connectivity context during the interruption of the session). | +| CMR-006 | The oneM2M system shall support the ability for applications to categorize requested communications (priority, importance, etc.), so that the oneM2M system can adapt its actual communications (scheduling, aggregation, compression, etc.) by taking this categorization into account. | +| CMR-007 | The oneM2M system shall support configurable communication policies that will define its communication patterns. Such policies shall take into account information received from the underlying network (such as information referred to in OPR-004) as well as information received from the applications (such as the information referred to in OPR-005 or categorization of communications requested by the applications). | +| CMR-008 | The oneM2M system shall support data aggregation based on communication policies when exchanging data between the M2M gateway/device/infrastructure domain. | +| CMR-009 | The oneM2M system should support data compression based on communication policies when exchanging data between the M2M gateway/device/infrastructure domain. | +| CMR-010 | The oneM2M system shall support an additional randomized delay of communications, based on communication policies, when exchanging data between the M2M gateway/device/infrastructure domain. | + +**Table 12 – Communication management requirements** + +| Requirement ID | Description | +|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| CMR-011 | The oneM2M system shall be able to monitor its own usage of the underlying networks over given periods of time: attempted communications, failed attempts and successful attempts. | +| CMR-012 | The oneM2M system shall be able to restrict its own usage of the underlying networks, based on communication policies and on its monitored usage of them, when exchanging data between the M2M gateway/device/infrastructure domain. | +| CMR-013 | The oneM2M system shall be able to refrain from using its own usage of the underlying networks, based on a time-based back-off procedure configurable in communication policies, when exchanging data between the M2M gateway/device/infrastructure domain. | +| CMR-014 | The oneM2M system shall be able to restrict its own usage of the underlying networks, based on communication policies and on the date and time, when exchanging data between the M2M gateway/device/infrastructure domain. | +| CMR-015 | The oneM2M system shall be able to identify a series of data (e.g., time series data) and indicate individual data belonging to this series. | +| NOTE 1 – Long lived security context and registration is covered, M2M sessions are not covered.
NOTE 2 – Communication management and delivery handling (CMDH) policies (application side) is implemented, information from the underlying network can be utilized but the method for provisioning via Mcn is not covered. | | + +### 7.8 LWM2M interworking requirements + +**Table 13 – LWM2M interworking requirements** + +| Requirement ID | Description | +|-----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| LWM2M-001 | The oneM2M system shall provide the capability to transparently transport LWM2M objects between LWM2M clients and M2M applications. | +| LWM2M-002 | The oneM2M system shall provide the capability to translate LWM2M objects into a semantic representation of the LWM2M object as oneM2M resources. | +| LWM2M-003 | The oneM2M system shall provide the capabilities of the LWM2M server in order to interwork between LWM2M clients and M2M applications. | +| LWM2M-004 | The oneM2M system shall provide the capability for M2M applications to discover LWM2M clients using the LWM2M client's endpoint name. | +| LWM2M-005 | When transparently transporting LWM2M objects, the oneM2M system shall provide the capability for M2M applications to discover the definition of LWM2M objects transported by the oneM2M system. | +| LWM2M-006 | When interworking with LWM2M objects, the oneM2M system shall provide the capability for M2M applications to discover a LWM2M object using the LWM2M object's identifier. | +| LWM2M-007 | The oneM2M system shall provide capability to onboard devices that incorporate a LWM2M client. | +| LWM2M-008 | The oneM2M system shall provide the capability to interoperate the underlying security mechanisms of the LWM2M client with the security capabilities provided by the oneM2M system. | + +## 8 Non-functional requirements (informative) + +This clause is intended to gather high-level principles and guidelines that shall govern the design of the oneM2M system. Such principles and guidelines are fundamental to the design of the oneM2M system. But as they cannot necessarily be expressed as requirements per se, they shall be introduced and expressed in this clause. + +**Table 14 – Non-functional requirements** + +| Requirement ID | Description | +|----------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| NFR-001 | Continua Health Alliance (CHA) is incorporating a RESTful approach to its design. To support CHA, oneM2M should consider RESTful styles and approaches while designing the M2M architecture. | +| NFR-002 | The oneM2M system should communicate using protocols that are efficient in terms of amount of exchanged information over amount of exchanged data measured in bytes. | + +## **Annex A** + +### **oneM2M Specification update and maintenance control procedure** + +(This annex forms an integral part of this Recommendation.) + +The provisions of Annex L in [ITU-T Y.4500.1] regarding oneM2M Specification update and maintenance control procedure shall apply to this Recommendation. + +## Bibliography + +- [b-oneM2M TR-0008] oneM2M Technical Report TR-0008, *Security*. +- [b-ATIS.oneM2M.TS0002V2.7.1] ATIS oneM2M.TS0002V2.7.1(2016), *Requirements*. + +- [b-ETSI TS 118 102] ETSI TS 118 102 v2.7.1 (2016), *oneM2M Requirements*. +[www.etsi.org/deliver/etsi\\_ts/118100\\_118199/118102/02.07.01\\_60/ts\\_118102v020701p.pdf](http://www.etsi.org/deliver/etsi_ts/118100_118199/118102/02.07.01_60/ts_118102v020701p.pdf) +- [b-TTA.oneM2M.TS0002V2.7.1] TTC oneM2M.TS0002V271(2016), *Requirements*. +[http://www.tta.or.kr/data/ttas\\_view.jsp?m=1&m1=Y&m2=&m3=&nowpage=1&pk\\_nu m=TTAT.MMTS.0002+v2.7.1&standard\\_no=TTAT.MMTS.0002+v2.7.1&kor\\_standar d=&publish\\_date=§ion\\_code=&order=publish\\_date&by=desc&nowSu=1&totalSu =1&acode1=&acode2=&scode1=&scode2=](http://www.tta.or.kr/data/ttas_view.jsp?m=1&m1=Y&m2=&m3=&nowpage=1&pk_nu m=TTAT.MMTS.0002+v2.7.1&standard_no=TTAT.MMTS.0002+v2.7.1&kor_standar d=&publish_date=§ion_code=&order=publish_date&by=desc&nowSu=1&totalSu =1&acode1=&acode2=&scode1=&scode2=) +- [b-TTC.oneM2M.TS0002V2.7.1] TTC oneM2M.TS0002V271(2016), *Requirements*. +[www.ttc.or.jp/jp/document\\_list/pdf/j/TS/TS-M2M-0002v2.7.1.pdf](http://www.ttc.or.jp/jp/document_list/pdf/j/TS/TS-M2M-0002v2.7.1.pdf) + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4500.20-201803-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4500.20-201803-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..e67d90bc79f45de5b7b92f421ec14143b630fb07 --- /dev/null +++ b/marked/Y/T-REC-Y.4500.20-201803-I_PDF-E/raw.md @@ -0,0 +1,792 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4500.20 + +(03/2018) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Frameworks, architectures and protocols + +# --- **oneM2M – WebSocket protocol binding** + +Recommendation ITU-T Y.4500.20 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.4500.20 + +# oneM2M – WebSocket protocol binding + +## Summary + +Recommendation ITU-T Y.4500.20 specifies the binding of Mca and Mcc primitives on to the WebSocket binding. + +Recommendation ITU-T Y.4500.20 specifies: + +- procedures and message formats for operating and closing of WebSocket connections; +- how request and response primitives are mapped into the payload of the WebSocket protocol. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|-----------------|------------|-------------|------------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4500.20 | 2018-03-01 | 20 | 11.1002/1000/13511 | + +## Keywords + +oneM2M, WebSocket. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +NOTE – This Recommendation departs slightly from the usual editorial style of ITU-T Recommendations to preserve existing cross-referencing from external documents. + +© ITU 2018 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|------------------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation ..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview on WebSocket Binding ..... | 3 | +| 6.1 Use of WebSocket ..... | 3 | +| 6.2 Binding Overview ..... | 3 | +| 7 Protocol Binding..... | 6 | +| 7.1 Introduction ..... | 6 | +| 7.2 WebSocket connection establishment ..... | 7 | +| 7.3 Closing WebSocket connection..... | 10 | +| 7.4 Registration procedure..... | 10 | +| 7.5 Handling of Non-Registration Request ..... | 10 | +| 7.6 Use of proxy servers ..... | 10 | +| 8 Security Aspects ..... | 11 | +| Annex A – oneM2M Specification Update and Maintenance Control Procedure..... | 12 | +| Appendix I – Example Procedures..... | 13 | +| I.1 AE Registration and creation of a Container child resource ..... | 13 | +| Bibliography..... | 16 | + + + +# Recommendation ITU-T Y.4500.20 + +# oneM2M – WebSocket protocol binding + +# 1 Scope + +This Recommendation specifies the binding of Mca and Mcc primitives on to the WebSocket binding. + +This Recommendation specifies: + +- procedures and message formats for operating and closing of WebSocket connections; +- how request and response primitives are mapped into the payload of the WebSocket protocol. + +The Recommendation contains oneM2M Release 2 specification – oneM2M WebSocket Protocol Binding V2.0.0 – and is equivalent to standards of oneM2M partners including ARIB, ATIS [b-ATIS.oneM2M.TS0020V200], CCSA, ETSI [b-ETSI TS 118 120], TTA, TSDSI [b-TSDSI STD T1.oneM2M TS-0020-2.0.0 ], TTA [b-TTAT.MM-TS.0020 v2.0.0] and TTC [b-TTC TS-M2M-0020v2.0.0]. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4500.1] Recommendation ITU-T Y.4500.1 (2018), *oneM2M Functional architecture*. + +[ITU-T Y.4500.4] Recommendation ITU-T Y.4500.4 (2018), *oneM2M – Service layer core protocol*. + +[ETSI TS 118 103] ETSI TS 118 103 V2.4.1 (2016), *oneM2M; Security solutions (oneM2M TS-0003 version 2.4.1 Release 2)*. + +[IETF RFC 6455] IETF RFC 6455 (2011), *The WebSocket protocol*. + +[IETF RFC 7230] IETF RFC 7230 (2014), *Hypertext transport protocol (HTTP/1.1): Message syntax and routing*. + +[IETF RFC 7692] IETF RFC 7692 (2015), *Compression extensions for WebSocket*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application entity (AE):** [b-ITU-T Y.4500.11] Represents an instantiation of application logic for end-to-end M2M solutions. + +**3.1.2 common services entity (CSE):** [b-ITU-T Y.4500.11] Represents an instantiation of a set of common service functions of the M2M environments. Such service functions are exposed to other entities through reference points. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 oneM2M WebSocket client (WS client):** WebSocket client associated with an application entity or a common services entity capable of establishing the WebSocket connections. + +**3.2.2 oneM2M WebSocket server (WS server):** WebSocket server associated with a common services entity which accepts requests to establish WebSocket connections. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|------------------------------------------------| +| ADN | Application Dedicated Node | +| AE | Application Entity | +| ASN | Application Service Node | +| CBOR | Concise Binary Object Representation | +| CMDH | Communication Management and Delivery Handling | +| CRUDN | Create-Retrieve-Update-Delete-Notify | +| CSE | Common Services Entity | +| FQDN | Fully Qualified Domain Name | +| GUID | Globally Unique Identifier | +| HTTP | Hypertext Transport Protocol | +| IN-CSE | Infrastructure Node-Common Services Entity | +| IP | Internet Protocol | +| JSON | JavaScript Object Notation | +| MN-CSE | Middle Node-Common Services Entity | +| NAT | Network Address Translator | +| SAEF | Security Association Establishment Framework | +| TCP | Transmission Control Protocol | +| TLS | Transport Layer Security | +| URI | Uniform Resource Identifier | +| WS | WebSocket | +| WSS | WebSocket Secure | +| XML | Extensible Markup Language | + +# 5 Conventions + +The keywords "shall", "shall not", "may", "need not", "should", "should not" in this Recommendation are to be interpreted as follows. + +Shall/shall not: + +## Requirements: + +- 1) effect on this Recommendation: this Recommendation needs to describe the required feature (i.e., specify a technical solution for the requirement); + +- 2) effect on products: every implementation (M2M solution that complies with this Recommendation) must support it; +- 3) effect on deployments: every deployment (M2M service based on this Recommendation) must use the standardized feature where applicable – otherwise interoperability problems with other services could arise, for example. + +Should/should not: + +## **Recommendation** + +- 1.) effect on this Recommendation: this Recommendation needs to describe a solution that allows the presence and the absence of the feature; +- 2) effect on products: an implementation may or may not support it; however, support is recommended; +- 3) effect on deployments: a deployment may or may not use it; however, usage is recommended. + +May/need not: + +## **Permission/option** + +- 1) effect on this Recommendation: this Recommendation needs to describe a solution that allows the presence and the absence of the required feature; +- 2) effect on products: an implementation may or may not support it; +- 3) effect on deployments: a deployment may or may not use it. + +# **6 Overview of WebSocket binding** + +## **6.1 Use of WebSocket** + +This binding makes use of the WebSocket protocol [IETF RFC 6455] to transport serialized representations of oneM2M request and response primitives over the Mca or Mcc reference points. + +Establishment of a WebSocket connection shall be initiated by a WebSocket client by sending a handshake to a WebSocket server as specified in section 4 of [IETF RFC 6455]. Once the WebSocket connection is established, both the oneM2M request and response primitives can be exchanged bi-directionally between the two endpoints of the connection. Serialized representations of the request and response primitives shall be mapped in the Payload Data field of the WebSocket base framing protocol, as defined in section 5.2 of [IETF RFC 6455]. + +A WebSocket connection employs either a transmission control protocol/Internet protocol (TCP/IP) or transport layer security (TLS) over a TCP/IP connection. The underlying TCP and TLS connections are established as the first step of the WebSocket handshake. + +## **6.2 Binding overview** + +WebSocket binding may be employed for communication between any two endpoints that can be connected over the Mca, Mcc or Mcc' interface reference points supported by the oneM2M architecture as shown in Figure 6.1-1 of oneM2M TS-0001 [ITU-T Y.4500.1]. + +When using the WebSocket protocol, one communication endpoint shall act as the WebSocket server. The WebSocket server listens for inbound handshake messages arriving from any WebSocket client to which a WebSocket connection is not yet established. Whether a communication endpoint takes the role of the client or the server shall depend on the registration relationship between the communicating entities as follows: the registree shall always use a WebSocket client, while the associated registrar shall always use a WebSocket server on the respective reference point. + +This implies that the application dedicated node (ADN) and application service node (ASN) always take the role of a WebSocket client when WebSocket binding is employed. A middle node-common + +services entity (MN-CSE) uses a WebSocket server to communicate with its registrees and a WebSocket client to communicate with its own registrar [which can be another MN-CSE or an infrastructure node-common services entity (IN-CSE)]. + +The IN-CSE provides a WebSocket server functionality to communicate with all its registrees, i.e., within a service provider's domain. On the Mcc' reference points, i.e., for communication between IN-CSEs of different Service Provider domains, the IN-CSE shall provide both WebSocket client and server functionality. This enables any IN-CSE to open a WebSocket connection to any IN-CSE of another Service Provider's domain. + +Figure 6.2.-1 shows an example of an applicable system configuration. + +![Figure 6.2-1: Example scenarios of WebSocket client and server configurations. The diagram illustrates a network architecture with four main components: ADN (Access Domain Network), ASN (Access Service Network), MN (Mobile Network), and IN (Infrastructure Network). Each component contains an AE (Access Entity) and a CSE (Common Services Entity). The ADN and ASN components are connected to the MN component via Mcc and Mcc' reference points. The MN component is connected to the IN component via Mcc and Mcc' reference points. The IN component is connected to the MN component via Mcc and Mcc' reference points. The diagram shows various WebSocket client and server connections between these entities.](e6df2733626a85205c1db682e6259c46_img.jpg) + +The diagram illustrates a network architecture with four main components: ADN (Access Domain Network), ASN (Access Service Network), MN (Mobile Network), and IN (Infrastructure Network). Each component contains an AE (Access Entity) and a CSE (Common Services Entity). The ADN and ASN components are connected to the MN component via Mcc and Mcc' reference points. The MN component is connected to the IN component via Mcc and Mcc' reference points. The IN component is connected to the MN component via Mcc and Mcc' reference points. The diagram shows various WebSocket client and server connections between these entities. + +Figure 6.2-1: Example scenarios of WebSocket client and server configurations. The diagram illustrates a network architecture with four main components: ADN (Access Domain Network), ASN (Access Service Network), MN (Mobile Network), and IN (Infrastructure Network). Each component contains an AE (Access Entity) and a CSE (Common Services Entity). The ADN and ASN components are connected to the MN component via Mcc and Mcc' reference points. The MN component is connected to the IN component via Mcc and Mcc' reference points. The IN component is connected to the MN component via Mcc and Mcc' reference points. The diagram shows various WebSocket client and server connections between these entities. + +**Figure 6.2-1 – Example scenarios of WebSocket client and server configurations** + +There exists a maximum of one WebSocket connection between two nodes. A WebSocket connection is established for the first time when the initial registration procedure of an entity to its registrar is performed. On an established WebSocket connection, request and response primitives can be exchanged in both directions. Any connection may be closed by either the WebSocket client or the server, depending on the communication schedule of either entity. However, the connection can be reopened from the client side only. + +If the connection is closed temporarily, it shall be reopened when the next request primitive is sent from the client to the server side, or when the time to become reachable configured at resource. If the WebSocket connection with the next-hop entity is not opened, and the WebSocket connection cannot be established due to lack of *pointOfAccess* address for the entity, a sending CSE may enable buffering of primitives that should be sent to the entity until the connection is reopened or their expiry time is reached. See Annex H of oneM2M TS-0004 [ITU-T Y. 4500.4] about buffering of primitives by communication management and delivery handling (CMDH) functionality. + +Figure 6.2-2 shows an example of a message flow for a scenario where an ADN-AE registers on its registrar MN-CSE using an unsecured TCP connection without proxy and then continues exchanging non-registration request and response primitives. + +![Sequence diagram showing the message flow for WebSocket binding between an ADN (AE, WS client) and an MN (WS server, CSE). The process starts with the AE triggering registration, followed by a client handshake, server handshake, request primitive, Websocket binding, Websocket message, unpacking request primitive, request primitive to CSE, receiver side processing, response primitive, Websocket binding, Websocket message, unpacking response primitive, and response primitive. Finally, non-registration CRUDN operations are performed.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +``` + +sequenceDiagram + participant ADN as ADN + participant AE as AE + participant WS_client as WS client + participant MN as MN + participant WS_server as WS server + participant CSE as CSE + + Note over ADN: 1) AE wants to start registration procedure and triggers WebSocket connection establishment + AE->>WS_client: + WS_client->>WS_server: 2) Client handshake + WS_server-->>WS_client: 3) Server handshake + WS_client->>AE: 4) Request primitive + Note over WS_client: 5) WebSocket binding + WS_client->>WS_server: 6) WebSocket message + Note over WS_server: 7) Unpacking request primitive + WS_server->>CSE: 8) Request primitive + Note over CSE: 9) Receiver side processing of AE registration procedure + CSE-->>WS_server: 10) Response primitive + Note over WS_server: 11) WebSocket binding + WS_server->>WS_client: 12) WebSocket message + Note over WS_client: 13) Unpacking response primitive + WS_client->>AE: 14) Response primitive + Note over ADN, MN: 15) non-registration CRUDN operations + +``` + +Y.4500.20(18)\_F6.2-2 + +Sequence diagram showing the message flow for WebSocket binding between an ADN (AE, WS client) and an MN (WS server, CSE). The process starts with the AE triggering registration, followed by a client handshake, server handshake, request primitive, Websocket binding, Websocket message, unpacking request primitive, request primitive to CSE, receiver side processing, response primitive, Websocket binding, Websocket message, unpacking response primitive, and response primitive. Finally, non-registration CRUDN operations are performed. + +**Figure 6.2-2 – Example of a message flow with WebSocket binding** + +- 1) The ADN-AE wants to register on its registrar MN-CSE. If a WebSocket connection does not exist, it is established by the steps 2) and 3). It is assumed that the ADN-AE knows the point of access (i.e., a WebSocket uniform resource identifier (URI) specified in [IETF RFC 6455]) under which the registrar CSE can be reached with a WebSocket binding. +- 2) The WebSocket client opens a handshake to the server with the subprotocol name "oneM2M-pro-v1.0" following [IETF RFC 6455]. + +If the server can be reached under the WebSocket URI `ws://example.net:9000/`, the client handshake may look as follows: + +``` + +GET / HTTP/1.1 +Host: mncse1234.net:9000 +Upgrade: WebSocket +Connection: Upgrade +Sec-WebSocket-Key: ud63env87LQLd4uIV20/oQ== +Sec-WebSocket-Protocol: oneM2M-pro-v1.0 +Sec-WebSocket-Version: 13 + +``` + +- 3) The WebSocket server replies with a handshake to the client. In the successful case, the status-line of this hypertext transport protocol (HTTP) response may look as follows: + +``` + +Request-Version: HTTP/1.1 +Status-Code: 101 +Response-Phrase: Switching Protocols +Upgrade: WebSocket +Connection: Upgrade +Sec-WebSocket-Protocol: oneM2M-pro-v1.0 +Sec-WebSocket-Accept: FuSSKANnI7C/6/FrPMt70mfBY8E= + +``` + +- 4) The ADN-AE issues a registration request primitive. The request primitive may look, for example, like a representation serialized by JavaScript object notation (JSON) as follows: +- ``` +{"op":1,"to":"/example.net/mncse1234","rqi":"A1234","pc":{"m2m:ae":{"api":"a56","apn":"ap1234"}}, "ty": 2} +``` + +NOTE – The WebSocket client associated with an ADN-AE does not need to be reachable for WebSocket Server handshake messages. + +- 5) The WebSocket Binding process, which transforms a single oneM2M primitive into one or more data frames of the WebSocket Framing protocol, is specified in [IETF RFC 6455]. When transmitting a JSON-serialized primitive in utf-8 text format, the 4-bit opcode in the WebSocket Base Framing Protocol of the first message fragment will be set to x1 ("text frame"). +- 6) The WebSocket message (consisting of one or more frames) shall be sent to the WebSocket (WS) server. +- 7) The original request primitive shall be unpacked from the WebSocket message by the WS server. +- 8) The request primitive is delivered to the MN-CSE. +- 9) The MN-CSE performs the receiver side operations of AE registration as specified in oneM2M TS-0001 [ITU-T Y.4500.1]. +- 10) The response primitive is issued to the WebSocket server. +- 11) The WebSocket binding process for the response primitive is performed. +- 12) The WebSocket message (consisting of one or more frames) is sent to the client. +- 13) The response primitive is unpacked. +- 14) The response primitive is to the ADN-AE. +- 15) After successful completion of AE registration, any other create-retrieve-update-delete-notify (CRUDN) requests and response primitives can be exchanged over the existing WebSocket connection in both directions. If the ADN-AE has no other requests to send, the WebSocket connection may be closed temporarily. When the WebSocket connection is closed after registration and later reopened, the registration procedure as outlined in steps 4 to 14 is omitted. In this case, any non-registration request primitives can be sent directly. + +# **7 Protocol binding** + +## **7.1 Introduction** + +The WebSocket protocol enables two-way communication between client and server even when a firewall or a network address translator (NAT) is present between them. This means, once a WebSocket connection is established, request (and response) primitives can be exchanged in both directions, from the client to the server and vice versa. However, AEs may be capable of handling notification request primitives only or no request primitives at all. + +WebSocket binding applied by oneM2M entities or nodes shall be fully compliant with [IETF RFC 6455]. After establishment of a WebSocket connection between two nodes, at the transmitter side, each individual request and response primitive is mapped into one or several WebSocket frames. See Appendix I for examples of procedures. + +## **7.2 WebSocket connection establishment** + +### **7.2.1 General** + +A WebSocket connection is opened by the client side as specified in section 4 of [IETF RFC 6455] with the sending of a client handshake. The server responds with a server handshake. + +The client handshake consists of an HTTP upgrade request, along with a list of required and optional header fields. + +The handshake shall be a valid HTTP request as specified by [IETF RFC 7230]. The server handshake consists of an HTTP status-line and a list of header fields. + +The applicable format of the request-line, status-line and the applicable header fields are specified in clauses 7.2.2 and 7.2.3. + +HTTP headers fields have case-insensitive field names. + +CSEs capable of supporting WebSocket shall indicate the schemes WebSocket (WS) or WebSocket secure (WSS) together with the applicable host name and port numbers in the pointOfAccess attribute of their resource, i.e., as `ws://host:port1` and `wss://host:port2`. + +### **7.2.2 Client handshake** + +#### **7.2.2.1 Format of request-line** + +The request-line of a client handshake shall begin with the method token "GET", followed by the request target "/" and the HTTP version set to "HTTP/1.1" as follows: + +``` +GET / HTTP/1.1 +``` + +If the client is configured to use a proxy when using the WebSocket Protocol, a connection to the proxy server shall be established prior to sending the client handshake in the foregoing. This is described in clause 7.6. + +#### **7.2.2.2 Host header** + +The host header shall be present in each client handshake. + +The host header indicates the fully qualified domain name (FQDN) or IP address of the receiver CSE of the next hop. If the originator of the client handshake is an oneM2M field entity, the host header represents the registrar CSE of the originator. + +When no proxy is used, the host header shall be set as one of the pointOfAccess attribute values associated with the receiver. Selection of the appropriate receiver is described in oneM2M TS-0004 [ITU-T Y.4500.4]. + +If the client is configured to use a proxy when using the WebSocket protocol, then the client should connect to that proxy and ask it to open a TCP connection to the host and port rather than to the next hop CSE. + +#### **7.2.2.3 Upgrade header** + +The upgrade header shall be present in each client handshake message with value WebSocket as follows: + +``` +Upgrade: WebSocket +``` + +#### **7.2.2.4 Connection header** + +The connection header shall be present in each client handshake message with value upgrade as follows: + +``` +Connection: Upgrade +``` + +#### **7.2.2.5 Sec-WebSocket-Key header** + +The Sec-WebSocket-Key header shall be present in each client handshake message. The header field includes a base64-encoded representation of a random 16 byte pattern, e.g.: + +``` +Sec-WebSocket-Key: ud63env87LQLd4uIV20/oQ== +``` + +#### 7.2.2.6 Sec-WebSocket-Version header + +The Sec-WebSocket-Version header shall be present in each client handshake message with value 13 as follows: + +``` +Sec-WebSocket-Version: 13 +``` + +#### 7.2.2.7 Sec-WebSocket-Protocol header + +The Sec-WebSocket-Protocol header shall be present in a client handshake message. It enables the client to indicate its supported application subprotocols on the server and to be sure that the server agrees to support that subprotocol. It is used by the client to indicate the oneM2M service layer protocol version and supported serialization formats to the server. + +The value of the Sec-WebSocket-Protocol header shall be one or more of the registered names defined in clause 7.2.2.9. It shall also be allowed to include multiple Sec-WebSocket-Protocol headers with a value that includes one registered name each as defined in [IETF RFC 6455], e.g.: + +``` +Sec-WebSocket-Protocol: oneM2M.R2.0.JSON, oneM2M-R2.0_XML +``` + +and + +``` +Sec-WebSocket-Protocol: oneM2M.R2.0.XML +``` + +``` +Sec-WebSocket-Protocol: oneM2M.R2.0.JSON +``` + +are equivalent headers, expressing that the WebSocket client supports both application subprotocols, oneM2M.R2.0.XML and oneM2M.R2.0.JSON. The order of names indicated in the Sec-WebSocket-Protocol header specifies the client's preference. + +#### 7.2.2.8 Sec-WebSocket-Extensions header + +The Sec-WebSocket-Extensions header may be used to negotiate the use of per-message compression as specified in [IETF RFC 7692]. + +If the client handshake includes the header, e.g. + +``` +Sec-WebSocket-Extensions: permessage-deflate +``` + +it indicates the client's preference to apply the compression mechanism defined in [IETF RFC 7692] to the server. The header may include additional parameters as specified in [IETF RFC 7692]. + +When the server accepts use of message compression, it responds with a Sec-WebSocket-Extensions header in the server handshake message as specified in clause 7.2.3.6, and in this case, compression is applied in both transmission directions. If the server handshake message does not include a Sec-WebSocket-Extensions header, compression shall not be applied. + +#### 7.2.2.9 Subprotocol names and serialization formats + +The Sec-WebSocket-Protocol header in the opening handshake is used to negotiate the application protocol layered on top of WebSocket. The application protocol addressed in this specification is the Release-2 version of the oneM2M service layer. + +The oneM2M service layer protocol consists of the exchange of serialized representations of request and response primitives as defined in oneM2M TS-0001 [ITU-T Y.4500.1] and oneM2M TS-0004 [ITU-T Y.4500.4]. This version of the specification allows use of the serialization formats listed in Table 7.2.2.9-1. Both protocol version and serialization format are associated with a specific subprotocol name. + +Table 7.2.2.9-1 lists the serialization formats associated subprotocols names and opcode settings of the WebSocket Frame protocol applicable for this specification. + +**Table 7.2.2.9-1 – Applicable subprotocol names** + +| Serialization Format | Subprotocol Name | WS opcode | Notes | +|---------------------------------------------|------------------|---------------------|---------------------------------------------------| +| JSON | oneM2M.R2.0.json | x1 ("text frame") | See clause 8.4 in oneM2M TS-0004 [ITU-T Y.4500.4] | +| Extensible markup language (XML) | oneM2M.R2.0.xml | x1 ("text frame") | See clause 8.3 in oneM2M TS-0004 [ITU-T Y.4500.4] | +| Concise binary object representation (CBOR) | oneM2M.R2.0.cbor | x2 ("binary frame") | See clause 8.5 in oneM2M TS-0004 [ITU-T Y.4500.4] | + +### 7.2.3 Server handshake format + +#### 7.2.3.1 Format of status-line + +The status-line of a server handshake shall begin with the HTTP version set to "HTTP/1.1", followed by the status code and reason phrase as defined in [IETF RFC 6455]. When the WebSocket connection is established successfully, the status-line may look as follows: + +``` +HTTP/1.1 101 Switching Protocols +``` + +When connection establishment is unsuccessful, any appropriate HTTP error status code shall be returned with the optional addition of a corresponding reason phrase. + +#### 7.2.3.2 Upgrade header + +The Upgrade header shall be present in each server handshake message with value WebSocket as follows: + +``` +Upgrade: WebSocket +``` + +#### 7.2.3.3 Connection header + +The Connection header shall be present in each server handshake message with value Upgrade as follows: + +``` +Connection: Upgrade +``` + +#### 7.2.3.4 Sec-WebSocket-Accept header + +The Sec-WebSocket-Accept header shall be present in each server handshake message. The header field shall be constructed from the Sec-WebSocket-Key value and the globally unique identifier (GUID) as specified in section 4.2.2 of [IETF RFC 6455]. It may look, for example, as follows: + +``` +Sec-WebSocket-Accept: FuSSKANnI7C/6/FrPMt70mfBY8E= +``` + +#### 7.2.3.5 Sec-WebSocket-Protocol header + +The Sec-WebSocket-Protocol header shall be present in a server handshake message. It indicates to the client that the server accepts (one of) the subprotocol(s) indicated by the client. + +The server compliant with this specification shall select one of the subprotocol names indicated in the Sec-WebSocket-Protocol header of the client handshake message and set the value of the Sec-WebSocket-Protocol header of the server handshake message accordingly. + +#### 7.2.3.6 Sec-WebSocket-Extensions header + +If the optional Sec-WebSocket-Extensions header with value "permessage-deflate" was included in the client handshake message, the Sec-WebSocket-Extensions header with same value shall also be included in the server handshake message, if the server accepts usage of message compression, and apply message compression in the transmit direction and message decompression in the receive direction as defined in [IETF RFC 7692]. + +If the server does not accept message compression, it shall not include the `Sec-WebSocket-Extensions` header. + +## 7.3 Closing WebSocket connection + +Compliant with section 7 of [IETF RFC 6455] a WebSocket connection shall be closed by sending a connection close frame (opcode x8). Both, client and server may initiate a closing handshake of an existing WebSocket connection at any time. + +WebSocket connections should be kept open for as long as possible considering any constraints due to communication policies and power-saving requirements. Unless communication policies enforce the closing of network access, it is left to implementation to decide when exactly the closing of a WebSocket shall be triggered. + +## 7.4 Registration procedure + +A oneM2M entity (AE or CSE) not yet registered on its registrar CSE needs to be preconfigured with various parameters as specified in oneM2M TS-0001 [ITU-T Y.4500.1] and oneM2M TS-0003 [ETSI TS 118 103] in order to be able to send the registration request primitive (i.e., create ** or create ** request primitive). To establish a WebSocket connection, the WebSocket client shall be configured with an applicable point of access of its registrar CSE, which includes the FQDN or IP address and the port number. + +After the registration procedure has been successfully completed, the WebSocket Server (e.g., Registrar CSE for WebSocket Client) shall enable routing of any incoming oneM2M primitives to this registree. + +Thus until the before the registration procedure is successfully completed, any incoming oneM2M primitives to the WebClient shall be rejected by the receiver (e.g., registrar CSE). + +Closing of the WebSocket connection after registration does not impact the registration status of an AE or CSE on its registrar, unless an explicit de-registration procedure is performed by deletion of the respective ** or ** resource instance. + +## 7.5 Handling of a non-registration request + +Registered entities (AE and CSE) are allowed to send and receive non-registration request primitives. A WebSocket connection should support any of the transfer modes defined in clause 8.2 of oneM2M TS-0001 [ITU-T Y.4500.1], i.e., blocking requests, and non-blocking requests for both synchronous and asynchronous cases. + +When sending blocking requests, the WebSocket connection shall not be closed before the response is received or before any configured timeout period has expired. + +When sending non-blocking requests, the WebSocket connection shall not be closed before the acknowledgment response is received or before any configured timeout period has expired. If the entities' communication policies and power-saving requirements allow, the connection should be kept open at least until an ongoing procedure has fully completed, i.e., requesting of the result in synchronous mode or completion of a notify procedure in asynchronous mode. + +## 7.6 Use of proxy servers + +The connection to a proxy shall be requested by sending a request-line with the method token "CONNECT", followed by the request target host and port of the WebSocket server and the HTTP version set to "HTTP/1.1" as follows: + +``` +CONNECT WSserver.example.com:80 HTTP/1.1 +``` + +# **8 Security aspects** + +Authentication and TLS can be established when the oneM2M entity that hosts the WebSocket Server can be addressed with the WSS URI scheme. When using the WSS URI scheme, one of the security association establishment frameworks (SAEFs) as defined in oneM2M TS-0003 [ETSI TS 118 103] shall be applied to provide mutually authenticated TLS between the communicating entities prior to sending the WebSocket client handshake. + +The SAEF is accomplished by successful completion of a TLS handshake procedure before the client sends its opening handshake message. The details of SAEFs and any remote security provisioning frameworks required are specified in oneM2M TS-0003 [ETSI TS 118 103]. + +In special deployment scenarios, e.g., when the communicating oneM2M entities using WebSocket binding are located in a secure environment or implemented on the same device, TLS may not be required. In such scenarios, unsecured WebSocket communication addressed by the WS URI scheme may be adequate. + +# **Annex A** + +## **oneM2M specification update and maintenance control procedure** + +(This annex forms an integral part of this Recommendation.) + +The provisions of Annex L of [ITU-T Y.4500.1] entitled "oneM2M specification update and maintenance control procedure" shall apply to this Recommendation. + +# Appendix I + +## Example procedures + +(This appendix does not form an integral part of this Recommendation.) + +## I.1 AE registration and creation of a container child resource + +Figure I.1-1 illustrates a message flow for registration of an ADN-AE to an IN-CSE as described in clause 7.3.5.2.1 of oneM2M TS-0004 [ITU-T Y.4500.4] with WebSocket mapping and subsequent creation of a child resource. + +![Sequence diagram showing the message flow for registration of an ADN-AE to an IN-CSE. The diagram involves two lifelines: AE and IN-CSE. The process starts with a box labeled '1) TCP connection and security association establishment' spanning both lifelines. Then, message 2 '2) WSS client handshake' goes from AE to IN-CSE. Message 3 '3) WSS server handshake' goes from IN-CSE to AE. Message 4 '4) Create AE request primitive' goes from AE to IN-CSE. A box labeled '5) Check access controls, process request and create resource for originating AE' is on the IN-CSE lifeline. Message 6 '6) Response primitive' goes from IN-CSE to AE. Message 7 '7) Create Container request primitive' goes from AE to IN-CSE. A box labeled '8) Check access controls, process request and create resource for originating AE' is on the IN-CSE lifeline. Message 9 '9) Response primitive' goes from IN-CSE to AE. A dashed box labeled '10) Other procedures' spans both lifelines. The diagram is labeled Y.4500.20(18)_Fl.1-1 at the bottom right.](898fb89a50d9ec1dfb4e425c816976a7_img.jpg) + +``` +sequenceDiagram + participant AE + participant IN-CSE + Note over AE, IN-CSE: 1) TCP connection and security association establishment + AE->>IN-CSE: 2) WSS client handshake + IN-CSE-->>AE: 3) WSS server handshake + AE->>IN-CSE: 4) Create AE request primitive + Note over IN-CSE: 5) Check access controls, process request and create resource for originating AE + IN-CSE-->>AE: 6) Response primitive + AE->>IN-CSE: 7) Create Container request primitive + Note over IN-CSE: 8) Check access controls, process request and create resource for originating AE + IN-CSE-->>AE: 9) Response primitive + Note over AE, IN-CSE: 10) Other procedures +``` + +Y.4500.20(18)\_Fl.1-1 + +Sequence diagram showing the message flow for registration of an ADN-AE to an IN-CSE. The diagram involves two lifelines: AE and IN-CSE. The process starts with a box labeled '1) TCP connection and security association establishment' spanning both lifelines. Then, message 2 '2) WSS client handshake' goes from AE to IN-CSE. Message 3 '3) WSS server handshake' goes from IN-CSE to AE. Message 4 '4) Create AE request primitive' goes from AE to IN-CSE. A box labeled '5) Check access controls, process request and create resource for originating AE' is on the IN-CSE lifeline. Message 6 '6) Response primitive' goes from IN-CSE to AE. Message 7 '7) Create Container request primitive' goes from AE to IN-CSE. A box labeled '8) Check access controls, process request and create resource for originating AE' is on the IN-CSE lifeline. Message 9 '9) Response primitive' goes from IN-CSE to AE. A dashed box labeled '10) Other procedures' spans both lifelines. The diagram is labeled Y.4500.20(18)\_Fl.1-1 at the bottom right. + +**Figure I.1-1 – Message flow for registration of an ADN-AE to an IN-CSE** + +In the example considered, the WebSocket protocol is used to send a JSON-serialized request and response primitives in text format. + +The message flow may look as follows. + +- 1) TCP connection establishment and security association establishment as defined in oneM2M TS-0003 [ETSI TS 118 103] based on a TLS handshake procedure is accomplished. +- 2) The WSS client sends, for example, the following opening handshake message, offering to use either JSON or XML serialization of primitives: + +``` +GET / HTTP/1.1 +``` + +``` +Host: mncse1234.net:9000 +``` + +``` +Upgrade: WebSocket +``` + +``` + +Connection: Upgrade + +Sec-WebSocket-Key: ud63env87LQLd4uIV20/oQ== + +Sec-WebSocket-Protocol: oneM2M.R2.0.json, oneM2M.R2.0.xml + +Sec-WebSocket-Version: 13 + +``` + +- 3) The WSS server selects the use of JSON serialization and responds with the following handshake message: + +``` + +Request-Version: HTTP/1.1 + +Status-Code: 101 + +Response-Phrase: Switching Protocols + +Upgrade: WebSocket + +Connection: Upgrade + +Sec-WebSocket-Protocol: oneM2M.R2.0.json + +Sec-WebSocket-Accept: FuSSKANnI7C/6/FrPMt70mfBY8E= + +``` + +- 4) The AE sends the following request primitive in textual JSON-serialized format: + +``` + +{"op":1,"to":"//example.net/mncse1234","rqi":"A1000", +"rcn":7,"pc":{"m2m:ae":{"rn":"SmartHomeApplication", "api":"Na56", "apn":"app1234"}}, "ty":2} + +``` + +The above JSON object is mapped by the WS client into a data frame of the WebSocket Framing protocol in utf-8 text format, the 4-bit opcode in the WebSocket Base Framing Protocol of the first message fragment is set to x1 ("text frame"). + +- 5) The IN-CSE validates the privilege of the originator to create an resource, and accepts the request to create the resource. +- 6) The IN-CSE acknowledges the success of the request by responding the following JSON-serialized response primitive. The response primitive includes all attributes of instance created in Step 5. + +``` + +{"rsc":2001,"rqi":"A1000","pc":{"m2m:ae":{"rn":"SmartHomeApplication", "ty":2, "ri":"ae1", "api":"Na56", "apn":"app1234", "pi":"cb1", "ct":"20160506T153208", +"lt":"20160506T153208", "acpi":["acp1", "acp2"], "et":"20180506T153208", "aei":"S_SAH25"}}} + +``` + +The above JSON object is mapped by the WS server into a data frame of the WebSocket Framing protocol in utf-8 text format, the 4-bit opcode in the WebSocket Base Framing Protocol of the first message fragment is set to x1 ("text frame"). + +- 7) The AE sends the following request primitive in textual JSON-serialized format to create a resource as a child resource of the created in Step 5: + +``` + +{"op":1,"to":"//example.net/mncse1234/SmartHomeApplication", +"rqi":"A1001", "rcn":7, "pc":{"m2m:cnt":{"rn":"SmartHomeContainer", "mbs":100000, +"mni":500}}, "ty":3} + +``` + +The above JSON object is mapped by the WS client into a data frame of the WebSocket Framing protocol in utf-8 text format, the 4-bit opcode in the WebSocket Base Framing Protocol of the first message fragment is set to x1 ("text frame"). + +- 8) The IN-CSE validates the privilege of the originator to create an resource under the resource created in step 5, and accepts the request to create the resource. +- 9) The IN-CSE acknowledges the success of the request by responding the following JSON-serialized response primitive + +``` + +{"rsc":2001,"rqi":"A1001","pc":{"m2m:cnt":{"rn":"SmartHomeContainer", +"ty":3, "ri":"cnt1", "pi":"ae1", "ct":"20160506T154048", +"lt":"20160506T154048", "acpi":["acp1"], "et":"20180506T154048", "cr":"S_SAH25", "st":0, "mni":500, "mbs":100000, "cni":0, "cbs":0, "mia":3600}}} + +``` + +The above JSON object is mapped by the WS server into a data frame of the WebSocket framing protocol in utf-8 text format, the 4-bit opcode in the WebSocket base framing protocol of the first message fragment is set to x1 ("text frame"). + +- 10) Primitives of further subsequent CRUDN procedures may be transferred to the existing WebSocket connection. + +# Bibliography + +- [b-ITU-T Y.4500.11] Recommendation ITU-T Y.4500.11 (2018), *oneM2M – Common terminology*. +- [b-ATIS.oneM2M.TS0020V200] ATIS.oneM2M.TS0020V200-2016, *WebSocket protocol binding*. +- [b-ETSI TS 118 120] ETSI TS 118 120 (2016), *oneM2M; WebSocket Protocol Binding – (oneM2M TS-0020 version 2.0.0 Release 2)*. +- [b-TSDSI STD T1.oneM2M TS-0020-2.0.0] TSDSI STD T1.oneM2M TS-0020-2.0.0 V1.0.0 (2017), *WebSocket protocol binding*. +- [b-TTAT.MM-TS.0020 v2.0.0] TTAT.MM-TS.0020 v2.0.0 (2017), *oneM2M - WebSocket protocol binding v2.0.0*. +- [b-TTC TS-M2M-0020v2.0.0] TTC TS-M2M-0020v2.0.0 (2016), *oneM2M technical specification -- WebSocket protocol binding*. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4562-202112-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4562-202112-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..fa7fabd05c773e64d2223ff93a16edc5ba642d92 --- /dev/null +++ b/marked/Y/T-REC-Y.4562-202112-I_PDF-E/raw.md @@ -0,0 +1,680 @@ + + +I n t e r n a t i o n a l   T e l e c o m m u n i c a t i o n   U n i o n + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +# Y.4562 + +(12/2021) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Services, applications, computation and data processing + +# --- **Functions and metadata of spatiotemporal information service for smart cities** + +Recommendation ITU-T Y.4562 + +## ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3599 | +| BIG DATA | Y.3600–Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.4562 + +# Functions and metadata of spatiotemporal information service for smart cities + +## Summary + +In a city, there are the basic elements like people, things and events. Their mobility and positioning are increasingly dependent upon information related to location and/or time, supported by a spatiotemporal information service (STIS). Although related services have already emerged and been provided, the lack of standards may affect their sharing, service capabilities, and interoperability. Therefore, a standard is needed to specify what kinds of STIS should be provided for people, things and events in smart cities, including the functions and metadata of STIS. + +Recommendation ITU-T Y.4562 introduces the concepts of STIS for smart cities, and specifies the functions and metadata of STIS. The functions and metadata of STIS can support the applications of STIS for smart cities, so as to better meet the needs of people, things and events. The functions and metadata are universal and can be applied to any cities in the world. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4562 | 2021-12-14 | 20 | 11.1002/1000/14833 | + +## Keywords + +Internet of things (IoT), smart cities, spatiotemporal information service (STIS). + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-------------------------------------------------------------------------|-------------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of STIS for smart cities ..... | 2 | +| 7 | Functions of STIS for smart cities ..... | 4 | +| | 7.1 Functions of catalogue service for spatiotemporal information ..... | 4 | +| | 7.2 Function of positioning service ..... | 4 | +| | 7.3 Function of navigation service ..... | 4 | +| | 7.4 Function of timing service..... | 4 | +| | 7.5 Functions of place data service..... | 4 | +| | 7.6 Functions of spatiotemporal analysis service ..... | 5 | +| 8 | Metadata of STIS for smart cities..... | 5 | +| | 8.1 Identification..... | 5 | +| | 8.2 Characteristics ..... | 5 | +| | 8.3 Capability ..... | 6 | +| | 8.4 Quality ..... | 6 | +| | 8.5 Geolocation..... | 6 | +| | 8.6 Working..... | 7 | +| | 8.7 Usage ..... | 7 | +| | 8.8 Administration..... | 8 | +| | 8.9 Constraint ..... | 8 | +| | Appendix I – STIS use case for smart cities ..... | 9 | +| | Bibliography..... | 11 | + + + +# Recommendation ITU-T Y.4562 + +# Functions and metadata of spatiotemporal information service for smart cities + +# 1 Scope + +This Recommendation specifies the functions and metadata of a spatiotemporal information service (STIS) for smart cities. + +The scope of this Recommendation includes: + +- Overview of STIS for smart cities; +- Functions of STIS for smart cities; +- Metadata of STIS for smart cities + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of Internet of things*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 thing** [ITU-T Y.4000]: With regard to the Internet of things, this is an object of the physical world (physical things) or the information world (virtual things), which is capable of being identified and integrated into communication networks. + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 spatiotemporal information service (STIS):** A service that provides information related to location and/or time to meet the mobility and positioning needs of people, things and events through the Internet. + +NOTE – STIS can be categorized as six services, i.e., catalogue service, positioning service, navigation service, timing service, place data service, and spatiotemporal analysis service. + +**3.2.2 geographical feature:** An abstraction of a real-world phenomenon associated with a location relative to the Earth. + +NOTE – Geographical feature can be represented by points, lines, or polygons. + +**3.2.3 geographical coverage:** A geographical feature that acts as a function to return values from its range for any direct position within its spatiotemporal domain. + +NOTE – Geographical coverage usually represents a single layer such as roads, lakes, inhabited areas, and land use, etc., as well as an integration of these layers. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------|------------------------------------| +| 3D | Three Dimensional | +| GIS | Geographic Information System | +| IoT | Internet of Things | +| MTBF | Mean Time Between Failures | +| SOAP | Simple Object Access Protocol | +| STIS | Spatiotemporal Information Service | +| WGS84 | World Geodetic System 1984 | +| XML | Extensible Markup Language | + +# 5 Conventions + +None. + +# 6 Overview of STIS for smart cities + +Spatiotemporal information service (STIS) refers to a service that provides information related to location and/or time to meet the mobility and positioning needs of people, things and events through the Internet, and STIS for smart cities supports urban management, education, health, transportation, public utilities, public safety and other activities in a city. + +The STIS for smart cities can be categorized into six services (see Figure 1): + +- 1) Catalogue service: To manage all the other services, making them discoverable to users in smart cities. +- 2) Positioning service: To serve a person, a thing or an event his/her/its location in smart cities. +- 3) Navigation service: To serve a citizen the route from an origin to a destination, which is now a necessity of people's everyday lives in smart cities. +- 4) Timing service: To provide time and frequency information to users in smart cities. +- 5) Place data service: To provide geographical data, which is a key and basic service that supports the management of smart cities. +- 6) Spatiotemporal analysis service: To provide spatial analysis and spatiotemporal statistics, which is nowadays a frequently used service in urban management. + +![Diagram showing the six services of STIS for smart cities. A central oval labeled 'STIS for smart cities' is connected to six surrounding rounded rectangles: 'Catalogue service for spatio-temporal information', 'Positioning service', 'Navigation service', 'Timing service', 'Place data service', and 'Spatio-temporal analysis service'.](731f533b0599c8e42a063f06e4332045_img.jpg) + +``` +graph TD; STIS((STIS for smart cities)) --- Catalogue(Catalogue service for spatio-temporal information); STIS --- Positioning(Positioning service); STIS --- Navigation(Navigation service); STIS --- Timing(Timing service); STIS --- PlaceData(Place data service); STIS --- Analysis(Spatio-temporal analysis service); +``` + +Y.4562(21) + +Diagram showing the six services of STIS for smart cities. A central oval labeled 'STIS for smart cities' is connected to six surrounding rounded rectangles: 'Catalogue service for spatio-temporal information', 'Positioning service', 'Navigation service', 'Timing service', 'Place data service', and 'Spatio-temporal analysis service'. + +**Figure 1 – Six services of STIS for smart cities** + +Each service has a set of related application functions that can be programmatically invoked over the Internet by applications in smart cities to meet needs of mobility and positioning. + +Each service can be described by relevant metadata. To better describe the six services of STIS for smart cities in a unified way, five basic metadata components and nine kinds of metadata elements are identified. + +The five basic metadata components of a STIS epitomize the common attributes including tag, performance, state, usage and accessibility, which constitute a common reusable service model. Further, the five basic metadata components are divided into nine kinds of metadata elements, including identification, characteristics, capability, quality, geolocation, working, usage, administration, and constraint. + +The tag, performance, state, usage, and accessibility components of a service are supported by the identification and characteristics, capability and quality, geolocation and working, usage, and administration and constraint information, respectively. The basic components could be formalized by detailed data types. The relationship between the five metadata components and the nine metadata elements is shown in Figure 2. + +![Figure 2: Organization structure of metadata of STIS for smart cities. The diagram shows a hierarchical structure. At the top is a box labeled 'Organization structure of metadata of STIS for smart cities'. It branches down to five boxes: 'Tag component', 'Performance component', 'State component', 'Usage component', and 'Accessibility component'. Below these, there are nine boxes representing metadata elements: 'Identification', 'Characteristics', 'Capability', 'Quality', 'Geolocation', 'Working', 'Usage', 'Administration', and 'Constraint'. Dashed arrows indicate the mapping: 'Tag component' maps to 'Identification' and 'Characteristics'; 'Performance component' maps to 'Capability' and 'Quality'; 'State component' maps to 'Geolocation' and 'Working'; 'Usage component' maps to 'Usage'; and 'Accessibility component' maps to 'Administration' and 'Constraint'.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +``` + +graph TD + Root[Organization structure of metadata of STIS for smart cities] --> Tag[Tag component] + Root --> Performance[Performance component] + Root --> State[State component] + Root --> Usage[Usage component] + Root --> Accessibility[Accessibility component] + + Tag -.-> Identification[Identification] + Tag -.-> Characteristics[Characteristics] + Performance -.-> Capability[Capability] + Performance -.-> Quality[Quality] + State -.-> Geolocation[Geolocation] + State -.-> Working[Working] + Usage -.-> Usage[Usage] + Accessibility -.-> Administration[Administration] + Accessibility -.-> Constraint[Constraint] + +``` + +Y.4562(21) + +Figure 2: Organization structure of metadata of STIS for smart cities. The diagram shows a hierarchical structure. At the top is a box labeled 'Organization structure of metadata of STIS for smart cities'. It branches down to five boxes: 'Tag component', 'Performance component', 'State component', 'Usage component', and 'Accessibility component'. Below these, there are nine boxes representing metadata elements: 'Identification', 'Characteristics', 'Capability', 'Quality', 'Geolocation', 'Working', 'Usage', 'Administration', and 'Constraint'. Dashed arrows indicate the mapping: 'Tag component' maps to 'Identification' and 'Characteristics'; 'Performance component' maps to 'Capability' and 'Quality'; 'State component' maps to 'Geolocation' and 'Working'; 'Usage component' maps to 'Usage'; and 'Accessibility component' maps to 'Administration' and 'Constraint'. + +**Figure 2 – Organization of metadata of STIS for smart cities** + +- 1) Identification element: It includes keywords, service ID, service name, service type, and service form which describe the general information of a service to identify it uniquely. +- 2) Characteristics element: It includes function, environment, and communication interface that describe the characteristics of a service. +- 3) Capability element: It includes the applying field, suitable tasks, and suitability information of a service. +- 4) Quality element: It includes quality of service (QoS) information, including service performance, service price, service reliability, service response time, and service reputation. +- 5) Geolocation element: It includes time reference, space reference, longitude, latitude, altitude, current time, life span, mean time between failures (MTBF), and valid time that describe the real location and time of a service. +- 6) Working element: It includes the using state, fault state, and resource consumption of a service, which can determine whether a service is available at a task moment. +- 7) Usage element: It includes the service address, service inputs, service outputs, service access mode, and service connection. +- 8) Administration element: It includes contactor, contactor role, contact address, contact mode, history, and document information that note the important information useable for service management. +- 9) Constraint element: It includes access role, access level, legal constraints and security constraints information, which indicate the service accessibility. + +# **7 Functions of STIS for smart cities** + +## **7.1 Functions of catalogue service for spatiotemporal information** + +The catalogue service for spatiotemporal information is responsible for registration, discovery and invocation of spatiotemporal information. It provides the following functions: + +- 1) Registration +Spatiotemporal information registration function provides the ability to register metadata of spatiotemporal information to a web server, which is the basis of discovery of spatiotemporal information through the web. +- 2) Discovery +Spatiotemporal information discovery function provides the ability to discover and retrieve metadata of spatiotemporal information from a web server. Based on the metadata, the spatiotemporal information itself can be retrieved. +- 3) Invocation +Spatiotemporal information invocation function provides the ability to invoke and utilize spatiotemporal information. + +## **7.2 Function of positioning service** + +- 1) Positioning +The positioning function provides the ability to determining a person's, a thing's or an event's location. + +## **7.3 Function of navigation service** + +- 1) Navigation +The navigation function provides the ability to instruct a citizen or an object how to move from one place to another. + +## **7.4 Function of timing service** + +- 1) Timing +The timing function provides the ability to offer time and frequency information to users. + +## **7.5 Functions of place data service** + +The place data service is responsible for providing service of geographical data of a place in a specified form. It consists of the following four functions: + +- 1) Map +Map function provides the ability to serve (over the Internet) geo-referenced map images which a map server generates using data from a geographic information system (GIS) database [b-OGC 01-068r3]. +- 2) Geographical feature +Geographical feature function provides the ability to request for geographical features (e.g., points, lines, or polygons) across the web using platform-independent calls. It offers direct fine-grained access to geographical information at the geographical feature and geographical feature property level [b-OGC 11-122r1]. +- 3) Geographical coverage +Geographical coverage function provides the ability to access geographical coverage data, which stores a set of thematically associated data considered to be a unit, in forms that are + +useful for client-side rendering, as input to processing and decision-making models, and for other clients [b-OGC 09-110r3]. + +### 4) Three-dimensional (3D) model + +3D model function provides the ability to access the 3D model of a place (e.g., over-ground, underground, indoor or outdoor), which is a representation of a real-world object in a map or scene with elevation values (z-values) stored within the feature's geometry. + +## 7.6 Functions of spatiotemporal analysis service + +The analysis service is responsible for providing spatial analysis [b-OGC 05-007r7], and spatiotemporal statistics service. It consists of the following functions: + +#### (1) Spatial analysis + +Spatial analysis function provides the ability to analyse spatial data, such as road network analysis, shortest path analysis, hotspot analysis, etc. The spatial analysis service is performed to derive additional information from spatiotemporal data for better decision-making. + +#### (2) Spatiotemporal statistics + +Spatiotemporal statistics function provides the ability to conduct statistics for random variables spread out in space and evolving in time. + +# 8 Metadata of STIS for smart cities + +## 8.1 Identification + +Identification includes keywords, service ID, service name, service type, and service form items, as detailed in the following: + +### 1) Keywords + +This metadata item refers to the words that can describe the main characteristics of a service. + +### 2) Service ID + +This metadata item refers to the unique identifier of a service. + +### 3) Service name + +This metadata item refers to the name of a service. + +### 4) Service type + +This metadata item refers to the type of a service. The type options include catalogue service, positioning service, navigation service, timing service, place data service, and spatiotemporal analysis service. + +### 5) Service form + +This metadata item refers to the form of a service, indicating whether a service is pay-as-you-go or provided for free. + +## 8.2 Characteristics + +Characteristics includes function, environment, and communication interface items, as detailed in the following: + +### 1) Function + +This metadata item refers to the descriptive information of what a service can be used for. + +### 2) Environment + +This metadata item represents characteristics of a platform to support a service. + +### 3) Communication interface + +This metadata item indicates the interface through which a service is provided, such as RESTful or simple object access protocol (SOAP). + +## 8.3 Capability + +Capability includes applying field, suitable tasks, and suitability items, as detailed in the following. + +### 1) Applying field + +This metadata item refers to the fields a service can be applied to, such as urban management, education, health, transportation, public utilities, and public safety, etc. + +### 2) Suitable tasks + +This metadata item refers to the tasks that a service is suitable for, such as offering current time, offering current location, and providing the shortest route from one place to another. + +### 3) Suitability + +This metadata item refers to the degree to which a service is suitable for a specific task. It could be represented by grades, scores, or percentages. + +## 8.4 Quality + +Quality includes service performance, service price, service reliability, service response time, and service reputation items, as detailed in the following: + +#### 1) Service performance + +This metadata item refers to the performance of a service (e.g., uptime and availability of the service as well as resource utilization). + +### 2) Service price + +This metadata item refers to the cost of using a service (e.g., 30 \$/month). + +### 3) Service reliability + +This metadata item refers to the reliability of a service, which represents the correct rate of request for the service per unit time. + +### 4) Service response time + +This metadata item refers to the response time when a service is invoked (e.g., 1 ms). + +### 5) Service reputation + +This metadata item refers to the reputation of a service, which is a graded evaluation of the quality of a service. For example, in a 5-grades evaluation scheme, a service is graded 5 for the best service reputation, and 1 for the worst service reputation. + +## 8.5 Geolocation + +Geolocation includes time reference, space reference, longitude, latitude, altitude, current time, life span, MTBF, and valid time items, as detailed in the following: + +#### 1) Time reference + +This metadata item indicates the time reference system of a service (e.g., Greenwich mean time). + +### 2) Space reference + +This metadata item indicates the spatial reference system of a service (e.g., World geodetic system 1984 (WGS84)). + +#### 3) Longitude + +This metadata item refers to the longitude extent provided by a service. + +#### 4) Latitude + +This metadata item refers to the latitude extent provided by a service. + +#### 5) Altitude + +This metadata item refers to the altitude extent provided by a service. + +#### 6) Current time + +This metadata item refers to the current timestamp of a service. + +#### 7) Life span + +This metadata item refers to the actual period of time from the creation of a service to the destruction of the service. For example, a service is created on 2010-09-10 00:00:00, and destroyed on 2021-09-10 00:00:00. + +#### 8) MTBF + +This metadata item refers to the mean time between failures of a service (e.g., 100,000 hours). + +#### 9) Valid time + +This metadata item refers to a time period during which the service is valid. For example, a service is valid during the time period from 2011-08-10 07:00:00 to 2011-08-10 09:00:00. + +## 8.6 Working + +Working includes using state, fault state, and resource consuming items, as detailed in the following. + +#### 1) Using state + +This metadata item refers to the using state of a service, being idle or working. + +### 2) Fault state + +This metadata item refers to the fault state of a service, being normal or at fault. + +### 3) Resource consuming + +This metadata item describes the consumption of the storage, computation and communication resources when a service is running. + +## 8.7 Usage + +Usage includes service address, service inputs, service outputs, service access mode, and service connection items, as detailed in the following. + +### 1) Service address + +This metadata item refers to the web address to access a service. + +### 2) Service inputs + +This metadata item refers to the input parameters of a service. + +### 3) Service outputs + +This metadata item refers to the output parameters of a service. + +### 4) Service access mode + +This metadata item refers to the access mode of a service (e.g., through a GET request or POST request). + +### 5) Service connection + +This metadata item refers to the connection information of a service, which specifies the links. + +## **8.8 Administration** + +Administration includes contactor, contactor role, contact address, contact mode, history, and document items, as detailed in the following. + +- 1) **Contactor** +This metadata item refers to the relevant contactor's information to manage a service (e.g., contactor's name, department, contacting information, etc.). +- 2) **Contactor role** +This metadata item refers to the role of a contactor of the service management, being a person or a responsible party. +- 3) **Contact address** +This metadata item refers to the contact address of the person or responsibility party who provides/manages a service. +- 4) **Contact mode** +This metadata item refers to the contact mode of a service (e.g., through phone, fax, and email, etc.). +- 5) **History** +This metadata item refers to the management history of a service. +- 6) **Document** +This metadata item refers to the relevant management documentation for a service. These management documents are usually stored in a web server and indicated by hyperlinks. + +## **8.9 Constraint** + +Constraint includes access role, access level, legal constraints, and security constraints items, as detailed in the following. + +- 1) **Access role** +This metadata item refers to the access role of a service, including service provider or service consumer. +- 2) **Access level** +This metadata item refers to the access level of a service, being accessible and inaccessible. +- 3) **Legal constraints** +This metadata item refers to the restrictions and legal prerequisites for accessing and using the spatiotemporal information service. +- 4) **Security constraints** +This metadata item refers to the handling restrictions imposed on the spatiotemporal information service for national security, financial or commercial sensitivity, or privacy concerns. + +# Appendix I + +## STIS use case for smart cities + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides a typical use case to illustrate the concept of the STIS for smart cities, especially the link between the functions and metadata of STIS for smart cities, and how they are used in the smart cities scenario. + +The use case used here is a citizen's travel in the city (see Figure I.1). For example, a citizen wants to go to place B from place A, and he/she will set out at a given time and needs to arrive at the destination in a given period of time. To arrive there on time, before setting out, he/she uses a navigation software (a mobile App or web App) to find the nearest route by specifying where he/she is right now, where he/she wants to go, and at what time he/she will set out. Then, the navigation software returns the route that takes the shortest period of time, and he/she will follow the route to go to the destination. + +![Schematic diagram of the use case of a citizen's travel. A citizen uses a Web App or Mobile App to send a request to the STIS for smart cities. The STIS provides four services: Catalogue service, Positioning service, Spatio-temporal analysis service, and Navigation service. Each service is linked to a function and a metadata file.](9b6b5924b48bf2fd5f347f88f06f45b3_img.jpg) + +The diagram illustrates the use case of a citizen's travel within the STIS for smart cities framework. It is organized into three main columns: **Functions**, **STIS for smart cities**, and **Metadata**. + +**Functions:** + +- Registration, discovery, and invocation of below services. +- Providing information of the current location and destination. +- Spatial analysis which provides the route with the shortest time. +- Providing the guiding information to instruct a citizen to follow the given route to arrive at the destination. + +**STIS for smart cities:** + +- Catalogue service for Spatio-temporal information:** Represented by a server icon. It provides the registration function and is registered in the metadata. +- Positioning service:** Represented by a location pin icon. It provides the function of providing current location and destination information. It is described by a metadata file. +- Spatio-temporal analysis service:** Represented by a route map icon. It provides the function of spatial analysis for the shortest route. It is described by a metadata file. +- Navigation service:** Represented by a navigation arrow icon. It provides the function of providing guiding information. It is described by a metadata file. + +**Metadata:** + +- Each service (Positioning, Spatio-temporal analysis, and Navigation) is described by a **Metadata file**, represented by a document icon. + +**Flow:** + +- A **Citizen** (represented by a person icon) **Uses** a **Web App** or **Mobile App**. +- The app sends a **Request** to the **STIS for smart cities**. +- The STIS services interact with each other: Catalogue service provides to Positioning service, which provides to Spatio-temporal analysis service, which provides to Navigation service. +- Each service also provides a function to the user (Citizen). + +Y.4562(21) + +Schematic diagram of the use case of a citizen's travel. A citizen uses a Web App or Mobile App to send a request to the STIS for smart cities. The STIS provides four services: Catalogue service, Positioning service, Spatio-temporal analysis service, and Navigation service. Each service is linked to a function and a metadata file. + +**Figure I.1 – Schematic diagram of the use case of a citizen's travel** + +In this case, a citizen uses a navigation software to find the route with the shortest time to go to the destination. It involves the following services of STIS for smart cities with corresponding functions (see Figure I.2): + +- Positioning service, with the function of providing position information of his/her current location and the destination. + +- b) Spatial analysis service, with the function of spatial analysis which provides the route with the shortest time. +- c) Navigation service, with the function of providing the guiding information to instruct the citizen to follow the given route to arrive at the destination. + +For each of the above services of the STIS for smart cities, five metadata components (tag, performance, state, usage, and accessibility) are used, which are further divided into nine metadata elements (identification, characteristics, capability, quality, geolocation, working, usage, administration, and constraint) (see Figure 2). The metadata of a service is instantiated and formalized into an XML file by following the metadata structure and filling in a specific value for each metadata element. The metadata file in XML format is used to describe the service instance. By registering metadata files in the catalogue service for spatiotemporal information deployed on a web server, these services can be discovered easily and invoked in an interoperable way to provide the above functions. + +![Sequence diagram showing the steps of invoking services and their functions in the use case of a citizen's travel. The diagram involves a User, Positioning service, Spatio-temporal analysis service, Navigation service, and Catalogue service for spatio-temporal information.](0f985b39edc1d52ba3600c438bc8f0a5_img.jpg) + +``` + +sequenceDiagram + actor User + participant PS as Positioning service + participant STAS as Spatio-temporal analysis service + participant NS as Navigation service + participant CS as Catalogue service for spatio-temporal information + + Note left of User: (Needs to travel from location A to location B) + + CS->>CS: Registration function + CS->>CS: Discovery function + + User->>CS: Step 1: Request for related services + CS-->>User: Response: Related Services + + User->>PS: Step 2: Request for positions of location A and B + PS->>PS: Positioning function + PS-->>User: Response: Positions of location A and B + + User->>STAS: Step 3: Request for the shortest route from A to B + STAS->>STAS: Spatial analysis function + STAS-->>User: Response: Route with the shortest time + + User->>NS: Step 4: Request for the guiding information to move along the route with the shortest time + NS->>NS: Navigation function + NS-->>User: Response: Guiding information to move along the route with the shortest time + +``` + +The diagram illustrates the sequence of service invocations for a citizen's travel use case. It involves five main components: a User, a Positioning service, a Spatio-temporal analysis service, a Navigation service, and a Catalogue service for spatio-temporal information. The process begins with the User needing to travel from location A to location B. The Catalogue service performs internal Registration and Discovery functions. The User then sends a request for related services to the Catalogue service (Step 1), which responds with related services. Next, the User sends a request for the positions of location A and B to the Positioning service (Step 2), which performs a Positioning function and responds with the positions. Then, the User sends a request for the shortest route from A to B to the Spatio-temporal analysis service (Step 3), which performs a Spatial analysis function and responds with the route. Finally, the User sends a request for guiding information to the Navigation service (Step 4), which performs a Navigation function and responds with the guiding information. The reference Y.4562(21) is noted at the bottom right. + +Sequence diagram showing the steps of invoking services and their functions in the use case of a citizen's travel. The diagram involves a User, Positioning service, Spatio-temporal analysis service, Navigation service, and Catalogue service for spatio-temporal information. + +**Figure I.2 – The steps of invoking services and their functions in the use case of a citizen's travel** + +## Bibliography + +- [b-OGC 01-068r3] OpenGIS Implementation Specification (2002), *Web Map Service Implementation Specification*. +- [b-OGC 05-007r7] OpenGIS Standard (2007), *OpenGIS Web Processing Service*. +- [b-OGC 09-110r3] OGC Interface Standard (2010), *OGC WCS 2.0 Interface Standard – Core*. +- [b-OGC 11-122r1] OGC Best Practice (2012), *Gazetteer Service – Application Profile of the Web Feature Service Best Practice*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| 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functional model to support data interoperability in Internet of things environments** + +Recommendation ITU-T Y.4563 + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +### CLOUD COMPUTING + +### BIG DATA + +### QUANTUM KEY DISTRIBUTION NETWORKS + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|----------------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +For further details, please refer to the list of ITU-T Recommendations. + +## Recommendation ITU-T Y.4563 + +# Requirements and functional model to support data interoperability in Internet of things environments + +## Summary + +Recommendation ITU-T Y.4563 specifies the requirements and functional model to support data interoperability in Internet of things environments. Relevant requirements and technologies that support data interoperability have been proposed here. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4563 | 2021-11-29 | 20 | 11.1002/1000/14819 | + +## Keywords + +Data interoperability, Internet of things, ontology, semantic web. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Overview of data interoperability in IoT environments ..... | 3 | +| 7 Requirements to support data interoperability..... | 5 | +| 7.1 Requirements for semantic data interoperability..... | 5 | +| 7.2 Requirements for syntactical data interoperability..... | 5 | +| 7.3 Requirements for object abstraction representation interoperability..... | 6 | +| 8 Functional model to support data interoperability..... | 6 | +| 8.1 Semantic mediation function..... | 7 | +| 8.2 Syntactical mediation function..... | 7 | +| 8.3 Object abstraction representation mediation function..... | 8 | +| 8.4 Mediation repositories ..... | 8 | +| 9 Functional components of the semantic mediation function ..... | 8 | +| 9.1 Semantic data description registration..... | 8 | +| 9.2 Semantic data translation..... | 9 | +| 9.3 API request query translation ..... | 10 | +| 9.4 Semantic annotation ..... | 11 | +| 9.5 Semantic alignment and linking ..... | 11 | +| 9.6 Semantic validation ..... | 12 | +| 10 Functional components of syntactic mediation functions ..... | 13 | +| 10.1 Syntax description ..... | 13 | +| 10.2 Syntax interpreter ..... | 14 | +| 10.3 Schema translation sub-function ..... | 14 | +| 10.4 Syntactical validation sub-function ..... | 14 | +| 10.5 Interaction of a syntactical mediation sub-function ..... | 14 | +| 11 Functional components of an object abstraction representation mediation..... | 15 | +| 11.1 Data classification ..... | 16 | +| 11.2 Data integration ..... | 16 | +| 11.3 Metadata description and coding..... | 16 | +| 11.4 Interaction of object abstraction representation mediation functions..... | 16 | +| 12 Functional components of the mediation repositories ..... | 17 | +| 12.1 Base ontology repository ..... | 17 | + +| | Page | +|--------------------------------------------------------------------------------------------------------------------|-------------| +| 12.2 Domain ontology repository ..... | 17 | +| 12.3 Semantic registry ..... | 18 | +| 12.4 Syntactical description formats DB ..... | 18 | +| Annex A – Interoperability with web of objects (WoO) based model ..... | 19 | +| A.1 Web of objects based IoT domain ..... | 19 | +| A.2 Interoperability interface ..... | 20 | +| A.3 External IoT platform ..... | 20 | +| Annex B – Data interoperability of semantic and non-semantic data ..... | 21 | +| B.1 Data processing for semantic and non-semantic data interoperability ..... | 21 | +| B.2 Transformation of a non-semantic to the semantic data schema ..... | 23 | +| Appendix I – Ontologies and description models for IoT data interoperability ..... | 24 | +| I.1 Semantic sensor ontology model (A joint W3C and OGC standard) ..... | 24 | +| I.2 Web of things (WoT) description model ..... | 25 | +| I.3 Hierarchical classification of things ..... | 25 | +| Appendix II – Provision of interoperability among applications across buildings – Project Haystack approach ..... | 28 | +| Appendix III – Use case of data interoperability provisioning in web of objects (WoO) based IoT environments ..... | 30 | +| III.1 VO information model in WoO based IoT environment ..... | 30 | +| III.2 CVO information model in WoO based IoT environment ..... | 31 | +| III.3 Semantic ontology for data interoperability ..... | 31 | +| Appendix IV – Common data model (CDM) to transform into a common model ..... | 35 | +| Bibliography ..... | 37 | + +# Recommendation ITU-T Y.4563 + +# Requirements and functional model to support data interoperability in Internet of things environments + +# 1 Scope + +This Recommendation addresses the requirements and functional model for data interoperability in Internet of things (IoT) environments. The scope of this Recommendation covers several key requirements with respect to data interoperability in IoT environments and many important elements to fulfil these requirements. Specifically, this document covers the following: + +- Overview of data interoperability in IoT environments; +- Requirements to support data interoperability; +- Functional model to support data interoperability; +- Functional components of the semantic mediation function; +- Functional components of the syntactic mediation function; +- Functional components of the object abstractions representation mediation function; +- Functional components of the interoperable data repositories. + +NOTE 1 – For data interoperability with the web of object (WoO) based on [ITU-T Y.4452] see Annex A + +NOTE 2 – For data interoperability approach of semantic and non-semantic data see Annex B. + +NOTE 3 – For data interoperability example through semantic mediation see Appendix III. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|----------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.4401] | Recommendation ITU-T Y.4401/Y.2068 (2015), Functional framework and capabilities of the Internet of things . | +| [ITU-T Y.4452] | Recommendation ITU-T Y.4452 (2016), Functional framework of web of objects . | +| [ITU-T Y.4459] | Recommendation ITU-T Y.4459 (2020), Digital entity architecture framework for Internet of things interoperability . | + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 web of objects (WoO)** [ITU-T Y.4452]: A concept and approach to incorporate virtual objects on the web and to facilitate the creation of IoT service components. + +NOTE – It provides a service architectural model to support simple development, deployment and operation of the IoT services on the web (for WoO example see Appendix III). + +### 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 common data model:** A data model that allows the transformation of data into a single common data format from different formats that are collected from heterogeneous sources. For transformation into a common format or a data model, common terminologies, vocabularies, schemes need to be followed. + +**3.2.2 data interoperability:** The ability of two or more systems or components to exchange data and to use the data that has been exchanged. + +**3.2.3 semantic data interoperability:** The ability of two or more computer systems to automatically interpret data exchanged between them meaningfully and accurately in order to produce useful results as defined by the end users of both systems. + +**3.2.4 semantic data model:** A conceptual model that includes the semantic information of instances. Semantic information of data defines the meaning of the data based on the context of the data. + +**3.2.5 syntactic data interoperability:** The ability of two or more systems capable of communicating and exchanging data through specified data formats and communication protocols. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|--------------------------------------| +| API | Application Programming Interface | +| CDM | Common Data Model | +| CSV | Comma Separated Values | +| CVO | Composite Virtual Object | +| HTML | HyperText Markup Language | +| HTTP | Hypertext Transfer Protocol | +| IoT | Internet of Things | +| JSON | JavaScript Object Notation | +| LOV | Linked Open Vocabularies | +| OCI | Object Classification Item | +| OWL | Web Ontology Language | +| RDF | Resource Description Framework | +| REST | Representational State Transfer | +| SKOS | Simple Knowledge Organization System | +| SOR | Semantic Ontology Registry | +| SSN | Semantic Sensor Network | +| TD | Thing Description | +| URI | Uniform Resource Identifier | +| VO | Virtual Object | +| WoO | Web of Objects | +| WoT | Web of Thing | + +# 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this Recommendation is to be claimed. + +The keywords "is recommended" indicate a requirement that is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +The keywords "is not recommended" indicate a requirement that is not recommended but which is not specifically prohibited. Thus, conformance with this specification can still be claimed even if this requirement is present. + +The keywords "can optionally" indicate an optional requirement that is permissible, without implying any sense of being recommended. This term is not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Overview of data interoperability in IoT environments + +Internet of things (IoT) envisages billions of objects connected to the internet where numerous services will be deployed to support scalable and interoperable applications. However, to achieve this vision as indicated in IoT interoperability observation of [ITU-T Y.4459], the most challenging issue is handling interoperability of information and its services. Data interoperability is the ability of applications to exchange data between IoT environments and the use of this exchanged data in a meaningful way to support service provisioning. In general, data interoperability is concerned with the capability of communications between IoT environments that might have different forms including transfer, exchange, transformation and integration of data. + +Data interoperability can be achieved in different ways to provide seamless integration of services in heterogeneous IoT environments (for examples of data interoperability approaches see Appendix III). Several types of interoperability can be considered to fully realize data interoperability in IoT platforms. These include semantic mediation, syntactical mediation, and object abstraction representation mediation. In order to achieve a high-level object abstraction interoperability, semantic and syntactical interoperability is necessary. + +Figure 6-1 illustrates a view of multiplatform data interoperability and the interaction of core components. Achieving interoperability from all these views results in organization level interoperability. The data representation in different formats and information models complicates its usability for IoT applications. This figure may include several new and legacy heterogeneous IoT systems such as buildings, transportation, and traffic management systems that make use of different devices and protocols to enable IoT services. There are three types of functions to realize data interoperability among IoT platforms, namely, the semantic mediation functions, syntactical mediation functions and object abstraction representation mediation functions. The details on these functions are described as follows and further elaborated in clause 9. + +![Figure 6-1: A view of data interoperability in heterogeneous IoT environments. The diagram shows two IoT platforms, A and B, interacting with users and sensors. Platform A (green) and Platform B (blue) both contain 'Services' (diamonds), 'Data model', 'Ontologies', 'API', 'Data formats', 'Schemas', 'Interfaces', and 'Data abstractions'. Three horizontal yellow arrows represent mediation layers: 'Semantic mediation' (top), 'Syntactical mediation' (middle), and 'Object abstraction representation mediation' (bottom). Red dashed arrows show users interacting with applications on both platforms. White arrows show IoT sensors and devices feeding into both platforms. A central yellow circle is positioned between the two platforms.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Figure 6-1: A view of data interoperability in heterogeneous IoT environments. The diagram shows two IoT platforms, A and B, interacting with users and sensors. Platform A (green) and Platform B (blue) both contain 'Services' (diamonds), 'Data model', 'Ontologies', 'API', 'Data formats', 'Schemas', 'Interfaces', and 'Data abstractions'. Three horizontal yellow arrows represent mediation layers: 'Semantic mediation' (top), 'Syntactical mediation' (middle), and 'Object abstraction representation mediation' (bottom). Red dashed arrows show users interacting with applications on both platforms. White arrows show IoT sensors and devices feeding into both platforms. A central yellow circle is positioned between the two platforms. + +Y.4563(21) + +**Figure 6-1 – A view of data interoperability in heterogeneous IoT environments** + +### – Semantic mediation: + +Semantic mediation is concerned with the meaning of data. Consensus on meaning is required while exchanging data across systems. Semantic mediation defines the true meaning of the contents that are generated by IoT devices and mutually agreed by a different system that uses these contents. The semantic interoperability will enable different stakeholders to access and understand data unambiguously. + +### – Syntactical mediation: + +Heterogeneous IoT devices generate data that are stored and used in different formats. Syntactical mediation is concerned with the data formats, syntax, and coding methods. Protocols used by IoT devices use standard syntax for the communication of data. These are expressed in diverse formats such as the Extensible markup language (XML), JavaScript object notation (JSON) or Hypertext markup language (HTML). + +### – Object abstraction representation mediation: + +Object abstraction representation mediation provides the functional capabilities to support diverse object abstractions in terms of semantic and syntactic data in the representation, and metadata description and coding. + +# **7 Requirements to support data interoperability** + +To support data interoperability in the IoT environment, the following requirements are required to be identified in the three dimensions of data interoperability i.e., semantic, syntactical and object abstraction representation interoperability. + +### **7.1 Requirements for semantic data interoperability** + +To ensure semantic data interoperability the following aspects are required to be identified: + +- Semantic data modelling: The semantic representation of data is required to express a common understanding across systems. A semantic representation model is necessary to provide the conceptual understanding of data as well the relationship among entities. +- Semantic integration and sharing: Mechanism for the linking of data based on semantic ontology models is required. The linking mechanism is required to be efficient to support dynamic integration and sharing of data. +- Semantic annotation of data: A semantic annotation mechanism is required to support the annotation of data coming from heterogeneous sources. Semantic annotation is required to be supported with a well-defined set of metadata to express the features of diverse IoT data. +- Semantic data management: The abstract semantic representations of IoT data are required to be managed through a management service. A suite of well-defined services is required to manage the data by allowing its access, retrieval, and storage operations. +- Semantic ontology alignment and mapping: It is required to provide an improved ontology alignment to support semantic interoperability. The ontology alignment techniques with enhanced accuracies can enable and improve interoperability across different systems. +- Semantic representation of knowledge: In IoT, providing rules with knowledge representation supports reasoning on the data which enhances its value. The information model defines the format to contain the information. It is required to be semantically rich and expressive enough to represent different forms of the objects being maintained. It is also required to scale well in evolving IoT technology. The information model should be flexible enough to represent semantic information. Ontologies in IoT provide an option to exchange the knowledge by giving the semantics required and enhancing the data in the information model. +- Semantic data transformation: Mechanism for the transformation of a semantic format to another is required. In the case of domain specific model, it can optionally provide transformation service among heterogeneous semantic data models. + +### **7.2 Requirements for syntactical data interoperability** + +To enable data interoperability at a syntactical level among heterogeneous IoT systems the following requirements are required to be identified: + +- The syntactical format identification, registration and management mechanisms; +- The syntactical format description models that provide expressivity in definitions; +- Well defined syntactical templates that can help generate response objects on the initial template instances; +- Syntactical translation mechanism to generate the transformation based on the provided templates; +- Syntactical formats registry is required to provide a repository of formats of diverse registered platforms; +- Well defined syntactical metadata schema and their mapping mechanisms; + +- Verification methods for format translation and conversion process to validate the effectiveness of translation mechanism. + +### 7.3 Requirements for object abstraction representation interoperability + +The object abstraction representation interoperability is required to provide interoperable sharing of data in heterogeneous IoT environments. The following are required to characterize the object abstraction representation: + +- Mechanism for creation and management of abstract data representations; +- Provision of semantics in the data representation model to maintain the same meaning across different data models; +- Uniform syntactic representation of data in standard formats; +- Description of metadata and their coding function to express diverse core data models; +- Provision of data and metadata profiles that can express the object abstract representations for different systems; +- Mechanism to generate object abstract representations profiles from different data. + +# 8 Functional model to support data interoperability + +The mediation function to support data interoperability in heterogeneous IoT environments consists of three dimensional functions and multiple featured repositories shown in Figure 8-1, and each component of the functional mediation model provides an individual functionality which is further described below: + +![Figure 8-1: Three dimensional functions and related repositories to support data interoperability. The diagram shows three mediation functions on the left and three repositories on the right, connected by query/response arrows.](08441fa90c5fd11994626f662ac13f19_img.jpg) + +The diagram illustrates the functional model for data interoperability, consisting of three mediation functions and three repositories. + +**Mediation Functions (Left):** + +- Semantic mediation function (Green box):** + - Semantic data description registration + - Semantic data translation + - API request query translation + - Semantic annotation + - Semantic alignment and linking + - Semantic validation +- Syntactical mediation function (Blue box):** + - Syntax description + - Syntax interpretation + - Schema translation + - Syntactical format validation +- Object abstraction representation mediation function (Yellow box):** + - Data classification + - Data integration + - Metadata description and coding + +**Mediation repositories (Right):** + +- Base ontology, Domain ontologies, Semantic description registry:** These three components are grouped together in a purple box. They are connected to the Semantic mediation function via a 'Query/response' arrow. +- Syntactical description formats DB:** This component is in a purple box and is connected to the Syntactical mediation function via a 'Query/response' arrow. +- Core data, Meta data:** These two components are in a purple box and are connected to the Object abstraction representation mediation function via a 'Query/response' arrow. + +Arrows labeled 'Query/response' indicate the flow of data between the functions and the repositories. + +Y.4563(21) + +Figure 8-1: Three dimensional functions and related repositories to support data interoperability. The diagram shows three mediation functions on the left and three repositories on the right, connected by query/response arrows. + +**Figure 8-1 – Three dimensional functions and related repositories to support data interoperability** + +- Semantic mediation function: offers the mechanisms for semantic translation and linking of the data from different platforms (see clause 8.1); +- Syntactical mediation function: provides a syntax level mediation of different data formats, schemas and interfaces (see clause 8.2); +- Object abstraction representation mediation function: provides the mediation to support the heterogeneous objects data abstraction, classification and categorization (see clause 8.3). + +### 8.1 Semantic mediation function + +The semantic mediation function is responsible for supporting six sub-functions as shown below: + +- Semantic data description registration: provides a registration mechanism, where platform level semantic data description formats are registered in the semantic description registry. The functional entity of semantic data description registration enables a useful record of semantic formats that can be used by semantic translation function; +- Semantic data translation: enables the translation of data formats to semantic formats that have been registered by the functional entity of semantic data description registration. The translation of data to semantic formats is achieved through the defined domain ontology; +- Application programming interface (API) request query translation: provides an interface to receive requests for the data to be translated to a particular registered format. The request for data cannot be directly provisioned as different platforms have diverse formats. The API request translation function provides a common way to translate the requests to specific API formats in order to provide seamless interoperability; +- Semantic annotation: enables the annotation of the data based on the standard ontology and semantic data model. It provides annotation using the selected annotation description language. It provisions data interoperability through specifying the particular function of IoT resources, their information and their operations which can be understood by other services; +- Semantic alignment and linking: provides an alignment strategy based on the defined alignment algorithm. The goal is to align the information model or the semantic schema with another schema to represent the same information but with different semantics. It enables to resolve semantic heterogeneity in systems where models have different meanings or ontologies; +- Semantic validation: is used to verify the semantic conversion of data with defined schema. It constitutes the mechanism to validate the semantic structure of the data with a validation test case defined on the basis of semantic ontology. + +### 8.2 Syntactical mediation function + +The syntactical mediation function supports four sub-functions to provide syntactical data interoperability as shown below: + +- Syntax description: provides a registration of syntaxes for the platforms. By using this function, platform level syntax description formats are registered in the registry database. This function enables useful records of syntactical formats for the platforms which enable syntax level interoperability; +- Syntax interpretation: provides conversion among diverse data formats. In case of API requests to individual platforms, this functional component translates the queries specific to the platforms, for which data or services are requested; +- Schema translation: enables the translation mechanism at the schema level. Different platforms make use of different schemas to describe the data. This function provides the conversion to interoperate the schemas at the platform level; + +- Syntactical validation: is used to verify the syntactical integrity of the translation. It constitutes the mechanism to validate the syntactical structure of the data based on the defined base schema. + +### **8.3 Object abstraction representation mediation function** + +The object abstraction representation mediation function supports three sub-functions to provide interoperable object abstractions representation as shown below: + +- Data classification: provides the functional capability to perform the classification and categorization of data. It enables the classified representation to be understandable through abstract representation model; +- Data integration: enables the functional capabilities to extract and integrate multiple IoT data. As data can be from different sources, it provides procedures to integrate the data in standard formats such as a common data model (CDM); +- Metadata description and coding: allows the metadata to be assigned to the data converted to the representation format. It enables to assign codes and other metadata descriptions to the core data in order to identify its sources. + +### **8.4 Mediation repositories** + +Mediation repositories provide multiple featured repositories to support storage functions for the query and response for translation and caching in the provision of data interoperability. This includes four kinds of repositories: + +- Base ontology: supports models to define core models for semantic interoperability of platforms; +- Domain ontology: supports models to define the domain specific models of the platforms; +- Semantic registry: supports registries in the description of semantic data; +- Syntactic description database (DB): supports the database to facilitate persistence of different data formats. + +## **9 Functional components of the semantic mediation function** + +The functional components of the semantic mediation function identify the details of six sub-functional components to support the semantic data interoperability in IoT environments as follows: + +- Semantic data description registration; +- Semantic data translation; +- API request query translation; +- Semantic annotation; +- Semantic alignment and linking; +- Semantic validation. + +### **9.1 Semantic data description registration** + +The semantic data description registration function provides a registration capability, where platform level semantic data description formats are registered in the semantic description registry. This function enables a useful record of semantic formats that can be used by the semantic translation functions. + +The functional components of semantic data description registration sub-function (as illustrated in the boxes of Figure 9-1) are as follows: + +- Ontology discovery: provides the search and matching of ontology records in the semantic description registry; +- Ontology registration management: provides the functional capability to register and manage the semantic ontology models. + +![Figure 9-1: Functional components in a semantic data description registration sub-function. The diagram shows a large green rounded rectangle containing three stacked white rounded rectangles: 'Semantic data description registration' at the top, 'Ontology discovery' in the middle, and 'Ontology registration management' at the bottom. To the right of this group is a white cylinder labeled 'Semantic description registry'. A double-headed horizontal arrow connects the green rectangle to the cylinder. Below the cylinder is the text 'Y.4563(21)'.](724c7777b608e53be38b12b6fb3c43bc_img.jpg) + +Figure 9-1: Functional components in a semantic data description registration sub-function. The diagram shows a large green rounded rectangle containing three stacked white rounded rectangles: 'Semantic data description registration' at the top, 'Ontology discovery' in the middle, and 'Ontology registration management' at the bottom. To the right of this group is a white cylinder labeled 'Semantic description registry'. A double-headed horizontal arrow connects the green rectangle to the cylinder. Below the cylinder is the text 'Y.4563(21)'. + +**Figure 9-1 – Functional components in a semantic data description registration sub-function** + +### 9.2 Semantic data translation + +The semantic data translation sub-function enables the translation of data formats to semantic formats that have been registered by the semantic data description registration sub-function. The translation of data to semantic formats is done through the defined domain ontology. + +The functional components of a semantic data translation sub-function (as shown in Figure 9-2) are as follows: + +- Base ontology translator: delivers the functional capability of translation of concepts from a domain ontology model to the base ontology model; +- Data model: provides the capability to express the semantic meaning of the exchanged data using the information objects. + +![Figure 9-2: Functional components in semantic data translation sub-function. The diagram shows a large tan rounded rectangle containing three stacked white rounded rectangles: 'Semantic data translation' at the top, 'Base ontology translator' in the middle, and 'Data model' at the bottom. To the right of this group are two white cylinders: 'Base ontology' on top and 'Domain ontology' on the bottom. A double-headed horizontal arrow connects the tan rectangle to the 'Base ontology' cylinder, and another double-headed horizontal arrow connects the tan rectangle to the 'Domain ontology' cylinder. Below the 'Domain ontology' cylinder is the text 'Y.4563(21)'.](c67d21fb3d9042e88cdc669f071b4e7c_img.jpg) + +Figure 9-2: Functional components in semantic data translation sub-function. The diagram shows a large tan rounded rectangle containing three stacked white rounded rectangles: 'Semantic data translation' at the top, 'Base ontology translator' in the middle, and 'Data model' at the bottom. To the right of this group are two white cylinders: 'Base ontology' on top and 'Domain ontology' on the bottom. A double-headed horizontal arrow connects the tan rectangle to the 'Base ontology' cylinder, and another double-headed horizontal arrow connects the tan rectangle to the 'Domain ontology' cylinder. Below the 'Domain ontology' cylinder is the text 'Y.4563(21)'. + +**Figure 9-2 – Functional components in semantic data translation sub-function** + +In the description of the data model, semantic data contains semantic information regarding the data. The meaning of data differs from one context to another context. Semantic information of data defines the meaning of data based on the context of the data. Different applications use the same data differently based on the specification of the domain. A semantic data model is an abstract model that defines the meaning of a data by using the relationship between objects within the context. A semantic data model also describes how a virtual object (VO) is related to the real world object. A semantic model of a data ('Item') has been shown in Figure 9-3. + +![Figure 9-3: A semantic model of a data ('Item'). The diagram shows a central 'Item' node with several relationships. 'Community', 'Object', 'Abstract', and 'Agent' are all 'Sub-class of' 'Item'. 'Item' is 'Is' 'Resource', 'Has' 'State', 'At' 'Place', and 'Has role in' 'Event'. A reference 'Y.4563(21)' is noted near the 'Event' node.](fa859e4e468bfb2710a94527f2c504af_img.jpg) + +``` + +graph TD + Community([Community]) -- "Sub-class of" --> Item([Item]) + Object([Object]) -- "Sub-class of" --> Item + Abstract([Abstract]) -- "Sub-class of" --> Item + Agent([Agent]) -- "Sub-class of" --> Item + Item -- "Is" --> Resource([Resource]) + Item -- "Has" --> State([State]) + Item -- "At" --> Place([Place]) + Item -- "Has role in" --> Event([Event]) + Y456321[Y.4563(21)] + +``` + +Figure 9-3: A semantic model of a data ('Item'). The diagram shows a central 'Item' node with several relationships. 'Community', 'Object', 'Abstract', and 'Agent' are all 'Sub-class of' 'Item'. 'Item' is 'Is' 'Resource', 'Has' 'State', 'At' 'Place', and 'Has role in' 'Event'. A reference 'Y.4563(21)' is noted near the 'Event' node. + +**Figure 9-3 – A semantic model of a data ('Item')** + +A semantic data model has the following characteristics: + +- Enables the interoperating in IoT environments to interpret the semantic meaning of the exchanged data using the information of the objects; +- The object relationship with other objects is expressed as a triple format; +- In a triple, the relationship between an object with another object is expressed using a binary relation; +- The triple includes subject-predicate-object relationship form. The first term in the triple is called subject; which is an object where a statement is expressed. The second term in the triple is a predicate which is the property that makes a relationship between the subject and the object. The third term in the triple is an object that represents a resource in the fact. Thus, the example of the fact becomes 'Richard has a smartphone'; +- A fact must include a kind of relationship between a subject and multiple objects. The meaning of the relationship is also required to interpret the meaning of the fact; +- The kind of relationship needs to be standardized as well. + +### 9.3 API request query translation + +This sub-function delivers an interface to receive requests for the data to be translated to a particular registered semantic format. Since different platforms have diverse formats, to support requests their translation needs to be provided. The API request query translation sub-function provides a common way to translate the requests to a specific API format, in order to provision seamless semantic interoperability. + +The functional components of the API request query translation sub-function (as illustrated in the boxes in Figure 9-4) are as follows: + +- API translator: provides the functional capability to translate the API request to a target request format; +- Query formation: provides the functional capability to generate new formatted queries; +- API formats: provides the API formats of the registered platforms. + +![Figure 9-4: Functional components of an API request query translation sub-function. The diagram shows a large yellow rounded rectangle containing three components: 'API request query translation' at the top, 'API request translation' in the middle, and 'Query formation' and 'API formats' (represented by a stack of papers) at the bottom. A double-headed arrow connects this yellow box to a green rounded rectangle labeled 'API interfaces'. The identifier 'Y.4563(21)' is located at the bottom right of the diagram.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +Figure 9-4: Functional components of an API request query translation sub-function. The diagram shows a large yellow rounded rectangle containing three components: 'API request query translation' at the top, 'API request translation' in the middle, and 'Query formation' and 'API formats' (represented by a stack of papers) at the bottom. A double-headed arrow connects this yellow box to a green rounded rectangle labeled 'API interfaces'. The identifier 'Y.4563(21)' is located at the bottom right of the diagram. + +**Figure 9-4 – Functional components of an API request query translation sub-function** + +### 9.4 Semantic annotation + +This sub-function enables the annotation of the data based on the standard ontology and semantic data model. It provides annotation using the selected annotation description language. Semantic annotation allows the enrichment of content by linking machine processed information to the extracted concept of a semantic ontology. Semantic annotation allows attaching or adding additional information of the concepts of the ontology to the existing contents. The semantic annotation changes an isolated ontology into an ontology that can be interpreted, shared, and reused by other ontologies. + +The capabilities of a semantic annotation sub-function are characterized by the following: + +- The relationship between concepts and ontologies; +- Links information source to an ontology; +- Assigns semantic concepts and properties to the target data. + +### 9.5 Semantic alignment and linking + +The semantic alignment and linking sub-function enables the alignment and management of the source and the target semantic schemas. + +The functional components of the semantic alignment and linking sub-function (as illustrated in the boxes of Figure 9-5) are as follows: + +- Semantic ontology manager: includes the capability to manage the ontology aligner; +- Ontology aligner: provides the capability for semantic ontology alignment. It takes the source and target ontology models and returns the alignment results; +- Entity loader: provides the capability to load the entities from the source and target ontologies. + +![Figure 9-5: Functional components of a semantic alignment and linking sub-function. The diagram shows a large light blue rounded rectangle containing four components: 'Semantic alignment and linking function' at the top, 'Semantic ontology manager' and 'Ontology aligner' on the left connected by a double-headed arrow, and 'Entity loader' on the right. A double-headed arrow connects the 'Semantic ontology manager' to a pink cylinder labeled 'Source domain ontology'. Another double-headed arrow connects the 'Entity loader' to a pink cylinder labeled 'Target domain ontology'. The identifier 'Y.4563(21)' is located at the bottom right of the diagram.](90ee16ccc0ad16aeca48087797d7b07f_img.jpg) + +Figure 9-5: Functional components of a semantic alignment and linking sub-function. The diagram shows a large light blue rounded rectangle containing four components: 'Semantic alignment and linking function' at the top, 'Semantic ontology manager' and 'Ontology aligner' on the left connected by a double-headed arrow, and 'Entity loader' on the right. A double-headed arrow connects the 'Semantic ontology manager' to a pink cylinder labeled 'Source domain ontology'. Another double-headed arrow connects the 'Entity loader' to a pink cylinder labeled 'Target domain ontology'. The identifier 'Y.4563(21)' is located at the bottom right of the diagram. + +**Figure 9-5 – Functional components of a semantic alignment and linking sub-function** + +Any IoT application that deals with several ontologies must provide a semantic mapping or a matching mechanism to ensure interoperability. When ontologies are matched, they are indeed aligned, which represent the correspondence among different ontologies. This kind of correspondence enables heterogeneous ontologies with different semantics to be interoperable. The identified correspondence among ontologies is a set of rules which transform from one to another ontology to enable the integration of the information. The requirement is to find out the correspondence among domains. This correspondence can be detected using the alignment of matching techniques. + +An example of the alignment between two ontologies has been illustrated in the Figure 9-6. The names in the circles represent the concepts whereas the values on the arrows define the confidence among the concepts. The confidence is also referred as the value of similarity. The mapping of matching techniques generates this similarity value. Higher the value between two entities a more exact match is assumed. + +![Figure 9-6: Example of an ontology alignment. The diagram shows two ontologies, Ontology A and Ontology B, separated by a vertical line. Ontology A (left) has a hierarchy: 'Person' (green oval) is linked to 'Thing' (green oval) with a confidence of 0.9. 'Thing' is linked to 'Book' (purple oval), 'Camera' (purple oval), and 'DVD' (purple oval). 'Book' is linked to 'E book' (yellow oval), 'Poetry' (yellow oval), 'Fiction' (yellow oval), and 'Hard copy' (yellow oval). 'Fiction' is linked to 'History' (yellow oval), which is linked to 'Text book' (yellow oval) and 'Autobiography' (yellow oval). 'Author' (yellow oval) is linked to 'History' and 'Autobiography'. 'Franklin' (blue rectangle) is linked to 'Autobiography'. Ontology B (right) has a hierarchy: 'Batch' (pink oval) is linked to 'Essay' (blue oval), 'Literature' (blue oval), and 'Multimedia' (blue oval). 'Essay' is linked to 'Producer' (green oval), 'Science' (green oval), 'Biography' (green oval), 'Politics' (green oval), and 'Literature' (green oval). 'Science' is linked to 'Famous' (green oval). 'Biography' is linked to 'Chemistry' (green oval), which is linked to 'Organic' (green oval) and 'Inorganic' (green oval). 'Literature' (green oval) is linked to 'Organic' and 'Inorganic'. 'Famous' is linked to 'Organic' and 'Inorganic'. 'Batch' is linked to 'Title' (rectangle), 'Author' (rectangle), 'Year' (rectangle), and 'isbn' (rectangle). Dashed red arrows indicate alignments between concepts in Ontology A and Ontology B: 'Person' to 'Human' (0.9), 'Book' to 'Batch' (<0.8), 'Author' to 'Author' (0.7), and 'Franklin' to 'Famous'.](dfe556fea00682b09a59427aaf72051c_img.jpg) + +Figure 9-6: Example of an ontology alignment. The diagram shows two ontologies, Ontology A and Ontology B, separated by a vertical line. Ontology A (left) has a hierarchy: 'Person' (green oval) is linked to 'Thing' (green oval) with a confidence of 0.9. 'Thing' is linked to 'Book' (purple oval), 'Camera' (purple oval), and 'DVD' (purple oval). 'Book' is linked to 'E book' (yellow oval), 'Poetry' (yellow oval), 'Fiction' (yellow oval), and 'Hard copy' (yellow oval). 'Fiction' is linked to 'History' (yellow oval), which is linked to 'Text book' (yellow oval) and 'Autobiography' (yellow oval). 'Author' (yellow oval) is linked to 'History' and 'Autobiography'. 'Franklin' (blue rectangle) is linked to 'Autobiography'. Ontology B (right) has a hierarchy: 'Batch' (pink oval) is linked to 'Essay' (blue oval), 'Literature' (blue oval), and 'Multimedia' (blue oval). 'Essay' is linked to 'Producer' (green oval), 'Science' (green oval), 'Biography' (green oval), 'Politics' (green oval), and 'Literature' (green oval). 'Science' is linked to 'Famous' (green oval). 'Biography' is linked to 'Chemistry' (green oval), which is linked to 'Organic' (green oval) and 'Inorganic' (green oval). 'Literature' (green oval) is linked to 'Organic' and 'Inorganic'. 'Famous' is linked to 'Organic' and 'Inorganic'. 'Batch' is linked to 'Title' (rectangle), 'Author' (rectangle), 'Year' (rectangle), and 'isbn' (rectangle). Dashed red arrows indicate alignments between concepts in Ontology A and Ontology B: 'Person' to 'Human' (0.9), 'Book' to 'Batch' (<0.8), 'Author' to 'Author' (0.7), and 'Franklin' to 'Famous'. + +**Figure 9-6 – Example of an ontology alignment** + +Moreover, several other aspects need to be considered for ontology alignment, these include: + +- Efficiency consideration of ontology alignment methods; +- Evaluation of the ontology matching; +- The involvement of the user in the matching process. + +### 9.6 Semantic validation + +The sub-function is used to verify the semantic conversion of data with a defined schema. It constitutes the mechanism to validate the semantic structure of the data with a validation test case defined on the bases of semantic ontology. + +The functional components of semantic validation sub-function (as shown in Figure 9-7) are as follows: + +- Validator: provides the validation function on the provided input test case to validate the semantic alignment; +- Test execution: provides the execution facility to perform the validation for the alignment function. + +![Figure 9-7: Functional components of a semantic validation sub-function. The diagram shows two input ontologies (Source and Target domain) feeding into a Semantic validation function block. This block contains a Validator and Test execution components. The Semantic validation function block is connected to a Test cases block, which contains Input test and Expected test results components. The reference Y.4563(21) is noted at the bottom right.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +``` + +graph LR + SDO[Source domain ontology] --> SVF + TDO[Target domain ontology] --> SVF + subgraph SVF [Semantic validation function] + V[Validator] + TE[Test execution] + end + SVF <--> TC + subgraph TC [Test cases] + IT[Input test] + ETR[Expected test results] + end + +``` + +Y.4563(21) + +Figure 9-7: Functional components of a semantic validation sub-function. The diagram shows two input ontologies (Source and Target domain) feeding into a Semantic validation function block. This block contains a Validator and Test execution components. The Semantic validation function block is connected to a Test cases block, which contains Input test and Expected test results components. The reference Y.4563(21) is noted at the bottom right. + +**Figure 9-7 – Functional components of a semantic validation sub-function** + +## 10 Functional components of syntactic mediation functions + +This clause provides the functional components of syntactical mediation functions in accordance to support syntactical data interoperability of IoT environments as follows. + +- Syntax description; +- Syntax interpreter; +- Schema translation; +- Syntactical validation; +- Interaction of syntactical mediation function. + +In heterogeneous IoT environments, syntactical data interoperability is considered as the interpretation of data structures and the formats that need to be exchanged among diverse IoT systems. Each resource in the IoT environment exposes some structure based on its underlying schema using a defined interface. For example, the representational state transfer (REST) API exposes an interface based on the REST methods. + +The syntactic interoperability from a scenario where a sender encodes, serializes, and sends a message using some rules that are based on some grammar and the receiver deserializes and decodes the message using some rules based on similar grammar. The problem may arise if the rules used by the sender are different from the rules the receiver uses. This raises the syntactical interoperability problem in such a scenario. + +Figure 10-1 shows the functional components of a syntactic mediation function to support syntactic data interoperability. + +![Figure 10-1: Functional components of a syntactic mediation function. The diagram shows a Syntactical mediation function block containing four sub-components: Syntax description, Syntax interpretation, Schema translation, and Syntactical format validation. This block is connected to a Syntactical description formats DB block. The reference Y.4563(21) is noted at the bottom right.](40f30e4d577a17052f8b1e6dc802a0d8_img.jpg) + +``` + +graph LR + subgraph SMF [Syntactical mediation function] + SD[Syntax description] + SI[Syntax interpretation] + ST[Schema translation] + SFV[Syntactical format validation] + end + SMF <--> SDFDB[Syntactical description formats DB] + +``` + +Y.4563(21) + +Figure 10-1: Functional components of a syntactic mediation function. The diagram shows a Syntactical mediation function block containing four sub-components: Syntax description, Syntax interpretation, Schema translation, and Syntactical format validation. This block is connected to a Syntactical description formats DB block. The reference Y.4563(21) is noted at the bottom right. + +**Figure 10-1 – Functional components of a syntactic mediation function** + +### 10.1 Syntax description + +The syntax description sub-function provides a registration of syntaxes for the platforms. This sub-function provides a platform level syntax description format to be registered in the registry database. + +The functional components of the syntax description sub-function are as follows: + +- Syntax registration interface: provides an interface to record the platform syntax profiles in the syntactical description formats DB; + +- Template discovery: provides the functional capability to discover existing syntax templates; +- Syntactical metadata management: provides the functional capability to manage metadata related to the syntactical models. + +Syntax description function can utilize a common data model to represent the diverse formats in a unified way. A common data model (CDM) is a set of data elements that can be mapped among different interoperating systems (see the approach shown in Appendix IV). + +### **10.2 Syntax interpreter** + +The syntax interpreter sub-function provides conversion and translation among diverse data formats. In the case of API requests to individual platforms, this functional component translates the syntax specific to the platforms, for which data or services are requested. + +The functional components of syntax interpreter sub-function are as follows: + +- API syntax converter: provides the capability to translate the API syntax description to a standard format; +- Profile manager: delivers the capability to store and retrieve syntax profiles. + +### **10.3 Schema translation sub-function** + +This schema translation sub-function enables the translation mechanism at the schema level. Different platforms make use of different schemas to describe the data syntax. The function provides the conversion to interoperate the schemas at the platform level. + +The functional components of a schema translation sub-function are as follows: + +- Core schema translator: provides the functional capability to translate the core data schema with respect to syntactical conversion in a CDM; +- Metadata schema translator: provides the functional capability to convert metadata formats to describe core data into common metadata formats. + +The metadata is described as the information related to data such as data types, description, etc. A metadata is an application oriented predefined model that describes the data, data types, data files, the logics and constraints that are required to analyse the data for application specific decision making. Due to the increase in the amount of data, the metadata model describes the data as well as links them with another model as a knowledge base. + +### **10.4 Syntactical validation sub-function** + +The syntax validation sub-function verifies the syntactical integrity of the translation. It constitutes the mechanism to validate the syntactical structure of the data based on the defined core schema. + +The functional components of a semantic validation sub-function are as follows: + +- Syntax format validator: delivers the syntax level validation function on the provided input syntax profile to validate the translation; +- Syntactical testing container: provides the run time facility to execute the validation for the syntactical translation function. + +### **10.5 Interaction of a syntactical mediation sub-function** + +The component-based interaction procedure among the syntactic mediation functional units has been shown in the Figure 10-2. To provide syntactical interoperability a syntax translation function generates the conversion schema through the syntax interpreter service. The main goal of the syntactical mediation sub-function is to generate the syntactical alignment based on the syntax that is chosen for the subject alignment. + +The syntax description and management services throughout the syntax translation perform three major tasks that include the following: + +- Discovery of syntax template from the template repository; +- Syntax registration once a conversion has been performed successfully; +- Syntactical metadata management to support additional syntax level checking. + +To provide the verification of a syntactical conversion, syntax format validation function tests the generated translation schema against a pre-validated test case in order to ensure the integrity of the mediation process. + +![Figure 10-2: Syntactical mediation interaction: Component based interaction procedure among the syntactic mediation functional units. The diagram shows a flow within a green box. At the top is 'Common data model'. Below it is a 'Syntax description function' box containing 'Syntax registration function', 'Template discovery function', and 'Syntactical metadata Mgt'. To the right is a 'Schema translation function' and a 'Syntax interpreter function'. Below these is a 'Syntactical format validation' box. At the bottom are 'Data' and 'Metadata' stacks. On the far right is a dashed box labeled 'Templates repository' containing 'Syntax template' boxes and 'Syntax templates'. Arrows show interactions: 'Common data model' to 'Syntax description function'; 'Syntax description function' to 'Schema translation function'; 'Schema translation function' to 'Syntax interpreter function'; 'Syntax interpreter function' to 'Syntactical format validation'; 'Syntactical format validation' to 'Syntax description function'; 'Data' and 'Metadata' to 'Syntax interpreter function'; 'Syntax interpreter function' to 'Syntax template' in the repository; and 'Syntax template' back to 'Syntax description function'.](79e1709a7317ead45379cbb8ff3ba802_img.jpg) + +Figure 10-2: Syntactical mediation interaction: Component based interaction procedure among the syntactic mediation functional units. The diagram shows a flow within a green box. At the top is 'Common data model'. Below it is a 'Syntax description function' box containing 'Syntax registration function', 'Template discovery function', and 'Syntactical metadata Mgt'. To the right is a 'Schema translation function' and a 'Syntax interpreter function'. Below these is a 'Syntactical format validation' box. At the bottom are 'Data' and 'Metadata' stacks. On the far right is a dashed box labeled 'Templates repository' containing 'Syntax template' boxes and 'Syntax templates'. Arrows show interactions: 'Common data model' to 'Syntax description function'; 'Syntax description function' to 'Schema translation function'; 'Schema translation function' to 'Syntax interpreter function'; 'Syntax interpreter function' to 'Syntactical format validation'; 'Syntactical format validation' to 'Syntax description function'; 'Data' and 'Metadata' to 'Syntax interpreter function'; 'Syntax interpreter function' to 'Syntax template' in the repository; and 'Syntax template' back to 'Syntax description function'. + +**Figure 10-2 – Syntactical mediation interaction: Component based interaction procedure among the syntactic mediation functional units** + +NOTE – For syntax level interoperability formats in other applications, see Appendix II. + +## 11 Functional components of an object abstraction representation mediation + +This clause provides the functional components of object abstraction representation functions in accordance with the organizational data interoperability. Figure 11-1 illustrates the functional components of the objects abstraction representation mediation function. + +![Figure 11-1: Functional components of the objects abstraction representation mediation function. The diagram shows a yellow box labeled 'Object abstraction representation mediation function' containing three sub-components: 'Data classification', 'Data integration', and 'Metadata description and coding'. To the right is a purple box containing 'Core data' and 'Meta data' stacks. Arrows point from the purple box to the yellow box, specifically to the 'Data classification' and 'Data integration' components.](75e4b78ee25f885d73120e3066a5253e_img.jpg) + +Figure 11-1: Functional components of the objects abstraction representation mediation function. The diagram shows a yellow box labeled 'Object abstraction representation mediation function' containing three sub-components: 'Data classification', 'Data integration', and 'Metadata description and coding'. To the right is a purple box containing 'Core data' and 'Meta data' stacks. Arrows point from the purple box to the yellow box, specifically to the 'Data classification' and 'Data integration' components. + +**Figure 11-1 – Functional components of the objects abstraction representation mediation function** + +### 11.1 Data classification + +Data classification function provides the capability for the classification and categorization of data. It enables the classified representation to be understandable through an abstract representation model. + +The functional capabilities of the data classification functions are as follows: + +- Classifies the data based on the metadata available with the core data; +- Tagging the data according to the abstract representation model. + +### 11.2 Data integration + +Data integration function provides the capability for the extraction and integration of data. If the data is from different sources, the function provides procedures to integrate the data in standard formats. + +The functional capabilities of data integration functions are categorized into three categories: + +- Integration based on the classification category, when data has been classified and the category is known; +- Integration based on the metadata description, when the data has not been classified, and the metadata provides sufficient information details to perform integration; +- Integration based on the fixed object abstraction ontology, when integration plan has already been setup to support the integration based on the object abstraction ontology. + +### 11.3 Metadata description and coding + +Metadata descriptions and the coding sub-function provides the capability to assign new metadata or assign additional metadata to the converted data. It enables to assign codes and other metadata description to the core data in order to identify its sources. Metadata helps in several tasks such as: + +- Discovery, identification and classification of data; +- Describes the relationship and characteristics of data; +- Provides when the data is created and transformed and how, types of data files and other technical information are stored. + +For sharing and reuse of data in IoT environments, ontology is a fundamental principle. A metadata ontology includes the elements of metadata and describes their relationships. + +The metadata description function uses a metadata ontology as a library to describe and publish metadata. A metadata ontology allows users to search, refer and evaluate metadata, uses the metadata standard or the controlled vocabularies. + +### 11.4 Interaction of object abstraction representation mediation functions + +The functional interaction to generate object abstraction representation is depicted as shown in Figure 11-2. Here, the data representation processing function is the central processing component of an object abstraction which enables the instantiation of abstraction from an existing profile by calling on the generation function. It also provides the data classification and integration mechanism to categorize and integrate data respectively. + +Data abstraction profiles are a set of profiles expressed as $P = \{P_1, \dots, P_n\}$ , each represents a unique profile based on the type of data. Object abstraction generation function generates an abstract representation by sending the selection profile to the representation configuration management function. The configuration function discovers the appropriate template that matches the profile and extracts the concepts from the representation ontology to generate the data abstraction. These generated abstractions are registered in the data representation repository to enable reuse whenever they are required. + +![Figure 11-2 – Object abstraction mediation functions interaction. The diagram shows a flow from 'Data' and 'Meta data' through 'Data preprocessing' and 'Data enhancement and filtering' to 'Object abstraction generation'. 'Object abstraction generation' interacts with 'Abstract representation processing' (containing 'Data classification' and 'Data integration') and 'Data abstraction profiles' (containing 'Profiles'). 'Object abstraction generation' also interacts with 'Representation configuration management', which in turn interacts with 'Object abstraction ontology' and 'Object templates'. A reference 'Y.4563(21)' is noted at the bottom right.](c914f51f4427bc672dd0526cfc90ebe9_img.jpg) + +``` + +graph TD + subgraph Mediation_Functions [Object abstraction mediation functions interaction] + subgraph Abstract_Representation_Processing [Abstract representation processing] + Data_Classification[Data classification] + Data_Integration[Data integration] + end + Data_Abstraction_Profiles[Data abstraction profiles] + subgraph Profiles [Profiles] + Profiles_Stack[Profiles] + end + Object_Abstraction_Generation[Object abstraction generation] + Representation_Configuration_Management[Representation configuration management] + Object_Abstraction_Ontology[Object abstraction ontology] + Object_Templates[Object templates] + end + + Data_Classification <--> Data_Abstraction_Profiles + Data_Integration <--> Data_Abstraction_Profiles + Data_Abstraction_Profiles <--> Object_Abstraction_Generation + Object_Abstraction_Generation --> Representation_Configuration_Management + Representation_Configuration_Management --> Object_Abstraction_Generation + Representation_Configuration_Management --> Object_Abstraction_Ontology + Representation_Configuration_Management --> Object_Templates + Object_Abstraction_Ontology --> Object_Abstraction_Generation + Object_Templates --> Object_Abstraction_Generation + + subgraph Data_Flow [Data Flow] + Data[Data] --> Meta_Data[Meta data] + Meta_Data --> Data_Preprocessing[Data preprocessing] + Data_Preprocessing -.-> Data_Enhancement[Data enhancement and filtering] + Data_Enhancement --> Object_Abstraction_Generation + end + +``` + +Y.4563(21) + +Figure 11-2 – Object abstraction mediation functions interaction. The diagram shows a flow from 'Data' and 'Meta data' through 'Data preprocessing' and 'Data enhancement and filtering' to 'Object abstraction generation'. 'Object abstraction generation' interacts with 'Abstract representation processing' (containing 'Data classification' and 'Data integration') and 'Data abstraction profiles' (containing 'Profiles'). 'Object abstraction generation' also interacts with 'Representation configuration management', which in turn interacts with 'Object abstraction ontology' and 'Object templates'. A reference 'Y.4563(21)' is noted at the bottom right. + +**Figure 11-2 – Object abstraction mediation functions interaction** + +# 12 Functional components of the mediation repositories + +This clause provides the details on data repositories to support interoperability functions in accordance with the functional model of data interoperability given in clause 8. + +### 12.1 Base ontology repository + +Base ontology repository provides the capability for persistent storage and retrieval on the entities of a base ontology model. + +The base ontology model consists of the following capabilities: + +- The semantic base ontology provides the generic concepts to support semantic interoperability; +- Base ontology model has an interface to the standard W3C SSN ontology and other external ontologies to express and provide interoperable features with existing systems. + +Components in a base ontology model include: + +- Base domain: defines the subject for which a fact is stated; +- Base range: defines the object of the fact of the base vocab; +- Base object properties: makes the relationship between subject and object in the base vocab; +- Base data properties: describes the instance using attributes of the instance in base vocab; +- Base annotations: annotates or describes various components in a base ontology. + +NOTE – For ontologies and description models in IoT data interoperability, see Appendix I. + +### 12.2 Domain ontology repository + +To express the semantics of any concepts, and to organize them in a standard resource description framework (RDF) graph, semantic ontology is used. In a semantic ontology, concepts are expressed as a hierarchy of classes and subclasses, and properties are used to make relationships among them that represent an RDF graph. In the semantic web, RDF vocabularies are known as RDF schema or ontology. + +A domain's semantic ontology provides the following features: + +- Understanding the structure of information in an IoT domain; +- Capability to reuse the domain knowledge; +- Allows reuse of concepts and properties in the ontology; +- If concepts and properties are not available locally then similar concepts and properties are searched in other ontologies that can support similar functionalities; +- Enables inference on domain knowledge to make decisions. + +Components in a domain ontology model include: + +- Domain: defines the subject for which a fact is stated; +- Range: defines the object of the fact; +- Object properties: makes the relationship between subject and object; +- Data properties: describes the instance using attributes of the instance; +- Annotations: annotates or describes various components in an ontology. + +W3C has a standardized number of RDF vocabularies to organize and to express concepts. An ontology allows designing a model for expressing concepts, constraints and relationships based on domain specifications. + +### **12.3 Semantic registry** + +The semantic registry provides the following capabilities: + +- To discover the interoperable object alignment records; +- To store the interoperable object alignment records; +- To retrieve the interoperable object alignment records. + +### **12.4 Syntactical description formats DB** + +Syntactic description DB is the storage repository to facilitate the persistence of different data formats. It provides the following capabilities: + +- Persistent storage of syntactical profiles of registered syntactical formats; +- Capability to store syntactical descriptions of different data; +- Capability to retrieve syntactical descriptions of different data; +- Capability to store and maintain syntactical descriptions metadata. + +# Annex A + +## Interoperability with web of objects (WoO) based model + +(This annex forms an integral part of this Recommendation.) + +This Annex A provides details on the web of object (WoO) based approach for interoperability. The underlying IoT framework in the following model is defined in [ITU-T Y.4452]. + +![Figure A.1: Interoperability with web of objects (WoO) based model. The diagram illustrates the architecture of two interoperable IoT domains, A and B, connected via a central interoperability interface. Domain A (left) includes User A, IoT platform - A applications (Building, Security, Energy), WoO based IoT domain A (Service level, CVO level, VO level), IoT platform A (Registry DB, Template repository, Information database), and Gateway domain A. Domain B (right) includes User B, IoT platform - B applications (Building, Security, Energy), IoT domain B (Service entities, Composition entities, Objects abstraction), IoT platform B (Things data storage), and Gateway domain B. The central Interoperability interface facilitates Semantic information sharing, Semantic mediation, and Semantic objects representation between the two domains. Both domains connect to various sensors and actuators at the bottom.](e354b57563dae469c00b412b2abdf765_img.jpg) + +The diagram illustrates the architecture of two interoperable IoT domains, A and B, connected via a central interoperability interface. Domain A (left) includes User A, IoT platform - A applications (Building, Security, Energy), WoO based IoT domain A (Service level, CVO level, VO level), IoT platform A (Registry DB, Template repository, Information database), and Gateway domain A. Domain B (right) includes User B, IoT platform - B applications (Building, Security, Energy), IoT domain B (Service entities, Composition entities, Objects abstraction), IoT platform B (Things data storage), and Gateway domain B. The central Interoperability interface facilitates Semantic information sharing, Semantic mediation, and Semantic objects representation between the two domains. Both domains connect to various sensors and actuators at the bottom. + +Figure A.1: Interoperability with web of objects (WoO) based model. The diagram illustrates the architecture of two interoperable IoT domains, A and B, connected via a central interoperability interface. Domain A (left) includes User A, IoT platform - A applications (Building, Security, Energy), WoO based IoT domain A (Service level, CVO level, VO level), IoT platform A (Registry DB, Template repository, Information database), and Gateway domain A. Domain B (right) includes User B, IoT platform - B applications (Building, Security, Energy), IoT domain B (Service entities, Composition entities, Objects abstraction), IoT platform B (Things data storage), and Gateway domain B. The central Interoperability interface facilitates Semantic information sharing, Semantic mediation, and Semantic objects representation between the two domains. Both domains connect to various sensors and actuators at the bottom. + +Y.4563(21) + +**Figure A.1 – Interoperability with web of objects (WoO) based model** + +### A.1 Web of objects based IoT domain + +Figure A.1 describes the architecture of an interoperable WoO IoT environment. The WoO is based on the following functions as indicated in [ITU-T Y.4452]. + +- WoO service level supports functions to create and manage IoT service entities in [ITU-T Y.4452]. +- Composite virtual object (CVO) sub-level is responsible for control and management of CVOs, with respect to the functional capabilities of the CVO sub-level based on the WoO reference model [ITU-T Y.4452]. +- WoO virtual object (VO) sub-level provides the functional capabilities responsible for the control and management of VOs [ITU-T Y.4452]. +- The registry DB, template repository, information database enables access to the WoO resources [ITU-T Y.4452]. + +Figure A.1 shows the interface which presents the interoperability interface between WoO based IoT platform and an external IoT platform. + +### **A.2 Interoperability interface** + +It is required that the interoperability interface between WoO IoT (A) domain and external IoT domain (B) allow access to the IoT data and services that are available in any of the IoT domains. + +It is required that this interface includes the data representation, translation, sharing mechanisms to enable applications for cross-domain data interoperability. + +It is recommended that this interface enables access to the internal data of the domains and the capabilities for the extraction of IoT data. + +This interface needs to provide the semantic interoperability that can provide the following functions. + +- Semantic information sharing +The semantic information sharing enables access to data and metadata of sensors registered in the domains. +- Semantic mediation +Semantic mediation enables the translation of the data and the metadata of the information model defined by the domain. +- Semantic object representation +Semantic object representation provides the common representation of the sensor observation for the information models defined by the domains. + +### **A.3 External IoT platform** + +Figure A.1 describes the external IoT platform on the right side of the illustration. + +The external IoT platform is based on the following functions as indicated in [ITU-T Y.4401]. + +- The service entities support the service functions based on the service provisioning capabilities indicated in clause 8.1 of [ITU-T Y.4401]. +- The composition of entities in an external IoT platform will provide IoT object orchestration for higher level service workflows based on the application capabilities defined in [ITU-T Y.4401]. +- Object abstraction and data handling functions in the external IoT platform provide capabilities that are responsible for the management of object handling based on the data management capabilities in [ITU-T Y.4401]. + +# **Annex B** + +## **Data interoperability of semantic and non-semantic data** + +(This annex forms an integral part of this Recommendation.) + +Nowadays complex IoT systems such as in a city domain involves different types of data including semantic and non-semantic sources. They raise the opportunity to combine diverse sources of data and make them interoperable so that uniform information retrieval and knowledge extraction can be carried out. Not all IoT data holds semantics; extracting knowledge from such data requires pre-processing and transformation to make them semantically interoperable for high-level applications in order to achieve intelligent decision making based on interoperable data. Annex B delivers processing considerations to support interoperability among semantic and non-semantic data in an IoT environment. + +### **B.1 Data processing for semantic and non-semantic data interoperability** + +It is important to consider data from heterogeneous sources to share and access information for IoT service provisioning. Both semantic and non-semantic data need to be considered in IoT environments as well as analyzing them for extracting knowledge for high level applications. To support semantic interoperability the following data processing and management characteristics must be considered: + +- Consider both data from semantic and non-semantic sources; +- Transformation of semantic and non-semantic data (e.g., data from relational databases), integration and mapping to RDF triples (subject-predicate-object); +- For transformation, integration, and mapping, data requires schema that might not be available all the time or have a complex schema that is represented by ontological languages, such as the web ontology language (OWL); +- Consider semantic data sources, independent schema and focus on the meaningful relationship of data for data interoperability; +- SPARQL queries are made on the knowledge database to support data analysis and create application services. Besides supporting semantic data in RDF format, relational database, comma separated values (CSV) format, as well as other formats need to be supported. + +The following figure shows an example of data collection, processing and transforming of data to make semantically interoperable IoT data available and provide this data to the IoT applications. + +![Figure B.1: IoT data processing for semantic and non-semantic data interoperability. The diagram shows two parallel processing flows. On the left, 'Semantic data' (cylinder) is processed through 'Data mapping' (rectangle) which uses a 'Vocabulary' (rectangle). On the right, 'Non-semantic data' (cylinder) is processed through 'Data pre-processing' (rectangle), then 'Semantic schema generation' (rectangle), then 'R2RML' (rectangle), and finally 'Data mapping' (rectangle) which also uses a 'Vocabulary' (rectangle). Both 'Data mapping' blocks feed into 'IoT applications' (rectangle) inside a dashed box, which is connected to a 'Knowledge base' (cylinder). Below the main flow, a row of six boxes represents data sources: 'Semantic data', 'Relational data', 'Non-semantic data', 'Semantic data', 'Relational data', and 'Non-semantic data'. Arrows indicate the flow from these sources to the processing blocks above.](8c348bf9c2c81b018017ae1d19506a9a_img.jpg) + +Y.4563(21) + +Figure B.1: IoT data processing for semantic and non-semantic data interoperability. The diagram shows two parallel processing flows. On the left, 'Semantic data' (cylinder) is processed through 'Data mapping' (rectangle) which uses a 'Vocabulary' (rectangle). On the right, 'Non-semantic data' (cylinder) is processed through 'Data pre-processing' (rectangle), then 'Semantic schema generation' (rectangle), then 'R2RML' (rectangle), and finally 'Data mapping' (rectangle) which also uses a 'Vocabulary' (rectangle). Both 'Data mapping' blocks feed into 'IoT applications' (rectangle) inside a dashed box, which is connected to a 'Knowledge base' (cylinder). Below the main flow, a row of six boxes represents data sources: 'Semantic data', 'Relational data', 'Non-semantic data', 'Semantic data', 'Relational data', and 'Non-semantic data'. Arrows indicate the flow from these sources to the processing blocks above. + +**Figure B.1 – IoT data processing for semantic and non-semantic data interoperability** + +Enabling interoperability of semantic and non-semantic data includes different elements, few of the elements have been included below: + +#### **Semantic data source** + +- Represents a knowledge base; +- Allows the use of semantic ontology to express knowledge in the knowledge base; +- Data is represented in RDF format and stored in OWL format; +- Knowledge base is composed of domain terminology (concept definition) and their instances. + +#### **Non-semantic data source** + +- Represents a relational database; +- Source of the data includes distributed data, streaming data, text data, machine-generated data, sensed data, etc.; +- Format of the data includes XML, CSV, etc. + +#### **Schema mappings** + +- Specifies the relationship between two schemas; +- Mapping between source and target schema based on requirements; +- Similarity of concepts, properties and instances of source schema are compared with the concepts, properties and instances of target schema. + +#### **Semantic schema generation** + +- Semantic schema need to be generated from non-semantic schema; +- In the case of a relational database, or XML data, semantic schemas are constructed from the relational schema to build a semantic ontology; +- Schema from a relational database is the source schema and semantic schema is the target schema that has been defined by the user. + +### **B.2 Transformation of a non-semantic to the semantic data schema** + +Semantic definition of domain terminology or semantic data schema is defined by domain experts or developers based on a common vocabulary. Thus, if the source data schema is already in the semantic format, it does not require any processing for mapping to the target schema. If it is a non-semantic data schema then it requires conversion into semantic data schema. This means non-semantic data schema or data from a relational database (e.g., RDB) is converted into semantic data schema (RDF graph). For conversion of non-semantic data schema (relational schema) into semantic data schema, RDB-to-RDF mapping language such as (R2RML) is used. + +# Appendix I + +## Ontologies and description models for IoT data interoperability + +(This appendix does not form an integral part of this Recommendation.) + +With respect to the semantic information model defined in clause 8.3, Appendix I provides available examples of the semantic sensor ontology model and the web of things information model. These information models can be used and extended to support data interoperability with respect to defining a common information model that can be used in IoT domains. + +### I.1 Semantic sensor ontology model (A joint W3C and OGC standard) + +The main goal behind semantic sensor web is to use the web for linking sensors around different networks and make their observations available on the web. To model sensors, semantic sensor network (SSN) ontology [b-Compton], [b-Haller] defines a set of domain independent concepts. SSN is defined by the W3C consortium. The SSN ontology is conceptually divided into ten modules as shown in Figure I.1. The ontology contains 41 concepts and 39 object properties. The ontology describes the sensors and the capabilities of those sensors. It also describes the observations and techniques used for sensing. The notion of operating ranges and survival ranges of sensors and their performance in those ranges are also included. To represent deployment lifetime and sensing purpose, structures are also included. Moreover, external concepts are included to allow linking of to external ontologies such as the observations of a particular property of a feature. In this case, the observations are described but the feature and property are left as vacant placeholders. + +![Figure I.1: The SSN ontology, key concepts and relations. The diagram shows a complex network of concepts and their relationships, organized into ten modules: Deployment, System, OperatingRestriction, Process, PlatformSite, Device, Data, SSO Pattern, MeasuringCapability, and ConstraintBlock. Key concepts include DeploymentRelatedProcess, Deployment, System, SurvivalRange, OperatingRange, Input, Output, Process, Platform, attachedSystem only, Device, Sensor, SensingDevice, Stimulus, Observation, ObservationValue, Property, FeatureOfInterest, MeasurementCapability, and Condition. Relationships are indicated by dashed arrows with labels such as 'hasDeployment only', 'hasSubsystem only, some', 'hasSurvivalRange only', 'hasOperatingRange only', 'hasInput only', 'hasOutput only, some', 'isProduceBy some', 'detects only', 'isProxyFor only', 'includesEvent some', 'observationResult only', 'observedBy only', 'featureOfInterest only', 'observedProperty only', 'isPropertyOf some', 'hasProperty only, some', 'hasMeasurementCapability only', 'forProperty only', 'inCondition only', and 'sensingMethodUsed only'.](6470d350326789d5306eabcb76533951_img.jpg) + +Y.4563(21) + +Figure I.1: The SSN ontology, key concepts and relations. The diagram shows a complex network of concepts and their relationships, organized into ten modules: Deployment, System, OperatingRestriction, Process, PlatformSite, Device, Data, SSO Pattern, MeasuringCapability, and ConstraintBlock. Key concepts include DeploymentRelatedProcess, Deployment, System, SurvivalRange, OperatingRange, Input, Output, Process, Platform, attachedSystem only, Device, Sensor, SensingDevice, Stimulus, Observation, ObservationValue, Property, FeatureOfInterest, MeasurementCapability, and Condition. Relationships are indicated by dashed arrows with labels such as 'hasDeployment only', 'hasSubsystem only, some', 'hasSurvivalRange only', 'hasOperatingRange only', 'hasInput only', 'hasOutput only, some', 'isProduceBy some', 'detects only', 'isProxyFor only', 'includesEvent some', 'observationResult only', 'observedBy only', 'featureOfInterest only', 'observedProperty only', 'isPropertyOf some', 'hasProperty only, some', 'hasMeasurementCapability only', 'forProperty only', 'inCondition only', and 'sensingMethodUsed only'. + +Figure I.1 – The SSN ontology, key concepts and relations [b-Compton] + +### I.2 Web of things (WoT) description model + +The W3C web of things (WoT) [b-Kaebisch] enables interoperability across IoT platforms and application domains. It provisions mechanisms to describe IoT interfaces to enable IoT devices and services to communicate with each other, independent of their underlying implementation, and across multiple networking protocols. It also provisions a standardized way to define the behaviour of IoT programmes. + +#### *WoT thing description* + +The WoT thing description (TD) is the structured data that fills the gap between linked data vocabularies and APIs of IoT systems. A TD provides general metadata of a thing, also interactions metadata, data model, communication, and security mechanisms of a thing. TDs use domain-specific metadata for WoT. JSON-LD is used to serialize thing descriptions. JSON-LD provides a good option for machine-understandable semantics as well as the usability for developers. Thing descriptions are maintained in thing directories which provide an interface for registration and removal. A web-based interface for lookups is also provided by thing directories which includes a SPARQL endpoint for semantic queries. The WoT thing description provides interoperability in two ways. Firstly, TDs enable machine-to-machine communication in the web of things. Secondly, TDs can provide a common format for developers to recommend and retrieve the information required to access IoT devices and their data. + +The following figure provides a view of how a WoT description can be used in a WoT architecture together with building blocks. + +![Diagram of the WoT architecture showing the relationship between the Semantic information model and the Thing architecture.](3cc095fb84e92690c9d49d3e17c0f1dc_img.jpg) + +The diagram illustrates the WoT architecture. On the left, a red dashed box labeled 'Semantic information model' contains a 'WoT thing description' icon. This model is linked to a 'Thing' architecture on the right. The 'Thing' architecture is a stack of components: 'Application' (top), 'WoT scripting API', 'Interaction model', and 'WoT binding templates' (bottom). The 'WoT binding templates' section includes 'Web', 'OCF', 'oneM2M', and an ellipsis. Arrows show 'General metadata' flowing from the 'WoT thing description' to the 'Application' layer, and 'Communications metadata' flowing from the 'WoT thing description' to the 'WoT binding templates' layer. Below the 'WoT binding templates', dashed green arrows connect 'Web' to 'Web client', 'OCF' to 'OCF device', 'oneM2M' to 'oneM2M', and the ellipsis to 'Thing'. The identifier 'Y.4563(21)' is located at the bottom right of the diagram. + +Diagram of the WoT architecture showing the relationship between the Semantic information model and the Thing architecture. + +Figure I.2 – The model of thing description with WoT architecture [b-Lagally] + +### I.3 Hierarchical classification of things + +#### *Taxonomy* + +Taxonomy is a hierarchical classification of things in which a content object can be placed in one node. In contrast, a metadata is a flat model of information associated with the content. + +In data interoperability, taxonomy is required for: + +- Aggregating data; +- Classification of information; +- Filtering of data; +- Searching the data; +- Knowledge management; + +- Relationship among tables. + +#### ***Vocabularies*** + +For a common understanding of data in IoT environments, developing ontology requires commonly used terminologies that can be achieved by following a vocabulary. + +Several vocabularies have been based developed by several organizations that cover diverse domains. Different organizations may build their own data model based on a vocabulary that is independent and application-specific. But these vocabularies are not linked, implemented and maintained as separate entities at a national and local level. + +To share a common understanding and unambiguous meaning of data, and to support data interoperability, the following are possible solutions that need to be considered: + +- A common specification or data model to build a vocabulary; +- If a new vocabulary is developed it should follow a common specification; +- Existing vocabulary needs to be updated following the specification; +- An association of vocabularies that links the standard vocabularies. + +A vocabulary includes detailed information about the concepts that uniquely identify and describe all the fundamental elements in the data model. The vocabulary does not depend on the data model, rather a data model is built according to a standard vocabulary. + +A standard vocabulary has the following characteristics: + +- A vocabulary contains different terminologies from different sources; +- Each terminology in the vocabulary is defined as a concept; +- Each entity in the vocabulary is identified by unique identifiers (e.g., uniform resource identifier (URI) for concept) to link the concept; +- Relationships among the concepts are maintained for the semantics of the concepts (e.g., the meaning of the same concept varies depending on the context); +- For naming a concept, meaningful synonyms should be included for the meaning in different contexts among multiple domains; +- It should include concepts as standard concepts that will describe the information regarding the data model, source of the model, creator of the data mode, organization, etc. + +An entity-relationship model for a concept in a vocabulary has been shown in Figure I.3. + +![Figure I.3 – A model of a vocabulary concept. This diagram shows a central 'Concept' entity with various attributes, surrounded by other entities and their relationships. The 'Concept' entity has attributes: Concept_URI, Concept_Name, Domain_URI, Vocabulary_URI, Concept_Source_URI, Relationship_URI, Synonym_URI, and Class_URI. It is connected to 'Vocabulary' (via 'includedIn'), 'Domain' (via 'hasDomain'), 'Concept_Synonym' (via 'hasSynonym'), 'Class' (via 'includeClass'), and 'Property' (via 'hasProperty'). 'Vocabulary' has attributes: Vocabulary_URI, Vocabulary_Name, and Vocabulary_Version. 'Domain' has attributes: Domain_URI, Domain_Name, and Domain_Creator_URI. 'Concept_Synonym' has attributes: Synonym_UTI, Synonym_Name, and Synonym_Language. 'Class' has attributes: Class_URI, Class_Name, and Property_URI. 'Property' has attributes: Property_URI, Property_Name, and Property_Type. 'Concept_relationship' has attributes: Relationship_URI, Relationship_Name, and Domain_URI, and is connected to 'Concept' via 'hasRelationship'.](08dce7ad4c512fdf0c0cde60415fade6_img.jpg) + +``` + +classDiagram + class Vocabulary { + - Vocabulary_URI + - Vocabulary_Name + - Vocabulary_Version + } + class Domain { + - Domain_URI + - Domain_Name + - Domain_Creator_URI + } + class Concept { + - Concept_URI + - Concept_Name + - Domain_URI + - Vocabulary_URI + - Concept_Source_URI + - Relationship_URI + - Synonym_URI + - Class_URI + } + class Concept_Synonym { + - Synonym_UTI + - Synonym_Name + - Synonym_Language + } + class Concept_relationship { + - Relationship_URI + - Relationship_Name + - Domain_URI + } + class Class { + - Class_URI + - Class_Name + - Property_URI + } + class Property { + - Property_URI + - Property_Name + - Property_Type + } + + Vocabulary --> Concept : includedIn + Domain --> Concept : hasDomain + Concept_Synonym --> Concept : hasSynonym + Concept_relationship --> Concept : hasRelationship + Class --> Concept : includeClass + Concept --> Property : hasProperty + +``` + +Y.4563(21) + +Figure I.3 – A model of a vocabulary concept. This diagram shows a central 'Concept' entity with various attributes, surrounded by other entities and their relationships. The 'Concept' entity has attributes: Concept\_URI, Concept\_Name, Domain\_URI, Vocabulary\_URI, Concept\_Source\_URI, Relationship\_URI, Synonym\_URI, and Class\_URI. It is connected to 'Vocabulary' (via 'includedIn'), 'Domain' (via 'hasDomain'), 'Concept\_Synonym' (via 'hasSynonym'), 'Class' (via 'includeClass'), and 'Property' (via 'hasProperty'). 'Vocabulary' has attributes: Vocabulary\_URI, Vocabulary\_Name, and Vocabulary\_Version. 'Domain' has attributes: Domain\_URI, Domain\_Name, and Domain\_Creator\_URI. 'Concept\_Synonym' has attributes: Synonym\_UTI, Synonym\_Name, and Synonym\_Language. 'Class' has attributes: Class\_URI, Class\_Name, and Property\_URI. 'Property' has attributes: Property\_URI, Property\_Name, and Property\_Type. 'Concept\_relationship' has attributes: Relationship\_URI, Relationship\_Name, and Domain\_URI, and is connected to 'Concept' via 'hasRelationship'. + +**Figure I.3 – A model of a vocabulary concept** + +#### ***Linked open data*** + +- **Linked open data:** Linked open data is a semantic framework that establishes the links among different data sets. The data sets can be geographically scattered or bound to organizational territories. Moreover, a linked data infrastructure can be established between diverse databases located in different data centres. Linked data provides a way to publish data in a machine-readable and human understandable format on the internet. In linked data design hypertext transfer protocol (HTTP) and URIs are used to expose and publish the data on the web. W3C recommended semantic representations format (RDF) is used to organize the data as linked open data [b-W3C, b-Wikipedia]. +- **Linked open vocabularies (LOV):** Linked open vocabularies (LOV) are RDF-based repositories in which data publishers and consumers can lookup vocabularies [b-Vandenbussche, b-LOV]. These vocabularies can be used to annotate and parse messages. Many works for defining domain-dependent and independent vocabularies have been performed, such as schema.org1. Other initiatives are similar to MobiVoc2, which is a domain-dependent RDF vocabulary for mobility. Moreover, semantic sensor network ontology (SSN) provides high level semantic specifications of things and their relations. + +# Appendix II + +## Provision of interoperability among applications across buildings – Project Haystack approach + +(This appendix does not form an integral part of this Recommendation.) + +There have been some initiatives that cater to interoperability in different domains. One of these is the project Haystack [b-Haystack] which provides interoperability among applications across buildings. + +### Data models and formats in Haystack project + +The project is an open source initiative to promote the interoperability of applications [b-Haystack]. It describes data models, data formats and data structures to share data on HTTP with the REST APIs. Haystack project introduces concepts like TagModel, Structure, TimeZones and Units. The TagModel is a meta-model that uses tags. The tags are name/value pairs that are associated with an entity. As tags are simple and dynamic, they provide a flexible way to build standardized models and are customizable according to any project or equipment. Further, the tagging models are integrated and layered above existing models such as object-oriented classes or relational schemas. While the notion of entity is the real-world object abstraction in a haystack. The entity may include sensors, weather stations, equipments, buildings, etc. From a software systems point of view an entity can be modelled as a record entry in a database or an object. + +Moreover, we describe some of the key concepts associated with interoperable data formats introduced in the Haystack project below. + +#### *Tags:* + +It is a pair of names/values which are associated with an entity. It describes any facts or attributes about an entity. If we associate a *site* tag with an entity then it is considered as a building. If we include *geoAddr* then we declare the street address for that building. An example of an entity describing a site is presented below which includes seven tags including id, site, dis, area, geoAddr, tz and weather. + +``` +id: @whitehouse +dis: "White House" +site +area: 55000ft2 +geoAddr: "1600 Pennsylvania Avenue NW, Washington, DC" +tz: "New_York" +weatherRef: @weather.washington +``` + +**Figure II.1 – Example for an entity describing a site with corresponding tags [b-Haystack]** + +#### *Grids:* + +- A tabular two-dimensional data structure is used to serialize tagged data. Tabular representation of tagged entities in a grid is serialized over HTTP using the Rest API. The grid constitutes the metadata at grid level; +- Columns of a programmatic name and metadata; + +- Rows are defined as scalar cells. + +An example of a grid representing three entities all having id, dis and site tags. The entities when combined in a grid, forms five columns and three rows: + +| id | dis | site | area | phone | +|---------|----------|------|----------------------|------------------| +| @site-a | "Site A" | ✓ | 45000ft 2 | | +| @site-b | "Site B" | ✓ | | | +| @site-c | "Site C" | ✓ | 62000ft 2 | "(804) 555-1234" | + +**Figure II.2 – Example for a grid [b-Haystack]** + +Haystack project provides data formats for easy exchange of data. It introduces some more common data structures and text formats as below: + +- Filters: A predicate language used for querying tagged data; +- Zinc: A format for exchanging plain text data; +- JSON: JavaScript object notation; +- CSV: encoding data with comma separated values. + +## Appendix III + +## Use case of data interoperability provisioning in web of objects (WoO) based IoT environments + +(This appendix does not form an integral part of this Recommendation.) + +### III.1 VO information model in WoO based IoT environment + +To support data interoperability, an information model is required for the semantic meaning of data. A VO information model is a general model that is used to virtualize real world objects in the virtual world. + +![Figure III.1 – VO information model diagram showing relationships between VO, RWO, VO function, VO interface, and various features and interfaces.](fcbc3c31776721edc98ceb1944ec438f_img.jpg) + +The diagram illustrates the VO information model with the following entities and their attributes: + +- VO**: + - hasURI: URI + - hasType: URI + - hasDeploymentInfo: URI + - hasStatus: String + - isMobile: Boolean +- Owner**: + - hasURI: URI +- Functions features**: + - hasName: String + - hasFeatureType: URI + - hasFeatureValue: Literal +- RWO**: + - hasURI: URI +- VO function**: + - hasURI: URI + - hasName: String + - hasDescription: String + - hasInput: xsd^^String[] + - hasOutput: xsd^^String[] +- Input interface**: + - hasInput: URI + - hasInputType: String + - hasAPI: URI +- VO interface**: + - hasURI: URI + - hasName: String + - hasInterfaceType: URI + - hasInterfaceValue: Literal +- RWO parameter**: + - hasURI: URI + - hasName: String + - hasParameterType: URI + - hasParameterValue: Literal +- Access right**: + - hasURI: URI + - hasValue: Literal +- RWO location**: + - hasLongitude: Float + - hasLatitude: Float + - hasAltitude: Decimal +- Output interface**: + - hasInput: URI + - hasOutputType: String + - hasAPI: URI + +Relationships (Associations): + +- VO** *hasOwner* **Owner** +- VO** *representsRWO* **RWO** +- VO** *offersFunction* **VO function** +- VO** *hasParameter* **RWO parameter** +- VO** *hasFunctionAccessRight* **Access right** +- VO** *hasParameterAccessRight* **Access right** +- VO** *hasLocation* **RWO location** +- VO function** *hasFeatures* **Functions features** +- VO function** *hasInputInterface* **Input interface** +- VO function** *hasOutputInterface* **Output interface** +- RWO** *hasParameter* **RWO parameter** +- RWO parameter** *hasParameterAccessRight* **Access right** +- Input interface** *hasInputInterface* **VO interface** +- Output interface** *hasOutputInterface* **VO interface** + +Y.4563(21) + +Figure III.1 – VO information model diagram showing relationships between VO, RWO, VO function, VO interface, and various features and interfaces. + +Figure III.1 – VO information model + +Features of a VO information model: + +- Provides interrelationship among the resources and attributes, IoT service entities and interfaces to the real world; +- Enables a real world object to be virtualized to form a VO; +- Through the object virtualization, the real world objects can be accessed internally and externally; +- Provides interfacing of the real world object to the external world; +- Includes a set of metadata so that an object can be represented semantically. + +### III.2 CVO information model in WoO based IoT environment + +To support data interoperability and reusability, a composite virtual object (CVO) information model allows service publicizing, reusability and interoperability among heterogeneous application domains. + +A CVO information model is a general model that is used to develop domain specific CVO to offer service relevant functionalities. Figure III.2 shows a CVO information model. + +![Figure III.2 – CVO information model diagram showing relationships between CVO, VO, CVO operation, VO function, CVO parameter, CVO interface, Owner, Request parameter, and Access right.](78ff716475b2f65bf01c3a4d02d89fc4_img.jpg) + +``` +graph TD + CVO["CVO +- hasURI: URI +- hasStatus: String"] + VO["VO +- hasURI: URI"] + CVO_operation["CVO operation +- hasURI: URI +- hasStatus: String"] + VO_function["VO function +- hasURI: URI +- hasName: String +- hasDescription: String +- hasInput::xsd^^String[] +- hasOutput::xsd^^String[]"] + CVO_parameter["CVO parameter +- hasURI: URI +- hasName: String +- hasFeatureType: URI +- hasFeatureValue: Literal"] + CVO_interface["CVO interface +- hasURI: URI +- hasName: String +- hasInterfaceType: URI +- hasInterfaceValue: Literal"] + Owner["Owner +- hasURI: URI"] + Request_parameter["Request parameter +- hasURI: URI +- hasName: String +- hasFeatureType: URI +- hasFeatureValue: Literal"] + Access_right["Access right +- hasURI: URI +- hasValue: Literal"] + + CVO -- hasVO --> VO + CVO -- hasOwner --> Owner + CVO -- hasRequestParameter --> Request_parameter + CVO -- hasCVOParameter --> CVO_parameter + CVO -- hasInterface --> CVO_interface + CVO -- includesVOFunction --> CVO_operation + VO -- offersFunction --> VO_function + CVO_operation -- hasOperationAccessRight --> Access_right + VO_function -- hasFunctionAccessRight --> Access_right +``` + +Figure III.2 – CVO information model diagram showing relationships between CVO, VO, CVO operation, VO function, CVO parameter, CVO interface, Owner, Request parameter, and Access right. + +Y.4563(21) + +**Figure III.2 – CVO information model** + +Features of a VO information model: + +- Allows interrelationship among service relevant VOs, VO functions, CVO operation, parameters, etc.; +- Includes a set of metadata that describes the attributes for unambiguous representation of the attributes. + +### III.3 Semantic ontology for data interoperability + +For data interoperability, linking, storing, querying and searching data in a machine readable and automated manner requires the use of semantic ontology that should be registered and maintained by the semantic ontology registry (SOR). W3C standards on semantic ontology and ISO/IEC metadata standards have been adopted for the SOR. + +To allow data interoperability in IoT environments, the semantic ontologies require to be interlinked to each other so that they can enable sharing and reusing of existing ontologies across the application domains that are enabled by the SOR framework. + +#### III.3.1 SOR framework + +To support data interoperability a semantic ontology registry (SOR) framework has been proposed that enables the following functionalities: + +- Registration of multiple ontologies in the SOR cloud; +- Each ontology will be assigned with a unique identifier using URI; +- Searching of data elements in the ontology that are maintained in the SOR; +- Extraction of the description of the data element from the SOR; +- Reusing of the data element by linking the respective data element; + +To support data interoperability efficiently across the IoT environments, the following additional functionalities are supported by the SOR: + +- Linking and associating the data element across different SORs according to well-defined terminologies from standard vocabularies; +- Query the relationship of the data element across the SORs; +- Linked data principles have been applied for the semantically linked SOR framework. Linked data allows URIs and RDFs for linking and describing the data elements for sharing and linking objects. Linked data exposes the data elements in the ontology maintained by the SOR so that the data elements can be interlinked with other data elements in different ontologies in the SOR cloud. + +#### III.3.2 Mapping of data element to the terminology server (vocabulary) + +To support data interoperability, for common understanding and unambiguous meaning of data, it is important to follow common metadata and terminologies that have been described in the vocabulary. There are several terminology servers that follow the linked data principle. + +Requirements for mapping data elements in SOR with the terminology servers include: + +- Each of the data elements in the SOR needs to be annotated and linked with an external terminology server using a URI in the linked data cloud; +- To interrelate data elements in the SOR cloud with the terminology server, some components are used to link between them that includes: + - Object classification (OC) that identify the object of the data element; + - Object classification item (OCI) that includes a description of the vocabulary, specific object in the vocabulary and URI of the object. +- Name of the vocabulary if the source from where the object is imported; +- URI is used to identify the object in the vocabulary that is inserted as a value; +- Simple knowledge organization system (SKOS) is used to interrelate one data element in one SOR with another data element in a different SOR; +- OCI is used to make a relationship between data elements in different SORs; +- Source data element is identified by source URI, and the target data element is identified by the target URI. + +This mechanism of linking the data element with the terminology server allows the data element across the SOR in the cloud to use the same terminology, same descriptions with the same resources to provide the same meaning of the data element and the value of the data element across the SORs. The OC and OCI have been adopted from ISO/IEC 11179 classification scheme and classification scheme item. + +Figure III.3 shows the linking of data elements with the terminology server. + +![Figure III.3 – Mapping of data element to the terminology server for common vocabulary to support data interoperability. The diagram shows a Terminology server (Vocabulary) at the top, connected via HTTP-REST to two Data element boxes. Each Data element box contains an Object class (OC) and an Object classification item (OCI) table. The OCI table has four rows: Source object (rdfs: URI), Target object (rdfs: URI), Imported from (Name of vocabulary), and Imported from (URI of object in Voc.). A SKOS: semanticMatch oval is connected to the OC and OCI tables. A box labeled 'URI of object in terminology server' is connected to the OCI table. A reference 'Y.4563(21)' is at the bottom right.](77959075c823bb5169480d7b8ff82a63_img.jpg) + +Y.4563(21) + +Figure III.3 – Mapping of data element to the terminology server for common vocabulary to support data interoperability. The diagram shows a Terminology server (Vocabulary) at the top, connected via HTTP-REST to two Data element boxes. Each Data element box contains an Object class (OC) and an Object classification item (OCI) table. The OCI table has four rows: Source object (rdfs: URI), Target object (rdfs: URI), Imported from (Name of vocabulary), and Imported from (URI of object in Voc.). A SKOS: semanticMatch oval is connected to the OC and OCI tables. A box labeled 'URI of object in terminology server' is connected to the OCI table. A reference 'Y.4563(21)' is at the bottom right. + +**Figure III.3 – Mapping of data element to the terminology server for common vocabulary to support data interoperability** + +#### III.3.3 Utilization of linked SORs for data interoperability + +In data interoperability, data needs to be collected and analysed based on a domain-specific format, but it should be automatic to manage huge amounts of data from the large number of data sources. SOR enables the system to populate the data automatically coming from heterogeneous sources based on the specification of the data model using SOR query services. Hence, searching and linking data elements in the SOR is necessary. + +The following steps describe the process to search and link data elements in the SOR: + +- Application server searches the local SOR to retrieve data elements along with their descriptions for the selected set of data element. Local SOR returns a list of data elements descriptions, including their URIs of matching data elements maintained by the SOR; +- Semantic ontology manager responds to the application server with the matching set of data elements according to the requirements of the ontology model; +- Application server searches the similar terminology based on the extraction specification of the data elements; +- SPARQL query manager is used to query the SOR in the cloud for the specifications of data elements. It searches specifications of each registered data element in the SOR cloud; +- Based on the query request, the URI of the specification of a data element is searched in the registered SORs; +- SOR in the cloud responds with the URI of the specifications of the data element to the query manager, and then the manager responds to the application server with the URI of specifications. + +Data interoperability provisioning in WoO based IoT environments supports: + +- To aggregate, process and manage data; +- To follow semantic data model to describe the concepts and their relationship; +- To use semantic schema for describing the relationship among the concepts; + +- To virtualize real world objects to semantic ontology; +- To format the XML/RDF format to express virtual objects that are stored in an OWL format; +- Hierarchy of classes and sub-classes in semantic ontology; +- To map classes in one ontology with external classes in different ontologies for reusing data and information; +- To allow linked data concept for linking other ontologies to enhance knowledge and capabilities; +- Semantic annotations to describe the classes, properties and specifications of a domain; +- To allow the use of common terminology in the vocabulary to develop ontology. + +# Appendix IV + +## Common data model (CDM) to transform into a common model + +(This appendix does not form an integral part of this Recommendation.) + +A common data model (CDM) is a set of data elements that can be mapped among different interoperating systems. A commonly agreed common data model is necessary so that a heterogeneous interoperating system can interact and understand based on a CDM. A CDM is the core of a data service that is populated with different data elements and useful in multiple application domains. Features of CDM include: + +- A CDM is scalable that allows adding new data elements based on the requirements; +- A CDM allows the transformation of data into a single common data format from a different format that is collected from heterogeneous sources. For transformation into a common format or CDM, common terminologies from standard vocabularies need to be followed. + +A conceptual model of a CDM has been shown in Figure IV.1. + +![Figure IV.1: A conceptual model of a CDM. The diagram shows three input boxes at the top (blue, yellow, green) representing different data sources. Arrows from these boxes point to a central horizontal bar labeled 'Transformation to common data model'. Below this bar are three identical boxes, each containing a diagram of three interconnected nodes (black squares). Arrows from these three boxes point to a box labeled 'Methods for data analysis' and a cylinder labeled 'Results of the analysis'. The text 'Y.4563(21)' is located at the bottom right of the diagram.](8c880d6b715587bd710a9ba8414469b1_img.jpg) + +Y.4563(21) + +Figure IV.1: A conceptual model of a CDM. The diagram shows three input boxes at the top (blue, yellow, green) representing different data sources. Arrows from these boxes point to a central horizontal bar labeled 'Transformation to common data model'. Below this bar are three identical boxes, each containing a diagram of three interconnected nodes (black squares). Arrows from these three boxes point to a box labeled 'Methods for data analysis' and a cylinder labeled 'Results of the analysis'. The text 'Y.4563(21)' is located at the bottom right of the diagram. + +**Figure IV.1 – An example of a conceptual model of a CDM** + +Conventions, features and characteristics of a CDM are listed below: + +- CDM consists of a set of commonly used data elements; +- Terminology for data elements used in the CDM should be taken from standardized terminology; +- Should have the capacity to reuse data elements; +- Due to increased number of datasets, the CDM should be scalable so that it can support an increasing number of datasets for data processing and management; +- CDM should be platform independent; +- One convention should be followed across different tables for naming a variable. + +CDM plays an important role in improving the common understanding of data elements, quality of data, and for sharing among multiple application domains. CDM has been designed and applied to control and exchange data in the domains of food, drug, clinical healthcare, and different medical applications. Depending on the types of data elements and data, different types of CDM are required that are listed here: + +- A universal CDM is used for study purposes and not for a specific interest (e.g., subjects in health study) that require extraction of information from multiple sources regardless of boundaries or countries (e.g., the disease may be common to specific countries around the world) for general outcomes; +- A domain-specific CDM is used for specific domain or studies in specific topics, such as health, medicine, body system and also for classification; +- A required CDM is requested for an institutional policy or for keeping a record for the institution; +- Domain specific CDM focusing on a specific study. + +# Bibliography + +- [b-Bröring] Bröring, Arne, et al. "Enabling IoT ecosystems through platform interoperability." *IEEE software* 34.1 (2017): 54-61. +- [b-Compton] Compton, M., Barnaghi, P., et al. (2012), The SSN ontology of the W3C semantic sensor network incubator group. *Journal of Web Semantics*, Volume 17, December, pp 25-32. <> +- [b-Euzenat] Jerome Euzenat & Pavel Shvaiko. *Ontology matching*. Springer-Verlag New York, Inc., Secaucus, NJ, USA, 2007. +- [b-Haller] Haller, Armin., Janowicz, K., et al. (2018), The SOSA/SSN ontology: a joint W3C and OGC standard specifying the semantics of sensors, observations, actuation, and sampling. *Semantic Web X IOS Press*. < > +- [b-Haystack] Project Haystack. (2014), An open source initiative to streamline working with IoT data. +- [b-Hoebeke] Hoebeke J, De Poorter E, Bouckaert S, Moerman I, Demeester P (2011) Managed ecosystems of networked objects. *Wirel. Pers. Commun.* 58(1):125-143. +- [b-Ishaq] Ishaq I, Hoebeke J, Moerman I, Demeester P (2012) Internet of things virtual networks: bringing network virtualization to constrained devices. 2012 IEEE Int Conf Cyber Phys Soc Comput. +- [b-Kaebisch] Kaebisch, S., Kamiya, T., et al. (2020), Web of Things (WoT) Thing Description, *WRC Recommendation*. <> +- [b-Kiljander] Kiljander, Jussi, et al. "Semantic interoperability architecture for pervasive computing and internet of things." *IEEE access* 2 (2014): 856-873. +- [b-Lagally] Lagally, M., Matsukura, R., et al. (2021), Web of Things (WoT) Architecture 1.1, *WRC Editor's Draft*. <> +- [b-LOV] Linked Open Vocabularies (2016), *Semantic Web Journal*. <> +- [b-Vandenbussche] Vandenbussche, P. Y., Atemezing, G. A., et al. (2014), Linked Open Vocabularies (LOV): a gateway to reusable semantic vocabularies on the Web, *IOS Press Semantic Web Journal*. <> +- [b-W3C] W3C Semantic Web (2015), Linked Data. <> +- [b-Wikipedia] Wikipedia, The Free Encyclopedia. <> + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications 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+1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:ab2a7bbc8c3430a36f3de65a6b518290bdd63b738e04c579cc9245c0617e8358 +size 19757 diff --git a/marked/Y/T-REC-Y.4601-202301-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4601-202301-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..15936dafd97688625095c93513d445a2488334fe --- /dev/null +++ b/marked/Y/T-REC-Y.4601-202301-I_PDF-E/raw.md @@ -0,0 +1,670 @@ + + +# Recommendation**ITU-T Y.4601 (01/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Services, applications, computation and data processing + +--- + +## **Requirements and capability framework of a digital twin for smart firefighting** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +| | | +|-----------------|---------------| +| FUTURE NETWORKS | Y.3000–Y.3499 | +|-----------------|---------------| + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3500–Y.3599 | +|-----------------|---------------| + +| | | +|----------|---------------| +| BIG DATA | Y.3600–Y.3799 | +|----------|---------------| + +| | | +|-----------------------------------|---------------| +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +|-----------------------------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|----------------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4601 + +# Requirements and capability framework of a digital twin for smart firefighting + +## Summary + +Recommendation ITU-T Y.4601 specifies the requirements and capability framework of a digital twin for smart firefighting. + +A digital twin is a digital representation of an object of interest and may require different capabilities according to the specific domain of application such as synchronization between a physical thing and its digital representation, and real-time support (see Recommendation ITU-T Y.4600). + +Through the Internet of things (IoT) technology deployment and the information integration process, a digital twin can provide high fidelity digital representation of a fire scene, enable dynamic convergence between the physical entity and digital entity, achieve comprehensive understanding and control of the past, present and future of the fire scene. The current state of the art for firefighting lacks comprehensive dynamic sensing capability and prediction capability. It cannot provide delayed information, and adequate visibility of the interaction between personnel and a fire scene. + +Through the deployment of gateways, sensors, high quality networks, multi-physics simulations, dynamic analysis and predictions and three dimensional (3D) visualizations, the smart firefighting digital twin enables intelligent services such as personnel tracking, hazard tracking, fire scene dynamic analysis, rescue strategy optimization, pre-simulation, historical scene reconstruction, etc. These intelligent services can help to improve decision-making processes and reduce casualties. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4601 | 2023-01-30 | 20 | 11.1002/1000/15077 | + +## Keywords + +Capabilities, digital twin, Internet of things, requirements, smart firefighting. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-----------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References ..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation ..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Introduction of the digital twin for smart firefighting ..... | 3 | +| 7 Requirements of the smart firefighting system ..... | 4 | +| 7.1 Requirements for the devices ..... | 4 | +| 7.2 Requirements for the network ..... | 5 | +| 7.3 Requirements for the digital twin ..... | 6 | +| 7.4 Requirements for the applications ..... | 7 | +| 8 Capability framework for the smart firefighting system ..... | 7 | +| 8.1 Capabilities of the device layer ..... | 8 | +| 8.2 Capabilities of the network layer ..... | 10 | +| 8.3 Capabilities of the service support and application support layer ..... | 10 | +| 8.4 Capabilities of applications ..... | 12 | +| Appendix I – Use cases of digital twin for smart firefighting ..... | 13 | +| I.1 Fire scene monitoring ..... | 13 | +| I.2 Rescue strategy development and training ..... | 13 | +| Bibliography ..... | 15 | + + + +# Recommendation ITU-T Y.4601 + +## Requirements and capability framework of a digital twin for smart firefighting + +## 1 Scope + +This Recommendation specifies the requirements and capability framework of a digital twin for smart firefighting. + +These requirements and capability frameworks build on the IoT reference model [ITU-T Y.4000] and the common requirements of IoT [ITU-T Y.4100]. They focus on the technical aspects of a digital twin for smart firefighting. + +The scope of this Recommendation includes: + +- Introduction of digital twin for smart firefighting. +- Requirements of digital twin for smart firefighting. +- Capability framework of digital twin for smart firefighting. + +Use cases of digital twin for smart firefighting are provided in Appendix. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|---------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.4000] | Recommendation ITU-T Y.4000/Y.2060 (2012), Overview of the Internet of things . | +| [ITU-T Y.4100] | Recommendation ITU-T Y.4100/Y.2066 (2014), Common requirements of the Internet of things . | +| [ITU-T Y.4113] | Recommendation ITU-T Y.4113 (2016), Requirements of the network for the Internet of things . | +| [ITU-T Y.4401] | Recommendation ITU-T Y.4401/Y.2068 (2015), Functional framework and capabilities of the Internet of things . | + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application** [b-ITU-T Y.2091]: A structured set of capabilities, which provide value-added functionality supported by one or more services, which may be supported by an API interface. + +**3.1.2 device** [ITU-T Y.4000]: With regard to the Internet of Things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.3 digital twin** [b-ITU-T Y.4600]: A digital representation of an object of interest. + +NOTE – A digital twin may require different capabilities (e.g., synchronization, real-time support) according to the specific domain of application. + +**3.1.4 gateway** [b-ITU-T Y.4101]: A unit in the Internet of Things, which interconnects the devices with the communication networks. It performs the necessary translation between the protocols used in the communication networks and those used by devices. + +**3.1.5 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.6 sensor** [b-ITU-T Y.4105]: An electronic device that senses a physical condition or chemical compound and delivers an electronic signal proportional to the observed characteristic. + +**3.1.7 thing** [ITU-T Y.4000]: In the Internet of Things, object of the physical world (physical things) or of the information world (virtual things), which is capable of being identified and integrated into the communication networks. + +### **3.2 Terms defined in this Recommendation** + +This Recommendation defines the following term: + +**3.2.1 smart firefighting digital twin:** A digital twin for support of firefighting intelligent services. + +NOTE – A smart firefighting digital twin, providing a digital representation of the previous, current, and future state of the fire scene, enables intelligent services that can help to improve decision-making processes and reduce casualties. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|-----------------------------------------| +| 2D | Two Dimensional | +| 3D | Three Dimensional | +| CCTV | Closed Circuit Television | +| EHS | Environment, Health, and Safety | +| IoT | Internet of Things | +| NFV | Network Functions Virtualization | +| PM | Particulate Matter | +| RSSI | Received Signal Strength Indicator | +| SDN | Software Defined Network | +| SSAS | Service Support and Application support | +| TOA | Time of Arrival | + +## 5 Conventions + +In this Recommendation: + +The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keywords "is recommended" indicate a requirement that is recommended but which is not absolutely required. Thus, this requirement needs not to be present to claim conformance. + +The keywords "can optionally" and "may" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +## 6 Introduction of the digital twin for smart firefighting + +According to the International Association of Fire Services and Rescue Service (CTIF), World Fire Statistic Report, fire results in 40 thousand deaths and 50 thousand injuries globally every year [b-CTIF-Report-25]. In order to reduce the casualties, the fire department in each country has concentrated on the development of firefighting systems to improve fire fighter safety and the effectiveness of the fire service. However, the state of the art of firefighting technology lacks comprehensive dynamic sensing capability and prediction capability. + +The IoT-related firefighting system mainly provides fire protection functionalities (i.e., smoke detector, smart fire extinguisher, escape path instruction message) to reduce the response time and evacuation time. Some smart firefighting technologies provide blueprints or maps of the fire scene, but do not update the status of the fire scene, which changes all the time due to the influence of the fire. + +A digital twin can be used to support firefighting intelligent services (smart firefighting). + +NOTE 1 – A digital twin is a digital representation of an object of interest and may require different capabilities according to the specific domain of application, such as synchronization between a physical thing and its digital representation, and real-time support [b-ITU-T Y.4600]. + +A digital twin for smart firefighting utilizes fire scene data to analyse, simulate, and modelling the fire scene, and thus provide a digital representation of the previous, current and future state of the fire scene. It integrates various independent technologies into a comprehensive system. The goal of the digital twin for smart firefighting is to help firefighter enhance situational awareness, understand the fire environment and improve the ability of the fire service. Examples of such services include, but are not limited to, personnel tracking, hazard tracking, fire scene analysis, rescue strategy optimization, pre-simulation, and historical scene reconstruction. + +Figure 1 shows the overall conceptual diagram of a digital twin for smart firefighting. + +![Overall conceptual diagram of digital twin for smart firefighting. The diagram shows a central 'Digital twin' box connected to various platforms and devices. The 'Smart firefighting system' (dashed yellow box) includes 'Smart firefighting devices' connected via an 'IoT network' to the 'Digital twin'. Outside this system, the 'Digital twin' interacts with the 'Smart water platform' (receiving 'Fire demand rate' and sending 'Water dispatching'), 'EHS management platform' (sending 'Hazards information'), 'Smart city and building platform' (receiving 'Evacuation' and sending 'Population information'), 'Smart utility metering platform' (receiving 'Emergency cutoff' and sending 'Gas, electric information'), and 'Network management platform' (receiving 'Emergency network support' and sending 'Network status'). 'Applications' and 'Rescue personnel users' are also connected to the 'Digital twin'.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Overall conceptual diagram of digital twin for smart firefighting. The diagram shows a central 'Digital twin' box connected to various platforms and devices. The 'Smart firefighting system' (dashed yellow box) includes 'Smart firefighting devices' connected via an 'IoT network' to the 'Digital twin'. Outside this system, the 'Digital twin' interacts with the 'Smart water platform' (receiving 'Fire demand rate' and sending 'Water dispatching'), 'EHS management platform' (sending 'Hazards information'), 'Smart city and building platform' (receiving 'Evacuation' and sending 'Population information'), 'Smart utility metering platform' (receiving 'Emergency cutoff' and sending 'Gas, electric information'), and 'Network management platform' (receiving 'Emergency network support' and sending 'Network status'). 'Applications' and 'Rescue personnel users' are also connected to the 'Digital twin'. + +Y.4601(23) + +**Figure 1 – Overall conceptual diagram of digital twin for smart firefighting** + +A smart firefighting device consists of environment sensors, rescue personnel sensors, and a gateway for connection to the digital twin. Smart firefighting devices can measure the environmental status, such as temperature, position, O2/CO2 concentration and wind speed, as well as rescue personnel vital signs. + +NOTE 2 – Rescue personnel may include firefighters, engineers, medical groups and other related personnel. + +The network enables the interaction between smart firefighting devices and a firefighting digital twin. + +The digital twin component of the smart firefighting system is responsible for collecting and managing environmental data, rescue personnel data and data from other platforms shown in Figure 1. It also performs modelling, visualization, simulation and prediction for purposes of fire scene monitoring and rescue strategy development, and eventually provides fire scene monitoring information, rescue strategy and command to the rescue team. + +NOTE 3 – Concerning other platforms, the digital twin may collect information from other platforms such as fire demand rate, hazardous information, population information, gas information and network status, thereby help in developing a rescue strategy. It can also send requests to other platforms for emergency services, such as water dispatching, evacuation, emergency cut-off and emergency network support. + +## 7 Requirements of the smart firefighting system + +In addition to the common requirements specified in [ITU-T Y.4000] [ITU-T Y.4100] [ITU-T Y.4113], specific requirements for the smart firefighting system are provided in clauses 7.1 to 7.4. + +### 7.1 Requirements for the devices + +The following are the device requirements for the smart firefighting system: + +- 1) General + - All devices are required to report their status and the collected data to the rescue team mobile devices and the digital twin. + +- All devices are recommended to perform self-diagnostic and self-calibration in order to ensure normal operation. +- 2) Sensor device +- The environmental sensor is required to collect timely information of the fire status, including but not limited to geographical location, temperature, spread direction and fire intensity. + - The environmental sensor is required to collect timely information of the environment, including but not limited to wind, environment temperature and weather. +NOTE – In a burning building, fastmoving spread wind-driven flames, smoke and toxic gases through corridors and stairways can cause casualties without advance notice. + - The environmental sensor is required to collect timely information of the fire consequences, including but not limited to harmful gases (CO2/CO) concentration, and structural responses (geometric deformation, embrittlement, and meltdown of wood beam, steel beam, brick, forest, etc.). + - The environmental sensor is required to collect timely information of the personnel at the fire scene, such as position, amount, movement data of victims and firefighters. Such technologies include but are not limited to high data rate wireless multimedia networks technology [b-IEEE 802.15.3], low rate wireless networks technology [b-IEEE 802.15.4] and monitoring camera. + - The environmental sensor is required to be spread over in order to cover the whole environment. + - The personnel sensor is required to collect timely information of firefighters, such as vital signs (blood oxygen level, blood CO level, heartbeat, respiration and body temperature), position and the surrounding environmental parameters that are related to the firefighters' health. + - Sensors are required to transmit timely sensing information to all firefighters and dispatching centres. + - Sensors are recommended to provide false alarm filtering functionality. +- 3) Mobile device +- The mobile device is required to support multiple input interfaces, such as physical button input and automatic speech recognition. + - The mobile device is required to support video / image display, data storage, networking, three-dimensional (3D) model representation, application download, and update functionalities. +- 4) Gateway device +- The gateway device is required to support or connect to an isolated network. The gateway device can optionally support network slicing or employ physical separation to avoid any interference from the public network. + +### 7.2 Requirements for the network + +The following are the network requirements for the smart firefighting system: + +- 1) The network is required to remain isolated from the public network. The support of physical isolation technology is recommended, while network slicing technology can be optionally supported. Examples of network slicing technology include but are not limited to a software defined network (SDN) [b-SD-RAN V1.0] and network function visualization (NFV) [b-ETSI GS NFV 002]. Examples of physical isolation technology include, but are not limited to, air-gap [b-DiFazio], application-level gateway [b-NEXTEP] and circuit-level gateway [b-NEXTEP]. + +- 2) The network is required to provide the location related information, such as received signal strength indicator (RSSI), time of arrival (TOA), frequency shift and phase shift, which can be used for device position computation [b-Telink]. + +### 7.3 Requirements for the digital twin + +The following are the requirements for the digital twin component of the smart firefighting system: + +- 1) General + - It is required to locate each device and link it to its real-time status. +NOTE – For instance, the digital twin component monitors the position of firefighters and notifies them when they are near a dangerous area or a potential risk. + - It is required to support indoor and outdoor navigation and positioning. + - It is required to monitor the health conditions of firefighters and notify them when their vital signs are near the critical thresholds. + - It is required to store all information and models in a secured local database and update a copy to a remote location. + - It is required to store information of the past fire scene for future rehearsals. + - It is required to share fire scene and dispatch information to involved personnel in order to help additional supporting teams to understand the situation, such as the police, the engineering group, and the medical aid. + - It is required to share fire scene and dispatch information with other smart platforms in order to perform emergency cut-off or dispatching. + - It is required to provide data pre-processing before modelling and simulation, such pre-processing includes but is not limited to data cleaning, data mining and data analysis. +- 2) Multi-physics modelling + - It is required to support the modelling of the architecture, topography, and/or structure of the environment. + - It is required to support the modelling of the chemical and physical properties of hazards (flammable, combustible, toxic, etc.). + - It is required to support the modelling of various properties of the environment such as geometry, weight, structure and the physical and chemical properties of the materials. + - It is required to support the modelling of the firefighter equipment and their working mechanism. + - It is recommended to perform scene rendering, providing fire scene visualization for the rescue and supporting team. +- 3) Multi-physics simulation + - It is required to support the analytical simulation of the current fire scene based on the sensing data. + - It is required to predict the evolution of the fire scene based on the sensing data; such predictions include but are not limited to structural response, fire intensity, fire spreading direction, and spreading rate. + - It is required to support the simulation of the rescue strategy optimization. + - It is required to support a simulation space to create different virtual fire scenes. +- 4) Visualization + - It is required to support the visualization of the architecture, topography or structure of the environment in 3D and two dimensional (2D) modes. + +- It is required to support the visualization of all personnel, device, equipment, hazard, and environment in the fire scene through a graphical user interface. +- It is required to support the visualization of the status of the personnel, equipment, devices, hazard, and environment at the fire scene. +- It is required to support the visualization of the physical interaction between objects and the (current and predicted) environment. +- It is required to support the visualization of the indoor and outdoor navigation and positioning. +- It is required to support the visualization of the strategy optimization. +- It is required to support the visualization of the impact on strategy change. + +### **7.4 Requirements for the applications** + +The following are the application requirements for the smart firefighting system: + +- The applications are required to support multiple input/output modes which can contribute to minimize the number of steps to operate them. +- The applications are required to support multiple communication modes which can facilitate communication among the relevant rescue personnel. + +## **8 Capability framework for the smart firefighting system** + +Based on the IoT reference model specified in [ITU-T Y.4000], Figure 2 illustrates the capability framework of the smart firefighting system, which consists of four layers and two cross-layer capability groups. In addition to the common capabilities of IoT specified in [ITU-T Y.4401], additional or enhanced capabilities are required for the smart firefighting system, as shown via rectangles with solid lines in Figure 2. + +![Figure 2 – Capability framework of the smart firefighting system. The diagram shows a layered architecture with four main layers: Application layer, Service support and application support layer, Network layer, and Device layer. The Application layer contains 'Multiple communication capabilities'. The Service support and application support layer contains 'Digital twin support capabilities' which includes 'Fire scene dispatching capability', 'Strategy development capability', 'Positioning and navigation capability', 'Visualization capability', 'Multi-physics simulation capability', 'Multi-physics modeling capability', and 'Data centre capability'. The Network layer contains 'Network isolation capability' and 'Positioning capability'. The Device layer contains 'Device capabilities' which are divided into 'General' (Self-diagnostic and calibration capability, Fire scene status reporting capability), 'Mobile devices' (Display capability, Efficient interfaces support capability), 'Gateway' (Isolation control capability), and 'Sensor devices' (Fire scene data acquisition capability, Positioning capability). The entire framework is bounded by 'Management capabilities' on the left and 'Security capabilities' on the right.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +The diagram illustrates the capability framework of a smart firefighting system, organized into four main layers within a management and security context. + +- Application layer:** Contains 'Multiple communication capabilities'. +- Service support and application support layer:** Contains 'Digital twin support capabilities', which includes: + - Fire scene dispatching capability + - Strategy development capability + - Positioning and navigation capability + - Visualization capability + - Multi-physics simulation capability + - Multi-physics modeling capability + - Data centre capability +- Network layer:** Contains 'Network isolation capability' and 'Positioning capability'. +- Device layer:** Contains 'Device capabilities', which are further categorized: + - General:** Self-diagnostic and calibration capability, Fire scene status reporting capability. + - Mobile devices:** Display capability, Efficient interfaces support capability. + - Gateway:** Isolation control capability. + - Sensor devices:** Fire scene data acquisition capability, Positioning capability. + +The framework is bounded by 'Management capabilities' on the left and 'Security capabilities' on the right. + +Figure 2 – Capability framework of the smart firefighting system. The diagram shows a layered architecture with four main layers: Application layer, Service support and application support layer, Network layer, and Device layer. The Application layer contains 'Multiple communication capabilities'. The Service support and application support layer contains 'Digital twin support capabilities' which includes 'Fire scene dispatching capability', 'Strategy development capability', 'Positioning and navigation capability', 'Visualization capability', 'Multi-physics simulation capability', 'Multi-physics modeling capability', and 'Data centre capability'. The Network layer contains 'Network isolation capability' and 'Positioning capability'. The Device layer contains 'Device capabilities' which are divided into 'General' (Self-diagnostic and calibration capability, Fire scene status reporting capability), 'Mobile devices' (Display capability, Efficient interfaces support capability), 'Gateway' (Isolation control capability), and 'Sensor devices' (Fire scene data acquisition capability, Positioning capability). The entire framework is bounded by 'Management capabilities' on the left and 'Security capabilities' on the right. + +Y.4601(23) + +**Figure 2 – Capability framework of the smart firefighting system** + +The following clauses describe the specific capabilities of a smart firefighting system. + +### 8.1 Capabilities of the device layer + +#### 8.1.1 General + +##### 1) Self-diagnostic and calibration capability + +According to the requirements of clause 7.1.(1), self-diagnostic and calibration capability ensures the normal operation and function of the devices, including but not limited to: + +- Performing self-diagnostics and self-calibration based on the pre-stored algorithm or invoking support from the service support and application support (SSAS) layer. +- Performing self-calibration automatically and periodically based on the pre-stored reference and configuration when an abnormal data is detected. +- Performing self-diagnostics automatically and periodically analysing the working status of the devices and detecting abnormal data. + +##### 2) Fire scene status reporting capability + +According to the requirements of clause 7.1.(1), the fire scene status reporting capability reports the essential data to other capabilities to help users understand the status of the devices, including but not limited to: + +- Enabling devices to report the fire scene data to the digital twin support capability and to rescue team mobile devices. +- Enabling devices to report the fire scene malfunction information and calibration result to the data centre capability. + +#### 8.1.2 Sensor device + +##### 1) Fire scene data acquisition capability + +According to the requirements of clause 7.1.(2), the fire scene data acquisition capabilities enable the sensor devices to monitor and collect fire scene information, including but not limited to: + +- Collecting fire scene information related to the environment, such as the wind speed, wind direction, environment temperature, and weather. +- Collecting fire scene information related to the fire status, such as the static and dynamic temperature distribution, flame length, and the energy released from the fire. +- Collecting fire scene information related to fire effects, such as the concentration of harmful gases (CO2/CO/hydrogen cyanide), and structural responses from tilt sensing, pressure sensing, strain dynamic sensing, vibration sensing, temperature sensing, magnetic flux sensing, etc. +- Collecting fire scene information related to the rescue strategy effects, such as particulate matter (PM) concentration, breach, and humidity. +- Collecting the fire scene information related to the rescue teams' vital signs, such as blood oxygen, blood CO, heartbeat, respiration and body temperature. + +##### 2) Positioning capability + +According to the requirements of clause 7.1.(2), the positioning capability enables the sensor devices to detect positions and motions based on the physical principles and pre-stored coordinates from the data centre capability. Such devices include but are not limited to the closed circuit television (CCTV), pressure sensors, ultrasonic proximity sensors and inertial reference. + +##### 3) False-alarm filtering capability + +According to the requirements of clause 7.1.(2), the false-alarm filtering capability enables the sensor devices to purposefully delay the fire alarm before the fire status is verified. + +NOTE – When an abnormality is detected, the sensor devices communicate with the surrounding sensors to confirm the truthfulness of the fire alarm. If the fire is confirmed in the device layer, it will trigger a fire alarm immediately, otherwise sensors are required to send the fire alarm log, self-diagnostic result, self-calibration result, and data of surrounding sensors to the digital twin platform for a second check. + +#### 8.1.3 Mobile device + +##### 1) Display capability + +According to the requirements of clause 7.1.(3), the display capability enables the firefighters' mobile devices to display the information in the text, audio, image or video format. + +##### 2) Efficient interfaces support capability + +According to the requirements of clause 7.1.(3), the efficient interfaces support capability enables rescue teams to efficiently interact with each other and with the smart firefighting system, including but not limited to: + +- Voice input / output support. + +- Image and video input support. +- Physical button input support. + +#### **8.1.4 Gateway** + +##### **1) Isolation control capability** + +According to the requirements of clause 7.1.(4), the isolation control capability enables gateways to support network isolation technologies. Such technologies include network slicing, packet filter and different types of firewalls. + +### **8.2 Capabilities of the network layer** + +#### **1) Network isolation capability** + +According to the requirements of clause 7.1.(1), the network isolation capability enables the networks to be isolated from the public network, such methods include, but are not limited to, network-level firewall, virtual switches, VLAN and physical isolation. + +#### **2) Positioning capability** + +According to the requirements of clause 7.1.(2), the positioning capability enables the network to use proper data transmission format and signal conditioning to report access point information to the digital twin support capability, such as location, frequency, signal arrival time and received signal strength indicator (RSSI). + +NOTE – The positioning capability normally uses three or more known access points as anchor nodes, and then employs a positioning method to compute the precise location. + +### **8.3 Capabilities of the service support and application support layer** + +#### **1) Data centre capability** + +According to the requirements of clause 7.1.(2), the data centre capability monitors the data among different capabilities of devices, networks and applications, and provides data processing before further modelling or simulation. The data centre capability includes, but is not limited to: + +- Monitoring the real-time working status and configuration of the devices and network. +- Monitoring the environment data from sensors. +- Collecting data from other connected platforms or servers. +- Sending commands to other connected platforms or servers for emergency services support. +- Providing data conditioning for raw data and validation for data accuracy. + +#### **2) Multi-physics simulation capability** + +According to the requirements of clause 7.3.(3), the multi-physics simulation capability analyses the fire scene data based on the mathematical simulation of physical and/or chemical interactions. Such capability includes but is not limited to: + +- Processing the collected data with the support of statistics and probability equations. +- Processing the collected data with physical and/or chemical models and theories, such as thermal dynamics, aerodynamics, mechanics, toxicology, human physiology, chemistry, and material science. +- Processing the collected data with mathematics to simulate the interactions among the effects of real forces. Such capability includes but is not limited to the finite element analysis and the density functional theory. + +#### 3) Multi-physics modelling capability + +According to the requirements of clause 7.3.(2), the multi-physics modelling capability enables the smart firefighting digital twin support capability to build up models of current fire scenes, historical fire scenes and predicated fire scenes, including but not limited to: + +- Constructing descriptive 2D/3D models of personnel, equipment, devices, and environmental structures in the fire scenes, such as geometry, location and shape of the objects. +- Constructing physical and/or chemical 3D models of personnel, equipment, devices and environment, which is linked with the principles and mechanisms, such as physical and chemical properties of the materials. + +#### 4) Visualization capability + +According to the requirements of clause 7.3.(4), the visualization capability enables the digital twin support capability to visualize models, data and simulation results, including but not limited to: + +- Visualizing the properties of the fire scene. +- Visualizing the properties of the objects and personnel in the fire scene. +- Visualizing the simulation result in a basic presentation to enhance the interpretation of complex systems and data sets. +- Visualizing the consequence of the rescue strategy. +- Visualizing the movement of the rescue team and victims at the fire scene. + +#### 5) Positioning and navigation capability + +According to the requirements of clause 7.3.(1), the positioning and navigation capability enables the digital twin support capability to monitor the location and motion of the objects, and support navigation guidance, including but not limited to: + +- Requesting the location information of personnel, device, fire, hazard and equipment, and tracking the real-time position. +- Providing navigation guidance to the rescue team based on the predicated fire scene results. +- Planning and searching for the optimal route (with respect to time and safety) based on the real-time fire scene status. + +#### 6) Strategy development capability + +According to the requirements of clause 7.3.(1), the strategy development capability develops and optimizes rescue strategies, including but not limited to: + +- Developing rescue strategies such as rescue entrance, rescue exit, rescue sequence, carried equipment to minimize the casualties. +- Analyzing the possible consequences of developed rescue strategies. +- Sorting developed rescue strategies based on the predicted consequences, such as time consumption, possible casualties, assets loss and success rate, and selecting optimal strategies according to the requirements. +- Combining optimal parameters of predicted consequences and historical rescue strategies to optimize the rescue strategy. + +#### 7) Fire scene dispatching capability + +According to the requirements of clause 7.3.(2), the fire scene dispatching capability dispatches the data, instructions and commands to devices and relevant personnel, including but not limited to: + +- Dispatching position information, environment data and firefighters' vital signs to the rescue team. + +- Dispatching alarms when the rescue team is approaching a hazardous environment or a potentially hazardous environment. +- Dispatching alarms when the vital signs of the rescue team are near a critical threshold. +- Dispatching commands and strategy to the rescue team along with the highest possible result that is predicated by the multi-physics simulation. +- Dispatching requests to other connected platforms in due course, in order to issue instructions according to the fire status. + +### **8.4 Capabilities of applications** + +#### **1) Multiple communication capabilities** + +According to the requirements of clause 7.4, the multiple communication capabilities enable the rescue team members to communicate with each other and the digital twin support platform in multiple ways, including but not limited to: + +- Support of automatic speech recognition. +- Support of selective calls, group calls, broadcasting among rescue team members and to the digital twin support platform. + +## Appendix I + +### Use cases of digital twin for smart firefighting + +(This appendix does not form an integral part of this Recommendation.) + +### I.1 Fire scene monitoring + +When a fire occurs, the smart firefighting digital twin uses the sensors and the network to collect environmental and position information. Then the platform invokes prestored architecture or a topology model to visualize the environmental and position information on the model. Thus, the model intuitively reflects the real-time status of the fire scene. + +As shown in Figure I.1, the portable sensor is responsible for collecting the location, vital signs and surrounding environmental information of the rescue team; the fixed sensor is responsible for collecting the information of the hazardous gases, temperatures, smoke, structures in the environment, and the position of the surrounding personnel. The information is then transmitted to the smart firefighting digital twin through the network. The digital twin then maps the environmental and personnel information to the prestored architecture or topology model to visualize the fire scene. In this way, the fire department and rescue team become aware of the situation at the fire scene. + +![Figure I.1 – Fire scene monitoring diagram](a734898ce18e972938949637c32a34f4_img.jpg) + +The diagram illustrates the fire scene monitoring system architecture. On the left, a firefighter is shown interacting with a 'Portable sensor' (represented by a dashed box containing a handheld device, a rugged PDA, a thermal imager, and a gas detector). Below this, a building structure is shown with a 'Fixed sensor' (represented by a dashed box containing a smoke detector, a temperature sensor, a gas detector, and a camera). Both sensor types feed data into a central 'Network' block. Additionally, a dashed box at the bottom left, labeled 'Other platform, fire department and safety organization', also connects to the 'Network'. The 'Network' transmits data to a 'Digital twin' block (represented by a dashed box containing server icons). The 'Digital twin' is connected to a 'Data base' (represented by a cylinder icon) and provides information to 'Rescue team and citizen' via mobile phones, a tablet, and a computer monitor. The label 'Y.4601(23)' is located at the bottom right of the diagram. + +Figure I.1 – Fire scene monitoring diagram + +Figure I.1 – Fire scene monitoring + +### I.2 Rescue strategy development and training + +As shown in Figure I.2, after the digital twin has acquired the fire scene information, it maps all information to the prestored environment model for the fire scene monitoring. The digital twin uses multi-physics modelling and simulation with prestored environment material properties to construct a virtual scene of the occurrence of fire incidents, where the simulation provides a report on the influence of the fire incidents or other hazards to the rescue personnel in the fire scene. + +The digital twin also provides a prediction of the fire scene evolution for the rescue people to help them avoid potential risks caused by the topography or structural change in the fire. As shown in the dashed box of Figure I.2, as an example, the simulation may predict that the fire will spread to the other three floors in one hour, and the left building will have higher fire intensity: this prediction can then notify potential risks and rescue time limit to the rescue team. The digital twin can then develop a rescue strategy based on the real-time simulation and future predication: the digital twin can develop + +multiple strategies, but only send the best and second-best strategies to the rescue team based on the comprehensive evaluation of time consumption, possible casualties, assets loss and success rate. + +The simulation can also be used in training to offer trainees experience in incident situations in a safe, contained, repeatable, controllable and measurable environment, which is of great practical significance. The simulation is based on the data of historical fire scenes and realistic potential scenes. + +![Diagram of Rescue strategy development and training system showing data flow from a database and material properties to simulation and prediction, leading to strategy development and rescue team coordination.](5445597cceefaca1ac89e710fe339325_img.jpg) + +The diagram illustrates a rescue strategy development and training system. It features a central 'Digital twin' box containing 'Fire scene monitoring', 'Simulation', and 'Predication' components. Data from a 'Data base' and 'Material properties of environment' feed into the simulation. The simulation outputs multiple strategies (Strategy 1, 2, 3, ..., Strategy n), with Strategy 1 being the 'Best strategy' and Strategy 2 being the 'Second best strategy (Backup plan)'. These strategies are then used to coordinate the 'Rescue team', which is shown with a mobile phone, a tablet, and a computer monitor. The system also includes 'Virtual firefighting simulation' and 'Field firefighting practice' components. + +``` + +graph TD + DB[(Data base)] --> VFS[Virtual firefighting simulation] + DB --> FFP[Field firefighting practice] + DB --> DT + MPE[Material properties of environment] --> DT + subgraph DT [Digital twin] + FSM[Fire scene monitoring] --> S[Simulation] + S --> P[Predication] + P --> S1[Strategy 1] + S1 --> S2[Strategy 2] + S2 --> S3[Strategy 3] + S3 --> Sn[Strategy n] + S1 --> S2B[Second best strategy Backup plan] + S2B --> S1B[Best strategy] + S1B --> RT[Rescue team] + end + FSM --> RT + RT --> RT2[Rescue team] + +``` + +Diagram of Rescue strategy development and training system showing data flow from a database and material properties to simulation and prediction, leading to strategy development and rescue team coordination. + +**Figure I.2 – Rescue strategy development and training** + +# Bibliography + +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-ITU-T Y.4101] Recommendation ITU-T Y.4101/Y.2067 (2017), *Common requirements and capabilities of a gateway for Internet of things applications*. +- [b-ITU-T Y.4105] Recommendation ITU-T Y.4105/Y.2221 (2010), *Requirements for support of ubiquitous sensor network (USN) applications and services in the NGN environment*. +- [b-ITU-T Y.4600] Recommendation ITU-T Y.4600 (2022), *Requirements and capabilities of a digital twin system for smart cities*. +- [b-IEEE 802.15.3] IEEE 802.15.3-2016, *IEEE Standard for High Data Rate Wireless Multi-Media Networks*. <> +- [b-IEEE 802.15.4] IEEE 802.15.4-2015, *IEEE Standard for Low-Rate Wireless Networks*. <> +- [b-ETSI GS NFV 002] ETSI GS NFV 002 V1.2.1 (2014), *Network Functions Virtualisation (NFV); Architectural Framework*. <[https://docbox.etsi.org/isg/nfv/open/Publications\\_pdf/Specs-Reports/NFV%20002v1.2.1%20-%20GS%20-%20NFV%20Architectural%20Framework.pdf](https://docbox.etsi.org/isg/nfv/open/Publications_pdf/Specs-Reports/NFV%20002v1.2.1%20-%20GS%20-%20NFV%20Architectural%20Framework.pdf)> +- [b-CTIF-Report-25] International Association of Fire and Rescue Services (2020), *World Fire Statistics No.25*. <[https://www.ctif.org/sites/default/files/2020-06/CTIF\\_Report25.pdf](https://www.ctif.org/sites/default/files/2020-06/CTIF_Report25.pdf)> +- [b-DiFazio] Gary DiFazio (2019), *Belden Industrial Cybersecurity - What is Network Air-gapping?* <> +- [b-NEXTEP] NEXTEP Broadband (2001), *Firewall Architecture*. <[http://www.tech2u.com.au/products/dsl/pdf/Firewall\\_Architecture.pdf](http://www.tech2u.com.au/products/dsl/pdf/Firewall_Architecture.pdf)> +- [b-SD-RAN V1.0] ONF SD-RAN 1.0, (2021), *A cloud-native platform for software-defined RAN consistent with O-RAN*. <> +- [b-Telink] Telink (2019), *Indoor Positioning 101*. <> + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4603-202303-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4603-202303-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..0aa0d128c2c62c1e71fd1d35f0cef3fa54c3dbf0 --- /dev/null +++ b/marked/Y/T-REC-Y.4603-202303-I_PDF-E/raw.md @@ -0,0 +1,721 @@ + + +# Recommendation + +## **ITU-T Y.4603 (03/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Services, applications, computation and data processing + +--- + +**Requirements and functional model to support +data quality management in Internet of things** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +Y.3000–Y.3499 + +### CLOUD COMPUTING + +Y.3500–Y.3599 + +### BIG DATA + +Y.3600–Y.3799 + +### QUANTUM KEY DISTRIBUTION NETWORKS + +Y.3800–Y.3999 + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|----------------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4603 + +# Requirements and functional model to support data quality management in Internet of things + +## Summary + +Data quality management comprises the mature processes, tools, and in-depth understanding of data you need to make decisions or solve problems to minimize risk and impact to your organization or customers. Data quality management in Internet of things (IoT) is the practice of using that IoT data to serve your purposes with flexibility and agility for IoT applications. To do this, it is necessary to assess what data you have today and the processes and tools that use or support data against purposes and requirement of IoT applications. The requirements for data and its quality vary from IoT application to application or organization in different contexts. Data quality management practice in IoT makes data a holistic asset, by which it means that data is the input and output of every task and transaction performed according to the IoT application for a business. + +Recommendation ITU-T Y.4603 specifies key requirements with respect to data quality management in IoT and important elements to fulfil these requirements. This Recommendation indicates the requirements and functional model in terms of the scopes of the following: data quality management in IoT, requirements of data quality management in IoT and a functional model to support data quality management. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4603 | 2023-03-28 | 20 | 11.1002/1000/15487 | + +## Keywords + +Data quality, data quality classification, data quality management, IoT. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-------------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References ..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation ..... | 1 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview of data quality ..... | 2 | +| 6.1 Concept of data quality ..... | 2 | +| 6.2 Data quality issues ..... | 2 | +| 6.3 Data quality classification ..... | 3 | +| 7 Data quality management in IoT ..... | 5 | +| 7.1 Overview of data quality management ..... | 5 | +| 7.2 Data quality management characteristics ..... | 6 | +| 8 Requirements to support data quality management in IoT ..... | 6 | +| 8.1 General requirements of data quality management ..... | 6 | +| 8.2 Requirements in data acquisition phase ..... | 7 | +| 8.3 Requirements in data quality assessment phase ..... | 7 | +| 8.4 Requirements in data quality evaluation phase ..... | 8 | +| 8.5 Requirements in data quality improvement phase ..... | 8 | +| 8.6 Requirements in data quality ranking phase ..... | 9 | +| 8.7 Requirements in data quality monitoring phase ..... | 9 | +| 9 Functional component to support data quality management ..... | 10 | +| 9.1 Data acquisition function ..... | 10 | +| 9.2 Data quality assessment function ..... | 11 | +| 9.3 Data quality evaluation function ..... | 12 | +| 9.4 Data quality improvement function ..... | 12 | +| 9.5 Data quality ranking capability ..... | 13 | +| 9.6 Ongoing data quality monitoring function ..... | 14 | +| Appendix I – Intelligent data quality management using machine learning and deep learning ..... | 15 | +| I.1 Machine learning based data quality management ..... | 15 | +| I.2 Deep learning based DQM ..... | 15 | +| Bibliography ..... | 17 | + + + +# Recommendation ITU-T Y.4603 + +## Requirements and functional model to support data quality management in Internet of things + +# 1 Scope + +This Recommendation identifies requirements and a functional model for data quality management in Internet of things (IoT). The scope of this Recommendation covers several key requirements with respect to data quality management in IoT, many important elements to fulfil these requirements and a functional model. Specifically, it covers the following: + +- Overview of data quality; +- Data quality management in IoT; +- Requirements of data quality management in IoT; +- Functional components to support data quality management. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2013), *Overview of the Internet of things*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following term defined elsewhere: + +**3.1.1 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 critical data:** The data to be required for the successful completion of a task in an application or service within a specific business context. It is characterized by defined attributes and priorities. + +**3.2.2 data quality:** The degree to which the characteristics of data satisfy stated and implied needs when used under specified conditions. + +**3.2.3 non-critical data:** Low business value and impact data. + +**3.2.4 poor data:** The data classified as low quality during a data quality assessment process. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|-------------------------------------| +| AI | Artificial Intelligence | +| DL | Deep Learning | +| DQM | Data Quality Management | +| IoT | Internet of Things | +| ML | Machine Learning | +| PII | Personally Identifiable Information | + +# 5 Conventions + +In this Recommendation: + +The keywords **"is required to"** indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +# 6 Overview of data quality + +## 6.1 Concept of data quality + +For data that is collected through sensing to be fit for use, it should possess certain features so that it can satisfy a set of system requirements. + +There is an increasing awareness of the criticality of data to making informed decisions and of how inaccurate data can lead to disastrous consequences. The challenge lies in ensuring that enterprises collect relevant data for their businesses, manage or govern that data in a meaningful and sustainable way, ensure high quality for critical data, and analyse the high quality data to accomplish stated business objectives. + +The data quality will be attributed to a quality supporting business processes using analysis techniques, and it will rise according to whether a data quality of the existing data would be worthwhile or plausible. Thus, data quality is necessarily designed, measured and assessed with this consideration in mind, and the possible risks of deploying this data in business will be overcome. + +## 6.2 Data quality issues + +Data quality is very important for product or information consumers because without high data quality, a business operator or service provider will not be able to provide the requested service capabilities. This is because the characteristics of the data are not related to satisfying the stated requirements of a service. Furthermore, data quality cannot be specified as the degree to which the characteristics of the data satisfy the stated and implied needs when used under specified conditions. + +Many data quality issues have been raised, and common issues are listed in Table 6-1. + +**Table 6-1 – Common issues in data quality** + +| Data quality issues | Description | +|----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Loss of event | Gaps in the data, such as the data for some time period is missing | +| Out of range values | The physiological sensors' values are out of range with respect to the domain. These issues could be in individual time series data and in aggregated and mean data. | + +**Table 6-1 – Common issues in data quality** + +| Data quality issues | Description | +|---------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Value spikes | The values changed suddenly and are considered incorrect from a sensor and domain. | +| Wrong timestamp | Differing timestamps from sensors in the same location | +| Signal noise | Errors in the measurement of states | +| Data not updated as required | Sensors continuously send the same value over a long time. This may indicate some issues in the sensors or no change in the real-world event | +| Un-availability of data sources | The source of data (such as sensors) is not available for the service | +| Errors in correlated data | Values which are normally correlated but behave unexpectedly | +| Data formats | Due to different data formats such as different units, or different measurement frequencies, creates problems in data aggregation and takes more processing time | +| Class imbalance | Biasness in the data samples which affects the accuracy of machine learning deep learning models | +| Inconsistent data | The level of data errors and noise changes over time from different sensors | +| Duplicated data | Same data reception over a long time from one data source or multiple data sources | +| Different precision levels | Different precision levels for the same type of data in various business services | + +## 6.3 Data quality classification + +Based on the concept of data quality, the data quality classification has been identified as shown in Figure 6-1: + +![A hierarchical diagram showing the classification of data quality. At the top is 'Data quality'. It branches into four categories: 'Intrinsic', 'Contextual', 'Representational', and 'Accessibility'. Each category is further divided into specific metrics. For example, 'Intrinsic' includes Believability, Accuracy, Objectivity, and Reputation. 'Contextual' includes Value added, Relevancy, Timeliness, Completeness, and Appropriate amount of data. 'Representational' includes Interpretability, Ease of understanding, Representational consistency, and Concise representation. 'Accessibility' includes Accessibility and Security access.](7a0db9703b68b3d06cdaeefc084c0006_img.jpg) + +``` + +graph TD + DQ[Data quality] --> I[Intrinsic] + DQ --> C[Contextual] + DQ --> R[Representational] + DQ --> A[Accessibility] + + I --> I1[• Believability] + I --> I2[• Accuracy] + I --> I3[• Objectivity] + I --> I4[• Reputation] + + C --> C1[• Value added] + C --> C2[• Relevancy] + C --> C3[• Timeliness] + C --> C4[• Completeness] + C --> C5[• Appropriate amount of data] + + R --> R1[• Interpretability] + R --> R2[• Ease of understanding] + R --> R3[• Representational consistency] + R --> R4[• Concise representation] + + A --> A1[• Accessibility] + A --> A2[• Security access] + +``` + +A hierarchical diagram showing the classification of data quality. At the top is 'Data quality'. It branches into four categories: 'Intrinsic', 'Contextual', 'Representational', and 'Accessibility'. Each category is further divided into specific metrics. For example, 'Intrinsic' includes Believability, Accuracy, Objectivity, and Reputation. 'Contextual' includes Value added, Relevancy, Timeliness, Completeness, and Appropriate amount of data. 'Representational' includes Interpretability, Ease of understanding, Representational consistency, and Concise representation. 'Accessibility' includes Accessibility and Security access. + +Y.4603(23) + +**Figure 6-1 – Classification of data quality** + +### 6.3.1 Intrinsic data quality + +The intrinsic data quality that is related to the actual values of data regardless of the context or data components (e.g., accuracy). + +Intrinsic data quality metrics: + +- Believability: The believability is the extent to which data are accepted or regarded as true, real, and credible; +- Accuracy: The degree to which data correctly describes the "real world" object or event being described; +- Objectivity: The extent to which data is unbiased, unprejudiced, and impartial; +- Reputation: The extent to which data is highly regarded in terms of its source or content. + +### 6.3.2 Contextual data quality + +The contextual data quality is related to other data components within a certain context (e.g., completeness, timeliness, and consistency). + +Contextual data quality metrics: + +- Value added: The extent to which data is beneficial and provides advantages from its use; +- Relevancy: The extent to which data is applicable and helpful for the task at hand; +- Timeliness: The degree to which data represents reality from the required point in time; +- Completeness: The proportion of stored data against the potential of "100% complete"; +- Appropriate amount of data: This means that a sufficient amount of data is available for use to compute a result of data items. + +### 6.3.3 Representational data quality + +The representational data quality captures aspects related to the design of the data. + +Representational data quality metrics: + +- Interpretability: The extent to which data is in appropriate languages, symbols, units, and the definitions are clear; +- Ease of understanding: The ease of understanding means the extent to which data is easily comprehended; +- Representational consistency: The extent to which a whole dataset is presented in the data structure and format; +- Concise representation: The extent to which data is compactly represented. + +### 6.3.4 Accessibility data quality + +This category deals with the data quality aspects related to data infrastructure such as accessibility, security access, data retrieval. + +Representational data quality metrics: + +- Accessibility: The extent to which data is available, or easily and quickly retrievable; +- Security access: The security access metrics measures that the data is safeguarded from unauthorized access and preventing data loss. + +# **7 Data quality management in IoT** + +## **7.1 Overview of data quality management** + +Due to advanced information and communication technologies, a very large amount of data is generated in the operation, production, and management of IoT business. However, the quality and reliability of that data is questionable. This newly collected data from such sources and already available data in the organization are pre-processed in order to check the data completeness, accuracy, and consistency for improved and high quality decision making services. Data quality management is an administration type that incorporates the role establishment, role deployment, policies, responsibilities and processes with regard to the acquisition, maintenance, disposition and distribution of data. Data quality management initiative promotes a strong partnership between technology groups and business. Building and controlling the entire data environment, that is, architecture, systems, technical establishments, and databases will be promoted through the overall environments to acquire, maintain, disseminate and dispose of an organization's electronic data assets. Key motivations for data quality management in IoT: + +- Data quality management is the set of processes and activities of combining all of the entities in an organization including people, technology and culture to promote the common goal of data quality provision to IoT data consumers; +- Data quality management is an open system where data quality professionals need to interact with data consumers and other data stakeholders freely in order to identify the information needs and data quality requirements; +- Data quality management is also crucial when it comes to choosing one dataset for business IoT applications over other available datasets; +- Data quality will be attributed to a quality supporting business processes and analysis techniques, and it will be raised according to whether a data quality of the existing data is worthwhile or plausible; +- Information in data applications can be derived from the processing of data to give meaning and sense to it with multiple types of metadata. + +To achieve data quality for IoT applications, it is necessary to collect and pre-process the data, perform a quality assessment of existing data, evaluate the results and improve it, and if necessary, perform a ranking and monitoring of data for sustainable data quality management: + +- Data acquisition: The data acquisition supports internal and external data with consistency, storage efficiency, retrieval efficiency and security efficiency. +- Data quality assessment: To assess the existing data quality, common data quality metrics are applied; +- Data quality evaluation: The data quality evaluation focuses on the economic advantages or technical feasibility to choose data quality improvement solutions; +- Data quality improvement: To improve the data quality a designed data quality plan is applied for the data quality improvement; +- Data quality ranking: Rank the data as per achieved data quality level, the ranking of data for further use in the business services. + +In order to support ongoing data quality monitoring and management, an additional process to monitor data quality will be prepared in the data quality management function. + +An overview of various data quality management process is shown in Figure 7-1. + +![Figure 7-1: Overview of data quality management. A circular diagram showing the process flow: Data acquisition leads to Data quality assessment, which leads to Data quality evaluation, then Data quality improvement, then Data quality ranking, and finally back to Data acquisition. In the center is a blue circular arrow with the text 'Setup process to support data quality monitoring'.](d4af765160d04ecef538e5066006dc77_img.jpg) + +``` + +graph TD + DA[Data acquisition] --> DQA[Data quality assessment] + DQA --> DQE[Data quality evaluation] + DQE --> DQI[Data quality improvement] + DQI --> DQR[Data quality ranking] + DQR --> DA + subgraph Center + SPM((Setup process to support data quality monitoring)) + end + +``` + +Y.4603(23) + +Figure 7-1: Overview of data quality management. A circular diagram showing the process flow: Data acquisition leads to Data quality assessment, which leads to Data quality evaluation, then Data quality improvement, then Data quality ranking, and finally back to Data acquisition. In the center is a blue circular arrow with the text 'Setup process to support data quality monitoring'. + +**Figure 7-1 – Overview of data quality management** + +## 7.2 Data quality management characteristics + +Based on the data quality concept and data quality management overview, a data quality management framework is necessary to comprise the following characteristics: + +- The quality of data should be managed in a way that data should be accurate, available, consistent, confident, integrated, relevant, reusable, current, and complete; +- The quality of data is measured with relevant data quality metrics; +- The data quality management framework contains data provenance information; +- The management system contains methodologies to maintain the metadata; +- Data quality management has the capability to manage reference data; +- The system supports the process to improve data quality if the received data has poor quality; +- A central data modelling system is provided in the data quality management framework; +- The ranking of the data with respect to its data quality indicators is supported. + +# 8 Requirements to support data quality management in IoT + +To support the business goal of data quality management in the IoT, many aspects are required to be considered. Based on clause 7.1, several types of requirements are considered to support data quality management: + +- General requirements of data quality management; +- Requirements in the data acquisition phase; +- Requirements in the data quality assessment phase; +- Requirements in the data quality evaluation phase; +- Requirements in the data quality improvement phase; +- Requirements in the data quality ranking phase; +- Requirements in the data quality monitoring phase. + +## 8.1 General requirements of data quality management + +To receive the appropriate level of data quality the following general aspects are required: + +- The system is required to be scalable in order to handle the growing large volume of IoT data; +- The data quality management is required to be available during the processing of data; + +- It is required to define the set of validations that need to be developed to measure the quality of data; +- The data quality management process is required to be interoperable in order to handle data received from heterogeneous sources; +- For ongoing improvement in the data quality, the system is required to be able to monitor data quality over some length of time; +- Privacy of users is required to be considered during the processing of data in order to estimate and improve the data quality; +- Privacy protection is required to be performed during the data collection process; +- In order to increase the data quality completeness aspects, handling of missing data with sophisticated techniques is required to be provided; +- To increase the accuracy and confidence of the data, the data quality management function is required to detect and correct false and suspect data; +- It is required to support the ability to produce ad hoc reports indicating gaps in data for any attributes selected; +- It is required to support the ability to identify the number of data points that are not populated for each required attribute field; +- It is required that the data collection scheduler balances the data collection interval in order to increase efficiency (for example: the battery life of IoT sensing objects); +- The data quality management framework is required to support time alignment in the collection of data in the case of a multi-sources data collection request for the IoT service provision; +- To estimate and improve the quality of data efficiently, the data collection methodologies in the data quality framework are required to support the collection of metadata along with the data; +- The data quality management framework is required to support a coordinated workflow mechanism in order to handle the collection of duplicated data. + +## **8.2 Requirements in data acquisition phase** + +To acquire the IoT data for business needs, the data quality management framework is required to support the following functionalities: + +- It is required to ensure that no extra data is collected with respect to the required policy. The collection of extra data reduces customer's privacy and introduces the data leakage issues of data quality; +- Acquiring and validation of data from external sources; +- Acquiring and validation of data from internal sources; +- Data masking during the data acquiring phase in order to mitigate personally identifiable information (PII) aspects. + +## **8.3 Requirements in data quality assessment phase** + +To measure the quality of data with optimal precision, data quality management framework is required to support the following functionalities: + +- Due to the large volume of IoT data, it is difficult to estimate the quality of data within a reasonable amount of time, therefore the data quality management framework is required to be efficient and scalable to support efficient data quality assessment; + +- As there is no unified standard to estimate the quality of data for various IoT applications, the framework is therefore required to support measurement of the quality of data with numerous data quality metrics; +- The framework is required to support the estimation of data quality with common metrics initially; +- The data quality management framework is required to support a basic set of data quality measurement methodologies; +- It is required to support the addition of a new data quality indicator and measurement methodology in the framework; +- The measurement of data quality is required to be considered according to various interest groups; +- It is required to provide an update in the measurement methodology of existing data quality indicators; +- Data quality assessment function is required to support individual quality measurement for each data source; +- Data quality assessment function is required to support aggregated measurement for data received from multiple sources; +- Periodic data quality assessment capability is required to be supported for non-critical data; +- Continuous data quality assessment function is required to be supported for critical data. + +## **8.4 Requirements in data quality evaluation phase** + +The evaluation of data quality management procedures is mandatory because it also focuses on the economic advantages or technical feasibility to choose data quality improvement solutions. To ensure a suitable level of data quality evaluation, the following functionalities are required to be provided by the data quality management framework: + +- The system is required to locate critical areas of data which affect the quality of data; +- The system is required to optimize the time used in the data quality assessment; +- The system is also required to check the data reputation after its usage in the IoT applications so that other services can get the benefit; +- The system is required to evaluate the direct and indirect costs of the data quality process; +- The system is required to check that the results of the data quality assessment are up to standard for the IoT applications and services; +- The system is required to recommend improving the grey areas of data which weaken the level of data quality; +- The system is required to support evaluation of the business rules from time to time defined against the various data sources. + +## **8.5 Requirements in data quality improvement phase** + +To ensure the choice of suitable methodologies to improve data quality, the following functionalities are required to be provided by the data quality management framework: + +- The system is required to be able to perform data various types of data interpolation in order to handle missing data; +- The system is required to support detection and correction of data outliers in the streaming data; +- The system is required to be able to rectify and improve the data affected by malware attacks; + +- It is required that the framework should support data deduplication; +- Data is required to be transformed in encrypted format in order to increase security and confidence of data; +- The system is required to support the common data representation formats in order to increase the data interpretability; +- The data quality management model is required to have high power infrastructure in order to support data availability in peak hours and emergency situations; +- The system is required to have a predefined data threshold in order to validate data accuracy; +- The data quality management framework is required to support a proactive approach to improve the data quality if possible. + +## **8.6 Requirements in data quality ranking phase** + +To ensure a suitable level of data quality ranking, the following functionalities are required to be provided by the data quality management framework: + +- In consideration of fitness for use for the task at hand, the system is required to assign weights to the preferred data quality metrics for measuring the ranking of data; +- In the IoT services sometimes the data of an individual source is used and other times data from multiple sources are used collectively. Therefore, the data quality management framework is required to have the provision of individual aggregative data quality ranking; +- For ongoing improvement and provision of services, the quality of data is required to be ranked in different time slots; +- The data quality management framework is required to support estimated or predicted data quality ranking if the actual data quality ranking is under processing, in order to support prediction of IoT service behaviour modelling; +- It is required to provide the reporting of the quality of data in terms of its business usages and technical rankings; +- For the sustainable data quality management, it is required to support monitoring and improvement of the data at the source level. + +## **8.7 Requirements in data quality monitoring phase** + +To support ongoing data quality monitoring, the following functionalities are required to be provided by the data quality management framework: + +- It is required to support periodic monitoring that provides feedback on the data quality management process and enable dynamic tuning; +- The system is required to generate alerts when the level of data quality decreases below a certain threshold; +- The data quality management framework is required to have the capability of periodical reporting of quality; +- For the sustainable data quality management, the system is required to support monitoring of the quality of data at the source level; +- The data quality management framework is required to support multiple schedulers to monitor ongoing data quality; +- The framework is required to support appropriate visualization data quality monitoring results; + +- The framework is required to support tracking levels of data quality over time for monitoring of the ongoing process and improvement. + +# 9 Functional component to support data quality management + +The functional components of data quality management provide detailed mechanisms to support the data quality management of IoT. Data quality management is processed in accordance with the functions in the data quality management phases and data quality classifications as indicated Figure 9-1. Figure 9-1 indicates the functional components to support data quality management in accordance with data quality classification and business objectives presented in Figure 7-1. + +![Figure 9-1: Functional components to support data quality management. The diagram is a hierarchical and flow-based structure. At the top is 'Data quality'. Below it is a green box labeled 'Data quality classification' containing four categories: 'Intrinsic', 'Contextual', 'Representational', and 'Accessibility'. Below this is a yellow box labeled 'Data quality metrics' containing four lists of metrics corresponding to the categories above. At the bottom is a blue box containing a flow diagram of functional components: 'Data acquisition' (blue), 'Data quality ranking' (yellow), 'Data quality improvement' (yellow), 'Data quality assessment' (purple), and 'Data quality evaluation' (purple). Arrows show the flow from metrics to acquisition, from acquisition to ranking and assessment, and from both ranking and assessment to evaluation and improvement. There are also feedback loops from evaluation and improvement back to acquisition and metrics. Text on the left and right sides of the bottom section describes the interaction to integrate data quality metrics according to the function of data quality management.](1a827b10290f33d4fec04d0e8ef7a897_img.jpg) + +Y.4603(23) + +Figure 9-1: Functional components to support data quality management. The diagram is a hierarchical and flow-based structure. At the top is 'Data quality'. Below it is a green box labeled 'Data quality classification' containing four categories: 'Intrinsic', 'Contextual', 'Representational', and 'Accessibility'. Below this is a yellow box labeled 'Data quality metrics' containing four lists of metrics corresponding to the categories above. At the bottom is a blue box containing a flow diagram of functional components: 'Data acquisition' (blue), 'Data quality ranking' (yellow), 'Data quality improvement' (yellow), 'Data quality assessment' (purple), and 'Data quality evaluation' (purple). Arrows show the flow from metrics to acquisition, from acquisition to ranking and assessment, and from both ranking and assessment to evaluation and improvement. There are also feedback loops from evaluation and improvement back to acquisition and metrics. Text on the left and right sides of the bottom section describes the interaction to integrate data quality metrics according to the function of data quality management. + +**Figure 9-1 – Functional components to support data quality management in accordance with data quality classification and business objectives** + +## 9.1 Data acquisition function + +The data acquisition function supports bringing of data that has been created by a source outside the organization, into the organization, for business use. The data acquisition function provides internal and external data with consistency, storage efficiency, retrieval efficiency and security efficiency. Figure 9-2 shows the four sub-functions to perform data acquisition capability with respect to data quality. In the defining of business goals in terms of data of IoT applications, it is necessary to clarify a correlation between the business processes and data quality management. + +![Figure 9-2: Functional components of data acquisition function. A light blue rounded rectangle labeled 'Data acquisition function' contains four sub-functions: 'Handling data leakage acquisition', 'Data retrieval efficiency acquisition', 'Data storage efficiency acquisition', and 'Data security and privacy efficiency acquisition'. A double-headed arrow connects this rectangle to a cylinder labeled 'Data quality acquisition repository'. The reference 'Y.4603(23)' is at the bottom right.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +Figure 9-2: Functional components of data acquisition function. A light blue rounded rectangle labeled 'Data acquisition function' contains four sub-functions: 'Handling data leakage acquisition', 'Data retrieval efficiency acquisition', 'Data storage efficiency acquisition', and 'Data security and privacy efficiency acquisition'. A double-headed arrow connects this rectangle to a cylinder labeled 'Data quality acquisition repository'. The reference 'Y.4603(23)' is at the bottom right. + +**Figure 9-2 – Functional components of data acquisition function** + +- Handling data leakage acquisition: Data leakage issues occur when the IoT service or application acquires more data than the necessary requirements. This sub-function handles these issues when data acquisition has been performed in the data quality management platform; +- Data retrieval efficiency acquisition: This sub-function provides the capability to acquire data from the repository within an appropriate time. The data availability and timeliness aspects of data could be improved through the sub-function of data retrieval efficiency acquisition; +- Data storage efficiency acquisition: This sub-function supports the mechanism to store the acquired data within an appropriate time and consistent format; +- Data security and privacy efficiency acquisition: This sub-function provides the capability to acquire a data security and privacy level. + +## 9.2 Data quality assessment function + +The data quality assessment function offers methodologies to estimate the data quality of received and existing IoT data. The quality of data is measured with various data quality metrics. Figure 9-3 shows the four sub-functions of the data quality assessment function. According to the complexity of this function, machine learning or deep learning mechanisms may be applied to perform data quality assessment as presented in Appendix I. + +![Figure 9-3: Functional components of data quality assessment function. A light blue rounded rectangle labeled 'Data quality assessment function' contains four sub-functions: 'Recurrent data quality assessment', 'Ongoing data quality assessment', 'Individual data quality assessment', and 'Aggregated data quality assessment'. A double-headed arrow connects this rectangle to a cylinder labeled 'Data quality assessment repository'. The reference 'Y.4603(23)' is at the bottom right.](33a8f3f01dfa8bce75d23017855a13c5_img.jpg) + +Figure 9-3: Functional components of data quality assessment function. A light blue rounded rectangle labeled 'Data quality assessment function' contains four sub-functions: 'Recurrent data quality assessment', 'Ongoing data quality assessment', 'Individual data quality assessment', and 'Aggregated data quality assessment'. A double-headed arrow connects this rectangle to a cylinder labeled 'Data quality assessment repository'. The reference 'Y.4603(23)' is at the bottom right. + +**Figure 9-3 – Functional components of data quality assessment function** + +- Recurrent data quality assessment: The recurrent data quality assessment function supports the measurement of IoT data quality after each specific interval. This sub-function checks the quality of data with respect to various aspects as defined in the function template; +- Ongoing data quality assessment: This sub-function checks the quality of data received from IoT objects periodically. The main capability of this ongoing data quality assessment sub-function is to ensure the validation of the quality of data received from critical IoT data sources. This function also supports priority assessment among the critical data categories; +- Individual data quality assessment: This function provides the mechanism to check and measure the quality of data of each source separately. Another capability of this function is that the individual data quality assessment function can be applied as a standalone or it can be used collectively with recurrent and ongoing data quality assessment functions; +- Aggregated data quality assessment: In order to use data from various IoT data sources in a single service, the IoT service requires the aggregated data quality level for all of the data used in the service. The aggregated data quality checking function provides this capability. + +In aggregated data quality checking, good or poor quality affects the overall checking results. + +## 9.3 Data quality evaluation function + +The data quality evaluation function provides capabilities in accordance with data quality classification and characteristics to support data quality management. Figure 9-4 shows the three sub-functions of the data quality evaluation function. According to the complexity of this function, machine learning or deep learning mechanisms may be applied to perform data quality evaluation as presented in Appendix I. + +![Figure 9-4: Functional components of Data Quality Evaluation Function. The diagram shows a green rounded rectangle labeled 'Data quality evaluation function' containing three white boxes: 'Evaluation based on critical data quality spots', 'Evaluation based on data usage history', and 'Evaluation of data quality cost function'. A double-headed arrow connects this rectangle to a cylinder labeled 'Data quality evaluation repository'. Below the cylinder is the text 'Y.4603(23)'.](4356776ca004ecba5d599667a155d7d4_img.jpg) + +``` +graph LR; subgraph DQEF [Data quality evaluation function]; E1[Evaluation based on critical data quality spots]; E2[Evaluation based on data usage history]; E3[Evaluation of data quality cost function]; end; DQEF <--> DQER[(Data quality evaluation repository)]; +``` + +Figure 9-4: Functional components of Data Quality Evaluation Function. The diagram shows a green rounded rectangle labeled 'Data quality evaluation function' containing three white boxes: 'Evaluation based on critical data quality spots', 'Evaluation based on data usage history', and 'Evaluation of data quality cost function'. A double-headed arrow connects this rectangle to a cylinder labeled 'Data quality evaluation repository'. Below the cylinder is the text 'Y.4603(23)'. + +**Figure 9-4 – Functional components of Data Quality Evaluation Function** + +- Evaluation based on critical data quality spots: This sub-function evaluates areas which hamper the overall quality of a dataset and analyses the root causes in order to avoid issues in future data; +- Evaluation based on data usage history: This sub-function enables the capability of data quality management framework to evaluate the quality of data based on its usage in the IoT service. The feedback from the users could be the input to make the evaluation of the quality of the data; +- Evaluation of data quality cost function: This sub-function performs the evaluation of the data quality process. The main focus of this sub-function is to measure the people and computational time, and system memory by considering data quality aspects, because the data quality assessment process requires high computation power and large memory due to the large volume of IoT data. + +## 9.4 Data quality improvement function + +The data quality improvement function provides the enhancement of the data spots whose data quality has been estimated and evaluated as poor. Figure 9-5 shows the five sub-functions of data quality improvement function. + +- Data quality constraints validation: The data quality constraints validation function enables to detect missing interrelations in the IoT data. For the identification of missing interrelations in the data, this function uses the reference of dependency and integrity constraints. Due to the functional capability of this function, the data quality aspects towards data consistency and data representation could be improved in the data quality management framework; +- Data outliers: This outliers function includes identifying those values from a dataset or a single data source which are not coming within a certain range. As the data outliers is a major data quality issue in the IoT environment, by analysing and fixing data outliers, the quality of data in terms of data accuracy, and data consistence could be enhanced; +- Data interpolation: The interpolation function is an estimation of a value within two known values in a sequence of values. The data interpolation functions enable the various mechanism to improve the quality of data in terms of data completeness and accuracy. This function applies various methodologies to estimate the missing data in the IoT data streams; + +- Data deduplication: The deduplication sub-function performs the process of data cleaning. The data deduplication sub-function provides the mechanism to reduce a large volume of duplicate data by detecting the same copy or instance of data for similar real-world events. The data pointers are supported by this function which refers to the unique copy of data. This sub-function enhances the data availability aspects of data quality management and reduces the size of data storage and data management efforts; +- Data representation: The data representation sub-function enables improvement of the quality of data in terms of data interoperability and provides the mechanism to translate and transform the data in the common representation and storage format. The advantages of this sub-function are the improvement of data consistency, data availability, and data accuracy. + +![Figure 9-5: Functional components of data quality improvement function. The diagram shows a light blue rounded rectangle labeled 'Data quality improvement function'. Inside, there is a box for 'Data quality constraints validation' at the top. Below it are four boxes: 'Data interpolation', 'Data deduplication', 'Data outliers', and 'Data representation'. To the right of this rectangle is a cylinder labeled 'Data quality improvement repository'. A double-headed arrow connects the rectangle and the repository. Below the repository is the text 'Y.4603(23)'.](7f25db95ce3916c0e09803b861a2f7bc_img.jpg) + +Figure 9-5: Functional components of data quality improvement function. The diagram shows a light blue rounded rectangle labeled 'Data quality improvement function'. Inside, there is a box for 'Data quality constraints validation' at the top. Below it are four boxes: 'Data interpolation', 'Data deduplication', 'Data outliers', and 'Data representation'. To the right of this rectangle is a cylinder labeled 'Data quality improvement repository'. A double-headed arrow connects the rectangle and the repository. Below the repository is the text 'Y.4603(23)'. + +**Figure 9-5 – Functional components of data quality improvement function** + +## 9.5 Data quality ranking capability + +To ensure the suitable level of data quality ranking, three sub-functions of data quality ranking function perform the enhancement of the business value of the data in the data applications. Figure 9-6 shows the three sub-functions of the data quality ranking function. + +![Figure 9-6: Functional components of data quality ranking function. The diagram shows a light green rounded rectangle labeled 'Data quality ranking function'. Inside, there are three boxes: 'Individual data quality ranking', 'Aggregative data quality ranking', and 'Preferred quality as metric weightage'. To the right of this rectangle is a cylinder labeled 'Data quality ranking repository'. A double-headed arrow connects the rectangle and the repository. Below the repository is the text 'Y.4603(23)'.](898fb89a50d9ec1dfb4e425c816976a7_img.jpg) + +Figure 9-6: Functional components of data quality ranking function. The diagram shows a light green rounded rectangle labeled 'Data quality ranking function'. Inside, there are three boxes: 'Individual data quality ranking', 'Aggregative data quality ranking', and 'Preferred quality as metric weightage'. To the right of this rectangle is a cylinder labeled 'Data quality ranking repository'. A double-headed arrow connects the rectangle and the repository. Below the repository is the text 'Y.4603(23)'. + +**Figure 9-6 – Functional components of data quality ranking function** + +- Individual data quality ranking: This sub-function enables ranking of the data separately as per the data quality checking results with respect to each data source and data quality aspects such as data accuracy, data completeness, data consistency, and data availability. This sub-function provides the level of ranking to individual data applications of IoT; +- Aggregative data quality ranking: This sub-function supports the ranking of data quality collectively of all the data received from multiple sources. Further, this sub-function enables business-oriented data quality ranking such as location, time, and also data quality ranking; +- Preferred quality as metric weightage: To create and update application specific data quality ranking templates, this sub-function enables assigning of data quality weightage to preferred data quality metrics, so that the data could be categorized and used in the specific context. + +## 9.6 Ongoing data quality monitoring function + +To support the ongoing data quality monitoring for sustainable data quality, the data quality monitoring function provides four sub-functions to monitor data quality at each stage in the data quality management. Figure 9-7 shows the four functional components (sub-functions) of the data quality monitoring function for ongoing data quality monitoring. + +![Diagram of the Ongoing data quality monitoring function components.](5445597cceefaca1ac89e710fe339325_img.jpg) + +The diagram illustrates the functional components of the ongoing data quality monitoring function. A large teal rounded rectangle is labeled "Ongoing data quality monitoring function" at the top. Inside this rectangle are four light blue rounded rectangles, each representing a sub-function: "Recurrent data quality monitoring", "Monitoring of correlated critical spots of poor data data-quality monitoring", "Critical data monitoring", and "Non-critical data monitoring". To the right of the teal rectangle is a cylinder labeled "Data quality monitoring repository". A double-headed arrow connects the teal rectangle to the repository cylinder. Below the repository cylinder is the identifier "Y.4603(23)". + +Diagram of the Ongoing data quality monitoring function components. + +**Figure 9-7 – Functional components of the ongoing data quality monitoring function** + +- Recurrent data quality monitoring: The recurrent data quality monitoring function ensures the monitoring of various aspects of data quality periodically. This sub-function supports various components which create many schedules for the checking of the entire process of data quality management systems. The choice of data attributes to monitor, and how to monitor them, is one of the key decisions of the design phase of the data quality management; +- Monitoring of correlated critical spots of poor data: The monitoring correlated critical spots of poor data enables to monitor the quality of data and related data whose quality estimated as weak in the data quality evaluation and ranking function. This sub-function generates reports which show the trends of correlated critical data quality improvement or deterioration from time to time; +- Critical data monitoring: This sub-function of critical data monitoring supports an important issue in the data quality management. The critical data are more important than the rest of the data in the data quality management framework such as patient surveillance data, etc. The monitoring mechanism in this sub-function focuses on critical data defined as per IoT applications; +- Non-critical data monitoring: Non-critical data also has business value and impact but not to the same extent as critical data. Similarly, as in the monitoring of critical quality data, the mechanism in this sub-function focuses on non-critical data monitoring. The difference between critical and non-critical data could be defined in the data quality monitoring templates stored in the data quality monitoring repository. + +# Appendix I + +## Intelligent data quality management using machine learning and deep learning + +(This appendix does not form an integral part of this Recommendation.) + +## I.1 Machine learning based data quality management + +The identification and correction of measurement errors often involves labour intensive case-by-case evaluations by statisticians. Machine learning will increase the efficiency and effectiveness of these evaluations. It proceeds in two steps: in the first step, a supervised learning algorithm exploits data on decisions to flag data points as erroneous to approximate the results of the human decision making process. In the second step, the algorithm applies the first-step knowledge to predict the probability of measurement errors for newly reported data points. + +Further improving and maintaining high data quality is a central goal of official statistics. In the field of data quality management (DQM), the collection of data on human decisions in the DQM process creates an opportunity to increase the efficiency and effectiveness of DQM with machine learning (ML). It is necessary to predict measurement errors on the basis of data on human decisions to flag data points as erroneous. These predicted probabilities of measurement errors facilitate the work of statisticians and form the basis for a ML based approach to automate their checks. + +The main focus of an application of ML to DQM is in the following two applications: + +- prediction of measurement errors; +- helping to overcome data gaps. + +To support DQM in both applications, the ML algorithms predict if a human decision maker would flag data points. In the application to data gaps, the algorithms predict missing values. + +The ML yields accurate out-of-sample predictions and increases the efficiency of DQM. The potential of ML for official statistics is not limited to the prediction of measurement errors. Another important problem that ML can help to overcome is missing data. Out-of-sample predictions of missing values with ML algorithms can help to close data gaps in a wide range of datasets. + +The use of ML based matching algorithms enables the service platform to ingest data for standardization at scale. Typical use cases include matching specific records or data sets to a common standard and transforming data to this standard, allowing for the creation of relationships and accurate links between base data and derived data. This workflow is particularly important in ML and fraud detection scenarios, where a high volume of customer's due diligence and transaction data from disparate systems necessitates extensive standardization to set flags and generate meaningful derived data. + +Standardization simplifies deduplication issues and accuracy-related data quality problems. The flexibility of ML provides that it can be applied across the entire data set in a cost-effective way, reducing the overhead of moving to a new standard. + +## I.2 Deep learning based DQM + +Deep learning (DL) in artificial intelligence (AI) might help us discover where the master data is kept. DL might be able to "spot" where the most frequently referenced data reside. + +In fact, there are two other tasks in DL applied to DQM that are very different and where we do not need, and cannot use, DL. + +The first task is the identification of the master data and the second concerns the enforcement of the policies that sustain it. The former steps should take no more than an hour with the right business people in the room; simply ask the business users such things as: + +- What is the most important data (at a conceptual level) that is needed to make business process A work as planned? +- How much of this data is also needed to make business process B work as planned? +- How much less data can you use to make business process C work as planned? + +The second task is at the other extreme; the enforcement of policy. It is the work of policy enforcement that sustains the level of data quality and the effectiveness of the workflows executed to meet that data quality and business process. + +# Bibliography + +- [b-ITU-T Y.3600] Recommendation ITU-T Y.3600 (2015), *Big data – Cloud computing based requirements and capabilities*. +- [b-ITU-T Technical Paper] Technical Paper (2016), *Analysis of Digital Data Technologies Toward Future Data Eco-Society*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4606-202311-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4606-202311-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..e0a1d01de237ecbae4e81ad42be6394cd7ee6cf9 --- /dev/null +++ b/marked/Y/T-REC-Y.4606-202311-I_PDF-E/raw.md @@ -0,0 +1,477 @@ + + +# Recommendation + +## **ITU-T Y.4606 (11/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Services, applications, computation and data processing + +--- + +## **Requirements and functional model of the data management system for smart greenhouse service** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|----------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4606 + +## Requirements and functional model of the data management system for smart greenhouse service + +## Summary + +Data analysis technologies can develop Internet of things-based smart greenhouse services more intelligently. To enable these services, a huge size of data related to environmental condition as well as farm configuration is required to be analysed; to enable the data to be well analysed, a well-defined data management system that has the functionalities of data collection, data storage, data disposal, data process and data use is required. + +Recommendation ITU-T Y.4606 defines requirements and functional model of a data management system from the perspective of a smart greenhouse service. The general requirements and functional model of the data management system are not under the scope of this Recommendation. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.4606 | 2023-11-29 | 20 | 11.1002/1000/15691 | + +## Keywords + +Data management system, smart greenhouse, smart greenhouse service. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|--------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 1 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of the data management system (DMS) for smart greenhouse service..... | 2 | +| 7 | Requirements of the DMS ..... | 3 | +| | 7.1 Requirements on data collection ..... | 3 | +| | 7.2 Requirements on data storage..... | 4 | +| | 7.3 Requirements on data disposal ..... | 4 | +| | 7.4 Requirements on data process ..... | 4 | +| | 7.5 Requirements on data use ..... | 5 | +| 8 | Functional model of the DMS ..... | 5 | +| | 8.1 Data-collection function ..... | 6 | +| | 8.2 Data storage function..... | 6 | +| | 8.3 Data disposal function ..... | 6 | +| | 8.4 Data process function ..... | 6 | +| | 8.5 Data use function..... | 6 | +| | Appendix I – Consideration on deployment in various service environment..... | 7 | +| | I.1 Stand-alone smart greenhouse service model..... | 7 | +| | I.2 Smart greenhouse service with cloud support model ..... | 7 | +| | I.3 Smart greenhouse service with edge-cloud support model ..... | 8 | +| | Bibliography..... | 10 | + + + +# Recommendation ITU-T Y.4606 + +## Requirements and functional model of the data management system for smart greenhouse service + +# 1 Scope + +This Recommendation addresses a data management system for a smart greenhouse service including the following: + +- An overview of a data management system for a smart greenhouse service; +- Requirements of a data management system for a smart greenhouse service; +- A functional model of a data management system for a smart greenhouse service; +- Consideration on deployment in various service environments. + +The general requirements and functions of a data management system are not under the scope of this Recommendation. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +None. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 data management** [b-ITU-T Y.4602]: Activities of defining, creating, storing, maintaining and providing access to data and associated processes in one or more information systems. + +**3.1.2 smart farm** [b-ITU-T Y.4466]: A group of smart greenhouses under management of an administrator. + +**3.1.3 smart greenhouse** [b-ITU-T Y.4466]: A facility that can control the environment of a greenhouse with minimum human intervention using Internet of things (IoT) technologies. + +**3.1.4 smart greenhouse service** [b-ITU-T Y.4466]: A service that enables precision farming based on a smart greenhouse. + +## 3.2 Terms defined in this Recommendation + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +AI Artificial Intelligence + +# 5 Conventions + +The following conventions are used in this Recommendation: + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. +- The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Overview of the data management system (DMS) for smart greenhouse service + +As the distribution of smart greenhouse services spreads and related technologies evolve, the type and amount of data for the smart greenhouse services are rapidly increasing. [b-ITU-T Y.4495] defines data requirements and data models for the smart greenhouse services and classifies the data for the smart greenhouse services into configuration data and the measurement data as follows: + +- Configuration data: farm data, greenhouse data, device data, device installation data and user data; +- Measurement data: environmental status data and device status data. + +For data analysis, the smart greenhouse can provide resource data related to the input and usage of fertilizers, pesticides, water, electricity and labour, or crop production data in addition to the above configuration data and measurement data. + +Collection, storage, disposal, process and use of these data are very important functionalities in a smart greenhouse service. In particular, for more diverse smart greenhouse services according to user's demands, the smart greenhouse service provider needs a data management system (DMS) that has various functionalities related to data. + +Figure 1 shows a conceptual diagram of the DMS for the smart greenhouse service. The DMS collects data from the smart greenhouse and stores them in a storage, and then the DMS processes data for data analysis. The smart greenhouse service provider uses the processed data for data analysis to create various data services; an example of such data service includes "a farm adjustment and production forecast service" using artificial intelligence (AI) or big data technologies. As a user of the DMS, a farmer interacts with the DMS to monitor and control the environmental condition of the smart greenhouse. For the purpose of security, the DMS should dispose of the data after its usage for the smart greenhouse service. Third party service providers may request the data stored or processed in the DMS for any form of collaboration between the smart greenhouse service providers. + +NOTE – The details of the service provider, service user and third party are not covered in this Recommendation. + +This Recommendation defines the requirements and functional model of the DMS for the smart greenhouse service. + +![Conceptual diagram of a data management system for the smart greenhouse service. The diagram shows a flow from 'Smart greenhouse' to 'Data management system' via 'Data collection'. The 'Data management system' has a self-loop for 'Data storage', 'Data process', and 'Data disposal'. It then flows to 'Service provider', 'Service users', and 'Third party, etc.' via 'Data use'. A legend indicates that the 'Data management system' box is the part under the scope of this Recommendation Y.4606(23).](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +``` + +graph LR + SG[Smart greenhouse] -- Data collection --> DMS[Data management system] + DMS -- "Data storage +Data process +Data disposal" --> DMS + DMS -- Data use --> SPU[Service provider +Service users +Third party, etc.] + +``` + +Y.4606(23) + +Conceptual diagram of a data management system for the smart greenhouse service. The diagram shows a flow from 'Smart greenhouse' to 'Data management system' via 'Data collection'. The 'Data management system' has a self-loop for 'Data storage', 'Data process', and 'Data disposal'. It then flows to 'Service provider', 'Service users', and 'Third party, etc.' via 'Data use'. A legend indicates that the 'Data management system' box is the part under the scope of this Recommendation Y.4606(23). + +**Figure 1 – Conceptual diagram of a data management system for the smart greenhouse service** + +# 7 Requirements of the DMS + +## 7.1 Requirements on data collection + +The DMS is required to provide the following capabilities for data collection: + +- The capability to collect the environmental status data; +NOTE 1 – The environment status data may include data related to temperature, humidity, carbon dioxide, insolation, wind direction, wind speed, light quantum, soil moisture tension, rain detection, electrical conductivity, potential of hydrogen and so on. +- The capability to collect the crop growth status data; +NOTE 2 – The crop-growth status data may include data related to crop height, stem thickness, leaf temperature, soil moisture saturation and so on. +- The capability to collect the configuration data of the smart greenhouses and the smart farm from the service provider or the service user (farmer); +NOTE 3 – The configuration data of the smart greenhouses may include data related to an identifier, a type, size, a geographical location, a type of irrigation, a type of heating system and the utilization status of the greenhouses. Also, the configuration data of the smart farm may include data related to an identifier, a name, an address, a geographical location and area, meaning the size of the farm, changes in configuration settings and so on. +- The capability to collect the configuration data of the devices from the service provider or the service user (farmer); +NOTE 4 – the configuration data of the devices may include data related to a device code, a name, a device type, a model name, available measurement range, a manufacturer name, changes in configuration settings and so on. +- The capability to connect with the data source; +- The capability to identify the authorization of data source; +NOTE 5 – Examples of data sources include the devices, the smart greenhouses, the service provider and service users. +- The capability to collect data related to information about stakeholders involved in the smart greenhouse service, including their access right to data; +- The capability to collect data on control commands and results of executing these commands; +- The capability to collect data on the optimal crop-growth model from the service provider; +- The capability to detect that data are not being collected from a sensor and to notify the service provider or the service user (farmer). +NOTE 6 – This can be verified based on the configuration data of a sensor. The service provider or the service user receiving the notification can check the status of the sensor and take appropriate action. + +The DMS is recommended to provide the following capabilities for data collection: + +- The capability to collect data related to resource consumption or crop production; +NOTE 7 – This data can be used to create production plans and strategies for the smart greenhouse service. +- The capability to collect external data. +NOTE 8 – The external data may include data related to weather forecasts, agricultural statistics, agricultural market information and so on. Weather forecast data, for example, can be used to predict environmental changes and identify environmental conditions that may affect crop growth. + +## **7.2 Requirements on data storage** + +The DMS is required to provide the following capabilities for data storage: + +- The capability to store internal and external environmental status data; +- The capability to store the crop-growth status data; +- The capability to store the configuration data of the greenhouses and the farm, including any changes in configuration settings and their history; +- The capability to store the configuration data of the devices installed in the smart greenhouse, including any changes in configuration settings and their history; +- The capability to store data related to the information about stakeholders involved in the smart greenhouse service, including their access right to data; +- The capability to store data on control commands and their execution results; +- The capability to store data on the optimal crop-growth model. + +The DMS is recommended to provide the following capabilities for data storage: + +- The capability to store data related to resource consumption or crop production; +- The capability to store the collected external data; +- The capability to store data systematically. + +NOTE – The stored data can be selectively available for data processing, depending on the type and purpose of the data. + +## **7.3 Requirements on data disposal** + +The DMS is required to provide the following capability for data disposal: + +- The capability to dispose of data according to the retention period. + +NOTE – The disposal of data follows the rules established between the service provider and the service user, considering the purpose of the data, data security, data protection and the cost of storage management for large amounts of data. + +## **7.4 Requirements on data process** + +The DMS is required to provide the following capabilities for data process: + +- The capability to select and combine specific data; +NOTE 1 – The environmental data of the smart greenhouse and the crop-growth status data can be processed as a combined data set for data analysis. This is because they have a cause-and-effect relationship with each other. +- The capability to validate data; +NOTE 2 – For accurate data analysis, it is necessary to identify and correct duplicate data, missing data and data with anomalous values. +- The capability to convert data units; +- The capability to transform data to have a specific type and format. + +NOTE 3 – Data can be transformed to have a type and format appropriate to the needs of the service provider or the service users for analysis. + +The DMS is recommended to provide the following capability for data process: + +- The capability to provide statistically derived parameters. + +NOTE 4 – For example, the average temperature or the crop-growth rate derived from the combined data set can be used as the basis for data analysis. + +## 7.5 Requirements on data use + +The DMS is required to provide following capabilities for data use: + +- The capability to provide environmental status data and crop-growth status data for real-time monitoring; +- The capability to provide processed data for the service provider's analysis to create various data services; + +NOTE 1 – Examples of such data services include an optimal crop-growth model service, production forecasts service and optimal resource utilization strategies service. For in-depth analysis, technologies such as AI and big data can be applied. + +- The capability to control the data access rights of the data users. + +NOTE 2 – Differentiated data access rights should be granted based on the type of data users and the purpose of data use. + +The DMS is recommended to provide following capability for data use: + +- The capability to provide processed data to the third parties according to their specific needs. + +# 8 Functional model of the DMS + +Figure 2 shows a functional model of the DMS for smart greenhouse service. The DMS has the following four functions to manage the smart greenhouse service data: + +- A data-collection function; +- A data storage function; +- A data disposal function; +- A data process function; +- A data use function. + +![Functional model of the DMS for smart greenhouse service diagram](ec98c4d2d93f28dfc8eb9d5e5730f62d_img.jpg) + +The diagram illustrates the functional model of the DMS for smart greenhouse service. It features a central 'Data management system' block containing five functions: 'Data collection function', 'Data storage function', 'Data disposal function', 'Data process function', and 'Data use function'. Above this system are 'Service provider' and 'Service users' (dashed boxes), both connected to the system. Below the system is a 'Smart greenhouses' block (dashed box), also connected. A legend at the bottom left indicates that dashed boxes represent parts out of the scope of this Recommendation. The reference 'Y.4606(23)' is located at the bottom right. + +Functional model of the DMS for smart greenhouse service diagram + +**Figure 2 – Functional model of the DMS for smart greenhouse service** + +## **8.1 Data-collection function** + +The data-collection function is for collecting data from various data sources. For this purpose, this function provides capabilities of data collection from the data sources in various manners, such as real-time, periodic and so on. This function also provides capabilities of connection to the data sources, and it detects when data are not being collected. + +The collected data are then delivered to the data storage function, where they are carefully stored and efficiently managed for subsequent analysis and use. + +## **8.2 Data storage function** + +The data storage function provides capabilities of data storage and data organization. With this function, the collected data are efficiently and securely stored and managed to ensure their validation, future processing and use; for this purpose, the DMS stores the collected data in a structured format and the quality and accuracy of the data are verified. + +Finally, all the stored data are then delivered to the data process function for future processing, by enabling the creation of various data services for the smart greenhouse service. + +## **8.3 Data disposal function** + +The data disposal function provides capabilities of deleting data in accordance with predefined retention periods. This function follows rules agreed between the service provider and the service users, taking into account the intended purpose of the data, security and privacy requirements, and the costs associated with managing and storing large volumes of data. + +Through the data disposal function, the stored data can be disposed of based on factors such as expiration of validity period and data usage policies. + +## **8.4 Data process function** + +The purpose of the data process function is to process the data in various ways to maximize their value. For this purpose, the data process function provides the capabilities of removing or modifying incorrect data, converting data, combining data from different data sources, validating data and creating new meaningful data. + +After the data are processed, they are delivered to the data use function for the use of the smart greenhouse service provider and the service users. + +## **8.5 Data use function** + +The purpose of the data use function is to provide smart greenhouse service data according to the data users' requirements. The service provider analyses the processed data from the data use function by applying AI and big data technologies and creates various data services; and the service user (farmer) can monitor the environmental status of the smart greenhouse or the crop-growth status in real time. In addition, third party data users can use these data to provide valuable new smart greenhouse services. The data use function also provides a data access control mechanism to protect the data from unauthorized access. + +# Appendix I + +## Consideration on deployment in various service environment + +(This appendix does not form an integral part of this Recommendation.) + +As technologies for the smart greenhouse service evolve, so do the environments in which they are deployed and used. This appendix provides considerations for deploying the data management system (DMS) in different service environments. + +### I.1 Stand-alone smart greenhouse service model + +Although it is an early model for providing a smart greenhouse service, the stand-alone smart greenhouse service is still widely used in small-scale smart greenhouses. + +As shown in Figure I.1, the DMS is installed in a smart farm that consists of one or more smart greenhouses. The DMS has four functions to manage data for the smart greenhouse service, which are the data-collection function, data storage function, data disposal function, data process function and data use function. + +In the stand-alone smart greenhouse service model, all devices are installed in a smart farm, and all data generated by these devices are under the management of the user (farmer). Therefore, for the stand-alone smart greenhouse service model, it is necessary to consider the following: + +- Farmer's lack of expertise in data self-management and security; +- Increasing cost of data self-management due to the increasing the type and amount of data. + +![Figure I.1: Example of a deployment of a stand-alone smart greenhouse service. The diagram shows a User (Farmer) connected to an Internet cloud, which is connected to a Data management system within a Smart farm. The Smart farm contains multiple Smart greenhouses (e.g., #1 and #n), each with its own Controllers and Devices (Sensors, actuators, equipment).](e9d825d87c5f85c8dba0664eace96ef4_img.jpg) + +``` +graph TD + User[User (Farmer)] --- Internet((Internet)) + Internet --- DMS[Data management system] + subgraph Smart_farm [Smart farm] + DMS --- SG1[Smart greenhouse #1] + DMS --- SGn[Smart greenhouse #n] + SG1 --- C1[Controllers] + SGn --- Cn[Controllers] + C1 --- D1[Devices +(Sensors, actuators, equipment)] + Cn --- Dn[Devices +(Sensors, actuators, equipment)] + SG1 -.- SGn + end +``` + +Y.4606(23) + +Figure I.1: Example of a deployment of a stand-alone smart greenhouse service. The diagram shows a User (Farmer) connected to an Internet cloud, which is connected to a Data management system within a Smart farm. The Smart farm contains multiple Smart greenhouses (e.g., #1 and #n), each with its own Controllers and Devices (Sensors, actuators, equipment). + +Figure I.1 – Example of a deployment of a stand-alone smart greenhouse service + +### I.2 Smart greenhouse service with cloud support model + +As cloud technologies develop, the existing stand-alone smart greenhouse service model is evolving into a form that uses an external cloud system for data analysis. + +As shown in Figure I.2, the DMS is installed in an external cloud system of the smart greenhouse service provider. The external DMS collects all data for smart greenhouse services from the smart farm, which consists of one or more smart greenhouses, and stores, processes and uses all data. + +The model in Figure I.2 has the advantage of simplifying the data management for the smart greenhouse service since it uses the external DMS. However, it has the disadvantage of network dependencies such as network disconnection or delay due to excessive traffic. Therefore, for this model, it is necessary to consider the following: + +- A reliable and stable network infrastructure between the smart farm and the external DMS; +- A real-time means of controlling environmental conditions to ensure a fast response time. + +![Figure I.2: Example of a deployment for smart greenhouse service with cloud support model. The diagram shows a 'Cloud of service provider' box containing a 'Data management system' box. This cloud is connected to 'Service users (Farmer, third party, etc.)' via an 'Internet' cloud. Below, a 'Smart farm' box contains multiple 'Smart greenhouse' units (e.g., #1, #n). Each greenhouse contains a 'Gateway' box connected to 'Devices (Sensors, actuators, equipment)'. All greenhouses connect to a central 'Internet' cloud, which in turn connects to the 'Data management system' in the service provider cloud.](a33da0f14e456f92539ce3e9b7d81f9a_img.jpg) + +Figure I.2: Example of a deployment for smart greenhouse service with cloud support model. The diagram shows a 'Cloud of service provider' box containing a 'Data management system' box. This cloud is connected to 'Service users (Farmer, third party, etc.)' via an 'Internet' cloud. Below, a 'Smart farm' box contains multiple 'Smart greenhouse' units (e.g., #1, #n). Each greenhouse contains a 'Gateway' box connected to 'Devices (Sensors, actuators, equipment)'. All greenhouses connect to a central 'Internet' cloud, which in turn connects to the 'Data management system' in the service provider cloud. + +Y.4606(23) + +**Figure I.2 – Example of a deployment for smart greenhouse service with cloud support model** + +### I.3 Smart greenhouse service with edge-cloud support model + +As edge-server technologies are addressed, the disadvantages addressed in the smart greenhouse service with cloud support model are resolved. + +In Figure I.3, an edge server is installed in the smart farm to connect the smart greenhouse service provider's cloud system. The DMS installed on the edge server, DMS-edge, collects real-time data from the smart farm and directly performs pre-processing tasks such as processing the collected data into an appropriate format; in addition, it can control environmental conditions in real-time. + +The DMS installed on the cloud system, DMS-cloud, manages and processes the large amount of data provided by the DMS-edge. In addition, the DMS-cloud may provide external interfaces to collaborate with any external stakeholders. + +NOTE – One or more edge servers can be installed in a smart farm, and one edge server can manage one or more smart farms. + +For this model, it is necessary to consider the followings: + +- Data delivery and synchronization mechanisms between the DMS-edge and the DMS-cloud; +- Data security and privacy capabilities for both the DMS-edge and the DMS-cloud; +- Performance levels of both the DMS-edge and the DMS-cloud for data management. + +![Diagram of a smart greenhouse service deployment with edge-cloud support model.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +The diagram illustrates a smart greenhouse service deployment architecture. At the top, a box labeled "Cloud of service provider" contains a sub-box "Data management system (DMS-cloud)". This is connected via a cloud icon labeled "Internet" to a box labeled "Service users (Farmer, third party, etc.)". Below the cloud provider, another cloud icon labeled "Internet" connects to a large box labeled "Smart farm". Inside the "Smart farm" box, there is a box labeled "Edge server in a smart farm" containing a sub-box "Data management system (DMS-edge)". This edge server is connected to two smart greenhouses: "Smart greenhouse #1" and "Smart greenhouse #n". Each greenhouse contains a "Gateway" box connected to a "Devices (Sensors, actuators, equipment)" box. Ellipses (...) between the two greenhouses indicate multiple greenhouses are present. + +Diagram of a smart greenhouse service deployment with edge-cloud support model. + +Y.4606(23) + +**Figure I.3 – Example of a deployment for smart greenhouse service with edge-cloud support model** + +# Bibliography + +- [b-ITU-T Y.4466] Recommendation ITU-T Y.4466 (2020), *Framework of smart greenhouse service*. +- [b-ITU-T Y.4495] Recommendation ITU-T Y.4495 (2023), *Requirements and a reference model of data for smart greenhouse service*. +- [b-ITU-T Y.4602] Recommendation ITU-T Y.4602 (2023), *Data processing and management framework for IoT and smart cities and communities*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission 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Y.4608 (03/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Services, applications, computation and data processing + +--- + +# **Capability and functional architecture of blockchain of things peers** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|----------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4608 + +# Capability and functional architecture of blockchain of things peers + +## Summary + +Recommendation ITU-T Y.4464 "*Framework of blockchain of things as decentralized service platform*", introduces a decentralized Internet of things (IoT) service platform, blockchain of things (BoT), and provides its common capabilities and functionalities. A BoT entity is a functional entity or physical entity (e.g., IoT server, IoT device, IoT gateway and end user device) that participates in the activities performed in a BoT. A BoT peer is a logic function of a BoT entity to perform BoT-related functionalities in the processes of communications, consensus-making, and transactions and management. BoT peers are participants of BoTs which create and maintain BoTs. + +Recommendation ITU-T Y.4608 presents common capabilities, functional architecture and general interactions of blockchain of things peers. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.4608 | 2025-03-01 | 20 | 11.1002/1000/16213 | + +## Keywords + +Blockchain of things, capability, functional architecture, peer. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|------------------------------------------------------------------------------|------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 Technical characteristics of BoT peer ..... | 3 | +| 7 Common capabilities of BoT peers ..... | 4 | +| 7.1 Collaboration in the decentralization paradigm ..... | 4 | +| 7.2 Interoperation and interaction..... | 5 | +| 8 Functional architecture of BoT peers ..... | 5 | +| 8.1 Functional components in Layer 0 ..... | 7 | +| 8.2 Functional components in Layer 1 ..... | 7 | +| 8.3 Functional components in Layer 2 ..... | 7 | +| 8.4 Functional components in Layer 3 ..... | 7 | +| 8.5 Functional components in Layer 4 ..... | 8 | +| 8.6 Functional components in Layer 5 ..... | 8 | +| 8.7 Functional components of agents ..... | 8 | +| 8.8 External entities ..... | 8 | +| 8.9 Reference points ..... | 9 | +| 9 General interactions of BoT peer..... | 9 | +| 9.1 Interaction with the BoT peers of the same BoT..... | 9 | +| 9.2 Interaction with the decentralized applications ..... | 10 | +| 9.3 Interaction with the BoT peers of other BoTs ..... | 10 | +| 9.4 Interaction with traditional IoT applications and services ..... | 11 | +| 9.5 Interaction with the BoT entities in local area networks ..... | 11 | +| 9.6 Interaction with local or remote distributed storage..... | 12 | +| 9.7 Data delivery and event broadcast..... | 12 | +| 10 Security considerations..... | 13 | +| Appendix I Deployment modes of BoT peers ..... | 14 | +| I.1 Deployment mode: Standalone BoT peers ..... | 14 | +| I.2 Deployment mode: Functionalities distributed in multiple BoT peers ..... | 15 | +| Bibliography..... | 16 | + + + +# Recommendation ITU-T Y.4608 + +# Capability and functional architecture of blockchain of things peers + +# 1 Scope + +This Recommendation presents common capabilities, functional architecture and general interactions of blockchain of things (BoT) peers. + +The scope of this Recommendation includes: + +- technical characteristics and common capabilities of blockchain of things peers; +- functional architecture of blockchain of things peers, including relevant general interactions. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T X.1400] Recommendation ITU-T X.1400 (2020), *Terms and definitions for distributed ledger technology*. +- [ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [ITU-T Y.4451] Recommendation ITU-T Y.4451 (2016), *Framework of constrained device networking in the IoT environments*. +- [ITU-T Y.4464] Recommendation ITU-T Y.4464 (2020), *Framework of blockchain of things as decentralized service platform*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 address** [b-ITU-T Y.2091]: An address is the identifier for a specific termination point and is used for routing to this termination point. + +**3.1.2 application** [b-ITU-T Y.2091]: A structured set of capabilities, which provide value-added functionality supported by one or more services, which may be supported by an API interface. + +**3.1.3 blockchain** [ITU-T X.1400]: A type of distributed ledger which is composed of digitally recorded data arranged as a successively growing chain of blocks with each block cryptographically linked and hardened against tampering and revision. + +**3.1.4 blockchain of things (BoT)** [ITU-T Y.4464]: An Internet of things (IoT) service platform with a decentralized working mode where IoT applications and services are executed. + +NOTE – BoT uses blockchain-related technologies (such as peer to peer communication, decentralized data storage, crowding consensus and transaction) to support a decentralized working mode. + +**3.1.5 blockchain platform** [ITU-T Y.4464]: A platform (or system) that is established based on blockchain-related technologies. + +**3.1.6 blockchain of things (BoT) entity** [ITU-T Y.4464]: A functional entity or physical entity (e.g., Internet of things (IoT) server, IoT device, IoT gateway and end user device) that participates in the activities performed in a blockchain of things (BoT). + +NOTE – Physical things with constrained capabilities on computation or communication (e.g., constrained IoT devices, ID tags) are usually not BoT entities, but they can be bound to BoT entities in order to be mapped into BoT. Virtual things can be bound to BoT entities in order to be mapped into BoT. + +**3.1.7 blockchain of things (BoT) peer** [ITU-T Y.4464]: A logic function of a blockchain of things (BoT) entity to perform BoT-related functionalities (e.g., executing transactions and maintaining BoT data) in the processes of communications, consensus-making, and transactions and management. + +**3.1.8 blockchain of things (BoT) transaction** [ITU-T Y.4464]: An operation (e.g., reading/writing blockchain of things (BoT) data, deploying/invoking smart contracts, and querying results of smart contracts) that is performed by authorized BoT peers. + +NOTE – BoT may provide incentive mechanisms (e.g., rewarding fees or tokens) to encourage the participants to contribute to the transaction (e.g., maintaining BoT data, endorsing the transaction). + +**3.1.9 consensus** [ITU-T X.1400]: Agreement that a set of transactions is valid. + +**3.1.10 constrained device** [ITU-T Y.4451]: A device that has constraints on characteristics such as limited processing capability, small memory capability, limited battery power, short range, and low bit rate. + +**3.1.11 decentralized application (dApp)** [ITU-T X.1400]: Application that runs in a distributed and decentralized computing environment. + +**3.1.12 device** [ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.13 Internet of things** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on, existing and evolving, interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – In a broad perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.14 smart contract** [ITU-T X.1400]: A program written on a distributed ledger system which encodes the rules for specific types of distributed ledger system transactions in a way that can be validated, and triggered by specific conditions. + +**3.1.15 thing** [ITU-T Y.4000]: With regard to the Internet of things, this is an object of the physical world (physical things) or of the information world (virtual things), which is capable of being identified and integrated into the communication networks. + +## **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|---------------------------| +| BoT | Blockchain of Things | +| dApp | Decentralized Application | +| FC | Functional Component | + +| | | +|-----|--------------------| +| ID | Identity | +| IoT | Internet of Things | +| VM | Virtual Machine | + +# 5 Conventions + +The following conventions are used in this Recommendation: + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. +- The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +# 6 Technical characteristics of BoT peer + +[ITU-T Y.4464] introduces a decentralized Internet of things (IoT) service platform, blockchain of things (BoT), and provides relevant common capabilities and functionalities. BoT works in decentralized environments which are established on blockchain-related technologies or are enabled by a blockchain platform. BoT consists of groups of BoT peers which are participants of BoTs which create and maintain BoTs. A BoT entity can host one or multiple BoT peer(s) as well as decentralized applications. Figure 6-1 depicts an overview of BoT and relationships among BoTs, BoT entities, BoT peers, and decentralized applications (dApps). There are various types of BoT entities such as full-fledged IoT devices, end-user devices, IoT gateways, IoT servers or service gateways, etc. + +![Figure 6-1: Overview of BoT. The diagram illustrates the architecture of the Blockchain of Things (BoT). At the top, three boxes represent 'End-user devices', 'IoT servers', and 'Service gateways', each containing 'dApps' and 'BoT peers'. These are connected to a central 'Blockchain of things (BoT)' layer. Below this, 'Underlying infrastructures' are shown, including 'Full-fledged IoT devices' and 'IoT gateways'. 'Full-fledged IoT devices' are connected to 'Things (Physical/virtual)'. 'IoT gateways' are connected to 'Constrained IoT devices'. A legend at the bottom indicates that a solid line represents a 'BoT' and a dashed line represents 'Underlying infrastructures'. The diagram is labeled 'Y.4608(25)' in the bottom right corner.](dbe553cf16dd14073b89a8263a428664_img.jpg) + +Figure 6-1: Overview of BoT. The diagram illustrates the architecture of the Blockchain of Things (BoT). At the top, three boxes represent 'End-user devices', 'IoT servers', and 'Service gateways', each containing 'dApps' and 'BoT peers'. These are connected to a central 'Blockchain of things (BoT)' layer. Below this, 'Underlying infrastructures' are shown, including 'Full-fledged IoT devices' and 'IoT gateways'. 'Full-fledged IoT devices' are connected to 'Things (Physical/virtual)'. 'IoT gateways' are connected to 'Constrained IoT devices'. A legend at the bottom indicates that a solid line represents a 'BoT' and a dashed line represents 'Underlying infrastructures'. The diagram is labeled 'Y.4608(25)' in the bottom right corner. + +(Derived from Figure 6-3 of [ITU-T Y.4464]) + +**Figure 6-1 – Overview of BoT** + +Figure 6-2 depicts an overview of a BoT peer which is hosted by a BoT entity. BoT peers interact with one another through peer-to-peer and fully decentralized communication mechanisms, over current and future communication networks. + +A BoT peer provides special service capabilities for BoT, and provides groups of agents to interact with local or remote Internet of things (IoT) entities of IoT service platforms, mainly including: + +- Intra-connection agent(s) to support interactions with other BoT peers of the same BoT; +- Inter-connection agent(s) to support interoperations with BoT peers of other BoTs; +- Service agent(s) to support interactions with local or remote traditional IoT applications and services; +- Device agents(s) to support interactions with IoT devices in local area networks, such as full-fledged IoT devices and constrained IoT devices; +- Application agent(s) to serve decentralized applications which are inside the same BoT entity or other BoT entities; +- Storage agents(s) to connect to local or remote distributed storage. + +BoT peers support traditional service capabilities for IoT service platforms accordingly. BoT peers and BoT entities work on the underlying infrastructures of IoT service platform(s). + +![Figure 6-2: Overview of BoT peer. The diagram shows a BoT entity containing a BoT peer. The BoT peer has special service capabilities and is connected to various agents (Inter-connection, Intra-connection, Service, Application, Device, Storage) which interact with external entities like other BoT peers, traditional IoT applications, IoT devices, decentralized applications, and distributed storage. The entire BoT entity sits on top of the underlying IoT service platform infrastructures.](e6df2733626a85205c1db682e6259c46_img.jpg) + +The diagram illustrates the architecture of a BoT peer within a BoT entity. The BoT entity is represented by a large dashed box. Inside it, the BoT peer is shown as a central component with 'Special service capabilities for BoT'. The BoT peer is connected to six agents: Inter-connection agent(s), Intra-connection agent(s), Service agent(s), Application agent(s), Device agent(s), and Storage agent(s). These agents are further connected to external entities: Inter-connection agents connect to 'BoT peers of other BoTs'; Intra-connection agents connect to 'Other BoT peers of the same BoT'; Service agents connect to 'Traditional IoT applications and services'; Application agents connect to 'Decentralized applications'; Device agents connect to 'IoT devices in local area networks'; and Storage agents connect to 'Local or remote distributed storage(s)'. Below the BoT peer, a dashed box indicates 'Traditional service capabilities of IoT service platform'. The entire BoT entity is supported by 'Underlying infrastructures of IoT service platforms' at the bottom. + +Figure 6-2: Overview of BoT peer. The diagram shows a BoT entity containing a BoT peer. The BoT peer has special service capabilities and is connected to various agents (Inter-connection, Intra-connection, Service, Application, Device, Storage) which interact with external entities like other BoT peers, traditional IoT applications, IoT devices, decentralized applications, and distributed storage. The entire BoT entity sits on top of the underlying IoT service platform infrastructures. + +Y.4608(25) + +**Figure 6-2 – Overview of BoT peer** + +[ITU-T Y.4464] provides common characteristics and functionalities of BoT, including data storage and management, crowding decision-making, automatic interactions, etc. All or parts of BoT peers in a BoT interact with each other to perform the functionalities of BoT. + +# 7 Common capabilities of BoT peers + +## 7.1 Collaboration in the decentralization paradigm + +### 7.1.1 Decentralized data storage and management + +In a traditional IoT service platform, IoT data is usually stored in a centralized or distributed database, and is not stored by IoT entities. In a BoT, according to its deployment modes, parts or all of authorized BoT peers contribute to the functions of storage and management for IoT data. BoT provides mechanisms to support authorized BoT peers to work together to process IoT data and to maintain data integrity, confidentiality and accessibility. BoT peers provide storage and query functions of IoT data and BoT transaction information produced in the operation processes. + +### **7.1.2 Crowding decision-making** + +In a BoT, parts or all authorized BoT peers participate in making decisions subject to the deployment mode and policy of the BoT. BoT peers perform consensus and confirmation processes by smart contracts automatically. BoT peers involved in a BoT are securely decentralized to make sure that no single participant or set of colluding participants can make up the majority of a BoT. + +#### **7.1.3 Automatic interactions** + +BoT peers involved in a BoT, form one or multiple peer-to-peer overlay networks on communication networks, and they support peer-to-peer (P2P) communication. BoT peers interact with each other by using smart contracts. BoT peers, according to deployment modes and policies of the BoT, can deploy smart contracts on a BoT, and the smart contracts can be executed automatically when triggered, in order to interact with each other (such as making transactions) among BoT peers involved. + +#### **7.1.4 Access control and crypto** + +BoT peers work in a decentralized mode, operated by parts or all of the participants. BoT peers support capabilities related to access control for the BoT, including user account-related information query, ledger-related information query, transaction processing request committing, interface access rights management, etc. In addition, BoT peers support groups of mathematical processes such as encryption, decryption, digest, digital signature, etc. + +#### **7.1.5 Secure execution environment** + +BoT peers provide secure execution environments, such as secure virtual machines (VM) in IoT devices, and secure containers in the cloud. The secure execution environments of BoT peers are used to provide security protection of BoT data and BoT entities. + +## **7.2 Interoperation and interaction** + +### **7.2.1 Interoperation with other BoT peers of different BoTs** + +BoT peers provide inter-connection agents to interact with BoT peers of other BoTs to support interoperation among different BoTs. + +### **7.2.2 Interaction with local and remote decentralized applications and centralized applications** + +BoT peers provide open interfaces or agents, to support decentralized applications to access services on BoT. + +### **7.2.3 Interaction with local and remote services and applications** + +BoT peers provide service agents to interact with local or remote traditional services and applications, in order to access local or remote resources. + +# **8 Functional architecture of BoT peers** + +According to the requirements for BoT peers as listed in [ITU-T Y.4464] and relevant common capabilities listed in clause 7, this clause provides a general functional architecture of BoT peer (see Figure 8-1). + +![Diagram of the functional architecture of a BoT peer. The diagram shows a BoT entity containing a BoT peer. The BoT peer is divided into six layers (L0 to L5). L0 is the traditional service capabilities of IoT service platform. L1 to L5 are decentralized services. L1 includes connectivity management, decentralized data storage, and crowding decision. L2 includes secure execution environment, decentralized identity management, crypto management, decentralized data governance, security management, and smart contract management. L3 includes decentralized gateway support, access control, and interoperability. L4 includes decentralized device management, decentralized service management, and decentralized interface management. L5 is a group of decentralized services. To the right of the layers are agents: Intra-connection agent(s), Application agent(s), Inter-connection agent(s), Service agent(s), Device agent(s), and Storage agent(s). These agents are connected to reference points R1 to R6. R1 is Other BoT peers of the same BoT, R2 is Decentralized applications, R3 is BoT peers of other BoTs, R4 is Traditional IoT applications and services, R5 is IoT devices in local area networks, and R6 is Local or remote distributed storages. The entire BoT peer is supported by underlying infrastructures of IoT service platforms.](d4af765160d04ecef538e5066006dc77_img.jpg) + +BoT entity + +BoT peer + +L5: Decentralized services + +L4: Decentralized device management, Decentralized service management, Decentralized interface management + +L3: Decentralized gateway support, Access control, Interoperability + +L2: Decentralized data governance, Security management, Smart contract management, Secure execution environment, Decentralized identity management, Crypto management + +L1: Connectivity management, Decentralized data storage, Crowding decision + +L0: Traditional service capabilities of IoT service platform + +Agents: Intra-connection agent(s), Application agent(s), Inter-connection agent(s), Service agent(s), Device agent(s), Storage agent(s) + +Reference points: R1 (Other BoT peers of the same BoT), R2 (Decentralized applications), R3 (BoT peers of other BoTs), R4 (Traditional IoT applications and services), R5 (IoT devices in local area networks), R6 (Local or remote distributed storages) + +Underlying infrastructures of IoT service platforms + +Y.4608(25) + +Diagram of the functional architecture of a BoT peer. The diagram shows a BoT entity containing a BoT peer. The BoT peer is divided into six layers (L0 to L5). L0 is the traditional service capabilities of IoT service platform. L1 to L5 are decentralized services. L1 includes connectivity management, decentralized data storage, and crowding decision. L2 includes secure execution environment, decentralized identity management, crypto management, decentralized data governance, security management, and smart contract management. L3 includes decentralized gateway support, access control, and interoperability. L4 includes decentralized device management, decentralized service management, and decentralized interface management. L5 is a group of decentralized services. To the right of the layers are agents: Intra-connection agent(s), Application agent(s), Inter-connection agent(s), Service agent(s), Device agent(s), and Storage agent(s). These agents are connected to reference points R1 to R6. R1 is Other BoT peers of the same BoT, R2 is Decentralized applications, R3 is BoT peers of other BoTs, R4 is Traditional IoT applications and services, R5 is IoT devices in local area networks, and R6 is Local or remote distributed storages. The entire BoT peer is supported by underlying infrastructures of IoT service platforms. + +**Figure 8-1 – Diagram of the functional architecture of a BoT peer** + +Generally, a blockchain of things (BoT) peer consists of seven groups of functional components (FCs) distributed in six layers as below: + +- Layer 0 (L0): including FCs to support traditional service capabilities of IoT service platform. +- Layer 1 (L1): including FCs of connectivity management, decentralized data storage, crowding decision, etc. +- Layer 2 (L2): including FCs of secure execution environment, decentralized identity (ID) management, crypto management, decentralized data governance, security management, smart contract management, etc. +- Layer 3 (L3): including FCs of decentralized gateway support, access control, interoperability, etc. +- Layer 4 (L4): including FCs of decentralized device management, decentralized service management, decentralized interface management, etc. +- Layer 5 (L5): including FCs of groups of decentralized services. + +In addition, a BoT peer may provide a group of agents, including intra-connection agents, inter-connection agents, application agents, service agents, device agents, storage agents, etc. + +A BoT peer usually may expose six reference points to interact with other BoT peers of the same BoT (R1), decentralized applications (R2), BoT peers of other BoTs (R3), traditional IoT applications and services (R4), IoT devices in local area networks (R5), and local or remote distributed storage (R6), respectively. + +All of the functional components work on the underlying infrastructure of IoT service platforms. + +NOTE – There may exist differences in the functionalities of a given BoT peer, more or less when it is deployed for different application scenarios. Appendix I provides several typical deployment modes of BoT peers. + +## 8.1 Functional components in Layer 0 + +Traditional service capabilities of an IoT service platform [ITU-T Y.4000] supported by a BoT entity are the basis for the BoT peer(s) on it. Traditional service capabilities of an IoT service platform usually support IoT services as non-decentralized service modes. + +## 8.2 Functional components in Layer 1 + +The functional components in this layer, mainly include: + +- Connectivity management: It supports peer to peer communication capabilities between BoT peers, and data broadcast among selected BoT peers. +- Decentralized data storage: It supports data synchronization among selected BoT peers with decentralized modes. +- Crowding decision: It supports consensus making among selected BoT peers. + +NOTE – The selected BoT peers points to the BoT peers to be selected to participate in the activities of BoT according to deployment mode and preset-profiles of BoT, such as making consensus, broadcasting and synchronizing IoT data, etc. + +## 8.3 Functional components in Layer 2 + +The functional components in this layer, mainly include: + +- Secure execution environment: It provides a secure sandbox to execute smart contracts of decentralized services, such as a secure VM in an IoT device, secure container in the cloud, etc. +- Decentralized identity management: It supports decentralized identity functionalities, such as validating and identifying the resources in a BoT. +- Crypto management: It provides support to data encryption and decryption, and digest computing as well. +- Decentralized data governance: It provides data management and processing with decentralized mode, especially for multiple BoT peers to collaborate and to securely store data of the decentralized services in a BoT. +- Security management: It provides security support for data, information, and connectivity in a BoT. +- Smart contract management: It manages smart contracts in a BoT peer, including deploying, updating, searching, etc. + +## 8.4 Functional components in Layer 3 + +The functional components in this layer, mainly include: + +- Decentralized gateway support: If a BoT peer is deployed in an IoT gateway to support constrained IoT devices to connect to the BoT, it provides relevant gateway-related functionalities with a decentralized mode. +- Access control: It is the controlling centre of a given BoT peer, which decides how to perform functionalities related to BoT. +- Interoperability: It supports interactions with BoT peers of other BoTs. + +## **8.5 Functional components in Layer 4** + +The functional components in this layer, mainly include: + +- Decentralized device management: It performs device management with decentralized mode in a BoT, mainly for information of devices which host the BoT peers, i.e., IoT entities. +- Decentralized service management: It performs service management with decentralized mode in a BoT, such as service registration, information updating, access policy management, information publishing, etc. The services are usually performed as smart contracts. +- Decentralized interface management: It provides interfaces to support interactions with other entities of a BoT, such as reference points R1 to R6. + +## **8.6 Functional components in Layer 5** + +The BoT peers, collaborate with all or parts of other BoT peers of the same BoT, to manage and perform decentralized services on the BoT. + +## **8.7 Functional components of agents** + +The functional components in this layer, mainly include: + +- Intra-connection agents: Provide support to connect to other BoT peers of the same BoT. +- Inter-connection agents: Provide support to connect to BoT peers of other BoTs. +- Application agents: Provide support to connect to decentralized applications. +- Service agents: Provide support to connect to traditional IoT applications and services. +- Device agents: Provide support to interact with IoT devices in local area networks. +- Storage agents: Provide support to interact with local or remote distributed storage. + +## **8.8 External entities** + +### **8.8.1 BoT peers of the same BoT** + +All or parts of the BoT peers collaborate to establish and maintain the BoT with a decentralized mode. In a given BoT, all or parts of (selected) BoT peers have the same rights to interact with each other to support decentralized services. + +### **8.8.2 Decentralized application** + +Decentralized applications usually run in distributed and decentralized computing environments. The BoT peer provides interfaces to support decentralized applications to connect to decentralized services on a given BoT. + +### **8.8.3 BoT peers of other BoTs** + +The BoT peer optionally supports interaction with other BoT peers to access decentralized services in relevant other BoTs. + +### **8.8.4 Traditional IoT applications and services** + +The BoT peer optionally provides support to interact with traditional IoT applications and services deployed in the same BoT entities. + +#### **8.8.5 IoT devices in local area networks** + +The BoT peer provides interfaces to support IoT devices in local area networks to connect to decentralized services on a BoT. + +#### 8.8.6 Local or remote distributed storage + +The BoT peer provides interfaces to connect to local or remote distributed storage, such as blockchain based systems. + +#### 8.8.7 Underlying infrastructure of IoT service platforms + +The underlying infrastructure of IoT service platforms provide underlying supports, such as decentralized IoT service platforms and traditional IoT service platforms, cloud storage, etc. + +## 8.9 Reference points + +A BoT peer usually may expose six reference points to interact with entities listed in clause 8.8, as below: + +- R1: Supporting interaction with the BoT peers of the same BoT. +- R2: Supporting interaction with the decentralized applications. +- R3: Supporting interaction with the BoT peers of other BoTs. +- R4: Supporting interaction with traditional IoT applications and services. +- R5: Supporting interaction with the IoT devices in local area networks. +- R6: Supporting interaction with local or remote distributed storage. + +# 9 General interactions of BoT peer + +## 9.1 Interaction with the BoT peers of the same BoT + +A BoT peer of a given BoT has one or multiple intra-connection agent(s), which expose reference point R1 to support the BoT peer to interact with other BoT peers of the BoT. + +![Diagram illustrating interaction between BoT peers of the same BoT through R1 reference points.](70de8885bd7de15723aaad5eb5c5febf_img.jpg) + +The diagram shows six BoT peers (BoT peer 1 through BoT peer 6) arranged in a network. Each peer is represented by a box containing two sub-components: 'Main components' and 'Intra-connection agent(s)'. The 'Intra-connection agent(s)' component of each peer is connected to the 'Main components' of the same peer. Additionally, the 'Intra-connection agent(s)' component of each peer is connected to the 'Main components' of other peers via curved lines, all labeled 'R1'. This represents the interaction through the R1 reference point between the intra-connection agents of different peers within the same BoT. + +Y.4608(25) + +Diagram illustrating interaction between BoT peers of the same BoT through R1 reference points. + +**Figure 9-1 – Interaction with the BoT peers of the same BoT** + +The BoT peers of a given BoT collaborate with each other through R1 reference points (see Figure 9-1), such as peer to peer communication, making consensus, broadcasting records, synchronizing data between the BoT peers, etc. + +The BoT peers also perceive the status of their connections and maintain optimized route tables for distributing data and events across the BoT peers, if needed (see clause 9.7). + +## 9.2 Interaction with the decentralized applications + +A BoT peer of a given BoT has one or multiple application agent(s), which expose the R2 reference point to support the BoT peer to interact with decentralized applications in the BoT. + +![Figure 9-2: Interaction with the decentralized applications. The diagram shows three BoT peers (1, 2, and 3) interacting with decentralized applications. Each peer contains 'Main components', 'Application agent(s)', and 'Intra-connection agent(s)'. 'Decentralized applications' are connected to 'Application agent(s)' via 'R2'. 'Intra-connection agent(s)' are connected to 'Main components'. Dashed lines labeled 'R1' show interactions between 'Intra-connection agent(s)' of different peers.](1a827b10290f33d4fec04d0e8ef7a897_img.jpg) + +The diagram illustrates the interaction between BoT peers and decentralized applications. It shows three BoT peers (1, 2, and 3) arranged in a triangle. Each peer is represented by a box containing 'Main components', 'Application agent(s)', and 'Intra-connection agent(s)'. Above each peer box is a box for 'Decentralized applications'. A solid line labeled 'R2' connects each 'Decentralized applications' box to its corresponding 'Application agent(s)' box. Inside each peer box, a solid line connects 'Main components' to 'Intra-connection agent(s)'. Dashed lines labeled 'R1' connect the 'Intra-connection agent(s)' boxes of different peers: one from peer 1 to peer 2, one from peer 1 to peer 3, and one from peer 2 to peer 3. The reference point 'R1' is also labeled near the dashed lines connecting to peer 1. + +Figure 9-2: Interaction with the decentralized applications. The diagram shows three BoT peers (1, 2, and 3) interacting with decentralized applications. Each peer contains 'Main components', 'Application agent(s)', and 'Intra-connection agent(s)'. 'Decentralized applications' are connected to 'Application agent(s)' via 'R2'. 'Intra-connection agent(s)' are connected to 'Main components'. Dashed lines labeled 'R1' show interactions between 'Intra-connection agent(s)' of different peers. + +Y.4608(25) + +**Figure 9-2 – Interaction with the decentralized applications** + +A BoT peer of a given BoT interacts with local (in the same BoT entity) and remote decentralized applications through the R2 reference point (see Figure 9-2). By using the R2 reference point, decentralized application usually integrates software development kits (SDKs) or perform dedicated protocols to interact with BoT peers. + +## 9.3 Interaction with the BoT peers of other BoTs + +A BoT peer of a given BoT has one or multiple inter-connection agent(s), which expose the R3 reference point to support the BoT peer to interact with the BoT peers of other BoT(s). + +![Figure 9-3: Interaction with the BoT peers of other BoTs. The diagram shows two BoTs, BoT A and BoT B, separated by a dashed vertical line. BoT A contains BoT peer 1, BoT peer 2, and BoT peer 4. BoT B contains BoT peer 3, BoT peer 5, and BoT peer 6. Each peer has a box with 'Main components' and 'Intra-connection agent(s)'. BoT peer 4 also has an 'Inter-connection agent(s)'. Solid lines labeled 'R1' connect the 'Intra-connection agent(s)' of BoT peer 1 to BoT peer 2, and BoT peer 2 to BoT peer 4. A solid line labeled 'R3' connects the 'Inter-connection agent(s)' of BoT peer 4 to the 'Inter-connection agent(s)' of BoT peer 5. Solid lines labeled 'R1' connect the 'Intra-connection agent(s)' of BoT peer 3 to BoT peer 5, and BoT peer 5 to BoT peer 6. The reference points R1, R2, R3, and R4 are indicated by labels near the connection lines.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +Figure 9-3: Interaction with the BoT peers of other BoTs. The diagram shows two BoTs, BoT A and BoT B, separated by a dashed vertical line. BoT A contains BoT peer 1, BoT peer 2, and BoT peer 4. BoT B contains BoT peer 3, BoT peer 5, and BoT peer 6. Each peer has a box with 'Main components' and 'Intra-connection agent(s)'. BoT peer 4 also has an 'Inter-connection agent(s)'. Solid lines labeled 'R1' connect the 'Intra-connection agent(s)' of BoT peer 1 to BoT peer 2, and BoT peer 2 to BoT peer 4. A solid line labeled 'R3' connects the 'Inter-connection agent(s)' of BoT peer 4 to the 'Inter-connection agent(s)' of BoT peer 5. Solid lines labeled 'R1' connect the 'Intra-connection agent(s)' of BoT peer 3 to BoT peer 5, and BoT peer 5 to BoT peer 6. The reference points R1, R2, R3, and R4 are indicated by labels near the connection lines. + +**Figure 9-3 – Interaction with the BoT peers of other BoTs** + +The BoT peers of different BoTs exchange data through the R3 reference point, across BoTs (see Figure 9-3). A BoT peer may act as a gateway to support interoperability between different BoTs. + +## 9.4 Interaction with traditional IoT applications and services + +A BoT peer of a given BoT has one or multiple service agent(s), which expose the R4 reference point to support the BoT peer to interact with traditional IoT applications and services that connect to the BoT. + +![Figure 9-4: Interaction with the traditional IoT applications and services. The diagram shows two BoTs, BoT peer 1 and BoT peer 2, separated by a dashed vertical line. Each peer has a box with 'Main components', 'Application agent(s)', 'Intra-connection agent(s)', and 'Service agent(s)'. Above each peer is a box for 'Decentralized applications'. A dashed line labeled 'R2' connects 'Decentralized applications' to 'Application agent(s)'. A dashed line labeled 'R1' connects the 'Intra-connection agent(s)' of BoT peer 1 to the 'Intra-connection agent(s)' of BoT peer 2. A solid line labeled 'R4' connects the 'Service agent(s)' of each peer to a box at the bottom labeled 'Traditional IoT applications and services'. The reference points R1, R2, and R4 are indicated by labels near the connection lines.](33a8f3f01dfa8bce75d23017855a13c5_img.jpg) + +Figure 9-4: Interaction with the traditional IoT applications and services. The diagram shows two BoTs, BoT peer 1 and BoT peer 2, separated by a dashed vertical line. Each peer has a box with 'Main components', 'Application agent(s)', 'Intra-connection agent(s)', and 'Service agent(s)'. Above each peer is a box for 'Decentralized applications'. A dashed line labeled 'R2' connects 'Decentralized applications' to 'Application agent(s)'. A dashed line labeled 'R1' connects the 'Intra-connection agent(s)' of BoT peer 1 to the 'Intra-connection agent(s)' of BoT peer 2. A solid line labeled 'R4' connects the 'Service agent(s)' of each peer to a box at the bottom labeled 'Traditional IoT applications and services'. The reference points R1, R2, and R4 are indicated by labels near the connection lines. + +**Figure 9-4 – Interaction with the traditional IoT applications and services** + +The BoT peers of a given BoT may interact with local or remote traditional IoT applications and services, through the R4 reference point, respectively (see Figure 9-4). + +## 9.5 Interaction with the BoT entities in local area networks + +A BoT peer of a given BoT has one or multiple device agent(s), which expose the R5 reference point to support the BoT peer to interact with BoT entities in local area networks. + +![Figure 9-5: Interaction with BoT entity (hosted by IoT device in local area networks). The diagram shows two BoT peers (BoT peer 1 and BoT peer 2) interacting with decentralized applications and BoT entities. Each peer contains Main components, Application agent(s), Intra-connection agent(s), and Device agent(s). Decentralized applications connect to Application agent(s) via R2. Intra-connection agent(s) connect to Device agent(s). Device agent(s) connect to BoT entity via R5. Intra-connection agent(s) of one peer connect to Intra-connection agent(s) of another peer via R1. The reference point Y.4608(25) is indicated.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +Figure 9-5: Interaction with BoT entity (hosted by IoT device in local area networks). The diagram shows two BoT peers (BoT peer 1 and BoT peer 2) interacting with decentralized applications and BoT entities. Each peer contains Main components, Application agent(s), Intra-connection agent(s), and Device agent(s). Decentralized applications connect to Application agent(s) via R2. Intra-connection agent(s) connect to Device agent(s). Device agent(s) connect to BoT entity via R5. Intra-connection agent(s) of one peer connect to Intra-connection agent(s) of another peer via R1. The reference point Y.4608(25) is indicated. + +**Figure 9-5 – Interaction with BoT entity (hosted by IoT device in local area networks)** + +The BoT peers of a given BoT may interact with BoT entities (hosted by IoT devices in local area networks), through the R5 reference point, respectively (see Figure 9-5) and those BoT peers (hosted by different IoT devices) exchange data, through the R1 reference point, if needed. + +## 9.6 Interaction with local or remote distributed storage + +A BoT peer of a given BoT has one or multiple storage agent(s), which expose the R6 reference point to support the BoT peer to interact with local or remote distributed storage. + +![Figure 9-6: Interaction with local or remote distributed storage. The diagram shows two BoT peers (BoT peer 1 and BoT peer 2) interacting with decentralized applications and local or remote distributed storage. Each peer contains Main components, Application agent(s), Intra-connection agent(s), and Storage agent(s). Decentralized applications connect to Application agent(s) via R2. Intra-connection agent(s) connect to Storage agent(s). Storage agent(s) connect to Local or remote distributed storage via R6. Intra-connection agent(s) of one peer connect to Intra-connection agent(s) of another peer via R1. Local or remote distributed storage of one peer connects to Local or remote distributed storage of another peer via Coordination and collaboration. The reference point Y.4608(25) is indicated.](9cd90f495b95ad2116ff780248c26d95_img.jpg) + +Figure 9-6: Interaction with local or remote distributed storage. The diagram shows two BoT peers (BoT peer 1 and BoT peer 2) interacting with decentralized applications and local or remote distributed storage. Each peer contains Main components, Application agent(s), Intra-connection agent(s), and Storage agent(s). Decentralized applications connect to Application agent(s) via R2. Intra-connection agent(s) connect to Storage agent(s). Storage agent(s) connect to Local or remote distributed storage via R6. Intra-connection agent(s) of one peer connect to Intra-connection agent(s) of another peer via R1. Local or remote distributed storage of one peer connects to Local or remote distributed storage of another peer via Coordination and collaboration. The reference point Y.4608(25) is indicated. + +**Figure 9-6 – Interaction with local or remote distributed storage** + +The BoT peers of a given BoT may interact with local or remote distributed storage, through the R6 reference point, respectively (see Figure 9-6). The connected distributed storage may also coordinate and collaborate with each other. + +## 9.7 Data delivery and event broadcast + +BoT peers of a given BoT collaborate with each other to deliver BoT data in end-to-end mode (peer to peer communication) and broadcast events and BoT data among them. + +![Diagram illustrating data delivery and event broadcast from a BoT data source to a network of BoT peers. A dashed box at the top contains a network of nodes with one node labeled 'BoT peer A' receiving 'BoT data'. Arrows show the data being distributed to other nodes in the network and then to two separate clusters of nodes below, each labeled 'BoT peers'.](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +The diagram shows a network topology for data distribution. At the top, a dashed rectangular box encloses a network of nodes. One node, labeled 'BoT peer A', is shown receiving 'BoT data' from an external source. Arrows indicate the flow of data from 'BoT peer A' to other nodes within this box. Below this box, two separate clusters of nodes are shown, each enclosed in a dashed oval and labeled 'BoT peers'. Arrows point from the nodes in the top box to the nodes in these two bottom clusters, illustrating the broadcast of data to different groups of peers. + +Diagram illustrating data delivery and event broadcast from a BoT data source to a network of BoT peers. A dashed box at the top contains a network of nodes with one node labeled 'BoT peer A' receiving 'BoT data'. Arrows show the data being distributed to other nodes in the network and then to two separate clusters of nodes below, each labeled 'BoT peers'. + +**Figure 9-7 – Data delivery and event broadcast** + +The BoT peers also perceive the status of their connections and maintain optimized route tables for distributing BoT data in end-to-end modes, and for broadcasting BoT data and events across the selected BoT peers. For instance, as depicted in Figure 9-7, when BoT peer A gets a BoT data, it may create an optimized route tree to synchronize the BoT data to each of the BoT peers, if needed. + +# 10 Security considerations + +BoT peer is the base to establish BoT. The security of BoT peer is important to BoT. The BoT data of BoT peers may be exposed to numerous security attacks, and third parties may exploit the data for illegal BoT peers. To prevent such situations, BoT data should be secured during the interactions between BoT peers. BoT peers should guarantee the security of BoT data during their collaboration from security threats (e.g., tampering of the communication, replay attacks, and distributed denial of service (DDoS) attacks). + +# Appendix I + +## Deployment modes of BoT peers + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides several typical deployment modes of blockchain of things (BoT) peers, such as in full-fledged IoT devices, in IoT gateways, service gateways, or IoT servers in edge/core clouds. + +## I.1 Deployment mode: Standalone BoT peers + +The standalone BoT peers usually are deployed as lightweight entities in full-fledged IoT devices, in IoT gateways and/or in service gateways, or as normative entities in edge/core clouds. + +Table I.1 lists parts of the standalone deployment modes of BoT peers. Each of the BoT peers in a special BoT entity may support parts or all of the capabilities as listed in clause 8, according to their capabilities related to computation, storage and communication. + +**Table I.1 – Deployment modes of standalone BoT peers** + +| | Lightweight
BoT peer in
full-fledged
IoT devices | Lightweight
BoT peer in
IoT gateway
to connect
constrained
IoT devices | Lightweight
BoT peer in
service gateway
to connect IoT
services | BoT peer
in edge/
core cloud | +|--------------------------------------------------------------|---------------------------------------------------------------------|---------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|---------------------------------------------| +| L0: traditional service capabilities of IoT service platform | P | P | P | Y | +| L1: connectivity management | P | P | Y | Y | +| L1: decentralized data storage | P | P | P | Y | +| L1: crowding decision | P | P | P | Y | +| L2: secure execution environment | Y | Y | Y | Y | +| L2: decentralized identity management | P | P | P | Y | +| L2: crypto management | P | P | P | Y | +| L2: decentralized data governance | P | P | P | Y | +| L2: security management | P | P | P | Y | +| L2: smart contract management | P | P | P | Y | +| L3: decentralized gateway support | N | P | P | O | +| L3: access control | P | P | P | Y | +| L3: interoperability | N | O | O | O | +| L4: decentralized device management | P | P | O | Y | +| L4: decentralized service management | P | P | P | Y | +| L4: decentralized interface management | P | P | P | Y | +| L5: groups of decentralized services | N | P | P | Y | +| Intra-connection agents | P | P | P | Y | +| Inter-connection agents | N | N | N | O | +| Application agents | P | P | P | Y | + +**Table I.1 – Deployment modes of standalone BoT peers** + +| | Lightweight
BoT peer in
full-fledged
IoT devices | Lightweight
BoT peer in
IoT gateway
to connect
constrained
IoT devices | Lightweight
BoT peer in
service gateway
to connect IoT
services | BoT peer
in edge/
core cloud | +|--------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|---------------------------------------------| +| Service agents | N | N | P | Y | +| Device agents | P | P | P | Y | +| Storage agents | P | P | P | Y | +| NOTE – Y: supported, N: not supported, P: partly supported, O: optionally supported. | | | | | + +## **I.2 Deployment mode: Functionalities distributed in multiple BoT peers** + +Optionally, the capabilities of the BoT peer as listed in clause 8 may be distributed in multiple BoT peers, and those BoT peers work together as a whole to participate in the activities of the BoT. + +# **Bibliography** + +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4609-202509-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4609-202509-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..b469e67224cacfb267385008ef9ec5fc10cb9908 --- /dev/null +++ b/marked/Y/T-REC-Y.4609-202509-I_PDF-E/raw.md @@ -0,0 +1,682 @@ + + +# Recommendation + +# **ITU-T Y.4609 (09/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Services, applications, computation and data processing + +--- + +## **Inventory metadata for Internet of things (IoT)- based electric power infrastructure monitoring system** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|----------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4609 + +## Inventory metadata for Internet of things (IoT)-based electric power infrastructure monitoring system + +# Summary + +The extensive deployment of the Internet of things (IoT)-based electric power infrastructure monitoring system (IoT-EPIMS) has improved the intelligence and digitization of power systems. However, due to the uneven nature of systems, the suitability and performance vary greatly when monitoring a specific event, which increases the difficulty of efficient application of the monitoring system. Constructing metadata of an IoT-based electric power infrastructure monitoring system, can effectively enhance the data management and application capabilities, and make more transparent, intelligent, and advanced energy services in smart cities. + +Recommendation ITU-T Y.4609 presents inventory metadata for the IoT-based electric power infrastructure monitoring system. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.4609 | 2025-09-23 | 20 | 11.1002/1000/16205 | + +## Keywords + +Electric power infrastructure, Internet of things (IoT), metadata, monitoring systems. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +# FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +# Table of Contents + +| | | Page | +|---|------------------------------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | Reference ..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere ..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 1 | +| 4 | Abbreviations and acronyms ..... | 1 | +| 5 | Conventions ..... | 2 | +| 6 | Inventory metadata for IoT-EPIMS..... | 2 | +| 7 | Inventory metadata elements for IoT-EPIMS..... | 3 | +| | 7.1 General information metadata ..... | 3 | +| | 7.2 Sensing device metadata..... | 4 | +| | 7.3 IoT area networks metadata..... | 7 | +| | 7.4 Gateway devices metadata ..... | 8 | +| | 7.5 Wide area network metadata ..... | 8 | +| | 7.6 IoT management platform metadata..... | 9 | +| | 7.7 Data platform metadata ..... | 10 | +| | 7.8 Security metadata ..... | 10 | +| | Appendix I – Use case for daily management of IoT-based electric power infrastructure
monitoring system ..... | 12 | +| | I.1 Use case of general information metadata..... | 13 | +| | I.2 Use case of sensing device metadata (general information)..... | 13 | +| | I.3 Use case of sensing devices metadata (generation of electricity) ..... | 14 | +| | I.4 Use case of sensing devices metadata (conversion of electricity)..... | 14 | +| | I.5 Use case of sensing devices metadata (transmission of electricity) ..... | 15 | +| | I.6 Use case of sensing devices metadata (distribution of electricity)..... | 15 | +| | I.7 Use case of IoT area networks metadata ..... | 15 | +| | I.8 Use case of gateway devices metadata ..... | 16 | +| | I.9 Use case of wide area network metadata..... | 16 | +| | I.10 Use case of IoT management platform metadata ..... | 16 | +| | I.11 Use case of data platform metadata ..... | 17 | +| | I.12 Use case of security metadata..... | 17 | +| | Bibliography..... | 18 | + + + +# Recommendation ITU-T Y.4609 + +# Inventory metadata for Internet of things (IoT)-based electric power infrastructure monitoring system + +# 1 Scope + +This Recommendation presents inventory metadata for the IoT-based electric power infrastructure monitoring system (IoT-EPIMS) defined in [ITU-T Y.4221]. + +The scope of this Recommendation includes: + +- Inventory metadata for IoT-based electric power infrastructure monitoring system. +- Inventory metadata elements for IoT-based electric power infrastructure monitoring system. + +# 2 Reference + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[[ITU-T H.782](#)] Recommendation ITU-T H.782 (V2) (2018), *Digital signage: Metadata*. + +[[ITU-T Y.4221](#)] Recommendation ITU-T Y.4221 (2024), *Requirements of IoT-based electric power infrastructure monitoring systems*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 metadata** [b-ITU-T X.1255]: Structured information that pertains to the identity of users, systems, services, processes, resources, information or other entities. + +**3.1.2 Internet of things (IoT)** [b-ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +**3.1.3 sensor** [b-ITU-T Y.4105]: An electronic device that senses a physical condition or chemical compound and delivers an electronic signal proportional to the observed characteristic. + +## 3.2 Terms defined in this Recommendation + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|-------------------------------| +| EPI | Electric Power Infrastructure | +| IAN | IoT Area Network | +| IoT | Internet of Things | + +# 5            Conventions + +This Recommendation follows the notation described in clause 5 of [ITU-T H.782]. The notation is used in this Recommendation to facilitate the specification of the corresponding schema: + +- *Definition/Semantics*: definition and semantics of the element/attribute along with notes and value domain; +- *Support*: describes the requirement level and number of occurrences of the pertaining instance. The notations for requirement level are M for mandatory and O for optional. The notations for number of occurrences are (1) = (one instance), (0-1) = (zero or one instance), (0-\*) = (zero or multiple instances possible), (1-\*) = (one or multiple instances possible); +- *Type*: describes the type of the pertaining instance as defined in Table 1. + +Table 1 – Data types used in this Recommendation + +| Type | Name | Notes/Reference | +|-------------|----------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| xs:string | String | Used to specify string value which contains characters, line feeds, carriage returns, and tab characters. Defined in [b-W3C XMLSchema]. | +| xs:integer | Integer | Used to specify a numeric value without a fractional component. Defined in [b-W3C XMLSchema]. | +| xs:float | Float | Used to specify a numeric value which contains a fractional component. Defined in [b-W3C XMLSchema]. | +| xs:duration | Duration | Used to specify duration of time. The lexical form is PnYnMnDTnHnMnS, where "P" represents the starts expression, "nY" represents number of years, "nM" represents number of months, "nD" represents number of days, "T" represents separation of date and time, "nH" represents number of hours, "nM" represents number of minutes, and "nS" represents number of seconds. Defined in [b-W3C XMLSchema]. | +| Enumeration | – | Used to specify all the possible values of a parameter. | + +# 6            Inventory metadata for IoT-EPIMS + +Inventory metadata refers to the description of information and data related to inventory. + +Inventory metadata for IoT-EPIMS refers to structured information used to describe and manage various devices, platforms, and related resources in the IoT-EPIMS which can help electric power operators and maintenance personnel manage electric power infrastructure (EPI) more effectively. + +As shown in Figure 1, inventory metadata for IoT-EPIMS is classified into eight types, including general information metadata, security metadata defined in all systems, and the six types of metadata in accordance with the types of electric power infrastructures defined in the reference model of IoT-EPIMS [ITU-T Y.4221]. The six types of metadata include sensing device metadata, IoT area network (IAN) metadata, gateway device metadata, wide area network (WAN) metadata, Internet of things (IoT) management metadata, and data platform metadata. They are used respectively to describe the six types of electric power infrastructures in [ITU-T Y.4221]. + +![Figure 1 – Inventory metadata for IoT-EPIMS. This diagram illustrates the architecture and associated metadata for an IoT-EPIMS system. At the top, 'Management applications' and 'Data applications' connect to an 'IoT management platform' and a 'Data platform' respectively. These platforms are linked to a 'Wide area network (WAN)'. Below the WAN, four 'Gateway device's are shown, each connected to an 'IoT area network (IAN)'. Each IAN is further connected to multiple 'Sensing device's. At the bottom, four categories of 'EPIs in generation of electricity', 'EPIs in conversion of electricity', 'EPIs in transmission of electricity', and 'EPIs in distribution of electricity' are listed. Red lines and labels on the right side of the diagram indicate the metadata associated with each layer: 'IoT management platform metadata' for the top layer, 'Data platform metadata' for the second layer, 'WAN metadata' for the third layer, 'Gateway device metadata' for the fourth layer, 'IAN metadata' for the fifth layer, 'Sensing device metadata' for the sixth layer, 'General information metadata' for the bottom-left category, and 'Security metadata' for the bottom-right category. The reference 'Y.4609(25)' is noted at the bottom right.](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +Figure 1 – Inventory metadata for IoT-EPIMS. This diagram illustrates the architecture and associated metadata for an IoT-EPIMS system. At the top, 'Management applications' and 'Data applications' connect to an 'IoT management platform' and a 'Data platform' respectively. These platforms are linked to a 'Wide area network (WAN)'. Below the WAN, four 'Gateway device's are shown, each connected to an 'IoT area network (IAN)'. Each IAN is further connected to multiple 'Sensing device's. At the bottom, four categories of 'EPIs in generation of electricity', 'EPIs in conversion of electricity', 'EPIs in transmission of electricity', and 'EPIs in distribution of electricity' are listed. Red lines and labels on the right side of the diagram indicate the metadata associated with each layer: 'IoT management platform metadata' for the top layer, 'Data platform metadata' for the second layer, 'WAN metadata' for the third layer, 'Gateway device metadata' for the fourth layer, 'IAN metadata' for the fifth layer, 'Sensing device metadata' for the sixth layer, 'General information metadata' for the bottom-left category, and 'Security metadata' for the bottom-right category. The reference 'Y.4609(25)' is noted at the bottom right. + +**Figure 1 – Inventory metadata for IoT-EPIMS** + +# 7 Inventory metadata elements for IoT-EPIMS + +## 7.1 General information metadata + +General information metadata is used to define the basic name, type, identification, and contact information of IoT-EPIMS. General information metadata includes *SystemID*, *SystemName*, *Keywords*, *SystemOwner*, *ValidTime*, *ConstraintInformation*, and *ContactInformation* elements for an IoT-EPIMS. Table 2 presents general information metadata. + +**Table 2 – General information metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|--------------------|----------------------------------------------------------------------------------------------------|---------|-------------|------| +| SystemID | This metadata item refers to the unique identifier for an IoT-EPIMS. | M(1) | xs:string | / | +| SystemName | This metadata item refers to the name information of an IoT-EPIMS. | M(1) | xs:string | / | +| Keywords | This metadata item refers to the words that can describe the main characteristics of an IoT-EPIMS. | O(1-*) | xs:string | / | +| SystemOwner | This metadata item refers to the owner to whom the IoT-EPIMS belongs. | M(1) | xs:string | / | +| ValidTime | This metadata item refers to a time period when the IoT-EPIMS is available. | M(1) | xs:duration | / | + +**Table 2 – General information metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|------------------------------|--------------------------------------------------------------------------------------------------------------------------------|---------|-----------|------| +| ConstraintInformation | This metadata item includes the constraint information, such as security constraint, legal constraint, and sharing constraint. | O(1) | xs:string | / | +| ContactInformation | This metadata item includes organization name, contact phone number, and contact address information. | O(1) | xs:string | / | + +## 7.2 Sensing device metadata + +### 7.2.1 General information metadata for sensing device + +Sensing devices are classified into the four types of generation, conversion, transmission, and distribution of electricity according to [ITU-T Y.4221]. General information for sensing devices can be used for all the four types of sensing devices and includes *DeviceID*, *DeviceName*, *Keywords*, *ApplicationType*, *DataType*, *SpatialLocation*, *SamplingFrequency*, *InstallationTime*, *ExpectedOperatingLife*, *RatedObservationAccuracy*, *DeviceAccessLevel*, *DeviceAccessMethod*, *WorkingEnvironmentalRequirements*, and *FaultInformation* elements. Table 3 presents general information metadata for sensing devices. + +**Table 3 – Sensing device metadata (general information)** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------|---------|-------------|------| +| DeviceID | This metadata item refers to the unique identifier for a sensing device. | M(1) | xs:string | / | +| DeviceName | This metadata item refers to the name information of a sensing device. | M(1) | xs:string | / | +| Keywords | This metadata item refers to the words that can describe the main characteristics of a sensing device. | O(1-*) | xs:string | / | +| ApplicationType | This metadata item refers to the application type of a sensing device, including generation, conversion, transmission, and distribution of electricity. | M(1) | enumeration | / | +| DataType | This metadata item refers to the type of sensor data, including text, video, image, and numeric. | M(1) | enumeration | / | +| SpatialLocation | This metadata item refers to the spatial location information of a sensing device. | M(1) | xs:string | / | +| SamplingFrequency | This metadata item refers to the time interval between repeated sensing. | O(1) | xs:float | / | +| InstallationTime | This metadata item refers to the time of installing the sensing device. | O(1) | xs:float | / | +| ExpectedOperatingLife | This metadata item refers to the expected operating life of the sensing device. | O(1) | xs:float | / | + +**Table 3 – Sensing device metadata (general information)** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|-----------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|-----------|-------------| +| RatedObservationAccuracy | This metadata item refers to the value of the rated observation accuracy. It reflects the average difference between the observation value and true value under. | O(1) | xs:float | Percent (%) | +| DeviceAccessLevel | This metadata item refers to the permissions for access of the sensing device. | O(1) | xs:string | / | +| DeviceAccessMethod | This metadata item refers to the method to access the sensing device. It includes the three types of remote access, access only on site, and both. | O(1) | xs:string | / | +| WorkingEnvironmentalRequirements | This metadata item refers to the working environmental requirements of a sensing device, including temperature, electromagnetic interference, and waterproofing. | O(1-*) | xs:string | / | +| FaultInformation | This metadata item refers to the fault information of the sensing device, including fault type and fault content. | O(1-*) | xs:string | / | + +### 7.2.2 Metadata of sensing devices used in generation of electricity + +Metadata of sensing devices used in generation of electricity only contain the metadata especially utilized in the generation process of electricity. Metadata of sensing devices used in the generation of electricity includes *ObservedElectricityGenerationType*, *ObservedElectricityGenerationFacilityType*, and *ObservedElectricityGenerationFacilityProperty* elements. Table 4 presents sensing device metadata used in the generation of electricity. + +**Table 4 – Sensing device metadata (generation of electricity)** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|--------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|-------------|------| +| ObservedElectricityGenerationType | This metadata item refers to the electricity generation type, including thermal power generation, nuclear power generation, hydroelectric power generation, wind power generation, solar power generation, biomass power generation, geothermal power generation, tidal power generation, and weather-dependent power generation. | M(1) | enumeration | / | +| ObservedElectricityGenerationFacilityType | This metadata item refers to the observed facility type of the device according to the type of electricity generation. For the device monitoring a thermal power, it can be generators, steam turbines, and boilers, etc. | M(1) | enumeration | / | + +**Table 4 – Sensing device metadata (generation of electricity)** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|-------------|------| +| ObservedElectricityGenerationFacilityProperty | This metadata item refers to what attribute is observed by the device. If the observed object is generator, it can be voltage, current, stator/cooling water temperature, and rotor vibration, etc. | M(1) | enumeration | / | + +### 7.2.3 Metadata of sensing devices used in conversion of electricity + +Metadata of sensing devices used in conversion of electricity only contains the metadata especially utilized in the conversion process of electricity. Metadata of sensing devices used in the conversion of electricity includes *ObservedElectricityConversionFacilityType*, *ObservedElectricityConversionFacilityProperty*, and *ObservedElectricityConversionVoltageClass* elements. Table 5 presents sensing device metadata used in the conversion of electricity. + +**Table 5 – Sensing device metadata (conversion of electricity)** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|-------------|----------------| +| ObservedElectricityConversionFacilityType | This metadata item refers to the type of the observed electricity conversion facility. It can be transformer, switch, etc. | M(1) | enumeration | / | +| ObservedElectricityConversionFacilityProperty | This metadata item refers to what attribute is observed by the device. If the observed object is a transformer, it can be oil temperature, decomposition gas and content in oil, and conversion capacity, etc. | M(1) | enumeration | / | +| ObservedElectricityConversionVoltageClass | This metadata item refers to the voltage level of the observed electricity conversion facility, e.g., 110kV, 220kV, 330kV. | O(1) | xs:integer | Kilo-volt (kV) | + +### 7.2.4 Metadata of sensing devices used in transmission of electricity + +Metadata of sensing devices used in transmission of electricity only contains the metadata especially utilized in the transmission process of electricity. Metadata of sensing devices used in transmission of electricity includes *ObservedElectricityTransmissionFacilityType*, *ObservedElectricityTransmissionFacilityProperty*, and *RatedElectricityTransmissionLineLength* elements. Table 6 presents metadata of sensing devices used in transmission of electricity. + +**Table 6 – Sensing device metadata (transmission of electricity)** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|--------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------|---------|-------------|------| +| ObservedElectricityTransmissionFacilityType | This metadata item refers to type of the observed electricity transmission facility. It can be conductor, transmission tower, and insulator, etc. | M(1) | enumeration | / | +| ObservedElectricityTransmissionFacilityProperty | This metadata item refers to what attribute is observed by the device. If the observed object is conductor, it can be | M(1) | enumeration | / | + +**Table 6 – Sensing device metadata (transmission of electricity)** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|---------------------------------------------------------|------------------------------------------------------------------------------------------------------------|---------|----------|------| +| | current, voltage, temperature, and ice thickness, etc. | | | | +| RatedElectricityTransmissionLineMeasurementRange | This metadata item refers to the maximum measurement length of the observed electricity transmission line. | O(1) | xs:float | / | + +### 7.2.5 Metadata of sensing devices used in distribution of electricity + +Metadata of sensing devices used in distribution of electricity only contains the metadata especially utilized in the distribution process of electricity and includes *ObservedElectricityDistributionFacilityType* and *ObservedElectricityDistributionFacilityProperty* elements. Table 7 presents metadata of sensing devices used in distribution of electricity. + +**Table 7 – Sensing device metadata (distribution of electricity)** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|--------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|-------------|------| +| ObservedElectricityDistributionFacilityType | This metadata item refers to the type of the observed electricity distribution facility. It can be a distribution transformer, switch, distribution line, or other facilities, etc. | M(1) | enumeration | / | +| ObservedElectricityDistributionFacilityProperty | This metadata item refers to what attribute is observed by the device. If the observed object is a switch, it can be temperature, humidity, voltage, and current partial discharge insulation, etc. | M(1) | enumeration | / | + +## 7.3 IoT area networks metadata + +IAN metadata describes the metadata related with IoT area networks in IoT-EPIMS and includes *NetworkID*, *NetworkName*, *Keywords*, *NetworkType*, *CommunicationMode*, *CommunicationProtocol*, and *NetworkBandwidth* elements. Table 8 presents IAN metadata. + +**Table 8 – IoT area networks metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|--------------------|-----------------------------------------------------------------------------------------------------------|---------|-------------|------| +| NetworkID | This metadata item refers to the unique identifier for an IoT area network. | M(1) | xs:string | / | +| NetworkName | This metadata item refers to the name information of an IoT area network. | M(1) | xs:string | / | +| Keywords | This metadata item refers to the words that can describe the main characteristics of an IoT area network. | O(1-*) | xs:string | / | +| NetworkType | This metadata item refers to the type information of an IoT area network. | M(1) | enumeration | / | + +**Table 8 – IoT area networks metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|------------------------------|------------------------------------------------------------------------------------------------|---------|-------------|---------------| +| CommunicationMode | This metadata item refers to the communication modes that an IoT area network supports. | M(1) | enumeration | / | +| CommunicationProtocol | This metadata item refers to the communication protocols that an IoT area network supports. | M(1) | enumeration | / | +| NetworkBandwidth | This metadata item refers to the max information transmission capacity of an IoT area network. | M(1) | xs:float | Megabyte (MB) | + +## 7.4 Gateway devices metadata + +Gateway devices metadata describes the metadata related with gateway devices in IoT-EPIMS and includes *GatewayID*, *GatewayName*, *GatewayKeywords*, and *GatewayType* elements. Table 9 presents gateway devices metadata. + +**Table 9 – Gateway devices metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|------------------------|--------------------------------------------------------------------------------------------------------|---------|-------------|------| +| GatewayID | This metadata item refers to the unique identifier for a gateway device. | M(1) | xs:string | / | +| GatewayName | This metadata item refers to the name information of a gateway device. | M(1) | xs:string | / | +| GatewayKeywords | This metadata item refers to the words that can describe the main characteristics of a gateway device. | O(1-*) | xs:string | / | +| GatewayType | This metadata item refers to the type of a gateway device. | M(1) | enumeration | / | + +## 7.5 Wide area network metadata + +WAN metadata describes the metadata related to wide area network in IoT-EPIMS and includes *NetworkID*, *NetworkName*, *Keywords*, *NetworkType*, *CommunicationMode*, *CommunicationProtocol* and *NetworkBandwidth* elements. Table 10 presents WAN metadata. + +**Table 10 – Wide area network metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|--------------------|-----------------------------------------------------------------------------|---------|-----------|------| +| NetworkID | This metadata item refers to the unique identifier for a wide area network. | M(1) | xs:string | / | +| NetworkName | This metadata item refers to the name information of a wide area network. | M(1) | xs:string | / | +| Keywords | This metadata item refers to the words that can describe the main | O(1-*) | xs:string | / | + +**Table 10 – Wide area network metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|------------------------------|-------------------------------------------------------------------------------------------------------------|---------|-------------|---------------| +| | characteristics of a wide area network. | | | | +| NetworkType | This metadata item refers to the type of information of a wide area network. | M(1) | xs:string | / | +| CommunicationMode | This metadata item refers to the communication modes that a wide area network supports. | M(1) | enumeration | / | +| CommunicationProtocol | This metadata item refers to the communication protocols [b-IEC 61850-x] that a wide area network supports. | M(1) | enumeration | / | +| NetworkBandwidth | This metadata item refers to the max information transmission capacity of a wide area network. | M(1) | xs:float | Megabyte (MB) | + +## 7.6 IoT management platform metadata + +IoT management platform metadata describes the metadata related to IoT management platform in IoT-EPIMS and includes *PlatformID*, *PlatformName*, *Keywords*, *ManagingObjectsType*, *ManagingObjectNumber*, *PlatformAccessPermission*, *SecurityInformation*, and *ConnectionInformation*, elements. Table 11 presents IoT management platform metadata. + +**Table 11 – IoT management platform metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|---------------------------------|------------------------------------------------------------------------------------------------------------------|---------|-----------|------| +| PlatformID | This metadata item refers to the unique identifier for an IoT management platform. | M(1) | xs:string | / | +| PlatformName | This metadata item refers to the name information of an IoT management platform. | M(1) | xs:string | / | +| Keywords | This metadata item refers to the words that can describe the main characteristics of an IoT management platform. | O(1-*) | xs:string | / | +| ManagingObjectsType | This metadata item refers to type of the objects managed by to the management platform. | M(1-*) | xs:string | / | +| ManagingObjectNumber | This metadata item refers to the number of objects managed by the platform. | M(1-*) | xs:string | / | +| PlatformAccessPermission | This metadata item refers to the permissions for access of the platform. | M(1-*) | xs:string | / | +| SecurityInformation | This metadata item refers to the security information of an IoT management platform. | O(1) | xs:string | / | + +**Table 11 – IoT management platform metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|------------------------------|----------------------------------------------------------------------------------------|---------|-----------|------| +| ConnectionInformation | This metadata item refers to the connection information of an IoT management platform. | O(1) | xs:string | / | + +## 7.7 Data platform metadata + +Data platform metadata describes the metadata related to the data platform in IoT-EPIMS and includes *PlatformID*, *PlatformName*, *PlatformFunctions*, *Keywords*, *DataStorageCapacity*, *SecurityInformation*, *DataAccessMethod*, *ManagedDataType*, and *DataAccessPermission* elements. Table 12 presents data platform metadata. + +**Table 12 – Data platform metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|-----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|-------------|------| +| PlatformID | This metadata item refers to the unique identifier for a data platform. | M(1) | xs:string | / | +| PlatformName | This metadata item refers to the name information of a data platform. | M(1) | xs:string | / | +| PlatformFunctions | This metadata item refers to the functions of a data platform. | M(1) | xs:string | | +| Keywords | This metadata item refers to the words that can describe the main characteristics of a data platform. | O(1-*) | xs:string | / | +| DataStorageCapacity | This metadata item refers to the types of databases and database capacity that the data platform can support. | M(1) | xs:string | / | +| SecurityInformation | This metadata item refers to the security information of a data platform. | O(1) | xs:string | / | +| DataAccessMethod | This metadata item refers to the data access method of a data platform. It can be direct download, or through application programming interface (API), etc. | O(1) | xs:string | / | +| ManagedDataType | This metadata item refers to the data objects that belong to the data platform. | O(1-*) | xs:string | / | +| DataAccessPermission | This metadata item refers to whether the data can be accessed, including open access, access on request, and restricted access. | M(1) | enumeration | / | + +## 7.8 Security metadata + +Security metadata describes the metadata related to the security aspect of IoT-EPIMS and includes *EquipmentSecurity*, *DataSecurity*, and *SystemSecurity* elements. Table 13 presents security metadata. + +**Table 13 – Security metadata** + +| Metadata element | Definition/Semantics | Support | Type | Unit | +|--------------------------|--------------------------------------------------------------------------------------|----------------|-------------|-------------| +| EquipmentSecurity | This metadata item refers to the security information of equipment in the IoT-EPIMS. | O(1-*) | xs:string | / | +| DataSecurity | This metadata item refers to the security information of data in the IoT-EPIMS. | O(1-*) | xs:string | / | +| SystemSecurity | This metadata item refers to the security information of the IoT-EPIMS. | O(1-*) | xs:string | / | + +# Appendix I + +## Use case for daily management of IoT-based electric power infrastructure monitoring system + +(This appendix does not form an integral part of this Recommendation.) + +The metadata for IoT-EPIMS is necessary for the information sharing and interoperation of the IoT-based electric power infrastructure monitoring system, and is of great significance in the daily and emergency management. This appendix presents a use case of applying metadata for IoT-EPIMS in the daily management of an IoT-based electric power infrastructure monitoring system. In the use case, the focus is on the surrounding environment and operating status for the components of the IoT-based electric power infrastructure monitoring system, so that emergency measures can be taken in a timely manner to deal with potential risks or abnormal situations of sensing devices, networks, platforms, and security. + +As an example, some of the daily management objects and contents of the IoT-based electric power infrastructure monitoring system are shown in Figure I.1 and described as follows: + +- A user makes a status information request for daily management from the IoT-based electric power infrastructure monitoring system. +- The daily management of sensing devices requires general information, e.g., location, and contacts for all kinds of sensing devices, and specific information for the four types of generation, conversion, transmission, and distribution of electricity. +- The daily management of networks requires IoT area networks metadata, gateway devices metadata, and wide area network metadata, including their type, communication mode, and operation status, etc. +- The daily management of platforms requires IoT management platform metadata and data platform metadata. The objects managed and the status of managing objects are included in the IoT management platform metadata. The data storage capacity and configuration information are included in data platform metadata. +- The daily management of the IoT-based electric power infrastructure monitoring system requires the security metadata of equipment, data, and system. +- The user receives the status metadata of the electric power infrastructure monitoring system to achieve the daily management. + +![Figure I.1 – Metadata use case for IoT-based electric power infrastructure monitoring system. The diagram illustrates the system architecture and metadata flow. A User interacts with a 'Daily management of IoT-based electric power infrastructure monitoring system' via 'Status information request for daily management' and 'Status metadata of IoT-EPIMS'. This system is connected to a 'Sensing device' which provides 'General' (Location, Contact) and 'Specific' (Generation, Distribution, Conversion, Transmission) data. The data flows through a 'Network' (LAN: Wireless local area network, Gateway device: LAN-WAN, Wide area network (WAN): Cellular digital packet data) to a 'Platform' (An IoT equipment management platform, Electric power monitoring data platform). The Platform provides 'Managed objects' (112 kinds, Objects status: Normal) and 'Data storage capacity' (500 PB (Petabyte), Availability: Accessible). A 'Security' section at the bottom details 'Equipment security' (Biometric access), 'Data security' (End-to-end encryption), and 'System security' (Firewalls).](9c6461e1e94afae4dec455e69a2ce152_img.jpg) + +Y.4609(25) + +Figure I.1 – Metadata use case for IoT-based electric power infrastructure monitoring system. The diagram illustrates the system architecture and metadata flow. A User interacts with a 'Daily management of IoT-based electric power infrastructure monitoring system' via 'Status information request for daily management' and 'Status metadata of IoT-EPIMS'. This system is connected to a 'Sensing device' which provides 'General' (Location, Contact) and 'Specific' (Generation, Distribution, Conversion, Transmission) data. The data flows through a 'Network' (LAN: Wireless local area network, Gateway device: LAN-WAN, Wide area network (WAN): Cellular digital packet data) to a 'Platform' (An IoT equipment management platform, Electric power monitoring data platform). The Platform provides 'Managed objects' (112 kinds, Objects status: Normal) and 'Data storage capacity' (500 PB (Petabyte), Availability: Accessible). A 'Security' section at the bottom details 'Equipment security' (Biometric access), 'Data security' (End-to-end encryption), and 'System security' (Firewalls). + +**Figure I.1 – Metadata use case for IoT-based electric power infrastructure monitoring system** + +### I.1 Use case of general information metadata + +Table I.1 presents the use case of general information metadata. + +**Table I.1 – Use case of general information metadata** + +| Metadata element | Value | Descriptions | +|------------------------------|-----------------------------------------------------------------------------------------------------------|---------------------------------| +| SystemID | SG202310010008 | / | +| SystemName | Power grid management system | / | +| Keywords | Digital display | / | +| SystemOwner | Name of the Company | / | +| ValidTime | Permanent | The system is permanently valid | +| ConstraintInformation | No | / | +| ContactInformation | Affiliation: Name of the Company in the country
Name: (contact person)
Tel: +xx yyy zzz
Address: | / | + +### I.2 Use case of sensing device metadata (general information) + +Table I.2 should be combined with Tables I.3, I.4, I.5, or I.6 to describe the metadata of the sensing device used in the process of generation, conversion, transmission, and distribution of electricity. + +**Table I.2 – Use case of sensing device metadata (general information)** + +| Metadata element | Value | Descriptions | +|-------------------|---------------------------------------------------------------------|--------------| +| DeviceID | 202401280015 | / | +| DeviceName | Cooling water temperature monitoring sensor for (name)thermal power | / | +| Keywords | Generation | / | + +**Table I.2 – Use case of sensing device metadata (general information)** + +| Metadata element | Value | Descriptions | +|-----------------------------------------|--------------------------------------------------------|--------------------------------------------------------------------------------------------------| +| ApplicationType | Generation | The device is designed for the generation of electrical power | +| DataType | Numeric | / | +| SpatialLocation | Thermal power station
( name) | / | +| SamplingFrequency | 5 minutes | / | +| InstallationTime | 2024-01-28 | / | +| ExpectedOperatingLife | 5 years | / | +| RatedObservationAccuracy | 99.99% | / | +| DeviceAccessLevel | II | / | +| DeviceAccessMethod | Both remote access and
access on site | / | +| WorkingEnvironmentalRequirements | –100°C~200°C | The device can operate in
temperatures ranging from –100°C to
200°C | +| FaultInformation | 2024.03.29, F09, too high
cooling water temperature | An F09 fault "too high cooling water
temperature" developed on the device
on 29 March 2024 | + +### **I.3 Use case of sensing devices metadata (generation of electricity)** + +Table I.3 presents sensing devices metadata used in the generation of electricity. + +**Table I.3 – Use case of sensing devices metadata (generation of electricity)** + +| Metadata element | Value | Descriptions | +|------------------------------------------------------|---------------------------|-------------------------------------------------------------------------------------------------------| +| ObservedElectricityGenerationType | Thermal power | / | +| ObservedElectricityGenerationFacilityType | Generator | This device is used to monitor the
generator of thermal power | +| ObservedElectricityGenerationFacilityProperty | cooling water temperature | This device is used to monitor the
cooling water temperature for the
generator of thermal power | + +### **I.4 Use case of sensing devices metadata (conversion of electricity)** + +Table I.4 presents sensing devices metadata used in the conversion of electricity. + +**Table I.4 – Use case of sensing devices metadata (conversion of electricity)** + +| Metadata element | Value | Descriptions | +|------------------------------------------------------|-----------------|------------------------------------------------------------------------| +| ObservedElectricityConversionFacilityType | transformer | This device is used to monitor the transformer | +| ObservedElectricityConversionFacilityProperty | oil temperature | This device is used to monitor the oil temperature for the transformer | +| ObservedElectricityConversionVoltageClass | 330 | This device is used to convert electricity with voltage of 330 kV | + +### **I.5 Use case of sensing devices metadata (transmission of electricity)** + +Table I.5 presents metadata of sensing devices used in transmission of electricity. + +**Table I.5 – Use case of sensing devices metadata (transmission of electricity)** + +| Metadata element | Value | Descriptions | +|---------------------------------------------------------|---------------|--------------------------------------------------------------------------------------------| +| ObservedElectricityTransmissionFacilityType | Conductor | This device is used to monitor the conductor | +| ObservedElectricityTransmissionFacilityProperty | Ice thickness | This device is used to monitor the ice thickness for the conductor | +| RatedElectricityTransmissionLineMeasurementRange | 3 km | The maximum working range of this device is the electricity transmission line within 30 km | + +### **I.6 Use case of sensing devices metadata (distribution of electricity)** + +Table I.6 presents metadata of sensing devices used in distribution of electricity. + +**Table I.6 – Use case of sensing devices metadata (distribution of electricity)** + +| Metadata element | Value | Descriptions | +|--------------------------------------------------------|----------|------------------------------------------------------------| +| ObservedElectricityDistributionFacilityType | Switch | This device is used to monitor the switch | +| ObservedElectricityDistributionFacilityProperty | Humidity | This device is used to monitor the humidity for the switch | + +### **I.7 Use case of IoT area networks metadata** + +Table I.7 presents IAN metadata. + +**Table I.7 – Use case of IoT area networks metadata** + +| Metadata element | Value | Descriptions | +|------------------------------|-------------------------|--------------| +| NetworkID | IoTNet202401280015 | / | +| NetworkName | SmartCityNet | / | +| Keywords | Smart, Connected, Urban | / | +| NetworkType | Mesh network | / | +| CommunicationMode | Wireless | / | +| CommunicationProtocol | MQTT, CoAP | / | + +**Table I.7 – Use case of IoT area networks metadata** + +| Metadata element | Value | Descriptions | +|-------------------------|----------|--------------| +| NetworkBandwidth | 125 MB/s | / | + +### **I.8 Use case of gateway devices metadata** + +Table I.8 presents gateway devices metadata. + +**Table I.8 – Use case of gateway devices metadata** + +| Metadata element | Value | Descriptions | +|------------------------|---------------------|--------------| +| GatewayID | GW202401280015 | / | +| GatewayName | MainEntranceGateway | / | +| GatewayKeywords | Main Entrance | / | +| GatewayType | LAN-WAN | / | + +### **I.9 Use case of wide area network metadata** + +Table I.9 presents WAN metadata. + +**Table I.9 – Use case of Wide area network metadata** + +| Metadata element | Value | Descriptions | +|------------------------------|------------------------------|--------------| +| NetworkID | WAN202401280015 | / | +| NetworkName | MetroWideNet | / | +| Keywords | Cellular digital packet data | / | +| NetworkType | Fibre Optic | / | +| CommunicationMode | Wired and wireless | / | +| CommunicationProtocol | IPv6, MPLS | / | +| NetworkBandwidth | 12500 MB/s | / | + +### **I.10 Use case of IoT management platform metadata** + +Table I.10 presents IoT management platform metadata. + +**Table I.10 – Use case of IoT management platform metadata** + +| Metadata element | Value | Descriptions | +|---------------------------------|-----------------------------------------------------------------------------------------------------|--------------| +| PlatformID | IoT-Mgmt202401280015 | / | +| PlatformName | SmartControlHub | / | +| Keywords | Automated, scalable, integrated | / | +| ManagingObjectsType | Facilities for the process of generation, conversion, transmission, and distribution of electricity | / | +| ManagingObjectsNumber | 158 | / | +| PlatformAccessPermission | Admin | / | +| SecurityInformation | Encrypted, multi-factor authentication | / | + +**Table I.10 – Use case of IoT management platform metadata** + +| Metadata element | Value | Descriptions | +|------------------------------|----------|--------------| +| ConnectionInformation | Ethernet | / | + +### **I.11 Use case of data platform metadata** + +Table I.11 presents data platform metadata. + +**Table I.11– Use case of data platform metadata** + +| Metadata element | Value | Descriptions | +|-----------------------------|------------------------------------------------------------|---------------------------------------------------------------------| +| PlatformID | DP202401280015 | / | +| PlatformName | DataCentral | / | +| PlatformFunctions | Data storage, data distribution, and data management, etc. | / | +| Keywords | Electric power monitoring data | / | +| DataStorageCapacity | SQL database: 10 TB
NoSQL database: 8 TB | / | +| SecurityInformation | End-to-end encryption
data masking | / | +| DataAccessMethod | REST API, JDBC, ODBC | The data platform can be connected through REST API, JDBC and ODBC. | +| ManagedDataType | Text, video, numeric | / | +| DataAccessPermission | Access upon request | The data is available when it is requested | + +## **I.12 Use case of security metadata** + +Table I.12 presents security metadata. + +**Table I.12 – Use case of security metadata** + +| Metadata element | Value | Descriptions | +|--------------------------|---------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------| +| EquipmentSecurity | Biometric access, intrusion detection systems | The security information for equipment includes biometric access and intrusion detection systems | +| DataSecurity | End-to-end encryption, data masking | The security information for data includes end-to-end encryption and data masking | +| SystemSecurity | Firewalls, security patches up-to-date, continuous monitoring | The security information for the system includes firewalls, security patches up-to-date, and continuous monitoring. | + +# Bibliography + +- [[b-ITU-T X.1255](#)] Recommendation ITU-T X.1255 (2013), *Framework for discovery of identity management information*. +- [[b-ITU-T Y.4000](#)] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [[b-ITU-T Y.4105](#)] Recommendation ITU-T Y.4105/Y.2221 (2010), *Requirements for support of ubiquitous sensor network (USN) applications and services in the NGN environment*. +- [b-IEC 61850-x] IEC 61850-x:2025, *Communication networks and systems in substations*. All parts. +- [b-W3C XMLSchema] W3C Recommendation (2004), *XML Schema Part 2: Datatypes Second Edition*. + + + +# SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things 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infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Services, applications, computation and data processing + +--- + +### **Data requirements and models for smart pest and disease management services** + +## ITU-T Y-SERIES RECOMMENDATIONS + +### Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|----------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4610 + +## Data requirements and models for smart pest and disease management services + +### Summary + +A smart pest and disease management (SPDM) service is an ICT-based agricultural service that integrates Internet of things (IoT) sensors, edge devices and data analytics to enable real-time monitoring, forecasting and control of crop pests and diseases. It supports early detection and targeted interventions using multisource data, enhancing sustainability and reducing reliance on manual scouting and excessive pesticide use. + +Recommendation ITU-T Y.4610 specifies data requirements and data models for SPDM services. To address challenges related to data inconsistency and lack of interoperability, the Recommendation aims to standardized data models to enable scalable, adaptive and vendor-neutral SPDM solutions across diverse agricultural environments. + +### History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.4610 | 2025-11-13 | 20 | 11.1002/1000/16514 | + +### Keywords + +Agriculture, data model, monitoring, smart pest and disease management. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2026 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-----------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 1 | +| 4 Abbreviations and acronyms ..... | 1 | +| 5 Conventions ..... | 2 | +| 6 Overview of SPDM services ..... | 2 | +| 7 Data requirements for SPDM services ..... | 4 | +| 7.1 General requirements..... | 4 | +| 7.2 Requirements of configuration data ..... | 4 | +| 7.3 Requirements of measurement data..... | 5 | +| 8 Data models of SPDM services ..... | 8 | +| 8.1 Conceptual data model ..... | 8 | +| 8.2 Logical data model ..... | 10 | +| Bibliography..... | 13 | + + + +# Recommendation ITU-T Y.4610 + +## Data requirements and models for smart pest and disease management services + +### 1 Scope + +A smart pest and disease management (SPDM) service in agriculture is an ICT-enabled agricultural service that leverages real-time, multisource data to monitor, forecast and control crop pests and diseases. This Recommendation provides the concept of an SPDM service, and then specifies data requirements and data models of the SPDM service. The scope of this Recommendation includes: + +- Overview of SPDM services; +- Data requirements for SPDM services; +- Data model of SPDM services. + +### 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +None. + +### 3 Definitions + +#### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 data model** [b-ITU-T Y.4463]: A concrete and detailed representation as an abstraction of Internet of things (IoT) devices in the information world. + +NOTE 1 – The term "information world" is based on the illustration in Figure 2 of [b-ITU-T Y.4000]. + +NOTE 2 – [b-IETF RFC 3444] defines a data model from the viewpoint of a network operator and a developer. + +**3.1.2 smart farm** [b-ITU-T Y.4466]: A group of smart greenhouses under the management of an administrator. + +#### 3.2 Terms defined in this Recommendation + +None. + +### 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|--------------------------------------| +| AI | Artificial Intelligence | +| BLR | Blue Light Reflectance | +| GLR | Green Light Reflectance | +| GNSS | Global Navigation Satellite System | +| ICT | Information Communication Technology | + +| | | +|------|----------------------------------------| +| IoT | Internet of Things | +| LWD | Leaf Wetness Duration | +| NDVI | Normalized Difference Vegetation Index | +| NIR | Near Infrared | +| PCR | Polymerase Chain Reaction | +| RLR | Red Light Reflectance | +| SPDM | Smart Pest and Disease Management | +| SWIR | Shortwave Infrared | + +## 5 Conventions + +The following conventions are used in this Recommendation: + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. +- The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. + +## 6 Overview of SPDM services + +The term SPDM service refers to an ICT-enabled agricultural service that leverages real-time, multisource data to monitor, forecast and control crop pests and diseases. An SPDM service integrates IoT-based sensors, edge devices and data analytics platforms to collect and analyse various types of data, including pest and disease incidence, environmental conditions and equipment status. Through intelligent data processing, an SPDM service enables the early detection of threats and supports automated decision-making for effective crop protection. + +The primary objective of SPDM service is to reduce crop loss, pesticide overuse and environmental impact by enabling timely, targeted and data-driven pest and disease interventions. SPDM service aims to replace conventional practices that rely on human intuition with predictive, adaptive and evidence-based management. This approach promotes sustainable agriculture by enhancing productivity while safeguarding human health, biodiversity and ecological balance. + +Systems implementing SPDM service can be characterized by their integration of advanced information and communication technologies such as IoT, artificial intelligence (AI) and cloud computing; the core functions include real-time monitoring for continuous crop monitoring and forecasting for early warnings and preventive action. However, in practice, several challenges limit the effectiveness of current SPDM service implementations, including inconsistent data formats and lack of standardized data models across platforms and devices. These issues hinder scalability and reduce the effectiveness of SPDM services. + +The following Figure 1 illustrates the concept of the SPDM service and its associated data flow. The SPDM service provides a comprehensive, cyclical and data-driven approach to effective pest and disease management in agricultural environments, such as open-field cultivation and greenhouses. This data-driven cycle, which consists of four operational stages – acquisition, analytics, validation and actuation – not only enables immediate responses but also contributes to improved future decision-making. + +![Figure 1: The concept of SPDM service and associated data. The diagram illustrates a four-stage process: Acquisition, Analytics, Validation, and Actuation, all centered around the SPDM service. The Acquisition stage collects data from the Agricultural environment (e.g., open-field cultivation, greenhouse) via IoT sensors and Field devices. The Analytics stage involves Data acquisition, Data management, Data preprocessing, and Data analytics, leading to Pest and disease analytics data. The Validation stage involves Data validation and Pest and disease analytics validation data. The Actuation stage involves Device actuation and Pest management operation data. The SPDM service acts as a central hub connecting these stages.](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +The diagram illustrates the concept of the SPDM service and its associated data flow. It is organized into four main stages: Acquisition, Analytics, Validation, and Actuation, all centered around the SPDM service. + +- Acquisition:** Data is collected from the **Agricultural environment** (e.g., open-field cultivation, greenhouse) using **IoT sensors** and **Field devices**. The data types include Crop data, Image data, Pest data, Soil environmental data, Disease data, and Atmospheric environmental data. +- Analytics:** The acquired data undergoes **Data acquisition**, **Data management**, and **Data preprocessing** before reaching **Data analytics**, which produces **Pest and disease analytics data**. +- Validation:** The analytics data is processed through **Data validation** to create **Pest and disease analytics validation data**. +- Actuation:** The validated data informs **Device actuation**, which leads to **Pest management operation data**. + +The **SPDM service** acts as a central hub, facilitating the flow of data between these stages. The **Agricultural environment** is represented by icons of a tree, a plant, and a leaf. + +Figure 1: The concept of SPDM service and associated data. The diagram illustrates a four-stage process: Acquisition, Analytics, Validation, and Actuation, all centered around the SPDM service. The Acquisition stage collects data from the Agricultural environment (e.g., open-field cultivation, greenhouse) via IoT sensors and Field devices. The Analytics stage involves Data acquisition, Data management, Data preprocessing, and Data analytics, leading to Pest and disease analytics data. The Validation stage involves Data validation and Pest and disease analytics validation data. The Actuation stage involves Device actuation and Pest management operation data. The SPDM service acts as a central hub connecting these stages. + +**Figure 1 – The concept of SPDM service and associated data** + +Y.4610(25) + +The acquisition stage, which serves as the entry point of the SPDM service, collects diverse forms of raw data directly from the agricultural environment. Those data are captured by IoT sensors and field devices deployed throughout crop cultivation areas; these devices include environmental sensors (measuring parameters such as soil moisture, temperature, humidity, solar radiation and rainfall), imaging devices or cameras and biosensors or smart traps that detect pest presence. The collected data is then processed and managed to prepare it for further analysis. + +In the analytics stage of the SPDM service, the acquired data undergoes a series of intelligent processing steps. The SPDM service ensures data quality by removing noise, correcting inconsistencies and standardizing formats – steps that are essential for the reliability of subsequent analyses. After data pre-processing, the SPDM service applies computational models and statistical analysis to uncover trends and predict pest and disease outbreaks. The results are compiled into pest and disease analytics data, which provide key insights into the timing, location and severity of potential threats. This stage also enables proactive and precision-oriented agricultural decision-making based on a holistic understanding of environmental and biological conditions. + +The validation stage of the SPDM service ensures the integrity of analytical results by comparing them with real-world pest management operation data. This involves verifying the consistency, accuracy and applicability of the analytics output against actual operational records and expert-defined parameters. By validating predictions before implementation, the SPDM service minimizes false alarms and increases reliability, thus enhancing both the safety and precision of agricultural interventions. + +In the actuation stage, the SPDM service interacts with field devices installed in the physical agricultural environment. It transmits operational commands to devices such as automated pesticide sprayers, irrigation systems and robotic arms. This automation enables real-time, localized responses with minimal human intervention, thereby improving the efficiency of pest and disease control. + +## **7 Data requirements for SPDM services** + +This clause defines the data requirements for SPDM services that are addressed in the data-driven cycle in the previous clauses of this Recommendation. + +An SPDM service relies on a diverse set of data to perform real-time monitoring, accurate forecasting and informed decision-making. SPDM-related data in an agriculture environment are broadly categorized into two types which are configuration data and measurement data. + +- Configuration data describe the physical and logical setup of the agricultural environment and associated devices. This includes metadata such as farm identifiers, device specifications, installation locations and user roles. Configuration data are generally created during initialization and they are updated infrequently. +- Measurement data refer to dynamic data collected from various sources, including in-field sensors and external systems, reflecting the agricultural environment conditions, crop condition and device health. These data are often subject to be pre-processed such as format normalization and unit conversion before further use. + +NOTE – The SPDM-related data requirements described in this clause are based on the data requirements defined in [b-ITU-T Y.4495]. + +### **7.1 General requirements** + +To enable efficient and accurate SPDM operations, configuration and measurement data is required to be mutually referable and indexed in time and space. For example, environmental readings (measurement data) should be linked to the relevant farm configuration and device deployment context at the time of collection. + +SPDM-related data used in an agriculture environment have the following general requirements: + +- They are required to include temporal metadata indicating the time of creation, sensing, or update; +- They are required to express time in a standardized format, preferably conforming to the default system-wide format; +- They are required to include spatial metadata, such as absolute location (e.g., from GNSS) and relative coordinates (relative to a defined reference point on the farm); +- They are required to possess a unique identifier to allow for data traceability and version control; +- They are required to associate each data entity with access control information, enabling enforcement of role-based permission policies. + +### **7.2 Requirements of configuration data** + +Configuration data provide essential information about the farm's setup and are typically managed by a data administrator, such as the farm owner. These data are usually defined during the initial setup phase and rarely change afterward. They include details about the farm itself, the devices in use, how those devices are installed and information about users. Configuration data have the following requirements: + +- They are required to include farm- and crop-configuration information such as farm and field identifiers, location, crop species and cultivation practices, to contextualize measurements and support model parameterization; +- They are required to include device and installation metadata including device ID, model, installation coordinates and maintenance history to enable traceable and spatially-aware data collection. + +Examples of configuration data items and their attributes are provided in Table 1. + +**Table 1 – Examples of configuration data items and their attributes** + +| Data items | Description | Data attributes | +|----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------| +| Crop data | Crop data provide essential information for assessing crop growth stages and the baseline condition of the crop. By understanding the typical characteristics of a given crop variety at each growth stages, it is possible to assess whether crops are developing as expected. | Crop name, variety name, growing method, sowing date, transplanting date, growth stage, etc. | +| Pest management data | Pest management data includes historical information on pest and disease management activities associated with the crop, including feedback after interventions. Such data are used to evaluate the effectiveness of pest management strategies and to refine future approaches. | Date and time of pest control activity, pest management method, target pest, pesticide type, dosage, location/area treated, etc. | +| Diagnostic data | Diagnostic data includes information on specific pests and diseases identified based on monitoring and forecast data, as well as additional investigations. These data allow identification of pest/disease type, assessment of severity level and determination of appropriate control methods. | Pest/disease identification details, severity level, diagnostic method, diagnostic result, etc. | + +### 7.3 Requirements of measurement data + +Measurement data refer to dynamic values collected through sensors and devices deployed in the farm environment or obtained through basic transformations (e.g., unit conversion). These data reflect real-time observations of environmental and operational conditions relevant to SPDM services. To ensure reliability, each measurement value is subject to predefined validity ranges. Measurements falling outside these thresholds are considered erroneous and need to be flagged or discarded. + +Measurement data are broadly categorized into crop condition data, soil environmental data and atmospheric environmental data, which are further detailed in the following subclauses. + +#### 7.3.1 Crop condition data + +Based on environmental data and crop profile data, crop condition data provide insight into the current growth status, health status and disease incidence of crops. Real-time monitoring of crop conditions play a critical role in determining necessary pest management actions. + +This Recommendation identifies several essential crop condition data elements for SPDM services, including leaf temperature [b-Pineda], leaf wetness duration (LWD) [b-Rowlandson], leaf chlorophyll content [b-Hendry], and spectral data [b-Bing] for vegetation indices. + +To properly manage and utilize the crop condition data, the following requirements are defined: + +- They are required to be managed as essential data for pest and disease management; +- They are required to be linked to corresponding environmental (atmospheric and soil) data. + +Examples of crop condition data items and their attributes are provided in Table 2. + +**Table 2 – Examples of crop condition data items and their attributes** + +| Data items | Description | Data attributes | +|--------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Leaf temperature | Leaf temperature refers to the surface temperature of crop leaves, influenced by ambient temperature, humidity, photosynthesis and transpiration. Localized changes in leaf temperature may indicate the presence of pests or disease. | Leaf temperature value, timestamp, location coordinates, crop species, etc. | +| LWD | LWD is total time that the leaf surface remains wet due to dew, condensation or water droplets. LWD can vary depending on the pathogen type, temperature and humidity conditions and the sensitivity of the crop variety. | LWD value, timestamp, location coordinates, crop species, etc. | +| Leaf chlorophyll content | Leaf chlorophyll content refers to amount of chlorophyll pigment in crop leaves, which is an important indicator of crop health. A decrease in chlorophyll content may indicate pest or disease infection, nutrient deficiency or other environmental stress. | Chlorophyll content value, timestamp, location coordinates, crop species, etc. | +| Spectral data | Spectral data refers to the data derived from analysis of specific wavelengths of light absorbed and reflected by crops. Such analysis allows calculation of vegetation indices to assess crop health and detect early signs of pest or disease damage. | Red light reflectance (RLR), green light reflectance (GLR), blue light reflectance (BLR), near infrared reflectance (NIR), shortwave infrared reflectance (SWIR), source image data linkage, etc. | + +### 7.3.2 Soil environmental data + +Soil conditions have a direct impact on crop growth, and the likelihood of disease outbreaks can be influenced by whether crops are receiving necessary nutrients from the soil. + +This Recommendation focuses on the key soil data for SPD services, including soil temperature, soil moisture, soil pH (acidity), and soil electrical conductivity (EC) [b-Ghorbani]. + +To properly manage and utilize the soil data, the following requirements are defined: + +- They are required to be managed as essential data for pest and disease management; +- They are required to be linked to corresponding atmospheric environmental data and crop condition data. + +Examples of soil environmental data items and their attributes are provided in Table 3. + +**Table 3 – Examples of soil environmental data items and their attributes** + +| Data items | Description | Data attributes | +|-------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------| +| Soil temperature | Soil temperature is an important factor for pest management because most pests thrive within specific temperature ranges. Soil temperature also significantly affects plant growth and metabolism. | Soil temperature value, timestamp, location coordinates, crop species, etc. | +| Soil moisture | Soil moisture is closely related to the habitat of pests and diseases. Moist environments favour the multiplication and spread of soil-borne pathogens such as fungi and bacteria. | Soil moisture value, timestamp, location coordinates, crop species, etc. | + +**Table 3 – Examples of soil environmental data items and their attributes** + +| Data items | Description | Data attributes | +|------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------| +| Soil pH | Soil pH affects nutrient uptake by crops and influences the growth of pathogens. Extremely high or low pH levels can cause nutrient imbalances and increase crop susceptibility to pest and disease infestations. | Soil pH value, timestamp, location coordinates, crop species, etc. | +| Soil EC | Soil EC levels indicate the concentration of soluble nutrients/salts in the soil. Maintaining optimal EC is essential for crop resilience against pests and diseases. | Soil EC value, timestamp, location coordinates, crop species, etc. | + +### 7.3.3 Atmospheric environmental data + +Atmospheric conditions influence the photosynthetic activity, respiration, transpiration and other physiological processes of crops, thereby determining overall growing conditions. In particular, temperature and humidity shall be considered key indicators for predicting the likelihood of pest and disease outbreaks. + +This Recommendation specifies key atmospheric parameters that are essential for SPDM services. These parameters shall include temperature, humidity, wind speed, rainfall, and solar radiation [b-Kumar]. In order to ensure proper management and utilization of atmospheric environmental data, the following requirements shall be applied: + +- They are required to be managed as essential data for pest and disease management; +- They are required to be linked to corresponding soil data and crop condition data. + +Examples of atmospheric environmental data items and their attributes are provided in Table 4. + +**Table 4 – Examples of atmospheric environmental data items and their attributes** + +| Data items | Description | Data attributes | +|-----------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------| +| Temperature | Temperature has a direct effect on crop growth and on pest and disease activity. At optimal temperature ranges, certain pests and diseases become most active and their populations increase rapidly; beyond a high temperature threshold, their incidence gradually decreases as temperature continues to rise. | Temperature value, timestamp, location coordinates, etc. | +| Humidity | Humidity is an important factor in the development of many pathogens such as fungi, bacteria and viruses. High humidity promotes the growth and spread of these pathogens. Many pathogen spores or bacteria are carried by moisture droplets in the air, allowing faster spread when humidity is high. | Humidity value, timestamp, location coordinates, etc. | +| Wind speed | Wind speed can accelerate the spread of pests and diseases. By modelling wind patterns, it is possible to predict the spread of airborne pests or pathogens and assess the likelihood of occurrence in specific areas. | Wind speed value, timestamp, location coordinates, etc. | +| Rainfall | Rainfall affects temperature and humidity, often creating optimal conditions for fungal and bacterial pathogens. Rain can facilitate the movement and spread of pathogens. | Rainfall value, timestamp, location coordinates, etc. | +| Solar radiation | Solar radiation influences crop growth rate and health via photosynthesis, thereby affecting plant resilience to pests and diseases. Inadequate or excessive sunlight can stress plants and make them more susceptible to infestations. | Solar radiation value, timestamp, location coordinates, etc. | + +### **7.3.4 Monitoring and forecast data** + +Monitoring and forecast data are generated to enable early detection of pest outbreaks and to alert farmers to potential pest and disease issues. These data are also used to validate the reliability of outbreak predictions by later comparing them with diagnostic information, which can inform appropriate control strategies. + +Monitoring data involve a comprehensive analysis of atmospheric conditions, soil conditions, recent control operations and crop conditions to predict pest outbreaks in near-real-time. Forecast data estimate pest outbreak likelihood based on the crop's environmental context and pest history without using current crop condition observations (i.e., relying on historical and surrounding data) [b-Singh Saini]. + +To properly manage and utilize monitoring and forecast data, the following requirements are defined: + +- They are required to include the expected pest identification, the expected location/area of the pest occurrence and a confidence level for the prediction; +- They are required to associate device information contributing to the monitoring. + +NOTE – The characteristics and requirements for device information are in accordance with the relevant requirements for device information and device installation information defined in [b-ITU-T Y.4495]. + +## **8 Data models of SPDM services** + +### **8.1 Conceptual data model** + +A data model is a core element of a SPDM service, enabling the systematic management and analysis of the various data collected on a farm. The SPDM data consists of several elements, such as crop profile data, environmental data, image and sensor indicator data, and pest management operations data. These elements are interrelated and together provide the information needed for assessing overall crop health and determining optimal pest and disease management practices. Therefore, it is important to establish a consistent approach to data collection and presentation, and to define structured relationships among the data entities. Figure 2 illustrates the high-level data relationships within the SPDM services. + +![Figure 2 – Conceptual data model of SPDM services. The diagram shows a flow of data and processes. 'In scope' components (blue dashed box) include: Atmospheric and Soil environmental data feeding into Environmental data; Crop growth environment management and Growth status monitoring feeding into Crop information data; Crop condition data feeding into Disease monitoring and Disease forecasting; Monitoring and forecast data feeding into Validation and Prescription; Diagnosis data feeding into Precision diagnosis; Pest management history feeding into Growth farm management; Pest and disease management activity data feeding into Measurement. 'Out of scope' components (red dashed box) include: Farm data, Equipment data, and Crop disease information. Solid lines represent primary data flows, while dashed lines represent secondary or historical data flows. Diamonds indicate decision points or validation steps.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +Y.4610(25) + +Figure 2 – Conceptual data model of SPDM services. The diagram shows a flow of data and processes. 'In scope' components (blue dashed box) include: Atmospheric and Soil environmental data feeding into Environmental data; Crop growth environment management and Growth status monitoring feeding into Crop information data; Crop condition data feeding into Disease monitoring and Disease forecasting; Monitoring and forecast data feeding into Validation and Prescription; Diagnosis data feeding into Precision diagnosis; Pest management history feeding into Growth farm management; Pest and disease management activity data feeding into Measurement. 'Out of scope' components (red dashed box) include: Farm data, Equipment data, and Crop disease information. Solid lines represent primary data flows, while dashed lines represent secondary or historical data flows. Diamonds indicate decision points or validation steps. + +**Figure 2 – Conceptual data model of SPDM services** + +The key relationships in the SPDM conceptual data model are described as follows: + +- Crop growth environment management [b-Wang]: The crop growth environment includes all environmental factors that affect crop growth, encompassing both soil environmental data and atmospheric environmental data. Crop condition data maintains relationships with multiple environmental data sets as part of this growth environmental context, linking each observation of crop condition to the surrounding soil and atmospheric environmental data. +- Growth status monitoring [b-Rasti]: Growth status refers to the evaluation of the current condition of the crop using crop condition data. By analysing crop condition data in conjunction with growth environmental data (soil and atmospheric environmental data) and static crop profile data, the service can assess the current growth status of the crop and forecast the likelihood of disease occurrence. +- Disease monitoring [b-Soubeyrand]: Monitoring data integrate environmental data, crop condition data and pest/disease management activity data to enable the early detection of pest and disease outbreaks. This provides continuous monitoring and alerts based on real-time farm conditions. +- Disease forecasting [b-Marinko-2]: This process estimates the likelihood of a pest or disease occurrence without using current crop condition observations. It relies on crop profile data (e.g., crop type and historical pest/disease records) and current environmental data to predict potential outbreaks and suggest appropriate timing and methods for pest or disease management. +- Validation [b-Kapetas]: Monitoring prediction can be verified by correlating them with diagnostic data obtained through precision diagnostics, thereby checking the accuracy of the monitoring result. In practice, this means comparing predicted outbreaks (monitoring data) with confirmed diagnoses (e.g., lab test results or expert inspections) to measure correctness. + +- Pest management history [b-Marinko-1]: Pest management history refers to the record of pest management activities carried out on a crop over time. It is linked to the crop profile data and pest/disease management activity data. This relationship makes it possible to review all pest management actions taken during the growth of a particular crop up to its current state or condition. +- Precision diagnostics [b-Buja]: If a potential pest or disease issue is suspected (for example, indicated by monitoring or abnormal crop condition data), additional data-driven precision diagnostics can be performed. This may include using advanced indicators such as NDVI or conducting laboratory tests (e.g., polymerase chain reaction (PCR) based tests). Crop condition data maintains a relationship with the resulting diagnostic data in this process, ensuring that detailed diagnostic results are tied back to the crop's condition. +- Prescription [b-Ye]: Pest and disease management practices are determined based on the outcomes of precision diagnostics. Monitoring or diagnostic data is related to pest/disease management activity data to form a prescription, which represents the customized pest management measures recommended or implemented for the situation. + +## 8.2 Logical data model + +Defining the common attributes of SPDM data entities and the relationships among those entities is essential for the development and operation of an interoperable SPDM service. This subclause presents reference logical data models representing how configuration data and measurement data relate to each other, thereby facilitating standardized service implementations. + +### 8.2.1 Crop growth monitoring + +Crop growth monitoring focuses on the relationship between a crop and its observed condition data over time. A single crop profile data entity maintains a one-to-many (1: $N$ ) relationship with multiple crop condition data instances that are collected periodically or non-periodically over the crop's growth cycle. For example, a specific apple tree (one crop profile data record) may be associated with many crop condition records such as leaf temperature and chlorophyll content measurements taken daily or hourly. Conversely, each crop condition data instance is linked to one unique crop profile data entity to unambiguously identify which crop that observation pertains to. Figure 3 illustrates this relationship. + +![Figure 3: Crop growth monitoring relationship model. A diagram showing a one-to-many relationship between 'Crop profile data' and 'Crop condition data'. 'Crop profile data' is in a box on the left, and 'Crop condition data' is in a box on the right. A line connects the two boxes, with a crow's foot notation at the 'Crop condition data' end indicating a many-to-one relationship.](a83ba9e3e2c1e21dd69953a7b09e45b4_img.jpg) + +``` + +graph LR + CPD[Crop profile data] ---|1:M| CCD[Crop condition data] + +``` + +Y.4610(25) + +Figure 3: Crop growth monitoring relationship model. A diagram showing a one-to-many relationship between 'Crop profile data' and 'Crop condition data'. 'Crop profile data' is in a box on the left, and 'Crop condition data' is in a box on the right. A line connects the two boxes, with a crow's foot notation at the 'Crop condition data' end indicating a many-to-one relationship. + +**Figure 3 – Crop growth monitoring relationship model** + +### 8.2.2 Crop growth environment management + +Crop growth environment management refers to the handling of environmental data collected to create and maintain optimal conditions for crop growth. In this context, atmospheric and soil environmental data represent conditions for specific spatial areas and may form many-to-many ( $N:M$ ) relationships with crop profile data entities located within those areas. Since environmental conditions vary over time, a given crop can be associated with multiple time-series environmental data instances. Environmental data records contain references to the relevant crop, atmospheric and soil data identifiers to express these relationships. Continuously collected atmospheric and soil data also contextualize crop condition data by linking each crop observation to the environmental conditions at that time. Figure 4 illustrates this logical relationship structure. + +![Figure 4: Crop growth environment management relationship model. A flow diagram showing 'Atmospheric environmental data' and 'Soil environmental data' merging into 'Environmental data', which then connects to 'Crop profile data'.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +``` + +graph LR + A[Atmospheric environmental data] --> E[Environmental data] + B[Soil environmental data] --> E + E --> C[Crop profile data] + +``` + +Y.4610(25) + +Figure 4: Crop growth environment management relationship model. A flow diagram showing 'Atmospheric environmental data' and 'Soil environmental data' merging into 'Environmental data', which then connects to 'Crop profile data'. + +**Figure 4 – Crop growth environment management relationship model** + +### 8.2.3 Disease monitoring and forecasting + +Disease monitoring and forecasting involve generating prediction data based on crop and environment conditions. Disease monitoring uses real-time data (current crop condition, environmental data and recent interventions) to assess the likelihood of a disease or pest occurrence in the near future. Disease forecasting, on the other hand, relies solely on static crop profile data (such as crop type and historical pest/disease profiles) and current environmental conditions, excluding real-time crop condition observations. + +A crop profile data entity may be associated with multiple monitoring or forecast data instances generated at different times or by different models, forming a one-to-many (1:N) relationship. Each monitoring or forecast instance is associated with one specific crop profile data record. Figure 5 illustrates the logical relationships for monitoring and forecast data relative to the crop. + +![Figure 5: Disease monitoring and forecasting relationship model. A flow diagram showing 'Crop condition data', 'Environmental data', and 'Crop profile data' feeding into 'Disease monitoring' and 'Disease forecast', which then merge into 'Monitoring and forecast data'.](33a8f3f01dfa8bce75d23017855a13c5_img.jpg) + +``` + +graph LR + A[Crop condition data] --> D[Disease monitoring] + B[Environmental data] --> D + C[Environmental data] --> F[Disease forecast] + D[Crop profile data] --> F + D --> E[Monitoring and forecast data] + F --> E + +``` + +Y.4610(25) + +Figure 5: Disease monitoring and forecasting relationship model. A flow diagram showing 'Crop condition data', 'Environmental data', and 'Crop profile data' feeding into 'Disease monitoring' and 'Disease forecast', which then merge into 'Monitoring and forecast data'. + +**Figure 5 – Disease monitoring and forecasting relationship model** + +### 8.2.4 Precision diagnostics + +After monitoring or forecasting algorithms detect anomalous conditions or a high risk of outbreak, the relevant crop (identified by its crop profile data record) may become the target of precision diagnostics. In this process, the system or operators of SPDM service perform additional assessments — such as expert field inspections, sample analyses or PCR-based tests — to generate detailed diagnostic data confirming the presence or specifics of the pest/disease. + +A crop profile data entity can undergo multiple diagnostic evaluations over time, forming a one-to-many (1:N) relationship between the crop and its diagnostic records. Each diagnostic data instance is linked to a specific crop profile data record. Figure 6 shows the relationship between crop profile data and diagnostic data. + +![Figure 6: Crop precision diagnostics relationship model. A simple line diagram connecting 'Crop profile data' to 'Diagnostic information'.](90ee16ccc0ad16aeca48087797d7b07f_img.jpg) + +``` + +graph LR + A[Crop profile data] --- B[Diagnostic information] + +``` + +Y.4610(25) + +Figure 6: Crop precision diagnostics relationship model. A simple line diagram connecting 'Crop profile data' to 'Diagnostic information'. + +**Figure 6 – Crop precision diagnostics relationship model** + +### 8.2.5 Pest management history + +Pest/disease management history records the pest/disease management activities conducted to maintain crop health and minimize disease outbreaks. A crop profile data entity may be associated with multiple pest/disease management instances throughout its growth period. Conversely, a single + +pest/disease management activity (for example, a large-scale spraying operation) may apply to multiple crops within the same area. Thus, a many-to-many ( $N:M$ ) relationship can exist between crop profile data and pest/disease management data. Figure 7 illustrates this relationship structure. + +![Figure 7: Pest management history relationship model. A flow diagram showing three entities: 'Crop profile data', 'Pest and disease management activity history', and 'Pest and disease management activity information'. 'Crop profile data' is connected to 'Pest and disease management activity history', which is then connected to 'Pest and disease management activity information'. The identifier 'Y.4610(25)' is located below the third entity.](ff7ce44f3fdd51bae7b231f34df07c6a_img.jpg) + +``` +graph LR; A[Crop profile data] --- B[Pest and disease management activity history]; B --- C[Pest and disease management activity information]; +``` + +Figure 7: Pest management history relationship model. A flow diagram showing three entities: 'Crop profile data', 'Pest and disease management activity history', and 'Pest and disease management activity information'. 'Crop profile data' is connected to 'Pest and disease management activity history', which is then connected to 'Pest and disease management activity information'. The identifier 'Y.4610(25)' is located below the third entity. + +**Figure 7 – Pest management history relationship model** + +**8.2.6 Monitoring and forecast validation** + +Monitoring and forecast validation are a critical process to confirm the accuracy and reliability of prediction data by comparing predictions with actual outcomes (diagnostic results). In logical terms, a monitoring and forecast data instance may be validated against one or more diagnostic result records obtained through precision diagnostics. Likewise, a single diagnostic record may be used to validate multiple monitoring and forecast predictions made over time. This forms a many-to-many ( $N:M$ ) relationship between prediction data and diagnostic data. + +The validation relationship is implemented through a linking entity that references both monitoring and forecast data identifiers and diagnostic data identifiers. This allows the SPDM service to track which predictions were evaluated and to analyse their accuracy or error rates. Figure 8 depicts this relationship model. + +![Figure 8: Monitoring and forecast validation relationship model. A flow diagram showing three entities: 'Monitoring and forecast data', 'Monitoring and forecast validation', and 'Diagnostic information'. 'Monitoring and forecast data' is connected to 'Monitoring and forecast validation', which is then connected to 'Diagnostic information'. The identifier 'Y.4610(25)' is located below the third entity.](8592a32c2fdf17c1e562f0ba6b7e8e1a_img.jpg) + +``` +graph LR; A[Monitoring and forecast data] --- B[Monitoring and forecast validation]; B --- C[Diagnostic information]; +``` + +Figure 8: Monitoring and forecast validation relationship model. A flow diagram showing three entities: 'Monitoring and forecast data', 'Monitoring and forecast validation', and 'Diagnostic information'. 'Monitoring and forecast data' is connected to 'Monitoring and forecast validation', which is then connected to 'Diagnostic information'. The identifier 'Y.4610(25)' is located below the third entity. + +**Figure 8 –Monitoring and forecast validation relationship model** + +**8.2.7 Prescription** + +A prescription represents the decision and implementation of specific pest management measures based on monitoring or forecast results. + +In the logical model, the prescription entity references the identifier of the corresponding monitoring or forecast data instance that triggered the action, as well as the identifier of the pest/disease management activity determined and carried out as a result. This connection enables the SPDM service to trace how a particular management action was derived from data insights and to verify its execution. Figure 9 illustrates the relationship between prediction data (monitoring and forecast) and the resulting prescribed pest management action. + +![Figure 9: Prescription relationship model. A flow diagram showing three entities: 'Monitoring and forecast data', 'Prescription', and 'Pest and disease management activity information'. 'Monitoring and forecast data' is connected to 'Prescription', which is then connected to 'Pest and disease management activity information'. The identifier 'Y.4610(25)' is located below the third entity.](e928f4874ed492d3ad4c6fa2d29aedbc_img.jpg) + +``` +graph LR; A[Monitoring and forecast data] --- B[Prescription]; B --- C[Pest and disease management activity information]; +``` + +Figure 9: Prescription relationship model. A flow diagram showing three entities: 'Monitoring and forecast data', 'Prescription', and 'Pest and disease management activity information'. 'Monitoring and forecast data' is connected to 'Prescription', which is then connected to 'Pest and disease management activity information'. The identifier 'Y.4610(25)' is located below the third entity. + +**Figure 9 – Prescription relationship model** + +## Bibliography + +- [b-ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [b-ITU-T Y.4463] Recommendation ITU-T Y.4463 (2024), *Framework of delegation service for Internet of things devices*. +- [b-ITU-T Y.4466] Recommendation ITU-T Y.4466 (2020), *Framework of smart greenhouse service*. +- [b-ITU-T Y.4495] Recommendation ITU-T Y.4495 (2023), *Requirements and a reference model of data for smart greenhouse service*. +- [b-IETF RFC 3444] IETF RFC 3444 (2003), *On the Difference between Information Models and Data Models*. +- [b-Bing] Bing L., Phuong D. D., Jiangui L., Yuhong H., and Jiali S. (2020), *Recent advances of hyperspectral imaging technology and applications in agriculture*, Remote Sensing, Vol. 12, No. 16, 2659 +- [b-Buja] Buja, I., et al. (2021), *Advances in Plant Disease Detection and Monitoring: From Traditional Assays to In-Field Diagnostics*, Sensors, Vol. 21, 2129. +- [b-Ghorbani] Ghorbani, R. et al. (2008), *Soil management for sustainable crop disease control-a review*, Environmental Chemistry Letters, Vol. 6: pp. 149–162. +- [b-Hendry] Hendry, G.A.F. et al. (1987), *The Degradation Of Chlorophyll — A Biological Enigma*, The New Phytologist, Vol. 107, No. 2, pp. 255-302. +- [b-Kapetas] Kapetas, D. et al. (2025), *Comparative Evaluation of AI-Based Multi-Spectral Imaging and PCR-Based Assays for Early Detection of Botrytis cinerea Infection on Pepper Plants*, Agriculture, 15, 164. +- [b-Kumar] Pradeep Kumar, et al (2020), *Plant Pathogens, Plant Pathogens: Detection and Management for Sustainable Agriculture*. pp. 322-327. +- [b-Marinko-1] Marinko, J. et al. (2024), *Typology for Decision Support Systems in Integrated Pest Management and Its Implementation as a Web Application*, Agronomy, Vol. 14, 485. +- [b-Marinko-2] Marinko, J. et al. (2024), *Pest and Disease Prediction and Management for Sugarcane Using a Hybrid Autoregressive Integrated Moving Average: A Long Short-Term Memory Model*, Agriculture, Vol. 15, 500. +- [b-Pineda] Pineda, M. et al. (2021), *Thermal Imaging for Plant Stress Detection and Phenotyping*, Remote Sensing, Vol. 13, 68. +- [b-Rasti] Rasti, S. et al. (2022), *A Survey of High Resolution Image Processing Techniques for Cereal Crop Growth Monitoring*, Information Processing in Agriculture, Vol. 9 (2022) pp. 300-315. +- [b-Rowlandson] Rowlandson, T. et al. (2015), *Reconsidering Leaf Wetness Duration Determination for Plant Disease Management*, Plant Disease, Vol. 99, No. 3. +- [b-Singh Saini] Singh Saini, L. et al. (2024), *Survey Surveillance and Forecasting of Insect for IPM*, . +- [b-Soubeyrand] Soubeyrand, S. et al. (2024), *Building Integrated Plant Health Surveillance: A Proactive Research Agenda for Anticipating and Mitigating Disease and Pest Emergence*, CABI Agriculture and Bioscience, Vol. 5, 72. + +- [b-Wang] Wang, Z. et al. (2024), *IoT-based system of prevention and control for crop diseases and insect pests*, *Frontiers in Plant Science*, 10.3389. +- [b-Ye] Ye, K. et al. (2025), *Key Intelligent Pesticide Prescription Spraying Technologies for the Control of Pests, Diseases, and Weeds: A Review*, *Agriculture*, Vol. 15, 81. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4612-202511-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4612-202511-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..c4a600d7d9e93272f2db11e7c11a3abe8e0bc869 --- /dev/null +++ b/marked/Y/T-REC-Y.4612-202511-I_PDF-E/raw.md @@ -0,0 +1,514 @@ + + +# Recommendation + +## **ITU-T Y.4612 (11/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of things and smart cities + +Internet of things and smart cities and communities – +Services, applications, computation and data processing + +--- + +## **Framework of artificial intelligence of things** + +## ITU-T Y-SERIES RECOMMENDATIONS + +# Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of things and smart cities + +| | | +|----------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4612 + +# Framework of artificial intelligence of things + +## Summary + +When artificial intelligence (AI) powers the Internet of things (IoT), it is referred to as artificial intelligence of things (AIoT). It is the combination of AI technologies with IoT infrastructure to achieve more efficient IoT operations, improve human–machine interactions and enhance data management and analytics. From a comprehensive review of existing standardization efforts on AI and IoT, Recommendation ITU-T Y.4612 describes the concepts, characteristics, technical features and approaches of AIoT. It also presents a conceptual model for AIoT. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.4612 | 2025-11-13 | 20 | 11.1002/1000/16516 | + +## Keywords + +Artificial intelligence (AI), artificial intelligence of things (AIoT), Internet of things (IoT). + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2026 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References ..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation ..... | 1 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Introduction to AIoT ..... | 2 | +| 7 The concept and characteristics of AIoT ..... | 3 | +| 7.1 The concept of AIoT ..... | 3 | +| 7.2 Characteristics of AIoT ..... | 4 | +| 7.3 Advantages and considerations ..... | 5 | +| 8 Technical features and approaches of AIoT ..... | 6 | +| 8.1 Technical features ..... | 6 | +| 8.2 Technical approaches ..... | 8 | +| 9 Conceptual model of AIoT ..... | 10 | +| Appendix I – AIoT classification ..... | 12 | +| I.1 AIoT classifications ..... | 12 | +| I.2 Examples of AIoT classifications ..... | 13 | +| Bibliography ..... | 15 | + + + +# Recommendation ITU-T Y.4612 + +# Framework of artificial intelligence of things + +# 1 Scope + +With the advent of data and artificial intelligence (AI) technology, data-driven Internet of things (IoT) applications are becoming increasingly important to harness the massive amounts of data generated by devices. As a combination of AI, data and IoT, AI-powered IoT, referred to as artificial intelligence of things (AIoT), focuses on intelligent things and their applications that learn from the data generated and use these insights to make autonomous decisions. + +This Recommendation covers the following items: + +- The concepts, characteristics, technical features and approaches of AIoT in terms of technical trends and standardization; +- A conceptual model for AIoT. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +None. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 Internet of things (IoT)** [b-ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving, interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.2 thing** [b-ITU-T Y.4000]: With regard to the Internet of things, this is an object of the physical world (physical things) or of the information world (virtual things), which is capable of being identified and integrated into the communication networks. + +## 3.2 Terms defined in this Recommendation + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|--------|--------------------------------------------------| +| AI | Artificial Intelligence | +| AIaaS | Artificial Intelligence-as-a-Service | +| AIoT | Artificial Intelligence of Things | +| DAIaaS | Distributed Artificial Intelligence-as-a-Service | +| HITL | Human-In-The-Loop | +| IoT | Internet of Things | +| LiDAR | Light Detection and Ranging | +| LPWAN | Low-Power Wide-Area Network | +| LwM2M | Lightweight Machine-to-Machine | +| ML | Machine Learning | +| MLP | Multilayer Perception | +| MQTT | Message Queuing Telemetry Transport | +| V2V | Vehicle-to-Vehicle | + +# 5 Conventions + +None. + +# 6 Introduction to AIoT + +With the rapid growth of IoT devices, the data they collect will present a challenge of how to analyse this large amount. Without a way to analyse and understand this data, its collection will be less beneficial. With the analytic capabilities of AI, IoT data can be analysed to classify and understand patterns and make more accurate decisions. + +AI is playing an increasingly important role in IoT applications and deployments. It is the driver that enables analytics and decision-making from the data collected by IoT devices. AI brings the ability to identify patterns and differences in the data generated by different IoT devices. + +Harnessing the power of AI with the large amount of IoT data will access the full benefits of the data. This variety of benefits include proactive intervention, intelligent automation and highly personalized experiences. It can also define new ways for IoT-connected devices to work together better, and make these systems easier to use. In addition, AI can provide programmatic reasoning, self-correction and ultimate learning. It can manage the large amount of data generated by IoT devices and deliver a seamless user experience. + +Figure 6-1 shows data-driven IoT applications that leverage massive amounts of data. The scope of IoT applications has expanded to various domains, including consumer and industrial, and large amounts of data are generated continuously. Therefore, with the emergence of data and AI technologies, data-driven IoT applications are becoming increasingly important to leverage the massive amounts of data from devices. Data technology enables the collection, storage and analysis of data based on the data collected through IoT. On top of data, AI can help support intelligent applications without human intervention through data-based learning. + +![Figure 6-1: Data-driven IoT applications to leverage the massive amounts of data. The diagram shows a vertical stack of three components connected by double-headed arrows. The top component is 'AI: Data-based learning' with a brain icon. The middle component is 'Data: Capture, storage, analysis of data' with a server icon. The bottom component is 'IOT: Data collection through IoT' with a laptop and gear icon. A reference 'Y.4612(25)' is at the bottom right.](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +Figure 6-1: Data-driven IoT applications to leverage the massive amounts of data. The diagram shows a vertical stack of three components connected by double-headed arrows. The top component is 'AI: Data-based learning' with a brain icon. The middle component is 'Data: Capture, storage, analysis of data' with a server icon. The bottom component is 'IOT: Data collection through IoT' with a laptop and gear icon. A reference 'Y.4612(25)' is at the bottom right. + +**Figure 6-1 – Data-driven IoT applications to leverage the massive amounts of data** + +Data can be thought of as an asset that is difficult to exploit. AI can be seen as a key to unlocking the value of data, and machine learning (ML) is one of the technical mechanisms that underpins and enables AI. + +Recently, IoT technology has shifted from simply connecting, sensing and communicating between devices to creating value through analytics and action. In this regard, data analytics and learning techniques are essential to support IoT applications with optimization and autonomy from relatively simple sensing and remote control. In addition, networks such as 5G networks can help support hyperconnectivity with benefits such as automated control, easy communication between devices and data sharing, and high-speed, near-zero latency for real-time data processing. + +As a combination of AI, data and IoT, AIoT [b-ITU-T YSTP.AIOT] creates intelligent things that learn from the data they generate and use these insights to make autonomous decisions. Distributed and lightweight AI technologies enable intelligence at the edge, significantly reducing the need for and cost of cloud analytics. AI is expected to be the technology that helps the IoT reach its full potential. + +# 7 The concept and characteristics of AIoT + +## 7.1 The concept of AIoT + +![Figure 7-1: The concept of AIoT. A diagram showing a 3x3 grid of components. The columns are labeled 'Device', 'Edge', and 'Cloud' at the bottom. The rows are labeled 'AI', 'Data', and 'IoT' on the left. The top row is 'AIoT application'. The components are: Device (Closed-loop inference, Lightweight ML model), Edge (Context specific inference, ML model), Cloud (Training, ML model preparation). The bottom row is 'IoT' (IoT collection, Real time processing service, Central service). A reference 'Y.4612(25)' is at the bottom right.](0b87abe67b21a93777287649c33e755d_img.jpg) + +| | Device | Edge | Cloud | +|------|-----------------------------------------------|----------------------------------------|----------------------------------| +| AI | Closed-loop inference
Lightweight ML model | Context specific inference
ML model | Training
ML model preparation | +| Data | Acquisition | Aggregation | Training data store | +| IoT | IoT collection | Real time processing service | Central service | + +Figure 7-1: The concept of AIoT. A diagram showing a 3x3 grid of components. The columns are labeled 'Device', 'Edge', and 'Cloud' at the bottom. The rows are labeled 'AI', 'Data', and 'IoT' on the left. The top row is 'AIoT application'. The components are: Device (Closed-loop inference, Lightweight ML model), Edge (Context specific inference, ML model), Cloud (Training, ML model preparation). The bottom row is 'IoT' (IoT collection, Real time processing service, Central service). A reference 'Y.4612(25)' is at the bottom right. + +**Figure 7-1 – The concept of AIoT** + +In AIoT, its capabilities are physically deployed not only on devices, but also in edges and clouds based on the application requirements, and these capabilities can be logically divided into AI, data and IoT-related capabilities. Figure 7-1 shows these physical AIoT divisions. + +A variety of user-centric AIoT applications can operate with AIoT capabilities deployed on the device, edge and cloud. + +AIoT deploys AI to the device, so that the huge amount of data is processed in real time on the device side, and only the necessary data are sent to the cloud. This approach can protect data privacy, reduce latency and improve overall system reliability, as well as capture more valuable information from IoT devices to improve the user experience. The device should pre-process data, perform closed-loop inference and interact with the edge or cloud to receive the embedded ML model update. AI on devices can also enable devices to make their own contextual decisions and perform autonomous control actions. AI-powered devices can also work together to accomplish a given task. + +AIoT deploys AI to the edge, and the edge platform can provide a good environment for algorithm development and deployment. Deploying edge computing at the field side can efficiently support application distribution and model iteration, and collaborate with the cloud, where the cloud is responsible for algorithm iteration and the edge computing is responsible for receiving new algorithms for execution at the field side. The edge should download the ML models from the cloud, perform contextual inference and perform data analysis based on application requirements. If the edge platform has sufficient hardware capabilities, ML models can be trained on the edge platform and deployed to devices. The edge platform can also coordinate collaboration between AI-powered devices and support the local optimization of ML models deployed on devices. + +AIoT deploys AI in the cloud, which is primarily responsible for data storage, data processing, data visualization and analysis. The cloud should ingest collected data, normalize and create training data, provide storage and deployment capabilities for ML models, and interact with the edge and device to orchestrate various model deployment and training activities. Because the cloud collects and accumulates hyperparameters and processing data for all ML models on devices and at the edge, the cloud can support global optimization of these ML models. + +AIoT may not work properly or may be interrupted due to AI model malfunctions, software infections due to malware, IoT breakdowns and battery discharges. Therefore, operation management is essential to provide stable services based on AIoT, and it will be possible to provide operation management functions for AIoT devices in the edge or in the cloud. + +Most importantly, depending on the application requirements and AI deployment method, the device, edge and cloud should work together to provide AIoT services to the application. + +NOTE – Appendix I describes the classifications for AIoT according to several criteria. + +## **7.2 Characteristics of AIoT** + +AIoT is accelerating the development of both AI and IoT technologies, which can be summarized as follows. + +### - AI driving IoT development + +AI can learn relationships between massive amounts of complex data produced by IoT devices. In the technical field, AI algorithms perform intelligent analysis of IoT data, including positioning, prediction, classification, scheduling, so that IoT devices can acquire perception, recognition and autonomous control and collaboration capabilities. In the application area, AI helps to upgrade the IoT industry and optimize the user experience. Many smart IoT applications have been derived from AI, including smart wearable devices, smart homes, smart transportation, smart cities and smart factory. + +- IoT driving AI development + +AI development is inextricably linked to data. The massive amounts of data generated by the IoT can help AI optimize models and improve the accuracy, security, efficiency and stability of AI results. + +IoT systems have created a ubiquitously connected world, where IoT devices collect millions of data sets and perform limited analysis. However, many practical services require analytical techniques to initiate appropriate actions. To address this issue, AI is being introduced to the IoT, ushering in the era of AIoT and achieving ubiquitous intelligent collaboration. AIoT can perform self-driven analytics, autonomous control and make smart decisions with minimal human intervention. + +AIoT is the combination of AI technologies with the IoT infrastructure to support various applications. It can achieve more efficient IoT operations, improve human-machine interactions and enhance data management and analytics. The integration of IoT with AI will create a powerful technology that will be able to solve many problems related to big data integrated from different IoT devices. A huge amount of data generated by IoT devices needs to be analysed and eventually used for various applications. + +Existing work on IoT-based AI implementation relies on cloud platforms; however, this approach is unacceptable for delay sensitive services. Edge computing extends cloud analytics to edge of the network. In addition, on-site computing and analytics inside IoT devices can solve the problems of current approaches. + +## **7.3 Advantages and considerations** + +There are many advantages of AIoT: + +- Increased operational efficiency: AIoT can process and detect patterns in real-time operational data that are not visible to the human eye and can use this data to set real-time operating conditions that result in optimal outcomes. AI can optimize production processes and improve workflows resulting in increased efficiency and reduced operating costs. +- Enhanced risk management: AI can identify risks in a timely manner and use these insights to optimize their processes to increase safety and reduce losses and make more informed business decisions. +- Create new applications and services: The ability to process and derive insights from large amounts of data has opened up new technologies that did not exist before. These newly created capabilities can be used in many applications and services. +- Reduce failures: Predictive maintenance can help predict equipment failures by analysing data from machines and proactively scheduling maintenance, reducing the frequency and cost of failures (e.g., unplanned downtime). +- Enhanced customer experience: AIoT helps to tailor the user experience and provide personalized recommendations based on user intelligence, demographic information and user behaviour. +- Reduced costs: By bringing analytics and decision-making to the edge, AI helps to reduce the amount of data that needs to be transferred to the cloud, thereby reducing the costs associated with cloud connectivity and services. +- Network-agnostic services: Unlike traditional cloud-based AI services that are network-dependent, AI-enabled devices can operate autonomously and provide continuous service even when disconnected from the network. +- Autonomous control and collaboration: With minimal user intervention, AIoT devices can make their own contextual decisions and accomplish tasks through autonomous control and autonomous collaboration between AIoT devices. + +However, there are some considerations for mitigating security and privacy concerns with governance and risk management as follows: + +- Security, privacy and trust: The relationship between IoT devices, users, manufacturers and the network is untrusted, which can lead to security issues such as data breaches. AIoT can also be subject to malware infection and hacking. +- Policy and regulatory considerations: AIoT requires data collection and secondary data processing. At the national level, there may be a lack of relevant policies and measures to ensure that people's privacy is not compromised. In addition, different countries have different degrees of data supervision for AIoT, which has caused difficulties in promoting it. +- Risk management: AIoT involves passwords, network services, system interfaces, AI models, software components, hardware devices, device management, and so on, all of which may pose risks to AIoT systems. + +# **8 Technical features and approaches of AIoT** + +## **8.1 Technical features** + +### **8.1.1 AI/ML embedded in devices** + +#### **8.1.1.1 Lightweight AI/ML** + +Considering the constraint environment of IoT, lightweight AI/ML agents for AIoT are essential. For example, lightweight ML is the intersection of ML and embedded IoT devices as a fast-growing field of ML technologies and applications including hardware, algorithms and software capable of performing on-device sensor data analytics with extremely low power consumption, thus enabling a variety of always-on use cases and targeting battery-powered devices. + +Considering ML embedded IoT devices, platforms should be provided to support prediction and inference capabilities among IoT devices. + +### **8.1.2 AI at the edge** + +In the past, AI applications have mainly run in the cloud due to the complexity of ML models. However, there are some applications that cannot run in the cloud due to a lack of reliable and high-bandwidth connectivity or if the application is such that it requires the models to be run on the device itself. These could be applications that require fast, real-time operation, which precludes the use of the cloud due to its latency. In addition, there may be concerns about the security and privacy of data, driving the need to store and process data on the local device. + +By processing data on the device, a local computer or server, rather than in remote data centres, AI at the edge offers the benefits of autonomy, lower latency, lower power, lower bandwidth requirements, lower costs and higher security, making it more attractive for new emerging applications and use cases. + +### **8.1.3 AIoT during data processing** + +#### **8.1.3.1 Intelligent data collection** + +Traditional IoT systems are unable to differentiate data as it is collected. In most cases, all the collected data is uploaded to the central system for analysis and processing. Therefore, a large amount of invalid data is collected, which wastes system resources and slows down the data processing time. Therefore, this error should be optimized to avoid negative impact on systems such as storage and transmission. + +AIoT can perform intelligent analysis during data collection and collect only valid data for specific service scenarios. This significantly reduces the amount of data collected by the system and enables + +the collected data to meet the requirements of specific service scenarios, thus improving the efficiency of the IoT system. + +#### **8.1.3.2 Predictive analytics and real-time processing with accurate decision** + +The AI-enabled IoT network will generate huge datasets for businesses, which will need to perform historical analysis using pattern recognition technology to enforce predictive modelling capabilities with data analytics software. The use of algorithms will help find hidden data patterns between input and output values, in a similar manner to human prediction, and may exceed human capabilities. Predictive analytics capabilities will in turn accelerate the adoption of AIoT platforms and solutions. + +At the same time, real-time data processing will contribute to the use of edge AI platforms and AIoT-driven solutions. Real-time processing refers to responding quickly to a specific condition while building knowledge to make accurate decisions about the events. + +#### **8.1.3.3 Intelligent data analytics** + +With the introduction of AI capabilities, AIoT systems can perform intelligent analysis of data. AI algorithms such as deep learning can be used to intelligently analyse the collected data, and data analysis can be extended to audio, image, video and other areas that could not be processed before. This greatly expands the data processing scope of the IoT and enhances the service scenarios of the IoT. + +The intelligence of data analysis is not only reflected in the fact that AI algorithms can handle more types of data, but also in the integration and analysis of data from different sources. + +Intelligent data analytics can be deployed in the cloud. After various data are converged in the cloud, data from different sources are converged for analysis by AI algorithms, thus achieving effects that cannot be achieved by a single data source. Depending on the specific requirements, intelligent data analytics can also be deployed at the edge to more efficiently handle on-site data. + +### **8.1.4 Collaboration** + +#### **8.1.4.1 Algorithm management** + +Algorithms in AIoT systems are closely related to services and scenarios, and there are a large number of algorithms running at the edge of the AIoT system. This requires a unified algorithm management to realize algorithm deployment, validation, optimization and update. Algorithm management systems are usually located in the cloud. Collaboration of algorithm deployment between the cloud and the edge must be achieved. AI services (e.g., specific algorithms for certain IoT scenarios) and orchestration of AI services should be provided to meet the requirements of applications. + +#### **8.1.4.2 Collaboration between the cloud and edge** + +AIoT needs to constantly support data processing, model training, learning evolution, and so on. The cloud is mainly responsible for iterative model updates and data aggregation; the edge is mainly responsible for receiving data, initial processing, and then sending data back to the cloud for aggregation; AIoT should be jointly scheduled between the cloud and the edge to meet application requirements. + +#### **8.1.4.3 Collaboration among devices** + +Multiple AIoT devices can work together to accomplish a given task. Since individual AIoT devices make autonomous decisions based on information about their surroundings, global optimization can be achieved through collaboration between devices and the cloud. + +#### **8.1.4.4 Distributed artificial intelligence-as-a-service (DAIaaS)** + +AI is critical to embedding intelligence into smart cities and societies. Due to the exponential growth in the number of IoT devices, the urgent need to reduce latency for real-time sensing and control, + +privacy constraints and other challenges, the existing cloud-based artificial intelligence-as-a-service (AIaaS) model, even with fog and edge computing support, is not sustainable. Distributed artificial intelligence-as-a-service (DAIaaS) will facilitate the standardization of distributed AI deployment in smart environments, which in turn will allow developers of applications, networks, systems, and so on, to focus on the domain-specific details without worrying about distributed training and inference. Ultimately, it will help systematize the mass production of technologies for smarter environments. + +#### **8.1.4.5 Decentralization with blockchain** + +Decentralized IoT edge computing improves speed and flexibility and is particularly suited to tasks that require short response times and the pre-processing of large amounts of data. There are several advantages to decentralization in terms of speed, security, flexibility and robustness. + +A blockchain is a distributed database of records that contains all transactions that have been executed and shared among participating parties in the network. Because the blockchain can handle the processing of billions of transactions between IoT devices, integrating IoT with blockchain and AI can significantly reduce the costs associated with deploying and maintaining large, centralized data and AI platforms and distribute computational and storage needs across the billions of devices that make up IoT networks. + +### **8.1.5 Trust management** + +Due to the potential risks of AIoT, trust management is necessary to support transparency and accountability. Accordingly, several trust features should be considered for the predictable and safe use of AIoT. In addition, appropriate indicators and weights will be selected. + +## **8.2 Technical approaches** + +### **8.2.1 User-centric AIoT** + +IoT systems can not only learn from users but also provide easy-to-understand explanations of decisions or predictions. In this way, users can understand the reasons behind AI decisions in order to speed up the supervision process that confirms or refutes the decision, based on whether the highlighted reasons make sense in the given context. + +This Recommendation proposes to focus on user-centric AI approaches for the automatic generation of explanations based on the analysis of discriminant inputs in the training cases and artificial neuron weights in the multilayer perceptron (MLP) trained with back propagation. This will require extensive analysis in the following areas: + +- Human-in-the-loop (HITL) ML, reasoning, and planning: In certain situations, it is essential for humans to play a central role in verifying the accuracy of data collected by AIoT devices. Automated labelling or filtering processes may be insufficient due to potential sensor noise, data corruption or incomplete records. By involving human reviewers or domain experts, erroneous or ambiguous data can be detected and corrected prior to model training. HITL approaches facilitate continuous evaluation of the AI model's performance. Domain experts and end users can provide critical feedback on whether the model's predictions or decisions are logical and contextually appropriate. Prompt human feedback ensures the rapid identification of errors and implementation of corrective actions, leading to incremental improvements in model accuracy and robustness. AIoT ecosystems often encounter unpredictable conditions, such as sensor malfunctions, network interruptions or unforeseen environmental factors. Human intervention enables immediate detection and resolution of these exceptional events, minimizing risk and maintaining stability. +- Multimodal perception and modelling: Enabling AI models to perceive and interpret complex real-world environments, human actions and interactions situated in IoT environments and the associated emotions, motivations and social structures. This requires enabling AIoT systems to build and maintain comprehensive models that should strive for a more human- + +like understanding of the world and incorporate common sense knowledge that captures causality and is grounded in physical reality. + +- User-centred AI interaction and collaboration: Developing paradigms that enable users and AI models to interact and collaborate with wearable IoT systems and smart environments in ways that enhance human abilities and empower people. +- Societal awareness: The ability to model and understand the consequences of complex network effects in large-scale mixed communities of users and AI models interacting over multiple temporal and spatial scales. This includes the ability to balance the needs of individual users with the public good and societal concerns. + +### **8.2.2 Layered collaboration of AIoT devices, edge and cloud** + +AIoT devices are equipped with on-device AI capabilities, enabling them to collect, analyse and infer data locally. Meanwhile, edge nodes, which are located closer to the AIoT devices than centralized cloud systems, process regional data in near real-time, supporting rapid decision-making and local coordination. At the macro level, cloud systems handle large-scale data aggregation and advanced analytics, providing insights that guide long-term planning and system-wide optimization. + +- AIoT devices have the ability to process data in the field and make immediate decisions. By communicating with nearby devices, they share local insights and coordinate actions to improve both safety and efficiency. These devices can also generate alerts for drivers or users and, in some cases, autonomously adjust system settings for added convenience. +- Edge nodes are installed in specific regions to integrate and analyse data collected from multiple AIoT devices. They then quickly relay the results back to those devices. For example, by delivering urgent information such as hazardous conditions or sudden changes in road conditions with minimal delay, they enable quick responses. By operating close to where users actually are, edge nodes reduce the load on the central cloud and significantly reduce communication latency. +- Cloud systems play a central role in aggregating data from multiple sources to perform large-scale analytics. In addition to receiving data from various edge nodes, they also incorporate input from external systems – such as weather services or transportation agencies – to train machine learning models and identify long-term trends. The resulting high-level directives, software updates, and insights are then sent back to the edge nodes and AIoT devices, ensuring that the entire system continues to improve and remain well-coordinated. + +Through this layered collaboration, AIoT devices make local, on-the-spot decisions, edge nodes process and manage regional contexts, and cloud systems provide broader, strategic oversight. This synergy enables both rapid responsiveness and robust global optimization – essential for modern intelligent systems in industries such as manufacturing, health care, retail and transportation. + +When this layered collaboration of AIoT, edge and cloud is applied to vehicles on the road, the following services can be realized. + +- AIoT-enabled vehicles: Each vehicle has an on-device AI module connected to internal sensors (e.g., cameras, radar, light detection and ranging (LiDAR)). AI processes data locally to detect road conditions, potential hazards and surrounding traffic behaviour. If a vehicle's sensors detect an icy patch or pothole, AI can immediately alert the driver or adjust the vehicle's driving mode to reduce speed, eliminating the need to send raw data to a distant data centre. Vehicles also communicate with each other via vehicle-to-vehicle (V2V) messaging, sharing real-time information about traffic flow or accidents. By coordinating actions such as cooperative lane changes, these vehicles help reduce the risk of sudden braking and ease congestion. + +- Highway edge nodes: Strategically placed along the highway, edge nodes collect data from multiple vehicles, roadside sensors and cameras. If an accident or traffic bottleneck is detected within their coverage area, the edge nodes quickly analyse the situation and send out relevant alerts. Because the edge is physically closer to the vehicles than the cloud, communication latency is much lower, enabling rapid response. Edge nodes further relieve cloud resources by processing localized data without sending all the details upstream. They send only essential or aggregated information to the cloud. +- Cloud systems for wide-area coordination: The central cloud systems receive aggregated input from numerous edge nodes throughout the highway network. Using big data analytics, the cloud identifies recurring hazards (such as areas with frequent potholes) and predicts potential problems (such as severe congestion patterns or weather-related road conditions). It then generates high-level strategies-such as recommending targeted infrastructure repairs, optimizing traffic signals on nearby roads, and updating machine learning models that are pushed back to edge nodes and vehicles. + +By combining immediate, localized AI processing at the vehicle level with high-speed, aggregated analytics at the edge and large-scale, strategic oversight in the cloud, this system creates a safer, more efficient transportation ecosystem. Drivers benefit from on-the-spot hazard detection, dynamic traffic management reduces congestion, and long-term road maintenance is guided by data-driven insights-exemplifying the power of AIoT, edge and cloud collaboration. + +# 9 Conceptual model of AIoT + +A conceptual model of AIoT is shown in Figure 9-1. It consists of five parts: the data source, the data processing and management, the application-based analytics and the applications and sources. Obviously, the data source outputs raw data, which could be from IoT devices such as sensors, devices and social media. The raw data is collected, ingested and even simply analysed in the data processing and management part. Then, AI-based analytics, which include data exploration, predictive analytics, and decision-making, are performed for applications. In addition, the entire data flow from the data source to applications should be coupled with data security and governance management. + +![Figure 9-1: A conceptual model of AIoT. The diagram illustrates the flow from Data source to Applications, passing through Data processing and management, Data analytics, and a foundational layer of Data security, privacy, trust, ethics, and governance management. A process flow bar at the bottom summarizes the stages: Collection, Ingestion, Discovery and cleaning and integration, Simple analysis and publication, Application-specific analysis (AI/ML based), and Delivery.](16152cf1d84aea10848758f51a91ff6a_img.jpg) + +The diagram illustrates the conceptual model of AIoT, organized into four main vertical sections: Data source, Data processing and management, Data analytics, and Applications. A foundational layer at the bottom spans all sections, representing Data security, privacy, trust, ethics, and governance management. + +- Data source:** Includes icons for Actuators/sensors/devices, Social media, and Location. +- Data processing and management:** Contains a complex flow of sub-processes: + - Data collection:** Filtering, Pre-processing, Storing, Ingestion. + - Data discovery:** Data fusion, Enrichment, Modelling, Annotation, Indexing. + - Data protection:** Anonymisation, Masking, Transformation, Sharing control. + - Data publication:** Publication, Open data sharing, Personal data sharing, Visualization and report. + - AI-based mechanisms:** Data analytics (Data, Meta-data, semantic, Reasoning contextual data), Data fusion, Enrichment, Modelling, Annotation, Indexing. +- Data analytics:** Features a central 'AI' box surrounded by Discovery and exploration, Decision management, Reporting and analytics, and Predictive analytics and modelling. This section is labeled 'AI-based DEEP analytics'. +- Applications:** Lists Smart home, ITS, and Healthcare. + +A process flow bar at the bottom summarizes the stages: Collection, Ingestion, Discovery and cleaning and integration, Simple analysis and publication, Application-specific analysis (AI/ML based), and Delivery. + +Figure 9-1: A conceptual model of AIoT. The diagram illustrates the flow from Data source to Applications, passing through Data processing and management, Data analytics, and a foundational layer of Data security, privacy, trust, ethics, and governance management. A process flow bar at the bottom summarizes the stages: Collection, Ingestion, Discovery and cleaning and integration, Simple analysis and publication, Application-specific analysis (AI/ML based), and Delivery. + +Y.4612(25) + +Figure 9-1 – A conceptual model of AIoT + +The data processing and management part and application-based analytics are considered the core of AIoT. In the data processing and management part, it is necessary to label data in order to transform it into training data for AI models. In addition, data from data sources are needed to cover different cases or situations to obtain generic AI models, i.e., data distribution of a data set could be a factor in the data processing and management part. In terms of application-based analytics, tiny AI is one of the most obvious features for AIoT. Due to size, power, computation and other constraints, AI models used in the cloud need to be tailored or cut down, but their functions and performance do not suffer much. In addition, distributed AI technology such as shared ML [b-ITU-T F.748.13] has emerged in recent years and has potential for AIoT. + +- **Data source:** This refers to the origin of information within an AIoT system. It includes a wide variety of physical and virtual sources (e.g., sensors, cameras, wearable devices, vehicles and service platforms) that continuously generate raw data. This data serves as the foundation for all downstream AIoT processing and must be collected with contextual details such as time, location and device identity to be meaningful and useful. +- **Data processing and management:** It is responsible for organizing and preparing the raw data from the sources. It involves steps such as cleaning, labelling, filtering, storing and securing the data. Effective data processing ensures that only relevant, high-quality data is passed on for analysis. It also includes governance measures to ensure compliance with privacy and security policies. This stage is essential for transforming raw inputs into usable datasets for AI training and inference. +- **Data analytics:** AI and ML models are applied to the processed data to extract insights, predict outcomes or make autonomous decisions. Depending on the use case and system constraints, these analytics may be executed at the device level, edge or in the cloud. The models used can range from lightweight versions for embedded devices to more complex ones run in centralized environments. This layer powers the intelligence within AIoT. +- **Applications:** For the real-world services or functions that benefit from AIoT intelligence, applications can include smart home systems, health care monitoring, industrial automation, smart transportation and many more. The applications take the results of analytics and translate them into actionable outcomes (e.g., adjusting machinery settings, sending alerts or guiding user decisions), often without direct human involvement. + +# Appendix I + +## AIoT classification + +(This appendix does not form integrated part of this Recommendation.) + +The scope of AIoT is very broad, ranging from microsensors to autonomous vehicles, and its architecture and functions vary greatly depending on the mobility of the devices and the operation methods, such as device-to-device collaboration. Therefore, after recognizing and categorizing the key characteristics of AIoT, it would be desirable to standardize on AIoT limited to a clear scope. This appendix describes the classifications for AIoT. + +## I.1 AIoT classifications + +AIoT can be classified as follows according to the operation domain, method and size. + +- 1) AIoT classification based on size + - Tiny disposable AIoT: This is a device that autonomously analyses data and makes inferences and decisions with AI embedded in a sensor as small as a coin. It is typically battery powered and transmits sensed data over a low-power wide-area network (LPWAN) when needed. Due to the low cost of the device, when the battery is depleted, the device is discarded without battery replacement. + - Small-size AIoT: This is a type of device in which AI for autonomous operation is mounted on small home appliances or unmanned aerial vehicles, which have limitations in computing power and memory size for product price competitiveness, among other reasons. Generally, it is connected to a high-speed network such as Wi-Fi, IMT-2020 mobile communication and uses a replaceable battery or wired power supply. + - Large-scale AIoT: This is a system that operates autonomously based on high-precision inferencing and decision-making with high-performance AI installed in systems with relatively sufficient power and large computing and memory capacity, such as automobiles and large home appliances. +- 2) AIoT classification based on mobility + - Fixed AIoT: This is a device that does not change its installed location, has the same wired or wireless network configuration, and has relatively little change in the surrounding environment. + - Mobile AIoT: This is a device that moves under its own power, such as self-driving cars and unmanned aerial vehicles, or is attached to a person or object to change location and perform autonomous operations and tasks. Mobile AIoT uses mobile communication technologies such as IMT-2020 to support seamless communication, and its surrounding environment may change significantly due to movement. +- 3) Classification based on cyber and physical domains + +Depending on whether the scope of tasks handled by AIoT is limited to the physical domain or extends to the cyber domain, AIoT can be classified as follows: + +- AIoT in the physical domain: AIoT devices are directly executed and managed in the physical domain through inference and decision-making based on input data. +- AIoT in the cyber domain: Data collection, analysis and inference results using AIoT are used for information provision, monitoring, simulation and prediction services in the cyber domain, such as a digital twin or a metaverse. + +#### 4) Classification based on collaboration + +AIoT devices can be classified according to whether they work alone or collaborate with a server after installation as follows: + +- Standalone AIoT model: The installed AIoT device operates on its own without any communication, such as management and collaboration with external systems. +- Server-client AIoT model: A centralized AIoT platform or edge node is necessary to deploy and update AI models for AIoT devices, and to manage AIoT devices. +- Peer to peer AIoT model: AIoT devices perform a given task through horizontal collaboration with other AIoT devices without the control and management of a centralized platform. + +#### 5) Classification based on the level of autonomy + +- Semi-autonomous AIoT: This is a HITL method that performs semi-autonomous operation with minimal administrator intervention in the case of AI malfunction for the purpose of operation management. +- Fully-autonomous AIoT: This is a fully-autonomous device that requires no user intervention from installation to disposal or uses AI in IoT platforms to manage and monitor individual AIoT devices without human intervention. + +#### 6) Classification based on model training + +- Self-training AIoT: In AIoT with sufficient computing and memory capabilities, a large amount of learning data can be accumulated and managed within the AIoT device, which the AIoT device uses to train the model itself and then perform inference and decision-making. +- Deploy model-equipped AIoT: Tiny disposable AIoT or small-sized AIoT cannot train its own model due to limitations in its own computing and storage capabilities, so it uses an AI model that is trained and distributed from cloud and edge systems. + +#### 7) Classification based on operation management + +- Local operation management: The user monitors and checks the operation status of the AIoT device through the direct connection setting to the AIoT device, and changes and controls the operation options, among others. +- Remote operation management: The AIoT device supports remote operation management protocols such as message queuing telemetry transport (MQTT) and lightweight machine-to-machine (Lwm2M) to remotely monitor and control the operation of the AIoT device. + +#### 8) Classification based on the management entity + +- Manufacturer-oriented AIoT management: A manufacturer that develops and produces AIoT devices continuously monitors and manages the normal operation of AIoT devices and firmware upgrades even after its AIoT devices have been sold and installed. +- Platform-oriented AIoT management: When a user purchases an AIoT device and registers it on the service provider's platform, the service platform manages the status and normal operation of the registered AIoT device. +- User-oriented AIoT management: The owner or administrator of the AIoT device monitors and controls the operational status of AIoT devices with management rights. + +## 1.2 Examples of AIoT classifications + +Table I-1 shows how various AIoT applications can be classified based on the AIoT classification presented in the previous section. + +**Table I-1 – Examples of AIoT classifications** + +| AIoT Classification | Size | Mobility | Cyber/physical | Collaboration | Autonomy | Model train | OAM | Management entity | +|---------------------------------|-------------|-----------------|-----------------------|----------------------|-----------------|--------------------|------------|--------------------------| +| Remote sensing | Small | Fixed | Physical | Stand-alone | Semi | Distributed | Local | User | +| Smart appliance | Medium | Fixed | Physical | Collaboration | Full | Distributed | Local | Manufacturer | +| Unmanned aerial vehicle | Medium | Mobile | Physical | Stand-alone | Full | Distributed | Remote | User | +| Digital twin – based facilities | Large | Fixed | Cyber | Collaboration | Semi | Self | Remote | Platform | + +# Bibliography + +- [[b-ITU-T Y.4000](#)] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [[b-ITU-T F.748.13](#)] Recommendation ITU-T F.748.13 (2021), *Technical framework for the shared machine learning system*. +- [b-ITU-T YSTP.AIoT] Technical Paper ITU-T YSTP.AIoT (2023), *Challenges of and Guidelines to Standardization on Artificial Intelligence of Things*. + + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4702-201603-I_PDF-E/a3dc41dc3df86ea68d266af2bf95cf5b_img.jpg b/marked/Y/T-REC-Y.4702-201603-I_PDF-E/a3dc41dc3df86ea68d266af2bf95cf5b_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..072f073b6d42cbfa77c827c76c611f286177034a --- /dev/null +++ b/marked/Y/T-REC-Y.4702-201603-I_PDF-E/a3dc41dc3df86ea68d266af2bf95cf5b_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:ee72ddf991b7b1d543b2694b1687804845ecb97da77cc35e98e4c7dbf5ac163d +size 4142 diff --git a/marked/Y/T-REC-Y.4702-201603-I_PDF-E/e6df2733626a85205c1db682e6259c46_img.jpg b/marked/Y/T-REC-Y.4702-201603-I_PDF-E/e6df2733626a85205c1db682e6259c46_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..1b07bbdcf7fb6f307fd2d79a4507f42fc870c77e --- /dev/null +++ b/marked/Y/T-REC-Y.4702-201603-I_PDF-E/e6df2733626a85205c1db682e6259c46_img.jpg @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:f2ec8dc3030e03060f04dd4288efbc6802b1be0349d6efb6a68f20a300058773 +size 74168 diff --git a/marked/Y/T-REC-Y.4704-202403-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4704-202403-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..f70f0ef2c9580b9fd1c1407ed17a25ed7bc4e2f2 --- /dev/null +++ b/marked/Y/T-REC-Y.4704-202403-I_PDF-E/raw.md @@ -0,0 +1,4083 @@ + + +# Recommendation + +# **ITU-T Y.4704 (03/2024)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Management, control and performance + +--- + +**Internet of things device management +application programming interface +Representational State Transfer specification** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|---------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4704 + +## Internet of things device management application programming interface Representational State Transfer specification + +## Summary + +Recommendation ITU-T Y.4704 specifies the Representational State Transfer (REST) application programming interface (API) for the management of any Internet of things (IoT) Device. It includes the model definition as well as all available operations. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.4704 | 2024-03-15 | 20 | 11.1002/1000/15693 | + +## Keywords + +API, device management, REST, TM Forum. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . Implementers should also be aware that the organization that originated the technically equivalent document listed in the Bibliography may have received notices of intellectual property required for the implementation of this Recommendation. + +© ITU 2024 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|----------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 4 Abbreviations and acronyms ..... | 1 | +| 5 Conventions ..... | 2 | +| 5.1 Support of polymorphism and extension patterns ..... | 2 | +| 6 Resource model ..... | 3 | +| 6.1 Managed Entity and Task Resource Models ..... | 4 | +| 6.2 Notification Resource Models ..... | 36 | +| 7 API operations ..... | 41 | +| 7.1 Operations on Iot device..... | 42 | +| 7.2 Operations on Data Access Endpoint ..... | 54 | +| 7.3 Operations on Iot Device Specification..... | 56 | +| 7.4 Operations on Iot Data Event ..... | 61 | +| 7.5 Operations on Iot Management Event ..... | 62 | +| 7.6 Operations on Resource Specification..... | 64 | +| 7.7 Operations on Alarm ..... | 64 | +| 8 API notifications ..... | 71 | +| 8.1 Register listener ..... | 71 | +| 8.2 Unregister listener ..... | 71 | +| 8.3 Publish Event to listener ..... | 72 | +| Bibliography..... | 74 | + + + +# Recommendation ITU-T Y.4704 + +## Internet of things device management application programming interface Representational State Transfer specification + +# 1 Scope + +This Recommendation presents a strong framework for management of Internet of things (IoT) devices leveraging existing globally adopted and publicly available TM Forum (TMF) open application programming interfaces (Open APIs). The business case for IoT requires that IoT platforms are highly scalable and interoperable supporting many different types of devices. This Recommendation demonstrates how an existing organization's information technology state can be reused to manage IoT devices through their lifecycles with the inclusion of a single new Open API Device Agent for the encapsulation of IoT device data enabling the management of many different IoT protocols, for example Message Queuing Telemetry Transport (MQTT), Constrained Application Protocol (CoAP), etc. MQTT is a lightweight, publish-subscribe based messaging protocol designed for resource-constrained devices and where low-bandwidth, high latency is important. + +Constrained Application Protocol (CoAP) is a specialized Internet application protocol for constrained devices. It enables constrained devices to communicate with the wider internet. + +NOTE – This Recommendation is technically aligned with TMF 908 IoT Agent and Device Component Suite API Specification v1.0.1 [b-TMF 908]. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T X.733] Recommendation ITU-T X.733 (1992) | ISO/IEC ISO/IEC 10164-4:1992, *Information technology – Open Systems Interconnection – Systems Management: Alarm reporting function*. + +[3GPP TS 32.111-2] 3GPP TS 32.111-2 V10.1.0 (201103). Release 10, *Fault Management; Part 2: Alarm Integration Reference Point (IRP): Information Service (IS)*. + +# 3 Definitions + +None. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|---------|-----------------------------------------------------| +| 6LoWPAN | IPv6 over Low-Power Wireless Personal Area Networks | +| API | Application Programming Interface | +| CoAP | Constrained Application Protocol | +| EMS | Element Management System | +| GeoJSON | Geographic JavaScript Object Notation | + +| | | +|--------|----------------------------------------------------------| +| ID | Identifier | +| IoT | Internet of Things | +| MQTT | Message Queuing Telemetry Transport | +| MSISDN | Mobile Station International Subscriber Directory Number | +| NGSI | Next Generation Service Interface | +| REST | Representational State Transfer | +| RFSS | Radio Frequency Sub-System | +| OSS | Operations Support System | +| UDG | User Datagram Protocol (UDP) Datagram | +| URI | Uniform Resource Identifier | + +# 5 Conventions + +## 5.1 Support of polymorphism and extension patterns + +Support of polymorphic collections and types and schema-based extension is provided by means of a list of generic meta-attributes that are described below. Polymorphism in collections occurs when entities inherit from base entities, for instance a `BillingAccount` and `SettlementAccount` inheriting properties from the abstract `Account` entity. + +The `@type` attribute provides a way to represent the actual class type of an entity. For example, within a list of `Account` instances some may be instances of `BillingAccount` where other could be instances of `SettlementAccount`. The `@type` gives this information. All resources and sub-resources of this application programming interface (API) have `@type` attributes that can be provided when this is useful. + +The `@referredType` can be used within reference entities (like for instance an `AccountRef` object) to explicitly denote the actual entity type of the referred class. Notice that in reference entities the `@type`, when used, denotes the class type of the reference itself, such as `BillingAccountRef` or `SettlementAccountRef`, and not the class type of the referred object. However, since reference classes are rarely sub-classed, `@type` is generally not useful in reference objects. + +The `@schemaLocation` property can be used in resources to allow specifying user-defined properties of an Entity or to specify the expected *characteristics* of an entity. + +The `@baseType` attribute gives a way to provide explicitly the base of class of a given resource that has been extended. + +# 6 Resource model + +This API uses the GeoLocation Datamodel defined as follows: + +![UML class diagram for the TMForum Open-API for GeographicLocation. The diagram shows a hierarchy of classes: GeographicLocation is an abstract class with subclasses LineString, Polygon, Point, MultiLineString, MultiPoint, and Place. Place is further subclassed by Entity. GeographicLocation has attributes id, href, name, spatialRef, and @type. LineString and Polygon have a 'coordinates' property that points to 'lineString' and 'polygon' respectively. Point, MultiLineString, and MultiPoint have a 'coordinates' property that points to 'position', 'positionArray', and 'positionArray' respectively. A note for GeographicLocation states it is an abstract class that constrains @type to known GeoJSON types and adds spatialRef. A note for Entity states it is an abstract class that allows sub-typing. A legend indicates that JSON::number represents a single coordinate.](562f471e8153729557e6a4ee6343c32c_img.jpg) + +TMForum Open-API for GeographicLocation + +``` +classDiagram + class GeographicLocation { + id : String + href : String + name : String + spatialRef : String + @type : enum [ Point, MultiPoint, LineString, MultiLineString, Polygon ] + } + class LineString { + A collection of Points forming a connected line + @type : enum [ "LineString" ] + } + class Polygon { + An array of linear rings + @type : enum [ "Polygon" ] + } + class Point { + A single coordinate + @type : enum [ "Point" ] + } + class MultiLineString { + A collection of Points + @type : enum [ "MultiLineString" ] + } + class MultiPoint { + A collection of Points + @type : enum [ "MultiPoint" ] + } + class Place { + Place reference. Place defines the places where the products are sold or delivered + id : String + href : String + name : String + } + class Entity { + @type : String + @baseType : String + @schemaLocation : Uri + } + GeographicLocation <|-- LineString + GeographicLocation <|-- Polygon + GeographicLocation <|-- Point + GeographicLocation <|-- MultiLineString + GeographicLocation <|-- MultiPoint + GeographicLocation <|-- Place + Place <|-- Entity + + LineString --> lineString : coordinates + Polygon --> polygon : coordinates + Point --> position : coordinates + MultiLineString --> positionArray : coordinates + MultiPoint --> positionArray : coordinates +``` + +JSON::number +A single coordinate + +UML class diagram for the TMForum Open-API for GeographicLocation. The diagram shows a hierarchy of classes: GeographicLocation is an abstract class with subclasses LineString, Polygon, Point, MultiLineString, MultiPoint, and Place. Place is further subclassed by Entity. GeographicLocation has attributes id, href, name, spatialRef, and @type. LineString and Polygon have a 'coordinates' property that points to 'lineString' and 'polygon' respectively. Point, MultiLineString, and MultiPoint have a 'coordinates' property that points to 'position', 'positionArray', and 'positionArray' respectively. A note for GeographicLocation states it is an abstract class that constrains @type to known GeoJSON types and adds spatialRef. A note for Entity states it is an abstract class that allows sub-typing. A legend indicates that JSON::number represents a single coordinate. + +Figure 1 – TM Forum Open API for geographic location + +## 6.1 Managed Entity and Task Resource Models + +### 6.1.1 IoT device resource + +![Schematic diagram of the Managed entity and task resource model for IoT devices. The diagram shows a central 'lotDevice' entity connected to various other entities like Address, SubAddress, Configuration, Rule, GeographicLocation, ResourceRelationship, RelatedParty, Note, ResourceCharacteristic, DataAccessEndpoint, PartyRoleRef, and Place. Each entity is represented as a box containing its attributes and their data types. Relationships are indicated by arrows with labels and cardinalities.](cfda9df1319e04207eb28bcefd1dab7b_img.jpg) + +The diagram illustrates the Managed entity and task resource model for IoT devices. It features a central **lotDevice** entity connected to several other entities, each with its own set of attributes and data types. + +**Entities and their attributes:** + +- Address**: city : String, country : String, locality : String, postcode : String, stateOrProvince : String, streetName : String, streetNr : String, streetNrLast : String, streetNrLastSuffix : String, streetNrSuffix : String, streetType : String, @baseType : String, @schemaLocation : Uri, @type : String +- SubAddress**: buildingName : String, href : String, id : String, levelNumber : String, levelType : String, name : String, privateStreetName : String, privateStreetNumber : String, subAddressType : String, subUnitNumber : String, subUnitType : String, @baseType : String, @schemaLocation : Uri, @type : String +- Configuration**: @baseType : String, @schemaLocation : Uri, @type : String +- Rule**: @baseType : String, @schemaLocation : Uri, @type : String +- GeographicLocation**: href : String, id : String, name : String, @baseType : String, @schemaLocation : Uri, @type : String +- ResourceRelationship**: relationshipType : String, @baseType : String, @schemaLocation : Uri, @type : String +- RelatedParty**: href : String, id : String, name : String, role : String, @baseType : String, @referredType : String, @schemaLocation : Uri, @type : String +- Note**: author : String, date : DateTime, id : String, text : String, @baseType : String, @schemaLocation : Uri, @type : String +- ResourceCharacteristic**: name : String, value : String, @baseType : String, @schemaLocation : Uri, @type : String +- DataAccessEndpoint**: apiType : String, category : String, description : String, endDate : DateTime, href : String, id : String, lifecycleState : String, name : String, startDate : DateTime, uri : String, value : String, version : String, @baseType : String, @schemaLocation : Uri, @type : String +- PartyRoleRef**: href : String, id : String, name : String, partyId : String, partyName : String, @baseType : String, @referredType : String, @schemaLocation : Uri, @type : String +- Place**: href : String, id : String, name : String, @baseType : String, @schemaLocation : Uri, @type : String +- ResourceRef**: href : String, id : String, name : String, value : String, @baseType : String, @referredType : String, @schemaLocation : Uri, @type : String + +**Relationships and cardinalities:** + +- lotDevice** to **Address**: address (0..1) +- lotDevice** to **SubAddress**: subAddress (0..1) +- lotDevice** to **Configuration**: configuration (0..1) +- lotDevice** to **Rule**: rule (0..\*) +- lotDevice** to **GeographicLocation**: location (0..1) +- lotDevice** to **ResourceRelationship**: resourceRelationship (0..\*) +- lotDevice** to **RelatedParty**: relatedParty (0..\*) +- lotDevice** to **Note**: note (0..\*) +- lotDevice** to **ResourceCharacteristic**: characteristic (0..\*) +- lotDevice** to **DataAccessEndpoint**: dataAccessEndPoint (0..\*) +- lotDevice** to **PartyRoleRef**: partyRole (0..\*) +- lotDevice** to **Place**: place (0..1) +- ResourceRelationship** to **ResourceRef**: resource (0..1) +- ResourceRelationship** to **RelatedParty**: resourceRelationship (0..\*) +- ResourceRelationship** to **Note**: resourceRelationship (0..\*) +- ResourceRelationship** to **DataAccessEndpoint**: resourceRelationship (0..\*) +- ResourceRelationship** to **PartyRoleRef**: resourceRelationship (0..\*) +- ResourceRelationship** to **Place**: resourceRelationship (0..1) + +Schematic diagram of the Managed entity and task resource model for IoT devices. The diagram shows a central 'lotDevice' entity connected to various other entities like Address, SubAddress, Configuration, Rule, GeographicLocation, ResourceRelationship, RelatedParty, Note, ResourceCharacteristic, DataAccessEndpoint, PartyRoleRef, and Place. Each entity is represented as a box containing its attributes and their data types. Relationships are indicated by arrows with labels and cardinalities. + +Figure 2 – Managed entity and task resource model, schematic + +#### Field descriptions + +#### IoTDevice fields + +| | | +|-----------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| batteryLevel | A float. | +| dateFirstUsed | A date time (DateTime). | +| dateInstalled | A date time (DateTime). | +| dateLastCalibration | A date time (DateTime). | +| dateLastValueReported | A date time (DateTime). | +| dateManufactured | A date time (DateTime). | +| deviceState | A string. | +| deviceType | A string. NGSI Entity type. | +| firmwareVersion | A string. | +| hardwareVersion | A string. | +| mnc | A string. | +| osVersion | A string. | +| provider | A string. | +| serialNumber | A string. This is a string that represents a manufacturer-allocated number used to identify different instances of the same hardware item. The ModelNumber and PartNumber attributes are used to identify different types of hardware items. This is a REQUIRED attribute. | +| softwareVersion | A string. | +| value | A string. | +| alternateName | A string. | +| dataProvider | A string. | +| dateCreated | A date time (DateTime). | +| dateModified | A date time (DateTime). | +| description | A string. free-text description of the resource. | +| name | A string. A string used to give a name to the resource. | +| source | A string. | +| areaServed | A string. | +| category | A list of category types (CategoryType [1..*]). | +| description | A string. free-text description of the resource. | +| endDate | A date time (DateTime). A date time( DateTime). The date till the resource is effective. | +| href | A string. The URI for the object itself. | +| id | A string. Identifier of an instance of the resource. Required to be unique within the resource type. Used in URIs as the identifier for specific instances of a type. | +| lifecycleState | A string. The life cycle state of the resource. | + +| | | +|--------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| manufactureDate | A date time (DateTime). This is a string attribute that defines the date of manufacture of this item in the fixed format "dd/mm/yyyy". This is an optional attribute. | +| name | A string. A string used to give a name to the resource. | +| powerState | A string. This defines the current power status of the hardware item. Values include:

0: Unknown
1: Not Applicable
2: No Power Applied
3: Full Power Applied
4: Power Save - Normal
5: Power Save - Degraded
6: Power Save - Standby
7: Power Save - Critical
8: Power Save - Low Power Mode
9: Power Save - Unknown
10: Power Cycle
11: Power Warning
12: Power Off. | +| serialNumber | A string. This is a string that represents a manufacturer-allocated number used to identify different instances of the same hardware item. The ModelNumber and PartNumber attributes are used to identify different types of hardware items. This is a REQUIRED attribute. | +| startDate | A date time (DateTime). A date time ( DateTime). The date from which the resource is effective. | +| version | A string. A field that identifies the specific version of an instance of a resource. | +| versionNumber | A string. This is a string that identifies the version of this object. This is an optional attribute. | +| category | A list of category types (CategoryType [1..*]). | +| dataAccessEndPoint | A list of data access endpoints (DataAccessEndpoint [*]). This is the endpoint exposed by the IoT Device to authorized users. | +| location | A geographic location (GeographicLocation). A GeographicLocation is a pure-virtual super-class to the GeoJSON-aligned geometries of Point (addresses and locations), MultiPoint, LineString (streets, highways and boundaries), MultiLineString and Polygon (countries, provinces, tracts of land). Use the @type attribute to specify which of these is being specified by the geometry attribute. | +| configuration | A configuration (Configuration). | +| macAddress | A list of mac address types (MacAddressType [*]). | +| rule | A list of rules (Rule [*]). | +| address | An address (Address). Structured textual way of describing how to find a Property in an urban area (country properties are often defined differently).
Note: Address corresponds to SID UrbanPropertyAddress. | + +| | | +|----------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| location | A geographic location (GeographicLocation). A GeographicLocation is a pure-virtual super-class to the GeoJSON-aligned geometries of Point (addresses and locations), MultiPoint, LineString (streets, highways and boundaries), MultiLineString and Polygon (countries, provinces, tracts of land). Use the @type attribute to specify which of these is being specified by the geometry attribute. | +| characteristic | A list of resource characteristics (ResourceCharacteristic [*]). | +| note | A list of notes (Note [*]). Extra information about a given entity. | +| partyRole | A list of party role references (PartyRoleRef [*]). A party role represents the part played by a party in a given context. | +| place | A place (Place). Place reference. Place defines the places where the products are sold or delivered. | +| relatedParty | A list of related parties (RelatedParty [*]). Related Entity reference. A related party defines party or party role linked to a specific entity. | +| resourceRelationship | A list of resource relationships (ResourceRelationship [*]). Describes links between resources. | + +##### Address sub-resource + +Structured textual way of describing how to find a Property in an urban area (country properties are often defined differently). + +NOTE – Address corresponds to SID UrbanPropertyAddress. + +| | | +|--------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| city | A string. City that the address is in. | +| country | A string. Country that the address is in. | +| locality | A string. "An area of defined or undefined boundaries within a local authority or other legislatively defined area, usually rural or semi-rural in nature." [ANZLIC-STREET], or a suburb "a bounded locality within a city, town or shire principally of urban character " [ANZLICSTREET]. | +| postcode | A string. descriptor for a postal delivery area, used to speed and simplify the delivery of mail (also known as zipcode). | +| stateOrProvince | A string. the State or Province that the address is in. | +| streetName | A string. Name of the street or other street type. | +| streetNr | A string. Number identifying a specific property on a public street. It may be combined with streetNrLast for ranged addresses. | +| streetNrLast | A string. Last number in a range of street numbers allocated to a property. | +| streetNrLastSuffix | A string. Last street number suffix for a ranged address. | +| streetNrSuffix | A string. the first street number suffix. | +| streetSuffix | A string. A modifier denoting a relative direction. | +| streetType | A string. alley, avenue, boulevard, brae, crescent, drive, highway, lane, terrace, parade, place, tarn, way, wharf. | +| subAddress | A sub address (SubAddress). Within a property in an urban area, may refer to a building, building cluster, or a floor of a multistory building. | + +##### DataAccessEndpoint sub-resource + +This is the endpoint exposed by the IoT Device to authorized users. + +| | | +|----------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| category | A string. Category of the concrete resource, such as: Gold, Silver for MSISDN concrete resource. | +| description | A string. Free-text description of the resource. | +| endDate | A date time (DateTime). The date till the resource is effective. | +| href | A string. The URI for the object itself. | +| id | A string. Identifier of an instance of the resource. Required to be unique within the resource type. Used in URIs as the identifier for specific instances of a type. | +| lifecycleState | A string. The life cycle state of the resource. | +| name | A string. A string used to give a name to the resource. | +| startDate | A date time (DateTime). A date time (DateTime). The date from which the resource is effective. | +| value | A string. The value of the logical resource, such as: 0044746712345 for an MSISDN. | +| version | A string. A field that identifies the specific version of an instance of a resource. | +| apiType | A string. | +| uri | A string. URI for using the data access API. | +| characteristic | A list of resource characteristics (ResourceCharacteristic [*]). | +| note | A list of notes (Note [*]). Extra information about a given entity. | +| partyRole | A list of party role references (PartyRoleRef [*]). A party role represents the part played by a party in a given context. | +| place | A place (Place). Place reference. Place defines the places where the products are sold or delivered. | +| relatedParty | A list of related parties (RelatedParty [*]). Related Entity reference. A related party defines party or party role linked to a specific entity. | +| resourceRelationship | A list of resource relationships (ResourceRelationship [*]). Describes links between resources. | + +##### GeographicLocation sub-resource + +A GeographicLocation is a pure-virtual super-class to the GeoJSON-aligned geometries of Point (addresses and locations), MultiPoint, LineString (streets, highways and boundaries), MultiLineString and Polygon (countries, provinces, tracts of land). Use the @type attribute to specify which of these is being specified by the geometry attribute. + +| | | +|------|---------------------------------------------------------------------------------------------------| +| href | A string. An URI used to access to the geographic location resource. | +| id | A string. Unique identifier of the geographic location. | +| name | A string. A user-friendly name for the place, such as [Paris Store], [London Store], [Main Home]. | + +##### MacAddressType sub-resource + +MacAddressType      A string. + +##### Note sub-resource + +Extra information about a given entity. + +author                A string. Author of the note. +date                  A date time (DateTime). Date of the note. +id                     A string. Identifier of the note within its containing entity (may or may not be globally unique, depending on provider implementation). +text                  A string. Text of the note. + +##### Place sub-resource + +Place reference. Place defines the places where the products are sold or delivered. + +href                  A string. Unique reference of the place. +id                     A string. Unique identifier of the place. +name                  A string. A user-friendly name for the place, such as [Paris Store], [London Store], [Main Home]. + +##### RelatedParty sub-resource + +Related Entity reference. A related party defines party or party role linked to a specific entity. + +@referredType      A string. The actual type of the target instance when needed for disambiguation. +href                  A string. Reference of the related entity. +id                     A string. Unique identifier of a related entity. +name                  A string. Name of the related entity. +role                  A string. Role played by the related party. + +##### ResourceCharacteristic sub-resource + +name                  A string. name of the characteristic. +value                 A string. value of the characteristic. + +##### ResourceRelationship sub-resource + +Describes links between resources. + +relationshipType    A string. Semantic of the relationship. +resource            A resource reference (ResourceRef). A reference to the resource. + +##### SubAddress sub-resource + +Representation of a SubAddress. + +It is used for addressing within a property in an urban area (country properties are often defined differently). It may refer to a building, a building cluster, or a floor of a multistory building. + +buildingName        A string. Allows for buildings that have well-known names. +href                  A string. + +| | | +|---------------------|-----------------------------------------------------------------------------------------------------------------------------------------------| +| id | A string. Unique ID for this SubAddress. | +| levelNumber | A string. Used where a level type may be repeated e.g., BASEMENT 1, BASEMENT 2. | +| levelType | A string. Describes level types within a building. | +| name | A string. Name of the subAddress to identify it with a meaningful identification. | +| privateStreetName | A string. Private streets internal to a property (e.g., a university) may have internal names that are not recorded by the land title office. | +| privateStreetNumber | A string. Private streets numbers internal to a private street. | +| subAddressType | A string. The type of subaddress: it can be a subunit or a private street. | +| subUnitNumber | A string. The discriminator of the subunit, often just a simple number e.g., FLAT 5, may also be a range. | +| subUnitType | A string. The type of subunit, such as BERTH, FLAT, PIER, SUITE, SHOP, TOWER, UNIT, WHARF. | + +##### PartyRoleRef relationship + +Party role reference. A party role represents the part played by a party in a given context. + +| | | +|---------------|---------------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +| href | A string. Reference of the product. | +| id | A string. Unique identifier of the product. | +| name | A string. The name of the referred party role. | +| partyId | A string. The identifier of the engaged party that is linked to the PartyRole object. | +| partyName | A string. The name of the engaged party that is linked to the PartyRole object. | + +##### ResourceRef relationship + +| | | +|---------------|---------------------------------------------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +| href | A string. Reference of the related entity. | +| id | A string. Unique identifier of a related entity. | +| name | A string. Name of the resource. | +| value | A string. The resource value that can be used to identify a resource with a public key (e.g.: a tel nr, an msisdh). | + +#### **Json representation example** + +The following is an example json representation of an 'IotDevice' resource object + +``` +{ + "dateFirstUsed": "2019-05-13T00:00", + "dateInstalled": "2019-05-13T00:00", + "dateLastCalibration": "2019-05-13T00:00", + "dateLastValueReported": "2019-05-13T00:00", + "dateManufactured": "2019-05-13T00:00", +} +``` + +``` + +"deviceState": "ok", +"deviceType": "Temperature", +"firmwareVersion": "1.0.0", +"hardwareVersion": "1.0.0", +"mnc": "01", +"osVersion": "1.0.0", +"provider": "Mandat International", +"serialNumber": "12345", +"softwareVersion": "1.0.0", +"value": "0041227744222", +"alternateName": "CoAP temperature sensor 3", +"dataProvider": "https://www.mandint.org", +"dateCreated": "2019-05-13T00:00", +"dateModified": "2019-05-13T00:00", +"description": "This is a temperature sensor using CoAP and 6LoWPAN.", +"name": "temp_3", +"source": "coap://[2001:41e0:6002:1800:0:0:3]:61616/temp ", +"areaServed": "Switzerland ", +"category": "Gold ", +"endDate ": "2019-05-13T00:00", +"href ": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", +"lifecycleState": "InService", +"manufactureDate": "2019-05-13T00:00", +"powerState": "3", +"startDate": "2019-05-13T00:00", +"version": "1.0", +"versionNumber": "1.0.0", +"dataAccessEndPoint": { + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" +}, +"batteryLevel": 1.0, +"configuration": { + "timeout": 5, + "reportingPeriod ": 300 +}, +"macAddress": [ + "02:00:00:00:00:03" +], +"$id": "Device.schema.json", +"address": { + "addressLocality": "Geneva", + "postalCode": "1209", + "streetAddress": "Chemin du Champ-Baron 3" +}, +"location": { + "attrName": "position", + "coords": { + "type": "Point", + "coordinates": [ + 46.223064, + 6.1305982 + ] + } +} + +``` + +``` + + } + }, + "characteristic": [ + { + "name": "accuracy", + "value": "1.0" + } + ], + "note": [ + { + "author": "Cedric Crettaz", + "date": "2019-05-13T00:00", + "id": "txt001", + "text": "This is a CoAP temperature sensor." + } + ], + "partyRole": [ + { + "@referredType": "temperatureSensor", + "href": "https://www.mandint.org/temperatureSensor", + "id": "CoapTempSensor", + "name": "Mandat International", + "partyId": "MI", + "partyName": "Mandat International" + } + ], + "place": { + "href": "Chemin du Champ-Baron 3", + "id": "1209", + "name": "Geneva Office" + }, + "relatedParty": [ + { + "@referredType": "temperatureSensor", + "href": "https://www.mandint.org/temperatureSensor", + "id": "CoapTempSensor", + "name": "Mandat International", + "role": "vendor" + } + ], + "resourceRelationship": [ + { + "@Type": "IotAgent", + "href": "https://www.mandint.org/iotAgent", + "id": "MI", + "name": "UDG", + "value": "0041227744222" + } + ], + "iotAgent": [ + { + "name": "UDG", + "objectId": "udgmi", + "href": "https://www.mandint.org/iotAgent", + "@referredType": "IotAgent", + "dataAccessEndPoint": { + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + +``` + +``` + + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" + } +} +] +} + +``` + +#### Data access endpoint resource + +This is the endpoint exposed by the IoT Device to authorized users. + +#### Resource model + +![Schematic diagram of the Data access endpoint resource model showing relationships between DataAccessEndpoint and other resources.](10781f43062bf3e9601a1e086710556c_img.jpg) + +``` + +classDiagram + class DataAccessEndpoint { + apiType : String + category : String + description : String + endDate : DateTime + href : String + id : String + lifecycleState : String + name : String + startDate : DateTime + uri : String + value : String + version : String + @baseType : String + @schemaLocation : Uri + @type : String + } + class RelatedParty { + href : String + id : String + name : String + role : String + @baseType : String + @referredType : String + @schemaLocation : Uri + @type : String + } + class PartyRoleRef { + href : String + id : String + name : String + partyId : String + partyName : String + @baseType : String + @referredType : String + @schemaLocation : Uri + @type : String + } + class Note { + author : String + date : DateTime + id : String + text : String + @baseType : String + @schemaLocation : Uri + @type : String + } + class Place { + href : String + id : String + name : String + @baseType : String + @schemaLocation : Uri + @type : String + } + class ResourceCharacteristic { + name : String + value : String + @baseType : String + @schemaLocation : Uri + @type : String + } + class ResourceRelationship { + relationshipType : String + @baseType : String + @schemaLocation : Uri + @type : String + } + class ResourceRef { + href : String + id : String + name : String + value : String + @baseType : String + @referredType : String + @schemaLocation : Uri + @type : String + } + + DataAccessEndpoint "0..*" -- "0..*" RelatedParty : relatedParty + DataAccessEndpoint "0..*" -- "0..*" PartyRoleRef : partyRole + DataAccessEndpoint "0..*" -- "0..*" Note : note + DataAccessEndpoint "0..*" -- "0..1" Place : place + DataAccessEndpoint "0..*" -- "0..*" ResourceCharacteristic : characteristic + DataAccessEndpoint "0..*" -- "0..*" ResourceRelationship : resourceRelationship + ResourceRelationship "0..1" -- "0..1" ResourceRef : resource + +``` + +The diagram illustrates the Data access endpoint resource model. The central resource is **DataAccessEndpoint**, which has several associated resources: + +- RelatedParty**: A collection of 0..\* related parties, each with attributes like href, id, name, role, and various annotations. +- PartyRoleRef**: A collection of 0..\* party role references, including href, id, name, partyId, partyName, and annotations. +- Note**: A collection of 0..\* notes, with attributes like author, date, id, text, and annotations. +- Place**: A single place (0..1) associated with the endpoint, containing href, id, name, and annotations. +- ResourceCharacteristic**: A collection of 0..\* characteristics, with attributes like name, value, and annotations. +- ResourceRelationship**: A collection of 0..\* relationships, including relationshipType, baseType, schemaLocation, and type. It is linked to a **ResourceRef** (0..1) via a 'resource' relationship. + +Schematic diagram of the Data access endpoint resource model showing relationships between DataAccessEndpoint and other resources. + +Figure 3 – Data access endpoint resource model, schematic + +#### Field descriptions + +##### DataAccessEndpoint fields + +| | | +|----------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| category | A string. Category of the concrete resource, such as: Gold, Silver for MSISDN concrete resource. | +| description | A string. Free-text description of the resource. | +| endDate | A date time (DateTime). The date till the resource is effective. | +| href | A string. The URI for the object itself. | +| id | A string. Identifier of an instance of the resource. Required to be unique within the resource type. Used in URIs as the identifier for specific instances of a type. | +| lifecycleState | A string. The life cycle state of the resource. | +| name | A string. A string used to give a name to the resource. | +| startDate | A date time (DateTime). A date time (DateTime). The date from which the resource is effective. | +| value | A string. The value of the logical resource, such as: 0044746712345 for an MSISDN. | +| version | A string. A field that identifies the specific version of an instance of a resource. | +| apiType | A string. | +| uri | A string. URI for using the data access API. | +| characteristic | A list of resource characteristics (ResourceCharacteristic [*]). | +| note | A list of notes (Note [*]). Extra information about a given entity. | +| partyRole | A list of party role references (PartyRoleRef [*]). A party role represents the part played by a party in a given context. | +| place | A place (Place). Place reference. Place defines the places where the products are sold or delivered. | +| relatedParty | A list of related parties (RelatedParty [*]). Related Entity reference. A related party defines party or party role linked to a specific entity. | +| resourceRelationship | A list of resource relationships (ResourceRelationship [*]). Describes links between resources. | + +##### Note sub-resource + +Extra information about a given entity. + +| | | +|--------|------------------------------------------------------------------------------------------------------------------------------------------| +| author | A string. Author of the note. | +| date | A date time (DateTime). Date of the note. | +| id | A string. Identifier of the note within its containing entity (may or may not be globally unique, depending on provider implementation). | +| text | A string. Text of the note. | + +##### Place sub-resource + +Place reference. Place defines the places where the products are sold or delivered. + +| | | +|------|---------------------------------------------------------------------------------------------------| +| href | A string. Unique reference of the place. | +| id | A string. Unique identifier of the place. | +| name | A string. A user-friendly name for the place, such as [Paris Store], [London Store], [Main Home]. | + +##### RelatedParty sub-resource + +Related Entity reference. A related party defines party or party role linked to a specific entity. + +| | | +|---------------|----------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +| href | A string. Reference of the related entity. | +| id | A string. Unique identifier of a related entity. | +| name | A string. Name of the related entity. | +| role | A string. Role played by the related party. | + +##### ResourceCharacteristic sub-resource + +| | | +|-------|----------------------------------------| +| name | A string. name of the characteristic. | +| value | A string. value of the characteristic. | + +##### ResourceRelationship sub-resource + +Describes links between resources. + +| | | +|------------------|------------------------------------------------------------------| +| relationshipType | A string. Semantic of the relationship. | +| resource | A resource reference (ResourceRef). A reference to the resource. | + +##### PartyRoleRef relationship + +Party role reference. A party role represents the part played by a party in a given context. + +| | | +|---------------|---------------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +| href | A string. Reference of the product. | +| id | A string. Unique identifier of the product. | +| name | A string. The name of the referred party role. | +| partyId | A string. The identifier of the engaged party that is linked to the PartyRole object. | +| partyName | A string. The name of the engaged party that is linked to the PartyRole object. | + +##### ResourceRef relationship + +| | | +|---------------|----------------------------------------------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +| href | A string. Reference of the related entity. | +| id | A string. Unique identifier of a related entity. | +| name | A string. Name of the resource. | +| value | A string. The resource value that can be used to identify a resource with a public key (e.g.,: a tel nr, an msisdn). | + +##### **Json representation example** + +The following is an example json representation of a 'DataAccessEndpoint' resource object + +``` +{ + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" +} +``` + +### 6.1.2 Iot Device Specification resource + +#### Resource model + +![Schematic diagram of the IoT Device Specification Resource Model showing relationships between various resource types.](d734a6ea1b381280f043fcf70391b6db_img.jpg) + +``` + +graph TD + IotDeviceSpecification[IotDeviceSpecification +description : String +href : String +id : String +isBundle : Boolean +lastUpdate : DateTime +lifecycleStatus : String +name : String +validFor : TimePeriod +version : String +@baseType : String +@schemaLocation : Uri +@type : String] + + TargetServiceSchema[TargetServiceSchema +@baseType : String +@schemaLocation : String +@type : String] + IotDeviceSpecification -- "targetServiceSchema (0..1)" --> TargetServiceSchema + + ResourceSpecificationRef[ResourceSpecificationRef +href : String +id : String +name : String +version : String +@baseType : String +@referredType : String +@schemaLocation : Uri +@type : String] + IotDeviceSpecification -- "resourceSpecification (0..*)" --> ResourceSpecificationRef + + AttachmentRef[AttachmentRef +description : String +href : String +id : String +name : String +url : String +@baseType : String +@referredType : String +@schemaLocation : Uri +@type : String] + IotDeviceSpecification -- "attachment (0..*)" --> AttachmentRef + + RelatedParty[RelatedParty +href : String +id : String +name : String +role : String +@baseType : String +@referredType : String +@schemaLocation : Uri +@type : String] + IotDeviceSpecification -- "relatedParty (0..*)" --> RelatedParty + + ResourceSpecCharacteristic[ResourceSpecCharacteristic +configurable : Boolean +description : String +extensible : Boolean +isUnique : Boolean +maxCardinality : Integer +minCardinality : Integer +name : String +regex : String +validFor : TimePeriod +valueType : String +@baseType : String +@schemaLocation : Uri +@type : String +@valueSchemaLocation : String] + IotDeviceSpecification -- "resourceSpecCharacteristic (0..*)" --> ResourceSpecCharacteristic + + ResourceSpecRelationship[ResourceSpecRelationship +href : String +id : String +name : String +relationshipType : String +role : String +validFor : TimePeriod +@baseType : String +@schemaLocation : Uri +@type : String] + IotDeviceSpecification -- "resourceSpecRelationship (0..*)" --> ResourceSpecRelationship + + ResourceSpecCharacteristicValue[ResourceSpecCharacteristicValue +isDefault : Boolean +rangeInterval : String +regex : String +unitOfMeasure : String +validFor : TimePeriod +value : Any +valueFrom : Integer +valueTo : Integer +valueType : String +@baseType : String +@schemaLocation : Uri +@type : String] + ResourceSpecCharacteristic -- "resourceSpecCharacteristicValue (0..*)" --> ResourceSpecCharacteristicValue + + ResourceSpecCharRelationship[ResourceSpecCharRelationship +href : String +id : String +name : String +relationshipType : String +role : String +validFor : TimePeriod +@baseType : String +@schemaLocation : Uri +@type : String] + ResourceSpecCharacteristic -- "resourceSpecCharRelationship (0..*)" --> ResourceSpecCharRelationship + +``` + +The diagram illustrates the IoT Device Specification Resource Model. The central resource is **IotDeviceSpecification**, which has several relationships with other resources: + +- targetServiceSchema**: A 1-to-0..1 relationship with **TargetServiceSchema**. +- resourceSpecification**: A 1-to-0..\* relationship with **ResourceSpecificationRef**. +- attachment**: A 1-to-0..\* relationship with **AttachmentRef**. +- relatedParty**: A 1-to-0..\* relationship with **RelatedParty**. +- resourceSpecCharacteristic**: A 1-to-0..\* relationship with **ResourceSpecCharacteristic**. +- resourceSpecRelationship**: A 1-to-0..\* relationship with **ResourceSpecRelationship**. + +The **ResourceSpecCharacteristic** resource further has two relationships: + +- resourceSpecCharacteristicValue**: A 1-to-0..\* relationship with **ResourceSpecCharacteristicValue**. +- resourceSpecCharRelationship**: A 1-to-0..\* relationship with **ResourceSpecCharRelationship**. + +Each resource box contains its attributes, including standard ones like href, id, name, version, and @baseType, as well as specific ones like description, isBundle, lastUpdate, lifecycleStatus, validFor, configurable, extensible, isUnique, maxCardinality, minCardinality, regex, valueType, rangeInterval, unitOfMeasure, value, valueFrom, valueTo, and isDefault. + +Schematic diagram of the IoT Device Specification Resource Model showing relationships between various resource types. + +Figure 4 – IoT Device Specification Resource Model, Schematic + +#### Field descriptions + +#### IoTDeviceSpecification fields + +| | | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| description | A string. A narrative that explains in detail what the service specification is. | +| href | A string. Reference of the service specification. | +| id | A string. Unique identifier of the service specification. | +| isBundle | A boolean. isBundle determines whether a ServiceSpecification represents a single ServiceSpecification (false), or a bundle of ServiceSpecification (true). | +| lastUpdate | A date time (DateTime). Date and time of the last update of the service specification. | +| lifecycleStatus | A string. Used to indicate the current lifecycle status of the service specification. | +| name | A string. Name of the service specification. | +| version | A string. Service specification version. | +| attachment | A list of attachment references (AttachmentRef [*]). A list of attachments (Attachment [*]). Complements the description of the specification through video, pictures... | +| relatedParty | A list of related parties (RelatedParty [*]). A list of related party references (RelatedParty [*]). A related party defines party or party role linked to a specific entity. | +| resourceSpecCharacteristic | A list of resource spec characteristics (ResourceSpecCharacteristic [*]). A list of service spec characteristics (ServiceSpecCharacteristic [*]). This class represents the key features of this service specification. | +| resourceSpecRelationship | A list of resource spec relationships (ResourceSpecRelationship [*]). A list of resource specifications related to this specification, e.g., migration, substitution, dependency or exclusivity relationship. | +| resourceSpecification | A list of resource specification references (ResourceSpecificationRef [*]). A list of resource specification references (ResourceSpecificationRef [*]). The ResourceSpecification is required for a service specification with type ResourceFacingServiceSpecification (RFSS). | +| targetServiceSchema | A target service schema (TargetServiceSchema). A target service schema reference (TargetServiceSchemaRef). The reference object to the schema and type of target service which is described by service specification. | +| validFor | A time period. The period for which the service specification is valid. | + +##### RelatedParty sub-resource + +Related Entity reference. A related party defines party or party role linked to a specific entity. + +| | | +|---------------|----------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +|---------------|----------------------------------------------------------------------------------| + +| | | +|------|--------------------------------------------------| +| href | A string. Reference of the related entity. | +| id | A string. Unique identifier of a related entity. | +| name | A string. Name of the related entity. | +| role | A string. Role played by the related party. | + +##### ResourceSpecCharRelationship sub-resource + +An aggregation, migration, substitution, dependency or exclusivity relationship between/among resourceSpecCharacteristics. + +| | | +|------------------|-------------------------------------------------------------------------------------------------------| +| href | A string. Hyperlink reference to the target specification. | +| id | A string. Unique identifier of the target specification. | +| name | A string. Name of the target characteristic. | +| relationshipType | A string. Type of relationship such as aggregation, migration, substitution, dependency, exclusivity. | +| role | A string. The association role for this service specification. | +| validFor | A time period. The period for which the serviceSpecCharRelationship is valid. | + +#### ResourceSpecCharacteristic sub-resource + +This class represents the key features of this service specification. For example, bandwidth is a characteristic of many different types of services; if bandwidth is a relevant characteristic (e.g., from the point-of-view of a Customer obtaining this Service via a Product) then bandwidth would be a ServiceSpecCharacteristic for that particular Service. + +| | | +|----------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| @valueSchemaLocation | A string. This (optional) field provides a link to the schema describing the value type. | +| configurable | A boolean. If true, the Boolean indicates that the serviceSpecCharacteristic is configurable. | +| description | A string. A narrative that explains in detail what the serviceSpecCharacteristic is. | +| extensible | A boolean. An indicator that specifies that the values for the characteristic can be extended by adding new values when instantiating a characteristic for an Entity. | +| isUnique | A boolean. An indicator that specifies if a value is unique for the specification. Possible values are; "unique while value is in effect" and "unique whether value is in effect or not". | +| maxCardinality | An integer. The maximum number of instances a CharacteristicValue can take on. For example, zero to five phone numbers in a group calling plan, where five is the value for the maxCardinality. | +| minCardinality | An integer. The minimum number of instances a CharacteristicValue can take on. For example, zero to five phone numbers in a group calling plan, where zero is the value for the minCardinality. | + +| | | +|---------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| name | A string. A word, term, or phrase by which this characteristic specification is known and distinguished from other characteristic specifications. | +| regex | A string. A rule or principle represented in regular expression used to derive the value of a characteristic value. | +| resourceSpecCharRelationship | A list of resource spec char relationships (ResourceSpecCharRelationship [*]). A list of resource spec char relationships (ResourceSpecCharRelationship [*]). An aggregation, migration, substitution, dependency or exclusivity relationship between/among Specification Characteristics. | +| resourceSpecCharacteristicValue | A list of resource spec characteristic values (ResourceSpecCharacteristicValue [*]). A list of resource spec characteristic values (ResourceSpecCharacteristicValue [*]). A ResourceSpecCharacteristicValue object is used to define a set of attributes, each of which can be assigned to a corresponding set of attributes in a ResourceSpecCharacteristic object. The values of the attributes in the ResourceSpecCharacteristicValue object describe the values of the attributes that a corresponding ResourceSpecCharacteristic object can take on. | +| validFor | A time period. The period for which the serviceSpecCharacteristic is valid. | +| valueType | A string. A kind of value that the characteristic can take on, such as numeric, text and so forth. | + +##### ResourceSpecCharacteristicValue sub-resource + +A ResourceSpecCharacteristicValue object is used to define a set of attributes, each of which can be assigned to a corresponding set of attributes in a ResourceSpecCharacteristic object. The values of the attributes in the ResourceSpecCharacteristicValue object describe the values of the attributes that a corresponding ResourceSpecCharacteristic object can take on. + +| | | +|---------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| isDefault | A boolean. Indicates if the value is the default value for a characteristic. | +| rangeInterval | A string. An indicator that specifies the inclusion or exclusion of the valueFrom and valueTo attributes. If applicable, possible values are "open", "closed", "closedBottom" and "closedTop". | +| regex | A string. A regular expression constraint for given value. | +| unitOfMeasure | A string. A length, surface, volume, dry measure, liquid measure, money, weight, time, and the like. In general, a determinate quantity or magnitude of the kind designated, taken as a standard of comparison for others of the same kind, in assigning to them numerical values, as 1 foot, 1 yard, 1 mile, 1 square foot. | +| validFor | A time period. The period of time for which a value is applicable. | +| value | An any (Any). A discrete value that the characteristic can take on, or the actual value of the characteristic. | +| valueFrom | An integer. The low range value that a characteristic can take on. | +| valueTo | An integer. The upper range value that a characteristic can take on. | + +| | | +|-----------|-----------------------------------------------------------------------------------------------------| +| valueType | A string. A kind of value that the characteristic can take on, such as numeric, text, and so forth. | +|-----------|-----------------------------------------------------------------------------------------------------| + +##### ResourceSpecRelationship sub-resource + +A migration, substitution, dependency or exclusivity relationship between/among Resource specifications. + +| | | +|------------------|------------------------------------------------------------------------------------------| +| href | A string. Reference of the target ResourceSpecification. | +| id | A string. Unique identifier of the target ResourceSpecification. | +| name | A string. The name given to the target Resource specification instance. | +| relationshipType | A string. Type of relationship such as migration, substitution, dependency, exclusivity. | +| role | A string. The association role for this Resource specification. | +| validFor | A time period. The period for which the ResourceSpecRelationship is valid. | + +##### TargetServiceSchema sub-resource + +The reference object to the schema and type of target service which is described by service specification. + +| | | +|-----------------|-----------------------------------------------------------------------------------| +| @schemaLocation | A string. This field provides a link to the schema describing the target service. | +| @type | A string. Class type of the target service. | + +##### AttachmentRef relationship + +Attachment reference. An attachment complements the description of an element (for instance a product) through video, pictures. + +| | | +|---------------|----------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +| href | A string. URL serving as reference for the attachment resource. | +| id | A string. Unique-Identifier for this attachment. | +| name | A string. Name of the related entity. | +| description | A string. A narrative text describing the content of the attachment. | +| url | A string. Link to the attachment media/content. | + +##### ResourceSpecificationRef relationship + +Resource Specification reference: The ResourceSpecification is required to realize a ProductSpecification. + +| | | +|---------------|----------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +| href | A string. Reference of the resource specification. | +| id | A string. Unique identifier of the resource specification. | +| name | A string. Name of the requiredResourceSpecification. | +| version | A string. Resource specification version. | + +#### Json representation example + +The following is an example json representation of an 'IotDeviceSpecification' resource object + +``` +{ + "description": "This iot device specification ...", + "href": "https://host:port/tmf-api/iotDeviceSpecification/v1/iotDeviceSpecification/4976", + "id": "4976", + "isBundle": true, + "lastUpdate": "2019-10-03T00:00", + "lifecycleStatus": "a string ...", + "name": "a string ...", + "version": "a string ...", + "attachment": [ + {} + ], + "relatedParty": [ + {} + ], + "resourceSpecRelationship": [ + {} + ], + "resourceSpecCharacteristic": [ + {} + ], + "resourceSpecification": [ + {} + ], + "targetServiceSchema": {}, + "validFor": {} +} +``` + +### 6.1.3 Iot Data Event resource + +#### Resource model + +![Schematic diagram of the IoT Data Event Resource Model. It shows a box titled 'IotDataEvent' containing a list of attributes: correlationId, description, domain, event, eventId, eventTime, eventType, priority, timeOcurrred, title, @baseType, @schemaLocation, and @type.](759c7d62402f0b4651ddce292be5bdef_img.jpg) + +| IotDataEvent | +|-------------------------| +| correlationId : String | +| description : String | +| domain : String | +| event : Any | +| eventId : String | +| eventTime : DateTime | +| eventType : String | +| priority : String | +| timeOcurrred : DateTime | +| title : String | +| @baseType : String | +| @schemaLocation : Uri | +| @type : String | + +Schematic diagram of the IoT Data Event Resource Model. It shows a box titled 'IotDataEvent' containing a list of attributes: correlationId, description, domain, event, eventId, eventTime, eventType, priority, timeOcurrred, title, @baseType, @schemaLocation, and @type. + +Figure 5 – IoT Data Event Resource Model, Schematic + +#### Field descriptions + +#### IotDataEvent fields + +| | | +|---------------|-------------------------------------------------------| +| correlationId | A string. The correlation id for this event. | +| description | A string. An explanatory of the event. | +| domain | A string. The domain of the event. | +| eventId | A string. The identifier of the notification. | +| eventTime | A date time (DateTime). Time of the event occurrence. | +| eventType | A string. The type of the notification. | +| priority | A string. A priority. | +| timeOccurred | A date time (DateTime). The time the event occurred. | +| title | A string. The title of the event. | +| event | An any (Any). | + +#### Json representation example + +The following is an example json representation of an 'IotDataEvent' resource object + +``` +{ + "correlationId": "413", + "description": "This iot data event ...", + "domain": "a string ...", + "eventId": "374", + "eventTime": "2019-10-03T00:00", + "eventType": "a string ...", + "priority": "a string ...", + "timeOccurred": "2019-10-03T00:00", + "title": "a string ...", + "event": {} +} +``` + +### 6.1.4 Iot Management Event resource + +Generic IotManagementEvent structure used to define commonalities between sub concepts of PartyIotManagementEvent and Financial IotManagementEvent. + +#### Resource model + +![Schematic diagram of the IoT Management Event Resource Model. It shows a box titled 'IotManagementEvent' containing a list of fields with their data types: correlationId : String, description : String, domain : String, event : Any, eventId : String, eventTime : DateTime, eventType : String, priority : String, timeOccurred : DateTime, title : String, @baseType : String, @schemaLocation : Uri, and @type : String.](5414f65867392f05ba0063b208eeb5e1_img.jpg) + +``` + +IotManagementEvent +correlationId : String +description : String +domain : String +event : Any +eventId : String +eventTime : DateTime +eventType : String +priority : String +timeOccurred : DateTime +title : String +@baseType : String +@schemaLocation : Uri +@type : String + +``` + +Schematic diagram of the IoT Management Event Resource Model. It shows a box titled 'IotManagementEvent' containing a list of fields with their data types: correlationId : String, description : String, domain : String, event : Any, eventId : String, eventTime : DateTime, eventType : String, priority : String, timeOccurred : DateTime, title : String, @baseType : String, @schemaLocation : Uri, and @type : String. + +Figure 6 – IoT Management Event Resource Model, Schematic + +#### Field descriptions + +#### *IotManagementEvent* fields + +| | | +|---------------|-------------------------------------------------------| +| correlationId | A string. The correlation id for this event. | +| description | A string. | +| domain | A string. The domain of the event. | +| eventId | A string. The identifier of the notification. | +| eventTime | A date time (DateTime). Time of the event occurrence. | +| eventType | A string. The type of the notification. | +| priority | A string. A priority. | +| timeOccurred | A date time (DateTime). The time the event occurred. | +| title | A string. The title of the event. | +| description | A string. | +| event | An any (Any). | + +#### Json representation example + +The following is an example json representation of an 'IotManagementEvent' resource object + +``` +{ + "correlationId": "423", + "description": "This iot management event ...", + "domain": "a string ...", + "eventId": "536", + "eventTime": "2019-10-03T00:00", + "eventType": "a string ...", + "priority": "a string ...", + "timeOccurred": "2019-10-03T00:00", + "title": "a string ...", + "event": {} +} +``` + +### 6.1.5 Resource Specification resource + +ResourceSpecification is a class that offers characteristics to describe a type of service. Functionally, it acts as a template by which Services may be instantiated. By sharing the same specification, these services would therefore share the same set of characteristics. + +#### Resource model + +![Schematic diagram of the Resource Specification Model showing the relationships between ResourceSpecification and its associated classes.](00504fc688ebcf131ccbeff94dfc9939_img.jpg) + +``` + +classDiagram + class ResourceSpecification { + description : String + href : String + id : String + isBundle : Boolean + lastUpdate : DateTime + lifecycleStatus : String + name : String + validFor : TimePeriod + version : String + @baseType : String + @schemaLocation : Uri + @type : String + } + class TargetServiceSchema { + @baseType : String + @schemaLocation : String + @type : String + } + class ResourceSpecificationRef { + href : String + id : String + name : String + version : String + @baseType : String + @referredType : String + @schemaLocation : Uri + @type : String + } + class AttachmentRef { + description : String + href : String + id : String + name : String + url : String + @baseType : String + @referredType : String + @schemaLocation : Uri + @type : String + } + class RelatedParty { + href : String + id : String + name : String + role : String + @baseType : String + @referredType : String + @schemaLocation : Uri + @type : String + } + class ResourceSpecCharacteristic { + configurable : Boolean + description : String + extensible : Boolean + isUnique : Boolean + maxCardinality : Integer + minCardinality : Integer + name : String + regex : String + validFor : TimePeriod + valueType : String + @baseType : String + @schemaLocation : Uri + @type : String + @valueSchemaLocation : String + } + class ResourceSpecRelationship { + href : String + id : String + name : String + relationshipType : String + role : String + validFor : TimePeriod + @baseType : String + @schemaLocation : Uri + @type : String + } + class ResourceSpecCharacteristicValue { + isDefault : Boolean + rangeInterval : String + regex : String + unitOfMeasure : String + validFor : TimePeriod + value : Any + valueFrom : Integer + valueTo : Integer + valueType : String + @baseType : String + @schemaLocation : Uri + @type : String + } + class ResourceSpecCharRelationship { + href : String + id : String + name : String + relationshipType : String + role : String + validFor : TimePeriod + @baseType : String + @schemaLocation : Uri + @type : String + } + + ResourceSpecification "0..1" --> TargetServiceSchema : targetServiceSchema + ResourceSpecification "0..*" --> ResourceSpecificationRef : resourceSpecification + ResourceSpecification "0..*" --> AttachmentRef : attachment + ResourceSpecification "0..*" --> RelatedParty : relatedParty + ResourceSpecification "0..*" --> ResourceSpecCharacteristic : resourceSpecCharacteristic + ResourceSpecification "0..*" --> ResourceSpecRelationship : resourceSpecRelationship + ResourceSpecCharacteristic "0..*" --> ResourceSpecCharacteristicValue : resourceSpecCharacteristicValue + ResourceSpecCharacteristic "0..*" --> ResourceSpecCharRelationship : resourceSpecCharRelationship + +``` + +The diagram illustrates the Resource Specification Model. The central class, **ResourceSpecification**, is connected to several other classes: + +- TargetServiceSchema**: Connected via the **targetServiceSchema** relationship (0..1 to 1). +- ResourceSpecificationRef**: Connected via the **resourceSpecification** relationship (0..\* to 1). +- AttachmentRef**: Connected via the **attachment** relationship (0..\* to 1). +- RelatedParty**: Connected via the **relatedParty** relationship (0..\* to 1). +- ResourceSpecCharacteristic**: Connected via the **resourceSpecCharacteristic** relationship (0..\* to 1). +- ResourceSpecRelationship**: Connected via the **resourceSpecRelationship** relationship (0..\* to 1). + +The **ResourceSpecCharacteristic** class is further connected to: + +- ResourceSpecCharacteristicValue**: Connected via the **resourceSpecCharacteristicValue** relationship (0..\* to 1). +- ResourceSpecCharRelationship**: Connected via the **resourceSpecCharRelationship** relationship (0..\* to 1). + +Each class contains a set of attributes, including standard ones like **href**, **id**, **name**, **version**, **validFor**, **@baseType**, **@schemaLocation**, and **@type**, as well as specific ones like **description**, **isBundle**, **lastUpdate**, **lifecycleStatus**, **url**, **role**, **relationshipType**, **regex**, **rangeInterval**, **unitOfMeasure**, **value**, **valueFrom**, **valueTo**, **isDefault**, and **valueType**. + +Schematic diagram of the Resource Specification Model showing the relationships between ResourceSpecification and its associated classes. + +Figure 7 – Resource Specification Model, Schematic + +#### Field descriptions + +#### ResourceSpecification fields + +| | | +|----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| attachment | A list of attachment references (AttachmentRef [*]). A list of attachments (Attachment [*]). Complements the description of the specification through video, pictures... | +| description | A string. A narrative that explains in detail what the service specification is. | +| href | A string. Reference of the service specification. | +| id | A string. Unique identifier of the service specification. | +| isBundle | A boolean. isBundle determines whether a ServiceSpecification represents a single ServiceSpecification (false), or a bundle of ServiceSpecification (true). | +| lastUpdate | A date time (DateTime). Date and time of the last update of the service specification. | +| lifecycleStatus | A string. Used to indicate the current lifecycle status of the service specification. | +| name | A string. Name of the service specification. | +| relatedParty | A list of related parties (RelatedParty [*]). A list of related party references (RelatedParty [*]). A related party defines party or party role linked to a specific entity. | +| resourceSpecCharacteristic | A list of resource spec characteristics (ResourceSpecCharacteristic [*]). A list of service spec characteristics (ServiceSpecCharacteristic [*]). This class represents the key features of this service specification. | +| resourceSpecRelationship | A list of resource spec relationships (ResourceSpecRelationship [*]). A list of resource specifications related to this specification, e.g., migration, substitution, dependency or exclusivity relationship. | +| resourceSpecification | A list of resource specification references (ResourceSpecificationRef [*]). A list of resource specification references (ResourceSpecificationRef [*]). The ResourceSpecification is required for a service specification with type ResourceFacingServiceSpecification (RFSS). | +| targetServiceSchema | A target service schema (TargetServiceSchema). A target service schema reference (TargetServiceSchemaRef). The reference object to the schema and type of target service which is described by service specification. | +| validFor | A time period. The period for which the service specification is valid. | +| version | A string. Service specification version. | + +##### RelatedParty sub-resource + +Related Entity reference. A related party defines party or party role linked to a specific entity. + +| | | +|---------------|----------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +|---------------|----------------------------------------------------------------------------------| + +| | | +|------|--------------------------------------------------| +| href | A string. Reference of the related entity. | +| id | A string. Unique identifier of a related entity. | +| name | A string. Name of the related entity. | +| role | A string. Role played by the related party. | + +##### ResourceSpecCharRelationship sub-resource + +An aggregation, migration, substitution, dependency or exclusivity relationship between/among resourceSpecCharacteristics. + +| | | +|------------------|-------------------------------------------------------------------------------------------------------| +| href | A string. Hyperlink reference to the target specification. | +| id | A string. Unique identifier of the target specification. | +| name | A string. Name of the target characteristic. | +| relationshipType | A string. Type of relationship such as aggregation, migration, substitution, dependency, exclusivity. | +| role | A string. The association role for this service specification. | +| validFor | A time period. The period for which the serviceSpecCharRelationship is valid. | + +#### ResourceSpecCharacteristic sub-resource + +This class represents the key features of this service specification. For example, bandwidth is a characteristic of many different types of services; if bandwidth is a relevant characteristic (e.g., from the point-of-view of a Customer obtaining this Service via a Product) then bandwidth would be a ServiceSpecCharacteristic for that particular Service. + +| | | +|----------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| @valueSchemaLocation | A string. This (optional) field provides a link to the schema describing the value type. | +| configurable | A boolean. If true, the Boolean indicates that the serviceSpecCharacteristic is configurable. | +| description | A string. A narrative that explains in detail what the serviceSpecCharacteristic is. | +| extensible | A boolean. An indicator that specifies that the values for the characteristic can be extended by adding new values when instantiating a characteristic for an Entity. | +| isUnique | A boolean. An indicator that specifies if a value is unique for the specification. Possible values are; "unique while value is in effect" and "unique whether value is in effect or not". | +| maxCardinality | An integer. The maximum number of instances a CharacteristicValue can take on. For example, zero to five phone numbers in a group calling plan, where five is the value for the maxCardinality. | +| minCardinality | An integer. The minimum number of instances a CharacteristicValue can take on. For example, zero to five phone numbers in a group calling plan, where zero is the value for the minCardinality. | + +| | | +|---------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| name | A string. A word, term, or phrase by which this characteristic specification is known and distinguished from other characteristic specifications. | +| regex | A string. A rule or principle represented in regular expression used to derive the value of a characteristic value. | +| resourceSpecCharRelationship | A list of resource spec char relationships (ResourceSpecCharRelationship [*]). A list of resource spec char relationships (ResourceSpecCharRelationship [*]). An aggregation, migration, substitution, dependency or exclusivity relationship between/among Specification Characteristics. | +| resourceSpecCharacteristicValue | A list of resource spec characteristic values (ResourceSpecCharacteristicValue [*]). A list of resource spec characteristic values (ResourceSpecCharacteristicValue [*]). A ResourceSpecCharacteristicValue object is used to define a set of attributes, each of which can be assigned to a corresponding set of attributes in a ResourceSpecCharacteristic object. The values of the attributes in the ResourceSpecCharacteristicValue object describe the values of the attributes that a corresponding ResourceSpecCharacteristic object can take on. | +| validFor | A time period. The period for which the serviceSpecCharacteristic is valid. | +| valueType | A string. A kind of value that the characteristic can take on, such as numeric, text and so forth. | + +##### ResourceSpecCharacteristicValue sub-resource + +A ResourceSpecCharacteristicValue object is used to define a set of attributes, each of which can be assigned to a corresponding set of attributes in a ResourceSpecCharacteristic object. The values of the attributes in the ResourceSpecCharacteristicValue object describe the values of the attributes that a corresponding ResourceSpecCharacteristic object can take on. + +| | | +|---------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| isDefault | A boolean. Indicates if the value is the default value for a characteristic. | +| rangeInterval | A string. An indicator that specifies the inclusion or exclusion of the valueFrom and valueTo attributes. If applicable, possible values are "open", "closed", "closedBottom" and "closedTop". | +| regex | A string. A regular expression constraint for given value. | +| unitOfMeasure | A string. A length, surface, volume, dry measure, liquid measure, money, weight, time, and the like. In general, a determinate quantity or magnitude of the kind designated, taken as a standard of comparison for others of the same kind, in assigning to them numerical values, as 1 foot, 1 yard, 1 mile, 1 square foot. | +| validFor | A time period. The period of time for which a value is applicable. | +| value | An any (Any). A discrete value that the characteristic can take on, or the actual value of the characteristic. | +| valueFrom | An integer. The low range value that a characteristic can take on. | +| valueTo | An integer. The upper range value that a characteristic can take on. | + +| | | +|-----------|-----------------------------------------------------------------------------------------------------| +| valueType | A string. A kind of value that the characteristic can take on, such as numeric, text, and so forth. | +|-----------|-----------------------------------------------------------------------------------------------------| + +##### ResourceSpecRelationship sub-resource + +A migration, substitution, dependency or exclusivity relationship between/among Resource specifications. + +| | | +|------------------|------------------------------------------------------------------------------------------| +| href | A string. Reference of the target ResourceSpecification. | +| id | A string. Unique identifier of the target ResourceSpecification. | +| name | A string. The name given to the target Resource specification instance. | +| relationshipType | A string. Type of relationship such as migration, substitution, dependency, exclusivity. | +| role | A string. The association role for this Resource specification. | +| validFor | A time period. The period for which the ResourceSpecRelationship is valid. | + +##### TargetServiceSchema sub-resource + +The reference object to the schema and type of target service which is described by service specification. + +| | | +|-----------------|-----------------------------------------------------------------------------------| +| @schemaLocation | A string. This field provides a link to the schema describing the target service. | +| @type | A string. Class type of the target service. | + +##### AttachmentRef relationship + +Attachment reference. An attachment complements the description of an element (for instance a product) through video, pictures. + +| | | +|---------------|----------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +| href | A string. URL serving as reference for the attachment resource. | +| id | A string. Unique-Identifier for this attachment. | +| name | A string. Name of the related entity. | +| description | A string. A narrative text describing the content of the attachment. | +| url | A string. Link to the attachment media/content. | + +#### ResourceSpecificationRef relationship + +Resource Specification reference: The ResourceSpecification is required to realize a ProductSpecification. + +| | | +|---------------|----------------------------------------------------------------------------------| +| @referredType | A string. The actual type of the target instance when needed for disambiguation. | +| href | A string. Reference of the resource specification. | +| id | A string. Unique identifier of the resource specification. | +| name | A string. Name of the requiredResourceSpecification. | +| version | A string. Resource specification version. | + +#### Json representation example + +The following is an example json representation of a 'ResourceSpecification' resource object + +``` +{ + "href": "https://mycsp.com:8080/tmf-api/resourceCatalogManagement/v3/resourceSpecification/42", + "id": "42", + "name": "Firewall", + "version": "1.0", + "@referredType": "ResourceFunctionSpec" +} +``` + +### 6.1.6 Alarm resource + +This resource represents an alarm supporting the information model defined in [ITU-T X.733]. + +#### Resource model + +![Schematic diagram of the Alarm Resource Model showing the central Alarm resource and its relationships with AlarmedObject, AffectedService, Comment, ParentAlarm, CorrelatedAlarm, and CrossedThresholdInformation.](78ff716475b2f65bf01c3a4d02d89fc4_img.jpg) + +``` +graph TD + Alarm[Alarm] -- "0..1 alarmedObject" --> AlarmedObject[AlarmedObject] + Alarm -- "0..* affectedService" --> AffectedService[AffectedService] + Alarm -- "0..* comments" --> Comment[Comment] + Alarm -- "0..* parentAlarm" --> ParentAlarm[ParentAlarm] + Alarm -- "0..* correlatedAlarm" --> CorrelatedAlarm[CorrelatedAlarm] + Alarm -- "0..1 crossedThresholdInformation" --> CrossedThresholdInformation[CrossedThresholdInformation] +``` + +The diagram illustrates the Alarm Resource Model, centered around the **Alarm** resource, which is connected to six other resources via directed relationships. + +**Alarm** resource attributes: + +- ackState : String +- ackSystemId : String +- ackUserId : String +- alarmChangedTime : DateTime +- alarmClearedTime : DateTime +- alarmDetails : String +- alarmEscalation : String +- alarmRaisedTime : DateTime +- alarmReportingTime : DateTime +- alarmType : String +- alarmedObjectType : String +- clearSystemId : String +- clearUserId : String +- externalAlarmId : String +- href : String +- id : Integer +- isRootCause : Boolean +- perceivedSeverity : String +- plannedOutageIndicator : String +- probableCause : String +- proposedRepairedActions : String +- serviceAffecting : String +- sourceSystemId : String +- specificProblem : String +- state : String +- @baseType : String +- @schemaLocation : String +- @type : String + +**AlarmedObject** resource attributes: + +- href : String +- id : String +- @baseType : String +- @schemaLocation : Uri +- @type : String + +**AffectedService** resource attributes: + +- href : String +- id : String +- @baseType : String +- @schemaLocation : Uri +- @type : String + +**Comment** resource attributes: + +- comment : String +- systemId : String +- time : DateTime +- userId : String +- @baseType : String +- @schemaLocation : Uri +- @type : String + +**ParentAlarm** resource attributes: + +- href : String +- id : String +- @baseType : String +- @schemaLocation : Uri +- @type : String + +**CorrelatedAlarm** resource attributes: + +- href : String +- id : String +- @baseType : String +- @schemaLocation : Uri +- @type : String + +**CrossedThresholdInformation** resource attributes: + +- direction : String +- granularity : String +- indicatorName : String +- indicatorUnit : String +- observedValue : String +- thresholdCrossingDescription : String +- thresholdId : String +- thresholdRef : String +- @baseType : String +- @schemaLocation : Uri +- @type : String + +**Relationships:** + +- alarmedObject**: Alarm (0..1) to AlarmedObject +- affectedService**: Alarm (0..\*) to AffectedService +- comments**: Alarm (0..\*) to Comment +- parentAlarm**: Alarm (0..\*) to ParentAlarm +- correlatedAlarm**: Alarm (0..\*) to CorrelatedAlarm +- crossedThresholdInformation**: Alarm (0..1) to CrossedThresholdInformation + +Schematic diagram of the Alarm Resource Model showing the central Alarm resource and its relationships with AlarmedObject, AffectedService, Comment, ParentAlarm, CorrelatedAlarm, and CrossedThresholdInformation. + +Figure 8 – Alarm Resource Model, Schematic + +#### Field descriptions + +#### Alarm fields + +| | | +|--------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| @baseType | A string. The base type of this alarm. | +| @schemaLocation | A string. A reference to the schema describing this alarm. | +| @type | A string. The type for this alarm. | +| ackState | A string. Provides the Acknowledgement State of the alarm
ACKNOWLEDGED, UNACKNOWLEDGED. | +| ackSystemId | A string. Provides the name of the system that last changed the
ackState of an alarm, i.e., acknowledged or unacknowledged the
alarm. | +| ackUserId | A string. Provides the id of the user who has last changed the ack
state of the alarm, i.e., acknowledged or unacknowledged the
alarm. | +| affectedService | A list of affected services (AffectedService [*]). | +| alarmChangedTime | A date time (DateTime). Indicates the last date and time when the
alarm is changed on the alarm-owning system. Any change to the
alarm whether coming from the alarmed resource or triggered by
a change from the client is changing this time. | +| alarmClearedTime | A date time (DateTime). Indicates the time (as a date + time) at
which the alarm is cleared at the source. | +| alarmDetails | A string. Contains further information on the alarm. | +| alarmEscalation | A string. Indicates if this alarm has been escalated or not. | +| alarmRaisedTime | A date time (DateTime). Indicates the time (as a date + time) at
which the alarm occurred at its source. | +| alarmReportingTime | A date time (DateTime). Indicates the time (as a date + time) at
which the alarm was reported by the owning OSS. It might be
different from the alarmRaisedTime. For instance, if the alarm list
is maintained by an EMS, the alarmRaisedtime would be the time
the alarm was detected by the NE, while the alarmReportingTime
would be the time this alarm was stored in the alarm list of the
EMS. | +| alarmType | A string. Categorize the alarm. Should be one of the values
defined in clause 8.1.1 of [ITU-T X.733] or Annex A of
[3GPP TS 32.111-2]:
Communications Alarm
Processing Error Alarm
Environmental Alarm
Quality of Service Alarm
Equipment Alarm
Integrity Violation
Operational Violation
Physical Violation
Security Service or Mechanism Violation
Time Domain Violation. | + +| | | +|-----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| alarmedObject | An alarmed object (AlarmedObject). Identifies the managed object instance associated with the alarm. | +| alarmedObjectType | A string. The type (class) of the managed object associated with the event. | +| clearSystemId | A string. Provides the id of the system where the user who invoked the alarmCleared operation is located. | +| clearUserId | A string. Provides the id of the user who invoked the alarmCleared operation. | +| comments | A list of comments (Comment [*]). Indicates the comments entered on the alarm. | +| correlatedAlarm | A list of correlated alarms (CorrelatedAlarm [*]). Indicates the alarms attached to this alarm as correlated alarms from a correlation point of view. An alarm can be correlated to one or more underlying alarms. There might be multiple levels of alarm correlation and an underlying alarm in one relation can be itself a parent alarm for other underlying alarms. | +| crossedThresholdInformation | A crossed threshold information (CrossedThresholdInformation). Identifies the details of the threshold that has been crossed. | +| externalAlarmId | A string. An identifier of the alarm in the source system. | +| href | A string. A reference to the alarm. | +| id | An integer. Identifier of the alarm, determined by the alarm owning system. | +| isRootCause | A boolean. Indicates whether the alarm is a root cause alarm. | +| parentAlarm | A list of parent alarms (ParentAlarm [*]). Indicates the alarms attached to this alarm as parent alarms from a correlation point of view. | +| perceivedSeverity |

A string. Lists the possible severities that can be allocated to an Alarm. The values are consistent with [ITU-T X.733]:

CRITICAL
MAJOR
MINOR
WARNING
INDETERMINATE
CLEARED

Once an alarm has been cleared, its perceived severity is set to CLEARED and can no longer be set.

| +| plannedOutageIndicator | A string. Indicates that the Managed Object (related to this alarm) is in planned outage (in planned maintenance, or out-of-service). | +| probableCause | A string. Provides the probable cause of the alarm. The values are consistent with [ITU-T X.733] or [3GPP TS 32.111-2] Annex B. | +| proposedRepairedActions | A string. Indicates proposed repair actions, if known to the system emitting the alarm. | +| serviceAffecting | A string. Indicates whether the alarm affects service or not. | +| sourceSystemId | A string. | + +| | | +|-----------------|-------------------------------------------------------------------------------------| +| specificProblem | A string. Provides more specific information about the alarm. | +| state | A string. Defines the alarm state during its life cycle RAISED, UPDATED or CLEARED. | + +##### AffectedService sub-resource + +| | | +|------|-------------------------------------------------------------------------| +| href | A string. Provides the identifier of the service affected by the alarm. | +| id | A string. | + +##### AlarmedObject sub-resource + +Identifies the managed object instance associated with the alarm. + +| | | +|------|---------------------------------------------------------------------------| +| href | A string. A reference to the managed object associated with the event. | +| id | A string. The identifier of the managed object associated with the event. | + +##### Comment sub-resource + +Indicates the comments entered on the alarm. + +| | | +|----------|--------------------------------------------------------------------------------| +| comment | A string. Indicates the text of the comment. | +| systemId | A string. Indicates the system identifier on which the client set the comment. | +| time | A date time (DateTime). Indicates the time commenting the alarm. | +| userId | A string. Indicates the user commenting the alarm. | + +##### CorrelatedAlarm sub-resource + +Indicates the alarms attached to this alarm as correlated alarms from a correlation point of view. An alarm can be correlated to one or more underlying alarms. There might be multiple levels of alarm correlation and an underlying alarm in one relation can be itself a parent alarm for other underlying alarms. + +| | | +|------|-----------| +| href | A string. | +| id | A string. | + +##### CrossedThresholdInformation sub-resource + +Identifies the details of the threshold that has been crossed. + +| | | +|------------------------------|------------------------------------------------------------------------------------------------------------------------| +| direction | A string. Indicates the threshold crossing direction: up or down. | +| granularity | A string. Indicates the granularity at which the indicator is evaluated for threshold crossing. | +| indicatorName | A string. Indicates the name of indicator which crossed the threshold. | +| indicatorUnit | A string. Indicates the unit of the measurement of the indicator corresponding to the threshold that has been crossed. | +| observedValue | A string. Indicates the value of the indicator which crossed the threshold. | +| thresholdCrossingDescription | A string. Indicates further information on the threshold crossing alarm. | +| thresholdId | A string. Indicates the threshold id that caused the alarm. | + +thresholdRef                      A string. + +##### ParentAlarm sub-resource + +Indicates the alarms attached to this alarm as parent alarms from a correlation point of view. + +href                                A string. + +id                                  A string. + +#### **Json representation example** + +The following is an example json representation of an 'Alarm' resource object + +``` +{ + "id": "8675309", + "href": "https://host:port/alarmManagement/v4/alarm/8675309", + "@baseType": "Alarm", + "@type": "Alarm", + "@schemaLocation": "https://host:port/Alarm.schema.json", + "externalAlarmId": "5551212", + "state": "UPDATED", + "alarmType": "Environmental Alarm", + "perceivedSeverity": "MAJOR", + "probableCause": "Rectifier Low voltage", + "specificProblem": "ps=3,sl=1,in=8", + "alarmedObjectType": "Rectifier", + "alarmedObject": { + "id": "93051825", + "href": "https://host:port/resourceInventoryManagement/v4/resource/93051825" + }, + "sourceSystemId": "ems-1", + "alarmDetails": "voltage=95", + "alarmRaisedTime": "2019-07-03T03:32:17.235Z", + "alarmReportingTime": "2019-07-03T03:32:17.552Z", + "alarmChangedTime": "2019-07-03T03:32:52.744Z", + "ackSystemId": "ems-1", + "ackUserId": "bob@example.net", + "ackTime": "2019-07-03T03:33:12.623Z", + "ackState": "ACKNOWLEDGED", + "isRoot": false, + "parentAlarm": { + "id": "8675300" + }, + "correlatedAlarm": [ + { + "id": "8675399", + "href": "https://host:port/alarmManagement/v4/alarm/868675399" + } + ], + "comments": [ + { + "userId": "bob@example.net", + "systemId": "ems-1", + "time": "2019-07-03T03:37:33.827Z", + "comment": "Dispatched" + } + ] +} +``` + +## 6.2 Notification Resource Models + +13 notifications are defined for this API. + +Notifications related to IotDevice: + +- IotDeviceCreateEvent +- IotDeviceChangeEvent +- IotDeviceBatchEvent +- IotDeviceDeleteEvent +- IotDeviceHeartBeatEvent +- IotDeviceStateChangeEvent + +Notifications related to IotDeviceSpecification: + +- IotDeviceSpecificationCreateEvent +- IotDeviceSpecificationChangeEvent +- IotDeviceSpecificationBatchEvent +- IotDeviceSpecificationDeleteEvent + +Notifications related to Alarm: + +- AlarmCreateEvent +- AlarmChangeEvent +- AlarmDeleteEvent + +The notification structure for all notifications in this API follow the pattern depicted by the figure below. + +A notification event resource (depicted by "SpecificEvent" placeholder) is a sub class of a generic Event structure containing at least an id of the event occurrence (eventId), an event timestamp (eventTime), and the name of the resource (eventType). + +This notification structure owns an event payload structure ("SpecificEventPayload" placeholder) linked to the resource concerned by the notification using the resource name as access field ("resourceName" placeholder). + +![UML Class Diagram for Notification Resource Model Schematic](798679874d1c29f8343506a156c79d7e_img.jpg) + +``` + +classDiagram + class Event { + correlationId : String + description : String + domain : String + eventId : String + eventTime : DateTime + eventType : String + fieldPath : String + href : String + id : String + priority : String + timeOccurred : DateTime + title : String + } + class SpecificEvent + class SpecificEventPayload + class SpecificResource + + Event <|-- SpecificEvent + SpecificEvent "1" -- "1" SpecificEventPayload : event + SpecificEventPayload "1" -- "1" SpecificResource : resourceName + +``` + +The diagram illustrates the Notification Resource Model Schematic. It features four classes: **Event**, **SpecificEvent**, **SpecificEventPayload**, and **SpecificResource**. The **Event** class is the base class, containing attributes: `correlationId : String`, `description : String`, `domain : String`, `eventId : String`, `eventTime : DateTime`, `eventType : String`, `fieldPath : String`, `href : String`, `id : String`, `priority : String`, `timeOccurred : DateTime`, and `title : String`. **SpecificEvent** inherits from **Event**. **SpecificEvent** has a one-to-one association with **SpecificEventPayload** labeled `event`. **SpecificEventPayload** has a one-to-one association with **SpecificResource** labeled `resourceName`. + +UML Class Diagram for Notification Resource Model Schematic + +**Figure 9 – Notification Resource Model, Schematic** + +### 6.2.1 Iot Device Create Event + +Notification IotDeviceCreateEvent case for resource IotDevice + +#### Json representation example + +The following is an example json representation of an 'IotDeviceCreateEvent' notification event object + +``` + +{ + "eventId": "00001", + "eventTime": "2015-11-16T16:42:25-04:00", + "eventType": "IotDeviceCreateEvent", + "event": { + "iotDevice": { + "-- SEE IotDevice RESOURCE SAMPLE --" + } + } +} + +``` + +### 6.2.2 Iot Device Change Event + +Notification IotDeviceChangeEvent case for resource IotDevice + +#### Json representation example + +The following is an example json representation of an 'IotDeviceChangeEvent' notification event object + +``` + +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"IotDeviceChangeEvent", + "event": { + "iotDevice" : + [-- SEE IotDevice RESOURCE SAMPLE --] + } +} + +``` + +### 6.2.3 Iot Device Batch Event + +Notification IotDeviceBatchEvent case for resource IotDevice + +#### Json representation example + +The following is an example json representation of an 'IotDeviceBatchEvent' notification event object + +``` + +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"IotDeviceBatchEvent", + "event": { + "iotDevice" : + [-- SEE IotDevice RESOURCE SAMPLE --] + } +} + +``` + +### 6.2.4 Iot Device Delete Event + +Notification IotDeviceDeleteEvent case for resource IotDevice + +#### Json representation example + +The following is an example json representation of an 'IotDeviceDeleteEvent' notification event object + +``` + +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"IotDeviceDeleteEvent", + "event": { + "iotDevice" : + [-- SEE IotDevice RESOURCE SAMPLE --] + } +} + +``` + +### 6.2.5 Iot Device Heart Beat Event + +Notification IotDeviceHeartBeatEvent case for resource IotDevice + +#### Json representation example + +The following is an example json representation of an 'IotDeviceHeartBeatEvent' notification event object + +``` + +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"IotDeviceHeartBeatEvent", + "event": { + "iotDevice" : + +``` + +``` + + { + {-- SEE IotDevice RESOURCE SAMPLE --} + } + } + +``` + +### 6.2.6 Iot Device State Change Event + +Notification IotDeviceStateChangeEvent case for resource IotDevice + +#### Json representation example + +The following is an example json representation of an 'IotDeviceStateChangeEvent' notification event object + +``` + +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"IotDeviceStateChangeEvent", + "event": { + "iotDevice" : + {-- SEE IotDevice RESOURCE SAMPLE --} + } +} + +``` + +### 6.2.7 Iot Device Specification Create Event + +Notification IotDeviceSpecificationCreateEvent case for resource IotDeviceSpecification + +#### Json representation example + +The following is an example json representation of an 'IotDeviceSpecificationCreateEvent' notification event object + +``` + +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"IotDeviceSpecificationCreateEvent", + "event": { + "iotDeviceSpecification" : + {-- SEE IotDeviceSpecification RESOURCE SAMPLE --} + } +} + +``` + +### 6.2.8 Iot Device Specification Change Event + +Notification IotDeviceSpecificationChangeEvent case for resource IotDeviceSpecification + +#### Json representation example + +The following is an example json representation of an 'IotDeviceSpecificationChangeEvent' notification event object + +``` + +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"IotDeviceSpecificationChangeEvent", + "event": { + "iotDeviceSpecification" : + {-- SEE IotDeviceSpecification RESOURCE SAMPLE --} + } +} + +``` + +### 6.2.9 Iot Device Specification Batch Event + +Notification IotDeviceSpecificationBatchEvent case for resource IotDeviceSpecification + +#### Json representation example + +The following is an example json representation of an 'IotDeviceSpecificationBatchEvent' notification event object + +``` +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"IotDeviceSpecificationBatchEvent", + "event": { + "iotDeviceSpecification" : + {-- SEE IotDeviceSpecification RESOURCE SAMPLE --} + } +} +``` + +### 6.2.10 Iot Device Specification Delete Event + +Notification IotDeviceSpecificationDeleteEvent case for resource IotDeviceSpecification + +#### Json representation example + +The following is an example json representation of an 'IotDeviceSpecificationDeleteEvent' notification event object + +``` +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"IotDeviceSpecificationDeleteEvent", + "event": { + "iotDeviceSpecification" : + {-- SEE IotDeviceSpecification RESOURCE SAMPLE --} + } +} +``` + +### 6.2.11 Alarm Create Event + +Notification AlarmCreateEvent case for resource Alarm + +#### Json representation example + +The following is an example json representation of an 'AlarmCreateEvent' notification event object + +``` +{ + "eventId":"00001", + "eventTime":"2015-11-16T16:42:25-04:00", + "eventType":"AlarmCreateEvent", + "event": { + "alarm" : + {-- SEE Alarm RESOURCE SAMPLE --} + } +} +``` + +### 6.2.12 Alarm Change Event + +Notification AlarmChangeEvent case for resource Alarm + +#### Json representation example + +The following is an example json representation of an 'AlarmChangeEvent' notification event object + +``` + +{ + "eventId": "00001", + "eventTime": "2015-11-16T16:42:25-04:00", + "eventType": "AlarmChangeEvent", + "event": { + "alarm": { + -- SEE Alarm RESOURCE SAMPLE -- + } + } +} + +``` + +### 6.2.13 Alarm Delete Event + +Notification AlarmDeleteEvent case for resource Alarm + +#### Json representation example + +The following is an example json representation of an 'AlarmDeleteEvent' notification event object + +``` + +{ + "eventId": "00001", + "eventTime": "2015-11-16T16:42:25-04:00", + "eventType": "AlarmDeleteEvent", + "event": { + "alarm": { + -- SEE Alarm RESOURCE SAMPLE -- + } + } +} + +``` + +# 7 API operations + +Remember the following Uniform Contract: + +| Operation on Entities | Uniform API Operation | Description | +|--------------------------------|-----------------------|---------------------------------------------------------------------------------| +| Query Entities | GET Resource | GET must be used to retrieve a representation of a resource. | +| Create Entity | POST Resource | POST must be used to create a new resource | +| Partial Update of an Entity | PATCH Resource | PATCH must be used to partially update a resource | +| Complete Update of an Entity | PUT Resource | PUT must be used to completely update a resource identified by its resource URI | +| Remove an Entity | DELETE Resource | DELETE must be used to remove a resource | +| Execute an Action on an Entity | POST on TASK Resource | POST must be used to execute Task Resources | +| Other Request Methods | POST on TASK Resource | GET and POST must not be used to tunnel other request methods. | + +Filtering and attribute selection rules are described in the TMF REST Design Guidelines [b-TMFGB983]. + +Notifications are also described in a subsequent section. + +## 7.1 Operations on Iot device + +### 7.1.1 List IoT devices + +#### **GET /iotDevice?fields=...&{filtering}** + +##### **Description** + +This operation list iot device entities. Attribute selection is enabled for all first level attributes. Filtering may be available depending on the compliance level supported by an implementation. + +#### **Usage examples** + +Here's an example of a request for retrieving IotDevice resources. + +#### **Request** + +``` +GET /tmf-api/iotdevicemanagement/v4/iotDevice +Accept: application/json +``` + +##### **Response** + +200 + +``` +[ +{ + "dateFirstUsed": "2019-05-13T00:00", + "dateInstalled": "2019-05-13T00:00", + "dateLastCalibration": "2019-05-13T00:00", + "dateLastValueReported": "2019-05-13T00:00", + "dateManufactured": "2019-05-13T00:00", + "deviceState": "ok", + "deviceType": "Temperature", + "firmwareVersion": "1.0.0", + "hardwareVersion": "1.0.0", + "mnc": "01", + "osVersion": "1.0.0", + "provider": "Mandat International", + "serialNumber": "12345", + "softwareVersion": "1.0.0", + "value": "0041227744222", + "alternateName": "CoAP temperature sensor 3", + "dataProvider": "https://www.mandint.org", + "dateCreated": "2019-05-13T00:00", + "dateModified": "2019-05-13T00:00", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "name": "temp_3", + "source": "coap://[2001:41e0:6002:1800:0:0:3]:61616/temp ", + "areaServed": "Switzerland ", + "category": "Gold ", + "endDate ": "2019-05-13T00:00", + "href ": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "lifecycleState": "InService", + "manufactureDate": "2019-05-13T00:00", + "powerState": "3", + "startDate": "2019-05-13T00:00", + "version": "1.0", + "versionNumber": "1.0.0", +``` + +``` + +"dataAccessEndPoint": { + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" +}, +"batteryLevel": 1.0, +"configuration": { + "timeout": 5, + "reportingPeriod": 300 +}, +"macAddress": [ + "02:00:00:00:00:03" +], +"$id": "Device.schema.json", +"address": { + "addressLocality": "Geneva", + "postalCode": "1209", + "streetAddress": "Chemin du Champ-Baron 3" +}, +"location": { + "attrName": "position", + "coords": { + "type": "Point", + "coordinates": [ + 46.223064, + 6.1305982 + ] + } +}, +"characteristic": [ + { + "name": "accuracy", + "value": "1.0" + } +], +"note": [ + { + "author": "Cedric Crettaz", + "date": "2019-05-13T00:00", + "id": "txt001", + "text": "This is a CoAP temperature sensor." + } +], +"partyRole": [ + { + "@referredType": "temperatureSensor", + "href": "https://www.mandint.org/temperatureSensor", + "id": "CoapTempSensor", + "name": "Mandat International", + "partyId": "MI", + "partyName": "Mandat International" + } +], +"place": { + +``` + +``` + + "href": "Chemin du Champ-Baron 3", + "id": "1209", + "name": "Geneva Office" + }, + "relatedParty": [ + { + "@referredType": "temperatureSensor", + "href": "https://www.mandint.org/temperatureSensor", + "id": "CoapTempSensor", + "name": "Mandat International", + "role": "vendor" + } + ], + "resourceRelationship": [ + { + "@Type": "IotAgent", + "href": "https://www.mandint.org/iotAgent", + "id": "MI", + "name": "UDG", + "value": "0041227744222" + } + ], + "iotAgent": [ + { + "name": "UDG", + "objectId": "udgmi", + "href": "https://www.mandint.org/iotAgent", + "@referredType": "IotAgent", + "dataAccessEndPoint": { + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" + } + } + ] +} +] + +``` + +### 7.1.2 Retrieve IoT device + +#### **GET /iotDevice/{id}?fields=...&{filtering}** + +##### **Description** + +This operation retrieves an iot device entity. Attribute selection is enabled for all first level attributes. Filtering on sub-resources may be available depending on the compliance level supported by an implementation. + +#### **Usage examples** + +Here's an example of a request for retrieving an IotDevice resource. + +#### Request + +GET /tmf-api/iotdevicemanagement/v4/iotDevice/42 +Accept: application/json + +##### Response + +200 + +``` +{ + "dateFirstUsed": "2019-05-13T00:00", + "dateInstalled": "2019-05-13T00:00", + "dateLastCalibration": "2019-05-13T00:00", + "dateLastValueReported": "2019-05-13T00:00", + "dateManufactured": "2019-05-13T00:00", + "deviceState": "ok", + "deviceType": "Temperature", + "firmwareVersion": "1.0.0", + "hardwareVersion": "1.0.0", + "mnc": "01", + "osVersion": "1.0.0", + "provider": "Mandat International", + "serialNumber": "12345", + "softwareVersion": "1.0.0", + "value": "0041227744222", + "alternateName": "CoAP temperature sensor 3", + "dataProvider": "https://www.mandint.org", + "dateCreated": "2019-05-13T00:00", + "dateModified": "2019-05-13T00:00", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "name": "temp_3", + "source": "coap://[2001:41e0:6002:1800:0:0:0:3]:61616/temp ", + "areaServed": "Switzerland ", + "category": "Gold ", + "endDate ": "2019-05-13T00:00", + "href ": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "lifecycleState": "InService", + "manufactureDate": "2019-05-13T00:00", + "powerState": "3", + "startDate": "2019-05-13T00:00", + "version": "1.0", + "versionNumber": "1.0.0", + "dataAccessEndPoint": { + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" + }, +} +``` + +``` + +"batteryLevel": 1.0, +"configuration": { + "timeout": 5, + "reportingPeriod": 300 +}, +"macAddress": [ + "02:00:00:00:00:03" +], +"$id": "Device.schema.json", +"address": { + "addressLocality": "Geneva", + "postalCode": "1209", + "streetAddress": "Chemin du Champ-Baron 3" +}, +"location": { + "attrName": "position", + "coords": { + "type": "Point", + "coordinates": [ + 46.223064, + 6.1305982 + ] + } +}, +"characteristic": [ + { + "name": "accuracy", + "value": "1.0" + } +], +"note": [ + { + "author": "Cedric Crettaz", + "date": "2019-05-13T00:00", + "id": "txt001", + "text": "This is a CoAP temperature sensor." + } +], +"partyRole": [ + { + "@referredType": "temperatureSensor", + "href": "https://www.mandint.org/temperatureSensor", + "id": "CoapTempSensor", + "name": "Mandat International", + "partyId": "MI", + "partyName": "Mandat International" + } +], +"place": { + "href": "Chemin du Champ-Baron 3", + "id": "1209", + "name": "Geneva Office" +}, +"relatedParty": [ + { + "@referredType": "temperatureSensor", + "href": "https://www.mandint.org/temperatureSensor", + "id": "CoapTempSensor", + "name": "Mandat International", + "role": "vendor" + } +], +"resourceRelationship": [ + +``` + +``` + +{ + "@Type": "IotAgent", + "href": "https://www.mandint.org/iotAgent", + "id": "MI", + "name": "UDG", + "value": "0041227744222" +} +], +"iotAgent": [ + { + "name": "UDG", + "objectId": "udgmi", + "href": "https://www.mandint.org/iotAgent", + "@referredType": "IotAgent", + "dataAccessEndPoint": { + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" + } + } +] +} + +``` + +### 7.1.3 Create IoT device + +#### POST /iotDevice + +##### Description + +This operation creates an iot device entity. + +##### Mandatory and non-mandatory attributes + +The following tables provide the list of mandatory and non-mandatory attributes when creating an IotDevice, including any possible rule conditions and applicable default values. Notice that it is up to implementers to add additional mandatory attributes. + +| Mandatory Attributes | Rule | +|----------------------|------| +| category | | + +| Non Mandatory Attributes | Rule | +|--------------------------|------| +| batteryLevel | | +| dateFirstUsed | | +| dateInstalled | | +| dateLastCalibration | | +| dateLastValueReported | | +| dateManufactured | | + +| Non Mandatory Attributes | Rule | +|--------------------------|------| +| deviceState | | +| deviceType | | +| firmwareVersion | | +| hardwareVersion | | +| mnc | | +| osVersion | | +| provider | | +| serialNumber | | +| softwareVersion | | +| value | | +| alternateName | | +| dataProvider | | +| dateCreated | | +| dateModified | | +| description | | +| name | | +| source | | +| areaServed | | +| description | | +| endDate | | +| lifecycleState | | +| manufactureDate | | +| name | | +| powerState | | +| serialNumber | | +| startDate | | +| version | | +| versionNumber | | +| dataAccessEndPoint | | +| location | | +| configuration | | +| macAddress | | +| rule | | +| address | | +| location | | + +| Non Mandatory Attributes | Rule | +|--------------------------|------| +| characteristic | | +| note | | +| partyRole | | +| place | | +| relatedParty | | +| resourceRelationship | | + +##### Usage examples + +Here's an example of a request for creating an IotDevice resource. In this example the request only passes mandatory attributes. + +##### Request + +POST /tmf-api/iotdevicemanagement/v4/iotDevice +Content-Type: application/json + +``` +{ + "category": "Gold " +} +``` + +##### Response + +201 + +``` +{ + "category": "Gold " +} +``` + +### 7.1.4 Patch IoT device + +#### PATCH /iotDevice/{id} + +##### Description + +This operation allows partial updates of an iot device entity. Support of json/merge () is mandatory, support of json/patch () is optional. + +NOTE – If the update operation yields to the creation of sub-resources or relationships, the same rules concerning mandatory sub-resource attributes and default value settings in the POST operation applies to the PATCH operation. Hence these tables are not repeated here. + +##### Patchable and Non Patchable Attributes + +The tables below provide the list of patchable and non-patchable attributes, including constraint rules on their usage. + +| Patchable Attributes | Rule | +|----------------------|------| +| batteryLevel | | + +| Patchable Attributes | Rule | +|-----------------------|------| +| dateFirstUsed | | +| dateInstalled | | +| dateLastCalibration | | +| dateLastValueReported | | +| dateManufactured | | +| deviceState | | +| deviceType | | +| firmwareVersion | | +| hardwareVersion | | +| mnc | | +| osVersion | | +| provider | | +| serialNumber | | +| softwareVersion | | +| value | | +| alternateName | | +| dataProvider | | +| dateCreated | | +| dateModified | | +| description | | +| name | | +| source | | +| areaServed | | +| category | | +| description | | +| endDate | | +| lifecycleState | | +| manufactureDate | | +| name | | +| powerState | | +| serialNumber | | +| startDate | | +| version | | +| versionNumber | | +| category | | + +| Patchable Attributes | Rule | +|----------------------|------| +| dataAccessEndPoint | | +| location | | +| configuration | | +| macAddress | | +| rule | | +| address | | +| location | | +| characteristic | | +| note | | +| partyRole | | +| place | | +| relatedParty | | +| resourceRelationship | | + +| Non Patchable Attributes | Rule | +|--------------------------|------| +| id | | +| href | | + +##### Usage examples + +Here's an example of a request for patching an IotDevice resource. + +##### Request + +PATCH /tmf-api/iotdevicemanagement/v4/iotDevice/42 +Content-Type: application/merge-patch+json + +``` +{ + "name": "new name" +} +``` + +##### Response + +200 + +``` +{ + "dateFirstUsed": "2019-05-13T00:00", + "dateInstalled": "2019-05-13T00:00", + "dateLastCalibration": "2019-05-13T00:00", + "dateLastValueReported": "2019-05-13T00:00", + "dateManufactured": "2019-05-13T00:00", + "deviceState": "ok", + "deviceType": "Temperature", + "firmwareVersion": "1.0.0", +} +``` + +``` + +"hardwareVersion": "1.0.0", +"mnc": "01", +"osVersion": "1.0.0", +"provider": "Mandat International", +"serialNumber": "12345", +"softwareVersion": "1.0.0", +"value": "0041227744222", +"alternateName": "CoAP temperature sensor 3", +"dataProvider": "https://www.mandint.org", +"dateCreated": "2019-05-13T00:00", +"dateModified": "2019-05-13T00:00", +"description": "This is a temperature sensor using CoAP and 6LoWPAN.", +"name": "new name", +"source": "coap://[2001:41e0:6002:1800:0:0:3]:61616/temp ", +"areaServed": "Switzerland ", +"category": "Gold ", +"endDate ": "2019-05-13T00:00", +"href ": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", +"lifecycleState": "InService", +"manufactureDate": "2019-05-13T00:00", +"powerState": "3", +"startDate": "2019-05-13T00:00", +"version": "1.0", +"versionNumber": "1.0.0", +"dataAccessEndPoint": { + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" +}, +"batteryLevel": 1.0, +"configuration": { + "timeout": 5, + "reportingPeriod ": 300 +}, +"macAddress": [ + "02:00:00:00:00:03" +], +"$id": "Device.schema.json", +"address": { + "addressLocality": "Geneva", + "postalCode": "1209", + "streetAddress": "Chemin du Champ-Baron 3" +}, +"location": { + "attrName": "position", + "coords": { + "type": "Point", + "coordinates": [ + 46.223064, + 6.1305982 + ] + } +}, +"characteristic": [ + +``` + +``` + + { + "name": "accuracy", + "value": "1.0" + } + ], + "note": [ + { + "author": "Cedric Crettaz", + "date": "2019-05-13T00:00", + "id": "txt001", + "text": "This is a CoAP temperature sensor." + } + ], + "partyRole": [ + { + "@REFERREDType": "temperatureSensor", + "href": "https://www.mandint.org/temperatureSensor", + "id": "CoapTempSensor", + "name": "Mandat International", + "partyId": "MI", + "partyName": "Mandat International" + } + ], + "place": { + "href": "Chemin du Champ-Baron 3", + "id": "1209", + "name": "Geneva Office" + }, + "relatedParty": [ + { + "@REFERREDType": "temperatureSensor", + "href": "https://www.mandint.org/temperatureSensor", + "id": "CoapTempSensor", + "name": "Mandat International", + "role": "vendor" + } + ], + "resourceRelationship": [ + { + "@Type": "IotAgent", + "href": "https://www.mandint.org/iotAgent", + "id": "MI", + "name": "UDG", + "value": "0041227744222" + } + ], + "iotAgent": [ + { + "name": "UDG", + "objectId": "udgmi", + "href": "https://www.mandint.org/iotAgent", + "@REFERREDType": "IotAgent", + "dataAccessEndPoint": { + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + +``` + +``` + + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" + } +}, +"id": "42" +} + +``` + +### 7.1.5 Delete IoT device + +#### **DELETE /iotDevice/{id}** + +##### **Description** + +This operation deletes an iot device entity. + +##### **Usage examples** + +Here's an example of a request for deleting an IotDevice resource. + +##### **Request** + +``` +DELETE /tmf-api/iotdevicemanagement/v4/iotDevice/42 +``` + +##### **Response** + +204 + +## 7.2 Operations on Data Access Endpoint + +### 7.2.1 List data access endpoints + +#### **GET /dataAccessEndpoint?fields=...&{filtering}** + +##### **Description** + +This operation list data access endpoint entities. Attribute selection is enabled for all first level attributes. Filtering may be available depending on the compliance level supported by an implementation. + +#### **Usage examples** + +Here's an example of a request for retrieving DataAccessEndpoint resources. + +##### **Request** + +``` +GET /tmf-api/iotdevicemanagement/v4/dataAccessEndpoint +Accept: application/json +``` + +##### Response + +200 + +``` +[ +{ + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", + "version": "1.0", + "apiType": "NGSI", + "uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" +} +] +``` + +### 7.2.2 Retrieve data access endpoint + +**GET /dataAccessEndpoint/{id}?fields=...&{filtering}** + +#### Description + +This operation retrieves a data access endpoint entity. Attribute selection is enabled for all first level attributes. Filtering on sub-resources may be available depending on the compliance level supported by an implementation. + +#### Usage examples + +Here's an example of a request for retrieving a DataAccessEndpoint resource. + +#### Request + +``` +GET /tmf-api/iotdevicemanagement/v4/dataAccessEndpoint/3 +Accept: application/json +``` + +#### Response + +200 + +``` +{ + "category": "Gold", + "description": "This is a temperature sensor using CoAP and 6LoWPAN.", + "endDate": "2019-05-13T00:00", + "href": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3", + "id": "3", + "lifecycleState": "InService", + "name": "temp_3", + "startDate": "2019-05-03T00:00", + "value": "0041227744222", +} +``` + +``` + +"version": "1.0", +"apiType": "NGSI", +"uri": "https://host:port/tmf-api/iotDevice/v1/iotDevice/temp_3/dataAccessEndpoint/3" +} + +``` + +## 7.3 Operations on Iot Device Specification + +### 7.3.1 List IoT device specifications + +#### **GET /iotDeviceSpecification?fields=...&{filtering}** + +##### **Description** + +This operation list IoT device specification entities. Attribute selection is enabled for all first level attributes. Filtering may be available depending on the compliance level supported by an implementation. + +#### **Usage examples** + +Here's an example of a request for retrieving IotDeviceSpecification resources. + +#### **Request** + +``` + +GET /tmf-api/iotdevicemanagement/v4/iotDeviceSpecification +Accept: application/json + +``` + +##### **Response** + +200 + +``` + +[ +{ + "description": "This iot device specification ...", + "href": "https://host:port/tmf-api/iotDeviceSpecification/v1/iotDeviceSpecification/4976", + "id": "4976", + "isBundle": true, + "lastUpdate": "2019-10-03T00:00", + "lifecycleStatus": "a string ...", + "name": "a string ...", + "version": "a string ...", + "attachment": [ + {} + ], + "relatedParty": [ + {} + ], + "resourceSpecRelationship": [ + {} + ], + "resourceSpecCharacteristic": [ + {} + ], + "resourceSpecification": [ + {} + ], + "targetServiceSchema": {}, + +``` + +``` + "validFor": {} + } +] +``` + +### 7.3.2 Retrieve IoT device specification + +#### **GET /iotDeviceSpecification/{id}?fields=...&{filtering}** + +##### **Description** + +This operation retrieves an iot device specification entity. Attribute selection is enabled for all first level attributes. Filtering on sub-resources may be available depending on the compliance level supported by an implementation. + +#### **Usage examples** + +Here's an example of a request for retrieving an IotDeviceSpecification resource. + +#### **Request** + +``` +GET /tmf-api/iotdevicemanagement/v4/iotDeviceSpecification/4976 +Accept: application/json +``` + +##### **Response** + +200 + +``` +{ + "description": "This iot device specification ...", + "href": "https://host:port/tmf-api/iotDeviceSpecification/v1/iotDeviceSpecification/4976", + "id": "4976", + "isBundle": true, + "lastUpdate": "2019-10-03T00:00", + "lifecycleStatus": "a string ...", + "name": "a string ...", + "version": "a string ...", + "attachment": [ + {} + ], + "relatedParty": [ + {} + ], + "resourceSpecRelationship": [ + {} + ], + "resourceSpecCharacteristic": [ + {} + ], + "resourceSpecification": [ + {} + ], + "targetServiceSchema": {}, + "validFor": {} +} +``` + +### 7.3.3 Create IoT device specification + +#### POST /iotDeviceSpecification + +##### Description + +This operation creates an IoT device specification entity. + +##### Mandatory and non-mandatory attributes + +The following tables provide the list of mandatory and non-mandatory attributes when creating an IotDeviceSpecification, including any possible rule conditions and applicable default values. Notice that it is up to an implementer to add additional mandatory attributes. + +| Mandatory Attributes | Rule | +|----------------------|------| +| name | | + +| Non Mandatory Attributes | Rule | +|----------------------------|------| +| description | | +| isBundle | | +| lastUpdate | | +| lifecycleStatus | | +| version | | +| attachment | | +| relatedParty | | +| resourceSpecCharacteristic | | +| resourceSpecRelationship | | +| resourceSpecification | | +| targetServiceSchema | | +| validFor | | + +##### Usage examples + +Here's an example of a request for creating an IotDeviceSpecification resource. In this example the request only passes mandatory attributes. + +##### Request + +POST /tmf-api/iotdevicemanagement/v4/iotDeviceSpecification +Content-Type: application/json + +``` +{ + "name": "a string ..." +} +``` + +##### Response + +``` +{ + "href": "https://host:port/tmf-api/iotDeviceSpecification/v1/iotDeviceSpecification/4976", + "id": "4976", + "name": "a string ..." +} +``` + +### 7.3.4 Patch IoT device specification + +#### PATCH /iotDeviceSpecification/{id} + +##### Description + +This operation allows partial updates of an iot device specification entity. Support of json/merge () is mandatory, support of json/patch () is optional. + +NOTE – If the update operation yields to the creation of sub-resources or relationships, the same rules concerning mandatory sub-resource attributes and default value settings in the POST operation applies to the PATCH operation. Hence these tables are not repeated here. + +##### Patchable and nonpatchable attributes + +The tables below provide the list of patchable and non-patchable attributes, including constraint rules on their usage. + +| Patchable Attributes | Rule | +|----------------------------|------| +| description | | +| isBundle | | +| lifecycleStatus | | +| name | | +| version | | +| attachment | | +| relatedParty | | +| resourceSpecCharacteristic | | +| resourceSpecRelationship | | +| resourceSpecification | | +| targetServiceSchema | | +| validFor | | + +| Non Patchable Attributes | Rule | +|--------------------------|------| +| id | | +| href | | +| lastUpdate | | + +##### Usage examples + +Here's an example of a request for patching an IotDeviceSpecification resource. + +##### Request + +PATCH /tmf-api/iotdevicemanagement/v4/iotDeviceSpecification/4976 + +Content-Type: application/merge-patch+json + +``` +{ + "name": "new name" +} +``` + +##### Response + +200 + +``` +{ + "description": "This iot device specification ...", + "href": "https://host:port/tmf-api/iotDeviceSpecification/v1/iotDeviceSpecification/4976", + "id": "4976", + "isBundle": true, + "lastUpdate": "2019-10-03T00:00", + "lifecycleStatus": "a string ...", + "name": "new name", + "version": "a string ...", + "attachment": [ + {} + ], + "relatedParty": [ + {} + ], + "resourceSpecRelationship": [ + {} + ], + "resourceSpecCharacteristic": [ + {} + ], + "resourceSpecification": [ + {} + ], + "targetServiceSchema": {}, + "validFor": {} +} +``` + +### 7.3.5 Delete IoT device specification + +#### DELETE /iotDeviceSpecification/{id} + +##### Description + +This operation deletes an iot device specification entity. + +##### Usage examples + +Here's an example of a request for deleting an IotDeviceSpecification resource. + +##### Request + +DELETE /tmf-api/iotdevicemanagement/v4/iotDeviceSpecification/42 + +##### Response + +204 + +## 7.4 Operations on Iot Data Event + +### 7.4.1 List IoT data events + +**GET /iotDataEvent?fields=...&{filtering}** + +#### Description + +This operation list iot data event entities. Attribute selection is enabled for all first level attributes. Filtering may be available depending on the compliance level supported by an implementation. + +#### Usage examples + +Here's an example of a request for retrieving IotDataEvent resources. + +#### Request + +GET /tmf-api/iotdevicemanagement/v4/iotDataEvent +Accept: application/json + +#### Response + +200 + +``` +[ +{ + "correlationId": "413", + "description": "This iot data event ...", + "domain": "a string ...", + "eventId": "374", + "eventTime": "2019-10-03T00:00", + "eventType": "a string ...", + "priority": "a string ...", + "timeOccurred": "2019-10-03T00:00", + "title": "a string ...", + "event": {} +} +] +``` + +### 7.4.2 Retrieve IoT data event + +**GET /iotDataEvent/{id}?fields=...&{filtering}** + +#### Description + +This operation retrieves an IoT data event entity. Attribute selection is enabled for all first level attributes. Filtering on sub-resources may be available depending on the compliance level supported by an implementation. + +#### Usage examples + +Here's an example of a request for retrieving an IotDataEvent resource. + +#### Request + +``` +GET /tmf-api/iotdevicemanagement/v4/iotDataEvent/42 +Accept: application/json +``` + +#### Response + +200 + +``` +{ + "correlationId": "413", + "description": "This iot data event ...", + "domain": "a string ...", + "eventId": "374", + "eventTime": "2019-10-03T00:00", + "eventType": "a string ...", + "priority": "a string ...", + "timeOccurred": "2019-10-03T00:00", + "title": "a string ...", + "event": {} +} +``` + +## 7.5 Operations on Iot Management Event + +### 7.5.1 List IoT management events + +**GET /iotManagementEvent?fields=...&{filtering}** + +#### Description + +This operation list IoT management event entities. Attribute selection is enabled for all first level attributes. Filtering may be available depending on the compliance level supported by an implementation. + +#### Usage examples + +Here's an example of a request for retrieving IotManagementEvent resources. + +#### Request + +``` +GET /tmf-api/iotdevicemanagement/v4/iotManagementEvent +Accept: application/json +``` + +#### Response + +200 + +``` +[ + { + "correlationId": "423", + "description": "This iot management event ...", + "domain": "a string ...", + "eventId": "536", + "eventTime": "2019-10-03T00:00", + "eventType": "a string ...", + "priority": "a string ...", + "timeOccurred": "2019-10-03T00:00", + "title": "a string ...", + "event": {} + } +] +``` + +### 7.5.2 Retrieve IoT management event + +**GET /iotManagementEvent/{id}?fields=...&{filtering}** + +#### Description + +This operation retrieves an iot management event entity. Attribute selection is enabled for all first level attributes. Filtering on sub-resources may be available depending on the compliance level supported by an implementation. + +#### Usage examples + +Here's an example of a request for retrieving an IotManagementEvent resource. + +#### Request + +``` +GET /tmf-api/iotdevicemanagement/v4/iotManagementEvent/42 +Accept: application/json +``` + +#### Response + +200 + +``` + +{ + "correlationId": "423", + "description": "This iot management event ...", + "domain": "a string ...", + "eventId": "536", + "eventTime": "2019-10-03T00:00", + "eventType": "a string ...", + "priority": "a string ...", + "timeOccurred": "2019-10-03T00:00", + "title": "a string ...", + "event": {} +} + +``` + +## 7.6 Operations on Resource Specification + +None. + +## 7.7 Operations on Alarm + +### 7.7.1 List alarms + +**GET /alarm?fields=...&{filtering}** + +#### Description + +This operation list alarm entities. Attribute selection is enabled for all first level attributes. Filtering may be available depending on the compliance level supported by an implementation. + +#### Usage examples + +Here's an example of a request for retrieving Alarm resources. + +#### Request + +``` + +GET /tmf-api/iotdevicemanagement/v4/alarm +Accept: application/json + +``` + +#### Response + +200 + +``` + +[ +{ + "id": "8675309", + "href": "https://host:port/alarmManagement/v4/alarm/8675309", + "@baseType": "Alarm", + "@type": "Alarm", + "@schemaLocation": "https://host:port/Alarm.schema.json", + "externalAlarmId": "5551212", + "state": "UPDATED", + "alarmType": "Environmental Alarm", + "perceivedSeverity": "MAJOR", + "probableCause": "Rectifier Low voltage", + "specificProblem": "ps=3,sl=1,in=8", + "alarmedObjectType": "Rectifier", + "alarmedObject": { + "id": "93051825", + +``` + +``` + + "href": "https://host:port/resourceInventoryManagement/v4/resource/93051825" + }, + "sourceSystemId": "ems-1", + "alarmDetails": "voltage=95", + "alarmRaisedTime": "2019-07-03T03:32:17.235Z", + "alarmReportingTime": "2019-07-03T03:32:17.552Z", + "alarmChangedTime": "2019-07-03T03:32:52.744Z", + "ackSystemId": "ems-1", + "ackUserId": "bob@example.net", + "ackTime": "2019-07-03T03:33:12.623Z", + "ackState": "ACKNOWLEDGED", + "isRoot": false, + "parentAlarm": { + "id": "8675300" + }, + "correlatedAlarm": [ + { + "id": "8675399", + "href": "https://host:port/alarmManagement/v4/alarm/868675399" + } + ], + "comments": [ + { + "userId": "bob@example.net", + "systemId": "ems-1", + "time": "2019-07-03T03:37:33.827Z", + "comment": "Dispatched" + } + ] +} +] + +``` + +### 7.7.2 Retrieve alarm + +#### **GET /alarm/{id}?fields=...&{filtering}** + +#### **Description** + +This operation retrieves an alarm entity. Attribute selection is enabled for all first level attributes. Filtering on sub-resources may be available depending on the compliance level supported by an implementation. + +#### **Usage examples** + +Here's an example of a request for retrieving an Alarm resource. + +#### **Request** + +``` + +GET /tmf-api/iotdevicemanagement/v4/alarm/8675309 +Accept: application/json + +``` + +#### **Response** + +200 + +``` + +{ + "id": "8675309", + +``` + +``` + + "href": "https://host:port/alarmManagement/v4/alarm/8675309", + "@baseType": "Alarm", + "@type": "Alarm", + "@schemaLocation": "https://host:port/Alarm.schema.json", + "externalAlarmId": "5551212", + "state": "UPDATED", + "alarmType": "Environmental Alarm", + "perceivedSeverity": "MAJOR", + "probableCause": "Rectifier Low voltage", + "specificProblem": "ps=3,sl=1,in=8", + "alarmedObjectType": "Rectifier", + "alarmedObject": { + "id": "93051825", + "href": "https://host:port/resourceInventoryManagement/v4/resource/93051825" + }, + "sourceSystemId": "ems-1", + "alarmDetails": "voltage=95", + "alarmRaisedTime": "2019-07-03T03:32:17.235Z", + "alarmReportingTime": "2019-07-03T03:32:17.552Z", + "alarmChangedTime": "2019-07-03T03:32:52.744Z", + "ackSystemId": "ems-1", + "ackUserId": "bob@example.net", + "ackTime": "2019-07-03T03:33:12.623Z", + "ackState": "ACKNOWLEDGED", + "isRoot": false, + "parentAlarm": { + "id": "8675300" + }, + "correlatedAlarm": [ + { + "id": "8675399", + "href": "https://host:port/alarmManagement/v4/alarm/868675399" + } + ], + "comments": [ + { + "userId": "bob@example.net", + "systemId": "ems-1", + "time": "2019-07-03T03:37:33.827Z", + "comment": "Dispatched" + } + ] + } + +``` + +### 7.7.3 Create alarm + +#### POST /alarm + +##### Description + +This operation creates an alarm entity. + +##### Mandatory and non-mandatory attributes + +The following tables provide the list of mandatory and non-mandatory attributes when creating an Alarm, including any possible rule conditions and applicable default values. Notice that it is up to an implementer to add additional mandatory attributes. + +| Mandatory Attributes | Rule | +|----------------------|------| +|----------------------|------| + +| Non Mandatory Attributes | Rule | +|-----------------------------|------| +| @baseType | | +| @schemaLocation | | +| @type | | +| ackState | | +| ackSystemId | | +| ackUserId | | +| affectedService | | +| alarmChangedTime | | +| alarmClearedTime | | +| alarmDetails | | +| alarmEscalation | | +| alarmRaisedTime | | +| alarmReportingTime | | +| alarmType | | +| alarmedObject | | +| alarmedObjectType | | +| clearSystemId | | +| clearUserId | | +| comments | | +| correlatedAlarm | | +| crossedThresholdInformation | | +| externalAlarmId | | +| isRootCause | | +| parentAlarm | | +| perceivedSeverity | | +| plannedOutageIndicator | | +| probableCause | | +| proposedRepairedActions | | +| serviceAffecting | | +| sourceSystemId | | +| specificProblem | | +| state | | + +#### Usage examples + +Here's an example of a request for creating an Alarm resource. In this example the request only passes mandatory attributes. + +#### Request + +POST /tmf-api/iotdevicemanagement/v4/alarm +Content-Type: application/json + +``` +{ +``` + +##### Response + +201 + +``` +{ + "id": "8675309", + "href": "https://host:port/alarmManagement/v4/alarm/8675309" +} +``` + +### 7.7.4 Patch alarm + +#### PATCH /alarm/{id} + +##### Description + +This operation allows partial updates of an alarm entity. Support of json/merge () is mandatory, support of json/patch () is optional. + +NOTE – If the update operation yields to the creation of sub-resources or relationships, the same rules concerning mandatory sub-resource attributes and default value settings in the POST operation applies to the PATCH operation. Hence these tables are not repeated here. + +##### Patchable and nonpatchable Attributes + +The tables below provide the list of patchable and nonpatchable attributes, including constraint rules on their usage. + +| Patchable Attributes | Rule | +|----------------------|------| +| @baseType | | +| @schemaLocation | | +| @type | | +| ackState | | +| ackSystemId | | +| ackUserId | | +| affectedService | | +| alarmChangedTime | | +| alarmClearedTime | | + +| Patchable Attributes | Rule | +|-----------------------------|------| +| alarmDetails | | +| alarmEscalation | | +| alarmRaisedTime | | +| alarmReportingTime | | +| alarmType | | +| alarmedObject | | +| alarmedObjectType | | +| clearSystemId | | +| clearUserId | | +| comments | | +| correlatedAlarm | | +| crossedThresholdInformation | | +| externalAlarmId | | +| isRootCause | | +| parentAlarm | | +| perceivedSeverity | | +| plannedOutageIndicator | | +| probableCause | | +| proposedRepairedActions | | +| serviceAffecting | | +| sourceSystemId | | +| specificProblem | | +| state | | + +| Non Patchable Attributes | Rule | +|--------------------------|------| +| id | | +| href | | + +#### Usage examples + +Here's an example of a request for patching an Alarm resource. + +#### Request + +PATCH /tmf-api/iotdevicemanagement/v4/alarm/8675309 + Content-Type: application/merge-patch+json + +``` +{ + "name": "new name" +} +``` + +##### Response + +200 + +``` +{ + "id": "8675309", + "href": "https://host:port/alarmManagement/v4/alarm/8675309", + "@baseType": "Alarm", + "@type": "Alarm", + "@schemaLocation": "https://host:port/Alarm.schema.json", + "externalAlarmId": "5551212", + "state": "UPDATED", + "alarmType": "Environmental Alarm", + "perceivedSeverity": "MAJOR", + "probableCause": "Rectifier Low voltage", + "specificProblem": "ps=3,sl=1,in=8", + "alarmedObjectType": "Rectifier", + "alarmedObject": { + "id": "93051825", + "href": "https://host:port/resourceInventoryManagement/v4/resource/93051825" + }, + "sourceSystemId": "ems-1", + "alarmDetails": "voltage=95", + "alarmRaisedTime": "2019-07-03T03:32:17.235Z", + "alarmReportingTime": "2019-07-03T03:32:17.552Z", + "alarmChangedTime": "2019-07-03T03:32:52.744Z", + "ackSystemId": "ems-1", + "ackUserId": "bob@example.net", + "ackTime": "2019-07-03T03:33:12.623Z", + "ackState": "ACKNOWLEDGED", + "isRoot": false, + "parentAlarm": { + "id": "8675300" + }, + "correlatedAlarm": [ + { + "id": "8675399", + "href": "https://host:port/alarmManagement/v4/alarm/868675399" + } + ], + "comments": [ + { + "userId": "bob@example.net", + "systemId": "ems-1", + "time": "2019-07-03T03:37:33.827Z", + "comment": "Dispatched" + } + ], + "name": "new name" +} +``` + +# 8 API notifications + +For every single of operation on the entities use the following templates and provide example REST notification POST calls. + +It is assumed that the Pub/Sub uses the Register and UnRegister mechanisms described in the REST Guidelines reproduced below. + +## 8.1 Register listener + +### POST /hub + +#### Description + +Sets the communication endpoint address the service instance must use to deliver information about its health state, execution state, failures and metrics. Subsequent POST calls will be rejected by the service if it does not support multiple listeners. In this case DELETE /api/hub/{id} must be called before an endpoint can be created again. + +#### Behaviour + +Returns HTTP/1.1 status code 204 if the request was successful. + +Returns HTTP/1.1 status code 409 if the request is not successful. + +#### Usage examples + +Here's an example of a request for registering a listener. + +#### Request + +POST /api/hub + +Accept: application/json + +``` +{"callback": "http://in.listener.com"} +``` + +#### Response + +201 + +Content-Type: application/json + +Location: /api/hub/42 + +``` +{"id": "42", "callback": "http://in.listener.com", "query": null} +``` + +## 8.2 Unregister listener + +### DELETE /hub/{id} + +#### Description + +Clears the communication endpoint address that was set by creating the Hub. + +#### Behavior + +Returns HTTP/1.1 status code 204 if the request was successful. + +Returns HTTP/1.1 status code 404 if the resource is not found. + +#### Usage examples + +Here's an example of a request for un-registering a listener. + +#### Request + +DELETE /api/hub/42 + +Accept: application/json + +#### Response + +204 + +## 8.3 Publish Event to listener + +### POST /client/listener + +#### Description + +Clears the communication endpoint address that was set by creating the Hub. + +Provides to a registered listener the description of the event that was raised. The /client/listener url is the callback url passed when registering the listener. + +#### Behavior + +Returns HTTP/1.1 status code 201 if the service is able to set the configuration. + +#### Usage examples + +Here's an example of a notification received by the listener. In this example “EVENT TYPE” should be replaced by one of the notification types supported by this API (see Notification resources Models section) and EVENT BODY refers to the data structure of the given notification type. + +#### Request + +POST /client/listener + +Accept: application/json + +``` +{ + "event": { + EVENT BODY + }, + "eventType": "EVENT_TYPE" +} +``` + +#### **Response** + +201 + +For detailed examples on the general TM Forum notification mechanism, see the TMF REST Design Guidelines [b-TMFGB983]. + +# Bibliography + +- [b-TMFGB983] TMForum GB983, *REST API Design Guidelines R13.5*. + +- [b-TMF 908] TMForum 908(2020), *IoT Agent and Device Component Suite API Specification v1.0.1*. + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4705-202408-I_PDF-E/2d4807f80a3f0106f1722d5722cfac87_img.jpg b/marked/Y/T-REC-Y.4705-202408-I_PDF-E/2d4807f80a3f0106f1722d5722cfac87_img.jpg new file mode 100644 index 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b/marked/Y/T-REC-Y.4706-202501-I_PDF-E/raw.md @@ -0,0 +1,591 @@ + + +# Recommendation + +## **ITU-T Y.4706 (01/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Management, control and performance + +--- + +**Data exchange model for Internet of things- +based devices in power transmission and +transformation equipment** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|---------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4706 + +## Data exchange model for Internet of things-based devices in power transmission and transformation equipment + +## Summary + +The Internet of things (IoT)-based devices in power transmission and transformation equipment can meet the demand for comprehensive and accurate data acquisition for power transmission and transformation equipment. Developing a data exchange model that takes into account the utilization of applications, sharing, and coordination is essential for the construction of a system for IoT-based power transmission and transformation equipment. + +Recommendation ITU-T Y.4706 provides the requirements and model of IoT data exchange in power transmission and transformation equipment. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.4706 | 2025-01-15 | 20 | 11.1002/1000/16033 | + +## Keywords + +Data exchange model, IoT-based devices, power transformation, power transmission, requirement. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|-----------------------------------------------------------------------------------------------------------------------|-------------| +| 1 Scope ..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 1 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Introduction ..... | 2 | +| 7 Metadata of data exchange model for IoT-based devices in power transmission
and transformation equipment ..... | 3 | +| 7.1 Identity element ..... | 3 | +| 7.2 Measurement element..... | 4 | +| 7.3 Static attribute element..... | 4 | +| 8 Data flows of data exchange model for IoT-based devices in power transmission
and transformation equipment ..... | 4 | +| 8.1 Data format..... | 4 | +| 8.2 Unresponsive data flow of short data messages ..... | 6 | +| 8.3 Responsive data flow of short data messages..... | 6 | +| 8.4 Data flow of long data messages ..... | 7 | +| Appendix I – Detailed information of metadata ..... | 9 | +| Appendix II – Detailed information of data flow ..... | 16 | +| Bibliography..... | 18 | + + + +# Recommendation ITU-T Y.4706 + +## Data exchange model for Internet of things-based devices in power transmission and transformation equipment + +# 1 Scope + +This Recommendation provides a data exchange model at the application layer protocol for Internet of things (IoT)-based devices in power transmission and transformation equipment. + +This Recommendation covers the following: + +- The metadata of a data exchange model for IoT-based devices in power transmission and transformation equipment; +- The data flows of a data exchange model for IoT-based devices in power transmission and transformation equipment. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +None. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 Internet of things** [b-ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – In a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.2 data exchange** [b-ITU-T Y.4052]: Accessing, transferring and archiving of data. + +**3.1.3 metadata** [b-ITU-T H.752]: Structured, encoded data that describe characteristics of information-bearing entities to aid in the identification, discovery, assessment, and management of the described entities. + +## 3.2 Terms defined in this Recommendation + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|---------------------------| +| IoT | Internet of Things | +| MTU | Maximum Transmission Unit | +| PDU | Protocol Data Unit | +| PSEQ | PDU Sequence | +| SDU | Service Data Unit | +| SSEQ | SDU Sequence | +| UHF | Ultra-High Frequency | + +# **5 Conventions** + +In this Recommendation: + +- The keywords "is required to" indicate a requirement which must be strictly followed and from which no deviation is permitted, if conformance to this Recommendation is to be claimed. This type of requirement is also indicated with the letter 'M' in Appendix I. +- The keywords "is recommended" indicate a requirement which is recommended but which is not absolutely required. Thus, this requirement need not be present to claim conformance. This type of requirement is also indicated with the letter 'R' in Appendix I. +- The keywords "can optionally" and "may" indicate an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. This type of requirement is also indicated with the letter 'O' in Appendix I. + +# **6 Introduction** + +In modern society, economic development and people's lives are heavily dependent on electric power, which is the basis of modern city operation. The application of IoT technology in the power system is beneficial for its intelligent transformation. + +The safety of transmission and transformation equipment affects the safe and reliable operation of the power grid. To carry out the business of IoT for power transmission and transformation equipment, there needs to be not only monitoring of power transmission and transformation data, but also data exchange between the sensing device and the service platform as auxiliary support. + +The IoT-based devices in power transmission and transformation equipment can meet the demand for comprehensive and accurate data acquisition for power transmission and transformation equipment. Combined with the data exchange model, they can provide applications, sharing and coordination, as shown in Figure 1. + +![Figure 1: The overview of IoT data exchange for power transmission and transformation. The diagram shows a hierarchical architecture. At the top is the 'Service platform' containing 'Power transmission service platform', a server icon, and 'Power transformation service platform'. Below this is the 'Network' layer, which connects to two 'Gateway device' boxes: 'Gateway device (on transmission tower)' and 'Gateway device (in substation)'. These gateways connect to various sensors: 'Transmission tower tilt sensor', 'Transmission line temperature sensor', 'UHF partial discharge sensor', and 'SF6 density sensor'. A 'Data exchange model' circle on the right, with a double-headed arrow, connects the sensors to the service platforms. The reference 'Y.4706(25)' is at the bottom right.](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +Figure 1: The overview of IoT data exchange for power transmission and transformation. The diagram shows a hierarchical architecture. At the top is the 'Service platform' containing 'Power transmission service platform', a server icon, and 'Power transformation service platform'. Below this is the 'Network' layer, which connects to two 'Gateway device' boxes: 'Gateway device (on transmission tower)' and 'Gateway device (in substation)'. These gateways connect to various sensors: 'Transmission tower tilt sensor', 'Transmission line temperature sensor', 'UHF partial discharge sensor', and 'SF6 density sensor'. A 'Data exchange model' circle on the right, with a double-headed arrow, connects the sensors to the service platforms. The reference 'Y.4706(25)' is at the bottom right. + +**Figure 1 – The overview of IoT data exchange for power transmission and transformation** + +In the data exchange model, the metadata can unify the format for power parameters and give the description of different metadata elements. The data flow can provide specifications for the data exchange method in power scenarios. + +# 7 Metadata of data exchange model for IoT-based devices in power transmission and transformation equipment + +The metadata for an IoT device data exchange model for power transmission and transformation equipment contains the following main elements: + +- 1) The identity element, which is mainly used to identify the sensor and to guarantee the uniqueness of its identification. +- 2) The measurement element, which is mainly used to represent the data generated by the sensors monitoring the status of the transmission and transformation equipment, and the query or configuration data of the sensors. +- 3) The static attribute element, which primarily describes the inherent parameters of the sensor itself. + +The metadata of the data exchange model is described in the following seven areas: + +- Name: detailed name or description of the corresponding parameter; +- Code: normalized references to corresponding parameters; +- Data length: the size of the data corresponding to the parameter, in bits; +- Data type: the data type of the corresponding parameter; +- Unit: the unit of the corresponding parameter; +- Description: a description of the range of values or the way of measuring the values of the corresponding parameter; +- Type of requirement: corresponding to the necessity of the parameter, categorized into M/R/O for mandatory/recommended/optional. + +## 7.1 Identity element + +The identity element contains the manufacturer number, version number and device serial number for identifying the sensor and guaranteeing the uniqueness of its identity mark, as shown in Appendix I. + +## **7.2 Measurement element** + +The measurement element contains collection parameters and configuration parameters to represent the data generated by the sensor monitoring the status of the transmission and transformation equipment, and the query or configuration data of the sensor. The collection parameters are divided into parameters of collection data and collection response data, which are used to represent the data generated by the sensor monitoring the operation state of the transmission and transformation equipment or the alarm data messages generated after each parameter exceeds an alarm threshold. Configuration parameters are divided into parameters of configuration data and configuration response data, which are used to query or set the status of sensors and the basic configuration parameters. + +### **7.2.1 Collection parameters** + +Collection parameters include the parameters of collection data and collection response data. The parameters of collection data are required to contain the number of parameters, message type, parameter type, and data content. They are recommended to contain the data length field indicator bits and data length, and can optionally contain customized data, as shown in Appendix I. Parameter type can optionally contain electric current, voltage, frequency, etc., as shown in Appendix I. + +The parameters of collection response data are required to contain the number of parameters, message type and data content, and can optionally contain customized data, as shown in Appendix I. + +### **7.2.2 Configuration parameters** + +Configuration parameters include the parameters of configuration data and configuration response data. The parameters of configuration data are required to contain the number of parameters and message type, and are recommended to contain configuration parameter data message type, parameter configuration type identification, and parameter list, and can optionally contain customized data, as shown in Appendix I. + +The parameters of the configuration response data are required to contain the number of parameters and message type, and are recommended to contain the configuration parameter data message type, parameter configuration type identification, and parameter list, and can optionally contain customized data, as shown in Appendix I. + +## **7.3 Static attribute element** + +The static attribute element describes the inherent parameters of the sensor itself and these are stored in the database of the substation. The static attribute element is required to contain the number of measurement parameters, the measurement range (minimum value) and the measurement range (maximum value), and is recommended to contain the name of the measurement parameters, the measurement accuracy, the online cycle, the power supply voltage, the power supply type, the manufacturer, the manufacturing country, the date of leaving the factory, the operation date, the calibration date, the use environment, the calibration initial value, the formula of calibration, the calibration cycle, the product serial number range (minimum) and product serial number range (maximum), and can optionally contain the length, the width, the height, the weight and customized data, as shown in Appendix I. + +# **8 Data flows of data exchange model for IoT-based devices in power transmission and transformation equipment** + +## **8.1 Data format** + +As shown in Figure 2, the measurement element and identity element are exchanged between the sensor and gateway or between the gateway and service platform. The static attribute element is stored + +in the service platform, and it can be combined with the measurement element and identity element for other applications. + +![Figure 2: Data exchange performed between the device and service platform. The diagram shows a vertical flow of data between three components: Sensor, Gateway, and Service platform. The Sensor sends an Identity element and a Measurement element to the Gateway. The Gateway sends an Identity element and a Measurement element to the Service platform. The Service platform sends an Identity element, a Measurement element, and a Static attribute element to 'For other applications'. The Service platform also contains a Static attribute element.](5b4e774d63e0e0ed73801a9247755e5f_img.jpg) + +``` +graph BT; Sensor[Sensor] -- "Identity element
Measurement element" --> Gateway[Gateway]; Gateway -- "Identity element
Measurement element" --> SP[Service platform]; SP -- "Identity element
Measurement element
Static attribute element" --> OA[For other applications]; SP --- SAES[Static attribute element]; +``` + +Figure 2: Data exchange performed between the device and service platform. The diagram shows a vertical flow of data between three components: Sensor, Gateway, and Service platform. The Sensor sends an Identity element and a Measurement element to the Gateway. The Gateway sends an Identity element and a Measurement element to the Service platform. The Service platform sends an Identity element, a Measurement element, and a Static attribute element to 'For other applications'. The Service platform also contains a Static attribute element. + +Y.4706(25) + +**Figure 2 – Data exchange performed between the device and service platform** + +As shown in Figure 3, the data format is required to contain three parts: identity, data indication and message content, and is recommended to contain a check digit. + +![Figure 3: Data format. The diagram shows a data format structure with four main fields: Identity, Data indication, Message content, and Check digit. The Identity field is linked to an 'Identity element' label. The Data indication field is linked to a 'Measurement element' label. The Message content field is linked to a 'Data type' label. The Check digit field is linked to a 'Response indication' label. A dashed box encloses the Data type, Fragmented indication, and Response indication fields. Below this box, a legend defines the bit patterns: 0b00: Unresponsive, 0b11: Responsive, 0b00: Unfragmented, 0b01: Fragmented, 0b10: Fragmented response, 0b0000: Collection parameters data, and 0b0001: Configuration parameters data.](7e670a2b556b53ea9002dfff3a420e08_img.jpg) + +``` +graph TD; IE[Identity element] --> I[Identity]; ME[Measurement element] --> DI[Data indication]; DT[Data type] --> MC[Message content]; RI[Response indication] --> CD[Check digit]; subgraph DFI [Data format]; DI --- DT; DI --- FI[Fragmented indication]; DI --- RI; end; DT --- L1[0b00: Unresponsive
0b11: Responsive]; FI --- L2[0b00: Unfragmented
0b01: Fragmented]; RI --- L3[0b10: Fragmented response]; L4[0b0000: Collection parameters data
0b0001: Configuration parameters data]; +``` + +Figure 3: Data format. The diagram shows a data format structure with four main fields: Identity, Data indication, Message content, and Check digit. The Identity field is linked to an 'Identity element' label. The Data indication field is linked to a 'Measurement element' label. The Message content field is linked to a 'Data type' label. The Check digit field is linked to a 'Response indication' label. A dashed box encloses the Data type, Fragmented indication, and Response indication fields. Below this box, a legend defines the bit patterns: 0b00: Unresponsive, 0b11: Responsive, 0b00: Unfragmented, 0b01: Fragmented, 0b10: Fragmented response, 0b0000: Collection parameters data, and 0b0001: Configuration parameters data. + +Y.4706(25) + +**Figure 3 – Data format** + +The message content matches the requirement of the collection parameters and configuration parameters in clause 7. + +According to the data exchange requirements of sensors for different devices in the power transmission and transformation system, the data flow modes could be divided into three categories: + +- Unresponsive data flow of short data messages. This mode applies to scenarios where the data message packets of the sensors need to be frequently uploaded, the data exchange time is short, or the process is not easily interfered with. Examples include temperature and humidity sensors. + +- Responsive data flow of short data messages. This mode applies to scenarios where sensors have relatively higher reliability requirements, adding a response function based on the unresponsive mode. Examples include circuit breaker status sensors and SF6 gas pressure sensors. +- Data flow of long data messages. This mode adopts a fragmented transmission and confirmation-retransmission mechanism and applies to the scenarios where the data message packets of the sensors are large, the data exchange time is long, or the process is easily subjected to electromagnetic interference. Examples include partial discharge ultra-high frequency (UHF) wave sensors of transformers and mechanical performance sensors of circuit breakers. + +The threshold for division of data message size depends on the maximum transmission unit (MTU) limit of the network layer protocol; for example, the MTU of [b-IEEE 802.3] is 1492 bytes. Those that meet the MTU limit are termed short data messages, while those that exceed it are termed long data messages. + +## 8.2 Unresponsive data flow of short data messages + +The specific transmission process of the unresponsive data flow of short data messages is as follows: + +The sensor sends a short data message to the service platform, and the platform does not need to reply. The process is shown in Figure 4. + +![Sequence diagram showing the unresponsive data flow of short data messages. A Sensor sends three short data messages (1, 2, and 3) to a Service platform. The Service platform does not send any responses.](7f17c430b9598e4d748a8041457810b3_img.jpg) + +``` + +sequenceDiagram + participant Sensor + participant ServicePlatform as Service platform + Sensor->>ServicePlatform: Short data message 1 + Sensor->>ServicePlatform: Short data message 2 + Sensor->>ServicePlatform: Short data message 3 + +``` + +Y.4706(25) + +Sequence diagram showing the unresponsive data flow of short data messages. A Sensor sends three short data messages (1, 2, and 3) to a Service platform. The Service platform does not send any responses. + +**Figure 4 – The transmission process of the unresponsive data flow of short data messages** + +## 8.3 Responsive data flow of short data messages + +Adopting the transmission methods of the responsive data flow can improve the reliability of data transmission. The responsive data flow transmission process of short data messages is as follows: + +- When the sensor sends a short data message to the service platform, the platform replies with a response message. After the sensor receives the response message, the transmission ends. If no response message is received, the sensor initiates retransmission or multiple retransmissions. +- When the service platform sends a short data message to the sensor, the sensor replies with a response message. After receiving the response message, the transmission ends. If no response message is received, the service platform initiates retransmission or multiple retransmissions. The process is shown in Figure 5. + +![Figure 5: The transmission process of the responsive data flow of short data messages. The diagram shows two identical sequences of message exchanges between a 'Service platform' and a 'Sensor'. In each sequence, the Service platform sends 'Short data message 1', the Sensor responds with 'Short data response message 1', then the Service platform sends 'Short data message 2', the Sensor responds with 'Short data response message 2', and finally the Service platform sends 'Short data message 3' and the Sensor responds with 'Short data response message 3'. A vertical dashed line separates the two identical sequences. The reference Y.4706(25) is at the bottom right.](af7916c89a458fdab6c3f443217388ae_img.jpg) + +Figure 5: The transmission process of the responsive data flow of short data messages. The diagram shows two identical sequences of message exchanges between a 'Service platform' and a 'Sensor'. In each sequence, the Service platform sends 'Short data message 1', the Sensor responds with 'Short data response message 1', then the Service platform sends 'Short data message 2', the Sensor responds with 'Short data response message 2', and finally the Service platform sends 'Short data message 3' and the Sensor responds with 'Short data response message 3'. A vertical dashed line separates the two identical sequences. The reference Y.4706(25) is at the bottom right. + +**Figure 5 – The transmission process of the responsive data flow of short data messages** + +## 8.4 Data flow of long data messages + +### 8.4.1 Fragmented transmission format and requirements + +The message content in long data messages is called a service data unit (SDU) and that can be divided into several fragmented data messages that meet the length limit of short data messages. The fragmented header and fragmented message content are collectively referred to as a protocol data unit (PDU). The PDU, identity, data indication and check digit form a complete fragmented data message, and the specific format is shown in Appendix II. The fragmented data response message format is also shown in Appendix II. The data format for fragmented transmission is shown in Figure 6. + +![Figure 6: Data format for fragmented transmission. This hierarchical diagram shows the structure of fragmented data. At the top is 'Message content', which is divided into an 'SDU' (Service Data Unit). The SDU is further divided into 'Fragmented message content 1', 'Fragmented message content 2', an ellipsis, and 'Fragmented message content N'. Each 'Fragmented message content' is associated with a 'PDU' (Protocol Data Unit). A PDU consists of a 'Fragmented header' and 'Fragmented message content'. At the bottom, the final data format is shown as a sequence of four fields: 'Identity', 'Data indication', 'Message content', and 'Check digit'. Dashed lines connect the 'Fragmented header' and 'Fragmented message content' of each PDU to their respective positions in the final four-field sequence. The reference Y.4706(25) is at the bottom right.](410562339ce067fdc6fa41940c118658_img.jpg) + +Figure 6: Data format for fragmented transmission. This hierarchical diagram shows the structure of fragmented data. At the top is 'Message content', which is divided into an 'SDU' (Service Data Unit). The SDU is further divided into 'Fragmented message content 1', 'Fragmented message content 2', an ellipsis, and 'Fragmented message content N'. Each 'Fragmented message content' is associated with a 'PDU' (Protocol Data Unit). A PDU consists of a 'Fragmented header' and 'Fragmented message content'. At the bottom, the final data format is shown as a sequence of four fields: 'Identity', 'Data indication', 'Message content', and 'Check digit'. Dashed lines connect the 'Fragmented header' and 'Fragmented message content' of each PDU to their respective positions in the final four-field sequence. The reference Y.4706(25) is at the bottom right. + +**Figure 6 – Data format for fragmented transmission** + +### 8.4.2 Fragmented transmission data flow + +Fragmented transmission adopts a "send–confirm–retransmission" mechanism, with a maximum of three retransmissions per fragment. The process of fragmented transmission is as follows and is shown in Figure 7: + +- The sender sends fragmented data messages, while the receiver receives fragmented data messages. +- If the receiver successfully receives the fragmented data messages, it should provide the fragmented data response messages to the sender. +- The sender sends fragmented data messages in sequence until all fragmented data messages have been sent. + +- d) The sender detects whether there is a fragmented data message that has no corresponding fragmented data response message. +- e) The sender retransmits the fragmented data message that has no response. +- f) If all fragmented data messages from the sender receive a fragmented data response message, the fragmented transmission should be terminated. +- g) The receiver reassembles all fragmented data messages to form a complete SDU data package. + +![Sequence diagram illustrating the process of fragmented transmission between a Sender and a Receiver.](b9ecbc3baefab13719e000faa6e0c7eb_img.jpg) + +The diagram shows a sequence of messages between a Sender and a Receiver. On the Sender side, five fragmented data messages (1-5) are sent. On the Receiver side, four fragmented data response messages (2-5) are received. A retransmission of Fragmented data message 1 is sent from the Sender. The Receiver then sends Fragmented data response message 1. The diagram is labeled Y.4706(25) at the bottom. + +``` + +sequenceDiagram + participant S as Sender + participant R as Receiver + S->>R: Fragmented data message 1 + S->>R: Fragmented data message 2 + S->>R: Fragmented data message 3 + S->>R: Fragmented data message 4 + S->>R: Fragmented data message 5 + R-->>S: Fragmented data response message 2 + R-->>S: Fragmented data response message 3 + R-->>S: Fragmented data response message 4 + R-->>S: Fragmented data response message 5 + S->>R: Fragmented data message 1 retransmission + R-->>S: Fragmented data response message 1 + +``` + +Sequence diagram illustrating the process of fragmented transmission between a Sender and a Receiver. + +**Figure 7 – Process of fragmented transmission** + +# Appendix I + +## Detailed information of metadata + +(This appendix does not form an integral part of this Recommendation.) + +Table I.1 gives detailed information on the identity element. + +**Table I.1 – Identity element** + +| Name | Code | Data length (bits) | Data type | Description | Type of requirement | +|----------------------|----------------|--------------------|--------------|--------------------------------------------------------------------------------------|---------------------| +| Manufacturer number | ManufacturerID | 16 | Unsigned int | – | M | +| Version number | VersionNumber | 6 | Unsigned int | The range of values is 0 to 63, and the version number 11 to 63 is a reserved field. | M | +| Device serial number | SerialNumber | 26 | Unsigned int | – | M | + +Table I.2 gives detailed information on the parameters of collection data. + +**Table I.2 – Parameters of collection data** + +| Name | Code | Data length (bits) | Data type | Unit | Description | Type of requirement | +|----------------------------------|---------------|--------------------|--------------|------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------| +| Number of parameters | ParameterNum | 4 | Unsigned int | – | – | M | +| Message type | MessageType | 3 | Unsigned int | – | 0b010: Alarm data message
0b000: Monitoring data message | M | +| Parameter type | ParameterType | 14 | Unsigned int | – | – | M | +| Data length field indicator bits | LengthFlag | 2 | Unsigned int | Byte | Identifies the length of the "Data length" field and has the following meaning
0b00: The "Data length" field does not exist.
0b01: The length of the "Data length" field is 1 byte.
0b10: The length of the "Data length" field is 2 bytes.
0b11: The length of the "Data length" field is 3 bytes. | R | + +**Table I.2 – Parameters of collection data** + +| Name | Code | Data length (bits) | Data type | Unit | Description | Type of requirement | +|-----------------|------------|--------------------|--------------|------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------| +| Data length | Length | Changeable length | Unsigned int | Byte | The length of the field is indicated by the "Data length field indicator bits" and can be: NULL, 1, 2 or 3. When the "Data length" field does not exist, the length of the "Data content" field is 4 bytes. | R | +| Data content | Data | Changeable length | – | – | – | M | +| Customized data | CustomData | – | – | – | User-selected extended data | O | + +Table I.3 gives detailed information on the parameter type. + +**Table I.3 – Parameter type** + +| Number | Parameter type | Unit | +|--------|----------------------------|------------------| +| 1 | Frequency | Hz | +| 2 | Electric energy | kWh | +| 3 | Voltage | kV | +| 4 | Electric current | A | +| 5 | Temperature | °C | +| 6 | Humidity | %RH | +| 7 | Air pressure | hPa | +| 8 | Heartbeat state | – | +| 9 | Battery remaining capacity | % | +| 10 | Battery voltage | V | +| 11 | Sensor self-check state | – | +| 12 | Network connection state | – | +| 13 | Power state | – | +| 14 | Data acquisition cycle | S | +| 15 | Signal intensity | – | +| 16 | Angle | Rad | +| 17 | Accelerated velocity | m/s 2 | +| 18 | Other | – | + +Table I.4 gives detailed information on parameters of collection response data. + +**Table I.4 – Parameters of collection response data** + +| Name | Code | Data length (bits) | Data type | Unit | Description | Type of requirement | +|----------------------|--------------|--------------------|--------------|------|---------------------------------------------------------------------------------|---------------------| +| Number of parameters | ParameterNum | 4 | Unsigned int | – | – | M | +| Message type | MessageType | 3 | Unsigned int | – | 0b001: Monitoring data response messages
0b011: Alarm data response messages | M | +| Data content | Data | 8 | – | – | – | M | +| Customized data | CustomData | – | – | – | User-selected extended data | O | + +Table I.5 gives detailed information on the parameters of the configuration data. + +**Table I.5 – Parameters of configuration data** + +| Name | Code | Data length (bits) | Data type | Unit | Description | Type of requirement | +|-------------------------------------------|--------------|--------------------|--------------|------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------| +| Number of parameters | ParameterNum | 4 | Unsigned int | – | – | M | +| Message type | MessageType | 3 | Unsigned int | – | 0b100: configuration parameter data messages | M | +| Configuration parameter data message type | ConType | 7 | Unsigned int | – |
  • – 0b0000001 Sensor basic parameter query/setting
  • – 0b0000010 Sensor monitoring parameter query message
  • – 0b0000011 Sensor alarm parameter query/setting
  • – 0b0000100 Sensor time parameter query/setting
  • – 0b0000101 Sensor ID query/setting
| R | + +**Table I.5 – Parameters of configuration data** + +| Name | Code | Data length (bits) | Data type | Unit | Description | Type of requirement | +|---------------------------------------------|----------------|--------------------|--------------|------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------| +| | | | | |
0b0000110
Sensor reset
0b0000111
Sensor request for time calibration
0b0001000
Sensor alarm parameter multi-threshold query/setting
0b0001001
~0b1100010
Protocol extension reserved fields
0b1100011
~0b1111111
Manufacturer-defined reserved fields
| | +| Parameter configuration type identification | RequestSetFlag | 1 | Unsigned int | — |
0b0: query, 0b1: set-up
| R | +| Parameter list | ParameterList | Changeable length | Unsigned int | — |
Field does not exist when querying all base parameters of the sensor
When querying a specified parameter, this field is filled with the value of the base parameter type
| R | +| Customized data | CustomData | — | — | — | User-selected extended data | O | + +Table I.6 gives detailed information on the parameters of the configuration response data. + +**Table I.6 – Parameters of configuration response data** + +| Name | Code | Data Length (bits) | Data type | Unit | Description | Type of requirement | +|-------------------------------------------|--------------|--------------------|--------------|------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------| +| Number of parameters | ParameterNum | 4 | Unsigned int | – | – | M | +| Message type | MessageType | 3 | Unsigned int | – | 0b101:
configuration parameter data response messages | M | +| Configuration parameter data message type | ConType | 7 | Unsigned int | – |
0b0000001
Sensor basic parameter query/setting
0b0000010
Sensor monitoring parameter query message
0b0000011
Sensor alarm parameter query/setting
0b0000100
Sensor time parameter query/setting
0b0000101
Sensor ID query/setting
0b0000110
Sensor reset
0b0000111
Sensor request for time calibration
0b0001000
Sensor alarm parameter multi-threshold query/setting
0b0001001
~0b1100010
Protocol extension reserved fields
0b1100011~
0b1111111
Manufacturer-defined reserved fields
| R | + +**Table I.6 – Parameters of configuration response data** + +| Name | Code | Data Length (bits) | Data type | Unit | Description | Type of requirement | +|---------------------------------------------|----------------|--------------------|--------------|------|---------------------------------------------------------------------------------------------------------------------------|---------------------| +| Parameter configuration type identification | RequestSetFlag | 1 | Unsigned int | – | 0b0: query, 0b1: set-up | R | +| Parameter list | ParameterList | Changeable length | Unsigned int | – | When querying, this field should return the query parameter value
When set, this field should return what was received | R | +| Customized data | CustomData | – | – | – | User-selected extended data | O | + +Table I.7 gives detailed information on the static attribute element. + +**Table I.7 – Static attribute element** + +| Name | Code | Data length (bits) | Data type | Unit | Description | Type of requirement | +|-----------------------------------|--------------------------|--------------------|-----------------|------|------------------------------------------------------------------------------------|---------------------| +| Number of measurement parameters | MeasuringParameterNum | 4 | Unsigned int | – | – | M | +| Name of measurement parameters | MeasurementParameterName | Changeable length | String | – | – | R | +| Measurement range (minimum value) | MeasurementRangeMinVal | Changeable length | SinglePrecision | – | The data length of measuring range (minimum value) for single parameter is 32 bits | M | +| Measurement range (maximum value) | MeasurementRangeMaxVal | Changeable length | SinglePrecision | – | The data length of measuring range (maximum value) for single parameter is 32 bits | M | +| Measurement accuracy | MeasuringAccuracy | Changeable length | SinglePrecision | % | The data length of measurement accuracy for single parameter is 32 bits | R | +| Online cycle | OnlineCycle | 16 | UnsignedShort | min | – | R | +| Power supply voltage | PowerSupplyVoltage | 32 | SinglePrecision | V | – | R | +| Power supply type | PowerSupplyType | 8 | UnsignedByte | – | 1 Battery
2 External power supply
3 Mix | R | +| Length | Length | 32 | SinglePrecision | m | – | O | + +**Table I.7 – Static attribute element** + +| Name | Code | Data length (bits) | Data type | Unit | Description | Type of requirement | +|---------------------------------------|-----------------------|--------------------|-----------------|------|-------------------------------------------------------------------------------------------------------------------------------|---------------------| +| Width | Width | 32 | SinglePrecision | m | – | O | +| Height | Height | 32 | SinglePrecision | m | – | O | +| Weight | Weight | 32 | SinglePrecision | kg | – | O | +| Manufacturer | Manufacturer | – | String | – | – | R | +| Manufacturing country | Manufacturing Country | – | String | – | – | R | +| Date of leaving the factory | FactoryDate | 32 | Date | – | yyyy-mm-dd | R | +| Operation date | OperationDate | 32 | Date | – | yyyy-mm-dd | R | +| Calibration date | CalibrationDate | 32 | Date | – | – | R | +| Use environment | UseEnvironment | 8 | UnsignedByte | – | 1 Indoor
2 Outdoor
3 Both | R | +| Calibration initial value | CalibrationInitValue | Changeable length | SinglePrecision | – | The data length of calibration initial value for single parameter is 32 bits | R | +| Formula of calibration | CalibrationFormula | – | String | – | y: actual data;
x: upload data of sensor
(If the sensor data is negative, take the complement first and then calculate) | R | +| Calibration cycle | CalibrationCycle | 16 | UnsignedShort | – | – | R | +| Product serial number range (minimum) | MinSerialNumber Range | 16 | UnsignedShort | – | – | R | +| Product serial number range (maximum) | MaxSerialNumber Range | 16 | UnsignedShort | – | – | R | +| Customized data | CustomData | – | – | – | User-selected extended data | O | + +# Appendix II + +## Detailed information of data flow + +(This appendix does not form an integral part of this Recommendation.) + +Table II.1 gives detailed information on the format of fragmented data messages. + +**Table II.1 – Fragmented data messages** + +| Number | Name | | Code | Data length | | Description | +|--------|------------------------|-----------------------|----------|-------------------|--------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| 1 | Identity | | ID | 6 bytes | | – | +| 2 | Data indication | Data type | DataType | 1 byte | 4 bits | – | +| | | Fragmented indication | FragInd | | 2 bits | 0b10, Fragmented response | +| | | Response indication | RspInd | | 2 bits | – | +| 3 | Fragment attribute | | Flag | 1 byte | 2 bits | 0b00: Flag_unfrag, unfragmented
0b01: Flag_frag_start, first fragment
0b10: Flag_frag_next, there will be more fragments
0b11: Flag_frag_stop, last fragment | +| | SDU sequence | | SSEQ | | 6 bits | The SSEQ value starts from 0b000001 and is continuous | +| 4 | PDU priority | | Priority | 1 byte | 1 bit | 0b0 represents low, 0b1 represents high | +| | PDU sequence | | PSEQ | | 7 bits | - | +| 5 | Message content length | | Size | 2 bytes | | The length of message content (fragmented) | +| 6 | Message content | | – | Changeable length | | Fragmented data message content | +| 7 | Check digit | | Check | 2 bytes | | Using CRC16 verification | + +Table II.2 gives detailed information on the format of fragmented data response messages. + +**Table II.2 – Fragmented data response messages** + +| Number | Name | | Code | Data length | | Description | +|--------|------------------|-----------------------|----------|-------------|--------|---------------------------| +| 1 | Identity | | ID | 6 bytes | | – | +| 2 | Data indication | Data type | DataType | 1 byte | 4 bits | – | +| | | Fragmented indication | FragInd | | 2 bits | 0b10, fragmented response | +| | | Response indication | RspInd | | 2 bits | – | +| 3 | Response content | | RspCon | 2 bytes | | – | +| 4 | Check digit | | Check | 2 bytes | | Using CRC16 verification | + +# Bibliography + +- [b-ITU-T H.752] Recommendation ITU-T H.752 (2015), *Multimedia content provisioning interface for IPTV services*. +- [b-ITU-T Y.4000] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [b-ITU-T Y.4052] Recommendation ITU-T Y.4052 (2022), *Vocabulary for blockchain for supporting Internet of things and smart cities and communities in data processing and management aspects*. +- [b-IEEE 802.3] IEEE 802.3-2022, *IEEE Standard for Ethernet*. + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4708-202509-I_PDF-E/053f1077d592e6622cd21dc4bb4cb366_img.jpg b/marked/Y/T-REC-Y.4708-202509-I_PDF-E/053f1077d592e6622cd21dc4bb4cb366_img.jpg new file mode 100644 index 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equipment** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|---------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4708 + +## Management framework for Internet of things (IoT)-based distributed power equipment + +## Summary + +In recent years, the trend towards the intelligence and IoT integration of power equipment has become increasingly evident. Utilizing various distributed sensors and their IoT systems enables functions such as power equipment status monitoring, diagnostic evaluation and maintenance decision-making. Meanwhile, the safe, stable and reliable operation of power equipment also depends on the effective collaboration of numerous IoT sensing and controlling devices. Consequently, the need for unified management and coordination of power equipment and their sensing or controlling devices using distributed IoT technology has become increasingly urgent. + +Recommendation ITU-T Y.4708 provides the management framework for IoT-based distributed power equipment, including the framework, functional systems and reference interfaces. + +## History \* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.4708 | 2025-09-23 | 20 | 11.1002/1000/16206 | + +## Keywords + +Framework, power equipment management. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|------------------------------------------------------------------------------------|------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere ..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 2 | +| 6 Overview..... | 2 | +| 7 The management framework for IoT-based distributed power equipment ..... | 3 | +| 8 The functional systems for IoT-based distributed power equipment management..... | 4 | +| 8.1 Subsystem functional entity ..... | 4 | +| 8.2 Core system functional entity ..... | 5 | +| 8.3 Bridge node functional entity ..... | 7 | +| 8.4 Application support system functional entity ..... | 8 | +| 9 Reference interfaces for IoT-based distributed power equipment management ..... | 8 | +| 9.1 Reference interface A ..... | 8 | +| 9.2 Reference interface B ..... | 9 | +| 9.3 Reference interface C ..... | 9 | +| Appendix I – Use cases of IoT-based distributed power equipment management..... | 10 | +| I.1 Overview of the use case ..... | 10 | +| I.2 Architecture of IoT-based distributed PEM ..... | 10 | +| I.3 Typical scenarios of functions and interfaces ..... | 10 | +| Bibliography..... | 13 | + + + +# Recommendation ITU-T Y.4708 + +# Management framework for Internet of things (IoT)-based distributed power equipment + +# 1 Scope + +This Recommendation provides the management framework for IoT-based distributed power equipment. The scope of this Recommendation includes: + +- The overview of the framework for IoT-based distributed power equipment +- The management framework for IoT-based distributed power equipment +- The functional systems for IoT-based distributed power equipment +- The reference interfaces for IoT-based distributed power equipment. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +None. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 data management** [b-ITU-T M.3363]: A set of functions that control, protect, and enhance the value of data throughout their lifecycles. + +**3.1.2 functional entity** [b-ITU-T Y.2012]: An entity that comprises an indivisible set of specific functions. Functional entities are logical concepts, while groupings of functional entities are used to describe practical, physical implementations. + +**3.1.3 fault diagnosis** [b-IEC 60050-192]: Action to identify and characterize the fault. + +NOTE – Fault diagnosis may also localize the fault and/or indicate its cause. + +**3.1.4 Internet of things** [b-ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on existing and evolving interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broader perspective, the IoT can be perceived as a vision with technological and societal implications. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 distributed power equipment management:** The process of effectively monitoring, controlling and maintaining power equipment using an Internet of things (IoT)-based distributed system. + +**3.2.2 Internet of things (IoT)-based distributed system:** A system that connects a large number of Internet of things (IoT) sensing and execution devices that are geographically distributed, to perform specific functions. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|--------------------------------| +| GIS | Gas Insulated Switchgears | +| IoT | Internet of Things | +| MAC | Media Access Control | +| PEM | Power Equipment Management | +| QR | Quick Response | +| RFID | Radio Frequency Identification | + +# 5 Conventions + +None. + +# 6 Overview + +The sustainable development goals are a blueprint to achieve a better and more sustainable future for all. They address the global challenges faced, including poverty, inequality, climate change, environmental degradation, peace and justice. Goal 7 is about ensuring access to clean and affordable energy, which is key to the development of agriculture, business, communications, education, health care and transportation. + +Currently, distributed power equipment management (PEM) plays an important role in accessing, distribution and consumption of the energy supply. Based on various distributed sensors and its IoT system, condition monitoring of power equipment can reflect fault information, which is vital for the reliable operation of the energy supply system. By digital transformation to the large numbers and types of IoT devices installed in power equipment, real-time acquisition of operating data can be realized. + +As depicted in Figure 6-1, the management of distributed power equipment consists mainly of node devices, platforms and data transmission networks. The framework of management systems has core, sub- and support systems with many functional entities and various interfaces are used to support applications and energy control. + +![Figure 1: Overview of the framework for IoT-based distributed power equipment. The diagram shows a central 'Core system' connected to three 'Subsystem' blocks. Each 'Subsystem' contains two 'Sensor' blocks. The 'Core system' is connected to each 'Subsystem' via a 'Bridge node'. Above the 'Core system' is an 'Application support system' connected to 'User' and 'Operator' blocks. The 'Application support system' is connected to the 'Core system' via a 'Bridge node'. The 'Bridge nodes' are represented by black boxes with white text.](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +``` + +graph TD + User[User] --- OSS[Application support system] + Operator[Operator] --- OSS + OSS <-->|Bridge node| CS[Core system] + CS <-->|Bridge node| S1[Subsystem] + CS <-->|Bridge node| S2[Subsystem] + CS <-->|Bridge node| S3[Subsystem] + S1 --- S1S1[Sensor] + S1 --- S1S2[Sensor] + S2 --- S2S1[Sensor] + S2 --- S2S2[Sensor] + S3 --- S3S1[Sensor] + S3 --- S3S2[Sensor] + +``` + +Figure 1: Overview of the framework for IoT-based distributed power equipment. The diagram shows a central 'Core system' connected to three 'Subsystem' blocks. Each 'Subsystem' contains two 'Sensor' blocks. The 'Core system' is connected to each 'Subsystem' via a 'Bridge node'. Above the 'Core system' is an 'Application support system' connected to 'User' and 'Operator' blocks. The 'Application support system' is connected to the 'Core system' via a 'Bridge node'. The 'Bridge nodes' are represented by black boxes with white text. + +Y.4708(25) + +**Figure 1 – Overview of the framework for IoT-based distributed power equipment** + +# 7 The management framework for IoT-based distributed power equipment + +The management framework for IoT-based distributed power equipment provides management capabilities and includes four aspects, as shown in Figure 2. These capabilities enable the efficient management of power equipment and many IoT devices. + +- The **subsystem** includes capabilities of sensing and controlling management, sensing and controlling device management, local data management, and subnetwork management, in support of access to sensing and controlling objects. +- The **core system** includes capabilities of data management, asset management, network management, equipment status management, operation and maintenance management, and application management, in support of data processing and storage, power equipment operation and maintenance, and so on. +- A **bridge node** provides bridge management in support of sensory data aggregation and encapsulation, control data parsing and forwarding, and so on. +- The **application support system** provides interaction management in support of access to application services through interfaces. + +In the framework, the core system is connected to subsystems through bridge nodes. Subsystems are connected directly with IoT sensors and actuators, and the management capabilities of subsystems can be implemented in a distributed or centralized manner via IoT devices. The application support system is intended for operators of power equipment and other users. + +![Figure 2: Management framework for IoT-based distributed power equipment. The diagram shows a hierarchical structure with four main layers: Application support system, Core system, Bridge node, and Subsystem, connected by Interface C, Interface B, and Interface A respectively. The Application support system contains Interaction management. The Core system contains Data management, Asset management, Network management, Equipment status management, Operation and maintenance management, and Application management. The Bridge node contains Bridge management. The Subsystem contains Sensing and controlling management, Sensing and controlling device management, Local data management, and Subnetwork management.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +Y.4708(25) + +Figure 2: Management framework for IoT-based distributed power equipment. The diagram shows a hierarchical structure with four main layers: Application support system, Core system, Bridge node, and Subsystem, connected by Interface C, Interface B, and Interface A respectively. The Application support system contains Interaction management. The Core system contains Data management, Asset management, Network management, Equipment status management, Operation and maintenance management, and Application management. The Bridge node contains Bridge management. The Subsystem contains Sensing and controlling management, Sensing and controlling device management, Local data management, and Subnetwork management. + +**Figure 2 – Management framework for IoT-based distributed power equipment** + +# 8 The functional systems for IoT-based distributed power equipment management + +IoT-based distributed PEM is realized by a set of functional systems consisting of various functional entities. The core system and subsystems are the main bodies that provide management capabilities. The bridge nodes and application support systems are the mediums for interaction and information exchange between systems and users. + +## 8.1 Subsystem functional entity + +The functional entities of the subsystem include sensory data acquisition, control command execution, device information management, device configuration, device condition monitoring, local data processing, local data storage, subnetwork topology maintenance and subnetwork monitoring, as shown in Figure 3. + +![Figure 3: Functional entities of the subsystem. The diagram shows a detailed view of the Subsystem layer, divided into four main functional areas: Sensing and controlling management, Sensing and controlling device management, Local data management, and Subnetwork management. Each area contains specific functional entities, some of which are highlighted with dashed boxes. Sensing and controlling management includes Sensory data acquisition and Control command execution. Sensing and controlling device management includes Device information management, Device configuration, and Device condition monitoring. Local data management includes Local data processing and Local data storage. Subnetwork management includes Subnetwork topology maintenance and Subnetwork monitoring.](053f1077d592e6622cd21dc4bb4cb366_img.jpg) + +Y.4708(25) + +Figure 3: Functional entities of the subsystem. The diagram shows a detailed view of the Subsystem layer, divided into four main functional areas: Sensing and controlling management, Sensing and controlling device management, Local data management, and Subnetwork management. Each area contains specific functional entities, some of which are highlighted with dashed boxes. Sensing and controlling management includes Sensory data acquisition and Control command execution. Sensing and controlling device management includes Device information management, Device configuration, and Device condition monitoring. Local data management includes Local data processing and Local data storage. Subnetwork management includes Subnetwork topology maintenance and Subnetwork monitoring. + +**Figure 3 – Functional entities of the subsystem** + +### **8.1.1 Sensing and controlling management** + +- Sensory data acquisition: The subsystem provides sensory data acquisition that utilizes a variety of IoT sensors to receive different kinds of signals, including, but not limited to, temperature, humidity, deformation, current, voltage, energy consumption, micrometeorology and barometric pressure. +- Control command execution: The subsystem provides control command execution that enables IoT actuators to perform corresponding actions based on the received commands, such as starting acquisition, stopping operation and so on. + +### **8.1.2 Sensing and controlling device management** + +- Device information management: The subsystem provides device information management that enables the registration and identification of sensing and controlling devices. +- Device configuration: The subsystem provides device configuration that supports parameter configuration, harmonized timing and program upgrading of the sensing and controlling devices. +- Device condition monitoring: The subsystem provides device condition monitoring that monitors the connectivity and health of sensing and controlling devices. + +### **8.1.3 Local data management** + +- Local data processing: The subsystem provides local data processing that supports preliminary data-processing services close to the source of data, including eigenvalue extraction and validity checking, to meet real-time, security, privacy and other requirements. +- Local data storage: The subsystem provides local data storage that supports temporary or permanent storage of sensory data. + +### **8.1.4 Subnetwork management** + +- Subnetwork topology maintenance: The subsystem provides network topology maintenance that supports the addition, deletion, and movement of IoT devices and the dynamic reconfiguration of the subnetwork. +- Subnetwork monitoring: The subsystem provides network monitoring that supports assessment of the health status of the local subnetwork. + +## **8.2 Core system functional entity** + +The functional entities of the core system include data storage, data computation, data access, data distribution, IoT identification, asset information maintenance, communication network configuration, connection quality monitoring, network topology management, status analysis, comprehensive evaluation, proactive warning, fault and defect diagnosis, equipment operation, performance control, operation and maintenance decision-making, process statistics, customized application service, resource configuration and application monitoring, as shown in Figure 4. + +![](d4af765160d04ecef538e5066006dc77_img.jpg) + +| Core system | | | | +|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------| +|
Data management
Data storage
Data computation
Data access
Data distribution
|
Equipment status management
Status analysis
Comprehensive evaluation
Proactive warning
Fault and defect diagnosis
|
Operation and maintenance management
Equipment operation
Performance control
Operation and maintenance decision making
Process statistics
|
Application management
Customized application service
Resource configuration
Application monitoring
| +|
Asset management
IoT identification
Asset information maintenance
| | | | +|
Network management
Communication network configuration
Connection quality monitoring
Network topology management
| | | | + +Y.4708(25) + +**Figure 4 – Functional entities of core system** + +### 8.2.1 Data management + +- Data storage: The core system provides data storage that supports the storage of integrated and labelled data after the process of data cleansing, transformation and fusion. +- Data computation: The core system provides data computation that supports on-demand computation of data and offers a toolkit for fixed computation needs. +- Data access: The core system provides data access that supports secure, user-friendly and controllable unified data access services internally and externally. +- Data distribution: The core system provides data distribution that distributes data or application output to the corresponding system interfaces based on established rules. + +#### 8.2.2 Asset management + +- IoT identification: The core system provides IoT identification that adopts equipment asset identification technology, including quick response (QR) code, radio frequency identification (RFID), network media access control (MAC) address and so on, to establish the IoT identification system for power equipment, sensing and controlling devices. +- Asset information maintenance: The core system provides asset information maintenance that supports, for example, registration, addition, deletion, and grouping of power equipment, and sensing and controlling devices. Centralized management of full lifecycle information, such as product models, asset values and fault conditions, is also recommended. + +#### 8.2.3 Network management + +- Communication network configuration: The core system provides communication network configuration that supports a two-way transmission of IoT information between equipment and systems through various communication protocols. +- Network topology management: The core system provides network topology management that maintains the network topology of the IoT system, and supports the addition, deletion of subsystems and dynamic reconfiguration of the network. +- Connection quality monitoring: The core system provides connection quality monitoring that monitors and optimizes the quality of communication between systems, including communication rate, latency, packet loss rate and other indicators. + +#### **8.2.4 Equipment status management** + +- Status analysis: The core system provides status analysis that analyses the real-time and historical data of power equipment to determine its current state and predict its future state. +- Comprehensive evaluation: The core system provides comprehensive evaluation that makes qualitative or quantitative assessments on the current health level of power equipment, based on the results of status analysis. +- Proactive warning: The core system provides proactive early warnings when an abnormality exists or is predicted to be imminent in the power equipment. +- Fault and defect diagnosis: The core system provides diagnosis of equipment with existing failures or defects, determines the cause of the failures, and provides maintenance recommendations. + +### **8.2.5 Operation and maintenance management** + +- Equipment operation: The core system provides equipment operation that enables remote operation and control functions for power equipment and IoT devices, under the precondition of complying with safe operation specifications of power equipment. +- Performance control: The core system provides performance control that analyses performance indicators such as operation efficiency and energy consumption, and conducts management and control. +- Operation and maintenance decision-making: Core system provides operation and maintenance decision-making that makes comprehensive decisions based on the health level, importance, and so on of the equipment, and formulates operation, maintenance and repair plans. +- Process statistics: Core system provides process statistics that records information during the operation, maintenance and repair process, links maintenance history and cost data to each asset, and generates reports. + +### **8.2.6 Application management** + +- Customized application service: Core system provides customized application service that meets the special needs of different types of power equipment such as power generation forecast for power supply equipment, dynamic rating for transmission equipment, intelligent inspection for substation equipment, line loss calculation for distribution equipment, smart control for power consumption equipment and so on. This entity supports the invocation of the customized functions and output of invocation results. +- Resource configuration: Core system provides resource configuration that supports unified access and efficient distribution of application requests, and allocates required resources for application execution. +- Application monitoring: Core system provides application monitoring that supports monitoring the running status and conditions of applications, and timely notifies or sends alerts for abnormal application behaviours. + +## **8.3 Bridge node functional entity** + +The functional entities of the bridge node include modelled data transfer and secure access, as shown in Figure 5. + +![Figure 5: Functional entities of bridge node. A hierarchical diagram showing 'Bridge node' as the outermost container. Inside it is 'Bridge management'. Within 'Bridge management' are two dashed boxes: 'Modelled data transfer' and 'Secure access'.](4801720824e4b5e2361a5564f91cfb70_img.jpg) + +``` + +graph TD + BN[Bridge node] + BM[Bridge management] + MD[Modelled data transfer] + SA[Secure access] + BN --- BM + BM --- MD + BM --- SA + +``` + +Figure 5: Functional entities of bridge node. A hierarchical diagram showing 'Bridge node' as the outermost container. Inside it is 'Bridge management'. Within 'Bridge management' are two dashed boxes: 'Modelled data transfer' and 'Secure access'. + +Y.4708(25) + +**Figure 5 – Functional entities of bridge node** + +### 8.3.1 Bridge management + +- Modelled data transfer: The bridge node provides modelled data transfer that enables the aggregation and transformation of subsystem data into a recognizable unified data model and its sending to the core system. It also enables parsing and forwarding control data conforming to the unified data model. +- Secure access: The bridge node provides secure access that connects the core system to subsystems in compliance with the information security regulations of the equipment operator. + +## 8.4 Application support system functional entity + +The functional entities of the application support system include human-machine interaction and permission management, as shown in Figure 6. + +![Figure 6: Functional entities of application support system. A hierarchical diagram showing 'Application support system' as the outermost container. Inside it is 'Interaction management'. Within 'Interaction management' are two dashed boxes: 'Human-machine interaction' and 'Permission management'.](16c1175b5f05a4b55e6d396fc51b15b3_img.jpg) + +``` + +graph TD + ASS[Application support system] + IM[Interaction management] + HMI[Human-machine interaction] + PM[Permission management] + ASS --- IM + IM --- HMI + IM --- PM + +``` + +Figure 6: Functional entities of application support system. A hierarchical diagram showing 'Application support system' as the outermost container. Inside it is 'Interaction management'. Within 'Interaction management' are two dashed boxes: 'Human-machine interaction' and 'Permission management'. + +Y.4708(25) + +**Figure 6 – Functional entities of application support system** + +### 8.4.1 Interaction management + +- Human-machine interaction: The application support system provides human-machine interaction that classifies and displays the service resource pool of the core system, providing all users with an entrance to log in and interfaces for operation. +- Permission management: The application support system provides permission management that implements management of user roles and permissions, and so on. + +# 9 Reference interfaces for IoT-based distributed power equipment management + +There are three reference interfaces for IoT-based distributed PEM, as shown in Figure 7. + +![Figure 7: Reference interfaces for IoT-based distributed power equipment management. A flow diagram showing four components in boxes: 'Subsystem', 'Bridge node', 'Core system', and 'Application support system'. They are connected sequentially by lines labeled 'Reference interface A', 'Reference interface B', and 'Reference interface C' respectively.](2bc39576969969ffe6d3f3d5264bba75_img.jpg) + +``` + +graph LR + S[Subsystem] -- Reference interface A --> BN[Bridge node] + BN -- Reference interface B --> CS[Core system] + CS -- Reference interface C --> ASS[Application support system] + +``` + +Figure 7: Reference interfaces for IoT-based distributed power equipment management. A flow diagram showing four components in boxes: 'Subsystem', 'Bridge node', 'Core system', and 'Application support system'. They are connected sequentially by lines labeled 'Reference interface A', 'Reference interface B', and 'Reference interface C' respectively. + +Y.4708(25) + +**Figure 7 – Reference interfaces for IoT-based distributed power equipment management** + +## 9.1 Reference interface A + +This reference interface supports interaction between subsystems and bridge nodes. Bridge nodes adapt and connect different subsystems through this interface, which transmits sensory information from sensors and control information for actuators. The reference interface A also supports the + +exchange of status information and management information of, for example, devices and networks, thereby enabling the management of the subsystems. An example is the data communication interface between the IoT sensor network of substation equipment (such as transformers or gas insulated switchgears (GIS)) and the IoT aggregation device of the substation. + +## **9.2 Reference interface B** + +This reference interface supports interaction between core systems and bridge nodes. The core system establishes communication connections with bridge nodes through this interface, enabling information exchange within authorized permissions. The exchanged information mainly includes sensory information and control information aggregated and standardized by bridge nodes, as well as related requests and commands. The data-sharing and analysis services provided by the core system can also be accessed by the bridge nodes and lower-level subsystems through this interface. An example is the data communication interface between the IoT aggregation device of the substation and the IoT-based PEM platform. + +## **9.3 Reference interface C** + +This reference interface supports interaction between core systems and application support systems. Application support systems access the IoT-based PEM services provided by the core system through this interface, allowing users to obtain information from devices, networks and data, and so on, and perform functions such as equipment operation, status analysis and decision-making. An example is the data communication interface between the user terminal and IoT-based PEM platform. + +# Appendix I + +## Use cases of IoT-based distributed power equipment management + +(This appendix does not form an integral part of this Recommendation.) + +## I.1 Overview of the use case + +This use case describes typical application scenarios of IoT-based distributed PEM using substation as the subject. Power equipment might include transmission equipment, distribution equipment, thermal power generating equipment, photovoltaic power generating equipment and energy storage equipment. The functional entities can be combined logically, and the processes can be adjusted according to the specific requirements of the application services in different scenarios. + +The purpose of the use case is to help users understand the operation mechanism of IoT-based distributed PEM, so as to help them develop specific systems that can be extended or applied to more scenarios. + +## I.2 Architecture of IoT-based distributed PEM + +#### – Subsystem + +The power equipment within substation includes transformers, current transformers, voltage transformers, switchgear and arresters. In this use case, various IoT sensing devices such as pressure, temperature, vibration, optical, electromagnetic field sensors and actuators such as control switches and motors, form multiple subsystems. + +#### – Bridge node + +The various subsystems of the power equipment are uniformly connected to the IoT aggregation devices deployed in substation, namely the bridge nodes. Information is exchanged between the IoT aggregation device and the core system. + +### – Core system + +Substation has an IoT intelligent management system as its core system. The system is divided into seven major modules: overview, equipment profile, asset information, status perception, professional inspection, precise evaluation and interactive diagnosis. These modules assist the power company and technical personnel in carrying out comprehensive lifecycle management of the equipment. + +### – Application support system + +Technical personnel in substations or other users use various terminals such as computers, mobile phones and personal digital assistants, to obtain access privileges to the core system through the application support system, and then carry out management activities. + +## I.3 Typical scenarios of functions and interfaces + +### – Sensory data uploading + +The IoT sensory data in substation will be automatically uploaded through the IoT aggregation devices to the IoT intelligent management system in a predetermined manner, such as a fixed period or threshold triggering. According to the pattern and purpose of the data, it will be determined whether the data will be pre-processed and stored in the subsystem, as shown in Figure I.1. + +![Figure I.1: Scenario of sensory data uploading. The diagram shows a flow from a Subsystem to a Bridge node to a Core system. The Subsystem contains three dashed boxes: '1. Sensory data acquisition' (receiving input from multiple 'Sensor' boxes), '2. Local data processing (Optional)' (receiving input from '1'), and '3. Local data storage (Optional)' (receiving input from '2'). An arrow points from the Subsystem to the Bridge node, which contains a dashed box '4. Modelled data transfer'. Another arrow points from the Bridge node to the Core system, which contains a dashed box '5. Data storage'.](8fbdfc3d17fb1dae7b2d8f5a287fa9fc_img.jpg) + +Y.4708(25) + +Figure I.1: Scenario of sensory data uploading. The diagram shows a flow from a Subsystem to a Bridge node to a Core system. The Subsystem contains three dashed boxes: '1. Sensory data acquisition' (receiving input from multiple 'Sensor' boxes), '2. Local data processing (Optional)' (receiving input from '1'), and '3. Local data storage (Optional)' (receiving input from '2'). An arrow points from the Subsystem to the Bridge node, which contains a dashed box '4. Modelled data transfer'. Another arrow points from the Bridge node to the Core system, which contains a dashed box '5. Data storage'. + +**Figure I.1 – Scenario of sensory data uploading** + +### – Real-time data polling + +Real-time data polling often occurs when power equipment or IoT devices have abnormalities. At this time, the user directly requests the sensors in the subsystems to immediately collect a set of data and upload them, so that the status of power equipment or IoT devices can be judged based on the latest data, as shown in Figure I.2. + +![Figure I.2: Scenario of real-time data polling. This diagram shows a four-stage process: Subsystem, Bridge node, Core system, and Application support system. + 1. Subsystem: Contains '7. Sensory data acquisition' (receiving input from a 'Sensor' box), '8. Local data processing (Optional)' (receiving input from '7'), '9. Local data storage (Optional)' (receiving input from '8'), and '6. Control command execution' (receiving input from the 'Application support system'). + 2. Bridge node: Contains '4. Secure access' (receiving input from the 'Core system') and '5(10). Modelled data transfer' (receiving input from '7' and sending output to '4'). + 3. Core system: Contains '3. Equipment operation' (receiving input from the 'Application support system') and '11. Data storage' (receiving input from '5(10)'). + 4. Application support system: Contains '1. Human-machine interaction' (receiving input from a 'User' box) and '2. Permission management' (receiving input from '1' and sending output to '3' and '6'). + Arrows indicate the flow of data and control commands between these components.](df82d77a0d2637cbf2da9ea920a554fa_img.jpg) + +Y.4708(25) + +Figure I.2: Scenario of real-time data polling. This diagram shows a four-stage process: Subsystem, Bridge node, Core system, and Application support system. + 1. Subsystem: Contains '7. Sensory data acquisition' (receiving input from a 'Sensor' box), '8. Local data processing (Optional)' (receiving input from '7'), '9. Local data storage (Optional)' (receiving input from '8'), and '6. Control command execution' (receiving input from the 'Application support system'). + 2. Bridge node: Contains '4. Secure access' (receiving input from the 'Core system') and '5(10). Modelled data transfer' (receiving input from '7' and sending output to '4'). + 3. Core system: Contains '3. Equipment operation' (receiving input from the 'Application support system') and '11. Data storage' (receiving input from '5(10)'). + 4. Application support system: Contains '1. Human-machine interaction' (receiving input from a 'User' box) and '2. Permission management' (receiving input from '1' and sending output to '3' and '6'). + Arrows indicate the flow of data and control commands between these components. + +**Figure I.2 – Scenario of real-time data polling** + +### – Comprehensive evaluation + +Comprehensive evaluation is commonly initiated by users. Once receiving the instruction, the IoT intelligent management system of substation will retrieve the relevant equipment information stored in its database for processing and computation. Based on the result of status analysis, the IoT intelligent management system provides a qualitative or quantitative comprehensive evaluation of the equipment's health level according to certain predetermined rules, as shown in Figure I.3. + +![Figure I.3 – Scenario of comprehensive evaluation. This diagram shows the interaction between a Core system and an Application support system. The Core system consists of four stacked dashed boxes: 3. Data access, 4. Data computation, 5. Status analysis, and 6. Comprehensive evaluation, connected by upward arrows. The Application support system consists of three stacked dashed boxes: 1. Human-machine interaction, 2. Permission management, and a User box at the bottom. An upward arrow connects the User to the interaction box, and another connects the interaction box to the permission management box. A large leftward arrow connects the Application support system to the Core system.](76b0cd79baaedd942af4dc42f2e764b8_img.jpg) + +Y.4708(25) + +Figure I.3 – Scenario of comprehensive evaluation. This diagram shows the interaction between a Core system and an Application support system. The Core system consists of four stacked dashed boxes: 3. Data access, 4. Data computation, 5. Status analysis, and 6. Comprehensive evaluation, connected by upward arrows. The Application support system consists of three stacked dashed boxes: 1. Human-machine interaction, 2. Permission management, and a User box at the bottom. An upward arrow connects the User to the interaction box, and another connects the interaction box to the permission management box. A large leftward arrow connects the Application support system to the Core system. + +**Figure I.3 – Scenario of comprehensive evaluation** + +#### – Proactive warning + +The IoT intelligent management system monitors the data uploaded by the subsystems in real time. According to the data type, it performs threshold comparison, feature analysis or trend prediction. Once any abnormal risk is found, it will immediately send an alert to the users, as shown in Figure I.4. + +![Figure I.4 – Scenario of proactive warning. This diagram illustrates a four-stage process: 1. Subsystem: Multiple Sensor boxes point to a dashed box '1. Sensory data acquisition'. This points to '2. Local data processing (Optional)', which points to '3. Local data storage (Optional)'. 2. Bridge node: A dashed box '4. Modelled data transfer' receives data from the Subsystem. 3. Core system: A dashed box '5. Data computation' receives data from the Bridge node and points to a dashed box '6. Proactive warning'. 4. Application support system: A dashed box '7. Human-machine interaction' receives data from the Core system and points to a User box.](9b9d2abd741ed4bafe7f78f89961c663_img.jpg) + +Y.4708(25) + +Figure I.4 – Scenario of proactive warning. This diagram illustrates a four-stage process: 1. Subsystem: Multiple Sensor boxes point to a dashed box '1. Sensory data acquisition'. This points to '2. Local data processing (Optional)', which points to '3. Local data storage (Optional)'. 2. Bridge node: A dashed box '4. Modelled data transfer' receives data from the Subsystem. 3. Core system: A dashed box '5. Data computation' receives data from the Bridge node and points to a dashed box '6. Proactive warning'. 4. Application support system: A dashed box '7. Human-machine interaction' receives data from the Core system and points to a User box. + +**Figure I.4 – Scenario of proactive warning** + +# Bibliography + +- [[b-ITU-T M.3363](#)] Recommendation ITU-T M.3363 (2020), *Requirements for data management in the telecommunication management network*. +- [[b-ITU-T Y.2012](#)] Recommendation ITU-T Y.2012 (2010), *Functional requirements and architecture of next generation networks*. +- [[b-ITU-T Y.4000](#)] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. +- [b-IEC 60050-192] IEC 60050-192:2015, *International Electrotechnical Vocabulary (IEV) – Part 192: Dependability*. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4805-201708-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg b/marked/Y/T-REC-Y.4805-201708-I_PDF-E/14a22f23ced8ba1d63ece69861dbaacc_img.jpg new file mode 100644 index 0000000000000000000000000000000000000000..072f073b6d42cbfa77c827c76c611f286177034a --- /dev/null +++ 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+1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:430302ee2b6c46760ba802aef178a9d12215bfe2ed50702237c774394d5d929e +size 154546 diff --git a/marked/Y/T-REC-Y.4812-202503-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4812-202503-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..eb219f577f0ddf874b0224e2c406f750e65a5927 --- /dev/null +++ b/marked/Y/T-REC-Y.4812-202503-I_PDF-E/raw.md @@ -0,0 +1,625 @@ + + +# Recommendation + +## **ITU-T Y.4812 (03/2025)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Identification and security + +--- + +**Interoperability of the identity of Internet of things devices across metaverse platforms** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +| | | +|---------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | Y.100-Y.999 | +| INTERNET PROTOCOL ASPECTS | Y.1000-Y.1999 | +| NEXT GENERATION NETWORKS | Y.2000-Y.2999 | +| FUTURE NETWORKS | Y.3000-Y.3499 | +| CLOUD COMPUTING | Y.3500-Y.3599 | +| BIG DATA | Y.3600-Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800-Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | Y.4000-Y.4999 | +| General | Y.4000-Y.4049 | +| Definitions and terminologies | Y.4050-Y.4099 | +| Requirements and use cases | Y.4100-Y.4249 | +| Infrastructure, connectivity and networks | Y.4250-Y.4399 | +| Frameworks, architectures and protocols | Y.4400-Y.4549 | +| Services, applications, computation and data processing | Y.4550-Y.4699 | +| Management, control and performance | Y.4700-Y.4799 | +| Identification and security | Y.4800-Y.4899 | +| Evaluation and assessment | Y.4900-Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4812 + +# Interoperability of the identity of Internet of things devices across metaverse platforms + +## Summary + +Recommendation ITU-T Y.4812 describes identity interoperability for IoT devices across metaverse platforms and provides relevant technical features and reference framework. + +With regard to the Internet of things (IoT) (Recommendation ITU-T Y.4000), each IoT device may have a single or multiple unique identities in multiple IoT systems. Similarly, each IoT device also may have a single or multiple identities in multiple metaverses. The identity of an IoT device usually includes a unique identifier and a corresponding identity object (Recommendation ITU-T Y.4811). + +Although it may take advantage of one IoT device having one unique identity in multiple metaverses, there are challenges; how those metaverses identify, authenticate, and authorize the IoT devices when they are roaming across metaverse platforms, and how the trustworthy shared storages interact with each other to support identity interoperability across storages. + +## History\* + +| Edition | Recommendation | Approval | Study Group | Unique ID | +|---------|----------------|------------|-------------|--------------------| +| 1.0 | ITU-T Y.4812 | 2025-03-01 | 20 | 11.1002/1000/16214 | + +## Keywords + +Functional requirements, identity, Internet of things, interoperability, IoT device, metaverse. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, and information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2025 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|---------------------------------------------------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere..... | 1 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of interoperability of identity of IoT devices across metaverses ..... | 2 | +| 7 | Technical features of identity interoperability for IoT devices across metaverse platforms..... | 4 | +| | 7.1 ID interoperability between IoT platform and metaverse platforms ..... | 5 | +| | 7.2 ID interoperability across metaverses in the same metaverse platforms..... | 6 | +| | 7.3 ID interoperability across metaverse platforms..... | 6 | +| 8 | Functional requirements of ID interoperability for IoT devices across metaverse platforms..... | 6 | +| | 8.1 Unique identity for IoT devices and corresponding digital entity..... | 6 | +| | 8.2 Identity identification and authentication..... | 7 | +| | 8.3 Data security and PII protection mechanisms ..... | 7 | +| | 8.4 Trustworthy storage for identity interoperability ..... | 7 | +| | 8.5 Multiple identity management policies ..... | 8 | +| 9 | Reference framework for identity interoperability for IoT devices across metaverse platforms..... | 8 | +| | 9.1 Traditional ID management..... | 9 | +| | 9.2 ID management across metaverses..... | 9 | +| | 9.3 IoT devices agent(s) ..... | 10 | +| | 9.4 Avatar agent(s) ..... | 10 | +| | 9.5 Storage agent(s) ..... | 10 | +| | 9.6 Reference points ..... | 10 | +| | 9.7 External systems..... | 10 | +| | Appendix I – Use cases of IoT devices to be used across metaverse platforms ..... | 12 | +| | I.1 Use case: Full-fledged IoT devices to be across metaverse platforms ..... | 12 | +| | I.2 Use case: Constrained IoT devices to be used across metaverse platforms ... | 13 | +| | Bibliography..... | 14 | + + + +# Recommendation ITU-T Y.4812 + +# Interoperability of the identity of Internet of things devices across metaverse platforms + +# 1 Scope + +This Recommendation describes identity interoperability for IoT devices across metaverse platforms, and provides relevant technical features, functional requirements and reference frameworks. + +The scope of this Recommendation includes: + +- Overview of interoperability of identity of IoT device across metaverse platforms. +- Technical features, and requirements of identity interoperability for IoT devices across metaverse platforms. +- Reference framework of identity interoperability for IoT devices across metaverse platforms. + +Use cases and analysis on the identity solutions for IoT devices across metaverses are provided in the appendix. + +NOTE – The Recommendation will not bring new underlying identity standards for IoT devices, and blockchain itself is outside the scope of this Recommendation. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[[ITU-T Y.4000](#)] Recommendation ITU-T Y.4000/Y.2060 (2012), *Overview of the Internet of things*. + +[[ITU-T Y.4811](#)] Recommendation ITU-T Y.4811 (2021), *Reference framework of converged service for identification and authentication for IoT devices in a decentralized environment*. + +# 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 application** [b-ITU-T Y.2091]: A structured set of capabilities, which provide value-added functionality supported by one or more services, which may be supported by an API interface. + +**3.1.2 blockchain** [b-ITU-T X.1400]: A type of distributed ledger which is composed of digitally recorded data arranged as a successively growing chain of blocks with each block cryptographically linked and hardened against tampering and revision. + +**3.1.3 decentralized system** [b-ITU-T X.1400]: Distributed system wherein the control is distributed among the persons or organizations participating in the operation of the system. + +**3.1.4 device** [ITU-T Y.4000]: With regard to the Internet of things, this is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing. + +**3.1.5 distributed ledger technology (DLT)** [b-ITU-T X.1400]: Technology that enables the operation and use of distributed ledgers. + +**3.1.6 identity** [b-ITU-T Y.2720]: Information about an entity that is sufficient to identify that entity in a particular context. + +**3.1.7 Internet of things (IoT)** [ITU-T Y.4000]: A global infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on, existing and evolving, interoperable information and communication technologies. + +NOTE 1 – Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. + +NOTE 2 – From a broad perspective, the IoT can be perceived as a vision with technological and societal implications. + +**3.1.8 metaverse** [b-ITU FGMV-20]: An integrative ecosystem of virtual worlds offering immersive experiences to users, that modify pre-existing and create new value from economic, environmental, social and cultural perspectives. + +**3.1.9 personally identifiable information (PII)** [b-ISO/IEC 29100]: Any information that (a) can be used to identify the PII principal to whom such information relates, or (b) is or might be directly or indirectly linked to a PII principal. + +**3.1.10 thing** [ITU-T Y.4000]: With regard to the Internet of things, this is an object of the physical world (physical things) or of the information world (virtual things), which is capable of being identified and integrated into the communication networks. + +### **3.2 Terms defined in this Recommendation** + +None. + +# **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|-------------------------------------| +| ID | Identity | +| IoT | Internet of Things | +| PII | Personally Identifiable Information | +| SSO | Single Sign-On | + +# **5 Conventions** + +None. + +# **6 Overview of interoperability of identity of IoT devices across metaverses** + +With regard to the Internet of things (IoT), each thing, called an IoT device in this Recommendation, is a piece of equipment with the mandatory capabilities of communication and the optional capabilities of sensing, actuation, data capture, data storage and data processing [ITU-T Y.4000]. In the metaverse, IoT devices could obtain real-world environmental data and realize virtual and real interaction. IoT devices can transmit data to the virtual world and interact between the virtual world and the physical world [b-ITU FGMV-31]. Each IoT device has a single or multiple unique identities + +in multiple IoT systems. An identity usually includes a unique identifier and a corresponding identity object [ITU-T Y.4811]. The unique identifier identifies the corresponding IoT device, and the corresponding identity object usually includes information to resolve the identity of the IoT device, and to authenticate the IoT device. + +Figure 6-1 provides an overview of identity interoperability. + +![Figure 6-1: Overview of identity interoperability. The diagram illustrates the flow of identity information between the Physical World and the Virtual World (Metaverse).](562f471e8153729557e6a4ee6343c32c_img.jpg) + +The diagram is divided into two main sections: **VIRTUAL WORLD** (top) and **PHYSICAL WORLD** (bottom). + +**PHYSICAL WORLD:** Contains four entities: + + +- User: Alice** (represented by a person icon) connected to **IoT: ID1** (a pink box). +- Device: Building** (represented by a building icon) connected to **IoT: ID2** (a pink box). +- Device: Bicycle** (represented by a bicycle icon) connected to **IoT: ID3** (a pink box). +- User: Bob** (represented by a person icon) connected to **IoT: ID4** (a pink box). + +**VIRTUAL WORLD:** Contains three metaverse platforms: + + +- Metaverse platform 1** (dashed blue box) containing: + - Metaverse A** (blue oval) with Alice (Avatar), a gingerbread man, and a bicycle. Data: ID4 is associated with the gingerbread man. + - Metaverse C** (blue oval) with a Building (Avatar), a robot, and a cat. Data: ID1 is associated with the robot, and Data: ID2 is associated with the cat. +- Metaverse platform 2** (dashed blue box) containing: + - Metaverse B** (green oval) with a Bicycle (Avatar) and Bob (Avatar). Data: ID3 is associated with the bicycle, and Data: ID4 is associated with Bob. + +**Interactions and Data Flow:** + +- Red lines:** Connect physical users to their respective avatars (Alice to Metaverse A, Bob to Metaverse B). +- Green lines:** Connect IoT devices to their respective avatars (IoT: ID1 to Metaverse C, IoT: ID2 to Metaverse C, IoT: ID3 to Metaverse B, IoT: ID4 to Metaverse B). +- Blue arrows:** + - (1) Move to C: From Alice (Avatar) in Metaverse A to the Building (Avatar) in Metaverse C. + - (2) Move to A: From Bob (Avatar) in Metaverse B to the gingerbread man in Metaverse A. + - (3) Move to A: From the Bicycle (Avatar) in Metaverse B to the bicycle in Metaverse A. +- Dotted green lines:** Represent the transfer of environmental information from IoT devices to the new metaverse platform where the avatar is moving (e.g., from IoT: ID1 in Metaverse C to Metaverse A). +- Yellow box:** Labeled "ID interoperability", it is positioned at the center of the Metaverse cross-platform interface, indicating the mechanism for sharing IDs across platforms. + +**Legends:** + +- IDx:** ID in physical world +- IDx:** ID assigned in metaverse platform 1 +- IDx:** Interoperable ID + +Y.4812(25) + +Figure 6-1: Overview of identity interoperability. The diagram illustrates the flow of identity information between the Physical World and the Virtual World (Metaverse). + +**Figure 6-1 – Overview of identity interoperability** + +In Figure 6-1, there are two metaverse platforms 1 and 2, and one real world, and there are two metaverses A and C in metaverse platform 1, and there is also one metaverse B in metaverse platform 2. + +User Alice is connected to metaverse A (shown by the red line) with her environmental information, for example, her body temperature, head movement and eye tracking information (shown by the green line), which is sensed by IoT devices with ID1. When Alice's avatar moves to metaverse C in the same platform as shown in (1) with a darker green arrow on the figure, the environmental information can be transferred from the same IoT device by using the same ID, i.e., ID1. Such ID can be used in the same manner within the same metaverse platform. + +User Bob is connected to metaverse B (shown by the red line) and his environmental information (shown by the green line), which is sensed by IoT devices with ID4. When Bob's avatar moves to metaverse A in the different platform as shown in (2) with the blue arrow in the figure, the environmental information needs to be transferred from the same IoT device (shown as the dotted green line). In this case, metaverse A needs to recognize ID4, in order to utilize the IoT device with ID4 from metaverse A. To do this, IDs of IoT devices need to be interoperable. + +In the same manner, assets (bicycle) with ID3 in the figure, as shown in (3) with the blue arrow in the figure, and buildings with ID2 can be used in other metaverses of different platforms by ID interoperability, when these move to the other metaverses (shown as a dotted green line). + +![Figure 6-2: Three scenarios for identity interoperability. The diagram is divided into a VIRTUAL WORLD (top) and a PHYSICAL WORLD (bottom). The VIRTUAL WORLD is split into Metaverse platform 1 and Metaverse platform 2, connected by a Metaverse cross-platform interface. Metaverse platform 1 contains Metaverse A, B, and C. Metaverse A has Alice (Avatar) A-ID1 and a bicycle B-ID3. Metaverse B has a bicycle B-ID3 and Bob (Avatar) B-ID4. Metaverse C has Alice (Avatar) C-ID1 and buildings C-ID2. Metaverse platform 2 contains Metaverse B with a bicycle B-ID3 and Bob (Avatar) B-ID4. The PHYSICAL WORLD shows User: Alice (ID1), IoT device: Building (ID2), IoT device: Bicycle (ID3), and User: Bob (ID4). A legend indicates: blue arrow for ID interoperability between metaverse platforms, red arrow for ID interoperability between metaverses, and green arrow for ID interoperability between IoT platforms and metaverses.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +**VIRTUAL WORLD** + +Metaverse platform 1 + +Metaverse platform 2 + +Metaverse cross-platform interface + +Metaverse A + +Metaverse B + +Metaverse C + +Alice (Avatar) A-ID1 + +Alice (Avatar) C-ID1 + +Buildings (Digital entity) C-ID2 + +Bicycle (Digital entity) B-ID3 + +Bob (Avatar) B-ID4 + +Legends + +- ID interoperability between metaverse platforms +- ID interoperability between metaverses +- ID interoperability between IoT platforms and metaverses + +User: Alice (ID1) + +IoT device: Building (ID2) + +IoT device: Bicycle (ID3) + +User: Bob (ID4) + +**PHYSICAL WORLD** + +Y.4812(25) + +Figure 6-2: Three scenarios for identity interoperability. The diagram is divided into a VIRTUAL WORLD (top) and a PHYSICAL WORLD (bottom). The VIRTUAL WORLD is split into Metaverse platform 1 and Metaverse platform 2, connected by a Metaverse cross-platform interface. Metaverse platform 1 contains Metaverse A, B, and C. Metaverse A has Alice (Avatar) A-ID1 and a bicycle B-ID3. Metaverse B has a bicycle B-ID3 and Bob (Avatar) B-ID4. Metaverse C has Alice (Avatar) C-ID1 and buildings C-ID2. Metaverse platform 2 contains Metaverse B with a bicycle B-ID3 and Bob (Avatar) B-ID4. The PHYSICAL WORLD shows User: Alice (ID1), IoT device: Building (ID2), IoT device: Bicycle (ID3), and User: Bob (ID4). A legend indicates: blue arrow for ID interoperability between metaverse platforms, red arrow for ID interoperability between metaverses, and green arrow for ID interoperability between IoT platforms and metaverses. + +**Figure 6-2 – Three scenarios for identity interoperability** + +As Figure 6-2 shows, the ID of Alice's avatar ID1 in the metaverse A can be named A-ID1; similarly, Alice's avatar in the metaverse C can be named C-ID1, and Bob's avatar in the metaverse B can be named B-ID4. There are three scenarios for identity interoperability. The IDs in the physical world interoperate with the IDs in the metaverse, e.g., ID1 and A-ID1 (shown in green arrow), the interoperability between different metaverses in one metaverse platform, e.g., A-ID1 and C-ID1 (shown in red arrow), and interoperability across metaverse platforms, e.g., A-ID4 and B-ID4 (shown in blue arrow). This deliverable focuses only on the interoperability across metaverse platforms. + +# 7 Technical features of identity interoperability for IoT devices across metaverse platforms + +Identity (ID) interoperability refers to the transfer of the entities' IDs between different metaverse platforms. Although, it may take advantage of entities to maintain unified IDs across multiple metaverse platforms [b-ITU FGMV-19], there are challenges; how the metaverses identify, authenticate and authorize the IoT devices when the digital entity of IoT devices are roaming across metaverse platforms (see Figure 7-1), and how the trustworthy shared storages interact with each other to support ID interoperability across storage. + +![Figure 7-1: Technical feature of identity interoperability across metaverse platforms. The diagram illustrates three main cases of identity interoperability: 1) Within a single metaverse platform (A, B, or C), interoperability exists between different metaverses (e.g., Metaverse 1 and 2 in platform A). 2) Across different metaverse platforms (A, B, and C), interoperability is shown between their respective metaverses. 3) Between IoT platforms and metaverse platforms, where IoT devices (containing identities) interact with trustworthy shared storage (1, 2, 3) to store or retrieve identity data. A legend defines the symbols: solid double-headed arrows for intra-platform interoperability, dashed double-headed arrows for inter-platform interoperability, red solid arrows for IoT-metaverse interoperability, green dashed arrows for IoT-device/storage interoperability, solid boxes for metaverse platforms, dotted boxes for IoT platforms, and dashed boxes for trustworthy storage.](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +Y.4812(25) + +Figure 7-1: Technical feature of identity interoperability across metaverse platforms. The diagram illustrates three main cases of identity interoperability: 1) Within a single metaverse platform (A, B, or C), interoperability exists between different metaverses (e.g., Metaverse 1 and 2 in platform A). 2) Across different metaverse platforms (A, B, and C), interoperability is shown between their respective metaverses. 3) Between IoT platforms and metaverse platforms, where IoT devices (containing identities) interact with trustworthy shared storage (1, 2, 3) to store or retrieve identity data. A legend defines the symbols: solid double-headed arrows for intra-platform interoperability, dashed double-headed arrows for inter-platform interoperability, red solid arrows for IoT-metaverse interoperability, green dashed arrows for IoT-device/storage interoperability, solid boxes for metaverse platforms, dotted boxes for IoT platforms, and dashed boxes for trustworthy storage. + +**Figure 7-1 – Technical feature of identity interoperability across metaverse platforms** + +Figure 7-1 shows the ID interoperability of IoT devices across metaverses and mainly includes three cases: + +- ID interoperability between IoT platforms and metaverse platforms; +- ID interoperability across different metaverses in the same metaverse platform; +- ID interoperability across metaverse platforms. + +The ID of an IoT device is usually stored in trustworthy shared storages (such as DLT systems) [ITU-T Y.4811]. Metaverses may also entrust their identity-related data to trustworthy shared storages. If a metaverse supports ID interoperability for IoT devices, it should exchange identity-related data with external IoT devices through independent trustworthy shared storages. + +In the case of sharing IDs, if a given IoT device is roaming across metaverses, the IoT devices and the metaverses should exchange the shared identity-related data in order to identify and authenticate with each other, through the trustworthy shared storages. + +### 7.1 ID interoperability between IoT platform and metaverse platforms + +Users and IoT devices generate corresponding digital entities in the metaverses. The ID in the IoT platform and the ID in the metaverse platform are managed independently. ID interoperability between IoT platforms and metaverse platforms can be realized through external services such as third-party platforms (e.g., blockchain platforms). + +An IoT device can be connected to multiple metaverses to generate multiple different digital entities like avatars. IoT devices and their corresponding digital entities in the metaverse are independent of one another. If the IoT device is an access device sensing the user's behaviour, the IoT device can share the same digital entity and ID with the user. If the IoT device and user are independent of each other, the IoT device can generate its own digital entity in the metaverse platform. In order to guarantee a trustworthy exchange of ID data, the ID of IoT devices may be stored in trustworthy shared storages, not in metaverses. + +## **7.2 ID interoperability across metaverses in the same metaverse platforms** + +In the same metaverse platform, the IoT device information can be transferred from the same IoT device by using the same ID. Independent end-to-end identification and authentication can be supported between digital entities in the same metaverse. + +Different digital entities of the same IoT device can be directly identified and authenticated through signatures. Correspondingly, the digital entities of different IoT devices will be assisted by external authentication systems to identify and authenticate. The data generated during ID interoperability across digital entities can be stored on the metaverse or on external trustworthy storage as required. + +## **7.3 ID interoperability across metaverse platforms** + +The ID interoperability of the cross metaverse platforms requires ID identification and authentication across platforms. Multiple digital entities of one IoT device on different metaverse platforms are independent from one another. The operation of one digital entity in one metaverse platform does not affect other digital entities in the same metaverse or in other metaverses. ID interoperability across the metaverse platform provides a variety of ID identification and authentication mechanisms and can also invoke external ID identification, and authentication systems for ID resolution. The mechanisms and policies for identification and authentication are jointly determined by the participants in the metaverse platforms. The identity object [ITU-T Y.4811] contains the information required for identification and authentication. The data generated by the ID interoperability will be stored on multiple metaverse platforms, and can also be stored on external trustworthy storage. The identity object contains information about the data storage. + +# **8 Functional requirements of ID interoperability for IoT devices across metaverse platforms** + +## **8.1 Unique identity for IoT devices and corresponding digital entity** + +All digital entities have a distinguishable identifier to ensure uniqueness within the home metaverse platform. This identifier needs to be globally unique when combined with a metaverse identifier for digital entities across metaverse platforms. One IoT device can have multiple digital entities, and the IoT device may be able to select a digital entity or multiple digital entities for moving to the other metaverse depending on the policy of the metaverse platform. + +- It is recommended to generate a corresponding digital entity in the metaverse of the IoT device, which has separate IDs if the IoT device is independent from the user (IDIHR-101 of [b-ITU FGMV-19]). +- It is recommended that the assignment of the unique identifier is carried out using cryptographic techniques to ensure security and prevent tampering (GENHR-003 of [b-ITU FGMV-19]). +- It is recommended to use traditional IoT device identification methods such as OID, Handle, and ECode, or use new decentralized IoT device identification methods such as DID for ID interoperability across metaverses. + +- When IoT devices have one unique identifier, it is required to provide globally unique identifiers for consistent identification as the digital entity moves to different metaverse platforms. +NOTE – The examples of the unique ID are MAC address and digital object identifier (DOI). +- It is recommended that the unique identifier embeds metadata related to the digital entity for creation date, originating platform, version information, and other information. + +### 8.2 Identity identification and authentication + +Identification and authentication of IoT devices in metaverse platforms are necessary to ensure secure and transparent record creation, authentication, validation and updating. The candidate technology includes blockchain technology, the unique identifier linked to a user's decentralized digital identity, and centralized registry or database storing unique identifiers. + +For different cross-platform situations, the ID identification and authentication processes for IoT devices and corresponding avatars are also different. + +- It is recommended to enable digital entities of IoT devices in a metaverse platform to perform end-to-end identification and authentication with other digital entities in one or other metaverse platforms directly. For ID interoperability between the IoT platform and the metaverse platform, it is recommended to introduce an external systems platform to assist trustworthy identification and authentication between IoT devices and digital entities. +- For different metaverses in the same metaverse platform, it is recommended that end-to-end identification and authentication can be carried out directly between digital entities. +- For different metaverse platforms, ID identification and authentication between digital entities are required to meet the requirements of ID management of different platforms. +- It is required for users to be able to link or unlink their ID to other platforms. +NOTE – If a user is linked to a metaverse platform, the platform can access the profile consented to by the user. + +### 8.3 Data security and PII protection mechanisms + +In the process of ID interoperability, there may be threats such as data leakage and identity theft. Personally identifiable information (PII) protection mechanisms should be provided to improve ID security. + +- It is recommended to provide security mechanisms for ID data processing (e.g., storage, transmission, validation) across metaverse platforms. +NOTE – Blockchain technology might be used for secure and transparent record creation, authentication, validation and updating. +- It is recommended to ensure the security of ID storage, including the encryption, access control and security audit of identity information. + +## 8.4 Trustworthy storage for identity interoperability + +Trustworthy storage is used to store the ID of IoT devices and digital entities, ID authentication information, identity interoperability information, and so on. + +- It is recommended to have a capability for connecting external storage to accommodate data volume growth in metaverses. +- It is recommended to ensure maintainable storage for identity, which means the system can be easily upgraded, backed up, and restored to ensure metaverse stability and availability. +- It is recommended to support a single sign-on (SSO) across platforms. + +## 8.5 Multiple identity management policies + +ID management policy refers to a comprehensive strategy for creating, authenticating, authorizing, monitoring and revoking the IDs of users, devices, applications, and other entities in an effective, secure, and compliant digital environment. For different countries and/or enterprises, the ID management policy might be different. For the metaverse platform, the ID management policy may be jointly decided by the metaverse company, the government and the regulatory authorities. + +IoT platforms and metaverses have different ID management policies. ID interoperability follows different management policies, especially for cross-metaverse platforms. + +IoT devices in IoT platforms and digital entities in metaverses use the same or different ID management policies. The type of interoperability policy to be used depends on the specific scenario. + +- It is recommended to evaluate the reputation of IoT devices which move from other platforms to determine whether to allow the move. +- It is recommended to be able to determine the eligibility for moving based on the criteria of the target metaverse such as the age and appearance of users intending to transfer from other platforms. +- It can optionally check the reputation of the user belonging to another platform through the agreement between platforms (IDIHR-104 of [b-ITU FGMV-19]). +- It is required that the reputation data is written in a standardized way for the compatibility of reputation evaluation between platforms (IDIHR-104 of [b-ITU FGMV-19]). +- It is required for metaverse platforms to manage digital entities' access from other platforms based on the identity. +NOTE – This identity can be received from other metaverse platforms or obtained in a variety of ways, such as DID and blockchain. +- It is required to support the ID policies of each platform for ID interoperability. ID management policies may be set by governments or by companies. + +# 9 Reference framework for identity interoperability for IoT devices across metaverse platforms + +Figure 9-1 is a schematic diagram of the reference framework for ID interoperability across metaverses. ID interoperability across the metaverses includes ID interoperability between IoT platforms and metaverse platforms (R1); ID interoperability between IoT platforms, metaverse platforms, and trustworthy storage (R2); ID interoperability for different avatars in the same metaverse platform (R3); ID interoperability between different avatars across multiple metaverse platforms (R4); ID interoperability between metaverse platforms and external authentication systems (R5); ID interoperability between IoT device and trustworthy storage (R6). + +![Figure 9-1: Reference framework for identity interoperability across metaverse platforms. The diagram illustrates a multi-layered architecture. At the top, an 'External system' box contains 'Attestation system(s)' and 'Identity management and supporting system(s)', both connected to the main framework via interface R5. The main framework consists of 'Metaverse platform A' and 'Metaverse platform B'. 'Metaverse platform A' is detailed with internal components: 'Metaverse A' (containing 'Avatar agent(s)' and 'Traditional identity management'), 'Identity management across metaverse', and 'Device agent(s)' and 'Storage agent(s)'. 'Metaverse B' has similar components. 'Metaverse platform B' is shown as a stack of 'Metaverses'. 'IoT platform' (containing 'IoT devices') and 'Trustworthy storage' are at the bottom. Interconnections are labeled: R1 connects 'IoT platform' to 'Metaverse platform A'; R2 connects 'IoT platform' to 'Metaverse platform B'; R3 connects 'Metaverse A' to 'Metaverse B'; R4 connects 'Metaverse B' to 'Metaverse platform B'; R6 connects 'IoT platform' to 'Trustworthy storage'. The diagram is labeled Y.4812(25) in the bottom right corner.](33ed1f9b27c7c21c797aa928b0f06851_img.jpg) + +Figure 9-1: Reference framework for identity interoperability across metaverse platforms. The diagram illustrates a multi-layered architecture. At the top, an 'External system' box contains 'Attestation system(s)' and 'Identity management and supporting system(s)', both connected to the main framework via interface R5. The main framework consists of 'Metaverse platform A' and 'Metaverse platform B'. 'Metaverse platform A' is detailed with internal components: 'Metaverse A' (containing 'Avatar agent(s)' and 'Traditional identity management'), 'Identity management across metaverse', and 'Device agent(s)' and 'Storage agent(s)'. 'Metaverse B' has similar components. 'Metaverse platform B' is shown as a stack of 'Metaverses'. 'IoT platform' (containing 'IoT devices') and 'Trustworthy storage' are at the bottom. Interconnections are labeled: R1 connects 'IoT platform' to 'Metaverse platform A'; R2 connects 'IoT platform' to 'Metaverse platform B'; R3 connects 'Metaverse A' to 'Metaverse B'; R4 connects 'Metaverse B' to 'Metaverse platform B'; R6 connects 'IoT platform' to 'Trustworthy storage'. The diagram is labeled Y.4812(25) in the bottom right corner. + +**Figure 9-1 – Reference framework for identity interoperability across metaverse platforms** + +### 9.1 Traditional ID management + +Traditional ID management provides management services for the whole management process of ID generation, transmission, storage and resolution, as follows: + +- generating unique IDs and corresponding ID objects, which can have aliases, but all refer to unique entities; +- providing ID data transmission services, supporting identification and authentication services on different platforms; and +- providing ID endorsement management services; different platforms have different ID management strategies and policies, and traditional management functions can coordinate and match ID resolution requirements for ID interoperability. + +NOTE – The traditional ID management function provides some basic abilities of ID management across metaverses, which is out of the scope of this Recommendation. + +### 9.2 ID management across metaverses + +Compared with the traditional ID management module, the ID management across metaverses adds capabilities as follows: + +- providing ID management policies for digital entities in metaverses, such as ID generation, identification, transmission, backup; +- providing ID authentication and resolution across metaverses. The metaverse platform may have multiple ID authentication policies, and ID management across metaverses can manage different policies for ID interoperability; and + +- providing data management across metaverses. The upload and download of data need to be encrypted or packaged according to the relevant policies, and the data across metaverses will be stored on the metaverse platform or external trustworthy storage according to the policy. + +## **9.3 IoT devices agent(s)** + +IoT devices agents interact with IoT devices, which provide capabilities as follows: + +- interacting with IoT devices. One IoT devices agent can serve one or more IoT devices; +- supporting IoT devices to identify and authenticate digital entity of IoT devices mutually, end-to-end; and +- supporting IoT devices to manage policy related to their identities such as where to store, how to resolve ID and how to interact with digital entities. + +### **9.4 Avatar agent(s)** + +Avatar agents interact with digital entity of IoT devices in the same or other metaverse platforms, which provide capabilities as follows: + +- interacting with digital entity of IoT devices. One avatar agent can serve one or more IoT devices; +- supporting digital entity of IoT devices to identify and authenticate digital entity of IoT devices mutually, end-to-end; and +- supporting digital entity of IoT devices to manage policies related to their IDs such as where to store, how to resolve ID and how to interact with other avatars. + +### **9.5 Storage agent(s)** + +Storage agents interact with decentralized systems and clouds, which provide capabilities as follows: + +- connecting trustworthy storage to store and retrieve identity information of digital entities and IoT devices; and +- connecting trustworthy storage to store and retrieve modules for identifying and authenticating identities. + +### **9.6 Reference points** + +There are a group of reference points for interoperability across metaverses, including: + +- R1: for IoT devices to interact with digital entities and to identify and authenticate avatar IDs; +- R2: for trustworthy storage to store the ID and ID object information of avatars; +- R3: for ID interoperability between digital entities in the same metaverse platform; +- R4: for ID interoperability across multiple metaverse platforms; +- R5: for digital entities to interact with external authentication systems for identity endorsement and authentication; +- R6: for trustworthy storage to store the ID and ID object information of digital entities. + +### **9.7 External systems** + +#### **9.7.1 Attestation system** + +There may be one or multiple attestation systems deployed by the same or different operators. An attestation system provides capabilities related to ID endorsement, as follows: + +- receiving and endorsing IDs of digital entities if requested; and +- creating and endorsing IDs for digital entities if requested, optionally. + +#### **9.7.2 ID management and supporting system** + +In addition to the metaverse platforms, external platforms also provide ID management capabilities, as follows: + +- supporting to identify and authenticate ID of digital entities; +- supporting to manage ID of digital entities of IoT devices; +- supporting to manage the policies related to the ID of digital entities of IoT devices; and +- works on the converged service for the identification and authentication for IoT devices in decentralized environment (CSIADE) specified in [ITU-T Y.4811]. + +# Appendix I + +## Use cases of IoT devices to be used across metaverse platforms + +(This appendix does not form an integral part of this Recommendation.) + +This appendix provides representative use cases of IoT devices to be used across metaverses in aspects of interoperability of identity. + +NOTE – [ITU-T Y.4811] provides a converged service for the identification and authentication for IoT devices in decentralized environment (CSIADE), which can facilitate IoT devices and metaverses to identify and authenticate each other in IoT decentralized environments. + +### I.1 Use case: Full-fledged IoT devices to be across metaverse platforms + +This use case shows full-fledged IoT devices are roaming across multiple metaverses. + +#### I.1.1 Description + +With the support of CSIADE, the full-fledged IoT devices and metaverses can generate and store their identities in trustworthy shared storage (see Figure I.1). + +When full-fledged IoT devices are roaming across metaverses, the metaverses and the full-fledged IoT devices can retrieve and verify the IDs of their counterparts through the CSIADE. After that, they can identify and authenticate each other, and then the metaverses can authorize and perform services to the full-fledged IoT device. + +![Diagram illustrating the use case of full-fledged IoT devices roaming across multiple metaverse platforms (Metaverse A, B, and C) using the CSIADE (Converged Service for Identification and Authentication in Decentralized Environment) framework. The diagram shows the flow of identity exchange and service performance between the devices and the metaverses.](124c6108c63173818afb8ed49521e22d_img.jpg) + +The diagram illustrates the use case of full-fledged IoT devices roaming across multiple metaverse platforms (Metaverse A, B, and C) using the CSIADE (Converged Service for Identification and Authentication in Decentralized Environment) framework. The diagram shows the flow of identity exchange and service performance between the devices and the metaverses. + +Key components and interactions: + +- Roaming across metaverses:** A blue arrow at the top indicates the movement of IoT devices across Metaverse A, Metaverse B, and Metaverse C. +- Identification authentication authorization service:** A cloud icon on the left representing the service provided by the metaverses. +- Full-fledged IoT devices:** A stack of device icons at the bottom left. +- CSIADE (Defined in [ITU-T Y.4811]):** A central dashed box containing: + - Trustworthy shared storages:** A dashed box containing **Identities (Identifier and corresponding identity object)**. + - Attestation systems:** A dashed box containing **Identity endorsements**. +- Exchanging identities:** Red dashed arrows show the flow of identity information between the IoT devices and the CSIADE, and between the CSIADE and the metaverses. +- Identifying each other and performing services:** Black dashed arrows show the flow of service requests and responses between the IoT devices and the metaverses. + +Legend: ----- Identifying each other and performing services      - - - - - Exchanging identities + +Y.4812(25) + +Diagram illustrating the use case of full-fledged IoT devices roaming across multiple metaverse platforms (Metaverse A, B, and C) using the CSIADE (Converged Service for Identification and Authentication in Decentralized Environment) framework. The diagram shows the flow of identity exchange and service performance between the devices and the metaverses. + +**Figure I.1 – Full-fledged IoT devices to be used across metaverse platforms** + +#### I.1.2 Assumptions + +The assumptions related to this scenario include the following: + +- It is assumed that metaverse platforms are independent from one another. +- It is assumed that I/O devices are independent of metaverse platforms. +- It is assumed that trustworthy shared storages and attestation systems are provided. + +### I.2 Use case: Constrained IoT devices to be used across metaverse platforms + +This use case shows constrained IoT devices roaming across multiple metaverses. + +#### I.2.1 Description + +Constrained IoT devices usually connect to metaverses via IoT gateways. With the support of CSIADE and IoT gateways, the constrained IoT devices and metaverses can generate and store their IDs in trustworthy shared storages (see Figure I.2). + +When a constrained IoT device is roaming across metaverses, the metaverses and the IoT gateways (on behalf of the constrained IoT device) can retrieve and verify the IDs of their counterparts through the CSIADE. After that, they can identify and authenticate each other, and then the metaverses can authorize and perform services to the constrained IoT device. + +![Diagram illustrating the use case of constrained IoT devices roaming across multiple metaverse platforms (A, B, and C). The diagram shows the interaction between the IoT gateways, constrained IoT devices, and the CSIADE (Centralized System for Identity and Authentication and Data Exchange) for managing identities and identity endorsements.](898fb89a50d9ec1dfb4e425c816976a7_img.jpg) + +The diagram illustrates the process of constrained IoT devices roaming across multiple metaverse platforms (A, B, and C). The components and interactions are as follows: + +- Metaverse A, B, and C:** Represented by clouds at the top. A blue arrow labeled "Roaming across metaverses" points from Metaverse A to Metaverse B. +- IoT gateways and Constrained IoT devices:** Located on the left, connected to Metaverse A. The gateways act as intermediaries between the devices and the metaverses. +- Identification authentication authorization service:** A service that interacts with the IoT gateways and the CSIADE. +- CSIADE (Defined in [ITU-T Y.4811]):** A central system for managing identities and identity endorsements, containing: + - Trustworthy shared storages:** Used for storing identities (Identifier and corresponding identity object). + - Attestation systems:** Used for identity endorsements. +- Interactions:** + - Identifying each other and performing services:** Indicated by dashed black lines between the IoT gateways, metaverses, and CSIADE. + - Exchanging identities:** Indicated by dashed red lines between the IoT gateways, metaverses, and CSIADE. + +Legend: +----- Identifying each other and performing services +----- Exchanging identities + +Y.4812(25) + +Diagram illustrating the use case of constrained IoT devices roaming across multiple metaverse platforms (A, B, and C). The diagram shows the interaction between the IoT gateways, constrained IoT devices, and the CSIADE (Centralized System for Identity and Authentication and Data Exchange) for managing identities and identity endorsements. + +**Figure I.2 – Constrained IoT devices to be used across metaverse platforms** + +#### I.2.2 Assumptions + +The assumptions related to this scenario include the following: + +- It is assumed that metaverse platforms are independent from one another. +- It is assumed that IoT devices are independent of metaverse platforms. +- It is assumed that trustworthy shared storages and attestation systems are provided. + +# Bibliography + +- [b-ITU-T X.1400] Recommendation ITU-T X.1400 (2020), *Terms and definitions for distributed ledger technology*. +- [b-ITU-T Y.2091] Recommendation ITU-T Y.2091 (2011), *Terms and definitions for next generation networks*. +- [b-ITU-T Y.2720] Recommendation ITU-T Y.2720 (2009), *NGN identity management framework*. +- [b-ITU FGMV-19] Technical Specification ITU FGMV-19 (2023), *Service scenarios and high-level requirements for metaverse cross-platform interoperability*. +- [b-ITU FGMV-20] Technical Specification ITU FGMV-20 (2023), *Definition of metaverse*. +- [b-ITU FGMV-31] Technical Specification ITU FGMV-31 (2024), *Requirements, functional framework and capability of IoT for metaverse*. +- [b-ISO/IEC 29100] ISO/IEC 29100:2024, *Information technology – Security techniques – Privacy framework*. +<> + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | 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b/marked/Y/T-REC-Y.4903-202203-I_PDF-E/raw.md @@ -0,0 +1,1900 @@ + + +# ITU-T + +TELECOMMUNICATION +STANDARDIZATION SECTOR +OF ITU + +## Y.4903 + +(03/2022) + +SERIES Y: GLOBAL INFORMATION +INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, +NEXT-GENERATION NETWORKS, INTERNET OF +THINGS AND SMART CITIES + +Internet of things and smart cities and communities – +Evaluation and assessment + +--- + +**Key performance indicators for smart +sustainable cities to assess the achievement of +sustainable development goals** + +Recommendation ITU-T Y.4903 + +# ITU-T Y-SERIES RECOMMENDATIONS + +# GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +| | | +|--------------------------------------------------------------------|----------------------| +| GLOBAL INFORMATION INFRASTRUCTURE | | +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | +| INTERNET PROTOCOL ASPECTS | | +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | +| NEXT GENERATION NETWORKS | | +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | +| FUTURE NETWORKS | Y.3000–Y.3499 | +| CLOUD COMPUTING | Y.3500–Y.3599 | +| BIG DATA | Y.3600–Y.3799 | +| QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | +| INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES | | +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4903 + +# Key performance indicators for smart sustainable cities to assess the achievement of sustainable development goals + +## Summary + +Recommendation ITU-T Y.4903 provides key performance indicators (KPIs) for smart sustainable cities (SSCs) and general principles for selecting KPIs to help cities achieve sustainable development goals (SDGs). + +This Recommendation provides a means to benchmarking and disseminating best practices in utilizing ICTs and other technologies to enhance cities' sustainability and connect their smart strategies to the SDGs through an inclusive process. + +These KPIs are designed to evaluate the role and performance of information communication technologies (ICTs) in the three dimensions of a city: economics, environment, and society and culture. The indicators are uniquely coordinated to allow cities to measure their progress on reaching the ambitious targets set by the SDGs. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|---------------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4903/L.1603 | 2016-10-07 | 5 | 11.1002/1000/12884 | +| 2.0 | ITU-T Y.4903 | 2022-03-09 | 20 | 11.1002/1000/14173 | + +## Keywords + +Economy, environment, information and communication technologies (ICTs), key performance indicators (KPIs), smart sustainable cities (SSCs), society and culture, sustainable development goals (SDGs). + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2022 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | Page | +|---------------------------------------------------------------------|-------------| +| 1 Scope..... | 1 | +| 2 References..... | 1 | +| 3 Definitions ..... | 1 | +| 3.1 Terms defined elsewhere..... | 1 | +| 3.2 Terms defined in this Recommendation..... | 2 | +| 4 Abbreviations and acronyms ..... | 2 | +| 5 Conventions ..... | 3 | +| 6 General principles for selecting key performance indicators ..... | 3 | +| 7 Key performance indicators structure..... | 4 | +| 8 Key performance indicators numbering convention..... | 10 | +| 9 Key performance indicators – Economy dimension..... | 11 | +| 10 Key performance indicators – Environment dimension ..... | 56 | +| 11 Key performance indicators – Society and culture dimension ..... | 73 | +| Bibliography..... | 103 | + +## Introduction + +These key performance indicators for smart sustainable cities have been developed to provide cities with a consistent and standardised method to collect data and measure the performance and progress of: + +- achieving the Sustainable Development Goals (SDGs); +- becoming a smarter city; and +- becoming a more sustainable city. + +The indicators enable cities to measure their progress over time, compare their performance to other cities and through analysis and sharing allow for the dissemination of best practices and set standards for progress in meeting the SDGs at the city level. + +Each indicator forms part of a holistic view of a city's performance in three dimensions; economy, environment, and society and culture. Each of these dimensions provides a separate view of progress and when reported together provides a holistic view of a smart sustainable city (SSC). + +Within each dimension, there are sub-dimensions that focus on more specific areas of performance and progress. An example is the ICT Infrastructure sub-dimension which provides a more in-depth view of how ICTs are deployed and used within a city. + +The indicators are further subdivided into core and advanced indicators. Core indicators are those that should be able to be reported on by all cities. They provide a basic outline of smartness and sustainability, and higher levels of performance can generally be achievable. Advanced indicators provide a more in-depth view of a city and measure progress on more advanced initiatives; however, they may be beyond the current capabilities of some cities to report or implement. + +Each indicator has been chosen through a process of review and input by ITU members as well as international experts and UN agencies, programmes and secretariats to ensure that the data collected supports the SDGs, is relevant to measuring progress to becoming smarter and more sustainable. + +To ensure that cities are more easily able to collect data and to ensure that reported indicator values are consistent, each indicator has a description for: + +- the rationale for choosing the indicator; +- how the indicator should be interpreted; +- what benchmarking trends are considered desirable; +- the methodology for calculating the value to be reported; and +- potential sources of data. + +This collection methodology for the key performance indicators for smart sustainable cities provides cities with a methodology on how to collect data or information from key performance indicators (KPIs) for smart sustainable cities. This set of KPIs for SSC was developed to establish the criteria to assess the smartness and sustainability of a city, and to provide cities with the means for self-assessments towards SDGs. + +# Recommendation ITU-T Y.4903 + +## Key performance indicators for smart sustainable cities to assess the achievement of sustainable development goals + +## 1 Scope + +This Recommendation outlines the key performance indicators (KPIs) for smart sustainable cities (SSCs) and establishes the criteria to evaluate ICT's contributions in making cities smarter and more sustainable and provide cities with the means for self-assessment in order to achieve the sustainable development goals (SDGs). Evaluating these indicators can help cities as well as their stakeholders understand to what extent they may be perceived as achieving their smart and sustainable goals. This Recommendation is expected to drive corporations and partnerships at all levels in unlocking the full potential of cities' smart strategies, developing transformative solutions to tackle smart sustainable cities' challenges and achieving the SDGs. The KPIs are based on key dimensions of a city: economics, environment, and society and culture. + +This Recommendation is aimed at cities and related administrations, but can be utilized by a variety of stakeholders, such as public and private partners and academia, to enable strategy development, information sharing, understand the city's progress, and assess the SSC's development. + +The intention of identifying the KPIs is to establish a means to evaluate cities' performances and their progress towards becoming smarter and more sustainable and to provide the cities with the means for self-assessments. Cities are encouraged to periodically check their performances against the recommended indicators listed in this Recommendation in order to improve their performance. These KPIs are not intended to be used for the cross-evaluation of cities with respect to their performance and progress becoming smarter and more sustainable. + +## 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +[ITU-T Y.4901] Recommendation ITU-T Y.4901/L.1601 (2016), *Key performance indicators related to the use of information and communication technology in smart sustainable cities*. + +## 3 Definitions + +### 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 city** [b-ITU-T Y.4900]: An urban geographical area with one (or several) local government and planning authorities. + +**3.1.2 ICT companies** [ITU-T Y.4901]: Companies which provide products and/or services with respect to information and communication technologies. + +**3.1.3 key performance indicator** [b-ITU-T Y.4051]: Indicators representing the resource usage effectiveness or efficiency of a given system. + +**3.1.4 knowledge economy** [b-OECD KE]: Economies which are directly based on the production, distribution and use of knowledge and information. + +**3.1.5 smart sustainable city** [b-ITU-T Y.4900]: A smart sustainable city is an innovative city that uses information and communication technologies (ICTs) and other means to improve quality of life, efficiency of urban operation and services and competitiveness, while ensuring that it meets the needs of present and future generations with respect to economic, social, environmental, as well as cultural aspects. + +NOTE – City competitiveness refers to policies, institutions, strategies and processes that determine the city's sustainable productivity. + +### **3.2 Terms defined in this Recommendation** + +None. + +## **4 Abbreviations and acronyms** + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-------------------|--------------------------------------------------------| +| AQI | Air Quality Index | +| BEV | Battery Electric Vehicle | +| BMI | Body Mass Index | +| BPL | Broadband-over-Power Line | +| CAIDI | Customer Average Interruption Duration Index | +| CO 2 | Carbon Dioxide | +| COP | Child Online Protection | +| EU | European Union | +| EV | Electric Vehicle | +| FAO | Food and Agriculture Organisation | +| FCEV | Fuel Cell Electric Vehicle | +| GDP | Gross Domestic Product | +| GDWQ | Guidelines for Drinking Water Quality | +| GHG | Greenhouse Gas | +| ICD | International Classification of Diseases | +| ICT | Information and Communication Technology | +| IP | Internet Protocol | +| ISO | International Organization for Standardization | +| KPI | Key Performance Indicator | +| LAN | Local Area Network | +| OECD | Organization for Economic Co-operation and Development | +| PHEV | Plug-in Hybrid Electric Vehicle | +| PM 10 | Particulate Matter up to 10 micrometres in size | +| PM 2.5 | Particulate Matter up to 2.5 micrometres in size | +| PPP | Purchasing Power Parity | + +| | | +|--------|------------------------------------------------------------------| +| QoL | Quality of Life | +| R&D | Research and Development | +| RAMOS | Reproductive-Age Mortality Studies | +| REEV | Range Extended Electric Vehicle | +| REX | Range Extender | +| RTU | Remote Terminal Unit | +| SAIFI | System Average Interruption Frequency Index | +| SCADA | Supervisory Control and Data Acquisition | +| SDG | Sustainable Development Goal | +| SMEs | Small and Medium-sized Enterprises | +| SSC | Smart Sustainable Cities | +| TCP | Transmission Control Protocol | +| UITP | International Association of Public Transport | +| UNESCO | United Nations Educational, Scientific and Cultural Organization | +| UNFCCC | United Nations Framework Convention on Climate Change | +| UNICEF | United Nations International Children's Emergency Fund | +| USD | United States Dollars | +| WHO | World Health Organization | + +## **5 Conventions** + +None. + +## **6 General principles for selecting key performance indicators** + +The selection of KPIs is based on the following principles: + +- Independent: The KPIs should be independent or almost-orthogonal (i.e., overlap of the KPIs should be avoided as much as possible) and changes to an indicator should not impact the evaluation of or preferences given to other indicators. +- Reliable: The concept of each indicator should be clear, simple and easy to understand. A widely-accepted definition of the KPI not open to different interpretations assists different users to interpret it in the same way. Also, the calculation of the associated data should be intuitive and simple. +- Measurable: The KPIs should be defined in a way that the value can be measured and comparable scientifically between different phases of urban development, which means the KPIs should be comparable over time and space. The measurement should be as objective as possible. The historic and current data should be either available or easy to collect. +- Achievable: The goal of the KPIs should be achievable and the set of indicators should cover relevant aspects of the SSC. It should also be possible to extend and amend the set of KPIs according to the actual stage of development. +- Relevant: The KPIs should provide insight into the progress of the city in obtaining goals and executing its strategy. The indicators for evaluation should be aligned to the measured subject. The index system should reflect the level of general development for a particular aspect. + +- Timely: It is important to express the value of the KPI over time. Every KPI has a meaning only if the time dimension in which it is realized is known. KPIs are also able to deal with emerging issues in SSC construction. + +## **7 Key performance indicators structure** + +This section contains the structure of the key performance indicators and is divided into three dimensions: + +- economy +- environment +- society and culture. + +**Table 1 – List of KPIs on economy dimension** + +| Dimension | Sub-dimension | Category | KPI | Type | Type | +|-----------|---------------|----------------------|--------------------------------------------|----------|------------| +| Economy | ICT | ICT infrastructure | Household Internet access | Core | SMART | +| | | | Fixed broadband subscriptions | Core | SMART | +| | | | Wireless broadband subscriptions | Core | SMART | +| | | | Wireless broadband coverage | Core | SMART | +| | | | Availability of WIFI in public areas | Advanced | SMART | +| | | Water and sanitation | Smart water meters | Core | SMART | +| | | | Water supply ICT monitoring | Advanced | SMART | +| | | Drainage | Drainage/Storm water system ICT monitoring | Advanced | SMART | +| | | Electricity supply | Smart electricity meters | Core | SMART | +| | | | Electricity supply ICT Monitoring | Advanced | SMART | +| | | | Demand response penetration | Advanced | SMART | +| | | Transport | Dynamic public transport information | Core | SMART | +| | | | Traffic monitoring | Core | SMART | +| | | | Intersection control | Advanced | SMART | +| | | Public sector | Open data | Advanced | SMART | +| | | | e-government | Advanced | SMART | +| | | | Public sector e-procurement | Advanced | SMART | +| | Productivity | Innovation | R&D expenditure | Core | STRUCTURAL | +| | | | Patents | Core | STRUCTURAL | +| | | | Small and medium-sized enterprises | Advanced | STRUCTURAL | +| | | Employment | Unemployment rate | Core | STRUCTURAL | +| | | | Youth unemployment rate | Core | STRUCTURAL | +| | | | Tourism sector employment | Advanced | STRUCTURAL | +| | | | ICT sector employment | Advanced | STRUCTURAL | + +**Table 1 – List of KPIs on economy dimension** + +| Dimension | Sub-dimension | Category | KPI | Type | Type | +|-----------|----------------|----------------------|------------------------------------------------------------|----------|-------------| +| Economy | Infrastructure | Water and sanitation | Basic water supply | Core | SUSTAINABLE | +| | | | Potable water supply | Core | SUSTAINABLE | +| | | | Water supply loss | Core | SUSTAINABLE | +| | | | Waste-water collection | Core | SUSTAINABLE | +| | | | Household sanitation | Core | SUSTAINABLE | +| | | Waste | Solid waste collection | Core | SUSTAINABLE | +| | | Electricity supply | Electricity system outage frequency | Core | STRUCTURAL | +| | | | Electricity system outage time | Core | STRUCTURAL | +| | | | Access to electricity | Core | STRUCTURAL | +| | | Transport | Public transport network | Core | SUSTAINABLE | +| | | | Public transport network convenience | Advanced | SUSTAINABLE | +| | | | Bicycle network | Core | SUSTAINABLE | +| | | | Transportation mode share | Advanced | SUSTAINABLE | +| | | | Travel time index | Advanced | SUSTAINABLE | +| | | | Shared bicycles | Advanced | SUSTAINABLE | +| | | | Shared vehicles | Advanced | SUSTAINABLE | +| | | | Low-carbon emission passenger vehicles | Advanced | SUSTAINABLE | +| | | Buildings | Public building sustainability | Advanced | SUSTAINABLE | +| | | | Integrated building management systems in public buildings | Advanced | SMART | +| | | Urban planning | Pedestrian infrastructure | Advanced | SUSTAINABLE | +| | | | Urban development and spatial planning | Advanced | SUSTAINABLE | + +**Table 2 – List of KPIs on environment dimension** + +| Dimension | Sub-dimension | Category | KPI | Type | Type | +|--------------------|---------------|-------------------------|----------------------------------------|----------|-------------| +| Environment | Environment | Air quality | Air pollution | Core | SUSTAINABLE | +| | | | GHG emissions | Core | SUSTAINABLE | +| | | Water and sanitation | Drinking water quality | Core | SUSTAINABLE | +| | | | Water consumption | Core | SUSTAINABLE | +| | | | Freshwater consumption | Core | SUSTAINABLE | +| | | | Waste-water treatment | Core | SUSTAINABLE | +| | | Waste | Solid waste treatment | Core | SUSTAINABLE | +| | | Environmental quality | EMF exposure | Core | SUSTAINABLE | +| | | | Noise exposure | Advanced | SUSTAINABLE | +| | | Public space and nature | Green areas | Core | SUSTAINABLE | +| | | | Green area accessibility | Advanced | SUSTAINABLE | +| | | | Protected natural areas | Advanced | SUSTAINABLE | +| | | | Recreational facilities | Advanced | SUSTAINABLE | +| | Energy | Energy | Renewable energy consumption | Core | SUSTAINABLE | +| | | | Electricity consumption | Core | SUSTAINABLE | +| | | | Residential thermal energy consumption | Core | SUSTAINABLE | +| | | | Public building energy consumption | Core | SUSTAINABLE | + +**Table 3 – List of KPIs on society and culture dimension** + +| Dimension | Sub-dimension | Category | KPI | Type | Type | +|---------------------|--------------------------------------|------------------|---------------------------------------------|----------|-------------| +| Society and culture | Education, health and culture | Education | Student ICT access | Core | SMART | +| | | | School enrolment | Core | STRUCTURAL | +| | | | Higher education degrees | Core | STRUCTURAL | +| | | | Adult literacy | Core | STRUCTURAL | +| | | Health | Life expectancy | Core | STRUCTURAL | +| | | | Maternal mortality rate | Core | STRUCTURAL | +| | | | Physicians | Core | STRUCTURAL | +| | | | In-patient hospital beds | Advanced | STRUCTURAL | +| | | | Health insurance/
Public health coverage | Advanced | STRUCTURAL | +| | | | Electronic health records | Advanced | SMART | +| | | Culture | Cultural expenditure | Core | STRUCTURAL | +| | | | Cultural infrastructure | Advanced | STRUCTURAL | +| | Safety, housing and social inclusion | Housing | Informal settlements | Core | STRUCTURAL | +| | | | Housing expenditure | Advanced | STRUCTURAL | +| | | Social inclusion | Gender income equity | Core | STRUCTURAL | +| | | | Gini coefficient | Core | STRUCTURAL | +| | | | Poverty | Core | STRUCTURAL | +| | | | Voter participation | Core | STRUCTURAL | +| | | | Childcare availability | Advanced | STRUCTURAL | +| | | Safety | Natural disaster-related deaths | Core | SUSTAINABLE | +| | | | Disaster-related economic losses | Core | SUSTAINABLE | +| | | | Resilience plans | Advanced | SUSTAINABLE | + +**Table 3 – List of KPIs on society and culture dimension** + +| Dimension | Sub-dimension | Category | KPI | Type | Type | +|-----------|---------------|---------------|-------------------------------------------|----------|-------------| +| | | | Population living in disaster-prone areas | Advanced | SUSTAINABLE | +| | | | Emergency service response time | Advanced | STRUCTURAL | +| | | | Police service | Core | STRUCTURAL | +| | | | Fire service | Core | STRUCTURAL | +| | | | Violent crime rate | Core | STRUCTURAL | +| | | | Traffic fatalities | Core | STRUCTURAL | +| | | Food security | Local food production | Advanced | SUSTAINABLE | + +## 8 Key performance indicators numbering convention + +The following table contains the structure of how the KPI labels (KPI No.) have been attributed. + +**Table 4 – KPI numbering convention** + +| XX – | | X(XX): | | X(XX): | | Number | C or A | +|-----------|---------------------|---------------|--------------------------------------|----------|--------------------------|---------------|------------------------| +| Dimension | | Sub-dimension | | Category | | 1, 2, 3, etc. | C: Core
A: Advanced | +| EC | Economy | E | Energy | AQ | Air Quality | | | +| EN | Environment | EH | Education, Health and Culture | B | Buildings | | | +| SC | Society and culture | EN | Environment | C | Culture | | | +| | | I | Infrastructure | D | Drainage | | | +| | | ICT | ICT | E | Energy | | | +| | | P | Productivity | ED | Education | | | +| | | SH | Safety, Housing and Social Inclusion | EM | Employment | | | +| | | | | EQ | Environmental Quality | | | +| | | | | ES | Electricity Supply | | | +| | | | | FS | Food Security | | | +| | | | | H | Health | | | +| | | | | HO | Housing | | | +| | | | | IN | Innovation | | | +| | | | | ICT | ICT Infrastructure | | | +| | | | | PS | Public Sector | | | +| | | | | PSN | Public Spaces and Nature | | | +| | | | | SA | Safety | | | +| | | | | SI | Social Inclusion | | | +| | | | | T | Transport | | | +| | | | | UP | Urban Planning | | | +| | | | | WA | Waste | | | +| | | | | WS | Water and Sanitation | | | + +## 9 Key performance indicators – Economy dimension + +The following section contains the indicators related to the economy dimension. + +| Dimension | Economy | | | | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------|--|--|--| +| Sub-dimension | ICT | | | | | | | | +| Category | ICT infrastructure | | | | | | | | +| KPI name | Household Internet access | | | | | | | | +| KPI No. | EC: ICT: ICT: 1C | Type: | Core | Type: | Smart | | | | +| Definition/
Description | Percentage of households with Internet access | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

This indicator demonstrates the access to information and technology connectivity given that connectivity across regions and between countries is correlated to economic prosperity, development and growth.

This in turn underscores a city inhabitant's access to knowledge, data, news and communication to use for economic productivity, i.e., training, education, research, business management, ideas exchange, etc.

Data that includes any household's access via a fixed or mobile network at any given time should be collected.

An increasing trend and higher values are considered positive.

| | | | | | | | +| Methodology |

Calculate as:

Numerator: number of households with Internet access.

Denominator: total number of households.

Multiply by 100.

| | | | | | | | +| Unit | Percentage | | | | | | | | +| Data sources/
Relevant
databases |

The data may be collected from the local statistics department or may need to be extrapolated from national data.

Annual surveys of households may be another method for data collection to obtain the percentage of households with Internet access. This percentage will then be applied to the in-scope population.

The data may also be collected from local Internet service providers and telecommunications companies.

| | | | | | | | +| SDG reference(s) | SDG indicator 17.8.1: Proportion of individuals using the Internet. | | | | | | | | + +| | | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|--------------| +| Dimension | Economy | | | | | +| Sub-dimension | ICT | | | | | +| Category | ICT infrastructure | | | | | +| KPI name | Fixed broadband subscriptions | | | | | +| KPI No. | EC: ICT: ICT: 2C | Type: | Core | Type: | Smart | +| Definition/
Description | Percentage of households with fixed (wired) broadband | | | | | +| Rationale/
Interpretation/
Benchmarking |

This indicator demonstrates the access to information and technology connectivity and is important given that connectivity across regions, and between countries, is correlated to economic prosperity, development and growth.

Moreover, penetration into households means that communication is possibly received through multiple mediums such as the Internet, cable, etc. A higher penetration rate means that more of the population has access to knowledge and communications, as well as technologies to receive and send information and communications (i.e., mobile phones, computers, television, etc.).

The average penetration rate (according to OECD) is about 30%.

Fixed (wired) broadband subscriptions refer to subscriptions for high-speed access to the public Internet (a TCP/IP connection).

High-speed access is defined as a downstream speed equal to, or greater than, 256 kbits/s.

Fixed (wired) broadband includes broadband through cable modem, DSL, fibre and other fixed (wired) broadband technologies (such as Ethernet LAN, and broadband-over-power line (BPL) communications).

Mobile cellular network subscriptions are not included.

An increasing trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – OECD Statistics. Retrieved from
< http://www.oecd.org/sti/broadband/broadband-statistics-update.htm > | | | | | +| Methodology |

Calculate as:

Numerator: number of fixed broadband subscriptions.

Denominator: total number of households.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases |

The data may be collected from local statistics department or may need to be extrapolated from national data.

Data may also be collected from local Internet service providers and telecommunications companies.

| | | | | +| SDG reference(s) |

SDG indicator 17.6.2: Fixed Internet broadband subscriptions per 100 inhabitants, by speed.

SDG indicator 17.8.1: Proportion of individuals using the Internet.

| | | | | + +| | | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|--------------| +| Dimension | Economy | | | | | +| Sub-dimension | ICT | | | | | +| Category | ICT infrastructure | | | | | +| KPI name | Wireless broadband subscriptions | | | | | +| KPI No. | EC: ICT: ICT: 3C | Type: | Core | Type: | Smart | +| Definition/
Description | Wireless broadband subscriptions per 100 000 inhabitants | | | | | +| Rationale/
Interpretation/
Benchmarking |

This indicator demonstrates the access to information and technology connectivity and is important given that connectivity across regions and between countries is correlated to economic prosperity, development and growth.

At the same time, this indicator reveals the level of advancement of connectivity technology available to the population. This in turn indicates the breadth of sophisticated communication and connectivity technology used.

A higher penetration rate means that more of the population have access to knowledge and communication, as well as technology (i.e., mobile phones, computers, television, etc.) to receive and send information and communications.

Wireless broadband subscriptions include wireless broadband through satellite broadband, terrestrial fixed wireless broadband and mobile cellular network subscriptions.

An increasing trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: number of wireless broadband subscriptions.

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Number/100 000 inhabitants | | | | | +| Data sources/
Relevant
databases |

The data may be collected from local statistics departments or may need to be extrapolated from national data.

The data may also be collected from local Internet service providers and telecommunications companies.

| | | | | +| SDG reference(s) |

SDG indicator 17.8.1: Proportion of individuals using the Internet.

SDG indicator 9.C.1: Percentage of population covered by a mobile network, by technology.

SDG indicator 5.B.1: Proportion of individuals who own a mobile telephone, by sex.

| | | | | + +| | | | | | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|--------------|--|--|--| +| Dimension | Economy | | | | | | | | +| Sub-dimension | ICT | | | | | | | | +| Category | ICT infrastructure | | | | | | | | +| KPI name | Wireless broadband coverage | | | | | | | | +| KPI No. | EC: ICT: ICT: 4C | Type: | Core | Type: | Smart | | | | +| Definition/
Description | Percentage of the city served by wireless broadband (3G, 4G and 5G) | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

This indicator demonstrates the access to information and technology connectivity and is important given that connectivity across regions and between countries is correlated to economic prosperity, development and growth.

Smart city applications in many cases are accessed through mobile applications. In order to use these applications in an efficient manner, high speed mobile Internet capabilities are required. The coverage of high-speed mobile Internet from providers is key to enable these capabilities.

A value of 100% coverage should be pursued for at least 3G networks.

An increasing trend and higher values are considered positive.

| | | | | | | | +| Methodology |

Calculate as:

Numerator: area of city covered by mobile services (km2).

Denominator: total area of the city (km2).

Multiply by 100.

Each service should be reported on separately ( 3G, 4G and 5G).

| | | | | | | | +| Unit | Percentage | | | | | | | | +| Data sources/
Relevant
databases | Data may be collected from local mobile service providers. | | | | | | | | +| SDG reference(s) |

SDG indicator 17.8.1: Proportion of individuals using the Internet.

SDG indicator 9.C.1: Percentage of population covered by a mobile network, by technology.

SDG indicator 5.B.1: Proportion of individuals who own a mobile telephone, by sex.

| | | | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------| +| Sub-dimension | ICT | | | | | +| Category | ICT infrastructure | | | | | +| KPI name | Availability of Wi-Fi in public areas | | | | | +| KPI No. | EC: ICT: ICT: 5A | Type: | Advanced | Type: | Smart | +| Definition/
Description | Number of public Wi-Fi hotspots in the city | | | | | +| Rationale/
Interpretation/
Benchmarking |

Several mega-cities have set-up Wi-Fi hotspots at public venues, thereby providing travelling users, as well as their citizens, with increased access to Internet at little or no cost.

Such actions empower citizens and promotes the use of e-services without the burden of network costs.

Cities should report only those Wi-Fi spots operated by the city (or on behalf of the city) that are free of charge.

| | | | | +| Source(s) |

[ITU-T Y.4901]

NOTE 1 – United Nations E-Government Survey 2020. Retrieved from https://www.un.org/development/desa/publications/publication/2020-united-nations-e-government-survey

NOTE 2 – Connecting the Unconnected: Working together to achieve the Connect 2020 Agenda targets. Retrieved from http://broadbandcommission.org/Documents/ITU_discussion-paper_Davos2017.pdf

| | | | | +| Methodology |

Calculate as:

Total number of Wi-Fi hotspots provided by the city administration (excluding commercial entities)

| | | | | +| Unit | Number | | | | | +| Data sources/
Relevant
databases |

Information can be derived from:

i) information Wi-Fi hotspots from a telecommunications regulatory agency/ ICT ministry; tourism agencies, Wi-Fi hotspots service providers, etc.;

ii) city administration or national entity of statistics and census.

Collection method: This information can be gathered from:

1) WIFI service provider statistics;

2) databases.

| | | | | +| SDG reference(s) | SDG target 9.C: Significantly increase access to information and communications technology and strive to provide universal and affordable access to the Internet in least developed countries by 2020. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|--------------| +| Sub-dimension | ICT | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Smart water meters | | | | | +| KPI No. | EC: ICT: WS: 1C | Type: | Core | Type: | Smart | +| Definition/
Description | Percentage implementation of smart water meters | | | | | +| Rationale/
Interpretation/
Benchmarking |

Water is becoming an increasingly scarce commodity and many cities are located in areas where water shortages exist. Future trends also indicate that this problem will persist in these areas.

The conservation of water resources is key to the long-term sustainability of cities and the use of smart water meters can allow for better monitoring of water consumption patterns.

A smart water meter is an electronic device that provides real-time measurement of water consumption and transmits those measurements to water utility providers and customers. These measurements can be effective in some conservation programmes (such as leak detection) and for providing information to customers on their consumption habits.

An increasing trend in implementation and higher values are considered positive.

| | | | | +| Source(s) | NOTE – Smart Meters and Domestic Water Usage. Retrieved from
< http://www.fwr.org/econom/SmartMeters.pdf > | | | | | +| Methodology |

Calculate as:

Numerator: number of smart water meters installed.

Denominator: total number of water meters installed.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected from local water utilities. | | | | | +| SDG reference(s) |

SDG target 6.4: By 2030, substantially increase water-use efficiency across all sectors and ensure sustainable withdrawals and supply of freshwater to address water scarcity and substantially reduce the number of people suffering from water scarcity.

SDG indicator 6.4.1: Change in water-use efficiency over time.

| | | | | + +| | | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|--------------| +| Dimension | Economy | | | | | +| Sub-dimension | ICT | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Water supply ICT monitoring | | | | | +| KPI No. | EC: ICT: WS: 2A | Type: | Advanced | Type: | Smart | +| Definition/
Description | Percentage of the water distribution system monitored by ICT | | | | | +| Rationale/
Interpretation/
Benchmarking |

The city should report on the extent that a supervisory control and data acquisition (SCADA) system (or similar system) has been implemented to cover the water supply system.

The system may include the following features:

  • ▪ central control facility;
  • ▪ level transducers that track water levels in reservoirs and tanks;
  • ▪ pressure transducers in pipes that ensure that water is pumped and is flowing efficiently;
  • ▪ flowmeters that measure the actual delivery of water; and
  • ▪ pressure-sustaining and pressure-reducing valves that open and close incrementally to adjust the rate at which the water flows.

ICT control has shown to be effective in improving the efficiency of a water supply system and an effective tool for determining areas of water loss.

An increasing trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: length of system monitored by ICT (km).

Denominator: total length of total system (km).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected from local water utilities. | | | | | +| SDG reference(s) |

SDG target 6.4: By 2030, substantially increase water-use efficiency across all sectors and ensure sustainable withdrawals and supply of freshwater to address water scarcity and substantially reduce the number of people suffering from water scarcity.

SDG indicator 6.4.1: Change in water-use efficiency over time.

| | | | | + +| | | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|--------------| +| Dimension | Economy | | | | | +| Sub-dimension | ICT | | | | | +| Category | Drainage | | | | | +| KPI name | Drainage / Storm water system ICT monitoring | | | | | +| KPI No. | EC: ICT: D: 1A | Type: | Advanced | Type: | Smart | +| Definition/
Description | Percentage of drainage/storm water system monitored by ICT | | | | | +| Rationale/
Interpretation/
Benchmarking |

Optimal control techniques in urban drainage networks help generate control strategies ahead of time, based on current and past readings of the telemetry system, to minimize flooding and control sewer overflow.

Real-time control of an urban drainage system may be local or global. When local control is applied, flow regulation devices only use measurements taken at its specific location.

While this control structure is applicable in many simple cases, in a large city, with an interconnected sewerage network and a complex network of actuators and sensors, it may not be the most efficient alternative. Conversely, global control, which computes control actions taking into account real-time measurements all through the network, is likely to make the best use of the infrastructure capacity and all the available sensor information.

ICT control has shown to be effective in improving the efficiency of a drainage system and can minimize instances of urban flooding.

An increasing trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – Optimal control of urban drainage systems. Retrieved from http://www.iri.upc.edu/files/scidoc/680-Optimal-control-of-urban-drainage-systems.-A-case-study.pdf | | | | | +| Methodology |

Calculate as:

Numerator: length of system monitored by ICT (km).

Denominator: total length of total system (km).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected from local authorities responsible for drainage. | | | | | +| SDG reference(s) | SDG target 6.2: By 2030, achieve access to adequate and equitable sanitation and hygiene for all and end open defecation, paying special attention to the needs of women and girls and those in vulnerable situations. | | | | | + +| | | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|--------------| +| Dimension | Economy | | | | | +| Sub-dimension | ICT | | | | | +| Category | Electricity supply | | | | | +| KPI name | Smart electricity meters | | | | | +| KPI No. | EC: ICT: ES: 1C | Type: | Core | Type: | Smart | +| Definition/
Description | Percentage implementation of smart electricity meters | | | | | +| Rationale/
Interpretation/
Benchmarking |

The implementation of smart meters allows for a more direct and real-time measurement of the load on an electricity grid and the consumption habits of consumers. Real-time data can allow for more real-time pricing of electricity and the implementation of tools to manage energy usage and peak demand.

A smart electricity meter is an electronic device that provides more real-time measurements related to electricity consumption and transmits those measurements directly to electricity utility providers and customers. These measurements can be effective in some conservation programmes, such as demand management and for providing information to customers on their consumption habits.

An increasing trend in implementation and higher values are considered positive.

| | | | | +| Source(s) | NOTE – Department of Energy. Electric Meters. Retrieved from < https://energy.gov/energysaver/electric-meters > | | | | | +| Methodology |

Calculate as:

Numerator: number of smart electricity meters installed.

Denominator: total number of electricity meters installed.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected through the local electrical utility. | | | | | +| SDG reference(s) | SDG target 7.3: By 2030, double the global rate of improvement in energy efficiency. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------| +| Sub-dimension | ICT | | | | | +| Category | Electricity supply | | | | | +| KPI name | Electricity supply ICT monitoring | | | | | +| KPI No. | EC: ICT: ES: 2A | Type: | Advanced | Type: | Smart | +| Definition/
Description | Percentage of electricity supply system monitored by ICT | | | | | +| Rationale/
Interpretation/
Benchmarking |

The city should report on the extent that a supervisory control and data acquisition (SCADA) system (or similar system) has been implemented to cover the electricity supply system.

Modern SCADA systems replace the manual labour to perform electrical distribution tasks and manual processes in distribution systems with automated equipment. SCADA maximizes the efficiency of power distribution systems by providing features such as real-time views into the operations, data trending and logging, maintenance of desired voltages, currents and power factors, alarms generation, etc. SCADA performs automatic monitoring, protecting and controlling of various equipment in distribution systems with the use of intelligent electronic devices (or RTUs). It restores the power service during fault conditions and also maintains the desired operating conditions.

SCADA improves the reliability of supply by reducing duration of outages while providing cost-effective operations of the distribution system. Therefore, SCADA supervises the entire electrical distribution system. The major functions of SCADA can be categorized into the following types:

  • ▪ substation control;
  • ▪ feeder control; and
  • ▪ end user load control.

ICT control has shown to be effective in improving the efficiency of an electricity supply system.

An increasing trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – SCADA Systems for Electrical Distribution. Retrieved from http://www.electricaltechnology.org/2015/09/scada-systems-for-electrical-distribution.html#components_of_typical_scada_system | | | | | +| Methodology |

Calculate as:

Numerator: length of system monitored by ICT (km).

Denominator: total length of total system (km).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected through the local electrical utility. | | | | | +| SDG reference(s) | SDG target 7.3: By 2030, double the global rate of improvement in energy efficiency. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------| +| Sub-dimension | ICT | | | | | +| Category | Electricity supply | | | | | +| KPI name | Demand response penetration | | | | | +| KPI No. | EC: ICT: ES: 3A | Type: | Advanced | Type: | Smart | +| Definition/
Description | Percentage of electricity customers with demand response capabilities | | | | | +| Rationale/
Interpretation/
Benchmarking |

Demand response provides an opportunity for consumers to play a significant role in the operation of the electric grid by reducing or shifting their electricity usage during peak periods in response to time-based rates or other forms of financial incentives. Demand response programmes are being used by some electric system planners and operators as resource options for balancing supply and demand.

Demand response is defined as "changes in electricity use by demand-side resources from their normal consumption patterns in response to changes in the price of electricity, or to incentive payments designed to induce lower electricity use at times of high wholesale market prices or when system reliability is jeopardized." (Federal Energy Regulatory Commission).

An increasing trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – Federal Energy Regulatory Commission. Demand Response and Advance Metering. Retrieved from < https://www.ferc.gov/industries-data/electric/power-sales-and-markets/demand-response/reports-demand-response-and > | | | | | +| Methodology |

Calculate as:

Numerator: number of demand response enabled electricity customers.

Denominator: total number of electricity customers.

Multiply by 100

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected through the local electrical utility. | | | | | +| SDG reference(s) | SDG target 7.3: By 2030, double the global rate of improvement in energy efficiency. | | | | | + +| Dimension | Economy | | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------|--| +| Sub-dimension | ICT | | | | | | +| Category | Transport | | | | | | +| KPI name | Dynamic public transport information | | | | | | +| KPI No. | EC: ICT: T: 1C | Type: | Core | Type: | Smart | | +| Definition/
Description | Percentage of urban public transport stops for which traveller information is dynamically available to the public in real time | | | | | | +| Rationale/
Interpretation/
Benchmarking |

Traffic congestion is becoming a major problem in many global cities and cities are investing in public transport as one of the most efficient ways to move people around the city. Providing riders with information on the status of the system along with the arrival and travel times (i.e., dynamic information) will encourage transit use.

The information reported for each stop must contain at least the arrival of the next vehicle/train/etc. It is also encouraged to provide travel times to other destinations.

The information can be provided at the stop itself through screens or through other electronic means such as the official website or a mobile application.

The information should be dynamic so that it is current and updated regularly rather than simply being posted as a static timetable.

An increasing trend and higher values are considered positive.

| | | | | | +| Methodology |

Calculate as:

Numerator: number of stops and stations with dynamic information available.

Denominator: total number of stops and stations.

Multiply by 100.

| | | | | | +| Unit | Percentage | | | | | | +| Data sources/
Relevant
databases | Data can be collected from transportation agencies serving the city. | | | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | | + +| Dimension | Economy | | | | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------|--|--|--| +| Sub-dimension | ICT | | | | | | | | +| Category | Transport | | | | | | | | +| KPI name | Traffic monitoring | | | | | | | | +| KPI No. | EC: ICT: T: 2C | Type: | Core | Type: | Smart | | | | +| Definition/
Description | Percentage of major streets monitored by ICT | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

Monitoring of major streets can allow for the implementation of services to better manage traffic congestion and traffic flow.

Monitoring can be done using in-road sensors or cameras (or a combination of the two).

Cities should report on major streets, which would include arterial roads and highways only. Residential streets should not be included.

An increasing trend and higher values are considered positive.

| | | | | | | | +| Methodology |

Calculate as:

Numerator: length of major streets monitored by ICT (km).

Denominator: total length of major streets (km).

Multiply by 100.

| | | | | | | | +| Unit | Percentage | | | | | | | | +| Data sources/
Relevant
databases | Data can be collected from municipal, regional or national transportation and roads departments. | | | | | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | | | | + +| | | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|--------------| +| Dimension | Economy | | | | | +| Sub-dimension | ICT | | | | | +| Category | Transport | | | | | +| KPI name | Intersection control | | | | | +| KPI No. | EC: ICT: T: 3A | Type: | Advanced | Type: | Smart | +| Definition/
Description | Percentage of road intersections using adaptive traffic control or prioritization measures | | | | | +| Rationale/
Interpretation/
Benchmarking |

The use of adaptive traffic control or prioritization measures at intersections will allow for the traffic signals to respond to traffic patterns.

Adaptive traffic control or prioritization includes measures such as embedded road sensors that change traffic signals based on actual vehicles flow or other similar sensors that provide the same function.

This can lead to less idling time for cars at intersections and better traffic flow.

Cities should report only on signal-controlled intersections.

An increasing trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: number of intersections with adaptive traffic control.

Denominator: total number of signal-controlled intersections.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be obtained from local or national transportation / traffic authorities. | | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | + +| Dimension | Economy | | | | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------|--|--|--| +| Sub-dimension | ICT | | | | | | | | +| Category | Public sector | | | | | | | | +| KPI name | Open data | | | | | | | | +| KPI No. | EC: ICT: PS: 1A | Type: | Advanced | Type: | Smart | | | | +| Definition/
Description | Percentage and number of inventoried open datasets that are published | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

Open data can provide many benefits for cities and for its inhabitants. Open data government information, available as machine-readable open data, can facilitate government transparency, accountability and public participation in government. Open data can be seen as structured data that is machine-readable, freely shared, used and built on without restrictions.

There are also benefits to be gained by opening government data sets to the public, so as to enable economic growth through technological innovation by the private sector. This will also help foster the development of new applications and services for inhabitants.

An increasing trend and higher values are considered positive.

| | | | | | | | +| Source(s) | NOTE – Open data principles. Retrieved from http://open.canada.ca/en/open-data-principles#toc94 | | | | | | | | +| Methodology |

Calculate as:

Numerator: total number of open data sets published.

Denominator: total number of data sets.

Multiply by 100.

For this indicator the numerator should also be reported.

| | | | | | | | +| Unit | Percentage and number | | | | | | | | +| Data sources/
Relevant
databases | Data can be collected through municipal ICT departments. | | | | | | | | +| SDG reference(s) |

SDG target 16.6: Develop effective, accountable and transparent institutions at all levels.

SDG target 16.7: Ensure responsive, inclusive, participatory and representative decision-making at all levels.

| | | | | | | | + +| | | | | | | | | | +|-----------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|--------------|--|--|--| +| Dimension | Economy | | | | | | | | +| Sub-dimension | ICT | | | | | | | | +| Category | Public sector | | | | | | | | +| KPI name | e-government | | | | | | | | +| KPI No. | EC: ICT: PS: 2A | Type: | Advanced | Type: | Smart | | | | +| Definition / Description | Number of public services delivered through electronic means | | | | | | | | +| Rationale/ Interpretation/ Benchmarking |

E-government aims at improving the relationship between people and their government, through advanced electronic and mobile services. It aims at making public services delivery more effective, accessible and responsive to people's needs. It also aims at increasing participation in decision-making and making public institutions more transparent and accountable.

Furthermore, the United Nations General Assembly has recognized the role of information and communication technology in promoting sustainable development and supporting public policies and service delivery. The United Nations General Assembly has also specifically affirmed the "potential of e-government in promoting transparency, accountability, efficiency and citizen engagement in public service delivery."

Also, OECD countries support the idea that e-government can help improve efficiency in government and improve online access to information and service quality, enabling the delivery of services to citizens and businesses on their terms and at their convenience.

This indicator focuses on the number of services available and can include websites, mobile applications, text messages, etc.

An increasing trend and higher values are considered positive when in accordance with a city's strategy.

| | | | | | | | +| Source(s) |

NOTE 1 – United Nations E-government Survey 2020. Retrieved from https://www.un.org/development/desa/publications/publication/2020-united-nations-e-government-survey

NOTE 2 – OECD. Implementing E-government in OECD Countries. Retrieved from: http://www.oecd.org/mena/governance/36853121.pdf

| | | | | | | | +| Methodology | Calculate as: number of public services available through online service. | | | | | | | | +| Unit | Number | | | | | | | | +| Data sources/ Relevant database |

Data can be collected through surveys of municipal departments/websites.

NOTE – Information is also available through UN e-Government Development Index: https://publicadministration.un.org/egovkb/en-us/About/Overview/-E-Government

| | | | | | | | +| SDG reference(s) |

SDG target 16.6: Develop effective, accountable and transparent institutions at all levels.

SDG target 16.7 Ensure responsive, inclusive, participatory and representative decision-making at all levels.

| | | | | | | | + +| | | | | | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|--------------|--|--|--| +| Dimension | Economy | | | | | | | | +| Sub-dimension | ICT | | | | | | | | +| Category | Public sector | | | | | | | | +| KPI name | Public sector e-procurement | | | | | | | | +| KPI No. | EC: ICT: PS: 3A | Type: | Advanced | Type: | Smart | | | | +| Definition/
Description | Percentage of public sector procurement activities that are conducted electronically | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

The movement of procurement transactions (bids, requests for proposal (RFP), invoices, payments) to electronic platforms can facilitate efficiency in government operations and allow for a wider base of suppliers to access potential government business.

Cities should take into account all transactions that occur during the procurement process through various methods such as websites, web portals, mobile applications, etc.

Cities that have moved a particular service to 100% electronic delivery can then use that as the basis for reporting.

A higher value and an increasing trend are considered positive.

| | | | | | | | +| Methodology |

Calculate as:

Numerator: number of public sector procurement activities conducted online.

Denominator: total number of public sector procurement activities.

Multiply by 100.

| | | | | | | | +| Unit | Percentage | | | | | | | | +| Data sources/
Relevant
sdatabase | Data can be obtained through city departments with procurement functions and IT departments. | | | | | | | | +| SDG reference(s) |

SDG target 16.6: Develop effective, accountable and transparent institutions at all levels.

SDG target 16.7: Ensure responsive, inclusive, participatory and representative decision-making at all levels.

| | | | | | | | + +| | | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|-------------------| +| Dimension | Economy | | | | | +| Sub-dimension | Productivity | | | | | +| Category | Innovation | | | | | +| KPI name | R&D expenditure | | | | | +| KPI No. | EC: P: IN: 1C | Type: | Core | Type: | Structural | +| Definition/
Description | Research and development expenditure as a percentage of city GDP | | | | | +| Rationale/
Interpretation/
Benchmarking |

R&D is defined as research and development activities in natural sciences and engineering, social sciences and humanities and other inter-departmental disciplines. This includes any creative systematic activity undertaken to increase the stock of knowledge, including knowledge of man, culture and society, and the use of this knowledge to devise new applications.

R&D also includes fundamental research, applied research in such fields as agriculture, medicine, industrial chemistry, and experimental development work leading to new devices, products or processes.

The Frascati Manual defines R&D as "creative work undertaken on a systematic basis in order to increase the stock of knowledge (including knowledge of humans, culture and society), and the use of this stock of knowledge to devise new applications."

Data collection methodology for this indicator could be adapted from the Frascati manual (an internationally recognized methodology for collecting R&D statistics).

An increasing trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – UNESCO Sustainable Development Goal 9.5. Retrieved from <http://uis.unesco.org/en/topic/sustainable-development-goal-9-5>

NOTE 2 – UNECE. Promotion in Services Sector. Retrieved from <http://www.unece.org/fileadmin/DAM/ceci/publications/icp3.pdf>

NOTE 3 – OECD Frascati Manual. Retrieved from <http://www.oecd.org/sti/inno/frascati-manual.htm>

| | | | | +| Methodology |

Calculate as:

Numerator: R&D expenditure (USD).

Denominator: City GDP (USD).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be sourced through municipal economics departments, business associations or through interpretation of national economic statistics. | | | | | +| SDG reference(s) | SDG indicator 9.5.1: Research and development expenditure as a percentage of GDP. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Productivity | | | | | +| Category | Innovation | | | | | +| KPI name | Patents | | | | | +| KPI No. | EC: P: IN: 2C | Type: | Core | Type: | Structural | +| Definition/
Description | Number of new patents granted per 100 000 inhabitants per year. | | | | | +| Rationale/
Interpretation/
Benchmarking |

Patents demonstrate the efficacy of a country to turn research into products which can add value to end users. Healthy patent activity advances science and indicates the economic strength of a city. Patents enable inventors to profit financially and help businesses, researchers and academics advance in their field through information sharing.

An increasing trend and higher values are considered positive and may indicate a more innovative urban environment.

| | | | | +| Methodology |

Calculate as:

Numerator: total number of new patents issued to residents and organizations of the city.

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Number/100 000 inhabitants | | | | | +| Data sources/
Relevant
databases | Patents are granted by regional or national patent offices though some international bodies also track patents. Data can be found through organizations such as WIPO (World Intellectual Property Organization), national or regional patent offices, or through national research institutions. | | | | | +| SDG reference(s) | SDG target 9.B: Support domestic technology development, research and innovation in developing countries, including by ensuring a conducive policy environment for, inter alia, industrial diversification and value addition to commodities. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|------------| +| Sub-dimension | Productivity | | | | | +| Category | Innovation | | | | | +| KPI name | Small and medium-sized enterprises | | | | | +| KPI No. | EC: P: IN: 3A | Type: | Advanced | Type: | Structural | +| Definition/
Description | Percentage of small and medium-sized enterprises (SMEs) | | | | | +| Rationale/
Interpretation/
Benchmarking |

Organizations such as the European Commission, Asian Development Bank and World Bank consider SMEs important for ensuring economic growth, job creation, innovation, competition and social integration.

Small and medium-sized enterprises (SMEs) are non-subsidary, independent firms which employ less than a given number of employees. This number varies across countries. The most frequent upper limit designating an SME is 250 employees, as in the European Union. However, some countries set the limit at 200 employees, while the United States considers SMEs to include firms with fewer than 500 employees.

Small firms are generally those with fewer than 50 employees, while micro-enterprises have at most 10, or in some cases 5 workers.

For this indicator cities should report on firms with fewer than 250 employees.

An increasing trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – OECD Statistic. Retrieved from
< https://stats.oecd.org/glossary/detail.asp?ID=3123 > | | | | | +| Methodology |

Calculate as:

Numerator: number of SMEs.

Denominator: total number of enterprises.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected through local, regional, or national business registration data. | | | | | +| SDG reference(s) | SDG indicator 9.3.1: Percentage of small-scale industries with a total industry value added. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Productivity | | | | | +| Category | Employment | | | | | +| KPI name | Unemployment rate | | | | | +| KPI No. | EC: P: EM: 1C | Type: | Core | Type: | Structural | +| Definition/
Description | Percentage of the total city labour force that is unemployed | | | | | +| Rationale/
Interpretation/
Benchmarking |

Unemployment is a measure of economic health. Rising unemployment signals a weak economy with slow growth and low spending. Central banks often set national targets. For instance, the target of 5-7% unemployment rate in North America would be unacceptable in Japan where 3% is the norm; and would be unrealistically optimistic for Greece which has a 23% unemployment rate.

The term "unemployed" includes all persons of working age who are:

  • a) without work during the reference period, i.e., not paid employment or self-employment;
  • b) currently available for work, i.e., were available for paid employment or self-employment during the reference period; and
  • c) seeking work, i.e., specific steps were taken in a specified recent period to seek paid employment or self-employment.

For purposes of international comparability, the period of job search is often defined as the preceding four weeks.

A declining trend and lower values are considered positive.

| | | | | +| Source(s) | NOTE – ILO. Guidelines for producers and users of statistical and legal framework indicators. Retrieved from < http://www.ilo.org/wcmsp5/groups/public/---dgreports/---integration/documents/publication/wcms_229374.pdf > | | | | | +| Methodology |

Calculate as:

Numerator: total number of the city labour force that is unemployed.

Denominator: total number of the city labour force.

Multiply by 100.

As an alternative, and where available, government statistics can be directly reported instead of calculating the indicator value.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases |

The preferred official national data source for this indicator is a household-based labour force survey. The population census and/or other household surveys with an appropriate employment module may also be used to obtain the required data. Unemployment registers can serve as instruments to collect data on unemployment levels.

As an example, these registers are commonly used in many EUROSTAT Member States to supplement the information obtained in quarterly labour force surveys.

| | | | | +| SDG reference(s) | SDG indicator 8.5.2: Unemployment rate by sex, age group and people with disabilities. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Productivity | | | | | +| Category | Employment | | | | | +| KPI name | Youth unemployment rate | | | | | +| KPI No. | EC: P: EM: 2C | Type: | Core | Type: | Structural | +| Definition/
Description | Percentage of the city youth labour force that is unemployed | | | | | +| Rationale/
Interpretation/
Benchmarking |

Youth unemployment is indicative of a country's economic health. In periods of economic contraction, new hires are often fired first, resulting in youth being hit especially hard.

Higher rates of youth unemployment are correlated with lower productivity, competitiveness, limited lifetime earnings and lower happiness.

Youth unemployment leads to increases in public spending, income inequality, feelings of isolation and marginalization, burdens on youth and families, mental health issues and emigration of talent.

Since youth unemployment is correlated with national unemployment figures, city benchmarks should take national rates into consideration.

Unemployed youth shall refer to individuals:

  • ▪ who are above the legal working age and under 24 years of age;
  • ▪ who are currently without work;
  • ▪ who are actively seeking work in a recent past period (past four weeks); and
  • ▪ who are currently available for work.

Youth who did not look for work but have a future labour market stake (arrangements for a future job start) are counted as unemployed (International Labour Organization).

A declining trend and lower values are considered a positive sign of progress.

| | | | | +| Source(s) |

NOTE – ILO. Key indicators of youth labour markets: Concepts, definitions and tabulations. Retrieved from

<http://www.ilo.org/wcmsp5/groups/public/@ed_emp/documents/instructionalmaterial/wcms_140860.pdf>

| | | | | +| Methodology |

Calculate as:

Numerator: total number of the city youth labour force that is unemployed.

Denominator: total number of the city youth labour force.

Multiply by 100.

As an alternative, and where available, government statistics can be directly reported instead of calculating the indicator value.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data can be collected from local or national bodies, including municipal sites or government statistical agencies. | | | | | +| SDG reference(s) |

SDG indicator 8.5.2: Unemployment rate by sex, age group and people with disabilities.

SDG target 8.6: By 2020, substantially reduce the proportion of youth not in employment, education or training.

| | | | | + +| | | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|-------------------| +| Dimension | Economy | | | | | +| Sub-dimension | Productivity | | | | | +| Category | Employment | | | | | +| KPI name | Tourism sector employment | | | | | +| KPI No. | EC: P: EM: 3A | Type: | Advanced | Type: | Structural | +| Definition/
Description | Percentage of the city labour force working in the tourism sector | | | | | +| Rationale/
Interpretation/
Benchmarking | Tourism creates income and employment which can be major contributors to a country's GDP. Increased tourism can also sustain SMEs and attract foreign capital, investors and businesses, contributing to economic growth. | | | | | +| Methodology | Calculate as:
Numerator: number of employees in the tourism sector.
Denominator: total number of the city labour force.
Multiply by 100. | | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected through labour surveys and government departments with responsibility for tourism. | | | | | +| SDG reference(s) | SDG indicator 8.9.1: Tourism direct GDP as a proportion of total GDP and in growth rate. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|------------| +| Sub-dimension | Productivity | | | | | +| Category | Employment | | | | | +| KPI name | ICT sector employment | | | | | +| KPI No. | EC: P: EM: 4A | Type: | Advanced | Type: | Structural | +| Definition/
Description | Percentage of the city labour force working in the ICT sector | | | | | +| Rationale/
Interpretation/
Benchmarking |

This indicator refers to the total workforce involved in the ICT sector as a proportion of the total business workforce.

ICT workforce (or ICT employment) consists of those persons employed in businesses which are classified under the ICT sector. In other words, ICT employment is defined as the people working in the information and communication technology (ICT) sector. Total business workforce represents all persons engaged in domestic production in the business sector. This indicator is measured as a percentage of business sector employment.

An ICT sector can be defined as a manufacturing and service industry whose products capture, transmit or display data and information electronically.

For manufacturing industries, the products of a candidate industry (OECD, 2017):

  • ▪ must be intended to fulfil the function of information processing and communication including transmission and display; and
  • ▪ must use electronic processing to detect, measure and/or record physical phenomena or control a physical process.

For services industries, the products of a candidate industry:

  • ▪ must be intended to enable the function of information processing and communication by electronic means.

Given that the smart city infrastructure relies on ICTs, it is essential that the ICT sector has the required workforce to carry forth the research and facilitate advancements related to digital technologies.

A higher percentage indicates higher number of workers in the ICT sector.

| | | | | +| Source(s) | NOTE – OECD (2005). Partnership on measuring ICT for development. Retrieved from < https://www.itu.int/ITU-D/ict/partnership/material/CoreICTIndicators.pdf > and OECD 2017 – < https://data.oecd.org/ict/ict-employment.htm > | | | | | +| Methodology |

Calculate as:

Numerator: number of employees in the ICT sector.

Denominator: total number of the city labour force.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases |

This indicator is typically calculated using data from the national account tables. Where ICT sector industries are not present in a country's national accounts by activity tables, estimates are made based on business survey results (often provided specifically for the ICT sector by national standards organizations) (OECD, 2017)

Information can be derived from:

  1. human resources department of ICT companies;
  2. statistics department; and
  3. Labour Office.

Collection method: This information can be gathered from:

  1. databases
  2. surveys.
| | | | | +| SDG reference(s) | SDG target 8.3: Promote development-oriented policies that support productive activities, decent job creation, entrepreneurship, creativity and innovation, and encourage the formalization and growth of micro, small and medium-sized enterprises, including through access to financial services. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Basic water supply | | | | | +| KPI No. | EC: I: WS: 1C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Percentage of households with access to a basic water supply | | | | | +| Rationale/
Interpretation/
Benchmarking |

Access to drinking water is a fundamental need and a vital human right. About 1.1 billion people have no access to any type of improved drinking source of water. 1.6 million people die every year from diarrhoeal diseases attributable to a lack of safe drinking water and basic sanitation. The health and economic benefits of improved water supply to households and individuals are well documented.

Basic water sources include: piped water, public tap, borehole or pump, protected well, protected spring or rainwater.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – Integrated Monitoring Guide for SDG 6 – UN Water 2016. Retrieved from http://www.unwater.org/publications/integrated-monitoring-guide-sdg-6/

NOTE 2 – Progress on drinking water, sanitation and hygiene: 2017 update and Sustainable Development Goal baselines. Retrieved from http://www.unwater.org/publication_categories/whounicef-joint-monitoring-programme-for-water-supply-sanitation-hygiene-jmp/

| | | | | +| Methodology |

Calculate as:

Numerator: number of city households with access to basic water sources.

Denominator: total number of city households.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected through the local water utility. | | | | | +| SDG reference(s) | SDG indicator 6.1.1: Percentage of population using safely managed drinking water services. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Potable water supply | | | | | +| KPI No. | EC: I: WS: 2C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Percentage of households with a safely managed drinking water service | | | | | +| Rationale/
Interpretation/
Benchmarking |

This indicator measures the percentage of the urban and rural population using safely managed drinking water services, as defined by the WHO/UNICEF Joint Monitoring Programme. This indicator goes beyond the "basic water supply" indicator as it has been designed to incorporate an assessment of the quality and safety of the water people use.

Households are considered to have access to a safely managed drinking water service when they use water from a basic source on premises. The term 'safely managed' is proposed to describe a higher threshold of service for water. This includes measures for protecting supplies and ensuring water is safe to drink.

A house shall not be considered to have access to a safely managed drinking water service when an individual house or group is served by a conduit system built, for example, of wood, bamboo, or rubber hose, connected directly to a river, well, or to another house.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – WHO/UNICEF. Joint Monitoring Programme for Water Supply and Sanitation. Retrieved from < https://www.washdata.org/ > | | | | | +| Methodology |

Calculate as:

Numerator: number of city households with a safely managed drinking water service.

Denominator: total number of city households.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected through the local water utility. | | | | | +| SDG reference(s) | SDG indicator 6.1.1:Percentage of population using safely managed drinking water services. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Water supply loss | | | | | +| KPI No. | EC: I: WS: 3C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Percentage of water loss in the water distribution system | | | | | +| Rationale/
Interpretation/
Benchmarking |

Water loss from distribution systems is a problem in almost all conurbations around the world but can be a serious issue in areas where water is scarce. This problem deserves immediate attention and appropriate action to reduce avoidable stress on scarce and valuable water resources.

Reducing water losses in urban drinking water supply networks could make a substantial contribution to making progress in achieving SDG 6.

Water losses in urban networks not only lead to economic losses for the utilities, but also reduce the number of people that have access to water. Where urban water supplies are concerned, minimizing losses from the system to the lowest technically feasible level is an urgent requirement.

Water supplied is the actual volume of water supplied by the utility to the distribution system.

Utilized water is volume of water that is actually billed by the water supply utility.

The differences between the two values can be derived from multiple sources but are generally due to leaks in the system and unauthorized use.

A declining trend and lower values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – Integrated Monitoring Guide for SDG 6 – UN Water 2016. Retrieved from <http://www.unwater.org/publications/integrated-monitoring-guide-sdg-6/>

NOTE 2 – Progress on drinking water, sanitation and hygiene: 2017 update and Sustainable Development Goal baselines. Retrieved from <http://www.unwater.org/publication_categories/whounicef-joint-monitoring-programme-for-water-supply-sanitation-hygiene-jmp/>

| | | | | +| Methodology |

Calculate as:

Numerator: volume of water supplied minus the volume of utilized water (l/year).

Denominator: total volume of water supplied (l/year).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data can be provided through the local water supply utility. | | | | | +| SDG reference(s) | SDG target 6.4: By 2030, substantially increase water-use efficiency across all sectors and ensure sustainable withdrawals and supply of freshwater to address water scarcity and substantially reduce the number of people suffering from water scarcity. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Waste-water collection | | | | | +| KPI No. | EC: I: WS: 4C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Percentage of households served by waste-water collection | | | | | +| Rationale/
Interpretation/
Benchmarking |

The collection of wastewaters is key to allow for centralized treatment which reduces the incidence of a variety of waterborne diseases. A reliable waste-water collection system is a major indicator of the level of local development and of community health. Water pollution from human waste is less of a problem in countries that can afford to treat sewage and wastewater. These countries usually have effective collection systems in place.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: number of city households served by waste-water collection.

Denominator: total number of city households.

Multiplied by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data should be collected from local utilities that operate wastewater facilities. | | | | | +| SDG reference(s) | SDG target 6.3: By 2030, improve water quality by reducing pollution, eliminating dumping and minimizing release of hazardous chemicals and materials, halving the proportion of untreated wastewater and substantially increasing recycling and safe reuse globally. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Household sanitation | | | | | +| KPI No. | EC: I: WS: 5C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Percentage of households with access to basic sanitation facilities | | | | | +| Rationale/
Interpretation/
Benchmarking |

The WHO/UNICEF Joint Monitoring Programme defines access to water supply and sanitation in terms of the types of technology and levels of service afforded. Basic sanitation facilities are able to maintain certain levels of hygiene and ensure that humans do not come in direct contact with human excreta. To be effective, facilities must be correctly constructed and properly maintained. Basic facilities include:

  • • flush or pour-flush to piped sewer system, septic tank or pit latrine;
  • • ventilated improved pit latrine;
  • • pit latrine with slab; and
  • • composting toilet.

Access to adequate excreta disposal facilities is an important requirement if adverse health effects of poor sanitation are to be avoided. This indicator thus provides a measurement of both the potential exposure of the population to infectious agents associated with poor sanitation, and of the action taken to improve domestic sanitation.

The indicator can be used:

  1. i) to help target and plan efforts to improve access to sanitation and to monitor progress of such measures;
  2. ii) to assess levels of social inequality and deprivation; and
  3. iii) to help investigate the link between sanitary conditions and specific health effects.

Good sanitation is important for urban and rural populations, but the risks are greater in urban areas where contact with waste is more difficult to avoid.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – Integrated Monitoring Guide for SDG 6 – UN Water 2016. Retrieved from <http://www.unwater.org/publications/integrated-monitoring-guide-sdg-6/>

NOTE 2 – Progress on drinking water, sanitation and hygiene: 2017 update and Sustainable Development Goal baselines. Retrieved from <http://www.unwater.org/publication_categories/whounicef-joint-monitoring-programme-for-water-supply-sanitation-hygiene-jmp/>

| | | | | +| Methodology |

Calculate as:

Numerator: total number of city households with access to basic sanitation and facilities.

Denominator: total number of city households.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | NOTE – WHO-UNICEF Joint Monitoring Programme for Water Supply and Sanitation < https://www.washdata.org/ > | | | | | +| SDG reference(s) | SDG indicator 6.2.1: Proportion of population using safely managed sanitation services, including a hand-washing facility with soap and water. | | | | | + +| | | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|--------------------| +| Dimension | Economy | | | | | +| Sub-dimension | Infrastructure | | | | | +| Category | Waste | | | | | +| KPI name | Solid waste collection | | | | | +| KPI No. | EC: I: WA: 1C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Percentage of households with regular solid waste collection | | | | | +| Rationale/
Interpretation/
Benchmarking |

The percentage of inhabitants served by regular solid waste collection is an indicator of city health, cleanliness and quality of life. Solid waste systems contribute in many ways to public health, the local economy, the environment, and the social understanding and education about the latter.

Regular waste collections can include household collections, regular 'dumpmaster' group collections, but not local dumps to which the household must carry rubbish. Solid waste collection should occur at least once a week.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: number of city households that are served by solid waste collection.

Denominator: total number of city households.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases |

This information could be provided by municipal bodies, public services and major private contractors dealing with solid waste collection and disposal. Data may be obtained from specific studies carried out on solid waste for specific projects.

Parastatal and private companies dealing with solid waste treatment shall be able to provide information on selected disposal methods.

Solid waste experts as well as NGOs working in this area may also be consulted.

| | | | | +| SDG reference(s) |

SDG indicator 11.6.1: Percentage of urban solid waste regularly collected and with adequate final discharge with regard to the total waste generated by the city.

SDG indicator 12.4.2: Treatment of waste, generation of hazardous waste, hazardous waste management, by type of treatment.

| | | | | + +| | | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|-------------------| +| Dimension | Economy | | | | | +| Sub-dimension | Infrastructure | | | | | +| Category | Electricity supply | | | | | +| KPI name | Electricity system outage frequency | | | | | +| KPI No. | EC: I: ES: 1C | Type: | Core | Type: | Structural | +| Definition/
Description | Average number of electrical interruptions per customer per year | | | | | +| Rationale/
Interpretation/
Benchmarking |

The reliability of the electricity network is vital for long-term economic sustainability of a city.

The System Average Interruption Frequency Index (SAIFI) is used as a standard reliability indicator by electric power utilities globally. SAIFI is the average number of interruptions that a customer would experience over a specific time-period, and is calculated as:

$SAIFI = \frac{\sum \lambda_i N_i}{\sum N_i}$

\lambda_i is the failure rate
N_i is the number of customers
Data should be reported for a 12-month period.

| | | | | +| Methodology |

Calculate as:

Numerator: sum of customer interruptions.
Denominator: total number of customers served.

| | | | | +| Unit | Number | | | | | +| Data sources/
Relevant databases |

NOTE – Data can be provided by the local electrical utility.

IEEE Standard 1366-1998 at <https://www.ieee.org/standards/index.html>

| | | | | +| SDG reference(s) | SDG target 7.1: By 2030, ensure universal access to affordable, reliable and modern energy services. | | | | | + +| | | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|-------------------| +| Dimension | Economy | | | | | +| Sub-dimension | Infrastructure | | | | | +| Category | Electricity supply | | | | | +| KPI name | Electricity system outage time | | | | | +| KPI No. | EC: I: ES: 2C | Type: | Core | Type: | Structural | +| Definition/
Description | Average length of electrical interruptions | | | | | +| Rationale/
Interpretation/
Benchmarking |

The reliability of the electricity network is vital for long-term economic sustainability of a city.

The Customer Average Interruption Duration Index (CAIDI) is used as a standard reliability indicator by electric power utilities globally and indicates how long it will take to restore electricity once an outage has occurred.

$CAIDI = \frac{\sum U_i N_i}{\sum \lambda_i N_i}$

U_i is the annual outage time
\lambda_i is the failure rate
N_i is the number of customers

Data should be reported for a 12-month period.

| | | | | +| Methodology |

Calculate as:

Numerator: sum of all customer interruption durations (mins).

Denominator: total number of customer interruptions.

| | | | | +| Unit | Minutes | | | | | +| Data sources/
Relevant databases |

NOTE – Data can be provided by the local electrical utility.

IEEE Standard 1366-1998 at <https://www.ieee.org/standards/index.html>

| | | | | +| SDG reference(s) | SDG target 7.1: By 2030, ensure universal access to affordable, reliable and modern energy services. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Electricity supply | | | | | +| KPI name | Access to electricity | | | | | +| KPI No. | EC: I: ES: 3C | Type: | Core | Type: | Structural | +| Definition/
Description | Percentage of households with authorized access to electricity | | | | | +| Rationale/
Interpretation/
Benchmarking |

Electricity and other modern energy services are an essential component of providing basic social services. Lack of access to modern energy services contributes to poverty and deprivation and limits economic development.

Furthermore, adequate, affordable and reliable energy services are necessary to guarantee sustainable, economic and human development.

Unlawful connections make the development of an electricity grid less viable as authorized users must pay higher rates to compensate for funds lost due to unauthorized connections.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: number of city households with an authorized connection to the electrical system.

Denominator: total number of city households.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be obtained from local electricity utility providers. | | | | | +| SDG reference(s) | SDG indicator 7.1.1: Proportion of population with access to electricity. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Transport | | | | | +| KPI name | Public transport network | | | | | +| KPI No. | EC: I: T: 1C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Length of public transport network per 100 000 inhabitants | | | | | +| Rationale/
Interpretation/
Benchmarking |

Public transport shall include both high capacity (e.g., heavy rail, metro, subway systems and commuter rail systems) and light capacity (e.g., light rail streetcars and trams, buses, trolleybuses). One-way length is defined as a transit line that is 10 km long (back and forth). It should be noted that 20 km is counted as two-way length. Cities shall report only on the length of lines within city boundaries.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: length of public transport lines within city boundaries (km) (one-way length).

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Kilometres/100 000 inhabitants | | | | | +| Data sources/
Relevant databases | Data can be collected from local transportation, road departments and local transit authorities. | | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | + +| | | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|--------------------| +| Dimension | Economy | | | | | +| Sub-dimension | Infrastructure | | | | | +| Category | Transport | | | | | +| KPI name | Public transport network convenience | | | | | +| KPI No. | EC: I: T: 2A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Percentage of the city population that has convenient access (within 0.5 km) to public transport | | | | | +| Rationale/
Interpretation/
Benchmarking |

The total length of the public transport system does not necessarily provide information on accessibility and investments in public transport can be more expensive if need and demand are not taken into account.

The International Association of Public Transport (UITP) recognizes that the access to public transport is considered convenient when an officially recognized stop is accessible within a distance of 0.5 km.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – UITP. Public Transport Trends. Retrieved from http://www.uitp.org/public-transport-trends | | | | | +| Methodology |

Calculate as:

Numerator: total number of city inhabitants living within 0.5km of a public transport stop.

Denominator: total number of city inhabitants.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data can be obtained through overlays of GIS data from the city and local public transport operator information. | | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Transport | | | | | +| KPI name | Bicycle network | | | | | +| KPI No. | EC: I: T: 3C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Length of bicycle paths and lanes per 100 000 population | | | | | +| Rationale/
Interpretation/
Benchmarking |

A transportation system within a city that emphasizes the use of bicycles can be a method to reduce traffic congestion. Cycling has a lower environmental impact than the other vehicles and is a low-cost transportation means. Therefore, bicycles are more accessible to lower income inhabitants and provide health benefits to users. Bicycle lanes are to be counted if they are separated from the road by defined road markings.

Bicycle paths are to be counted if they are separate roadways or lanes separated from the road by physical barriers.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: km of bicycle paths/lanes.

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Kilometres / 100 000 inhabitants | | | | | +| Data sources/
Relevant databases | Data can be collected from municipal transportation and road authorities. | | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | + +| | | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|--------------------| +| Dimension | Economy | | | | | +| Sub-dimension | Infrastructure | | | | | +| Category | Transport | | | | | +| KPI name | Transportation mode share | | | | | +| KPI No. | EC: I: T: 4A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | The percentage of people using various forms of transportation to travel to work | | | | | +| Rationale/
Interpretation/
Benchmarking |

Passenger transport mode share refers to the percentage of passenger journeys or trips by the main mode of transport and is typically reported through travel surveys. Since traffic congestion is generally highest during the time when people are travelling to and from work, collecting data during these periods is most relevant to initiate actions to reduce congestion.

Cities should report on the modes of public transportation, personal vehicles, bicycles, walking, and paratransit going to and from work.

An improving trend and higher values for public and more sustainable options are considered positive.

| | | | | +| Source(s) |

NOTE 1 – Transport Mode Shares. Retrieved from
<https://www.lta.gov.sg/taacademy/doc/J11Nov-p60PassengerTransportModeShares.pdf>

NOTE 2 – Paratransit. Retrieved from
<https://www.transitwiki.org/TransitWiki/index.php/Paratransit_Services>

| | | | | +| Methodology |

Calculate as:

Numerator: number of travellers using a specific transportation mode.

Denominator: total number of travellers.

Multiply by 100.

Report on modes: public transportation, personal vehicles, bicycles, walking, paratransit.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases |

Data would be gathered from local road and transport authorities and local transit authorities.

Data may be available from transportation surveys.

| | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Transport | | | | | +| KPI name | Travel time index | | | | | +| KPI No. | EC: I: T: 5A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Ratio of travel time during the peak periods to travel time at free flow periods | | | | | +| Rationale/
Interpretation/
Benchmarking |

This indicator is a measure of congestion that focuses on each trip and each mile of travel. A value of 1.30 indicates that a 20-minute free-flow trip takes 26 minutes during the peak.

For more focused systems of mixed freeway and arterial facilities (no local streets) a TTI of under 2.5 is roughly indicative of generally uncongested conditions and good signal coordination.

For a system of solely unsignalized facilities (freeways, highways, 2-lane rural roads), a TTI of over 1.4 is indicative of the facility being relied on in excess of its capacity over the entire length of the analysis period.

The following should be taken into consideration for this indicator:

  • • TTI \leq 1.5 is "Good";
  • • TTI between 1.5 and 2.5 is "Potentially Acceptable"; and
  • • TTIs > 2.5 is "Less Desirable".
| | | | | +| Source(s) | NOTE – US Department of Transportation. Traffic Analysis Toolbox Volume VI: Definition, Interpretation, and Calculation of Traffic Analysis Tools Measures of Effectiveness. Retrieved from
https://ops.fhwa.dot.gov/publications/fhwahop08054/sect6.htm | | | | | +| Methodology | Calculate as:
Numerator: travel time during peak periods (min).
Denominator: travel time during free-flow periods (min). | | | | | +| Unit | Ratio | | | | | +| Data sources/
Relevant databases | Data can be obtained from local or national transportation authorities. | | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Transport | | | | | +| KPI name | Shared bicycles | | | | | +| KPI No. | EC: I: T: 6A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Number of shared bicycles per 100 000 inhabitants | | | | | +| Rationale/
Interpretation/
Benchmarking |

Many cities globally are now implementing a variety of bicycle sharing services either run by local community groups or non-profit organizations, the municipality, or in conjunction with private operators.

Shared bicycle services can provide instant transportation options for residents and visitors and avoid the use of automobiles or motorized public transport, thereby reducing traffic congestion, noise, and air pollution.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: number of shared bicycles available.

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Number/100 000 inhabitants | | | | | +| Data sources/
Relevant databases | Data can be collected from municipal transportation agencies and/or bicycle sharing service operators. | | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Transport | | | | | +| KPI name | Shared vehicles | | | | | +| KPI No. | EC: I: T: 7A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Number of shared vehicles per 100 000 inhabitants | | | | | +| Rationale/
Interpretation/
Benchmarking |

Shared vehicles are defined as vehicles available for short-term rentals (often by the hour) through a commercial business, public agency or with a cooperative.

Shared vehicles provide an alternative form of transportation for those inhabitants who do not need to have a personal vehicle (due to the limited number of travels they engage in). This may reduce the number of personal vehicles within a city, and may also mean that a city does not have to build as many parking facilities or that road space can be better utilized for travel rather than parking.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: number of shared vehicles.

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Number/100 000 inhabitants | | | | | +| Data sources/
Relevant databases | Data can be collected from providers of car sharing services. | | | | | +| SDG reference(s) | SDG target 11.2: By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | + +| | | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Dimension | Economy | | | | | +| Sub-dimension | Infrastructure | | | | | +| Category | Transport | | | | | +| KPI name | Low-carbon emission passenger vehicles | | | | | +| KPI No. | EC: I: T: 8A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Percentage of low-carbon emission passenger vehicles | | | | | +| Rationale/
Interpretation/
Benchmarking |

"Plug-in hybrids, sometimes called Plug-in Hybrid-Electric Vehicles (PHEVs), are hybrids with high-capacity batteries that can be charged by plugging them into an electrical outlet or charging station. They can store enough electricity to significantly reduce their fuel use under typical driving conditions." (US Department of Energy)

"All-electric vehicles (EVs) run on electricity only. They are propelled by one or more electric motors powered by rechargeable battery packs. EVs have several advantages over conventional vehicles:

  • ▪ energy efficient: EVs convert about 59%–62% of the electrical energy from the grid to power at the wheels. Conventional gasoline vehicles only convert about 17%–21% of the energy stored in gasoline to power at the wheels.*;
  • ▪ environmentally friendly: EVs emit no tailpipe pollutants, although the power plant producing the electricity may emit them. Electricity from nuclear, hydro, solar, or wind-powered plants causes no air pollutants; and
  • ▪ performance benefits: Electric motors provide quiet, smooth operation and stronger acceleration and require less maintenance than internal combustion engines (ICEs)." (US Department of Energy)

    Cities should count both PHEV and EV as low emission vehicles.

    An improving trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – US Department of Energy. Plug-in Hybrids. Retrieved from https://www.fueleconomy.gov/feg/phevtech.shtml

NOTE 2 – US Department of Energy. All-Electric Vehicles. Retrieved from http://fueleconomy.gov/feg/evtech.shtml

| | | | | +| Methodology |

Calculate as:

Numerator: number of low emission vehicles registered (PHEV & EV).

Denominator: number of total vehicles.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data can be collected from government agencies that register passenger motor vehicles. | | | | | +| SDG reference(s) | SDG target 11.2 By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Buildings | | | | | +| KPI name | Public building sustainability | | | | | +| KPI No. | EC: I: B: 1A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Percentage area of public buildings with recognized sustainability certifications for ongoing operations. | | | | | +| Rationale/
Interpretation/
Benchmarking |

Buildings can account for a significant proportion of the GHG emissions and resource use within a city. Sustainability certifications have shown that buildings going through the process of certifying and striving for higher levels of certification will generally use less energy and water. Such buildings also show increased levels of recycling and composting and are more comfortable for occupants.

Certifications for public buildings can in particular demonstrate what is possible and provide leadership to the private sector.

Certifications are only acceptable if they are for ongoing building operations and maintenance. Certifications for design should not be included as the design stage normally is only 5-10% of a building's total life cycle impact.

Standards to be included are: BREEAM, LEED, CASBEE, BOMA BEST, BCA Green Mark, Passive House, etc.

Other standards that are equivalent to the above can be reported.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: floor area of public buildings with certification to a recognized standard for ongoing building operations (m2).

Denominator: total floor area of public buildings (m2).

Multiply by 100.

Report by certification scheme.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases |

NOTE – Data can be obtained through the facilities group within the city and through the websites of various certification agencies, such as:

http://www.breeam.com/

http://www.usgbc.org/LEED/

http://www.ibec.or.jp/CASBEE/english/

http://passivehouse.com/index.html

| | | | | +| SDG reference(s) |

SDG target 11.3: By 2030, enhance inclusive and sustainable urbanization and capacity for participatory, integrated and sustainable human settlement planning and management in all countries.

SDG target 7.3: By 2030, double the global rate of improvement in energy efficiency.

| | | | | + +| | | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|--------------| +| Dimension | Economy | | | | | +| Sub-dimension | Infrastructure | | | | | +| Category | Buildings | | | | | +| KPI name | Integrated building management systems in public buildings | | | | | +| KPI No. | EC: I: B: 2A | Type: | Advanced | Type: | Smart | +| Definition/
Description | Percentage area of public buildings using integrated ICT systems to automate building management | | | | | +| Rationale/
Interpretation/
Benchmarking |

Buildings with ICT systems have the capacity to provide citizens with a secure living and working environment by ensuring aspects like energy efficiency and water consumption are maintained at acceptable levels. Additionally, such buildings also account for the dynamic utilization of building space based on need and availability. ICT systems include building management, communication, and control systems for parameters (like energy, water, etc.).

Smart buildings (using ICTs) often have the following features:

  • • Adapts to the comfort of inhabitants: These building "learn" from inhabitants' behaviour and attempts to maximize their comfort.
  • • Promotes energy efficiency: Such buildings can significantly reduce energy consumption and facilitate cost saving.
  • • Ensures safety: Smart buildings can detect fire, water and gas leaks, faulty equipment and possible theft. Such buildings often have self-diagnostic systems to deal with these situations.
  • • Protects health: Smart buildings assure that appropriate temperature, light intensity, air condition parameters are maintained, etc.
  • • Provides assistance: These buildings can improve the quality of life of the elderly and disabled individuals living alone by provision of home assistance (when required).

A higher percentage indicates a greater number of buildings with ICT systems.

| | | | | +| Source(s) | NOTE – Eugeny. I. Batov. The distinctive features of "smart" buildings. Theoretical Foundation of Civil Engineering. 2015. [b-Eugeny] | | | | | +| Methodology |

Calculate as:

Numerator: floor area of public buildings using ICT-based systems for integrated management in the city (m2)

Denominator: total floor number of public buildings (m2)

Multiply by 100

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases |

Data can be obtained from the department of urban planning or city buildings councils or associations.

Collection method: This information can be gathered from:

  1. buildings registry of the city; and
  2. smart buildings programmes.
| | | | | +| SDG reference(s) |

SDG indicator 11.1.1: Proportion of urban population living in slums, informal settlements or inadequate housing.

SDG target 11.C: Support least developed countries, including through financial and technical assistance, in building sustainable and resilient buildings utilizing local materials.

| | | | | + +| | | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|--------------------| +| Dimension | Economy | | | | | +| Sub-dimension | Infrastructure | | | | | +| Category | Urban planning | | | | | +| KPI name | Pedestrian infrastructure | | | | | +| KPI No. | EC: I: UP: 1A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Percentage of the city designated as a pedestrian/car free zone | | | | | +| Rationale/
Interpretation/
Benchmarking |

Pedestrian zones (also known as car free zones) are areas of a city that are reserved for pedestrian use only. Most, or all, automobile or truck traffic is prohibited (except for emergency vehicles or occasional deliveries or taxis). Pedestrian zones tend to improve the local areas in terms of pollution, noise, liveability and safety for pedestrians although sometimes these negative impacts are shunted to neighbouring areas.

Generally, a higher value and an upward trend are considered more sustainable.

| | | | | +| Methodology |

Calculate as:

Numerator: total area of pedestrian/car free zones.

Denominator: total city area.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data may be collected from city Geographical Information Systems (GIS) data or planning departments. | | | | | +| SDG reference(s) | SDG target 11.3: By 2030, enhance inclusive and sustainable urbanization and capacity for participatory, integrated and sustainable human settlement planning and management in all countries. | | | | | + +| Dimension | Economy | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Infrastructure | | | | | +| Category | Urban planning | | | | | +| KPI name | Urban development and spatial planning | | | | | +| KPI No. | EC: I: UP: 2A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Existence of urban development and spatial planning strategies or documents at the city level | | | | | +| Rationale/
Interpretation/
Benchmarking |

Well-managed urbanization techniques generate economic prosperity, socio-cultural progress and environmental sustainability. Poorly managed urbanization causes increased inequality, growth of slums and negative climate change impacts.

Successful urban development and planning requires evidence-based design, implementation and management.

For each primary and secondary city (as defined by United Nations Department of Economic and Social Affairs), the following terms are to be considered:

Urban Planning: The process of urban planning has been conducted if "urban planning documents" are available for each primary and secondary city in scope.

Smart: This includes the existence of evidence-based and innovative methodology (including data innovations like spatial analytics, GIS, big data) to provide information on the urban plan outputs.

Innovation: This means novel, original and useful.

Sustainable: Urban plans should have (all) these five principles/elements to be considered "sustainable":

  1. 1) compact – avoiding urban sprawl [yes/no];
  2. 2) connectivity – places and locations to demonstrate high connectivity [yes/no];
  3. 3) integration – mixed urban land use [yes/no];
  4. 4) socially inclusive [yes/no]; and
  5. 5) resilient to climate change [yes/no].

If a city has only implemented 1, 2, 3, 4 out of 5 principles, it is only partially planned.

| | | | | +| Source(s) | NOTE – Cities Alliance. Retrieved from < https://www.citiesalliance.org/ > | | | | | +| Methodology |

To collect the data for the measurement:

Step 1: Identify city (in scope).

Step 2: Deduce whether there is an urban plan for the city.

Step 3: Examine if urban plans contain all five sustainability principles/elements (if the plans are digitalized and, on the web, then consider using automated web queries with semantics to examine these elements).

If an urban plan has a smart methodology (as defined above) and meets all five sustainable urban plan principles, then it qualifies as a smart sustainable city's urban plan.

If these principles are only partially met, mark as "partial" for further development.

| | | | | +| Unit | Yes or no. To be rated based on information provided. | | | | | +| Data sources/
Relevant databases | Urban planning websites and data repositories of local, municipal and/or national governments. | | | | | +| SDG reference(s) |

SDG indicator 11.a.1: Proportion of population living in cities that implement urban and regional development plans integrating population projections and resource needs, by size of city.

SDG target 11.3: By 2030, enhance inclusive and sustainable urbanization and capacity for participatory, integrated and sustainable human settlement planning and management in all countries.

| | | | | + +## 10 Key performance indicators – Environment dimension + +The following section contains the indicators related to the environment dimension. + +| Dimension | Environment | | | | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------|--|--|--| +| Sub-dimension | Environment | | | | | | | | +| Category | Air quality | | | | | | | | +| KPI name | Air pollution | | | | | | | | +| KPI No. | EN: EN: AQ: 1C | Type: | Core | Type: | Sustainable | | | | +| Definition/
Description | Air quality index (AQI) based on reported value for:
Particulate matter (PM 10 , and PM 2.5 );
NO 2 (nitrogen dioxide);
SO 2 (sulphur dioxide); and
O 3 (ozone). | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

High population density and the concentration of industry exert great pressure on local environments. Air pollution, from households, industry power stations and transportation (motor vehicles), is often a major problem. As a result, the greatest potential for human exposure to ambient air pollution and subsequent health problems occur in urban areas. Improving air quality is a significant aspect of promoting sustainable human settlements.

The indicator provides a measure of the state of the environment in terms of air quality and is an indirect measure of population exposure to air pollution, which is a matter of health concern in urban areas.

The indicator may be used to monitor trends in air pollution as a basis for prioritising policy actions:

  1. to map levels of air pollution in order to identify hotspots or areas in need of special attention;
  2. to help assess the number of people exposed to excess levels of air pollution;
  3. to monitor levels of compliance with air quality standards;
  4. to assess the effects of air quality policies; and
  5. to help investigate links between air pollution and health effects.

World Health Organization (WHO) air quality guidelines exist for all the pollutants of this indicator. Many countries have established their own air quality standards for many of these pollutants.

A declining trend and lower values are considered positive.

| | | | | | | | +| Source(s) | NOTE – WHO. Media Centre. Retrieved from
< http://www.who.int/mediacentre/factsheets/fs313/en/ > | | | | | | | | +| Methodology | Calculate as:
Numerator: mass of pollutant collected (µg).
Denominator: volume of air sampled (m 3 ).
Report as annual mean concentration for each pollutant. | | | | | | | | +| Unit | µg / m 3 | | | | | | | | +| Data sources/
Relevant databases | NOTE 1 – WHO Air quality guidelines – global update 2005
< https://www.who.int/publications/i/item/WHO-SDE-PHE-OEH-06-02 >
NOTE 2 – WHO Annual mean concentration of particulate matter of less than 2.5 microns of diameter (PM 2.5 ) [µg /m 3 ] in urban areas
< http://apps.who.int/gho/data/node.sdg.11-6-data?lang=en >
NOTE 3 – AirBase – The European air quality database
< http://www.eea.europa.eu/themes/air/interactive/pm10 > | | | | | | | | +| SDG reference(s) | SDG target 11.6: By 2030, reduce the adverse per capita environmental impact of cities, including by paying special attention to air quality, municipal and other waste management.
SDG indicator 11.6.2: Annual mean levels of fine particulate matter (e.g., PM 2.5 and PM 10 ) in cities (population weighted). | | | | | | | | + +| Dimension | Environment | | | | | | | | +|---------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------|--|--|--| +| Sub-dimension | Environment | | | | | | | | +| Category | Air quality | | | | | | | | +| KPI name | GHG emissions | | | | | | | | +| KPI No. | EN: EN: AQ: 2C | Type: | Core | Type: | Sustainable | | | | +| Definition/Description | Greenhouse gas (GHG) emissions per capita | | | | | | | | +| Rationale/Interpretation/Benchmarking |

In order to prevent the most severe impacts of climate change, countries have signed up to the United Nations Framework Convention on Climate Change (UNFCCC) and agreed to cooperate with the aim of limiting the increase in global average temperature and the resulting climate change impacts. In this context, the industrialized countries need to annually prepare and submit precise and regularly updated inventories of greenhouse gas (GHG) emissions.

"Internationally, the main instrument to limit greenhouse gas (GHG) emissions is the Kyoto Protocol, which was adopted in 1997 and commits its Parties by setting internationally binding emission reduction targets."

The Kyoto Protocol runs in two commitment periods; the first one started in 2008 and ended in 2012, whereas the second started in 2013 and will end in 2020. At the same time the European Union (EU) has set its climate change mitigation objective for 2020, committing itself to reduce its emissions by at least 20% compared to 1990 levels (30% subject to the conclusion of a comprehensive international climate change agreement).

Methodologies for determining GHG emissions include but are not limited to:

  • i) The Global Protocol for Community-Scale Greenhouse Gas Emission Inventories (GPC);
  • ii) BSI Norm: PAS 2070 on Specification for the assessment of greenhouse gas emissions of a city;
  • iii) Intergovernmental Panel on Climate Change IPCC Guidelines for National Greenhouse Gas Inventories;
  • iv) Global Protocol for Community-Scale GHG Emissions' (GPC), (2012 Accounting and Reporting Standard); and
  • v) ISO 14064 series on Greenhouse Gases.

Benchmarking should be based on the "Doha Amendment to the Kyoto Protocol" (UNFCCC).

A declining trend and lower values are considered positive.

| | | | | | | | +| Source(s) |

NOTE 1 – UNFCCC. Kyoto Protocol. Retrieved from http://unfccc.int/kyoto_protocol/items/2830.php

NOTE 2 – UNFCCC. Kyoto Protocol Doha Amendment. Retrieved from http://unfccc.int/kyoto_protocol/doha_amendment/items/7362.php

| | | | | | | | +| Methodology |

Calculate as:

Numerator: total GHG emissions (Tonnes eCO2).

Denominator: total number of city inhabitants.

NOTE – In eCO2, "e" means "equivalent", and every other greenhouse gas is converted into CO2.

| | | | | | | | +| Unit | Tonnes eCO 2 /capita | | | | | | | | +| Data sources/Relevant databases |

NOTE – United nations Greenhouse Gas Inventory Data:

https://unfccc.int/ghg_data/items/3800.php

| | | | | | | | +| SDG reference(s) |

SDG target 11.6: By 2030, reduce the adverse per capita environmental impact of cities, including by paying special attention to air quality, municipal and other waste management.

SDG indicator 13.2.1: Number of countries that have communicated the establishment or operationalization of an integrated policy/strategy/plan which increases their ability to adapt to the adverse impacts of climate change, and foster climate resilience and low greenhouse gas emissions development in a manner that does not threaten food production (including a national adaptation plan, nationally determined contribution, national communication, biennial update report or other).

| | | | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Environment | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Drinking water quality | | | | | +| KPI No. | EN: EN: WS: 1C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Percentage of households covered by an audited Water Safety Plan | | | | | +| Rationale/
Interpretation/
Benchmarking |

Water safety and quality are fundamental to human development and well-being. Providing access to safe water is one of the most effective instruments in promoting health and reducing poverty.

WHO produces international norms on water quality and human health in the form of guidelines that are used as the basis for regulation and standard setting worldwide. The guidelines for drinking water quality (GDWQ) promote the protection of public health by advocating for the development of locally relevant standards and regulations (health-based targets), adoption of preventive risk management approaches covering catchment to consumer (water safety plans) and independent surveillance to ensure that water safety plans are being implemented and effective and that national standards are being met.

Cities should measure the quality of drinking water against the most recent WHO Guidelines for Drinking Water Quality Fourth Edition.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – WHO – Guidelines for drinking water quality. Retrieved from http://apps.who.int/iris/bitstream/10665/254637/1/9789241549950-eng.pdf?ua=1

NOTE 2 – WHO. Water Sanitation. Retrieved from http://www.who.int/water_sanitation_health/water-quality/en/

NOTE 3 – Progress on drinking water, sanitation and hygiene: 2017 update and Sustainable Development Goal baselines. Retrieved from: https://www.washdata.org/

| | | | | +| Methodology |

Calculate as:

Numerator: number of compliant samples to WHO Guidelines.

Denominator: total number of samples.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases |

NOTE – WHO Guidelines on drinking water quality. Retrieved from http://apps.who.int/iris/bitstream/10665/254637/1/9789241549950-eng.pdf?ua=1

http://www.who.int/water_sanitation_health/water-quality/en/

| | | | | +| SDG reference(s) | SDG indicator 6.1.1: Proportion of population using safely managed drinking water services. | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Environment | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Water consumption | | | | | +| KPI No. | EN: EN: WS: 2C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Water consumption per capita | | | | | +| Rationale/
Interpretation/
Benchmarking |

Consumption of water per person depends on:

  • • the availability and price of water;
  • • the climate; and
  • • the uses of water (drinking, bathing, washing, and gardening).

In many cities, potable water supply is not constant, and households rely on a few hours to tap the available water during the day. Water consumption is much higher in cities of higher income countries.

Typically, people in cities of developed countries use 272 litres per day while the average in Africa is 53 litres per day. North American cities use, on average, double the amount of water per person than Western European cities, and seven times that of African cities.

Water consumption should include all water used within the city.

Water consumption per capita should be in line with the sustainable water resources available.

A declining trend and lower values are considered positive.

| | | | | +| Source(s) | NOTE – Urban Indicators Toolkit. Retrieved from
< http://www.conei.sp.gov.br/ind/urbanindicators_urbanobservatory.pdf > | | | | | +| Methodology |

Calculate as:

Numerator: total amount of water consumption in cities (ℓ/day).

Denominator: total number of city inhabitants.

| | | | | +| Unit | ℓ / day / capita. | | | | | +| Data sources/
Relevant databases |

NOTE – Data can be obtained from water supply utilities.

United Nations (2002): GLOBAL URBAN INDICATORS DATABASE
<https://unhabitat.org/global-urban-indicators-database>

| | | | | +| SDG reference(s) | SDG indicator 6.4.1: Change in water-use efficiency over time. | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Environment | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Freshwater consumption | | | | | +| KPI No. | EN: EN: WS: 3C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Freshwater consumption | | | | | +| Rationale/
Interpretation/
Benchmarking |

The purpose of this indicator is to show the degree to which total freshwater resources are being exploited to meet a country's water demand. It is a measure of a country's pressure on its water resources and therefore on the sustainability of its water use.

The indicator shows the extent to which water resources are already used, and the need for adjusted supply and demand management policies. It can also give an indication of increasing competition and conflict surrounding freshwater scarcity. Increased water scarcity, measured by an increase in the value of the indicator, has negative effects on the sustainability of the natural resources' base and subsequent negative effects on economic development. On the other hand, very low values of the indicator can indicate that there still is potential for increase in water use in a sustainable way.

"Water withdrawals, or water abstractions, are defined as freshwater taken from ground or surface water sources, either permanently or temporarily, and conveyed to a place of use. If the water is returned to a surface water source, abstraction of the same water by the downstream user is counted again in compiling total abstractions: this may lead to double counting. The data includes abstractions for public water supply, irrigation, industrial processes and cooling of electric power plants. Mine water and drainage water are included, whereas water used for hydroelectricity generation is normally excluded. This indicator is measured in m3 per capita (a cubic meter is the equivalent of one thousand 1 litre bottles)". (OECD)

Only 3% of the water in the world is freshwater. Depending on the location of cities, water for consumption can be derived from a variety of sources.

A higher percentage indicates a higher level of consumption from fresh water sources.

| | | | | +| Source(s) |

NOTE 1 – Millennium Development Goals Indicators. Retrieved from https://unstats.un.org/UNSD/MDG/Metadata.aspx?IndicatorId=0&SeriesId=768

NOTE 2 – Proportion of Total Water Resources Used. Retrieved from http://www.un.org/esa/sustdev/natlinfo/indicators/methodology_sheets/freshwater/total_water_resources_used.pdf

NOTE 3 – Precipitation Measurement Missions. Retrieved from https://pmm.nasa.gov/applications/freshwater-availability

NOTE 4 – OECD. Water Withdrawals. Retrieved from https://data.oecd.org/water/water-withdrawals.htm

| | | | | +| Methodology |

Calculate as:

Numerator: total amount of freshwater resources.

Denominator: total amount of water consumption.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases |

Information on volume of water from fresh water or intake sources can be received from city water utility/ies. Hydrological data could also be requested from the ministry of environment and national water authority.

Collection method: This information can be gathered from:

  1. 1) registers of treated water from water supply systems.
| | | | | +| SDG reference(s) | SDG indicator 6.4.2: Level of water stress: freshwater withdrawal as a proportion of available freshwater resources. | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Environment | | | | | +| Category | Water and sanitation | | | | | +| KPI name | Waste-water treatment | | | | | +| KPI No. | EN: EN: WS: 4C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Percentage of wastewater receiving treatment (Primary, Secondary, Tertiary) | | | | | +| Rationale/
Interpretation/
Benchmarking |

Improvement of water treatment reduces the incidence of a variety of waterborne diseases. A reliable waste-water treatment system is a major indicator of the level of local development and of community health. Water pollution from human waste is less of a problem in countries that can afford to treat sewage and wastewater.

Water pollution can be minimized with adequate investment in treatment systems. The percentage of wastewater treated is an indicator of water quality management. All forms of treatment include treatment to permit water release into water resources of different levels of environmental sensitivity. They are:

  • i) primary treatment which screen and sediment sewage to remove grosser debris;
  • ii) secondary treatment which reduce biological oxygen demand (BOD10) to acceptable levels by microbial oxidation using activated sludge or a trickle filter; and
  • iii) tertiary treatment which reduces BOD still further through micro-straining or filtering, the microbial removal of phosphates and nitrates, and disinfection using chlorine or ozone.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – FAO, Wastewater Treatment. Retrieved from:
http://www.fao.org/docrep/t0551e/t0551e05.htm | | | | | +| Methodology | Calculate as:
Numerator: total amount of wastewater that has undergone (primary /secondary / tertiary) treatment (ℓ).
Denominator: total amount of wastewater collected (ℓ).
Multiply by 100. | | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | This information is usually known by municipal authorities and is available from the main water supply and treatment companies. | | | | | +| SDG reference(s) | SDG indicator 6.3.1: Percentage of wastewater safely treated. | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Environment | | | | | +| Category | Waste | | | | | +| KPI name | Solid waste treatment | | | | | +| KPI No. | EN: EN: WA: 1C | Type: | Core | Type: | Sustainable | +| Definition/
Description |

The percentage of solid waste dealt with in the following ways should be reported on:

  • a) disposed to sanitary landfills;
  • b) burnt in an open area;
  • c) incinerated;
  • d) disposed to an open dump;
  • e) recycled; and
  • f) other (with regard to total amount of solid waste produced).
| | | | | +| Rationale/
Interpretation/
Benchmarking |

Many cities generate more solid waste than can be readily disposed of and the use of open pits to burn waste is more common in cities in developing countries or countries with economies in transition, which can lead to adverse effects on the environment and health.

The following treatment categories can be prioritized:

  • • disposal to sanitary landfill is preferable to burning in open areas or disposal in open dumps;
  • • solid waste recycling in a regulated facility is preferable to burning and dumping; and
  • • solid waste incineration and energy production is preferable to dumping and burning in open areas.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: total amount of solid waste that is disposed to landfills/incinerated/burnt in an open area/disposed in an open dump/other/recycled (tonnes).

Denominator: total amount of solid waste produced (tonnes).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data can be collected from municipalities, municipal contractors or private contractors responsible for solid waste collection and disposal. | | | | | +| SDG reference(s) | SDG indicator 11.6.1: Percentage of urban solid waste regularly collected and with adequate final discharge with regard to the total waste generated by the city. | | | | | + +| Dimension | Environment | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Sub-dimension | Environment | +| Category | Environmental quality | +| KPI name | EMF exposure | +| KPI No. | EN: EN: EQ: 1C Type: Core Type: Smart | +| Definition/
Description | Percentage of mobile network antenna sites in compliance with EMF exposure guidelines | +| Rationale/
Interpretation/
Benchmarking |

The deployment of mobile network antenna sites and similar smart sustainable city wireless infrastructure often receive opposition, which usually increases with the density of such installations. This opposition may be linked to concerns about potential health risks caused by exposure to EMF, as well as to concerns about aesthetics, impacts on property values, or issues such as privacy of information. With respect to EMF exposure, these fields are often imperceptible to and poorly comprehended by the general public. This can generate social conflicts due to public distrust and rejection and lead to delays in the deployment of new wireless technologies. In this context, city officials and elected representatives need to develop transparent policies and mechanisms for the implementation of wireless facilities [b-ITU-T K.83] and [b-ITU-T K.113].

Large disparities between national limits and international guidelines can foster confusion for regulators and policy makers and increase public anxiety [b-ITU-T K.91]. These factors have motivated WHO to build a framework for developing health-based EMF standards which address how to develop science-based quantitative EMF exposure limits. It is intended for national advisory and/or regulatory bodies that are either developing new standards for EMF or reviewing the basis of their existing standards.

Cities shall confirm compliance through a statistically valid audit programme for mobile network antenna sites and provide data as to the verification programme and results [b-ITU-T K.61].

Sites shall be counted only if they are part of a verification programme and results show no area of non-compliance [b-ITU-T K.52].

An improving trend and higher values are considered positive.

| +| Source(s) |

NOTE 1 – WHO EMF Standards -Framework for developing health-based EMF standards. Retrieved from <http://www.who.int/peh-emf/standards/framework/en/>

NOTE 2 – [b-ITU-T K.52]. Retrieved from <https://www.itu.int/ITU-T/recommendations/rec.aspx?rec=13131>

NOTE 3 – [b-ITU-T K.61]. Retrieved from <https://www.itu.int/ITU-T/recommendations/rec.aspx?rec=9139>

NOTE 4 – [b-ITU-T K.83]. Retrieved from <https://www.itu.int/ITU-T/recommendations/rec.aspx?rec=11037>

NOTE 5 – [b-ITU-T K.91]. Retrieved from <https://www.itu.int/ITU-T/recommendations/rec.aspx?rec=11634>

NOTE 6 – [b-ITU-T K.113]. Retrieved from <https://www.itu.int/ITU-T/recommendations/rec.aspx?rec=12666>

NOTE 7 – [b-ITU-T K.121]. Retrieved from <https://www.itu.int/ITU-T/recommendations/rec.aspx?rec=13137>

| +| Methodology |

Calculate as:

Numerator: number of sites complying with WHO guidelines.

Denominator: total number of sites.

Multiply by 100.

| +| Unit | Percentage | +| Data sources/
Relevant databases |

NOTE 1 – ITU EMF Guide. Retrieved from <http://emfguide.itu.int/emfguide.html>

NOTE 2 – International Commission on Non-Ionizing Radiation Protection (ICNIRP) International Guidelines. Retrieved from <https://emfguide.itu.int/pdfs/emfgdl.pdf>

| +| SDG reference(s) | SDG target 16.B: Promote and enforce non-discriminatory laws and policies for sustainable development. | + +| Dimension | Environment | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Environment | | | | | +| Category | Environmental quality | | | | | +| KPI name | Noise exposure | | | | | +| KPI No. | EN: EN: EQ: 2A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Percentage of inhabitants exposed to excessive noise levels. | | | | | +| Rationale/
Interpretation/
Benchmarking |

Exposure to prolonged levels of excessive noise can lead to negative health effects and affect the ability of residents to enjoy outdoor/indoor city life.

Exposure to noise shall be calculated in accordance with the requirements of ISO 1996-2:1987 Acoustics – Description and measurement of environmental noise. Excessive noise exposure should be mapped the area of the city where the noise level [LDEN (day-evening-night)] exceeds 55 dB(A).

A lower value and a declining trend are positive indicators.

| | | | | +| Methodology |

Calculate as:

Numerator: number of city inhabitants exposed to noise levels [LDEN (day-evening-night)] over 55 dB(A).

Denominator: total number of city inhabitants.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data can be collected through municipal/national environmental departments. | | | | | +| SDG reference(s) | SDG target 11.6: By 2030, reduce the adverse per capita environmental impact of cities, including by paying special attention to air quality and municipal and other waste management. | | | | | + +| Dimension | Environment | | | | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------|--|--|--| +| Sub-dimension | Environment | | | | | | | | +| Category | Public space and nature | | | | | | | | +| KPI name | Green areas | | | | | | | | +| KPI No. | EN: EN: PSN: 1C | Type: | Core | Type: | Sustainable | | | | +| Definition/
Description | Green area per 100 000 inhabitants | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

Green areas are important to the sustainability of a city. The benefits of green spaces include capturing pollutants, reducing the "heat island" effect and providing recreational spaces.

Green spaces can include parks, gardens, recreational areas, natural areas or other open green spaces.

An improving trend and higher values are considered positive.

| | | | | | | | +| Methodology |

Calculate as:

Numerator: total area of green space in the city (m2) (public and private).

Denominator: one 100 000th of the city's population.

| | | | | | | | +| Unit | m 2 / 100 000 inhabitants | | | | | | | | +| Data sources/
Relevant databases | Data may be obtained through municipal parks and recreation departments, planning departments, aerial surveys or GIS data. | | | | | | | | +| SDG reference(s) | SDG indicator 11.7.1: The average share of the built-up area of cities that is open space for public use for all, disaggregated by age group, sex and persons with disabilities. | | | | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Environment | | | | | +| Category | Public space and nature | | | | | +| KPI name | Green area accessibility | | | | | +| KPI No. | EN: EN: PSN: 2A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Percentage of inhabitants with accessibility to green areas. | | | | | +| Rationale/
Interpretation/
Benchmarking |

Green areas are important to the sustainability of a city. The benefits of green spaces include capturing pollutants, reducing the "heat island" effect and providing recreational spaces. Green spaces can include parks, gardens, recreational areas, natural areas or other open green spaces.

However, it is also important to note whether city inhabitants have ready access to these spaces, as such spaces lead to a higher quality of life for the city's inhabitants. An improving trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE – This indicator is based on the WHO/EURO indicator suggested for accessibility of green spaces and the methodological guidance. Retrieved from http://www.euro.who.int/_data/assets/pdf_file/0005/321971/Urban-green-spaces-and-health-review-evidence.pdf?ua=1

| | | | | +| Methodology |

Calculate as:

Numerator: number of inhabitants living with 300 m of a publicly accessible green space of at least 0.5 ha.

Denominator: total number of city inhabitants.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data may be obtained from municipal parks and recreation departments, planning departments, aerial surveys or GIS data overlaid with population data or maps. | | | | | +| SDG reference(s) | SDG indicator 11.7.1: The average share of the built-up area of cities that is open space for public use for all, disaggregated by age group, sex and persons with disabilities. | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Environment | | | | | +| Category | Public space and nature | | | | | +| KPI name | Protected natural areas | | | | | +| KPI No. | EN: EN: PSN: 3A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Percentage of city area protected as natural sites | | | | | +| Rationale/
Interpretation/
Benchmarking |

Protected natural areas of a city are important to allow for habitats for native species to maintain biodiversity. Natural areas should be as large as possible and contiguous for maximum benefit.

A 'protected area' refers to a clearly defined geographical space, recognized, dedicated, and managed, through legal or other effective means, to achieve the long-term conservation of nature with associated ecosystem services and cultural values.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE – IUCN. Urban Protected Areas – Profiles and best practice guidelines. Retrieved from

<https://www.iucn.org/content/urban-protected-areas-profiles-and-best-practice-guidelines>

| | | | | +| Methodology |

Calculate as:

Numerator: area of protected natural areas preserved by law or other effective means (m2).

Denominator: total city area (m2).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data may be obtained through municipal parks and recreation departments, planning departments, aerial surveys or GIS data. | | | | | +| SDG reference(s) |

SDG indicator 15.1.2: Proportion of important sites for terrestrial and freshwater biodiversity that are covered by protected areas, by ecosystem type.

SDG indicator 15.B.1: (a) Official development assistance on conservation and sustainable use of biodiversity and ecosystems; and (b) revenue generated and finance mobilized from biodiversity-relevant economic instruments.

SDG target 14.5: By 2020, conserve at least 10 per cent of coastal and marine areas, consistent with national and international law and based on the best available scientific information.

| | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Environment | | | | | +| Category | Public space and nature | | | | | +| KPI name | Recreational facilities | | | | | +| KPI No. | EN: EN: PSN: 4A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Area of total public recreational facilities per 100 000 inhabitants | | | | | +| Rationale/
Interpretation/
Benchmarking |

Recreational facilities are important to maintain the health of city inhabitants and for providing opportunities for inhabitants to publicly assemble and keep contact.

Both indoor and outdoor facilities that are publicly owned or publicly accessible, should be counted.

Indoor facilities include (but are not limited to) gymnasiums, community centres, swimming pools, arenas, or similar facilities dedicated to recreation.

Outdoor facilities include (but are not limited to) sports fields, parks, wooded areas, or similar areas dedicated to recreation.

Only the actual indoor floor space or outdoor land space dedicated to recreation should be included.

A higher value and an increasing trend are seen as positive.

| | | | | +| Methodology |

Calculate as:

Numerator: total area of indoor and outdoor facilities (m2).

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | m 2 /100 000 inhabitants | | | | | +| Data sources/
Relevant databases | Data can be obtained through municipal recreations, planning and sports departments and GIS data. | | | | | +| SDG reference(s) | SDG indicator 11.7.1: The average share of the built-up area of cities that is open space for public use for all, disaggregated by age group, sex and persons with disabilities. | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Energy | | | | | +| Category | Energy | | | | | +| KPI name | Renewable electricity consumption | | | | | +| KPI No. | EN: E: E: 1C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Percentage of renewable energy consumed in the city | | | | | +| Rationale/
Interpretation/
Benchmarking |

The use of energy from renewable sources can lead to the longer-term sustainability of an urban area; provide for more independence of electricity supply; and lead to the reduction of GHG emissions related to electricity generation.

Renewable sources include geothermal, solar, wind, hydro, tide, wave energy and biomass, etc.

A higher value and increasing trend are generally considered more sustainable.

| | | | | +| Methodology |

Calculate as:

Numerator: total consumption of electricity from renewable sources (kWh/yr).

Denominator: total city electricity consumption (kWh/yr).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Data can be obtained through local utility providers. | | | | | +| SDG reference(s) | SDG indicator 7.2.1: Renewable energy share in the total final energy consumption. | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Energy | | | | | +| Category | Energy | | | | | +| KPI name | Electricity Consumption | | | | | +| KPI No. | EN: E: E: 2C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Electricity consumption per capita. | | | | | +| Rationale/
Interpretation/
Benchmarking |

Electricity is a key component driving economic activity in a city. However, the generation of electricity can also be a key contributor of GHG emissions.

The city shall report all electricity consumed for residential, commercial, institutional and industrial purposes.

A declining trend and lower values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: Total consumption of electricity (kWh/year).

Denominator: Total number of city inhabitants.

| | | | | +| Unit | kWh/year/capita | | | | | +| Data sources/
Relevant
databases | Data can be collected from local electricity utilities. | | | | | +| SDG reference(s) | SDG target 7.3:By 2030, double the global rate of improvement in energy efficiency. | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Energy | | | | | +| Category | Energy | | | | | +| KPI name | Residential thermal energy consumption | | | | | +| KPI No. | EN: E: E: 3C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Residential thermal energy consumption per capita | | | | | +| Rationale/
Interpretation/
Benchmarking |

Thermal energy, along with water and electricity, form the three main areas of utility resource consumption in cities.

Thermal energy consumption is also a significant contributor of GHG emissions associated with a city. Hence, measurements and initiatives to reduce thermal energy consumption are needed to address climate change.

Yearly trends would indicate changes in efficiency.

Thermal energy sources to be included would be natural gas, oil, coal, etc. for domestic space, cooking and water heating purposes.

A declining trend and lower values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: total consumption of thermal energy (Gj/year).

Denominator: total number of city inhabitants.

| | | | | +| Unit | Gj/year/capita | | | | | +| Data sources/
Relevant databases | Data can be collected from local utilities supplying thermal sources of energy. | | | | | +| SDG reference(s) | SDG target 7.3:By 2030, double the global rate of improvement in energy efficiency. | | | | | + +| Dimension | Environment | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------------|-------|-------------| +| Sub-dimension | Energy | | | | | +| Category | Energy | | | | | +| KPI name | Public building energy consumption | | | | | +| KPI No. | EN: E: E: 4A | Type: | Additional | Type: | Sustainable | +| Definition/
Description | Energy consumption of public buildings | | | | | +| Rationale/
Interpretation/
Benchmarking |

Buildings can account for a significant proportion of energy use, GHG emissions and resource use within a city. Energy efficiency and energy reduction in buildings can reduce GHG emissions, conserve resource and mitigate against climate change.

Energy consumption shall include electricity, fuel oil, natural gas, steam and other forms of thermal energy.

Thermal energy should be converted to the equivalent kWh.

Low values should be pursued.

A declining trend is positive.

| | | | | +| Methodology |

Calculate as:

Numerator: total energy consumption by public buildings (ekWh/yr).

Denominator: total floor space of public buildings (m2).

| | | | | +| Unit | ekWh/m 2 /year | | | | | +| Data sources/
Relevant databases | Data can be collected from municipal facilities departments and local utilities. | | | | | +| SDG reference(s) | SDG target 7.3: By 2030, double the global rate of improvement in energy efficiency. | | | | | + +## 11 Key performance indicators – Society and culture dimension + +The following section contains the indicators related to the Society and culture dimension. + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Education | | | | | +| KPI name | Student ICT access | | | | | +| KPI No. | SC: EH: ED:1C | Type: | Core | Type: | Smart | +| Definition/
Description | Percentage of students with classroom access to ICT facilities | | | | | +| Rationale/
Interpretation/
Benchmarking |

ICT skills determine the effective use of ICTs. The lack of such skills continues to be one of the key barriers keeping people, and in particular women and vulnerable groups, from fully benefitting from the potential of information and communication technologies. This indicator will help make the link between ICT usage and impact, and help measure and track the level of proficiency of ICT users.

ICT facilities can be measured to include those with Internet connectivity, computer labs, ICT modules, digital learning, etc.

Cities should collect data both from public and private schools as well as recognized religious and home schools that meet defined governmental standards.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – Indicator of Sustainable Development. Retrieved from
http://www.un.org/esa/sustdev/natlinfo/indicators/guidelines.pdf | | | | | +| Methodology | Calculate as:
Numerator: students with classroom access to ICT facilities.
Denominator: total number of students enrolled in schools.
Multiply by 100. | | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be collected from local school boards / authorities or regional / national education departments or through education surveys. | | | | | +| SDG reference(s) | SDG indicator 4.4.1: Percentage of youth/adults with information and communication technology (ICT) skill by type of skill.
SDG indicator 4.a.1: Proportion of schools offering basic services, by type of service.
SDG target 5.B: Enhance the use of enabling technology, in particular information and communications technology, to promote the empowerment of women. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Education | | | | | +| KPI name | School enrolment | | | | | +| KPI No. | SC: EH:
ED:2C | Type: | Core | Type: | Structural | +| Definition/
Description | Percentage of school-aged population enrolled in schools | | | | | +| Rationale/
Interpretation/
Benchmarking |

Education is essential to human development. It is also an indicator of the future potential of a city, its inhabitants and work force.

A city should report on public and private enrolment as well as recognized religious and home schools that meet defined governmental standards.

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: number of students in primary and secondary levels in public and private schools.

Denominator: total number of the school-aged population.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases | Enrolment data can be collected from local school boards / authorities or regional / national education departments. | | | | | +| SDG reference(s) | SDG target 4.1:By 2030, ensure that all girls and boys complete free, equitable and quality primary and secondary education leading to relevant and effective learning outcomes. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Education | | | | | +| KPI name | Higher education degrees | | | | | +| KPI No. | SC: EH: ED: 3C | Type: | Core | Type: | Structural | +| Definition/
Description | Higher level education degrees per 100 000 inhabitants | | | | | +| Rationale/
Interpretation/
Benchmarking |

Higher-level education broadly refers to all post-secondary education, including, but not limited to, universities. Universities are clearly a key part of all higher-level education systems. Additionally, the diverse and growing set of public and private institutions in every country – colleges, technical training institutes, community colleges, nursing schools, research laboratories, centres of excellence, online distance learning centres, and many more – forms a network of institutions that support the production of higher-order capacity necessary for development. (World Bank)

Higher education can also be divided into post-secondary non-tertiary. This often directly prepares students for the labour market. Tertiary level education includes what is commonly understood as academic education and advanced vocational or professional education such as bachelor's or equivalent level, master's or equivalent level, and doctoral or equivalent level. (ISCED, 2011)

An improving trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – World Bank. Tertiary Education. Retrieved from <http://www.worldbank.org/en/topic/tertiaryeducation#what_why>

NOTE 2 – International Standard Classification of Education (ISCED) 2011. Retrieved from <http://www.uis.unesco.org/Education/Documents/isced-2011-en.pdf>

| | | | | +| Methodology |

Calculate as:

Numerator: number of city inhabitants holding at least one higher-level education degree.

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Number/100 000 inhabitants | | | | | +| Data sources/
Relevant databases | Data can be collected from local or regional departments of education or through national census data. | | | | | +| SDG reference(s) | SDG target 4.3: By 2030, ensure equal access for all women and men to affordable and quality technical, vocational and tertiary education, including university. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Education | | | | | +| KPI name | Adult literacy | | | | | +| KPI No. | SC: EH: ED: 4C | Type: | Core | Type: | Structural | +| Definition/
Description | Adult literacy rate | | | | | +| Rationale/
Interpretation/
Benchmarking |

The indicator is a direct measure of the skill levels of youth and adults.

Adult literacy rate is defined as "the percentage of population aged 15 years and over who can both read and write with understanding a short simple statement on his/her everyday life." (UNESCO)

Generally, 'literacy' also encompasses 'numeracy', the ability to make simple arithmetic calculations.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – UNESCO Education Indicators: Technical Guidelines. Retrieved from http://uis.unesco.org/sites/default/files/documents/education-indicators-technical-guidelines-en_0.pdf

NOTE 2 – ITU-D Statistics. Retrieved from http://www.itu.int/en/ITU-D/Statistics/Pages/publications/mis2015/methodology.aspx

| | | | | +| Methodology |

Calculate as:

Numerator: number of adult city inhabitants who are deemed literate.

Denominator: total number of adult city inhabitants.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant databases |

The data may be collected from local education or labour force departments or may need to be interpreted from national data.

The indicator is a direct measure of the skill levels of youth and adults.

It may also be collected from the following sources: United Nations Educational, Scientific and Cultural Organization (UNESCO) and UNESCO/UIS (UNESCO Institute of Statistics), including the Education for All 2000 Assessment [1].

| | | | | +| SDG reference(s) | SDG indicator 4.6.1: Percentage of population in a given group achieving at least a fixed level of proficiency in functional (a) literacy and (b) numeracy skills. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Health | | | | | +| KPI name | Life expectancy | | | | | +| KPI No. | SC: EH: H:1C | Type: | Core | Type: | Structural | +| Definition/
Description | Average life expectancy | | | | | +| Rationale/
Interpretation/
Benchmarking |

"Life expectancy at birth reflects the overall mortality level of a population. It indicates the average number of years that a new-born is expected to live if current mortality rates continue to apply and summarizes the mortality pattern that prevails across all age groups – children and adolescents, adults and the elderly."
(WHO, 2006)

An improving trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – WHO Definitions. Retrieved from
< http://www.who.int/whosis/whostat2006DefinitionsAndMetadata.pdf > | | | | | +| Methodology | Calculate as: average number of years that a new-born is expected to live if current mortality rates continue to apply. | | | | | +| Unit | Years | | | | | +| Data sources/
Relevant databases |

The data may be collected from local health departments or may need to be interpreted from regional or national data.

NOTE – It is also possible to extract this data from WHO tables:
<https://www.who.int/data/gho/data/indicators/indicator-details/GHO/life-expectancy-at-birth-(years)>

| | | | | +| SDG reference(s) | SDG target 3.4: By 2030, reduce by one third premature mortality from non-communicable diseases through prevention and treatment and promote mental health and well-being. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Health | | | | | +| KPI name | Maternal mortality rate | | | | | +| KPI No. | SC: EH: H: 2C | Type: | Core | Type: | Structural | +| Definition/
Description | Maternal deaths per 100 000 live births | | | | | +| Rationale/
Interpretation/
Benchmarking |

"Maternal death is the death of a woman while pregnant or within 42 days of termination of pregnancy, irrespective of the duration and site of the pregnancy, from any cause related to or aggravated by the pregnancy or its management but not from accidental or incidental causes. To facilitate the identification of maternal deaths in circumstances in which cause of death attribution is inadequate, the International Classification of Diseases (ICD) 10 introduced an additional category: Pregnancy-related death. This is defined as the death of a woman while pregnant or within 42 days of termination of pregnancy, irrespective of the cause of death." (WHO, 2006). A declining trend and lower values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – WHO statistics. Retrieved from
<https://www.who.int/data/gho/data/indicators/indicator-details/GHO/maternal-mortality-ratio-(per-100-000-live-births)>

NOTE 2 – The WHO Application of ICD-10 to deaths during pregnancy, childbirth and the puerperium: ICD-MM. Retrieved from
<http://apps.who.int/iris/bitstream/10665/70929/1/9789241548458_eng.pdf>

| | | | | +| Methodology |

Calculate as:

Numerator: number of maternal deaths in a year.

Denominator: number of live births in a year.

Divide result by 100 000.

| | | | | +| Unit | Number/100 000 live births. | | | | | +| Data sources/
Relevant
databases |

Sources may include vital registration, household surveys, census, health service records and specific studies on reproductive age mortality (RAMOS).

Measuring maternal mortality accurately is difficult except where comprehensive registration of deaths and their causes exist. Elsewhere, censuses or surveys can be used to measure levels of maternal mortality. Data derived from health services records are problematic where not all births take place in health facilities.

Reproductive-age mortality studies (RAMOS) use triangulation of different sources of data on deaths of women of reproductive age including record review and/or verbal autopsy to accurately identify maternal deaths. Based on multiple sources of information, RAMOS are considered the best way to estimate levels of maternal mortality. Estimates derived from household surveys are usually based on information retrospectively collected about the deaths of sisters of the respondents and could refer back up to an average 12 years and they are subject to wide confidence intervals. For countries without any reliable data on maternal mortality, statistical models are applied. Global and regional estimates of maternal mortality are developed every five years, using a regression model.

| | | | | +| SDG reference(s) | SDG indicator 3.1.1: Maternal mortality ratio. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Health | | | | | +| KPI name | Physicians | | | | | +| KPI No. | SC: EH: H:3C | Type: | Core | Type: | Structural | +| Definition/
Description | Number of physicians per 100 000 inhabitants. | | | | | +| Rationale/
Interpretation/
Benchmarking |

"The availability of physicians is an important indicator of the strength of a city's health system. There is evidence that the number of physicians is positively associated with immunization coverage, outreach of primary care, and infant, child and maternal survival.

The classification of health workers used is based on criteria for vocational education and training, regulation of health professions, and activities and tasks of jobs, i.e., a framework for categorizing key workforce variables according to shared characteristics. The WHO framework largely draws on the latest revisions to the internationally standardized classification systems of the International Labour Organization (International Standard Classification of Occupations), United Nations Educational, Scientific and Cultural Organization (International Standard Classification of Education), and the United Nations Statistics Division (International Standard Industrial Classification of All Economic Activities).

Depending on the nature of each country's situation and the means of measurement, data is available for up to nine categories of health workers in the aggregated set, and up to 18 categories in the disaggregated set. The latter essentially reflects attempts to better distinguish some subgroups of the workforce according to assumed differences in skill level and skill specialization". (WHO, 2016)

Physicians include generalist medical practitioners and specialist medical practitioners.

The city shall report on the number of licensed physicians and report as full-time equivalence (FTE).

An improving trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – WHO. Global Health Workforce Database. Retrieved from https://www.who.int/data/gho/data/themes/topics/health-workforce | | | | | +| Methodology |

Calculate as:

Numerator: number of general or specialized physicians working in the city (FTE).

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Number/100 000 inhabitants. | | | | | +| Data sources/
Relevant databases | Data may be collected from local health authorities, local/public hospitals and/ or labour force surveys. | | | | | +| SDG reference(s) | SDG indicator 3.C.1: Health worker density and distribution. | | | | | + +| Dimension | Society and culture | | | | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|------------|--|--|--| +| Sub-dimension | Education, health and culture | | | | | | | | +| Category | Health | | | | | | | | +| KPI name | In-patient hospital beds | | | | | | | | +| KPI No. | SC: EH: H: 4A | Type: | Advanced | Type: | Structural | | | | +| Definition/
Description | Number of in-patient public hospital beds per 100 000 inhabitants. | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

The number of in-patient public hospital beds is one of the few available indicators which monitor the level of a health service delivery. Service delivery is an important part of health systems, and in-patient public hospital bed density is one of the few indicators that can be collected worldwide. (WHO 2006)

Hospital beds shall include in-patient and maternity beds. This shall include beds in wards which are closed for reasons such as lack of health staff and building works. It shall also include beds for patients admitted who require continual assistance, incubators and specialized care. It may not include day care beds, pre-anaesthesia beds, wake-up beds, beds for members of a patient's family, and beds for hospital staff. (ISO 37120:2014)

An in- patient is someone who is formally admitted1 (or 'hospitalised') to an institution for treatment and/or care and stays for a minimum of one night in the hospital or other institutions providing in-patient care.

A higher value should be pursued based on health and economic factors.

An increasing trend is considered positive.

| | | | | | | | +| Source(s) |

NOTE 1 – OECD. Glossary of Statistical Terms. Retrieved from <https://stats.oecd.org/glossary/detail.asp?ID=1364>

NOTE 2 – ISO 37120:2014. Sustainable development of communities – Indicators for city services and quality of life.

NOTE 3 – World Health Statistics. 2020. Retrieved from <https://www.who.int/publications/i/item/9789240005105>

| | | | | | | | +| Methodology |

Calculate as:

Numerator: total number of in-patient hospital beds (public and private).

Denominator: one 100 000th of the city's population.

| | | | | | | | +| Unit | Number/100 000 inhabitants. | | | | | | | | +| Data sources/
Relevant databases | Data can be collected from local health departments or from hospital facility records or hospital surveys. | | | | | | | | +| SDG reference(s) | SDG target 3.8: Achieve universal health coverage, including financial risk protection, access to quality essential healthcare services and access to safe, effective, quality and affordable essential medicines and vaccines for all. | | | | | | | | + +1 Formal admission is based on whether the patient is treated by a doctor or by other medical staff in the facility. Only patients of doctors are formally admitted into the hospital patient registry. Other individuals whose cases are dealt with by other medical personnel (including, nurses, paramedics, etc.) are not considered patients of the hospitals and records of their visit are not retained beyond a period of 1-2 years. Additionally, outpatient consultations with doctors at a hospital or clinic do not constitute formal admission. However, records of these outpatient visits are kept in the hospital registry for the full retention period (based on the country's laws). + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|------------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Health | | | | | +| KPI name | Health insurance/Public health coverage | | | | | +| KPI No. | SA: EH: H: 5A | Type: | Advanced | Type: | Structural | +| Definition/
Description | Percentage of inhabitants covered by basic health insurance or a public health system | | | | | +| Rationale/
Interpretation/
Benchmarking |

Lack of health insurance coverage or a public health system is a significant barrier to accessing needed health care, including preventive services.

Basic health insurance would provide financial risk protection and cover essential healthcare services at an affordable cost and should be counted.

Some countries have no universal health insurance and most health insurance is delivered by private insurers. However, in these countries, the public hospitals are free for the poor or offer services at very low cost. Inhabitants covered by this service should also be counted.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) |

NOTE 1 – Duran.A, Gulati.K, Gunasekar.A, Kumar Gupta. S, Kumar.P, Lahariya.C, Singh. A.R. Public hospital governance in India. [b-Duran]

NOTE 2 – Govindaraj.R, Navaratne.K, Cavagnero.E, Seshadri.S. Health Care in Sri Lanka: What Can the Private Health Sector Offer? [b-Govindaraj]

| | | | | +| Methodology |

Calculate as:

Numerator: number of inhabitants covered by health insurance or a public health system.

Denominator: total number of city inhabitants.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | The data may be collected from local health departments or may need to be interpreted from national data. | | | | | +| SDG reference(s) | SDG target 3.8: Achieve universal health coverage, including financial risk protection, access to quality essential healthcare services and access to safe, effective, quality and affordable essential medicines and vaccines for all. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Health | | | | | +| KPI name | Electronic health records | | | | | +| KPI No. | SC: EH: H: 6A | Type: | Advanced | Type: | Smart | +| Definition/
Description | Percentage of city inhabitants with electronic health records | | | | | +| Rationale/
Interpretation/
Benchmarking |

Electronic health records (also known as e-health records) refers to a system of collecting patient health records, which are stored digitally so that they can be accessed and shared amongst all relevant health providers.

Generally, an e-health record is a single file, which contains the most up to date information on the patient.

E-health records may also contain other information such as visits to healthcare providers, immunizations, imaging results, billing information etc.

Since e-health records are stored centrally and are more likely up to date, they can be an invaluable source in emergency situations when a patient is unable to communicate.

However, some patients may not be in favour of "sharing" records between health providers. In such situations, the healthcare provider should explicitly ask whether the patient would like to share their data with other providers (in life-threatening situations). The relevant data privacy laws also come into play for this indicator. It is also important to note that health records have a minimum retention period (depending on the hospital/clinic), and many patients may not be keen for these records to be kept/shared beyond this specific date.2

An improving trend and higher values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: number of city inhabitants with electronic health records.

Denominator: total number of city inhabitants.

Multiply by 100%.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases | Data can be obtained through municipal / regional / national health departments. | | | | | +| SDG reference(s) | SDG target 3.D: Strengthen the capacity of all countries, in particular developing countries, for early warning, risk reduction and management of national and global health risks. | | | | | + +2 Retention period begins from the date of last entry of information into the medical record at a specific medical facility. In many countries, keeping medical records beyond the retention period is considered a violation of patient privacy. Hence, medical facilities in most countries are encouraged to destroy the medical records after the retention period is over or hand over the files to the patients themselves. If hospitals/clinics want to continue using these data for research purposes after the retention period, it is essential that all the information is anonymized. Certain records associated with births, cancer treatments and organ transplants are kept indefinitely. + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Culture | | | | | +| KPI name | Cultural expenditure | | | | | +| KPI No. | SA: EH: C: 1C | Type: | Core | Type: | Structural | +| Definition/
Description | Percentage expenditure on cultural heritage. | | | | | +| Rationale/
Interpretation/
Benchmarking |

The city shall report on the total municipal expenditure spent on the preservation, protection and conservation of all cultural and natural heritage as a percentage of the total budget.

A city may wish to report by type of heritage (cultural, natural, mixed and World Heritage Centre designation).

Expenditures shall include employee costs, construction costs, maintenance costs and subsidies.

Expenditures on culture by institutions and residents in a given country are related to economic development since they reflect the allocation of income supporting national and foreign cultural production. Assessing expenditures is also an indirect way of approximating the positive influence of the modern economy on culture as it shows the extent to which society values the amount and quality of the supply offered by this type of economy. Finally, actual expenditures may also serve as an indication of the potential for expansion of the culture sector.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – UNESCO: Definitions of various institutions and cultural indicators. Retrieved from < http://unesdoc.unesco.org/images/0019/001910/191061e.pdf > | | | | | +| Methodology |

Calculate as:

Numerator: municipal expenditure on preservation, protection and conservation of all cultural and natural heritage (USD).

Denominator: total city operating budget (USD).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases |

Data can be collected through municipal financial reports.

NOTE – Additional resource:
<http://www.oregonlaws.org/glossary/definition/cultural_institution>

| | | | | +| SDG reference(s) | SDG target 11.4: Strengthen efforts to protect and safeguard the world's cultural and natural heritage. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|------------| +| Sub-dimension | Education, health and culture | | | | | +| Category | Culture | | | | | +| KPI name | Cultural infrastructure | | | | | +| KPI No. | SC: EH: C: 2A | Type: | Advanced | Type: | Structural | +| Definition/
Description | Number of the cultural institutions per 100 000 inhabitants. | | | | | +| Rationale/
Interpretation/
Benchmarking |

UNESCO states that no development can be sustainable without a strong culture component. Indeed, only a human-centred approach to development based on mutual respect and open dialogue among cultures can lead to lasting, inclusive and equitable results. Yet until recently, culture has been missing from the development equation. UNESCO identifies the following to be part of the "cultural infrastructure":

  • • cultural and natural heritage sites: museums, archaeological and historical places (including archaeological sites and buildings), cultural landscapes, and natural heritage sites;
  • • performance and celebration: venues dedicated to the performing arts and music, festivals, feasts and fairs;
  • • visual arts and crafts: venues dedicated to visual arts;
  • • books and press: libraries and book fairs;
  • • audio-visual and interactive media: media centres and cinemas; and
  • • design and creative services: venues related to fashion, graphic and interior design, landscape design, architectural and advertising services.

Cultural infrastructures play a key role in promoting cultural education, empowerment and participation, fostering integration and reducing exclusion and marginalization while improving citizens' quality of life. Cultural infrastructures are also crucial in creating environments conducive to the emergence of dynamic cultural sectors and clusters, as they are a source of cultural, social and economic vitality in areas where they are located.

To ensure that culture takes its rightful place in development strategies and processes, UNESCO has adopted a three-pronged approach: it spearheads worldwide advocacy for culture and development, while engaging with the international community to set clear policies and legal frameworks and working on the ground to support governments and local stakeholders to safeguard heritage, strengthen creative industries and encourage cultural pluralism.

An improving trend and higher values are considered positive.

| | | | | +| Source(s) | NOTE – UNESCO. Culture for Development Indicators. Retrieved from http://en.unesco.org/creativity/sites/creativity/files/digital-library/CDIS%20Methodology%20Manual_0.pdf | | | | | +| Methodology | Calculate as:
Numerator: number of cultural institutions.
Denominator: one 100 000 th of the city's population. | | | | | +| Unit | Number/100 000 inhabitants | | | | | +| Data sources/
Relevant
databases | Data can be collected from municipal, regional or national cultural and arts departments.
Definitions of various cultural infrastructure:
http://unesdoc.unesco.org/images/0019/001910/191061e.pdf | | | | | +| SDG reference(s) | SDG target 11.4: Strengthen efforts to protect and safeguard the world's cultural and natural heritage. | | | | | + +| Dimension | Society and culture | | | | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------|--|--|--| +| Sub-dimension | Safety, housing and social inclusion | | | | | | | | +| Category | Housing | | | | | | | | +| KPI name | Informal settlements | | | | | | | | +| KPI No. | SC: SH: HO: 1C | Type: | Core | Type: | Structural | | | | +| Definition/
Description | Percentage of inhabitants living in slums, informal settlements or inadequate housing. | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

The term "informal settlements" has been used to refer to unregulated, illegal and unauthorized construction, arising from the conditions and regulations in different countries, including "spontaneous", "unplanned", "unauthorized", "illegal" or "squatter" settlements. The term "informal" may also be used for settlements of refugees or vulnerable people, overcrowded and dilapidated housing in cities, or slums. The United Nations has used the term "informal settlements" to refer to: i) residential areas where a group of housing units has been built on land to which the occupants have no legal claim, or which they occupy illegally; ii) unplanned settlements where housing is not in compliance with current planning and building regulations (unauthorized housing). (UNECE)

Informal, slum or inadequate housing are an indicator of precarious circumstances that some citizens may be living under.

They are the result of inadequate responses to the demand for housing, infrastructure and community services, which makes the authorities unable to facilitate the legalization process.

The city shall report households that lack any one of the following five elements: access to basic water (access to sufficient amount of water for family use, at an affordable price, available to household members without being subject to extreme effort); access to basic sanitation (access to an excreta disposal system, either in the form of a private toilet or a public toilet shared with a reasonable number of people); security of tenure (evidence of documentation to prove secure tenure status or de facto or perceived protection from evictions); durability of housing (permanent and adequate structure in non-hazardous location); sufficient living area (not more than two people sharing the same room).

A declining trend and lower values are considered positive.

| | | | | | | | +| Source(s) |

NOTE – UNECE. Formalizing the Informal Challenges and Opportunities of Informal Settlements in South-East Europe. Retrieved from https://unece.org/housing-and-land-management/publications/formalizing-informal-challenges-and-opportunities-informal-f

| | | | | | | | +| Methodology |

Calculate as:

Numerator: number of people living in slums, informal settlements or inadequate housing

Denominator: total number of city inhabitants.

Multiply by 100.

| | | | | | | | +| Unit | Percentage | | | | | | | | +| Data sources/
Relevant
databases |

Data can be collected from municipal planning and housing departments.

Household surveys and citizen/community-run surveys, such as those developed by Slum Dwellers' International and the Cities Alliance.

| | | | | | | | +| SDG reference(s) | SDG indicator 11.1.1: Proportion of urban population living in slums, informal settlements or inadequate housing. | | | | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|------------| +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Housing | | | | | +| KPI name | Housing expenditure | | | | | +| KPI No. | SC: SH: HO: 2A | Type: | Advanced | Type: | Structural | +| Definition/
Description | Percentage expenditure of income for housing | | | | | +| Rationale/
Interpretation/
Benchmarking |

Housing expenditure includes rent, mortgage, utility services, maintenance, energy efficiency repairs, and other repairs.

Housing costs are critical determinants of the living conditions of individuals and households. Concerns about housing affordability are important especially when there is a sharp rise in home prices, rents and energy prices. Housing is one of the largest components of both expenditures and assets of households. As a consequence, higher housing prices can both strain the budget of those households that do not own their main residence and increase households' wealth and financial well-being for those that do.

Presenting housing expenditure shows how much income goes to housing services and provides a means to compare such expenditures over time and between countries. (OECD]

A declining trend and lower values are considered positive.

| | | | | +| Source(s) | NOTE – OECD. Housing. Retrieved from
< http://www.oecdbetterlifeindex.org/topics/housing/ > | | | | | +| Methodology |

Calculate as:

Numerator: expenditure on housing (USD).

Denominator: total household income (USD).

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases |

Data can be obtained through national statistics offices.

NOTE – National data available for certain countries at https://stats.oecd.org/

| | | | | +| SDG reference(s) | SDG target: 11.1: By 2030, ensure access for all to adequate, safe and affordable housing and basic services and upgrade slums. | | | | | + +| | | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|-------------------| +| Dimension | Society and culture | | | | | +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Social inclusion | | | | | +| KPI name | Gender income equity | | | | | +| KPI No. | SC: SH: SI: 1C | Type: | Core | Type: | Structural | +| Definition/
Description | Ratio of average hourly earnings of female to male workers. | | | | | +| Rationale/
Interpretation/
Benchmarking |

This indicator has been defined as unadjusted (e.g., not adjusted according to differences in individual characteristics or other observable characteristics that may explain part of the earnings difference) because it gives an overall picture of gender discrimination and the inequalities in the labour market that explain gender differences in pay.

A value of one (1) indicates equality.

A trend of closing the income gap is considered positive.

| | | | | +| Source(s) | NOTE – The situation in the EU. Retrieved from
http://ec.europa.eu/justice/gender-equality/gender-pay-gap/situation-europe/index_en.htm | | | | | +| Methodology | Calculate as:
Numerator: average hourly earnings of female employees (USD).
Denominator: average hourly earnings of male employees (USD). | | | | | +| Unit | Ratio | | | | | +| Data sources/
Relevant
databases | Data can be collected through labour market surveys.
Data may need to be interpreted from national statistics. | | | | | +| SDG reference(s) | SDG indicator 8.5.1: Average hourly earnings of female and male employees, by occupation, age group and persons with disabilities. | | | | | + +| Dimension | Society and culture | | | | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------|--|--|--| +| Sub-dimension | Safety, housing and social inclusion | | | | | | | | +| Category | Social inclusion | | | | | | | | +| KPI name | Gini coefficient | | | | | | | | +| KPI No. | SC: SH: SI: 2C | Type: | Core | Type: | Structural | | | | +| Definition/
Description | Income distribution in accordance with Gini coefficient | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

Gini coefficient measures income distribution and is used to assess the extent to which income is distributed equally among the population.

"The Lorentz curve plots the percentage of total income earned by various portions of the population when the population is ordered by the size of their incomes". (Econometria)

Possible outcomes range from zero to one.

Zero (0) representing a perfectly equal distribution of income, while one (1) represents one person in the population having access to all income.

| | | | | | | | +| Source(s) |

NOTE – Econometria. A general definition of the Lorenz Curve

Retrieved from <https://www.jstor.org/stable/1909675?seq=1#page_scan_tab_contents>

| | | | | | | | +| Methodology |

Calculate as:

Numerator: area between 45-degree line and Lorenz curve.

Denominator: entire area below 45 degree line .

| | | | | | | | +| Unit | Number | | | | | | | | +| Data sources/
Relevant
databases | World Bank, OECD: Income distribution database. | | | | | | | | +| SDG reference(s) | SDG target 10.2: By 2030, empower and promote the social, economic and political inclusion of all, irrespective of age, sex, disability, race, ethnicity, origin, religion or economic or other status. | | | | | | | | + +| Dimension | Society and culture | | | | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------|--|--|--| +| Sub-dimension | Safety, housing and social inclusion | | | | | | | | +| Category | Social inclusion | | | | | | | | +| KPI name | Poverty | | | | | | | | +| KPI No. | SC: SH: SI: 3C | Type: | Core | Type: | Structural | | | | +| Definition/
Description | Percentage of inhabitants living in poverty. | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

"Reducing poverty has become an international concern, yet there is no international consensus on guidelines for measuring poverty.

In pure economic terms, income poverty is when a family's income fails to meet a federally established threshold that differs across countries. Typically, it is measured with respect to families and not the individual and is adjusted for the number of persons in a family. Economists often seek to identify the families whose economic position (defined as command over resources) falls below a minimal acceptance level. Similarly, the international standard of extreme poverty is set to the possession of less than 1\$ a day." (UNESCO)

The percentage of the city's population living in poverty is an indicator of social equality and reflects levels of economic and social marginality and/or inclusiveness in a city.

Cities should report based on national poverty thresholds which vary for each country/city.

A declining trend and lower values are considered positive.

| | | | | | | | +| Source(s) | NOTE – UNESCO. Poverty. Retrieved from < http://www.unesco.org/new/en/social-and-human-sciences/themes/international-migration/glossary/poverty/ > | | | | | | | | +| Methodology |

Calculate as:

Numerator: number of city inhabitants living below the poverty line.

Denominator: total number of city inhabitants.

Multiply by 100.

| | | | | | | | +| Unit | Percentage | | | | | | | | +| Data sources/
Relevant
databases |

National poverty thresholds can be used to determine the poverty level of a city.

NOTE – These can be retrieved from the World Bank website: www.worldbank.org

| | | | | | | | +| SDG reference(s) | SDG target 1.1: By 2030, eradicate extreme poverty for all people everywhere, currently measured as people living on less than \$1.25 a day. | | | | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Social inclusion | | | | | +| KPI name | Voter participation | | | | | +| KPI No. | SC: SH: SI: 4C | Type: | Core | Type: | Structural | +| Definition/
Description | Percentage of the eligible population that voted during the last municipal election | | | | | +| Rationale/
Interpretation/
Benchmarking |

Voter participation or turnout is defined as the number of votes cast in an election as a proportion of the voting age population – generally the population aged 18 and over – and may serve as an indicator of societal participation. International comparisons of voter participation rates can be affected by differences in legal voting age, the voter registration process, and whether voting is compulsory or not.

Voting in municipal elections is one indicator of people's participation in their community's national life. Different types of elections occur in different countries and for different geographical jurisdictions. For some countries, it should be noted, turnout for presidential elections and regional elections may be higher than for national parliamentary elections, perhaps because those elected through these ballots are constitutionally more important for how those countries are run. Equally, relatively frequent elections may reduce turnout.

A high voter participation is a sign that a city's political system enjoys a strong degree of participation.

Civic engagement and the possibility for a person to express his/her own political view are basic freedom rights of effective democracies. Engaging people in decision-making improves the quality and the inclusiveness of the decisions. It also helps improve on the existing laws and regulations.

A high percentage is desirable in a democracy because it increases the chance that the political system reflects the will of a large number of individuals, and that the government enjoys a high degree of legitimacy.

| | | | | +| Source(s) |

NOTE 1 – OECD, "Voting", in Society at a Glance 2011: OECD Social Indicators, OECD Publishing, Paris. Retrieved from
<http://dx.doi.org/10.1787/soc_glance-2011-29-en>

NOTE 2 – How is Life?: Measuring well-being. Retrieved from
<http://www.keepeek.com/Digital-Asset-Management/oecd/economics/how-s-life-2015_how_life-2015-en#.WP4PNtryhPY#page87>

NOTE 3 – OECD. Civic Engagement. Retrieved from
<http://www.oecdbetterlifeindex.org/topics/civic-engagement/>

| | | | | +| Methodology |

Calculate as:

Numerator: total number of people who voted in the previous administrative city elections.

Denominator: total number of eligible voters.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases |

NOTE 1 – Data about voter participation can be extracted from the international database organised by the Institute for Democratic and Electoral Assistance (IDEA).

NOTE 2 – OECD (2011), "Voting", in Society at a Glance 2011: OECD Social Indicators, OECD Publishing, Paris. Retrieved from:
<http://dx.doi.org/10.1787/soc_glance-2011-29-en>

Data can be collected by local statistics.

NOTE 3 – Relevant database is OECD Regional Statistics – see report How's Life? 2015.

| | | | | +| SDG reference(s) |

SDG target 16.7: Ensure responsive, inclusive, participatory and representative decision-making at all levels.

SDG target 11.3: By 2030, enhance inclusive and sustainable urbanization and capacity for participatory, integrated and sustainable human settlement planning and management in all countries.

SDG indicator 11.3.2: Proportion of cities with a direct participation structure of civil society in urban planning and management that operate regularly and democratically.

| | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|------------| +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Social inclusion | | | | | +| KPI name | Childcare availability | | | | | +| KPI No. | SC: SH: SI: 5A | Type: | Advanced | Type: | Structural | +| Definition/
Description | Percentage of pre-school age children (0-3) covered by (public and private) day-care centres. | | | | | +| Rationale/
Interpretation/
Benchmarking |

The indicator demonstrates the presence of institutes and facilities for childcare, which can grant a good learning and safe environment for kids.

This indicator also highlights the possibility for equal opportunities in the labour force for working women with children as they would not be limited by the lack of childcare facilities.

| | | | | +| Methodology |

Calculate as:

Numerator: number of day-care spots available for pre-school children.

Denominator: total number of pre-school age children.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases |

NOTE 1 – EUROSTAT. Retrieved from
<http://ec.europa.eu/eurostat/cache/metadata/en/ilc_ca_esms.htm>

NOTE 2 – OECD Family Database. Retrieved from
<www.oecd.org/social/family/database.htm> (see analysis at
http://www.oecd.org/els/soc/PF3_2_Enrolment_childcare_preschool.pdf)

| | | | | +| SDG reference(s) |

SDG target 4.2: By 2030, ensure that all girls and boys have access to quality early childhood development, care and pre-primary education so that they are ready for primary education.

SDG target 5.5: Ensure women's full and effective participation and equal opportunities for leadership at all levels of decision-making in political, economic and public life.

SDG target 10.4: Adopt policies, especially fiscal, wage and social protection policies, and progressively achieve greater equality.

| | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|-------------| +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Safety | | | | | +| KPI name | Natural disaster-related deaths | | | | | +| KPI No. | SC: SH: SA: 1C | Type: | Core | Type: | Sustainable | +| Definition/
Description | Number of natural disaster-related deaths per 100 000 inhabitants. | | | | | +| Rationale/
Interpretation/
Benchmarking |

According to UNISDR, a natural hazard or disaster is a natural process or phenomenon that may cause loss of life, injury or other health impacts, property damage, loss of livelihoods and services, social and economic disruption, or environmental damage.

The attractiveness of cities for citizens and investors alike is affected by the frequency and magnitude of natural disasters occurring within a city and a city's ability to respond. The natural disaster-related losses of lives in the past can be indicative of a city's potential future exposure.

The city shall report on the number of deaths attributed to natural disasters such as floods, earthquakes, landslide, heat waves, tsunamis, hurricanes, etc.

A declining trend and lower values are considered positive.

| | | | | +| Source(s) | NOTE 1 – UNISDR Terminology on Disaster Risk Reduction, 2009. Retrieved from < http://www.unisdr.org/files/7817_UNISDRTerminologyEnglish.pdf > | | | | | +| Methodology |

Calculate as:

Numerator: number of annual natural disaster-related deaths.

Denominator: One 100 000th of the city's population.

| | | | | +| Unit | Number/100 000 inhabitants | | | | | +| Data sources/
Relevant
databases | Data can be collected from municipal emergency services and hospitals. | | | | | +| SDG reference(s) | SDG indicator 1.5.1 & 13.1.2: Number of deaths, missing persons and persons affected by disaster per 100 000 people. | | | | | + +| Dimension | Society and culture | | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|--------------------|--| +| Sub-dimension | Safety, housing and social inclusion | | | | | | +| Category | Safety | | | | | | +| KPI name | Disaster-related economic losses | | | | | | +| KPI No. | SC: SH: SA: 2C | Type: | Core | Type: | Sustainable | | +| Definition/
Description | Natural disaster-related economic losses as a percentage of the city's GDP. | | | | | | +| Rationale/
Interpretation/
Benchmarking |

A city shall report on the "total economic impact that consists of direct economic loss and indirect economic loss.

Direct economic loss is the monetary value of total or partial destruction of physical assets existing in the affected area. Direct economic loss is nearly equivalent to physical damage.

Indirect economic loss: a decline in economic value added as a consequence of direct economic loss and/or human and environmental impacts.

Annotations: Examples of physical assets that are the basis for calculating direct economic loss include homes, schools, hospitals, commercial and governmental buildings, transport, energy, telecommunications infrastructures and other infrastructure; business assets and industrial plants; and production such as crops, livestock and production infrastructure. They may also encompass environmental assets and cultural heritage.

Direct economic losses usually happen during the event or within the first few hours after the event and are often assessed soon after the event to estimate recovery cost and claim insurance payments. These are tangible and relatively easy to measure.

Indirect economic loss includes microeconomic impacts (e.g., revenue declines owing to business interruption), meso-economic impacts (e.g., revenue declines owing to impacts on natural assets, interruptions to supply chains or temporary unemployment) and macroeconomic impacts (e.g., price increases, increases in government debt, negative impact on stock market prices and decline in GDP). Indirect losses can occur inside or outside of the hazard area and often have a time lag. As a result, they may be intangible or difficult to measure." (UNISDR)

A declining trend and lower values are considered positive.

| | | | | | +| Source(s) | NOTE – Terminology. Retrieved from < https://www.unisdr.org/we/inform/terminology > | | | | | | +| Methodology |

Calculate as:

Numerator: total economic losses (last annual reporting period) related to disasters.

Denominator: GDP of the city.

Multiply by 100.

| | | | | | +| Unit | Percentage | | | | | | +| Data sources/
Relevant
databases | Data can be obtained through governmental economics statistics and insurance statistics. | | | | | | +| SDG reference(s) | SDG indicator 1.5.2: Direct disaster economic loss in relation to global gross domestic product (GDP). | | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Safety | | | | | +| KPI name | Resilience plans | | | | | +| KPI No. | SC: SH: SA: 3A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Implementation of risk and vulnerability assessments for disaster mitigation. | | | | | +| Rationale/
Interpretation/
Benchmarking |

A city shall report whether they have implemented risk reduction strategies in line with the Sendai Framework for Disaster Risk Reduction (DRR) 2015-2030.

The following elements should have been implemented:

  • a) city infrastructures and systems available for resilience;
  • b) risk and vulnerability assessments;
  • c) financial (capital and operation) plans to mitigate address the risks and vulnerabilities; and
  • d) technical systems to implement the plans.

Vulnerability to heat, drought, flooding, earthquakes, typhoons, tsunamis and other natural hazards are to be investigated as part of disaster management planning.

Cities around the world face a growing number of natural and human-induced disasters and risks. Two global frameworks provide a global landscape for actions to address natural and human-induced disaster, namely the UNFCCC and UNISDR.

Under the UNFCCC, countries have agreed to undertake and communicate ambitious actions to address climate change. Relevant information as shared by the countries is available on the UNFCCC website. Under the UNISDR, the Sendai Framework for Disaster Risk Reduction (2015-2030) calls for national governments to adopt and implement national DRR strategies with their own targets, indicators and timeframes. Furthermore, various institutions take actions to support countries in planning and implementing actions to address natural and human disasters.

| | | | | +| Source(s) | NOTE – Sendai Framework for Disaster Risk Reduction. Retrieved from < http://www.unisdr.org/we/coordinate/sendai-framework > | | | | | +| Methodology | The indicator would involve a summation of qualitative data from various sources on the presence of risk and vulnerability assessments, financial (capital and operating) plans and technical systems for disaster mitigation addressing natural and human induced disasters and risks in the cities. Possible categorization may be plans present and adequate; plans present and inadequate; or plans do not exist. The second option could even be expanded further to provide level of inadequacy. | | | | | +| Unit | Qualitative | | | | | +| Data sources/
Relevant
databases |

NOTE – Data on risk and vulnerability assessments and actions can be derived from the following non-exhaustive list of sources:

global datasets on risks and vulnerabilities (e.g., heat, drought, flooding, earthquakes, typhoon and tsunami);

the United Nations Framework Convention on Climate Change (http://unfccc.int) for data, policies, plans and strategies to address risks and vulnerabilities associated with climate change;

the United Nations Office for Disaster Risk Reduction (http://www.unisdr.org) for disaster risk management policies, plans and strategies;

various databases of relevant institutions including: The World Bank, Global Environment Facility, OECD, Asian Development Bank, African Development Bank, Development Bank of Latin America, etc.; and

the World Risk Index for data source as well as public private partnerships with reinsurance companies for this data.

| | | | | +| SDG reference(s) | SDG indicator 11.B.1: Proportion of local governments that adopt and implement local disaster risk reduction strategies in line with the Sendai Framework for Disaster Risk Reduction 2015-2030. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Safety | | | | | +| KPI name | Population living in disaster-prone areas | | | | | +| KPI No. | SC: SH: SA: 4A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Percentage of inhabitants living in a zone subject to natural hazards | | | | | +| Rationale/
Interpretation/
Benchmarking |

"This indicator refers to the percentage of national population living in areas subject to significant risk of death or damage caused by prominent hazards: cyclones, drought, floods, earthquakes, volcanoes and landslides. The indicator can be calculated separately for each relevant prominent hazard. The risk of death in a natural disaster is a function of physical exposure to a hazardous event and vulnerability to the hazard. The indicator measures the risk at sub-national scale by using historical and other data on hazards and on vulnerability. The sub-national risk levels are then aggregated to arrive at national values." [United Nations]

"To calculate the percentage of population living in disaster prone areas, thus providing a useful estimate of national vulnerability to cyclones, drought, floods, earthquake, volcanoes and landslides, which combines almost the totality of human and economic loss due to disasters caused by vulnerability to natural hazards. This indicator will contribute to a better understanding of the level of vulnerability in a given country, thus encouraging long-term, sustainable risk reduction programs to prevent disasters, which are a major threat to national development". (UNDESA)

A declining trend and lower values are considered positive.

| | | | | +| Source(s) | NOTE – UNDESA. Retrieved from
< http://www.un.org/esa/sustdev/natlinfo/indicators/methodology_sheets/natural_hazards/population_hazard_proneareas.pdf > | | | | | +| Methodology |

Calculate as:

Numerator: total number of city inhabitants living in areas subject to significant risk of death or damage caused by prominent hazards

Denominator: total number of city inhabitants.

Multiply by 100.

| | | | | +| Unit | Percentage | | | | | +| Data sources/
Relevant
databases |

NOTE – Data availability at the country level varies according to the country. At the international level, data on global hazard frequency and risk and their distribution is available through the Hotspot project implemented by the Centre for Hazards & Risk Research at Columbia University. Data on global disasters is available in the EM-DAT database, maintained by the Centre for Research on the Epidemiology of Disasters (CRED) in Brussels. (UN)

It is also important to examine global data sources showing geographical hazard distribution like volcanic maps, fault lines, etc. These can be mapped against national population records at the municipal/territorial/national level. See information at https://www.unisdr.org

| | | | | +| SDG reference(s) |

SDG target 1.5: By 2030, build the resilience of the poor and those in vulnerable situations and reduce their exposure and vulnerability to climate-related extreme events and other economic, social and environmental shocks and disasters.SDG target 11.B: By 2020, substantially increase the number of cities and human settlements adopting and implementing integrated policies and plans towards inclusion, resource efficiency, mitigation and adaptation to climate change, resilience to disasters, and develop and implement, in line with the Sendai Framework for Disaster Risk Reduction 2015-2030, holistic disaster risk management at all levels.

| | | | | + +| | | | | | | +|-----------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-----------------|--------------|-------------------| +| Dimension | Society and culture | | | | | +| Sub-dimension | Safety, Housing and Social Inclusion | | | | | +| Category | Safety | | | | | +| KPI name | Emergency Services Response Time | | | | | +| KPI No. | SC: SH: SA: 5A | Type: | Advanced | Type: | Structural | +| Definition/
Description | Average response time for Emergency Services. | | | | | +| Rationale/
Interpretation/
Benchmarking |

Emergency service response times are an indicator of the effectiveness of these services in responding to emergencies and safeguarding city inhabitants.

Emergency services include police, firefighting and ambulance services (including transport and urgent care).

This indicator is often interpreted as the average time (in minutes) taken to respond to emergency calls from the initial call to arrival on-site.

Lower values are considered positive.

| | | | | +| Methodology |

Calculate as:

Numerator: Sum of all the minutes from an initial call to the on-site arrival of the emergency service in the year.

Denominator: Number of emergency responses in the same year.

| | | | | +| Unit | Minutes | | | | | +| Data sources/
Relevant
databases | Data can be collected from local emergency services. | | | | | +| SDG reference(s) | SDG target 3.D: Strengthen the capacity of all countries, in particular developing countries, for early warning, risk reduction and management of national and global health risks. | | | | | + +| Dimension | Society and culture | | | | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------|--|--|--| +| Sub-dimension | Safety, housing and social inclusion | | | | | | | | +| Category | Safety | | | | | | | | +| KPI name | Police service | | | | | | | | +| KPI No. | SC: SH: SA: 6C | Type: | Core | Type: | Structural | | | | +| Definition/
Description | Number of police officers per 100 000 inhabitants. | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

The number of sworn police officers is an indicator of the overall crime prevention capabilities of a city.

The city shall report on the number of sworn law enforcement officers who meet the following criteria:

  • work in an official capacity;
  • have the authority to make arrests;
  • carry identification linking them to their duty; and
  • are paid from governmental funds set aside specifically for payment of sworn law enforcement representatives.

Law enforcement agencies shall report the total number of sworn law enforcement officers as of a locally determined date. (ISO 2015)

An improving trend and higher values are considered positive based on economic and safety factors.

| | | | | | | | +| Source(s) | NOTE – ISO. Sustainable Development of Communities-Indicators for City Services and Quality of Life. 2015 | | | | | | | | +| Methodology |

Calculate as:

Numerator: number of full-time police officers (expressed as FTE).

Denominator: one 100 000th of the city's population.

| | | | | | | | +| Unit | Number/100 000 inhabitants | | | | | | | | +| Data sources/
Relevant
databases | Data can be collected from police service personnel records. | | | | | | | | +| SDG reference(s) | SDG target 3.d: Strengthen the capacity of all countries, in particular developing countries, for early warning, risk reduction and management of national and global health risks. | | | | | | | | + +| Dimension | Society and culture | | | | | | | | +|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------|--|--|--| +| Sub-dimension | Safety, housing and social inclusion | | | | | | | | +| Category | Safety | | | | | | | | +| KPI name | Fire service | | | | | | | | +| KPI No. | SC: SH: SA: 7C | Type: | Core | Type: | Structural | | | | +| Definition/
Description | Number of firefighters per 100 000 inhabitants. | | | | | | | | +| Rationale/
Interpretation/
Benchmarking |

Firefighting services are a fundamental service provided by cities and provide protection of life and property. Firefighters are often the first responders to many other emergencies.

The city shall report on the number of full-time firefighters (expressed as FTE) who respond to calls. It shall exclude other administrative and management staff, who are not directly involved in fire suppression, communication and dispatching of services to a fire site. (ISO, 2015)

An improving trend and higher values are considered positive based on economic and safety factors.

| | | | | | | | +| Source(s) | NOTE – ISO. Sustainable Development of Communities-Indicators for City Services and Quality of Life. 2015 | | | | | | | | +| Methodology |

Calculate as:

Numerator: number of full-time firefighters (expressed as FTE).

Denominator: one 100 000th of the city's population.

| | | | | | | | +| Unit | Number/100 000 inhabitants | | | | | | | | +| Data sources/
Relevant
databases | Data can be collected from municipal fire service personnel records. | | | | | | | | +| SDG reference(s) | SDG target 3.d: Strengthen the capacity of all countries, in particular developing countries, for early warning, risk reduction and management of national and global health risks. | | | | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------|-------|------------| +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Safety | | | | | +| KPI name | Violent crime rate | | | | | +| KPI No. | SC: SH: SA: 8C | Type: | Core | Type: | Structural | +| Definition/
Description | Violent crime rate per 100 000 inhabitants | | | | | +| Rationale/
Interpretation/
Benchmarking |

The number of violent crimes is an indicator of the incidence of serious criminal offences in a city and a lead indicator of feelings associated with personal safety. The number of violent crimes in a city is considered a benchmark measure of the overall level of safety in the city.

Violent crimes shall include offences that involve force or the threat of force to a person. Total violent crimes reported shall be calculated as the total sum of the number of murders and non-negligent manslaughters, the number of rapes, the number of robberies and the number of aggravated assaults.

For a multiple offence, only the most serious/severe offence shall be counted. (ISO, 2015)

A declining trend and lower values are considered positive.

| | | | | +| Source(s) | NOTE – Sustainable development of communities – Indicators for city services and quality of life. ISO 3712:2014 | | | | | +| Methodology |

Calculate as:

Numerator: number of violent crimes committed.

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Number/100 000 inhabitants | | | | | +| Data sources/
Relevant databases |

Data can be collected from local police departments and departments of justice.

UNODC, WHO.

| | | | | +| SDG reference(s) |

SDG target 16.1: Significantly reduce all forms of violence and related death rates everywhere.

SDG indicator 16.3.1: Proportion of victims of violence in the previous 12 months who reported their victimization to competent authorities or other officially recognized conflict resolution mechanisms.

| | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------|--------------|-------------------| +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Safety | | | | | +| KPI name | Traffic fatalities | | | | | +| KPI No. | SC: SH: SA: 9C | Type: | Core | Type: | Structural | +| Definition/
Description | Traffic fatalities per 100 000 inhabitants. | | | | | +| Rationale/
Interpretation/
Benchmarking |

Road traffic injuries claim more than 1.2 million lives each year and have a huge impact on health development and overall quality of life. They are the leading cause of death among the youth (15 -29 years), and cost governments approximately 3% of overall national GDP.

Despite this massive and largely preventable human and economic toll, action to combat this global challenge has been insufficient.

The definition of a road traffic fatality for harmonization of surveillance is "any person killed immediately or dying within 30 days as a result of a road traffic injury accident". (WHO, 2015)

The choice of 30 days is based on research which shows that most people who die as a result of a crash succumb to their injuries within 30 days of sustaining them.

A declining trend should be pursued with lower percentages indicating better road safety.

| | | | | +| Source(s) | NOTE – WHO Global status report on road safety 2018. Retrieved from < https://www.who.int/publications/i/item/9789241565684/ > | | | | | +| Methodology |

Calculate as:

Numerator: number of traffic fatalities.

Denominator: one 100 000th of the city's population.

| | | | | +| Unit | Number/100 000 inhabitants | | | | | +| Data sources/
Relevant
databases |

Data can be collected from local transportation and emergency departments and local hospitals.

The World Health Organization can also provide adequate data on traffic fatalities.

| | | | | +| SDG reference(s) | SDG indicator 3.6.1: Death rate due to road traffic injuries. | | | | | + +| Dimension | Society and culture | | | | | +|-----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|----------|-------|-------------| +| Sub-dimension | Safety, housing and social inclusion | | | | | +| Category | Food security | | | | | +| KPI name | Local food production | | | | | +| KPI No. | SC: SH: FS: 1A | Type: | Advanced | Type: | Sustainable | +| Definition/
Description | Percentage of local food supplied from within 100 km of the urban area. | | | | | +| Rationale/
Interpretation/
Benchmarking |

Food security is a complex concept, and it consists of various dimensions including:

  • • Availability: this refers to the physical availability of food in terms of adequate supply.
  • • Utilization: this refers to consumption of fresh food in sanitary conditions with no negative effects on the well-being or health of an individual.
  • • Access: this refers to the economic means by which fresh food can be acquired in adequate quantities for consumption.
  • • Stability: this refers to adequate intake and availability of food on a regular basis, overcoming any adverse climatic conditions, economic limitations and overriding any possibilities of nutritional deficiencies. (FAO)

The Food and Agriculture Organization of the United Nations states that "food security exists when all people, at all times, have physical, social and economic access to sufficient, safe and nutritious food which meets their dietary needs and food preferences for an active and healthy life." (FAO, 1996)

Adopting a people-centric approach for local food systems promotes participatory governance at different levels:

  • • Social level: Local procurement is generally focused on wholefood products which are healthier, fresher, more nutritious and tastier because of their seasonality. Also, local procurement provides an opportunity to increase domestic food self-sufficiency, as well as to strengthen communities by increasing the accountability and transparency between consumers and producers. Additionally, local procurement can be an effective option for protecting traditional food cultures and native species.
  • • Economic level: Local procurement supports farmer retention on farmlands, greater income generation at the community level, employment growth and import substitution. Additionally, local food channels, such as farmers' markets, can further stimulate business activity by providing small producers with greater access to consumers.
  • • Environmental level: Local procurement can reduce the negative environmental impacts associated with the transportation of food over long distances as well as the demand on congested infrastructure. Local procurement can also be an effective option for supporting local agriculture and production which, if managed sustainably, can increase the resilience of ecosystems which can be beneficial for mitigating the impacts of extreme weather events. (FAO)

A positive trend should be pursued with higher percentages indicating better food security.

| | | | | +| Source(s) |

NOTE 1 – FAO. Food Insecurity in the World. Retrieved from http://www.fao.org/docrep/003/y1500e/y1500e00.htm

NOTE 2 – FAO, Sustainable Local Procurement. Retrieved from http://www.fao.org/fileadmin/user_upload/nr/sustainability_pathways/docs/SustainableLocalProcurement_Factsheet_ENGLISH.pdf

NOTE 3 – Organic agriculture and food security. Retrieved from http://www.usc-canada.org/UserFiles/File/organic-agriculture-and-food-security.pdf

| | | | | + +| Dimension | Society and culture | +|----------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| Methodology | Calculate as:
Numerator: amount of local food supplied to the city (within 100 km) (tonnes).
Denominator: amount of total food supplied to the city (tonnes).
Multiply by 100. | +| Unit | Percentage | +| Data sources/
Relevant
databases | NOTE – FAO: http://www.fao.org/home/en/
Data can be collected from local, regional and national departments related to agriculture and trade. | +| SDG reference(s) | SDG target 2.C: Adopt measures to ensure the proper functioning of food commodity markets and their derivatives and facilitate timely access to market information, including on food reserves, in order to help limit extreme food price volatility.
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< https://publicadministration.un.org/egovkb/en-us/About/Overview/-E-Government > | +| [b-e-government Survey 2020] | UN (2020) United Nations E-Government Survey.
< https://www.un.org/development/desa/publications/publication/2020-united-nations-e-government-survey > | + +| | | +|-------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [b-Energy Plug-in Hybrids] | US Department of Energy, Plug-in Hybrids.
< https://www.fueleconomy.gov/feg/phevtech.shtml > | +| [b-EU Gender Pay Gap] | EU, Gender pay gap
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< http://unfccc.int/kyoto_protocol/items/2830.php > | + +| | | +|-----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [b-Kyoto Protocol Doha Amendment] | UNFCCC Kyoto Protocol Doha Amendment.
< http://unfccc.int/kyoto_protocol/doha_amendment/items/7362.php > | +| [b-Life expectancy at birth] | WHO, Life expectancy at birth.
< https://www.who.int/data/gho/data/indicators/indicator-details/GHO/life-expectancy-at-birth-(years) > | +| [b-Maternal mortality ratio] | WHO, Maternal mortality ratio.
< https://www.who.int/data/gho/data/indicators/indicator-details/GHO/maternal-mortality-ratio-(per-100-000-live-births) >
< http://www.who.int/whosis/whostat2006DefinitionsAndMetadata.pdf > | +| [b-Measuring ICT for development] | OECD (2005), Partnership on measuring ICT for development.
< https://www.itu.int/ITU-D/ict/partnership/material/CoreICTIndicators.pdf > | +| [b-Measuring well-being] | OECD (2015), How's Life?: Measuring Well-being, How's Life? 2015 Measuring Well-being.
< http://www.keepeek.com/Digital-Asset-Management/oecd/economics/how-s-life-2015_how_life-2015-en#.WP4PNtryhPY#page87 > | +| [b-MDG Indicators] | Millennium Development Goals Indicators.
< https://unstaunstats.un.org/UNSD/MDG/Metadata.aspx?IndicatorId=0&SeriesId=768 > | +| [b-OECD 2017] | OECD, ICT Employment.
< https://data.oecd.org/ict/ict-employment.htm > | +| [b-OECD Family database] | OECD, Family Database.
< www.oecd.org/social/family/database.htm > (see analysis at
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> | +| [b-OECD, Housing] | OECD, Housing.
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< https://stats.oecd.org/glossary/detail.asp?ID=1364 > | +| [b-OECD KE] | Organisation for Economic Co-operation and Development (1996), The knowledge-based economy . | +| [b-OECD SMEs] | OECD Glossary of Statistical Terms, SMEs.
< https://stats.oecd.org/glossary/detail.asp?ID=3123 > | +| [b-OECD Statistics] | OECD Statistics.
< http://www.oecd.org/sti/broadband/broadband-statistics-update.htm > | +| [b-OECD Voting] | OECD Social Indicators,
< http://dx.doi.org/10.1787/soc_glance-2011-29-en > | +| [b-Open data principles] | Open data principles.
< http://open.canada.ca/en/open-data-principles#toc94 > | +| [b-Paratransit] | Paratransit services.
< https://www.transitwiki.org/TransitWiki/index.php/Paratransit_Services > | +| [b-Precipitation measurement] | Global Precipitation Measurement, Freshwater Availability
< https://pmm.nasa.gov/applications/freshwater-availability > | +| [b-Promotion in services sector] | UNECE, Promoting Innovation in the Services Sector.
< http://www.unece.org/fileadmin/DAM/ceci/publications/icp3.pdf > | +| [b-Public transport trends] | UITP, Public Transport Trends.
< http://www.uitp.org/public-transport-trends > | +| [b-Road safety] | WHO (2018), Global status report on road safety.
< https://www.who.int/publications/i/item/9789241565684 > | + +| | | +|-----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [b-SCADA systems] | SCADA
< http://www.electricaltechnology.org/2015/09/scada-systems-for-electrical-distribution.html#components_of_typical_scada_system > | +| [b-SDG 9.5] | UNESCO Sustainable Development Goal.
< http://uis.unesco.org/en/topic/sustainable-development-goal-9-5 > | +| [b-SeedChange] | Organic agriculture and food security.
< http://www.usc-canada.org/UserFiles/File/organic-agriculture-and-food-security.pdf > | +| [b-Sendai Framework] | Sendai Framework for Disaster Risk Reduction.
< http://www.unisdr.org/we/coordinate/sendai-framework > | +| [b-Smart meters] | Foundation for Water Research (2015), Smart Meters and Domestic Water Usage.
< http://www.fwr.org/econom/SmartMeters.pdf > | +| [b-Sustainable development] | United Nations (2005), Indicators of Sustainable Development: Guidelines and Methodologies.
< http://www.un.org/esa/sustdev/natlinfo/indicators/guidelines.pdf > | +| [b-Sustainable local procurement] | FAO, Sustainable local procurement.
< http://www.fao.org/fileadmin/user_upload/nr/sustainability_pathways/docs/SustainableLocalProcurement_Factsheet_ENGLISH.pdf > | +| [b-Terminology] | Terminology.
< https://www.unisdr.org/we/inform/terminology > | +| [b-Tertiary education] | World Bank. Tertiary Education.
< http://www.worldbank.org/en/topic/tertiaryeducation#what_why > | +| [b-Traffic analysis toolbox] | US Department of Transportation Traffic, Traffic Analysis Toolbox Volume VI: Definition, Interpretation, and Calculation of Traffic Analysis Tools Measures of Effectiveness
< https://ops.fhwa.dot.gov/publications/fhwahop08054/sect6.htm > | +| [b-Transport mode shares] | Transport Mode Shares.
< https://www.lta.gov.sg/Itaacademy/doc/J11Nov-p60PassengerTransportModeShares.pdf > | +| [b-UNDESA] | Percentage of population living in hazard prone areas.
< http://www.un.org/esa/sustdev/natlinfo/indicators/methodology_sheets/natural_hazards/population_hazard_proneareas.pdf > | +| [b-UNECE indicators] | UNECE, The UNECE-ITU Smart Sustainable Cities Indicators .
< www.unece.org/fileadmin/DAM/hlm/.../SMART_CITIES/ECE_HBP_2015_4.pdf > | +| [b-UNECE R and D] | UNECE, Promoting Innovation in the Services Sector.
< http://www.unece.org/fileadmin/DAM/ceci/publications/icp3.pdf > | +| [b-UNESCO. Poverty] | UNESCO, Poverty.
< https://wayback.archive-it.org/10611/20171126022457/http://www.unesco.org/new/en/social-and-human-sciences/themes/international-migration/glossary/poverty/ > | +| [b-UN Habitat report] | UN Habitat report, State of the World's cities 2012/2013 Prosperity of Cities . | +| [b-UN Habitat settlements] | UN Habitat, informal settlements.
< https://unhabitat.org/habitat-iii-issue-papers-22-informal-settlements > | +| [b-UN GHG inventory data] | UN Climate Change, Greenhouse Gas Inventory Data.
< https://unfccc.int/ghg_data/items/3800.php > | +| [b-UN Global Indicators] | UN Habitat, Urban Indicators Database.
< https://data.unhabitat.org/ > | + +| | | +|------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [b-UN Resolution 288] | UN General Assembly 66 Resolution 288, The future we want . | +| [b-UN SDG] | UN E/CN.3/2016/2/Rev.1, Report of the Inter-Agency and Expert Group on Sustainable Development Goal Indicators . | +| [b-UN Water] | WHO/UNICEF Joint Monitoring Programme for Water Supply Sanitation and Hygiene (JMP), Progress on drinking water, sanitation and hygiene: 2017 update and Sustainable Development Goal baselines .
< http://www.unwater.org/publication_categories/whounicef-joint-monitoring-programme-for-water-supply-sanitation-hygiene-jmp/ > | +| [b-UN Water guide] | UN Water (2016), Integrated Monitoring Guide for SDG 6 .
< http://www.unwater.org/publications/integrated-monitoring-guide-sdg-6/ > | +| [b-Urban drainage systems] | Optimal control of urban drainage systems.
< http://www.iri.upc.edu/files/scidoc/680-Optimal-control-of-urban-drainage-systems.-A-case-study.pdf > | +| [b-Urban Indicators Toolkit] | Urban Indicators Toolkit.
< http://www.conei.sp.gov.br/ind/urbanindicators_urbanobservatory.pdf > | +| [b-Urban protected areas] | Profiles and best practice guidelines.
< https://www.iucn.org/content/urban-protected-areas-profiles-and-best-practice-guidelines > | +| [b-WASH data] | WHO/UNICEF, Joint Monitoring Programme for Water Supply and Sanitation Updated global estimates for WASH in households: the world is off track for SDG WASH targets.
< https://www.washdata.org/ > | +| [b-Wastewater treatment] | FAO, Wastewater treatment.
< http://www.fao.org/docrep/t0551e/t0551e05.htm > | +| [b-Water Resources Used] | Total Water Resources Used.
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< https://data.oecd.org/water/water-withdrawals.htm > | +| [b-WHO Definitions] | WHO, Life expectancy at birth.
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< http://www.euro.who.int/_data/assets/pdf_file/0005/321971/Urban-green-spaces-and-health-review-evidence.pdf?ua=1 > | +| [b-WHO Media centre] | WHO (2021), Ambient (outdoor) air pollution.
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< https://www.who.int/publications/i/item/9789240005105 > | + +| | | +|--------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [b-WHO Water] | World Health Organization (2011), Guidelines for drinking-water quality . | +| [b-WHO Water sanitation] | WHO, Water safety and quality.
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http://www.ilo.org/wcmsp5/groups/public/@ed_emp/documents/instructionalmaterial/wcms_140860.pdf | + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and 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+Evaluation and assessment + +# --- **Assessment framework for digital transformation of sectors in smart cities** + +Recommendation ITU-T Y.4906 + +ITU-T + +## ITU-T Y-SERIES RECOMMENDATIONS + +## GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Network control architectures and protocols | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## FUTURE NETWORKS + +| | | +|-----------------|---------------| +| CLOUD COMPUTING | Y.3000–Y.3499 | +| Y.3500–Y.3999 | | + +### INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +## Recommendation ITU-T Y.4906 + +# Assessment framework for digital transformation of sectors in smart cities + +## Summary + +The ultimate objective of this Recommendation is to enhance the sustainability of identified priority sectors in smart cities, in order to optimise economic, environmental and social benefits. + +Cities will decide on their digital transformation priorities. For example, cities might also want to encourage collaboration to deliver desired outcomes. + +This kind of engagement based on the assessment framework can incentivize industry engagement and investment. + +Recommendation ITU-T Y.4906 contains the following: + +- 1) Introduction of the assessment framework and its components +- 2) Identification of indicators – Examples of categories of indicators to assist in this objective for the assessment frameworks include: + - Digital infrastructure; + - Digital transformation initiatives for sectors; + - Collaboration efforts on digital transformation; + - Economic, environmental and social benefits according to sector digital transformation. +- 3) Sector assessment and analysis + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4906 | 2019-07-07 | 20 | 11.1002/1000/13922 | + +## Keywords + +Assessment, digital transformation, smart sustainable cities. + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +### NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the TSB patent database at . + +© ITU 2019 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|---------------------------------------------------------------------------------------------|------| +| 1 | Scope..... | 1 | +| 2 | References..... | 1 | +| 3 | Definitions ..... | 2 | +| | 3.1 Terms defined elsewhere..... | 2 | +| | 3.2 Terms defined in this Recommendation..... | 2 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | High-level objectives for digital transformation of sectors in SSC..... | 3 | +| 7 | Assessment framework for digital transformation of sectors in SSC..... | 3 | +| | 7.1 Overview of the assessment framework..... | 3 | +| | 7.2 Introduction to the assessment indicator system of sectors' digital transformation..... | 6 | +| | 7.3 Description of assessment indicator set for sectors' digital transformation in SSC..... | 6 | +| 8 | Guidance on the sectors' digital transformation assessment in SSC ..... | 7 | +| | 8.1 Data collection of sector's digital transformation in SSC..... | 8 | +| | 8.2 Data calculation of sector's digital transformation in SSC..... | 8 | +| | 8.3 Data analysis of sector's digital transformation in SSC..... | 9 | +| | Appendix I – Assessment indicators ..... | 10 | +| | I.1 Basis and support..... | 10 | +| | I.2 Domain application ..... | 14 | +| | I.3 Integration and interaction..... | 16 | +| | I.4 Innovation and disruption..... | 19 | +| | I.5 Digital competitiveness ..... | 21 | +| | I.6 Economic, environmental and social impacts ..... | 23 | +| | Bibliography..... | 24 | + + + +## Recommendation ITU-T Y.4906 + +# Assessment framework for digital transformation of sectors in smart cities + +# 1 Scope + +This Recommendation formulates an assessment framework for digital transformation of sectors in smart sustainable cities (SSCs). This assessment framework specifically provides the assessment indicator system, assessment indicator set and assessment method. Assessments based on this framework can help SSCs as well as their stakeholders to identify the priorities of sectors' digital transformation, investigate the current states of selected sectors' digital transformation, and then explore the suitable paths and measures to promote the digital transformation in these sectors. + +This assessment framework will: + +- Help cities identify their priority sectors for digital transformation; +- Provide indicators (examples of the indicators are included in the Summary) that may help cities identify what is needed to assist in promoting digital transformation of the identified priority sectors; +- Help cities assess sector development. + +This framework is intended to reinforce dialogue between cities and the solution providers on identified digital transformation priorities. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- | | | +|----------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +| [ITU-T Y.4900] | Recommendation ITU-T Y.4900/L.1600 (2016), Overview of key performance indicators in smart sustainable cities . | +| [ITU-T Y.4901] | Recommendation ITU-T Y.4901/L.1601 (2016), Key performance indicators related to the use of information and communication technology in smart sustainable cities . | +| [ITU-T Y.4903] | Recommendation ITU-T Y.4903/L.1603 (2016), Key performance indicators for smart sustainable cities to assess the achievement of sustainable development goals . | +| [ITU-T Y.4905] | Recommendation ITU-T Y.4905/L.1605 (2019), Smart sustainable city impact assessment . | + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +This Recommendation uses the following terms defined elsewhere: + +**3.1.1 smart sustainable city** [ITU-T Y.4900]: A smart sustainable city is an innovative city that uses information and communication technologies (ICTs) and other means to improve quality of life, efficiency of urban operation and services and competitiveness, while ensuring that it meets the needs of present and future generations with respect to economic, social, environmental, as well as cultural aspects. + +**3.1.2 sector** [b-ISIC Rev.4]: Sector is a category of companies that are related based on their primary business activities. A single sector is often named after its principal product. + +**3.1.3 integration of informatization and industrialization** [ITU-T Y-Sup.52]: The integration of informatization and industrialization (III) is an interaction, converging and merging process of informatization development course and industrialization development course, and is also the evolution path of transformation from industrial society to information society. Focusing on building new competitiveness in all areas of economy and society, the III emphasizes the interactive innovation and systematic transformation of productivity and production relationship enabled by the in-depth application of emerging ICTs, during which the data resources gradually become a new driven factor. + +**3.1.4 spillover effect** [b-E CPNRE]: Spillover effect is the cost or benefit that affects a party who did not choose to incur that cost or benefits during economic activities. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following terms: + +**3.2.1 sectors' digital transformation**: A process during which, by advanced applications of ICTs in sectors' business activities such as R&D, production, services, etc., the sectors' business activities are optimized, reconstructed and integrated, and sectors' development modes are disruptively reformed and innovated. The digital transformation is vitally useful for sectors to optimize resource configuration, improve operational efficiency and innovation capability, and hence realize sectors' sustainable development. + +**3.2.2 smart sustainability city (SSC) manager**: An executive in charge of the administration of a smart sustainable city's government. SSC manager is sometimes referred to as the municipal administrator, governor or the chief executive of a smart sustainable city. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|------|------------------------------------------------------| +| AHP | Analytic Hierarchy Process | +| ANP | Analytic Network Process | +| SSC | Smart Sustainable City | +| III | Integration of Informatization and Industrialization | +| ICTs | Information and Communication Technologies | +| GDP | Gross Domestic Product | +| R&D | Research and Development | + +# 5 Conventions + +None. + +# 6 High-level objectives for digital transformation of sectors in SSC + +In the context of rapid development of digital economy, concentrating on achieving the sustainable development goals, SSC should enhance business integration and interaction, and accelerate reformation of sectors' development pattern based on the advanced applications of digital technologies in all areas of sectors. These efforts will promote sector's competitiveness, improve the economic, environmental and social benefits, and achieve the sustainable development of SSC. + +Effective and efficient achievement of sector's digital transformation should be in alignment with the following core concepts: + +- **Innovation driving:** Sector's digital transformation should attach great importance to the innovations of product, service, technology, management, and business processes based on ICTs applications, and subsequently boost the sector's sustainable development. +- **Seamless data sharing:** Sector's digital transformation should emphatically promote communication, interoperability and sharing of data among equipment and facilities, information systems, users, etc., to achieve efficient circulation and optimized allocation of production factors. +- **Coordinated development:** Sector's digital transformation should fully consider the resource endowment and vision of a smart city, promote business collaborations among entities in the supply chains, to achieve coordination and alignment with smart city development. +- **Value creation:** Sector's digital transformation should consider value creation as the ultimate goal, continually promote the sector's core competitiveness to enhance sector's productivity and economic value creation. + +# 7 Assessment framework for digital transformation of sectors in SSC + +## 7.1 Overview of the assessment framework + +The assessment framework for digital transformation of sectors in SSC contains three components. These are the component to help SSC to determine the catalogue of sectors to be assessed, the component to clarify the assessment indicator system, and the component to implement the assessment and analyses. The overview of the assessment framework is shown in Figure 1. + +![Figure 1: Overview of the assessment framework for digital transformation of sectors in SSC. The diagram is divided into three main sections: 'Method to determine the objects to be assessed', 'Assessment indicator system of sectors' digital transformation', and 'Guidance on the sectors' digital transformation assessment'.](a5ee5c23b6dc52ec1d724b76d5a5f58f_img.jpg) + +**Method to determine the objects to be assessed** + +| City's view | Sector's view | +|-----------------------|----------------------------| +| Strategic consistency | Implementation feasibility | +| Potential spillover | Expected effects | + +• Catalogue of sectors to be assessed +• Sample organizations in each sector to be assessed + +**Assessment indicator system of sectors' digital transformation** + +**Assessment of digital transformation progress** + +Resources arranged for digital transformation + Implementation of digital transformation + +**Assessment of digital transformation impacts** + +Consequences brought by digital transformation + +Continuous improvement + +**Guidance on the sectors' digital transformation assessment** + +Data collection → Data calculation → Data analysis + +Y.4906(19)\_F01 + +Figure 1: Overview of the assessment framework for digital transformation of sectors in SSC. The diagram is divided into three main sections: 'Method to determine the objects to be assessed', 'Assessment indicator system of sectors' digital transformation', and 'Guidance on the sectors' digital transformation assessment'. + +**Figure 1 – Overview of the assessment framework for digital transformation of sectors in SSC** + +The SSC, intending to conduct sectors' digital transformation assessment based on this framework, should begin with determining the catalogue of sectors to be assessed. + +To generate the catalogue of sectors, the SSC can do a preliminary qualitative research on the concerned sectors, according to the research model in Figure 2. This model proposes four aspects which the SSC should consider when it determines whether a sector's digital transformation should be promoted or not. These four aspects are the strategic consistency, implementation feasibility, expected effects, and the potential spillover. This research model will also help to clarify which sample organizations of these sectors will be assessed within a city. + +![](cfef993dcc8fb513de79eb1f93cf26ae_img.jpg) + +| City's view | Sector's view | +|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| +|

➤ Strategic consistency of the sector's digital transformation with SSC implementation:

  • • The sector's strategic positioning in SSC
  • • Sectoral development planning
|

➤ Feasibility for the sector to implement digital transformation:

  • • Readiness of the sector's digital transformation
  • • Expected investment of the sector's digital transformation
| +| Strategic consistency | Implementation feasibility | +| Potential spillover | Expected effects | +|

➤ Spillover effects of the sector's digital transformation to SSC implementation:

  • • Employment spillover effects
  • • Environmental spillover effects
  • • Technical spillover effects
|

➤ The sector's expected effects from digital transformation:

  • • Improvement of the sector's productivity
  • • Innovation of the sector organization's business models
| + +Y.4906(19)\_F02 + +**Figure 2 – Research model to determine the catalogue of sectors to be assessed** + +The meanings and details of these four aspects are as follows: + +- **Strategic consistency:** The strategic consistency of the sector's digital transformation with SSC implementation. + - The sector's strategic positioning in SSC – Mainly analyses the sector's proportion of gross domestic product (GDP) in SSC, promoting the effect of sector's digital transformation to SSC's development level, etc. + - Sectoral development planning – Mainly analyses the effect and value of digital transformation to the implementation of sector's development planning and the realization of sector's development goals, etc. +- **Implementation feasibility:** The feasibility for the sector to implement digital transformation. + - Readiness of the sector's digital transformation – Mainly analyses the sector's technical reserves and fundamental conditions for ICTs application, the sector's talent pool for digital transformation, etc. + - Expected investment of the sector's digital transformation – Mainly analyses the total amount and subsequent amounts of needed capital investments for the sector's digital transformation, etc. +- **Expected effects:** The sector's expected effects from digital transformation. + - Improvement of the sector's productivity – Mainly analyses the expected degree of contribution of the digital transformation to the improvement of sector's productivity, etc. + - Innovation of the sector organizations' business models – Mainly analyses the effect and expected value of digital transformation to the business model innovation in the sector, etc. +- **Potential spillover:** The spillover effects of the sector's digital transformation to SSC implementation. It should be noted that, spillover effects of sector's digital transformation from aspects of employment, environment and technology are most commonly seen. + - Employment spillover effects – Mainly analyse the employment opportunities brought about by sector's digital transformation, the adjustment effect of sector's digital transformation to SSC's employment structure, etc. + +- Environmental spillover effects – Mainly analyse the promotion effect of sector's digital transformation to SSC's resources utilization efficiency, the effect of sector's digital transformation to SSC's ecological environment, etc. +- Technical spillover effects – Mainly analyse the stimulating effect of sector's digital transformation to SSC's innovation investments, the promoting effect of sector's digital transformation to SSC's innovation efficiency, etc. + +When using this research model, the SSC should first classify the sample organizations into small, medium and large (e.g., by number of employees, revenue). Then for the concerned sector, the organizations being assessed should include all different sizes, and the size distribution of organizations should be selected to reflect an appropriate representation of the sector. + +## 7.2 Introduction to the assessment indicator system of sectors' digital transformation + +The assessment of sectors' digital transformation can be considered in two parts, namely, the progress and the impacts of sectors' digital transformation. Specific business activities in the value chain of organizations form the foundation for digital transformation. Therefore, the assessment of the digital transformation progress should focus on the changes and improvements brought by ICTs application to business activities. The assessment indicators of digital transformation progress should be selected from the following four aspects: + +- Basis and support for digital transformation; +- ICTs application in sectors' specific domains; +- Integration across different domains or links in value chains; +- Sectors' development through innovation and disruption based on ICTs application. + +The digital transformation progress from the four aspects above can directly induce the enhancement of sectors' competitiveness, and further bring economic, environmental and social impacts indirectly. Accordingly, the digital transformation impacts can be assessed from two aspects, that is, digital competitiveness, and economic, environmental and social impacts. + +In conclusion, the assessment framework for digital transformation of sectors in SSC includes two parts, one is the assessment of digital transformation progress, and the other one is the assessment of digital transformation impacts, as shown in Figure 3. + +![Figure 3: Assessment indicator system of sectors' digital transformation in SSC. The diagram shows a flow from 'Assessment of digital transformation progress' to 'Assessment of digital transformation impacts'. The progress assessment includes four boxes: 'Innovation and disruption', 'Integration and interaction', 'Domain application', and 'Basis and support'. These lead to 'Digital competitiveness', which then leads to 'Economic, environmental and social impacts'. A feedback loop labeled 'Continuous improvement' connects the impacts back to the progress assessment.](853f59c89931a666c07903b31d098277_img.jpg) + +``` + +graph LR + subgraph Progress [Assessment of digital transformation progress] + A1[Innovation and disruption] + A2[Integration and interaction] + A3[Domain application] + A4[Basis and support] + end + subgraph Impacts [Assessment of digital transformation impacts] + B1[Digital competitiveness] + B2[Economic, environmental and social impacts] + end + A1 -.-> B1 + A2 -.-> B1 + A3 -.-> B1 + A4 -.-> B1 + B1 -.-> B2 + B2 -.-> CI[Continuous improvement] + CI -.-> Progress + +``` + +Y.4906(19)\_F03 + +Figure 3: Assessment indicator system of sectors' digital transformation in SSC. The diagram shows a flow from 'Assessment of digital transformation progress' to 'Assessment of digital transformation impacts'. The progress assessment includes four boxes: 'Innovation and disruption', 'Integration and interaction', 'Domain application', and 'Basis and support'. These lead to 'Digital competitiveness', which then leads to 'Economic, environmental and social impacts'. A feedback loop labeled 'Continuous improvement' connects the impacts back to the progress assessment. + +**Figure 3 – Assessment indicator system of sectors' digital transformation in SSC** + +## 7.3 Description of assessment indicator set for sectors' digital transformation in SSC + +Assessment indicator set for sectors' digital transformation is provided in a hierarchical structure with three layers. More specifically, there are different aspects in the first layer, several key areas of digital transformation in the second layer, and various assessment indicators in the third layer. + +In the first layer, there are 6 aspects corresponding to the 6 parts shown in the solid frames of Figure 3. These aspects are described in clauses 7.3.1 to 7.3.6. + +In the second layer, each aspect is decomposed to several key areas of digital transformation. In total, there are 25 key areas, which are also specified in clauses 7.3.1 to 7.3.6 according to the aspects to which they belong. + +In the third layer, each key area is further decomposed to several assessment indicators. The referential assessment indicators are provided in Appendix I. + +### **7.3.1 Basis and support** + +Mainly assesses the infrastructures and support required by sectors' digital transformation, covering seven key areas of basis and support for digital transformation; namely, strategy planning, organizations and talents, capital investment, physical infrastructure, ICTs infrastructure, data resources, and information security. The specific indicators of this assessment aspect are shown in Table I.1 of Appendix I. + +### **7.3.2 Domain application** + +Mainly assesses the application of digital technology in specific domain of sectors or individual links in value chains, covering five key areas of domain application; namely, digital technology's application in customer's requirement definition, research and development (R&D), production, delivery, and service. The specific indicators of this assessment aspect are shown in Table I.2 of Appendix I. + +#### **7.3.3 Integration and interaction** + +Mainly assesses the business integration and interaction across sector's domains or links in value chains through digital transformation. It covers three key areas of integration and interaction; namely, integration and interaction of the product life cycle, horizontal integration and interaction of supply chain, and vertical integration and interaction among multi levels from decision making to execution. The specific indicators of this assessment aspect are shown in Table I.3 of Appendix I. + +#### **7.3.4 Innovation and disruption** + +Mainly assesses the reformation and reconstruction of sectors' traditional business processes through digital transformation, covering three key areas of innovation and disruption; namely, production, service and business processes. The specific indicators of this assessment aspect are shown in Table I.4 of Appendix I. + +#### **7.3.5 Digital competitiveness** + +Mainly assesses the sectors' digital competitiveness building and enhancement through digital transformation, covering four key areas of digital competitiveness; namely, innovation, operational, customer experience, and new market penetration capabilities. The specific indicators of this assessment aspect are shown in Table I.5 of Appendix I. + +#### **7.3.6 Economic, environmental and social impacts** + +Mainly assesses the overall economic, environmental and social impacts through sectors' digital transformation, covering three key areas, namely; economic impacts, environmental impacts, and social impacts. The specific indicators of this assessment aspect are shown in Table I.6 of Appendix I. + +# **8 Guidance on the sectors' digital transformation assessment in SSC** + +SSC manager(s), should define the responsibilities and authorities of stakeholders engaged in the sectors' digital transformation assessment activities. + +SSC manager(s) should first determine the sectors and sample organizations within them to be assessed and list a catalogue referring to the research model shown in Figure 2. + +Third-party, including consulting service firms, industrial associations or industrial alliances, etc. could help SSC manager(s) with practical implementation of the assessment, and provide the necessary awareness and trainings to the sample organizations according to the needs of SSC manager(s). + +## **8.1 Data collection of sector's digital transformation in SSC** + +SSC manager(s) could conduct the assessment of sector's digital transformation through a questionnaire based survey. The questionnaire could involve the referential assessment indicators listed in Appendix I. When conducting assessments for different sectors, the selection of assessment indicators in the questionnaire can be done by each city via adjusting and expanding its list of indicators according to the characteristics and needs of its individual sectors. + +It should be noted that, SSC manager(s) could select indicators referring to the series of Recommendations on assessment in SSC, including [ITU-T Y.4901], [ITU-T Y.4903] and [ITU-T Y.4905]. + +SSC manager(s) should develop a detailed instruction for assessed organizations and other relevant participants. The instruction should cover several aspects, including but not limited to, how to accurately comprehend the indicators and their measurements in the questionnaire, clarifying the criterion of filling in the questionnaire, and other sector-specific considerations. The instruction would help assessed organizations reflect their actual situation of digital transformation in the survey. + +SSC manager(s) should set up a standardized procedure for data collection and management for further analysis. The procedure should clarify several issues, including the processes of organizing the data collection activities, the requirements of data quality verification and data cleansing, the responsible persons for each process of collecting and recording the data, etc. + +SSC manager(s) should establish an effective mechanism to ensure the authenticity, integrity and confidentiality of collected data, and clarify the intellectual property rights of data and relevant analyses results. The mechanism should be documented as agreed policies and made known to all the participants. + +## **8.2 Data calculation of sector's digital transformation in SSC** + +In order to effectively conduct the assessment of sectors' digital transformation in SSC based on the assessment indicator system provided in clause 7.2, the scoring method for all the indicators, key areas and aspects are as follows: + +### **(1) Setting of weights** + +Before the scoring of assessment indicators, SSC manager(s) should determine the weights of all the aspects, key areas and indicators. The weights can be used to reflect their degree of importance to the sectors' digital transformation. + +SSC manager(s) could invite experienced experts to discuss the assessment indicator system and the questionnaire, then to determine the indicators' weights which should be in line with the actual situation and future development plan of the sector's digital transformation in SSC. Methods such as Delphi method [b-DMAW], analytic hierarchy process (AHP) [b-AHP] and analytic network process (ANP) [b-ANP] can be used to set the weight of each indicator. + +### **(2) Scoring for indicators of each sample organization** + +Considering the characteristic of each indicator, there are mainly three methods for data collection; namely, numerical question, single-choice question, and checklist question. + +The scoring for each kind of data collection method can be conducted as follows: + +- For numerical questions, the scoring can be calculated by the formula: + +$$X_i = \frac{V_i - V_{min}}{V_{max} - V_{min}} \times 100.$$ + +Where, the $X_i$ is the $i$ th indicator's score, which has the value range of $[0,100]$ , the $V_i$ is the actual value of the $i$ th indicator's collected data, of which the minimum and maximum thresholds are denoted respectively as $V_{min}$ and $V_{max}$ . + +- For single choice questions, the scoring can be calculated as follows: + - (i) All the available options should be assigned with certain scores, which should be distributed in the value range of $[0,100]$ . + - (ii) The score of the indicators should be the corresponding score of the selected option. +- For checklist questions, the scoring can be calculated as follows: + - (i) All the available options should be assigned with certain scores, which should be distributed in the value range of $[0,100]$ , and the options' total scores should be 100. + - (ii) The score of the indicators should be the sum of the selected options' scores. + +### **(3) Weighted scoring for the key areas and aspects of each sample organization** + +For each sample organization, scores of the 25 key areas of digital transformation and the 6 aspects can be calculated by the weighted average of their sub-indicators' scores, and the total score can be calculated by weighted average of the 6 aspects' scores. + +For a given indicator, let $n$ be the number of sub-indicators, $\{X_i | i = 1, 2, \dots, n\}$ be the scores of its sub-indicators, and the $W_i$ be the weight of the $i$ th sub-indicator, while $0 < W_i \leq 1$ and the constraint $\sum_{i=1}^n W_i = 1$ should be satisfied. And the score of this indicator can be calculated by the following formula: + +$$Y = \frac{\sum_{i=1}^n X_i \times W_i}{\sum_{i=1}^n W_i} \quad (i = 1, 2, \dots, n)$$ + +#### **(4) Scoring for indicators, key areas and aspects of each sector** + +For a given sector, the scores of the assessment indicators, 25 key areas of digital transformation, 6 aspects and the total score can be calculated by the arithmetic average of corresponding scores of indicators, key areas, aspects, and also the total scores of all the samples in this sector. + +## **8.3 Data analysis of sector's digital transformation in SSC** + +SSC manager(s) can further conduct in-depth data mining by using various kinds of data analyses methods based on the collected data and the above scoring results. According to the actual needs, SSC manager(s) can do comparative analysis and correlation analysis among different sectors in the SSC, or within the same sector in other SSCs, or among different indicators of certain sectors, etc. The results of the analyses can be used to help SSC managers to precisely find out the current states, key points, problems and trends of the assessed sectors' digital transformation. Furthermore, SSC manager(s) can determine the priorities of sectors' digital transformation, and then provide suitable paths and corresponding measures to promote these sectors' digital transformation. + +## Appendix I + +### Assessment indicators + +(This appendix does not form an integral part of this Recommendation.) + +This appendix lists potential assessment indicators, among others, that SSC manager(s) can select according to their own needs and requirements for sectors' digital transformation. Each indicator is labelled (*Ix.y.z*), where: + +- (i) *x* denotes the 6 aspects of the assessment indicator system for digital transformation; namely, basis and support, domain application, integration and interaction, innovation and disruption, digital competitiveness, and economic, environmental and social impacts; +- (ii) *y* denotes the 25 key areas of digital transformation decomposed from the above mentioned 6 assessment aspects; +- (iii) *z* denotes corresponding indicators after further decomposition of the 25 key areas for the assessment of digital transformation. + +### I.1 Basis and support + +There are seven key areas of digital transformation in this aspect, which can be further decomposed to several assessment indicators including strategy planning related to digital transformation, implementation control of strategy planning related to digital transformation, organizational setting related to digital transformation, professional personnel engaged in digital transformation, empowering employees through digital transformation, etc. The referential indicators and their descriptions in the above seven key areas are shown in Table I.1. + +**Table I.1 – Names and descriptions of assessment indicators in the aspect of basis and support** + +| Area | Indicator name | Description | Data collection method | +|--------------------------------|--------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| I1.1 Strategy planning | I1.1.1 Strategy planning related to digital transformation | Level and range of the company's strategic planning for digital transformation.
NOTE – Checklist:
a) There is no strategic planning for digital transformation;
b) Partial strategic planning is formulated considering the single business's needs for digital transformation;
c) Company-level strategic planning for digital transformation is formulated. | Single-choice question | +| | I1.1.2 Implementation control of strategy planning related to digital transformation | Measures for effective management and control towards the implementation of digital transformation strategy.
NOTE – Checklist:
a) Specific quantitative objectives of digital transformation strategy are defined;
b) The implementation of digital transformation strategy is tracked and monitored;
c) The implementation of digital transformation strategy is evaluated. | Checklist question | +| I1.2 Organizations and talents | I1.2.1 Organizational setting related to digital transformation | Realization of the collaboration among relevant business functions and organizational levels of the organization/company for the promotion of digital transformation.
NOTE – Checklist:
a) The leader in the decision level presides over the overall promotion of digital transformation;
b) The departments or employees responsible for related activities of digital transformation are assigned with functions and duties of optimizing business processes and organizational structures;
c) All the business departments take an active part in digital transformation;
d) Good communication and coordination mechanism is established among business departments and organizational levels which are related to digital transformation. | Checklist question | +| | I1.2.2 Professional personnel engaged in digital transformation | Proportion of the employees whose full-time job is the promotion of digital transformation. | Numerical question | + +**Table I.1 – Names and descriptions of assessment indicators in the aspect of basis and support** + +| Area | Indicator name | Description | Data collection method | +|------------------------------|----------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| | I1.2.3 Empowering employees through digital transformation | Digital measures adoption for empowering employees to achieve the matching between the employees' capability and the organization's/company's development.
NOTE – Checklist:
a) The data resource is open and sharable to employees whose needs for improving knowledge and capability can be satisfied;
b) There exists Internet-based transformation in the relationship between employees and managers, which helps to realize the self-organization of employees;
c) Employees are provided with entrepreneurial resources and innovation resources based on the platform, which promotes the coordinated development between employees and the company. | Checklist question | +| I1.3 Capital investment | I1.3.1 Investment in construction, operation and maintenance of automation equipment and facilities, etc. | Expenditure ratio of construction, operation and maintenance of automatic devices and facilities to the revenue of main business in the recent three years. | Numerical question | +| | I1.3.2 Investment in construction, operation and maintenance of IT equipment, software and information systems | Expenditure ratio of construction, operation and maintenance of IT equipment, software and information system to the revenue of main business in the recent three years. | Numerical question | +| I1.4 Physical infrastructure | I1.4.1 Digital control of physical infrastructure | Proportion of digital controlled devices and facilities. | Numerical question | +| | I1.4.2 Networking of physical infrastructure | Proportion of networked devices and facilities. | Numerical question | +| I1.5 ICTs infrastructure | I1.5.1 Possession of IT equipment (e.g., computers, servers, intelligent terminals) | Possession of IT equipment per 100 persons.
NOTE – Calculated as:
Possession of IT equipment per 100 persons = Total number of IT equipment×100/Total number of employees. | Numerical question | +| | I1.5.2 Network infrastructure construction (e.g., network environment) | Backbone network coverage of the organization/company.
NOTE – Checklist:
a) Absence of backbone network of the organization/company;
b) Establishment of backbone network of the organization/ company; | Single-choice question | + +**Table I.1 – Names and descriptions of assessment indicators in the aspect of basis and support** + +| Area | Indicator name | Description | Data collection method | +|---------------------|-------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| | |

c) More than 50% area of the organization/company is covered by the backbone network;

d) More than 80% area of the organization/company is covered by the backbone network.

| | +| I1.6 Data resources | I1.6.1 Standardization of data resources |

The extent of standard management of data resources.

NOTE – Checklist:

a) Absence of the classification coding of data resources;

b) Realization of classification coding separately for each kind of data resource;

c) Realization of department-level unified classification coding for the data resources;

d) Realization of enterprise-level unified classification coding for the data resources.

| Single-choice question | +| | I1.6.2 Collection, storage and management of data resources |

Realization of collection, storage, accumulation, integration, etc. of data resources.

NOTE – Checklist:

a) Automatic collection of primary data of the production operations;

b) Hierarchical storage of data resources;

c) Establishment of enterprise-level data dictionary;

d) Integration of multi-source heterogeneous data;

e) Gathering and management of historical data;

f) Implementation of data mining to meet business needs.

| Checklist question | + +**Table I.1 – Names and descriptions of assessment indicators in the aspect of basis and support** + +| Area | Indicator name | Description | Data collection method | +|---------------------------|-----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| I1.7 Information security | I1.7.1 Information security | Adoption of management measures for information security.
NOTE – Checklist:
a) Establishment of management organization specially designed for information security;
b) Establishment of management regulations for information security;
c) Adoption of professional products and services for information security;
d) Regular tracking and assessment of information security. | Checklist question | + +### I.2 Domain application + +There are five key areas of digital transformation in this aspect, which can be further decomposed to several assessment indicators including customer's requirements gathering, customer's requirements analysis, translation and identification, digitalization of products design, digitalization of process planning, digitalization of production management, digitalization of production management, etc. The referential indicators and their descriptions in the above five key areas are shown in Table I.2. + +**Table I.2 – Names and descriptions of assessment indicators in the aspect of domain application** + +| Area | Indicator name | Description | Data collection method | +|----------------------------------------|-------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| I2.1 Customer's requirement definition | I2.1.1 Customer's requirements gathering | Realization of automatic collection of customer's requirements.
NOTE – Checklist:
a) The customer's requirements can be collected automatically;
b) The customer's requirements cannot be collected automatically. | Single-choice question | +| | I2.1.2 Customer's requirements analysis, translation and identification | Realization of online analysis, translation and identification of customer's requirements.
NOTE – Checklist:
a) The customer's requirements can be analysed, translated and identified online; | Single-choice question | + +**Table I.2 – Names and descriptions of assessment indicators in the aspect of domain application** + +| Area | Indicator name | Description | Data collection method | +|-----------------|--------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| | | b) The customer's requirements cannot be analysed, translated and identified online. | | +| I2.2 R&D | I2.2.1 Digitalization of products design | Proportion of the types of products which are developed with the establishment of digital models and then get their functions and performances verified using digital technologies. | Numerical question | +| | I2.2.2 Digitalization of technological process planning | Proportion of types of products which are developed through computer aided technological process planning and simulation and optimization.
NOTE – Technological process planning is concerned with determining the sequence of individual manufacturing operations needed to produce a given part or product, and also refers to the planning of use of blanks, spare parts, packaging material, user instructions (manuals), etc. | Numerical question | +| I2.3 Production | I2.3.1 Digitalization of production management | Implementation of production planning and scheduling using digital technologies.
NOTE – Checklist:
a) Automatic generation of production plan;
b) Automatic generation of materials requirement plan;
c) Automatic generation of external cooperative production plan;
d) Real-time tracking of production plan's implementation;
f) Dynamic adjustment of production plan as needed. | Checklist question | +| | I2.3.2 Digitalization of production process management and control | Proportion of key production processes which are automatically controlled using digital technologies. | Numerical question | +| I2.4 Delivery | I2.4.1 Digitalization of transaction process | Implementation of transaction process management using digital technologies.
NOTE – Checklist:
a) Online management towards the procurements' planning, supplier sourcing, schedule and cost;
b) Online processing and real-time tracking of sales orders;
c) Online payment and online charging. | Checklist question | +| | I2.4.2 Digitalization of logistics distribution | Management of logistics distribution using digital technologies.
NOTE – Checklist:
a) Automatic generation of logistics distribution plan;
b) Dynamic planning of logistics distribution route and delivery timetable; | Checklist question | + +**Table I.2 – Names and descriptions of assessment indicators in the aspect of domain application** + +| Area | Indicator name | Description | Data collection method | +|--------------|-----------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| | | c) Whole-process dynamic tracking of logistics distribution information. | | +| I2.5 Service | I2.5.1 Digitalization of after-sales service | Implementation of after-sales service using digital technologies.
NOTE – Checklist:
a) Online feedback and processing of after-sales problems;
b) Dynamic allocation and automatic flow of after-sales services' work order;
c) Online tracking of after-sales service process. | Checklist question | +| | I2.5.2 Digitalization of customer relationship management | Implementation of customer relationship management using digital technologies.
NOTE – Checklist:
a) Management of customer' basic information;
b) Online collection of customers' behaviour data;
c) Provision of personalized customer interaction and service based on analysis of customers' characteristics and value. | Checklist question | + +### **I.3 Integration and interaction** + +There are there key areas of digital transformation in this aspect, which can be further decomposed to several assessment indicators including life cycle associated maintenance and management of product data, business integration and associated optimization between R&D and production, business integration and associated optimization between R&D and service, business integration and associated optimization of production, supply and sales, whole process tracking management of customer orders, etc. The referential indicators and their descriptions in the above three key areas are shown in Table I.3. + +**Table I.3 – Names and descriptions of assessment indicators in the aspect of integration and interaction** + +| Area | Indicator name | Description | Data collection method | +|-------------------------------------------------------------|---------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| I3.1 Integration and interaction of the product life cycle | I3.1.1 Associated maintenance and management of product data in the entire life cycle of products | Implementation of automatic transmission, associated maintenance and consistency management of data among key stages of the product life cycle, such as R&D, production and service.
NOTE – Checklist:
a) Establishment of unified product data model;
b) Automatic transmission of product data among all the stages of the product life cycle;
c) Associated maintenance and consistency management of product data among all the stages of the product life cycle. | Checklist question | +| | I3.1.2 Business integration and associated optimization between R&D and production | Implementation of integration and associated optimization among product R&D and design, manufacturing, production management, etc.
NOTE – Checklist:
a) Automatic generation of technological process scheme according to product's design;
b) Fast optimization of product's R&D scheme based on practical needs of production;
c) Parallel processing of R&D and production. | Checklist question | +| | I3.1.3 Business integration and associated optimization between R&D and service | Implementation of integration and associated optimization among related business activities of product R&D and after-sales service.
NOTE – Checklist:
a) Users' participation in product design using information systems;
b) Automatic collection of user service's data and optimization of product design accordingly. | Checklist question | +| I3.2 Horizontal integration and interaction of supply chain | I3.2.1 Business integration and associated optimization of production, supply and sales | Implementation of integration and associated optimization among production, supply, sales, etc., along a supply chain.
NOTE – Checklist:
a) Provided with precise supply in designated time at particular place from the suppliers;
b) Production's automatic scheduling and dynamic dispatching according to customers' orders;
c) Accurate delivery according to customers' requirements. | Checklist question | + +**Table I.3 – Names and descriptions of assessment indicators in the aspect of integration and interaction** + +| Area | Indicator name | Description | Data collection method | +|------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| | I3.2.2 Whole process tracking management of customer orders |

The coverage extent of whole-process tracking management of customers' orders using digital technologies.

NOTE 1 – Checklist:

  • a) Product delivery and all the subsequent stages of the whole process;
  • b) Production and all the subsequent stages of the whole process;
  • c) R&D, design and all the subsequent stages of the whole process.

NOTE 2 – The whole process of customer orders management includes but not limited to the aspects of R&D and design, production and product delivery, which are implemented in order.

| Checklist question | +| I3.3 Vertical integration and interaction among multi levels from decision making to execution | I3.3.1 Data interconnection and business integration between decision making level and management level |

Implementation of data interconnection and business integration between decision-making level and management level based on information systems.

  • a) Automatic conveying of instructions from the decision-support system to the business management system;
  • b) Automatic uploading of operation information from the operation management system to the decision-support system.
| Checklist question | +| | I3.3.2 Data interconnection and business integration between management level and execution level |

Implementation of data interconnection and business integration between operation management level and production execution level based on information systems.

NOTE – Checklist:

  • a) Automatic conveying of instructions from the operation management system to the production execution system;
  • b) Automatic uploading of information from the production execution system to the operation management system.
| Checklist question | +| | I3.3.3 Level of intelligent decision making |

Implementation of optimal decision-making of production and business management problems using information technologies (especially using big data technology or artificial intelligence technology).

NOTE – Checklist:

  • a) Timely tracking and online collection of internal and external information needed for decision-making;
  • b) Comprehensive optimization of decision-making results with the assistance of information technologies;
| Checklist question | + +**Table I.3 – Names and descriptions of assessment indicators in the aspect of integration and interaction** + +| Area | Indicator name | Description | Data collection method | +|------|----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| | | c) Automatic optimization of decision-making results and forecasting and early warning using new generation of information technologies, such as artificial intelligence and big data technologies. | | + +### **I.4 Innovation and disruption** + +There are three key areas of digital transformation in this aspect, which can be further decomposed into several assessment indicators including networked collaborative R&D and production, customization, remote service, real-time service, sharing service, cloud platform-based operation, industrial internet and supply chain finance. The referential indicators and their descriptions in the above three key areas are shown in Table I.4. + +**Table I.4 – Names and descriptions of assessment indicators in the aspect of innovation and disruption** + +| Area | Indicator name | Description | Data collection method | +|---------------------------|---------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| I4.1 Production processes | I4.1.1 Networked collaborative R&D and production | Realization of concurrent and collaborative design and manufacturing of products in the context of distributed collaborative environment based on the Internet.
NOTE – Checklist:
a) Realization of networked collaborative R&D and production among multiple R&D or manufacturing centres in the organization/company;
b) Realization of networked collaborative R&D and production among organization/company and their upstream and downstream companies;
c) Realization of networked collaborative R&D and production between organization/company and their end-users. | Checklist question | +| | I4.1.2 Customization | Realization of customization and on-demand manufacturing based on dynamic perception and quick response to customers' needs.
NOTE – Checklist:
a) Accurate collection of customers' needs through online one-to-one marketing;
b) Provision of customer-oriented platform for collaborative design;
c) Support for the customer-defined products configuration using the module design method; | Checklist question | + +**Table I.4 – Names and descriptions of assessment indicators in the aspect of innovation and disruption** + +| Area | Indicator name | Description | Data collection method | +|-------------------------|---------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| | | d) Quick arrangement of production scheduling and dynamic dispatching adapting to the changes of products' types and lot sizes. | | +| I4.2 Service processes | I4.2.1 Remote service | Realization of online and remote provision of services for products' end-users.
NOTE – Checklist:
a) Remote support for installation and usage of sold-out products;
b) Remote monitoring of sold-out products' running state;
c) Remote diagnosis of sold-out products' operational fault;
d) Pushing of personalized value-added service based on data mining of customers' behaviour. | Checklist question | +| | I4.2.2 Real-time service | Implementation of real-time services using digital technologies in order to meet the customers' demands of fast and on-time delivery.
NOTE – Checklist:
a) Real-time matching among related entities of orders;
b) Real-time delivery of products;
c) Real-time tracking of orders;
d) Real-time compensation for overtime orders. | Checklist question | +| | I4.2.3 Sharing service | Realization of sharing resources and capabilities between organization/company and their relevant parties based on platforms.
NOTE – Checklist:
a) Realization of sharing design resources and providing design services based on platforms;
b) Realization of sharing equipment's production capability and providing production services based on platforms;
c) Realization of sharing logistics system and providing the third-party logistics services based on platforms. | Checklist question | +| I4.3 Business processes | I4.3.1 Cloud platform-based operation | Implementation of business operation based on Internet platforms.
NOTE – Checklist:
a) Business operation based on the third-party Internet platform, which is beneficial to the cost reduction and efficiency improvement; | Checklist question | + +**Table I.4 – Names and descriptions of assessment indicators in the aspect of innovation and disruption** + +| Area | Indicator name | Description | Data collection method | +|------|-----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| | | b) Realization of self-built Internet platform, which can facilitate the aggregation of resources for all the production factors and help to realize the socialized production operation. | | +| | I4.3.2 Industrial internet | Realization of manufacturing resources' networked and dynamic allocation based on the construction of industrial Internet.
NOTE – Checklist:
a) Wide interconnection of devices and facilities;
b) Online deployment of manufacturing resources;
c) Online transaction of manufacturing capabilities. | Checklist question | +| | I4.3.3 Supply chain finance | Development of products and services of supply chain finance based on big data, etc. through Internet platform-based cooperation with financial institutions.
NOTE – Checklist:
a) Credit loan;
b) Financial leasing;
c) Hypothecation guarantee;
d) Insurance. | Checklist question | + +### I.5 Digital competitiveness + +There are four key areas of digital transformation in this aspect, which can be further decomposed to several assessment indicators including quality of R&D, efficiency of R&D, cost of R&D, capacity utilisation, speed of capital turnover, customer satisfaction, customer loyalty, new product/service, new marketing channel, and new user group. The referential indicators and their descriptions in the above four key areas are shown in Table I.5. + +**Table I.5 – Names and descriptions of assessment indicators in the aspect of digital competitiveness** + +| Area | Indicator name | Description | Data collection method | +|----------------------------------------|----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| I5.1 Innovation capability | I5.1.1 Quality of R&D | Proportion of the new products which is successfully manufactured in their first trial-production. | Numerical question | +| | I5.1.2 Efficiency of R&D | Development cycle time of new product. | Numerical question | +| | I5.1.3 Cost of R&D | Ratio of expenditure of R&D to total revenue in the recent three years. | Numerical question | +| I5.2 Operational capability | I5.2.1 Capacity utilisation | Capacity utilisation rate.
NOTE – Calculated as:
$\text{Capacity utilisation rate} = \text{Actual capacity}/\text{designed capacity} \times 100\%$ . | Numerical question | +| | I5.2.2 Speed of capital turnover | Inventory Turnover Ratio.
NOTE – Calculated as:
$\text{Inventory Turnover Ratio} = \text{Yearly total cost of product sales}/\text{average capital balance of inventory}$ . | Numerical question | +| I5.3 Customer experience capability | I5.3.1 Customer satisfaction | Average increasing rate of numbers of customers who show their satisfaction to the organization/company and their products in the customers' survey of the recent three years. | Numerical question | +| | I5.3.2 Customer loyalty | Average increasing rate of numbers of loyal customers in the recent three years.
NOTE – Loyal customers are those who repurchase the organization's/ company's products or services in a long term. | Numerical question | +| I5.4 New market penetration capability | I5.4.1 New product/service | Proportion of sales of new products. | Numerical question | +| | I5.4.2 New marketing channel | Proportion of sales from new marketing channels in the recent year.
NOTE – New marketing channels refers to ways of transferring products or services to end-users using digital technologies, mainly on the Internet, but also including mobile phones, online advertising, and any other digital medium. | Numerical question | +| | I5.4.3 New user group | Average number of new users per month. | Numerical question | + +### I.6 Economic, environmental and social impacts + +There are three key areas of digital transformation in this aspect, which can be further decomposed to several assessment indicators including labour productivity, profit margin per person, energy consumption, carbon dioxide emission and technical contribution. The referential indicators and their descriptions in the above three key areas are shown in Table I.6. + +**Table I.6 – Names and descriptions of assessment indicators in the aspect of economic, environmental and social impacts** + +| Area | Indicator name | Description | Data collection method | +|-----------------------------|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------| +| I6.1 Economic benefits | I6.1.1 Labour productivity | Overall labour productivity. | Numerical question | +| | I6.1.2 Profit margin per person | Ratio of total profit to the total number of employees. | Numerical question | +| I6.2 Environmental benefits | I6.2.1 Energy consumption | Energy consumption per unit of output value.
NOTE –Energy consumption is commonly calculated by measuring the consumption of standard coal. | Numerical question | +| | I6.2.2 Carbon dioxide emission | Carbon dioxide emissions per unit of output value. | Numerical question | +| I6.3 Social benefits | I6.3.1 Technical contribution (e.g., patents) | Number of patents per 100 employees of the organization/company.
NOTE – Calculated as:
Number of patents per 100 employees = (Number of granted patents×100)/ Total number of employees in the organization/company at the end of the year | Numerical question | + +## Bibliography + +- [b-ITU-T Y-Sup.52] Recommendation ITU-T Y-series – Supplement 52 (2018), *Methodology for building digital capabilities during enterprises' digital transformation*. +- [b-ISIC Rev.4] International standard industrial classification of all economic activities (ISIC), Rev.4. +<[https://unstats.un.org/unsd/publication/seriesM/seriesm\\_4rev4e.pdf](https://unstats.un.org/unsd/publication/seriesM/seriesm_4rev4e.pdf)> +- [b-E CPNRE] Classic papers in natural resource economics, *Externality*. +<[https://link.springer.com/chapter/10.1057/9780230523210\\_7](https://link.springer.com/chapter/10.1057/9780230523210_7)> +- [b-DMAW] MA: Addison-Wesley, *the Delphi Method*. +<[https://www.researchgate.net/profile/Maria\\_Joao\\_Teixeira/post/What\\_are\\_the\\_Likert\\_scales\\_used\\_in\\_Delphi\\_study/attachment/59d620c279197b807797f38d/AS:292381292285964@1446720541026/download/The+Delphi+Method.pdf](https://www.researchgate.net/profile/Maria_Joao_Teixeira/post/What_are_the_Likert_scales_used_in_Delphi_study/attachment/59d620c279197b807797f38d/AS:292381292285964@1446720541026/download/The+Delphi+Method.pdf)> +- [b-AHP] Encyclopedia of operations research and management science, *Analytic hierarchy process*. +<[http://iors.ir/journal/files/site1/user\\_files\\_ba3acb/mehdi\\_ghotboddini-A-10-6-2-f082faa.pdf](http://iors.ir/journal/files/site1/user_files_ba3acb/mehdi_ghotboddini-A-10-6-2-f082faa.pdf)>.2019) +- [b-ANP] Decision Making with the Analytic Network Process, *The Analytic Network Process*. +<[http://iors.ir/journal/files/site1/user\\_files\\_ba3acb/mehdi\\_ghotboddini-A-10-6-2-f082faa.pdf](http://iors.ir/journal/files/site1/user_files_ba3acb/mehdi_ghotboddini-A-10-6-2-f082faa.pdf)> + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file diff --git a/marked/Y/T-REC-Y.4910-202303-I_PDF-E/raw.md b/marked/Y/T-REC-Y.4910-202303-I_PDF-E/raw.md new file mode 100644 index 0000000000000000000000000000000000000000..91998093582ec8c9c0ed7baeff966579b36d10d7 --- /dev/null +++ b/marked/Y/T-REC-Y.4910-202303-I_PDF-E/raw.md @@ -0,0 +1,652 @@ + + +# Recommendation + +## **ITU-T Y.4910 (03/2023)** + +SERIES Y: Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities + +Internet of things and smart cities and communities – +Evaluation and assessment + +--- + +## **Maturity model of digital supply chain for smart sustainable cities** + +## ITU-T Y-SERIES RECOMMENDATIONS + +## **GLOBAL INFORMATION INFRASTRUCTURE, INTERNET PROTOCOL ASPECTS, NEXT-GENERATION NETWORKS, INTERNET OF THINGS AND SMART CITIES** + +## GLOBAL INFORMATION INFRASTRUCTURE + +| | | +|-------------------------------------------|-------------| +| General | Y.100–Y.199 | +| Services, applications and middleware | Y.200–Y.299 | +| Network aspects | Y.300–Y.399 | +| Interfaces and protocols | Y.400–Y.499 | +| Numbering, addressing and naming | Y.500–Y.599 | +| Operation, administration and maintenance | Y.600–Y.699 | +| Security | Y.700–Y.799 | +| Performances | Y.800–Y.899 | + +## INTERNET PROTOCOL ASPECTS + +| | | +|--------------------------------------------------------------------|---------------| +| General | Y.1000–Y.1099 | +| Services and applications | Y.1100–Y.1199 | +| Architecture, access, network capabilities and resource management | Y.1200–Y.1299 | +| Transport | Y.1300–Y.1399 | +| Interworking | Y.1400–Y.1499 | +| Quality of service and network performance | Y.1500–Y.1599 | +| Signalling | Y.1600–Y.1699 | +| Operation, administration and maintenance | Y.1700–Y.1799 | +| Charging | Y.1800–Y.1899 | +| IPTV over NGN | Y.1900–Y.1999 | + +## NEXT GENERATION NETWORKS + +| | | +|-------------------------------------------------------------------|---------------| +| Frameworks and functional architecture models | Y.2000–Y.2099 | +| Quality of Service and performance | Y.2100–Y.2199 | +| Service aspects: Service capabilities and service architecture | Y.2200–Y.2249 | +| Service aspects: Interoperability of services and networks in NGN | Y.2250–Y.2299 | +| Enhancements to NGN | Y.2300–Y.2399 | +| Network management | Y.2400–Y.2499 | +| Computing power networks | Y.2500–Y.2599 | +| Packet-based Networks | Y.2600–Y.2699 | +| Security | Y.2700–Y.2799 | +| Generalized mobility | Y.2800–Y.2899 | +| Carrier grade open environment | Y.2900–Y.2999 | + +## | | | |-----------------|---------------| | FUTURE NETWORKS | Y.3000–Y.3499 | |-----------------|---------------| + +### | | | |-----------------|---------------| | CLOUD COMPUTING | Y.3500–Y.3599 | |-----------------|---------------| + +### | | | |----------|---------------| | BIG DATA | Y.3600–Y.3799 | |----------|---------------| + +### | | | |-----------------------------------|---------------| | QUANTUM KEY DISTRIBUTION NETWORKS | Y.3800–Y.3999 | |-----------------------------------|---------------| + +## INTERNET OF THINGS AND SMART CITIES AND COMMUNITIES + +| | | +|---------------------------------------------------------|----------------------| +| General | Y.4000–Y.4049 | +| Definitions and terminologies | Y.4050–Y.4099 | +| Requirements and use cases | Y.4100–Y.4249 | +| Infrastructure, connectivity and networks | Y.4250–Y.4399 | +| Frameworks, architectures and protocols | Y.4400–Y.4549 | +| Services, applications, computation and data processing | Y.4550–Y.4699 | +| Management, control and performance | Y.4700–Y.4799 | +| Identification and security | Y.4800–Y.4899 | +| Evaluation and assessment | Y.4900–Y.4999 | + +*For further details, please refer to the list of ITU-T Recommendations.* + +# Recommendation ITU-T Y.4910 + +# Maturity model of digital supply chain for smart sustainable cities + +## Summary + +With the rapid development of advanced information technologies such as the Internet of things (IoT), big data and cloud computing, the traditional supply chain has been transformed into a digital supply chain. Digital supply chains may help to maintain high growth by reducing operation costs and improving the efficiency of supply chain management with the help of digital methods. As a result, digital supply chains can assist with the construction and management of smart sustainable cities (SSC). + +Recommendation ITU-T Y.4910 provides a maturity model of digital supply chain for SSC referring to the key performance indicators (KPIs) for SSCs in Recommendation ITU-T Y.4900 and the maturity model for SSC in Recommendation ITU-T Y.4904. Both of these Recommendations support the maturity model for digital supply chains. The use of the maturity model for digital supply chains has specific benefits for socioeconomic indicators, such as: environmental sustainability, productivity, innovation, and trade. This maturity model helps identify the goals, levels, dimensions and assessment methods of digital supply chain for SSC. It is designed as a practical tool for city managers and all related stakeholders to study the performance and benefits of digital supply chain from economic, social and environmental perspectives. Thus, this Recommendation gives general guidance for accurately assessing the maturity of digital supply chains and help in achieving sustainable development goals for SSC. + +## History + +| Edition | Recommendation | Approval | Study Group | Unique ID* | +|---------|----------------|------------|-------------|---------------------------------------------------------------------------| +| 1.0 | ITU-T Y.4910 | 2023-03-28 | 20 | 11.1002/1000/15489 | + +## Keywords + +Digital supply chain, key performance indicators (KPIs), maturity model, smart sustainable city (SSC). + +--- + +\* To access the Recommendation, type the URL in the address field of your web browser, followed by the Recommendation's unique ID. For example, . + +## FOREWORD + +The International Telecommunication Union (ITU) is the United Nations specialized agency in the field of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardizing telecommunications on a worldwide basis. + +The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. + +The approval of ITU-T Recommendations is covered by the procedure laid down in WTSA Resolution 1. + +In some areas of information technology which fall within ITU-T's purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. + +## NOTE + +In this Recommendation, the expression "Administration" is used for conciseness to indicate both a telecommunication administration and a recognized operating agency. + +Compliance with this Recommendation is voluntary. However, the Recommendation may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the Recommendation is achieved when all of these mandatory provisions are met. The words "shall" or some other obligatory language such as "must" and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the Recommendation is required of any party. + +## INTELLECTUAL PROPERTY RIGHTS + +ITU draws attention to the possibility that the practice or implementation of this Recommendation may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members or others outside of the Recommendation development process. + +As of the date of approval of this Recommendation, ITU had not received notice of intellectual property, protected by patents/software copyrights, which may be required to implement this Recommendation. However, implementers are cautioned that this may not represent the latest information and are therefore strongly urged to consult the appropriate ITU-T databases available via the ITU-T website at . + +© ITU 2023 + +All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. + +## Table of Contents + +| | | Page | +|---|-----------------------------------------------------------|------| +| 1 | Scope ..... | 1 | +| 2 | References ..... | 1 | +| 3 | Definitions ..... | 1 | +| | 3.1 Terms defined elsewhere ..... | 1 | +| | 3.2 Terms defined in this Recommendation ..... | 1 | +| 4 | Abbreviations and acronyms ..... | 2 | +| 5 | Conventions ..... | 2 | +| 6 | Overview of the maturity model ..... | 2 | +| 7 | Maturity levels ..... | 3 | +| | 7.1 Overview ..... | 3 | +| | 7.2 Initial starting level (L1) ..... | 4 | +| | 7.3 Unit optimization level (L2) ..... | 4 | +| | 7.4 Integrated collaboration level (L3) ..... | 4 | +| | 7.5 Full-chain collaboration level (L4) ..... | 4 | +| | 7.6 Ecosystem intelligence level (L5) ..... | 5 | +| 8 | Maturity dimensions of digital supply chain for SSC ..... | 5 | +| | 8.1 Overview ..... | 5 | +| | 8.2 System design of digital supply chain ..... | 6 | +| | 8.3 Platform empowerment of digital supply chain ..... | 9 | +| | 8.4 Business operation of digital supply chain ..... | 11 | +| | 8.5 Efficiency and benefit of digital supply chain ..... | 14 | +| 9 | Maturity assessment methods ..... | 16 | +| | 9.1 Collection of assessment evidence ..... | 16 | +| | 9.2 Calculation of assessment score ..... | 17 | +| | 9.3 Determination of maturity level ..... | 17 | + + + +# Recommendation ITU-T Y.4910 + +## Maternity model of digital supply chain for smart sustainable cities + +# 1 Scope + +This Recommendation presents a maturity model, which contains maturity levels and maturity dimensions, as well as maturity guidelines and assessment methods of the digital supply chain for smart sustainable cities (SSC). The goal of this Recommendation is to provide an effective way to achieve sustainable development goals for SSC by assessing and promoting the use of advanced technologies, and gradually improving the capabilities of digital supply chain. + +The scope of this Recommendation includes: + +- 1) Maturity model of digital supply chain for SSC; +- 2) Maturity levels of digital supply chain for SSC; +- 3) Maturity dimensions of digital supply chain for SSC; and +- 4) Maturity assessment methods of digital supply chain for SSC. + +This Recommendation is not intended either to compare or to prescribe any commercial products or solutions. It is intended to be a technology-neutral Recommendation. + +# 2 References + +The following ITU-T Recommendations and other references contain provisions which, through reference in this text, constitute provisions of this Recommendation. At the time of publication, the editions indicated were valid. All Recommendations and other references are subject to revision; users of this Recommendation are therefore encouraged to investigate the possibility of applying the most recent edition of the Recommendations and other references listed below. A list of the currently valid ITU-T Recommendations is regularly published. The reference to a document within this Recommendation does not give it, as a stand-alone document, the status of a Recommendation. + +- [ITU-T Y.4900] Recommendation ITU-T Y.4900/L.1600 (2016), *Overview of key performance indicators in smart sustainable cities*. +- [ITU-T Y.4904] Recommendation ITU-T Y.4904 (2019), *Smart sustainable cities maturity model*. + +# 3 Definitions + +## 3.1 Terms defined elsewhere + +None. + +## 3.2 Terms defined in this Recommendation + +This Recommendation defines the following term: + +**3.2.1 digital supply chain:** A smart, efficient, data-driven network structure, which is formed by suppliers, manufacturers, service providers, distributors and consumers and other subjects, so as to plan, organize, control and optimize the entire business process from initial raw materials to final products and services. + +# 4 Abbreviations and acronyms + +This Recommendation uses the following abbreviations and acronyms: + +| | | +|-----|----------------------------------| +| AGV | Automated Guided Vehicle | +| CRM | Customer Relationship Management | +| DSC | Digital Supply Chain | +| ERP | Enterprise Resource Planning | +| KPI | Key Performance Indicators | +| R&D | Research and Development | +| SDG | Sustainable Development Goal | +| SRM | Supplier Relationship Management | +| SSC | Smart Sustainable City | +| WMS | Warehouse Management System | + +# 5 Conventions + +In this Recommendation: + +The keywords "**is required**" indicate a requirement which must be strictly followed and from which no deviation is permitted if conformance to this document is to be claimed. + +The keyword "**is recommended**" indicates an optional requirement which is permissible, without implying any sense of being recommended. These terms are not intended to imply that the vendor's implementation must provide the option and the feature can be optionally enabled by the network operator/service provider. Rather, it means the vendor may optionally provide the feature and still claim conformance with the specification. + +# 6 Overview of the maturity model + +As shown in Figure 1, the digital supply chain maturity model consists of maturity levels and maturity dimensions, which can be used to achieve the sustainable development goals for smart sustainable cities (SSC) by evaluating the maturity of the digital supply chain. Based on the maturity model of digital supply chain, relevant stakeholders can comprehensively evaluate the maturity level of digital supply chain for SSC, or select to evaluate the level and performance of several key activities of a digital supply chain for SSC. + +![Figure 1: Maturity model of digital supply chain. A 5x4 grid showing maturity levels (L1 to L5) across four dimensions (System design, Platform empowerment, Business operation, Efficiency and benefit).](ebff22fb5dd6f50a90e44dca0f82f285_img.jpg) + +| Maturity levels | Ecosystem intelligence level (L5) | | | | | +|---------------------|-------------------------------------|---------------------------------------|----------------------------------------------|--------------------------------------------|------------------------------------------------| +| | Full-chain collaboration level (L4) | | | | | +| | Integrated collaboration level (L3) | | | | | +| | Unit optimization level (L2) | | | | | +| | Initial starting level (L1) | | | | | +| | | System design of digital supply chain | Platform empowerment of digital supply chain | Business operation of digital supply chain | Efficiency and benefit of digital supply chain | +| Maturity dimensions | | | | | | + +Y.4910(23) + +Figure 1: Maturity model of digital supply chain. A 5x4 grid showing maturity levels (L1 to L5) across four dimensions (System design, Platform empowerment, Business operation, Efficiency and benefit). + +**Figure 1 – Maturity model of digital supply chain** + +# 7 Maturity levels + +## 7.1 Overview + +The maturity levels of digital supply chain can be divided into initial starting level (L1), unit optimization level (L2), integrated collaboration level (L3), full-chain collaboration level (L4), and ecosystem intelligence level (L5), as shown in Figure 2. The requirements of these five levels rise gradually. + +![Figure 2: Maturity levels of digital supply chain. A staircase diagram showing the progression from Initial starting level (L1) to Ecosystem intelligence level (L5).](367926125450c2bc3f4bdca9d59a62ba_img.jpg) + +``` + +graph TD + L1[Initial starting level (L1)] --> L2[Unit optimization level (L2)] + L2 --> L3[Integrated collaboration level (L3)] + L3 --> L4[Full-chain collaboration level (L4)] + L4 --> L5[Ecosystem intelligence level (L5)] + +``` + +Y.4910(23) + +Figure 2: Maturity levels of digital supply chain. A staircase diagram showing the progression from Initial starting level (L1) to Ecosystem intelligence level (L5). + +**Figure 2 – Maturity levels of digital supply chain** + +## **7.2 Initial starting level (L1)** + +The general characteristics of the digital supply chain at the initial starting level (L1) are as follows: + +- Realize the chain architecture of the supply chain of business flow, logistics, data flow and capital flow from the supplier to the consumer. +- Realize the ability to standardize the application of information technology and digital tools around business units of the supply chain. +- Realize the standardized management of key business in the supply chain, such as planning, procurement, production, delivery, and services. +- Realize the supply chain system with the smooth operation under normal conditions. + +## **7.3 Unit optimization level (L2)** + +The general characteristics of the digital supply chain at the unit optimization level (L2) are as follows: + +- Realize the chain architecture of the supply chain with multi-sources and single-chain business flow, logistics, data flow and capital flow from the supplier to the consumer. +- Realize the ability to effectively apply information technology, automation equipment and digital tools around key business units of the supply chain. +- Realize the ability to achieve efficient execution and transparent visibility of a single business unit in the supply chain, such as planning, procurement, production, delivery, and services. +- Realize the supply chain system with smooth operation under normal conditions and achievement of the expected value benefits. + +## **7.4 Integrated collaboration level (L3)** + +The general characteristics of the digital supply chain at the integrated collaboration level (L3) are as follows: + +- Realize the chain architecture of the supply chain with multi-sources and single-chain business flow, logistics, data flow and capital flow from supplier to consumer, and realize the network connection among each of the nodes of the supply chain. +- Realize the ability to deploy and apply the digital platform and automation equipment that support the integrated operation of the core business of the supply chain, and realize the end-to-end integration of the supply chain data. +- Realize the ability to carry out integrated coordination of supply chain operations such as planning, procurement, production, delivery, and services. +- Realize the supply chain system with timely risks control, continuous operation and continuous creation of value benefits. + +## **7.5 Full-chain collaboration level (L4)** + +The general characteristics of the digital supply chain at the full-chain collaboration level (L4) are as follows: + +- Realize the mesh supply chain architecture with the consumer as the centre and with suppliers, manufacturers, distributors, service providers and other partners in parallel with business flow, logistics, data flow and capital flow. +- Realize the ability to deploy and apply the digital platform and automation equipment that support the whole chain business coordination of the supply chain, the construction of the supply chain knowledge base and model base, and the ability of data analysis and modelling of the whole supply chain. + +- Realize the ability to conduct online awareness, real-time analysis, dynamic decision-making and precise execution of business across supply chain partners. +- Realize the supply chain system with the continuous operation, flexible adjustment and the creation of adding value in an uncertain environment. + +## 7.6 Ecosystem intelligence level (L5) + +The general characteristics of the digital supply chain at the ecosystem intelligence level (L5) are as follows: + +- Realize the supply chain ecosystem with consumer as the centre and establish comprehensive business, data and value connections with supply chain partners and external stakeholders. +- Realize the ability to deploy and apply the digital platform and automation equipment that support the ecosystem operation of the supply chain, the construction of the digital twin of the supply chain ecosystem, and the scene digitalization, resource modularization and business intelligence of the supply chain ecosystem. +- Realize the ability of business self-awareness, self-execution, self-learning and self-optimization among supply chain ecosystem partners. +- Realize the supply chain ecosystem with high resilience and flexibility and adaptive adjustment and continuous creation of added value in the internal and external environment. + +# 8 Maturity dimensions of digital supply chain for SSC + +## 8.1 Overview + +Digital supply chain maturity includes four maturity dimensions, including system design of digital supply chain (D1), platform empowerment of digital supply chain (D2), business operation of digital supply chain (D3) and efficiency and benefit of digital supply chain (D4), as well as 18 maturity sub-dimensions, as shown in Table 1. + +**Table 1 – Maturity dimensions and sub-dimensions of digital supply chain** + +| Maturity dimensions | Maturity sub-dimensions | +|---------------------------------------------------|---------------------------------------------------------| +| System design of digital supply chain (D1) | Strategic planning of digital supply chain (D1.1) | +| | Organizational structure of digital supply chain (D1.2) | +| | Cooperation model of digital supply chain (D1.3) | +| | Network structure of digital supply chain (D1.4) | +| | Capability layout of digital supply chain (D1.5) | +| Platform empowerment of digital supply chain (D2) | Enabling technology of digital supply chain (D2.1) | +| | Data management of digital supply chain (D2.2) | +| | Data model of digital supply chain (D2.3) | +| | Information traceability of digital supply chain (D2.4) | +| Business operation of digital supply chain (D3) | Planning and forecasting of digital supply chain (D3.1) | +| | Diversified sourcing and procurement (D3.2) | +| | Intelligent production management (D3.3) | +| | Precise delivery of orders (D3.4) | +| | Digital customer service (D3.5) | + +**Table 1 – Maturity dimensions and sub-dimensions of digital supply chain** + +| Maturity dimensions | Maturity sub-dimensions | +|-----------------------------------------------------|------------------------------------------------------------| +| Efficiency and benefit of digital supply chain (D4) | Flexibility of digital supply chain (D4.1) | +| | Resilience of digital supply chain (D4.2) | +| | Risk prevention and control of digital supply chain (D4.3) | +| | Comprehensive performance of digital supply chain (D4.4) | + +The contents of the four maturity dimensions are as follows: + +- System design of digital supply chain: Mainly assess the planning ability of top-level strategy and structural layout of digital supply chain from the aspects of 5 sub-dimensions, including strategic planning of digital supply chain (D1.1), organizational structure of digital supply chain (D1.2), cooperation mode of digital supply chain (D1.3), network structure of digital supply chain (D1.4) and capability layout of digital supply chain (D1.5). +- Platform empowerment of digital supply chain: Mainly assess the empowering effect of information technology, automatic equipment and digital platform on digital supply chain from the aspects of 4 sub-dimensions, including enabling technology of digital supply chain (D2.1), data management of digital supply chain (D2.2), data model of digital supply chain (D2.3) and information traceability of digital supply chain (D2.4). +- Business operation of digital supply chain: Mainly assess the digital level of supply chain planning, procurement, production, delivery, service and other business activities from the aspects of 5 sub-dimensions, including planning and forecasting of digital supply chain (D3.1), diversified sourcing and procurement (D3.2), intelligent production management (D3.3), precise delivery of orders (D3.4) and digital customer service (D3.5). +- Efficiency and benefit of digital supply chain: Mainly assess the overall performance and value performance of digital supply chain from the aspects of 4 sub-dimensions, including flexibility of digital supply chain (D4.1), resilience of digital supply chain (D4.2), risk prevention and control of digital supply chain (D4.3) and comprehensive performance of digital supply chain (D4.4). + +## **8.2 System design of digital supply chain** + +### **8.2.1 Initial starting level (L1)** + +At initial starting level (L1), the characteristics of strategic planning, organizational structure, cooperation mode, network structure and capability layout of the supply chain are as follows: + +- Tasks related to supply chain operations should be set in the department-level strategic plan, and the implementation of tasks related to supply chain should be tracked and evaluated. +- Personnel and positions to perform supply chain management responsibilities should be instituted, and relevant personnel should have basic knowledge of supply chain management and operation skills of digital tools and can use information technology and digital tools to carry out standardized and process-based management and control of supply chain business. +- Clear selection criteria and cooperation rules for suppliers, manufacturers, service providers and distributors should be established. +- Linear and serial chain-like supply chain structure should be planned and formed, and the addresses of key nodes in the supply chain such as supply, production, logistics, and sales should be clearly defined. + +- Material, manpower, equipment and other resources and capacity, warehousing, logistics and other capabilities of key nodes in the supply chain should be rationally planned and allocated in combination with the network structure of the supply chain. + +### **8.2.2 Unit optimization level (L2)** + +At unit optimization level (L2), the characteristics of strategic planning, organizational structure, cooperation mode, network structure and capability layout of the supply chain are as follows: + +- Strategic tasks and assessment objectives related supply chain should be set in the strategic plan, and corresponding support resources such as people, finances, and materials should be matched, so that the supply chain strategic tasks can be tracked and evaluated. +- Full-time departments and positions for supply chain management should be established, and relevant personnel with skills in supply chain management and information technology applications should be provided to carry out digital management of core business units of the supply chain. +- Scientific selection criteria and cooperation rules for suppliers, manufacturers, service providers and distributors should be established, and stable cooperative relations should be established with core partners. +- Multisource and single chain supply chain structures should be constructed, and the addresses of key supply chain nodes such as supply, production, logistics, and sales should be clarified and adjusted. +- The materials, manpower, equipment and other resources and production capacity, warehousing, logistics and other capabilities of key nodes in the supply chain should be reasonably configured and timely adjusted according to the business needs and the supply chain network structure. + +### **8.2.3 Integrated collaboration level (L3)** + +At integrated collaboration level (L3), the characteristics of strategic planning, organizational structure, cooperation mode, network structure and capability layout of the supply chain are as follows: + +- Supply chain strategy should be formulated, and a complete support system of supply chain strategy based on digital technology should be created to achieve the coordination and synergism of the overall strategy, supply chain strategy and other functional strategies. +- Specialized departments and positions for supply chain management should be established, and professionals with supply chain management capabilities, information technology applications, data analysis and mining and other digital skills should be equipped, who can cooperate with production, logistics, sales and information departments to carry out digital management covering the entire process of the enterprise supply chain. +- Appropriate suppliers, manufacturers, service providers, and distributors should be scientifically selected and introduced, and consensus with supply chain partners should be reached among operating rules such as supply chain business collaboration, information exchange, and mutual profit. +- Multisource and single chain supply chain structures should be formed, and networked connections should be realized at each node of the supply chain, which can design and optimize key supply chain nodes such as supply, production, logistics, and sales based on data analysis. +- Materials, manpower, equipment and other resources and production capacity, warehousing, logistics and other capabilities of key nodes in the supply chain should be scientifically configured and precisely optimized based on data analysis, according to the + +business needs of the enterprise, changes in market demand, resource structure adjustment and other factors. + +### **8.2.4 Full-chain collaboration level (L4)** + +At full-chain collaboration level (L4), the characteristics of strategic planning, organizational structure, cooperation mode, network structure and capability layout of the supply chain are as follows: + +- With the goal of optimizing the overall operation of the supply chain, the digital supply chain strategy and its implementation plan should be formulated and adjusted, and collaboratively formulated, implemented and optimized with the upstream and downstream of the supply chain. +- Supply chain collaboration mechanisms should be established for upstream and downstream suppliers, manufacturers, service providers, distributors and consumers in the supply chain, and the whole process management and optimization of the upstream and downstream business of the supply chain should be carried out collaboratively based on the platform. +- Suppliers, manufacturers, service providers, distributors and other upstream and downstream partners in the supply chain should be selected, managed, assessed and adjusted, and a cooperative relationship of information sharing, risk sharing and mutual benefit should be established with partners. +- Network supply chain structure of consumer-centre, multi-source parallel of partners' business flow, logistics, data flow and capital flow should be established, which can dynamically optimize the overall structure of the supply chain network and the layout of key supply chain nodes such as supply, production, logistics, and sales based on models according to the flexibility and resilience requirements of the supply chain. +- A supply chain capacity allocation model should be constructed to scientifically allocate and dynamically optimize materials, manpower, equipment and other resources and capacity, warehousing, logistics and other capabilities of key nodes in the supply chain based on factors such as business needs, changes in market demand, and resource structure adjustments. + +### **8.2.5 Ecosystem intelligence level (L5)** + +At ecosystem intelligence level (L5), the characteristics of strategic planning, organizational structure, cooperation mode, network structure and capability layout of the supply chain are as follows: + +- Based on the positioning of the digital supply chain ecosystem, a unified digital supply chain ecosystem strategy oriented by value co-creation should be formulated in coordination with partners in the supply chain ecosystem, and the strategy should be uniformly matched and dynamically adjusted at the business department, key nodes, the whole supply chain and other levels. +- The physical boundaries should be broken to establish a cross-business operation organization for a digital supply chain ecosystem with partners in the supply chain ecosystem and external stakeholders, and the overall scheduling and dynamic management of business, funds, materials, and data in supply chain ecosystem should be carried out based on the platform. +- Partners in a supply chain ecosystem should be identified, introduced, managed and dynamically adjusted according to the development needs of a digital supply chain ecosystem, and cooperative relationships of data sharing, business collaboration, resource collaboration, and model innovation should be established cooperating with partners and external stakeholders. + +- A supply chain ecosystem with consumer-centre and comprehensive business connections, data connections and value connections with supply chain partners and external stakeholders should be established, and on the basis of the evaluation and prediction of key performances such as supply chain flexibility and toughness, intelligent modelling, simulation, data mining and other means should be used to adaptively match and dynamically optimize the overall ecosystem structure of the supply chain and the key node layout of supply chains such as supply, production, logistics, and sales. +- The materials, manpower, equipment and other resources and production capacity, warehousing, logistics and other capabilities at different nodes of the supply chain ecosystem should be simulated, configured, predicted and optimized using simulation, intelligent modelling and other means by comprehensive analysis of partner data in the supply chain ecosystem and external market information. + +## **8.3 Platform empowerment of digital supply chain** + +### **8.3.1 Initial starting level (L1)** + +At initial starting level (L1), the characteristics of enabling technologies, data management, data models, and information traceability around the supply chain are as follows: + +- Digital tools such as enterprise resource planning (ERP) should be deployed to support standardized online management of some business processes in supply chain. +- The necessary supply chain data should be recorded, stored and managed. +- The necessary supply chain basic data should be counted. +- Products, materials, equipment and other supply chain entities should be uniquely identified. + +### **8.3.2 Unit optimization level (L2)** + +At unit optimization level (L2), the characteristics of enabling technologies, data management, data models, and information traceability around the supply chain are as follows. + +- Digital tools such as enterprise resource planning (ERP), supplier relationship management (SRM), customer relationship management (CRM) and warehouse management system (WMS) should be deployed as required, and automation equipment such as industrial robots, automated production lines, automated guided vehicle (AGV) and automated warehouses should be applied to support the automatic execution of key business units of supply chain such as plan, procurement, production, delivery and services. +- Major supply chain data such as demand, order, plan, procurement, production, logistics, inventory and services should be collected regularly and standardized stored and managed in a digital way. +- Statistical analysis of main supply chain data such as demand, order, plan, procurement, production, logistics, inventory, and service should be realized, and the operation of the main business units of the supply chain should be displayed in a visual form. +- Entity objects such as products, materials, equipment and non-entity objects such as orders and services should be uniquely identified. + +### **8.3.3 Integrated collaboration level (L3)** + +At integrated collaboration level (L3), the characteristics of enabling technologies, data management, data models, and information traceability around the supply chain are as follows: + +- An integrated digital platform that supports the core business of the supply chain should be deployed, which can connect automation equipment such as industrial robots, automated production lines, AGV, automated warehouses, and other related business systems of the + +enterprise, and support integrated management and control of core business such as supply chain plan procurement, production, delivery and services. + +- A supply chain data resource standard system should be established to comprehensively collect, manage and end-to-end integrate supply chain data such as demand, order, plan, procurement, production, logistics, inventory and services. +- Supply chain data association analysis and in-depth mining of demand, order, plan, procurement, production, logistics, inventory and services should be carried out based on a digital platform, and the operation situation and trend of supply chain should be presented in a visual form. +- A supply chain information traceability system should be established to uniquely identify and forward track products, materials, equipment, orders, businesses and other objects. + +### **8.3.4 Full-chain collaboration level (L4)** + +At full-chain collaboration level (L4), the characteristics of enabling technologies, data management, data models, and information traceability around the supply chain are as follows: + +- An integrated digital platform with functions such as supply chain system design, business operation, risk management and control, and performance management should be deployed and applied, and integrate the relevant business systems of supply chain partners and automation equipment such as production, warehousing, and distribution to support the integrated management, control and collaborative operation of the entire supply chain business. +- A unified supply chain data resource standard system and data security protection mechanism should be established with supply chain partners to realize the dynamic perception, real-time interaction and hierarchical and classified management of data in the whole supply chain based on the platform. +- Based on the digital platform, of your own and of supply chain partners, professional knowledge, business rules and industrial mechanisms should be encapsulated as needed to form a supply chain knowledge base and model base, and to form real-time analysis and model application capability of the whole supply chain data. +- A unified supply chain traceability system should be established with supply chain partners to carry out forward and reverse tracing of the whole of supply chain information from raw material procurement, production and manufacturing, warehousing and logistics to terminal sales based on the platform. + +### **8.3.5 Ecosystem intelligence level (L5)** + +At ecosystem intelligence level (L5), the characteristics of enabling technologies, data management, data models, and information traceability around the supply chain are as follows: + +- A unified digital supply chain technology architecture and service platform should be constructed with partners in the supply chain ecosystem, and should integrate related business systems and automation equipment of supply chain ecosystem partners and be interconnected with relevant e-commerce platforms, industrial Internet platforms, industrial supermarkets and other social systems to support intelligent operation of business in the supply chain ecosystem, dynamic allocation of resources and collaborative innovation of models. +- Unified digital supply chain ecosystem architecture, as well as the asset management and data protection mechanisms should be established with partners in the supply chain ecosystem and external interests based on the platform to implement the dynamic perception, real-time interaction and safety protection of the data in the supply chain ecosystem and form a complete content, safe and reliable calculation, analysis of the ecosystem data link of the supply chain. + +- A digital twin of the supply chain ecosystem should be established based on the digital platform, so that full scene digitalization of business activities in the supply chain ecosystem can be carried out. With digital mapping and modular combination of the resources, abilities and knowledge of partners in the supply chain ecosystem and external stakeholders, the digital twin can be used to realize the real-time analysis, accurate description, collaborative optimization and automatic prediction of activities in the supply chain ecosystem. +- A unified traceability system in the supply chain ecosystem should be established with supply chain partners and external stakeholders, and identification analysis, Internet of things (IoT), blockchain and other information technologies should be used to realize real-time tracking, rapid traceability and accurate prediction of the whole supply chain and product life cycle information. + +## **8.4 Business operation of digital supply chain** + +### **8.4.1 Initial starting level (L1)** + +At initial starting level (L1), the characteristics of planning and forecasting of supply chain, diversified sourcing and procurement, intelligent production management, precise delivery of orders and digital customer service are as follows: + +- The procurement plan, production plan and logistics plan should be made regularly. +- A qualified supplier management mechanism and a standardized procurement process should be established and implemented effectively. +- Production should be scheduled legitimately according to production plan and ordered information production operations should be carried out according to plan. +- Unified recording and maintenance of basic order information should be carried out to achieve standardized management of warehousing and logistics and orderly delivery of orders. +- Various after-sales service channels should be provided, standardized service processes should be created, and customer service data should be regularly tracked and statistically analysed. + +### **8.4.2 Unit optimization level (L2)** + +At unit optimization level (L2), the characteristics of planning and forecasting of supply chain, diversified sourcing and procurement, intelligent production management, precise delivery of orders and digital customer service are as follows: + +- A procurement plan, production plan and logistics plan should be made using digital tools, and the implementation of the supply chain plan can be tracked and can provide feedback. +- The source search, evaluation and management of suppliers should be carried out using digital tools, and the online implementation and tracking of procurement processes should be realized. +- According to the production plan and order information, the production plan should be worked out scientifically and the production task should be executed efficiently, and provide tracking and visualization of the production operation process in real time. +- The basic order information should be recorded, tracked and maintained using digital tools to achieve efficient execution and visual management of product warehousing, warehousing, and inventory and logistics distribution, so as to achieve on-time delivery of orders. + +- Timely after-sales service for customers should be provided using digital tools, and there should be regular tracking and statistics of customer service data, and feedback to R&D, production, logistics and other departments. + +### **8.4.3 Integrated collaboration level (L3)** + +At integrated collaboration level (L3), the characteristics of planning and forecasting of supply chain, diversified sourcing and procurement, intelligent production management, precise delivery of orders and digital customer service are as follows: + +- The market demand analysis should be carried out based on the digital platform, and the procurement plan, production plan and logistics plan should be formulated and executed collaboratively, so as to realize the coordination and unity of the procurement progress, production scheduling plan, production rhythm, and logistics scheduling, and be able to dynamically track the implementation of the plan, and dynamically adjust purchasing, production and logistics plans in response to demand fluctuations and resource changes. +- Potential suppliers should be identified based on the digital platform, and the whole life-cycle management of supplier sourcing, certification, evaluation and withdrawal should be carried out, and realized in the online execution, tracking and timely adjustment of the whole process of procurement. +- The digital platforms should be used according to the production plan and order information to automatically generate production scheduling plans, allocate production resources such as equipment, personnel and materials as needed so as to accurately execute production tasks, and realize the real-time monitoring and timely optimization of production takt (*production pace or rhythm*), production progress, and order allocation according to production tasks and environmental changes. +- The order status, execution, delivery, change and other information should be recorded, tracked and maintained based on the digital platform, and the coordinated operation and digital control of the whole process of warehousing and logistics should be carried out by automated storage systems and logistics equipment, so as to achieve on-time delivery of orders. +- R&D, production, logistics and other resources should be integrated to establish an integrated customer service system, and to carry out whole-process tracking and collaborative execution of customer services to ensure convenient, timely and reliable customer services. + +### **8.4.4 Full-chain collaboration level (L4)** + +At full-chain collaboration level (L4), the characteristics of planning and forecasting of supply chain, diversified sourcing and procurement, intelligent production management, precise delivery of orders and digital customer service are as follows: + +- Market demand forecasting should be carried out with supply chain partners based on the digital platform, and should collaboratively formulate production plans, logistics plans and procurement plans, and coordinate the upstream and downstream procurement progress, production scheduling plan, production takt, logistics scheduling and sales progress of the supply chain, and should achieve supply chain planning collaborative linkage and dynamic optimization based on data. +- Potential suppliers should be accurately identified based on the digital platform. Furthermore, an appropriate supplier resource pool and supply resource network should be established, and key supply nodes should be backed up as needed. Moreover, dynamic management of suppliers' whole life cycle, as well as tracking, control and optimization of the whole process of procurement execution should be carried out based on data. + +- According to the production plan, an order information and demand forecast, production scheduling plan should be formulated, executed and optimized collaboratively with supply chain partners based on the digital platform, and should accurately simulate, analyse and predict the upstream and downstream production processes of the supply chain based on data, and should realize the dynamic configuration and flexible adjustment of upstream and downstream production tasks and manufacturing resources in the supply chain. +- The order life-cycle information should be managed, tracked and maintained collaboratively with supply chain partners based on the digital platform, and a warehouse model and distribution model should be deployed and applied. Based on the model, inventory status, logistics network, distribution route and mode of transportation can be monitored, managed and optimized, so as to achieve on-time delivery of orders. +- A digital service system covering online and offline channels should be established with supply chain partners, and should carry out customer portraiting and difference analysis based on data, and should provide a customized and transparent whole process of pre-sale, sale and after-sales service. + +### **8.4.5 Ecosystem intelligence level (L5)** + +At ecosystem intelligence level (L5), the characteristics of planning and forecasting of supply chain, diversified sourcing and procurement, intelligent production management, precise delivery of orders and digital customer service are as follows: + +- A coordinated operation plan of the supply chain ecology should be formed based on the digital platform and partners of the supply chain ecology on the basis of demand forecasting, and the collaborative implementation of production, logistics, procurement and other plans should be carried out. The implementation process of the plan can be simulated and predicted by means of simulation and digital twins, so as to realize the independent decision-making and adaptive adjustment of the operation plan of the supply chain ecology. +- The procurement model and supplier evaluation model should be deployed based on the digital platform, potential suppliers should be identified and matched independently based on the model, diversified supplier resource pools and supply resource networks should be constructed and dynamically adjusted, and key supply nodes should be backed up automatically, and should carry out dynamic tracking, collaborative execution and independent optimization of the whole procurement process with partners of the supply chain ecology. +- Intelligent scheduling algorithms and models should be deployed on the digital platform, which can automatically generate and independently optimize the overall scheduling plan of the supply chain ecology according to production planning, order information and demand forecast, and should simulate, analyse and predict the manufacturing resource allocation, production execution process and operation fluctuation of the supply chain ecology, and be able to carry out cross-regional and cross-enterprise capacity sharing and collaborative production among partners of the supply chain ecology. +- Collaborative management, dynamic tracking and unified maintenance of order life-cycle information should be carried out with partners of the supply chain ecology and external stakeholders based on the digital platform, and a digital warehousing and logistics system should be established. Independent matching and adaptive optimization of optimal order delivery schemes covering products, warehouses, vehicles and routes, should be carried out so as to achieve efficient and accurate order delivery. +- An all-channel digital service system which can accurately reach end customers should be established with supply chain partners and external stakeholders. Based on the digital platform, a customer resource base, product fault knowledge base and maintenance method base should be deployed. Based on models, customer service demand should be predicted, + +service resources should be dynamically allocated, and product online monitoring, fault diagnosis, remote operation and maintenance, data value-added and other innovative services should be carried out synergistically. + +## **8.5 Efficiency and benefit of digital supply chain** + +### **8.5.1 Initial starting level (L1)** + +At initial starting level (L1), the characteristics of flexibility of digital supply chain, resilience of digital supply chain, risk prevention and control of digital supply chain and comprehensive performance of digital supply chain are as follows: + +- Business activities and resource input related the supply chain, as well as the type and number of products and services should be adjustable, and the supply chain system can respond to changes in market demand. +- The necessary alternative production capacity and material safety inventory should be allocated, and the supply chain system should operate smoothly under normal conditions. +- The main risk factors of the supply chain should be perceived and identified, and the risk management plan should be formulated and implemented effectively. +- Necessary supply chain performance indicators such as just-in-time delivery rate and inventory turnover rate should be measured and recorded. + +### **8.5.2 Unit optimization level (L2)** + +At unit optimization level (L2), the characteristics of flexibility of digital supply chain, resilience of digital supply chain, risk prevention and control of digital supply chain and comprehensive performance of digital supply chain are as follows: + +- Used digital tools, and business processes such as purchasing, manufacturing, logistics and distribution should be changed as needed, resources such as materials, equipment, personnel and funds should be dispatched, and the variety and quantity of products and services should be optimized, and the supply chain system can effectively respond to changes in market demand. +- Used digital tools, alternative production capacity, manpower reserves and a material safety inventory should be planned and allocated, and the supply chain system should operate smoothly under normal conditions and have the ability to recover effectively under abnormal conditions. +- Used digital tools, the risk factors and types of the supply chain should be fully perceived and identified, the degree and root causes of the risk should be assessed, and the risk disposal plans should be scientifically formulated and implemented to achieve an effective response to the main risks of the supply chain. +- Used digital tools, the main performance indicators of supply chain should be monitored and evaluated regularly, and the relevant departments of the supply chain should be assessed so that the operation of the supply chain can achieve the expected value and benefit. + +### **8.5.3 Integrated collaboration level (L3)** + +At integrated collaboration level (L3), the characteristics of flexibility of digital supply chain, resilience of digital supply chain, risk prevention and control of digital supply chain and comprehensive performance of digital supply chain are as follows: + +- Based on the digital platform, the business processes such as purchasing, manufacturing, logistics and distribution, and customer service should be changed, materials, equipment, personnel, funds and other resources should be dynamically scheduled, and the variety, + +quality and quantity of products and services should be optimized. The supply chain system can respond to changes in market demand in a timely manner. + +- Based on the digital platform, appropriate alternative production capacity, guarantee funds, manpower reserves and a material safety inventory should be planned and configured, and the backup of major nodes in the supply chain, such as supply, production, logistics and sales, should be carried out. The supply chain system maintains continuous operation under normal conditions, and has the ability to respond and recover quickly under abnormal conditions. +- Based on the digital platform, the supply chain risk factors and types should be perceived and identified in real time, the probability, time, degree and root causes of the supply chain risk should be quantitatively evaluated, and a cross-departmental and cross-functional risk prevention and control mechanism and disposal scheme should be constructed to achieve timely control and effective response to the main risks of the supply chain. +- Relying on the digital platform, the supply chain performance evaluation system should be deployed, so as to the main supply chain performance indicators such as just-in-time delivery rate, inventory turnover rate, market share and customer satisfaction can be monitored, evaluated and analysed in real time, and the relevant departments and personnel of the supply chain can be comprehensively assessed to form a closed-loop supply chain performance improvement mechanism to achieve the continuous creation of the value and benefit of the supply chain. + +### **8.5.4 Full-chain collaboration level (L4)** + +At full-chain collaboration level (L4), the characteristics of flexibility of digital supply chain, resilience of digital supply chain, risk prevention and control of digital supply chain and comprehensive performance of digital supply chain are as follows: + +- The supply chain flexibility evaluation model should be deployed, and the overall supply chain flexibility should be evaluated with supply chain partners based on the model. Furthermore, relying on the digital platform, the supply chain network structure and business process should be jointly adjusted, materials, equipment, personnel, funds and other resources should be coordinated, and the variety, quality and quantity of products and services should be changed rapidly. The supply chain system can respond quickly to market changes and diversified customer needs. +- The supply chain resilience evaluation model should be deployed, the overall resilience of the supply chain should be evaluated with supply chain partners based on the model, the supply chain alternative capacity, ensure capital, manpower reserves and a material safety inventory should be synergistically planned, configured, optimized, and diversified backup of supply chain nodes can be carried out. The supply chain system maintains continuous operation under normal conditions, and has the ability for a dynamic response and recovery under an uncertain environment. +- The supply chain risk hierarchical assessment model should be deployed based on the digital platform, and the systemic risk and local risk of the supply chain should be perceived with supply chain partners based on the model, and the probability, time, degree and root causes of the risk should be accurately evaluated and scientifically diagnosed, so as to form a joint risk prevention and control mechanism and disposal plan across enterprises to achieve hierarchical regulation and a linkage response to the overall risk of the supply chain. +- Relying on the digital platform, a supply chain performance evaluation model should be established with supply chain partners, and the plan execution rate, just-in-time delivery rate, inventory turnover rate, market share, customer satisfaction and other performance indicators of supply chain partners and the overall supply chain should be monitored, + +evaluated, analysed and assessed to form a continuous optimization mechanism of the overall performance of the supply chain to achieve the continuous optimization of the overall value and benefit of the supply chain. + +### **8.5.5 Ecosystem intelligence level (L5)** + +At ecosystem intelligence level (L5), the characteristics of flexibility of digital supply chain, resilience of digital supply chain, risk prevention and control of digital supply chain and comprehensive performance of digital supply chain are as follows. + +- The supply chain flexibility evaluation and prediction model should be deployed, the overall flexible performance of the supply chain can be evaluated, predicted and optimized with supply chain partners and external stakeholders based on the model, the network structure and business process of the supply chain ecology should be dynamically reconstructed based on the digital platform, the ecological and social resources of the supply chain should be dispatched across regions, and the variety, quality and quantity of products and services can be changed dynamically. The supply chain system has the ability of self-optimization for rapid market change and diversified customer needs. +- The supply chain toughness evaluation and prediction model should be deployed, and the overall toughness performance of the supply chain can be evaluated, predicted and optimized with supply chain partners and external stakeholders based on the model. Furthermore, relying on the digital platform, partners and social resources and capabilities can be transferred, and alternative capacity, guarantee funds, manpower reserves and material safety inventory of the supply chain ecology can be scientifically planned, dynamically allocated, and precisely optimized, so as to realize the diversified backup of the supply chain ecology nodes. The supply chain ecology can maintain the continuous operation of the supply chain ecosystem under normal conditions, and have the ability of self-adaptation, self-adjustment and self-recovery in an uncertain environment. +- The supply chain risk assessment and prediction model, as well as the supply chain risk characteristic database and disposal plan database should be deployed with supply chain partners and external stakeholders based on the digital platform, and a model-driven integrated prevention and control mechanism of risk dynamic perception, accurate assessment, linkage disposal and advance early warning of the supply chain ecology can be formed with partners of the supply chain ecology and external stakeholders to achieve pre-response, accurate control and efficient response to risks to the supply chain ecology. +- Relying on the digital platform, the performance evaluation and prediction model of the supply chain ecology should be built together with partners of the supply chain ecology, and the plan execution rate, just-in-time delivery rate, inventory turnover rate, market share, customer satisfaction and popularization of the new model and other performance indicators of the supply chain ecology partners, and the overall the supply chain ecology can be real-time monitored, dynamically evaluated, deeply analysed, precisely predicted and comprehensively assessed. A continuous optimization mechanism and improvement scheme for the performance of the supply chain ecology can also be formed, so as to realize the continuous optimization of the overall value benefit of the supply chain ecology, and produce high added value through model innovation. + +# **9 Maturity assessment methods** + +## **9.1 Collection of assessment evidence** + +According to the expected maturity level of digital supply chain, the assessment evidence of the corresponding maturity level of digital supply chain should be collected in an appropriate way, including interview, observation, on-site inspection, document and records review, system demonstration, and data collection, etc. + +## 9.2 Calculation of assessment score + +### 9.2.1 Determination of score of sub-dimensions + +According to the conformity degree between the collected evidence and the maturity dimensions, the score of each maturity sub-dimension should be determined. Among them, the conformity is recommended to be recorded as 1, the basic conformity is recommended to be recorded as 0.8, the partial conformity is recommended to be recorded as 0.5, and the non-conformity is recommended to be recorded as 0. + +### 9.2.2 Setting of weights + +Weights should be assigned to the maturity dimension and the maturity sub-dimension according to the type and nature of digital supply chain. + +Experienced experts can be invited to discuss weights. The Delphi method, analytic hierarchy process and network analysis can be used to determine the weight of each dimension and sub-dimension. + +### 9.2.3 Calculation of overall score + +The score B of the maturity dimension is the weighted sum of the scores of the maturity sub-dimensions under the dimension, and the score of the maturity dimension is calculated according to Equation (1): + +$$B = \sum(C \times \beta) \quad (1)$$ + +where, + +- B: score of the maturity dimension +- C: score of the maturity sub-dimension +- $\beta$ : weight of the maturity sub-dimension. + +The overall score A is the weighted sum of the scores of each maturity dimension, and the overall score is calculated according to Equation (2): + +$$A = \sum(B \times \alpha) \quad (2)$$ + +where, + +- A: overall score +- B: score of the maturity dimension; and +- $\alpha$ : weight of the maturity dimension. + +## 9.3 Determination of maturity level + +The relevant stakeholders are recommended to set their own score. For example, if the overall score and the score of each dimension are higher than 0.8, it is judged that the digital supply chain maturity meets the corresponding level. Otherwise, it is judged that it does not meet the corresponding level. + + + + + +## SERIES OF ITU-T RECOMMENDATIONS + +| | | +|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------| +| Series A | Organization of the work of ITU-T | +| Series D | Tariff and accounting principles and international telecommunication/ICT economic and policy issues | +| Series E | Overall network operation, telephone service, service operation and human factors | +| Series F | Non-telephone telecommunication services | +| Series G | Transmission systems and media, digital systems and networks | +| Series H | Audiovisual and multimedia systems | +| Series I | Integrated services digital network | +| Series J | Cable networks and transmission of television, sound programme and other multimedia signals | +| Series K | Protection against interference | +| Series L | Environment and ICTs, climate change, e-waste, energy efficiency; construction, installation and protection of cables and other elements of outside plant | +| Series M | Telecommunication management, including TMN and network maintenance | +| Series N | Maintenance: international sound programme and television transmission circuits | +| Series O | Specifications of measuring equipment | +| Series P | Telephone transmission quality, telephone installations, local line networks | +| Series Q | Switching and signalling, and associated measurements and tests | +| Series R | Telegraph transmission | +| Series S | Telegraph services terminal equipment | +| Series T | Terminals for telematic services | +| Series U | Telegraph switching | +| Series V | Data communication over the telephone network | +| Series X | Data networks, open system communications and security | +| Series Y | Global information infrastructure, Internet protocol aspects, next-generation networks, Internet of Things and smart cities | +| Series Z | Languages and general software aspects for telecommunication systems | \ No newline at end of file